{"corpus_id": "isa/draft/exploitation-code-2025", "version_id": "2025-12-23", "title": "Draft Regulations on Exploitation of Mineral Resources in the Area (Further Revised Consolidated Text) — DRAFT, NOT IN FORCE", "short_title": "Draft Exploitation Regulations / Mining Code — Dec 2025 consolidated draft [DRAFT]", "jurisdiction": "international", "document_type": "isa_draft", "official_citation": "ISBA/31/C/CRP.2, Further Revised Consolidated Text (clean version), 23 December 2025 (draft, 31st session, Kingston, 9–20 March 2026)", "authentic_languages": ["en"], "language": "en", "adoption_date": null, "entry_into_force_date": null, "source_url": "https://isa.org.jm/wp-content/uploads/2025/12/Further-Revised-Consolidated-Text-clean-version.pdf", "source_publisher": "International Seabed Authority (ISA)", "source_is_official": true, "authoritative_status": "authentic_text", "text_fidelity": "extracted_verified", "content_hash": "sha256:d6d6f44767e6691e349fe631f942e1f2cd21c3b291fff3d909f31fb5286e32b3", "original_sha256": "sha256:0eda44a2f8c046fdb76ad103918002795b422e313cd09c13a0e7055f357815be", "text_sha256": "sha256:d6d6f44767e6691e349fe631f942e1f2cd21c3b291fff3d909f31fb5286e32b3", "license": "isa-materials-terms", "rights_note": "Official ISA working document (Council conference-room paper), attributed to the International Seabed Authority; not relicensed.", "provenance_note": "DRAFT, NOT IN FORCE (JC-002). Now COMPLETE from the byte-exact official ISA PDF (human download, 194 pp.), stored as original.pdf — supersedes the earlier authoritative_missing partial placeholder for this version (retained in Git history). This is the 'Further Revised Consolidated Text' (clean version) ISBA/31/C/CRP.2 of 23 December 2025, prepared for the Council's 31st session: Preamble, Parts I–XI, Regulations 1–107, the Schedule and Annexes I–XI. It is authoritative ONLY as a record of what this draft revision's text was — it creates no obligations, is not a citable in-force instrument, and will be promoted to an in-force version only if/when the Code is adopted (JC-002). Draft alternatives and open questions are preserved verbatim (square brackets, [Alt. …], and '[to be discussed and inserted]'). Extracted with pdftotext and cleaned (page numbers/running headers removed, provisions structured); no wording altered.", "text": "Draft Regulations on Exploitation of Mineral Resources in the Area — Further Revised Consolidated Text (ISBA/31/C/CRP.2, 23 December 2025) [DRAFT, NOT IN FORCE]\n\nPreamble In accordance with the United Nations Convention on the Law of the Sea of 10 December 1982 (“the Convention”) and the Agreement relating to the Implementation of Part XI of the United Nations Convention on the Law of the Sea of 10 December 1982 (“the Agreement”), the Area and its resources are the common heritage of humankind, and the Exploitation of the resources of the Area shall be carried out for the benefit of humankind as a whole, on whose behalf the Authority acts. The objective of these Regulations is therefore to regulate the Exploitation of the resources of the Area consistent with the Convention, including the duty [to take necessary measures in accordance with the Convention] to ensure effective Protection of the Marine Environment from harmful effects caused by those activities.\n\nPart I. Introduction\n\nRegulation 1. Use of terms, [phrases] and scope 1. Terms used in the Convention shall have the same meaning in these Regulations.\n\n2. In accordance with the Agreement, the provisions of the Agreement and part XI of the Convention shall be interpreted and applied together as a single instrument. These Regulations and references in these Regulations to the Convention are to be interpreted and applied accordingly.\n\n3. Terms and phrases [listed in the Schedule are defined] for the purposes of these Regulations and [Alt.1. the Standards and Guidelines] [Alt. 2. any future Standards and Guidelines adopted in accordance with these Regulations].\n\n4. These Regulations are accompanied by Standards and Guidelines, as referred to in these Regulations and the Annexes thereto, as well as by further rules, regulations and procedures of the Authority [, in particular on the protection and preservation of the Marine Environment [Alt 1. including Regional Environmental Management Plans, [and conservation and management measures]] [Alt 2. These Regulations are further complemented by Regional Environmental Management Plans]].\n\n5. The Annexes, Appendices and Schedule to these Regulations form an integral part of the Regulations and any reference to the Regulations includes the Annexes, Appendices and Schedule thereto.\n\n6. These Regulations are subject to the provisions of the Convention and the Agreement [and other rules of international law not incompatible with the Convention] . 7. These Regulations shall be applied in a uniform and non-discriminatory manner.\n\n8. Nothing in these Regulations shall affect the rights, jurisdiction and duties of States under the Convention.\n\nRegulation 2. Principles, approaches and policies\n\n1. These Regulations, and any decision-making thereunder, shall be applied in conformity with the principles governing the Area embodied in the Convention and the Agreement [as well as the Authority’s Strategic Environmental Goal and Objectives ].\n\n1. bis These Regulations shall also be applied in accordance with the policies relating to activities in the Area established in articles 150 and 151 of the Convention and in the Annex to the Agreement [and the policies adopted by the Assembly in accordance with article 160 of the Convention].\n\n2. Recognizing that the rights in the Resources of the Area are vested in humankind as a whole, on whose behalf the Authority shall act, Exploitation in the Area shall be carried out for peaceful purposes and for the benefit of humankind as a whole, taking into particular consideration the interests and needs of developing States, while ensuring the effective Protection of the Marine Environment from harmful effects which may arise from such activities in the Area consistent with article 145 of the Convention. [2. bis Exploitation in the Area and other activities in the Marine Environment shall be carried out with reasonable regard for each other in accordance with article 147 of the Convention.] [3. Exploitation in the Area shall only commence:\n\n(a) once all Phase 1 Standards and Guidelines, Phase 2 Standards and Guidelines and Phase 3 Standards and Guidelines have been adopted;\n\n(b) when it is demonstrable, in the view of the Commission and Council, that such Exploitation can be conducted in such a manner so as to ensure effective Protection of the Marine Environment from harmful effects which may arise from Exploitation in the Area, and the ecological balance of the Marine Environment is not interfered with; and\n\n(c) in instances where it would not impede the effective implementation of international frameworks and agreements related to the Protection of the Marine Environment. Decisions regarding exploitation activities will be made by taking into consideration progress on the implementation of such frameworks and agreements;]\n\n4. The following principles and approaches shall guide the application of these Regulations:\n\n(a) the principle of the common heritage of humankind ;\n\n(a) bis the principle of equity and the equitable sharing of benefits;\n\n(a) ter the principle of uniform and non-discriminatory application;\n\n(b) precautionary principle or precautionary approach as appropriate; [(c) Ecosystem Approach;]\n\n(c) bis an integrated approach to ocean management;\n\n(d) polluter pays principle;\n\n(e) open access to non-confidential data, and information;\n\n(f) transparency in decision-making, including effective Stakeholder involvement and public participation;\n\n(g) the use of the scientific methods taking into account the Best Available [Science and] Scientific Information, as defined by the Council; and\n\n(h) the use of relevant traditional knowledge of Indigenous Peoples and [of] local communities where available.\n\n5. Activities in the Area shall be carried out for the benefit of humankind as a whole, irrespective of the geographical location of States, whether coastal or land -locked, and taking into particular consideration the interests and needs of developing States. [5. bis The Authority shall provide for the equitable sharing of financial and other economic benefits derived from activities in the Area through any appropriate mechanism, on a non-discriminatory basis.] [5. ter The rules, regulations and procedures on equitable sharing of financial and other economic benefits derived from activities in the Area shall be adopted by the Assembly, upon the recommendation of the Council, before the commencement of Commercial Production.]\n\n6. Members of the Authority, Sponsoring States, [Applicants and] Contractors, [observers] and the Authority shall use best efforts to ensure that the Authority performs its functions. [7. Members of the Authority, Sponsoring States, [Applicants and] Contractors, [observers] and the Authority shall use best [Alt.1 endeavours in their actions to uphold public trust /in the regulatory integrity of the Authority] [Alt.2 efforts to ensure performance of functions by the Authority].] [8. Nothing in these Regulations shall be construed as diminishing or extinguishing the existing rights of Indigenous Peoples, including as set out in the United Nations Declaration on the Rights of Indigenous Peoples, or of, as appropriate, local communities.] [8. Alt. The recognition and protection of the rights of Indigenous Peoples, including as set out in the United Nations Declaration on the Rights of Indigenous Peoples, or of, as appropriate, local communities.]\n\nRegulation 3. Duty to cooperate and exchange of information In matters relating to these Regulations:\n\n(a) members of the Authority, the Enterprise, Applicants and Contractors shall cooperate with the Authority to facilitate the performance of its duties and responsibilities under the Convention, inter alia, [Alt. 1 by providing the Authority with such data and information as is necessary for the Authority to discharge its duties and responsibilities under the Convention] [Alt. 2 to provide to the Authority necessary data and information]; [(b) the Authority, and Sponsoring States, flag States, and port States shall cooperate towards the avoidance of unnecessary duplication of administrative procedures and compliance requirements;]\n\n(c) the Authority in cooperation with Sponsoring States shall develop effective and transparent communication, public information and public participation procedures and ensure their implementation; [(d) the Authority shall consult and, where relevant, cooperate with Sponsoring States, coastal States, port States, flag States, [relevant global, regional, subregional and sectoral bodies]/ [competent international organisations] to develop measures to implement these Regulations, including to:\n\n(i) ensure effective protection of human life and property at sea, and effective protection of the Marine Environment, with respect to activities in the Area;\n\n(ii) exchange information and data to facilitate compliance with and enforcement of rules, regulations, and procedures of the Authority; and\n\n(iii) facilitate access to sites and items to be inspected under these Regulations for the purposes of monitoring compliance and enforcement.]\n\n(e) contractors, the Enterprise, Sponsoring States and members of the Authority shall cooperate with the Authority in the establishment and implementation of programmes to observe, measure, evaluate and analyse the impacts and effects of Exploitation and related activities on the Marine Environment, including at the regional scale, to share the findings and results of such programmes with the Authority for wider dissemination and to extend such cooperation and collaboration to the implementation and further development of Best Environmental Practices in connection with activities in the Area;\n\n(f) members of the Authority, Sponsoring States, Contractors, and the Enterprise shall, in conjunction with the Authority, cooperate [in accordance with their respective capabilities and resources] with a view to:\n\n(i) sharing, exchanging and assessing data and information for the Area, including by use of data repositories and open-access databases;\n\n(ii) identifying gaps in scientific knowledge and developing targeted and focused research programmes to address such gaps;\n\n(iii) collaborating with the scientific community to identify and develop best practices and improve existing Standards and protocols with regard to the collection, sampling, standardization, assessment and management of data and information;\n\n(iv) undertaking educational awareness programmes for Stakeholders relating to activities in the Area;\n\n(v) promoting the advancement of marine scientific research in the Area for the benefit of humankind as a whole;\n\n(vi) developing mechanisms, including market-based instruments, to support transfer of technology [to developing states and the Enterprise] and capacity building of developing states, and to enhance the environmental performance of Contractors beyond the legal requirements including through technology development and innovation; [(vi Alt.) developing mechanisms, including incentive mechanisms and compliance measures, to support transfer of technology and capacity building of developing states and the Enterprise beyond the legal requirements; and (vi bis.) developing structured incentive mechanisms to enhance the environmental performance of Contractors beyond legal requirements, including through technology development, innovation and transparent compliance monitoring .]\n\n(g) in order to assist the Authority in carrying out its policy and duties under section 7 of the Annex to the Agreement, Contractors and members of the Authority shall enable access to non-confidential information, upon the request of the Economic Planning Commission, or other appropriate organs of the Authority to facilitate the Authority’s preparation of studies on the potential effects of Exploitation in the Area on the economies of developing land-based producers of those Minerals which are likely to be seriously affected. The content of any such studies shall be in accordance with specific terms of reference and applicable Standards, and shall take into account the Guidelines; and[(h) the Council shall, taking into account recommendations by the Commission, adopt Standards and Guidelines [concerning the duties mentioned in subparagraphs (c) to (g)] which establish requirements, obligations and procedural arrangements, including standardized data templates and methodology for data collection and analysis [within 3 years after the adoption of these Regulations or before any Commercial Production commences, whichever takes place first];]\n\nRegulation 4. Rights and legitimate interests of coastal States and duty to notify 1. Nothing in these Regulations shall affect the rights and legitimate interests of coastal States under the Convention, including but not limited to article 142. 2. Applicants, contractors, as well as the Enterprise, shall take all necessary measures to ensure that their activities and foreseen activities in the Area are conducted with due regard to the rights and legitimate interests of the [relevant] [potentially affected] coastal States under the Convention and in accordance with applicable regulations and Standards and taking into account the Guidelines. 3. Without prejudice to other necessary measures taken pursuant to paragraph 2, Applicants, contractors or the Enterprise shall engage with potentially affected coastal States, including by conducting consultations, at an early stage including prior to and after submitting an application and throughout the Exploitation Contract, in accordance with these Regulations and the applicable Standards, and taking into account the Guidelines. 4. The potentially affected coastal States referred to in paragraph 3 above shall [include] / [comprise]:\n\n(a) coastal States across whose jurisdiction the resource deposits related to the activity may lie;\n\n(b) [following the submission of a written notification to the [Applicant] [as well as the Enterprise] that it wishes to participate in the consultation process pursuant to regulation 93ter, the following:\n\n(i) coastal States, which may include those that are adjacent to any Contract Area, whose sovereign rights for the purpose of exploring and exploiting, conserving or managing Marine natural resources, in accordance with the Convention, may be affected by any activity by the Contractor in the Contract Area; and\n\n(ii) coastal States, which may include those that are adjacent to any Contract Area, whose exercise of jurisdiction with regard to the Protection and Preservation of the Marine Environment, in accordance with the Convention, may be affected by any activity by the Contractor in the Contract Area.] [(b)Alt. coastal States that are adjacent to any Contract Area which, following the submission of a written notification to the Contractor [and Enterprise] that it wishes to participate in the consultation process pursuant to regulation 93ter, [may include] / [comprising] those:\n\n(i) whose sovereign rights for the purpose of exploring and exploiting, conserving or managing Marine natural resources, in accordance with the Convention, may be affected by any activity by the Contractor in the Contract Area; and\n\n(ii) whose exercise of jurisdiction with regard to the protection and preservation of the Marine Environment, in accordance with the Convention, may be affected by any activity of the Contractor in the Contract Area.] [Regulation 4 bis Without prejudice These Regulations including any acts, measures, decisions or activities undertaken on the basis thereof, shall be without prejudice to, and shall not be relied upon as a basis for asserting or denying any claims to, sovereignty, sovereign rights or jurisdiction, including in respect of any disputes relating thereto.] Regulation 4ter Protection and Safeguarding of human remains and [objects and sites of an archaeological or historical nature] [Underwater Cultural Heritage] and cultural [rights or] interests\n\n1. [Alt. 1 Objects and sites of an archaeological or historical nature] [Alt. 2 Underwater Cultural Heritage] shall be protected and preserved for the benefit of humankind as a whole, in accordance with articles 149 and 303 of the Convention [and other rules of international law not incompatible with the Convention, including the 2001 UNESCO Convention on Underwater Cultural Heritage]. 2. Proper respect shall be given to all human remains [and venerated sites] in the Area.\n\nPart II. Applications for approval of Plans of Work in the form of contracts\n\nSection 1. Applications\n\nRegulation 5. Qualified Applicants\n\n1. Subject to the provisions of the Convention, the following may apply to the Authority for approval of Plans of Work:\n\n(a) the Enterprise, on its own behalf or in a joint arrangement; and\n\n(b) states Parties, state enterprises or natural or juridical persons which possess the nationality of States Parties or are effectively controlled by them or their nationals, when sponsored by such States, or any group of the foregoing which meets the requirements of the Convention and these Regulations. 2. Each application shall be submitted:\n\n(a) in the case of the Enterprise, by its Director-General;\n\n(b) in the case of a State, by the authority designated for that purpose by it; and\n\n(c) in the case of any other qualified Applicant, by a Designated Representative, or by the authority designated for that purpose by the Sponsoring State or States.\n\n3. Each application by an entity referred to in regulation 5, paragraph 1, subparagraph\n\n(b) shall also contain, together with the necessary documentation as supporting evidence: [(a)Alt. the information required by regulation 6, paragraph 3, subparagraph (c);] [(d) all information on the Applicant’s principals necessary to allow the Authority to determine their track record in accordance with regulation 77, paragraph 4 and as required under regulation 83 bis; (d)Alt. all information on the Applicant necessary to allow the Authority to determine their track record regarding fulfilment of payment obligations to the Authority in accordance with regulation 77, paragraph 4;]\n\n(e) all information necessary to demonstrate that the Applicant has the necessary financial, technical and operational capability to carry out the proposed Plan of Work in accordance with these Regulations, applicable Standards and [taking into consideration] Good Industry Practice using appropriately qualified personnel;\n\n(f) [Alt. 1 all information necessary to demonstrate the technical capability in environmental management pursuant to regulation 13, paragraph 3, subparagraph (c) and Section III of Annex I to be able to comply with the requirements of these Regulations and applicable Standards] [Alt. 2 Information on the Environmental Management System].\n\n4. Each application submitted by a partnership or consortium of entities shall contain the information required by these Regulations in respect of each member of the partnership or consortium.\n\n5. In the case of a consortium or any group, the consortium or group shall specify in its application a lead member of the consortium or group. [6. Sponsoring State shall take all legislative and administrative measures to assure that Contractors have all material, operative, and financial means to comply with the Exploitation Contract and these Regulations and that no corporate limitation shall present Contractors, holding and Ultimate Parent Companies to compensate damages and make the payment required by the Contractors under the Exploitation Contract and these Regulations.] [6. Alt. The Authority shall not accept the application unless satisfied that the Sponsoring State has adopted laws and regulations and taken administrative measures which are, within the framework of its legal system, reasonably appropriate for securing compliance by the Contractor with the terms of a Contract and obligations under the Convention.]\n\n6. bis The Authority shall not accept the application if the Sponsoring State or States has not enacted legislation pertaining to activities in the Area that complies with the requirements referred to in regulation 105.\n\nRegulation 6. Certificate of sponsorship\n\n1. Each application by a state enterprise or natural or juridical person shall be accompanied by a certificate of sponsorship issued by the State Party of which it is a national / [ and if applicable, by the State Party by which it is effectively controlled or ] by whose nationals it is effectively controlled. If the Applicant has more than one nationality, as in the case of a partnership or consortium of entities from more than one State Party, each State Party shall issue a certificate of sponsorship.\n\n2. Where an Applicant has the nationality of one State Party but is effectively controlled by another State Party or its nationals, [the Applicant shall obtain] a certificate of sponsorship [from both States Parties].\n\n3. Each certificate of sponsorship shall be duly signed on behalf of the State Party by which it is submitted, and shall contain:\n\n(a) the name, address and contact details of the Applicant;\n\n(b) the name of the Sponsoring State or States;\n\n(c) a statement accompanied by supporting evidence set out in the relevant Standard regarding Effective Control that the Applicant is: [(i) a national of the Sponsoring State; or, if applicable,\n\n(ii) subject to the Effective Control of the Sponsoring State or its nationals.] [(i)Alt. if submitted by the State of nationality, a national of that Sponsoring State, and if applicable subject to its Effective Control; or, if applicable (ii)Alt. if submitted by another State Party, subject to its Effective Control or that of its nationals.]\n\n(d) a statement by the Sponsoring State that it sponsors the Applicant [together with a description of the necessary and appropriate measures taken by the State to secure effective compliance pursuant to article 139, paragraph 2 of the Convention, and to ensure legal recourse for compensation in accordance with article 235, paragraph 2 of the Convention]; [(d)Alt. a description of the laws and regulations and administrative measures taken within the framework of its legal system for securing compliance by a Contractor with the terms of a Contract and obligations under the Convention; ]\n\n(e) the date of deposit by the Sponsoring State of its instrument of ratification of, or accession or succession to, the Convention, and the date on which it consented to be bound by the Agreement; and\n\n(f) a declaration that the Sponsoring State assumes responsibility in accordance with articles 139 and 153, paragraph 4 of the Convention and article 4, paragraph 4 of\n\nAnnex III to the Convention.\n\n4. [State enterprises or natural or juridical persons which possess the nationality of States Parties or are effectively controlled by them or their nationals ] in a joint arrangement with the Enterprise shall also comply with this regulation.\n\nRegulation 7. Form of applications and information to accompany a Plan of Work 1. Each application for approval of a Plan of Work shall be:\n\n(a) in the form prescribed in Annex I to these Regulations;\n\n(b) addressed to the Secretary-General; and\n\n(c) prepared in accordance with these Regulations and the applicable Standards [Alt. 1 as well as the respective Regional Environmental Management Plans] and taking into account the Guidelines [Alt. 2 as well as the respective Regional Environmental Management Plans].\n\n2. Each Applicant, including the Enterprise, shall, as part of its application, provide a written undertaking to the Authority that it will:\n\n(a) accept as enforceable and comply with the applicable obligations created by the provisions of Part XI of the Convention, the Agreement, the rules, regulations and procedures of the Authority, including the applicable Standards, the decisions of the organs of the Authority and the terms of its Exploitation Contract;\n\n(b) accept control by the Authority of activities in the Area as authorized by the Convention;\n\n(c) provide the Authority with a written assurance that its obligations under its Exploitation Contract will be fulfilled in good faith.; and [(d) comply with the national laws, regulations and administrative measures of the Sponsoring State or States made pursuant to articles 139 and 153 , paragraph 4 of the Convention and article 4, paragraph 4 of Annex III to the Convention.] [(e) comply with the undertakings on transfer of technology provided for by the Convention and the Agreement.]\n\n3. An application shall contain sufficient information to demonstrate that the Applicant has access to the necessary financial and technical capability and resources to carry out the proposed Plan of Work, and shall be accompanied by the following:\n\n(a) the data and information to be provided pursuant to section 11.2 of the standard clauses for Exploration Contracts, as Annexed to the relevant Exploration Regulations;\n\n(b) a Mining Work Plan prepared in accordance with Annex II to these Regulations;\n\n(c) a Financing Plan prepared in accordance with Annex III to these Regulations;\n\n(d) an Environmental Impact Statement prepared in accordance with regulation 48 and in the format prescribed in Annex IV to these Regulations; [(d) bis a Test Mining Report with all information obtained from testing mining activities conducted during Exploration;]\n\n(e) a Health and Safety Plan and a Maritime Security Plan prepared in accordance with regulation 30 and Annex VI to these Regulations;\n\n(f) an Emergency Response and Contingency Plan prepared in accordance with regulation 32 and Annex V to these Regulations;\n\n(g) a Training Plan in fulfilment of article 15 of Annex III to the Convention, prepared in accordance with [the applicable Standard];\n\n(h) an Environmental Management and Monitoring Plan prepared in accordance with regulation 50 and Annex VII to these Regulations, including information regarding the Environmental Management System that the Contractor will implement in accordance with regulation 50 ter and the applicable Standards, taking into account the Guidelines;\n\n(i) a Closure Plan prepared in accordance with regulation 59 and Annex VIII to these Regulations;\n\n(j) an application processing fee [as decided by the Council];\n\n(k) a copy of the Contractor’s code of Conduct or other rules applicable to all staff involved in the execution of a proposed Plan of Work, including policies pertaining to personnel safety, environmental compliance, inclusivity, gender equality and diversity, and sustainability; and\n\n(l) a copy of documents to evidence the Applicant’s Environmental Performance Guarantee, in accordance with regulation 26.\n\n4. Where the proposed Plan of Work proposes two or more non-contiguous Mining Areas, the Commission shall require separate documents under paragraph 3(b), (d), (h),\n\n(i) and (l) for each Mining Area, unless the Applicant demonstrates [to the satisfaction of the Commission] that a single set of documents is appropriate, taking into account the Guidelines. A decision can be taken by the Council in relation to one Mining Area at a time, with subsequent decisions for further Mining Areas being deferred to a later time upon the submission of further documentation.\n\n5. Where a single set of documents is submitted by the Applicant proposing a Plan of Work for two or more non-contiguous Mining Areas and the Commission considers it is not appropriate, the Commission shall return the application and request separate documents under paragraphs 3(b), (d), (h), (i) and (l) for each Mining Area.\n\nRegulation 8. Area covered by an application\n\n1. Each application for approval of a Plan of Work shall define the boundaries of the area under application, by a list of geographical coordinates in accordance with Annex I to these Regulations.\n\n2. The area under application need not be contiguous and shall be defined in the application in the form of blocks comprising one or more cells of a grid, as provided by the Authority.\n\n3. The area under application shall be an area previously subject to an Exploration Contract for which [sufficient] environmental baseline [Alt. 1 studies are carried out] [Alt. 2 data gathered in accordance with the relevant Standards is [publicly] available].\n\n4. The area under application must be covered by a Regional Environmental Management Plan pursuant to regulation 44bis [, where applicable]. [5. In the application, the Applicant shall provide an overview of other potential legitimate activities in the Marine Environment covered by the application, and a statement confirming whether the area under application or any part of it has received attention under any other [Alt. 1 international organisation or treaty regime] [Alt. 2 relevant legal instruments and framework and relevant global regional, subregional and sectorial body].] [5. Alt. For any part of the area under application, to the extent practicable after reasonable investigations, the Applicant shall in the application provide an overview of other potential activities in the Marine Environment covered by the application, and indicate whether the area or any part of it is designated or managed or under consideration under any other relevant legal instruments and frameworks and relevant global, regional or sub-regional organizations. [The Applicant shall also indicate that it is aware of its obligation of reasonable regard to other activities in the Area in accordance with article 147].]\n\n6. Where an application concerns a Reserved Area, the Enterprise shall be given an opportunity to decide whether it intends to carry out activities in the area in accordance with article 9 of Annex III to the Convention and Section 2 of the Annex to the Agreement.\n\nSection 2. Processing and review of applications\n\nRegulation 9. Receipt, acknowledgement and safe custody of applications The Secretary-General shall:\n\n(a) acknowledge in writing, within 7 Days, receipt of every application for approval of a Plan of Work submitted under this Part, specifying the date of receipt;\n\n(b) place the application, together with the attachments and annexes thereto, in safe custody and ensure the confidentiality of all Confidential Information contained in the application; and\n\n(c) [Alt. 1 within 30 Days of receipt of an application for approval of a Plan of Work submitted under this Part] [Alt. 2 Conduct the notification and consultation requirements related to applications for approval of a Plan of Work in accordance with regulations 11 and 93ter and]:\n\n(i) notify the members of the Authority of the receipt of such application ; and;\n\n(ii) notify the members of the Commission and the Finance Committee of receipt of such application.\n\nRegulation 10. Preliminary review of application by the Secretary-General 1. The Secretary-General shall preliminarily review an application for approval of a Plan of Work and determine whether the application contains all [the documents regarding] the information required by regulations 5 to 8 for further processing. 2. Where the Secretary-General determines that an application does not contain all the [documents regarding the] information required by regulations 5 to 8, the SecretaryGeneral shall, within 45 Days of receipt of the application, notify the Applicant, specifying the information which the Applicant must submit in order to complete the application. Further processing of an application will not begin until the Secretary General determines that the application is complete, which includes all required information having been submitted by the Applicant, including payment of the administrative fee specified in regulation 86. [2. bis Where the Secretary-General considers that an application contains [the documents regarding] the information required by regulations 5 to 8, it shall circulate to members of the Authority non-confidential information of a general nature regarding the application, and information enabling them to access a non -confidential version of the application.]\n\n3. In case an application is lodged for the same area for which an operator has preference and priority in accordance with article 10 of Annex III first sentence, the Secretary-General shall, after having made the determinations under para graphs 1 and 2 of this regulation, forward the application to the Commission. The Commission shall make a recommendation as to whether the operator’s performance has not been satisfactory in accordance with article 10 of Annex III [and section 1, paragraph 13 of the Annex to the Agreement] based on which the Council shall decide whether the operator’s preference and priority shall be withdrawn in accordance with article 10 of\n\nAnnex III second sentence.\n\nRegulation 11. Publication, notification, and review of the Application 1. The Secretary-General shall, within 7 Days after determining that an application for the approval of a Plan of Work is ready to progress pursuant to regulation 10, [taking into account the confidentiality of the data, place the Environmental Plans and all non confidential parts of Test Mining Report, if applicable submitted, including any supporting material on the Authority’s website for a period of consideration of an application by the Authority, and]consult with all States and Stakeholders in accordance with regulation 93ter on the application[, Environmental Plans and the non-confidential parts of all other documents accompanying the application pursuant to regulation 7]. 2. The Applicant shall consider the comments provided pursuant to paragraph 1 when fulfilling the requirement at regulation 93ter, paragraph 9. The Applicant shall submit any revised documentation and the written response to consultation as required by regulation 93ter, paragraph 9 to the Secretary-General [Alt. 1 within a period of 60 Days following the close of the comment period or such longer period as determined by the Secretary-General following a request by the Applicant. The Secretary-General may extend this time period [for a further 30 Days], upon a reasonable request by the Applicant to revise the plans or responses. Notice of the extension of the period shall be posted on the Authority’s website] [Alt. 2 in a timely manner].\n\n2. bis The Secretary-General shall provide the [application,] Environmental Plans, and the non-confidential parts of the [all other accompanying documents], if applicable, and comments submitted pursuant to paragraph 1, together with any responses by the Applicant provided pursuant to paragraph 2, and any other relevant additional information to the Commission and request the Commission to provide its comments on the[m], if applicable, [in a timely manner].\n\n3. The Commission shall, as part of its examination of an application under regulation 12 and assessment of Applicants under regulation 13, examine the [application,] Environmental Plans and [all other accompanying documents], if applicable, [and] the comments submitted under paragraph 1, taking into account the consultation submissions received under regulation 93ter, the Applicant’s written response prepared under regulation 93ter, paragraph 9, together with any revisions and responses provided by the Applicant under paragraph 2, and any additional information provided by the Secretary-General under paragraph 2bis, and shall provide its comments to the Secretary-General.\n\n3. bis The Secretary-General shall, within 7 Days after receiving comments from the Commission, provide such comments to the Applicant and publish them on the Website of the Authority.\n\n3. ter The Applicant shall consider the comments provided pursuant to paragraph 3 and shall[, where required by the Commission,] revise the [application,] Environmental Plans [and all other accompanying documents] or provide responses in reply to the substantive comments, and shall submit any revisions or responses to the SecretaryGeneral [Alt. 1 within a period of 60 Days after receipt of comments from the SecretaryGeneral. The Secretary-General may extend this time period [for a further 30 Days], upon a reasonable request by the Applicant to revise the plans or responses. Notice of the extension of the period shall be posted on the Authority’s website ] [Alt. 2 in a timely manner]. 4. The Commission shall prepare a report on the [application,] Environmental Plans and [all other accompanying documents], if applicable, which shall be published on the Authority’s website, and shall be included as part of the reports and recommendations to the Council pursuant to regulation 15. The report shall include: [(a) details of the Commission’s determination under regulation 13, paragraph 4;]\n\n(b) details of the comments and responses submitted under paragraphs 1 and 2 bis;\n\n(b) bis details of the consultation submissions comments and responses received under regulation 93ter, paragraph 8, the Applicant’s written response prepared under regulation 93ter, paragraph 9,\n\n(c) any further information provided by the Secretary-General under paragraph 2;\n\n(d) any amendments or modifications to the [application,] Environmental Plans [and all other accompanying documents as] recommended by the Commission under regulation 14 and changes subsequently made to application documents by the Applicant; and\n\n(e) the relevant rationale for the Commission’s determination, with specific explanation as to any comments or responses that are disregarded. 5. The report of the Commission on the [application,] Environmental Plans [and all other accompanying documents] or revised plans shall be published on the Authority’s website in accordance with regulation 92 and shall be included as part of the reports and recommendations to the Council pursuant to regulation 15.\n\nSection 3. Consideration of applications by the Commission\n\nRegulation 12. Rules for considering applications 1. Subject to regulation 10 concerning preference and priority among Applicants, the Commission shall examine applications in the order in which they are received by the Secretary-General and shall assess applications in accordance with this regulation and against the criteria contained in regulation 13, in order to make a report and [submit appropriate] recommendations to the Council whether the Plan of Work under application should be approved, or disapproved, pursuant to regulation 15. [1. bis Subject to paragraph 1 ter., the Commission shall commence the consideration of an application at its next meeting after its receipt of the application provided that the notifications and information pursuant to regulation 11, paragraph 2 bis have been circulated at least 90 Days prior to the commencement of that meeting of the Commission. The Commission may extend consideration of the application to its next meeting if necessary.] [1. bis. Alt. The Commission shall commence its consideration of an application within 30 Days of its receipt of the application, including via virtual and intersessional meetings in addition to its regular meetings, if necessary.]\n\n1. ter The Commission shall not consider an application for approval of a Plan of Work until the application [, Environmental Plans and all other accompanying documents have] / [has] been published and if necessary, revised in accordance with this regulation. [2. The Commission shall [consider application expeditiously and] submit its reports and recommendations to the Council no later than [120] / [180] Days from whichever date occurs later out of:\n\n(a) the close of the date of the completion of the review of the [application,] Environmental Plans [and all other accompanying documents], under regulation 11; or\n\n(b) the date of submission of the amendments to the proposed Plan of Work under regulation 14.]. [2. Alt. The Commission shall consider applications expeditiously and shall submit its reports and recommendations to the Council at the next meeting of the Council. ] [2. bis The Commission may delay its reports and recommendations under regulation 12, paragraph 2 by a further 90 Days, if additional information or consultations with experts are necessary.] 3. The Commission shall, in considering a proposed Plan of Work, apply the Convention, the Agreement, and the rules, regulations and procedures of the Authority [and assess if the Plan of Work is consistent with the applicable Regional Environmental Management Plan. The Commission shall do so] in a uniform and non-discriminatory manner. [3. bis. Alt. In the event the Commission evaluates that there are aspects of the proposed Plan of Work that are not covered entirely by its internal expertise, the Commission may consult with competent independent experts selected taking into account the Guidelines.] 4. In considering the proposed Plan of Work, the Commission shall take into account:\n\n(a) relevant reports from the Secretary-General;\n\n(a) bis any consultation submissions received under regulation 93ter; [(a) ter any advice or reports received from any competent organ of the United Nations or of its specialized agencies or any international organizations with competence in the subject matter;]\n\n(a) quat any information supplied by the Sponsoring State or States. [(b) any concern raised by a [relevant]/ [potentially affected] Coastal State with respect to the application];\n\n(b) bis any advice or reports in respect of the Environmental Plans sought by the Commission from recognized experts in the field of the protection of the Marine Environment listed by the Council; [(b) ter. reports from the Finance Committee upon matters within its competence, including:\n\n(i) assessment of the economic benefits to be derived from the activities proposed in the application;\n\n(ii) advice as to securing optimum revenue for the Authority;\n\n(iii) the administrative budget required to manage a contract if awarded, and the proposed annual reporting fee to be levied pursuant to regulation 84;\n\n(iv) any recommendation regarding the amount or format of the Environmental Performance Guarantee; and\n\n(v) advice as to whether the Applicant would be subsidized so as to be given an artificial competitive advantage with respect to land-based miners.]\n\n(c) any previous operating record of the Applicant, including in relation to Exploitation activities within other jurisdictions, as well as the Applicant’s performance during the Exploration stage, including the quality of annual reports and baseline data, and the Test Mining Report. [5. During its consideration of the Plan of Work the Commission may request the Applicant to provide additional information for the purpose of clarifying any aspect of the Plan of Work. Where the Commission makes such a request it shall specify the timeline within which the Applicant may provide the information, taking into account the complexity of the requested information. Where the Applicant does not provide the information as requested, the Commission shall proceed with a review of the Plan of Work and make a decision based on what the Applicant has already submitted.]\n\nRegulation 13. Assessment of Applicants and application\n\n1. In assessing both the Applicant and the application, the Commission shall take into account all information pursuant to regulation 12, paragraph 4 and all applicable Standards and Guidelines when making its determinations under this regulation.\n\n2. The Commission shall determine whether the Applicant meets the following criteria:\n\n(a) the Applicant is a qualified Applicant pursuant to regulation 5;\n\n(b) the Applicant has given the undertakings and assurances specified in regulation 7, paragraph 2;\n\n(c) the Applicant [and, if applicable its [principals]] have satisfactorily discharged their obligations to the Authority, including having a satisfactory track record of past [compliance and environmental] performance [both within the Area and in national jurisdictions];\n\n(e) the Applicant has the financial and technical capabilities and capacity to carry out the Plan of Work, meet environmental performance obligations and to meet all obligations under an Exploitation Contract, pursuant to the applicable Standard, in accordance with paragraphs 3 and 4 of this regulation; and\n\n(f) the Applicant is [sponsored by its State Party of nationality and, where applicable, the State Party by which or by whose nationals it is effectively controlled ].\n\n3. In considering the financial capability of an Applicant, the Commission shall determine, in accordance with these Regulations, Standards and taking into account the Guidelines, whether:\n\n(a) the Financing Plan is compatible with proposed Exploitation activities;\n\n(b) the Applicant is [or will be] capable of committing sufficient financial resources to cover the estimated costs of the proposed Exploitation activities as set out in the proposed Plan of Work, and all other associated costs of complying with the terms of any Exploitation Contract, including:\n\n(i) the payment of any applicable fees and other financial payments and charges in accordance with these Regulations;\n\n(ii) the estimated costs of implementing the Environmental Management and Monitoring Plan and the Closure Plan; and\n\n(iii) sufficient financial resources for the prompt execution and implementation of the Emergency Response and Contingency Plan, and effective response to an Incident.\n\n(c) the Applicant demonstrates that it will purchase insurance products that are appropriate to the financing of exposure to risk in accordance with regulation 36, and applicable Standards, taking into account the Guidelines; and\n\n(d) the Applicant has proposed an Environmental Performance Guarantee whose amount and form is assessed by the Commission to be adequate, and in conformity with the requirements of regulation 26 and the applicable Standard and taking into consideration relevant Finance Committee report or the Guidelines.\n\n4. In considering the technical capability of an Applicant, the Commission shall determine, in accordance with Standards and taking into account the Guidelines, whether the Applicant has [sufficiently demonstrated that] it has [or will have]:\n\n(b) the necessary technical and operational capability to carry out the proposed Plan of Work taking into account Good Industry Practice and Best Environmental Practices using appropriately qualified and adequately supervised personnel;\n\n(c) the technology, data, information, and procedures necessary to comply with the terms of the Environmental Management and Monitoring Plan and the Closure Plan, [taking into account] the applicable Regional Environmental Management Plan, including the technical capability to identify and monitor key environmental parameters and ecosystem components so as to detect any adverse effects, and to modify management and operating procedures as required to [ensure the effective Protection of the Marine Environment];\n\n(d) established the necessary risk assessment and risk management systems to effectively implement the proposed Plan of Work in accordance with these Regulations and taking into account Good Industry Practice, Best Available Techniques, Best Available Scientific Information, and Best Environmental Practices,, including the technology and procedures to meet health, safety and environmental requirements for the activities proposed in the Plan of Work;\n\n(e) the capability to respond effectively and promptly to Incidents, in accordance with the Emergency Response and Contingency Plan [including sufficient technical capability to respond to unforeseen circumstances.];\n\n(f) the capability and capacity to utilize and apply Best Available Techniques;\n\n(g) a safety management system that meets the requirements of regulation 30 bis; and\n\n(h) an Environmental Management System that meets the requirements of regulation 50 bis.\n\n5. In considering whether [a State Party or a national of a State Party effectively controls an Applicant, the Commission shall apply the relevant Standard regarding Effective Control.]\n\n6. The Commission shall determine whether the application meets the following criteria:\n\n(a) the application is accompanied by a certificate of sponsorship;\n\n(b) the application is in conformity with these Regulations, [Alt. 1 and takes into account] the applicable Standards, the relevant Regional Environmental Management Plan and [Alt. 2 takes into account] the Guidelines;\n\n(c) the application provides for benefits for humankind, reasonable regard for other activities, effective Protection of the Marine Environment, and Protection of [Underwater Cultural Heritage], in accordance with paragraphs 7 to 10 of this regulation; and\n\n(d) whether the Plan of Work provides for the effective protection of human life, and health and safety of individuals engaged in Exploitation, in accordance with the rules, regulations and procedures adopted by the Authority.\n\n7. In considering whether an application provides for benefits for humankind as a whole, the Commission shall determine:\n\n(a) whether the Plan of Work will provide [optimum revenue] to the Authority, and taking into account negative externalities caused by any damage to the Marine Environment, will benefit humankind as a whole; and\n\n(b) whether the Plan of Work is consistent with the approaches, principles and policies contained in regulation 2. [8. In considering whether an application provides for reasonable regard for other activities in the Marine Environment, the Commission shall determine:\n\n(a) whether the Plan of Work provides for Exploitation to be carried out in line with regulation 31 and articles 87 and 147 of the Convention, and in accordance with the applicable Standards and taking into account the Guidelines;\n\n(b) whether the Plan of Work has demonstrated due diligence in relation to the accommodation of other activities in the Marine Environment, including to:\n\n(i) identify in-service and (to the extent information is available to the Applicant) planned submarine cables and pipelines in, or adjacent to, the area under application using publicly [and commercially] available data and resources taking into account the Guidelines;\n\n(ii) identify sea lanes in, or adjacent to, the area under application that are essential to international navigation;\n\n(iii) identify areas of intense fishing activity as may be defined in Standards or Guidelines in, above, or adjacent to, the area under application;\n\n(iv) identify any other activities in or adjacent to the Contract Area in accordance with regulation 31, including marine scientific research activities and environmental Protection measures and area-based management tools established or proposed by competent international organizations; and\n\n(v) where other marine users are identified in relation to the area under application whether listed in the Regional Environmental Management Plan or identified by some other means, consult with those users to agree measures the Contractor will take to give reasonable regard to their activities pursuant to regulation 31.]\n\n9. In considering whether an application provides for effective Protection of the Marine Environment, the Commission shall determine:\n\n(a) whether the Plan of Work demonstrates that it will meet [article 145 of the Convention,] the [Authority’s Strategic Environmental Goal and Objectives under regulation 44ter], the regional environmental objectives and measures under the relevant Regional Environmental Management Plan, and the environmental thresholds in the applicable Standards, taking into consideration the cumulative effects of all Exploitation Activities [and climate change];\n\n(b) whether the Plan of Work, complies with the principles set out in regulation 44, paragraph 1;\n\n(c) whether the Plan of Work demonstrates that:\n\n(i) it is based on adequate and sufficient environmental baseline data, in accordance with applicable Standards and taking into account the Guidelines;\n\n(ii) it complies with the Standards developed pursuant to regulation 45;\n\n(iii) the Plan of Work gives full effect to the precautionary principle or approach as appropriate;\n\n(iv) it will not cause Environmental Impacts and Effects outside of the relevant Contract Area and will not cause Environmental Impacts to any area designated by the Authority as a protected area in terms that prohibit such Impacts and Effects [, and will not transfer harmful [Environmental Impacts and Effects] to the areas within national jurisdiction];\n\n(v) it includes Preservation Reference Zones and Impact Reference Zones in accordance with the criteria contained in Annex X bis;\n\n(vi) performance of the Plan of Work can be effectively monitored and controlled by the Authority, to [prevent] Environmental Effects, and ensure compliance with the rules, regulations and procedures of the Authority;\n\n(vii) it identifies and manages appropriately the gaps and uncertainties in the data or information available at the time of application; and\n\n(viii) it meets relevant international rules with regards to any deliberate disposal from vessels, platforms or other man-made structures at sea.\n\n(d) whether the Plan of Work ensures effective Protection of the Marine Environment, in accordance with all applicable environmental requirements in the Convention, Agreement, and the rules, regulations and procedures of the Authority, taking into account:\n\n(i) any Environmental Impacts and Environmental Effects [, individually and cumulatively,] of allowing the Exploitation activity;\n\n(ii) all proposed Mitigation and risk management measures; [(iii) an evaluation of harmful effects individually, in combination, as well as cumulatively, including effects from other activities in the area under application; ]\n\n(iv) the effects on human health that may arise from Environmental Effects;\n\n(v) the importance of protecting the biological diversity and integrity of marine species, ecosystems and processes;\n\n(vi) the importance of protecting rare and vulnerable ecosystems and the habitats of threatened species;\n\n(vii) traditional knowledge or cultural interests relevant to the Protection of the Marine Environment, where available;\n\n(viii) [Best Available Scientific Information];\n\n(ix) the assessment framework for Mining Discharges as set out in the Standards; and\n\n(x) any relevant Guidelines developed in accordance with regulation [ 45]. [(e) whether the Test Mining Report is in accordance with the applicable requirements and demonstrates that the Test Mining activities:\n\n(i) support the information provided in the present application for the approval of a Plan of Work for Exploitation;\n\n(ii) did not cause harmful effects on the Marine Environment; and\n\n(iii) were conducted under appropriate technical, spatial and temporal conditions, in accordance with any applicable Recommendation from the Commission;]\n\n10. In determining whether an application provides for the protection of [Underwater Cultural Heritage], the Commission shall [determine whether the application]:\n\n(a) adequately identifies such [Underwater Cultural Heritage]; and\n\n(b) demonstrates that the Plan of Work will not interfere with any [Underwater Cultural Heritage].\n\nRegulation 14. Amendments to the proposed Plan of Work\n\n1. At any [reasonable] time prior to making its recommendation to the Council and as part of its consideration of an application under regulation 12, the Commission may:\n\n(a) request the Applicant to provide additional information on any aspect of the application prior to making a recommendation; and\n\n(b) request the Applicant to amend its Plan of Work or propose specific amendments for consideration by the Applicant where such amendments are considered necessary to bring the Plan of Work into conformity with the requirements of these Regulations. [1. bis The Commission shall make a request pursuant to paragraph 1 , subparagraph (b) where amendments to the proposed Plan of Work are necessary to ensure that the applicable Regional Environmental Management Plan is appropriately reflected and incorporated in the Plan of Work.]\n\n2. Where the Commission makes a request under paragraph 1 [and 1.bis], the Commission shall provide to the Applicant a brief justification and rationale for such a request. The Applicant must respond within 90 Days after the receipt of the request, by agreeing to the request, rejecting the request, or making an alternative proposal for the Commission’s consideration.\n\n3. The timeframe referred to in regulation 12, paragraph 2 shall be extended by the timeframe determined by the Commission pursuant to paragraph 1. [4. The Secretary-General shall publish any amendment, additional information or revised application received pursuant to paragraph 2 on the Authority’s website, and [Alt. 1 the Commission shall determine whether these are significant, in which case an opportunity for public consultation shall be provided in accordance with regulation 11] [Alt. 2 at the request of the Commission, shall provide an opportunity for public consultation in accordance with regulation 11].] [5. The Commission shall take into account the Applicant’s response under paragraph 1 and any responses received from public consultation under paragraph 4 into account in making its recommendations to the Council.]\n\nRegulation 15. Commission’s recommendation for the approval or disapproval of a Plan of Work\n\n1. If the Commission determines that the application and the Applicant meet the criteria set out in regulation 13, it shall recommend approval of the Plan of Work to the Council. [1. Alt. The Commission shall recommend approval of a proposed Plan of Work if the Plan of Work [fully] complies with all requirements stipulated in regulation 13, and [Alt. 1 the Commission has sufficient information to determine that all requirements in regulation 13 have been met] [Alt. 2 and that there is sufficient, verifiable supporting information to confirm compliance with those requirements].]\n\n1. bis The Commission shall provide with any recommendation for approval made under paragraph 1: (a) a report in accordance with regulation 11, paragraph 5; (b) a summary of the deliberations of the Commission including what considerations have been taken into account and how these have been assessed, as well as divergences of opinion in the Commission, if any;\n\n(c) bis a summary of any uncertainties inherent in the Plan of Work and how the Applicant has proposed to address these;\n\n(d) any conditions the Commission considers appropriate to deal with adverse effects of the proposed activities; [(e) a summary of the request and its implementation referred to in regulation 14, paragraph 1 and 1.bis, if applicable; and] [(f) the list of States and Stakeholders that participated in the consultation, and the summary of comments received as well as the way these comments were addressed by the Contractor.] 2. The Commission shall not recommend approval of a proposed Plan of Work if:\n\n(a) the Plan of Work does not comply [, or the Commission is unable to determine whether the Plan of Work complies with, either alone or in combination with other activities and impacts] with all requirements stipulated in regulation 13 [and regulation 12, paragraph 3];\n\n(b) part or all of the area covered by the proposed Plan of Work is included in:\n\n(i) a Plan of Work for Exploration approved by the Council for the same Resource category for a different qualified Applicant and for which the Council has decided to maintain the operator’s preference and priority in accordance with article 10 of Annex III;\n\n(ii) a Plan of Work approved by the Council for Exploration or Exploitation of other Resources if the proposed Plan of Work would be likely to cause undue interference with activities under such approved Plan of Work for other Resources;\n\n(iii) an area disapproved for Exploitation by the Council pursuant to article 162, paragraph 2, subparagraph (x) of the Convention; or\n\n(iv) an Area of Particular Environmental Interest or any other protected site disapproved for exploitation by the Council [or in respect of which the Council has set a spatial or temporal protective measure as indicated in the applicable Regional Environmental Management Plan]; [(vii bis) any other area identified [by the Council] [by the Authority] for preservation for reasons of special biological, scientific, archaeological, historic, cultural, aesthetic or wilderness significance; and] [(vii bis alt) any other area containing an object or site of an archaeological or historical nature.]\n\n(v) a Reserved Area or an area designated by the Council to be a Reserved Area, except in the case of eligible applications under these Regulations made in respect of a Reserved Area;\n\n(vi) an area that has not been subject to prior Exploration activities; [(vii) an area not covered by a Regional Environmental Management Plan ; and] [(viii) an area lacking a representative protection in the Regional Environmental Management Plan.] [(c) such approval would undermine or contradict the Authority's Strategic Environmental Goals or Objectives pursuant to regulation 44 ter or the regional goals, objectives or measures set out in the relevant Regional environmental management plan;] [(d) there is inadequate environmental baseline information for the area covered by the proposed Plan of Work; and]\n\n(e) if, [in spite of the warnings by the Authority] the Applicant, or its predecessor in law [has previously conducted his activities in such a way as to result in serious, persistent and wilful violations of the fundamental terms of [the] / [another] Contract,\n\nPart XI and the rules, regulations and procedures of the Authority ].\n\n3. The Commission shall not recommend the approval of a proposed Plan of Work if it determines that:\n\n(a) such approval would permit a State party or entities sponsored by it to Monopolize the conduct of activities in the Area with regard to the Resource category in the proposed Plan of Work in accordance with applicable Standards, taking into account the Guidelines [or significantly control the production of a single Mineral or Metal produced globally]; or\n\n(b) the total area allocated to a Contractor under any approved Plan of Work would exceed:\n\n(i) 75,000 square kilometres in the case of polymetallic nodules;\n\n(ii) 2,500 square kilometres in the case of polymetallic sulphides; or\n\n(iii) 1,000 square kilometres in the case of cobalt-rich ferromanganese crusts.\n\n4. If the Commission determines that it will not recommend approval of the Plan of Work pursuant to paragraphs 1-3 it shall inform the Applicant in writing, providing the reasons for this determination, and shall provide the Applicant with a further opportunity to make representations within 90 Days of the date of notification to the Applicant. During this period the Commission shall not make a recommendation to the Council on the application.\n\n5. At its next available meeting, the Commission shall consider any such representations made by the Applicant when preparing its reports and recommendations to the Council, provided that the representations have been circulated at least 30 Days in advance of that meeting. [5. Alt. The Commission shall consider any such representations made by the Applicants when preparing its reports and recommendations to the Council, which it shall do within 30 days of its receipt of such representations, including through intersessional or virtual meetings if necessary.]\n\nSection 4. Consideration of an application by the Council\n\nRegulation 16. Consideration and approval of Plans of Work [1. The Council shall [commence at its next meeting considerations of] the reports, recommendations [and the terms and conditions of provided by] the Commission, [Alt. 1 relating to approval of Plans of Work in accordance with paragraph 11 of Section 3 of the Annex to the Agreement, after due consideration, and within 60 Days unless the Council decides to provide for a longer period, the Council shall approve or disapprove the Plan of Work] [Alt. 2 and shall take decisions on approval or disapproval of the Plan of Work in accordance with paragraph 11 of Section 3 of the Annex to the Agreement ].] [1. Alt. The Council shall take decisions on approval or disapproval of the Plan of Work in accordance with paragraph 11 of Section 3 of the Annex to the Agreement.]\n\n2. The Council shall disapprove a Plan of Work if any requirement of regulation 13 is not fulfilled. [3. The Council shall, when approving a Plan of Work, request the Secretary -General to ensure that the contract to be concluded incorporates all conditions outlined in the draft Plan of Work and the accompanying plans, as well as any additional conditions requested by the Commission or the Council.]\n\nPart III. Rights and Obligations of Contractors\n\nSection 1. Exploitation Contracts\n\nRegulation 17. The Exploitation Contract\n\n1. After the Council’s approval of a Plan of Work, and upon Council’s request, the Secretary-General shall prepare an Exploitation Contract between the Authority and the Applicant in the form prescribed in Annex IX to these Regulations.\n\n2. The Exploitation Contract shall be signed on behalf of the Authority by the Secretary-General or a duly authorized representative. The Designated Representative or the authority designated under regulation 5, paragraph 2 shall sign the Exploitation Contract on behalf of the Applicant. The Secretary-General shall notify all members of the Authority in writing of the conclusion of each Exploitation Contract.\n\n3. The Exploitation Contract and its schedules is a public document and shall be published on the website of the Authority within 7 Days in the Seabed Mining Register, except for Confidential Information, which shall be redacted.\n\nRegulation 18. Rights and exclusivity under an Exploitation Contract\n\n1. An Exploitation Contract shall confer on a Contractor [or the Enterprise] the exclusive right to exploit the specified Resource category in the Contract Area in accordance with these Regulations and the approved Plan of Work.\n\n2. [The Authority shall not permit any other entity to exploit or explore for the same Resource category in the Contract Area for the entire duration of an Exploitation Contract.]\n\n3. [Alt. 1 The Authority, with the cooperation of States Parties to the Convention, shall ensure that no other Contractor operating in the Contract Area interfere with the rights granted to or operations of the Contractor.] [Alt. 2. The Authority shall ensure that no other entity operates in the same area for a different category of resources in a manner which might interfere with the operations of the Contractor.]\n\n4. An Exploitation Contract shall provide for security of tenure and shall not be [suspended or] terminated except in accordance with [the terms set out in article 18 of the Annex III of the Convention.]/ [regulation 18 ter].\n\n5. An Exploitation Contract shall not confer any interest or right on a Contractor in or over any other part of the Area or its Resources [or any other part of the Marine Environment], other than those rights expressly granted by the terms of the Exploitation Contract or these Regulations. [Activities in the Area under an Exploitation Contract, shall be carried out with reasonable regard for other activities in the Marine Environment]. [5 bis Adverse Impacts from activities in the Area carried out under an Exploitation Contract must be limited to the Contract Area]. [An entity carrying out activities in the Area under an Exploitation Contract shall take all appropriate measures to prevent an y transboundary harm or minimise the risk thereof.]]\n\n6. The Contractor shall, subject to regulation 20, have the exclusive right to apply for an extension of its Exploitation Contract.\n\n7. In relation to Exploration activities in the Contract Area conducted under an Exploitation Contract, the Contractor:\n\n(a) may conduct Exploration activities within the Contract Area, in accordance with the proposed Exploration programme included in the Plan of Work;\n\n(b) shall exercise due diligence in conducting Exploration activities in the Contract Area and shall report the results of its Exploration activities to the Authority in accordance with regulation 38, paragraph 2, subparagraph (k) and applicable Standards, taking into account the Guidelines; and\n\n(c) shall also comply with:\n\n(i) any recommendations issued by the Commission pursuant to the Exploration Regulations; and\n\n(ii) provisions of the Exploration Regulations that relate to the Protection and Preservation of the Marine Environment, and environmental baselines and monitoring.\n\nRegulation 18 bis. Obligations of the Contractors\n\n1. Contractors shall comply with the terms and conditions of their Exploitation Contract and the rules, regulations and procedures of the Authority, [as well as the applicable Regional Environmental Management Plans], in a manner consistent with the Convention and the Agreement.\n\n1. Alt. A Contractor shall comply with the applicable obligations created by the provisions of the Convention, the Agreement, these Regulations, and other rules, regulations and procedures of the Authority, the decisions of the organs of the Authority [as well as the applicable Regional Environmental Management Plans] and the terms of its Exploitation Contract with the Authority.\n\n1. bis A Contractor shall carry out activities under a Plan of Work [and shall seek continuous improvement in its operations] in accordance with Good Industry Practice and Best Environmental Practices, at all times using appropriately qualified and adequately supervised personnel. [1. ter Contractors shall comply with the national laws, regulations and administrative measures of the Sponsoring State or States made pursuant to articles 139 and 153, paragraph 4 of the Convention and article 4, paragraph 4 of Annex III to the Convention.]\n\n1. quat Contractors shall throughout the term of their Exploitation Contract, for the purposes of activities in the Area and ancillary activities, only use vessels flagged to registries of States that are Member States to the Authority, and only use ports located in States that are Member States to the Authority.\n\n1. quint. In cases where the Contractor seeks to use flagged vessels or ports of nonmember States of the Authority, the prior approval of the Council is required and is conditional upon receiving a written commitment from such non -member State or States to enforce the rules, regulations and procedures of the Authority against the Contractor and to cooperate with the Authority for the purposes of securing compliance with the rules, regulations and procedures of the Authority, where required. [1. sexies Contractors shall remain current in their implementation of Best Environmental Practices and Good Industry Practices and shall continually identify and implement solutions that reflect the most up-to-date Best Available Scientific Evidence and Best Available Techniques.] [2. In accordance with the Exploitation Contract or the Parent Company Liability Statement, as the case may be, the Contractor and its Managing Company, shall have responsibility or [strict] liability for any damage arising out of;\n\n(a) the Contractor’s operations; or\n\n(b) the operations of its subsidiaries or sub-contractors in the performance of the Plan of Work and shall be held [strictly] liable for the actual amount of damage.] [3. In the event that Contractors fail to comply with their payment obligations under these Regulations, their Managing Company shall be held responsible to effect such payments to the Authority on behalf of Contractors.]\n\n4. The Contractor shall allocate sufficient resources and assign roles and responsibilities to implement their obligations under these Regulations.\n\nRegulation 18 ter Termination of an Exploitation Contract 1. An Exploitation Contract can only be terminated:\n\n(a) by the mutual [written] consent of the parties;\n\n(b) by reason of termination of State sponsorship, pursuant to regulation 21 and without the Contractor having secured an alternative sponsorship ;\n\n(c) by the Contractor in accordance with the terms of the Exploitation Contract, as covered by section 10 of Annex X to these Regulations;\n\n(d) by the Authority in accordance with the terms of the Exploitation Contract, as covered by section 12 of Annex X to these Regulations; or\n\n(e) by expiration of the term of the Exploitation Contract, without extension.\n\n2. Any termination of an Exploitation Contract by the Authority shall be by written notice to the Contractor, through the Secretary-General, which shall include a statement of the reasons for taking such action. [Unless a different time period is indicated in these Regulations,] the termination shall be effective [60 Days] after such written notice, unless the Contractor within such period disputes the Authority’s right to terminate the Exploitation Contract in accordance with Part XI, Section 5, of the Convention, in which case the Exploitation Contract shall only be terminated in accordance with a final binding decision in accordance with Part XI, Section 5, of the Convention.\n\n2. bis If the Contractor disputes the Authority’s right to terminate the Exploitation Contract in accordance with Part XI, Section 5 of the Convention, the Exploitation activity may be suspended until a binding decision is issued pursuant to regulation 29 bis.\n\n3. Nothing in this regulation shall relieve the Contractor of subsisting obligations or liabilities under its Exploitation Contract, for which the Contractor shall remain responsible and liable in the event of any termination.\n\nRegulation 19. Joint arrangements\n\n1. Exploitation Contracts may provide for joint arrangements between a Contractor and the Authority through the Enterprise, in the form of joint ventures or production sharing, as well as any other form of joint arrangement, which shall have the same protection [against revision, suspension or termination] as Exploitation Contracts with the Authority.\n\n2. The Council shall enable the Enterprise to engage in activities in the Area effectively at the same time as the entities referred to in article 153, paragraph 2, subparagraph (b) of the Convention. [2. bis Before approving any Exploitation Contract [that involves joint arrangement between a Contractor and the Authority through the Enterprise,] the Authority shall adopt Standards and Guidelines: (a) providing for joint arrangements between a Contractor and the Enterprise, pursuant to article 11 of Annex III of the Convention; and\n\n(b) in relation to financial terms, to further the objective of enabling the Enterprise to engage in exploration or exploitation activities, pursuant to article 13, paragraph 1, subparagraph (e) of Annex III of the Convention.]\n\nRegulation 20. Term and extension of Exploitation Contracts\n\n1. The maximum initial term of an Exploitation Contract is [30]/ [20] years from [Alt. 1: commencement of Commercial Production] [Alt 2: execution of the Exploitation Contract] [Alt. 3: from the date of signing of the Exploitation Contract]. Any extension period shall be a maximum of [5]/ [10] years.\n\n1. bis The Commission may recommend to Council a shorter time period than the period mentioned in paragraph 1 of this regulation for the initial term of an Exploitation Contract in light of, amongst others, the expected economic life of the Exploitation Activities of the resource category.\n\n2. An application to extend an Exploitation Contract shall be made in writing addressed to the Secretary-General and shall be made no later than 2 years before the expiration of the initial period [or extended period] of the Exploitation Contract.\n\n3. When submitting an application to extent an Exploitation Contract, the Contractor shall supply a revised Plan of Work, a revision of all accompanying documents and information in accordance with regulation 7, as well as any such documentation as may be specified in the Standards and Guidelines. The [Secretary-General] [or the Contractor] shall conduct a consultation process on the revised Plan of Work in accordance with regulations 93 bis and 93 ter.\n\n4. The Commission shall consider the application to extend an Exploitation Contract, along with any revised documents or responses prepared by the Contractor pursuant to regulation 93 ter, paragraph 9 [at its next meeting] provided the documentation required under paragraph 2 or pursuant to regulation 93 ter, paragraph 9 has been circulated at least [60] Days prior to the commencement of that meeting of the Commission. [4. bis The Commission shall submit its report and recommendations to the Council regarding an application to extend an Exploitation Contract no later than [120 Days] from the date of the completion of the requirements for review of updated Environmental Plans, in accordance with regulation 11, or from the date of the completion of the amendments to the revised or a new Plan of Work, in accordance with regulation 14, if any, whichever date occurs later.]\n\n5. In making its recommendations to the Council under paragraph 6 below, the Commission shall examine and assess applications in accordance with regulation 12, against the criteria contained in regulation 13, and take account of any report on the review of the Contractor’s activities and performance under a Plan of Work under regulation 58, as well as any other relevant information from, inter alia, performance assessments, annual reports, environmental reports, inspection reports, compliance reports, monitoring [data], [third-party or whistle-blower complaints], and legal actions against the Contractor.\n\n6. The Commission [shall]/[may] recommend to the Council the approval of an application to extent an Exploitation Contract, and an Exploitation Contract [shall]/[may] be extended by the Council provided that:\n\n(b) the Contractor is in compliance with the terms of its Exploitation Contract and the rules, regulations and procedures of the Authority;\n\n(b) bis the Contractor’s application to extend an Exploitation Contract sufficiently demonstrates that the Contractor has met and complied with all [related environmental obligations including environmental thresholds] and demonstrates that the Preservation Reference Zones and Impact Reference Zones met their objectives, and that the Contractor’s application for an extension includes designation of suitable P reservation Reference Zones and Impact Reference Zones for the extension period in accordance with Annex X bis;\n\n(b) ter the cumulative environmental impact does not exceed the threshold set by the applicable Regional Environmental Management Plan as a result of the extension and that such extension does not hinder the achievement of the strategic and regional environmental goals and objectives;\n\n(c) the Exploitation Contract has not been terminated earlier; [(c) bis the Contractor is able to demonstrate that all related contractual obligations, such as the requirement to maintain insurance coverage at all times during the conduct of Exploitation activities, will extend or continue to remain in force for the duration of the extension period;]\n\n(d) the Contractor has paid the applicable fee;\n\n(e) [the Sponsoring State has reconfirmed their sponsorship of the Contractor by reissuing their certificate of sponsorship; and]\n\n(e) bis [the Council is satisfied that the requirements of regulation 13 will be met.]\n\n7. Any extension of an Exploitation Contract shall be effected by the execution of an instrument in writing by the Secretary-General or duly authorized representative as requested by the Council, and the Designated Representative or the authority designated under regulation 5, paragraph 2. The terms of an extended Exploitation Contract shall be those set out in the standard Exploitation Contract annexed to these Regulations that is in effect on the date that the Council approves the extension application.\n\n8. An Exploitation Contract in respect of which an application for extension has been made [shall]/[may], despite its expiry date, remain in force until such time as the extension application has been considered and its extension has been granted or refused unless the Council decides otherwise. [Notwithstanding this, during this period following the expiry of an Exploitation Contract and pending the consideration and decision on the extension request, the Contractor shall suspend Exploitation activities.]\n\nRegulation 21. Termination of sponsorship\n\n1. Each Contractor shall ensure that it has the appropriate sponsorship throughout the duration of the Exploitation Contract. No activities under an Exploitation Contract may be carried out in the absence of the appropriate sponsorship.\n\n2. Without prejudice to any terms, rights or obligations between a State Party and a Contractor under the terms of sponsorship, if a State Party terminates its sponsorship of a Contractor, it shall within [7]/[14] Days provide the Secretary-General with a written notice [describing the reasons for such termination and the date the termination is to take effect].\n\n2. bis If the reasons for termination of sponsorship include material non-compliance with its terms of sponsorship, the Contractor must [immediately] [upon receiving a suspension notice], suspend its Exploitation activities until the Council has considered the matter in accordance with paragraph 6 below.\n\n3. In the event of any termination of sponsorship the Contractor may, prior to the termination date referred to in paragraph 2 above obtain the sponsorship of another State Party or States Parties, whose sponsorship shall meet the requirements of regulation 6 as if the Contractor were an Applicant. The Contractor shall submit a certificate or certificates of sponsorship in accordance with regulation 6 as if the Contractor were an Applicant.\n\n3. bis In the event of termination by a Sponsoring State of its sponsorship of a Contractor with more than one Sponsoring State, any other Sponsoring State may continue its sponsorship if the Contractor continues to be its national or effectively controlled by that State or its national. Any such Sponsoring State shall issue an updated certificate of sponsorship prior to the termination date referred to in paragraph 2 above, which the Contractor shall submit to the Authority in accordance with regulation 6 as if the Contractor were an Applicant.\n\n3. ter The Exploitation Contract terminates on the termination date referred to in paragraph 2 above unless a certificate or certificates of sponsorship has or have been submitted in accordance with paragraph 3 and is or are under consideration by the Authority in accordance with paragraph 3. quat, in which case the Exploitation Contract shall only terminate if the Council decides the Contractor does not have appropriate sponsorship. Such termination shall take effect immediately on the date of the Council decision.\n\n3. quat If a certificate or certificates of sponsorship has or have been submitted in accordance with paragraph 3, the Commission shall review whether the Contractor has the appropriate sponsorship and issue a recommendation to the Council, which shall decide whether the Contractor has appropriate sponsorship.\n\n4. A Sponsoring State is not discharged from any obligations accrued while it was a Sponsoring State by reason of termination of its sponsorship nor shall such termination affect any legal rights and obligations created during such sponsorship.\n\n5. The Secretary-General shall [notify the members of the Authority] within 7 Days of receipt of any notice under paragraphs 2, 3 or 3bis.\n\n6. After a Sponsoring State has given a written notice in accordance with paragraph 2 above, the Council, based on the recommendations of the Commission [and the Compliance Committee], shall take into account the reasons for the termination of sponsorship, especially where the termination of sponsorship equates to a material breach of the terms of the Exploitation Contract. The Council [may], pursuant to regulation 103, require the Contractor to take remedial action or other steps, including suspension of Exploitation activities. Such remedial action or suspension shall continue until the Contractor has demonstrated to the satisfaction of the Council that the [material] breach of the Exploitation Contract has been addressed, a new certificate of sponsorship is submitted [and the Contractor is operating in compliance with the Exploitation Contract].\n\n7. Nothing in this regulation shall relieve a Contractor of any obligation or liability under its Exploitation Contract, and the Contractor shall remain responsible and liable to the Authority for the performance of its obligations under its Exploitation Contract in the event of any termination of sponsorship.\n\nRegulation 22. Use of Exploitation Contract as security\n\n1. The Contractor may solely for the purpose of raising financing to effect its obligations under an Exploitation Contract and only with the prior consent of the Sponsoring State or States and of the Council, based on the recommendations of the Commission, mortgage, pledge, lien, charge or otherwise encumber all or part of its interest under an Exploitation Contract. The Council’s consent shall not be unreasonably withheld or delayed.\n\n2. The Contractor shall, when seeking the consent of the Council, and in its annual reports submitted in accordance with regulation 38, disclose to the Council and Commission the terms and conditions of any such encumbrance referred to in paragraph 1 above and its potential impact on the activities under the Exploitation Contract in the event of any default by the Contractor.\n\n3. As a condition to giving consent under this regulation, the Authority shall request evidence that the beneficiary of any encumbrance referred to in paragraph 1 above agrees either, upon foreclosure, to undertake Exploitation activities in accordance with the requirements of the Exploitation Contract and these Regulations, in which case the beneficiary must fulfil the requirement of paragraph s 4 and 5 of regulation 23 or that such a beneficiary shall transfer the mortgaged property only to a Transferee that fulfils the requirements of paragraphs 4 and 5 of regulation 23 as determined by the Commission. 4. The Council may require that the beneficiary of the encumbrance referred to in paragraph 1 above:\n\n(a) shall subscribe to any internationally adopted standards for the extractive industries which are widely accepted including environmental and social governance standards, with reference to relevant Standards and Guidelines where relevant; or /and\n\n(b) shall be properly regulated through a national financial conduct authority in accordance with the Guidelines.\n\n5. A Contractor shall file with the Seabed Mining Register [a summary of any agreement]/[the agreement] that results or may result in a transfer or assignment of an Exploitation Contract, part of an Exploitation Contract or any interest in an Exploitation Contract, including registration of any security, guarantee, mortgage, pledge, lien, charge or other encumbrance over all or part of an Exploitation Contract. Nothing in this regulation shall relieve a Contractor of any obligation or liability under its Exploitation Contract.\n\n6. The Authority shall not provide any funds or issue any guarantees or otherwise become liable directly or indirectly in the financing of the Contractor’s obligations under an Exploitation Contract.\n\nRegulation 23. Transfer of rights and obligations under an Exploitation Contract\n\n1. A Contractor may transfer its rights and obligations under an Exploitation Contract in whole or in part only with the prior written consent of the Sponsoring State, and the Council [[, such consent not to be unreasonably withheld], based on the recommendations of the Commission [and with notification to the Sponsoring State].] / [The consent of the Council shall be based on the recommendations of the Commission and shall not be unreasonably withheld.] [1. Alt. A Contractor may transfer its rights and obligations under an Exploitation Contract, in whole or in part, only with the prior consent of the Sponsoring State and the Council. The consent of the Council shall be based on the recommendations of the Commission and shall not be unreasonably withheld.]\n\n2. The Contractor and Transferee shall jointly inform the Secretary-General of any application to transfer the rights and obligations under an Exploitation Contract. The Secretary-General shall transmit that application to the Commission, which shall give its recommendation to the Council.\n\n3. The Commission shall consider and [decide whether to] recommend to the Council that the Council consent to the application for consent to transfer at its next meeting [, provided that the documentation has been circulated at least 30 Days prior to that meeting] / [within 90 Days of the receipt application date]. [3. Alt. Provided that the documentation has been circulated at least [30] / [90] Days in advance, the Commission shall consider at its next meeting and decide whether to recommend to the Council that the Council consent to the application for consent to transfer.] [3. Alt. 2. The Commission shall consider and decide whether to recommend to the Council that the Council consent to the application for transfer within 90 Days of receiving the relevant application.]\n\n4. An application to transfer the rights and obligations under an Exploitation Contract shall be subject to the requirements under regulations 5, 6, 13 and 15.\n\n4. bis If at the time of the transfer a Material Change arises this [should] / [shall] be addressed in accordance with regulation 57. 5. The Commission shall not recommend approval of the transfer if it would:\n\n(a) involve conferring on the Transferee a Plan of Work, the approval of which would be forbidden by article 6, paragraph 3, subparagraph (c), of Annex III to the Convention; [(b) allow the Transferee to Monopolize the conduct of activities in the Area [with regard to the Resource category covered by the Exploitation Contract or to Monopolize or significantly control the production of any single Mineral or Metal produced globally;] [(b) Alt. allow the Transferee to obtain significant control or Monopolize the Exploitation activities in the Area, or permit the Transferee, its holdings, subsidiaries, affiliated and ultimate parent companies to obtain significant control, market dominance or monopoly in the production of any single mineral or Metal produced globally;]\n\n(c) if any circumstances under regulations 15[, paragraph 2, or] paragraph 3 are applicable; or [(d) be foreseen that neither the Managing Company of the Contractor nor the Managing Company of the Transferee will issue a Parent Company Liability Statement.]\n\n6. Where the Exploitation Contract is subject to an encumbrance registered in the Seabed Mining Register, the Commission shall not recommend consent to the transfer unless it has received evidence of consent to the transfer from the beneficiary of the encumbrance. [6. bis The Authority shall levy a Transfer Profit Share, on any gain realised from the direct or indirect transfer of rights under an Exploitation Contract [in accordance with the applicable Standard].] [6. ter The effective operation of the Transfer Profit Share referenced in the above paragraph shall follow the provisions included in the applicable Standard .] [6. bis/ter. Alt. The Authority shall levy a Transfer Profit Share on any gain realized from the direct or indirect transfer of rights under the Exploitation Contract. The effective operation of the Transfer Profit Share shall follow the provisions included in the applicable Standard.]\n\n7. Where the Commission determines that the requirements of paragraphs [4, 5, 6 and 7]/ [4 and 5] of this regulation have been fulfilled, it shall recommend approval of the application for consent to the Council. In accordance with article 20 of the Annex III to the Convention, the Council shall not withhold consent to a transfer if the requirements of this regulation are complied with. Once the Council has received a recommendation from the Commission, the Council shall inform the Contractor of the Council’s decision within 30 Days. 8. A transfer is validly effected only upon:\n\n(a) execution of the assignment and novation agreement between the Authority, the transferor and the Transferee;\n\n(b) payment of the prescribed transfer fee;\n\n(c) recording by the Secretary-General of the transfer in the Seabed Mining Register; and\n\n(d) payment of the Transfer Profit Share in accordance with paragraph 6bis of this regulation and the applicable Standard.\n\n9. The assignment and novation agreement shall be signed on behalf of the Authority by the Secretary-General or by a duly authorized representative, and on behalf of the transferor and the Transferee by their duly authorized representatives. [9. bis If a Contractor initiates a transfer of its rights and obligations under an Exploitation Contract to another entity without prior written consent of the Sponsoring State and the Council, the Exploitation Contract shall terminate.]\n\nRegulation 24. Change of Control\n\n1. Where there is a Change of Control of a Contractor, or a Change of Control in an entity providing an Environmental Performance Guarantee on behalf of a Contractor, the Contractor shall, as soon as reasonably practicable [prior to the Change of Control] notify the Secretary-General and the Sponsoring State or States. The Contractor shall provide the Secretary-General and the Sponsoring State or States with any changes to the information required of Applicants in Annex 1, Section 1 resulting from the proposed Change of Control. On receipt of such notification and any further information pursuant to this paragraph, the Secretary-General shall [within 7 Days]/[immediately] notify the Commission and the Council.\n\n1. bis Where there is a proposed Change of Control of a Contractor, regulation 21, paragraph 1, regulation 21, paragraph 3, regulation 21, paragraph 3.bis, regulation 21, paragraph 4 and regulation 21, paragraph 7 shall apply mutatis mutandis, and the Contractor shall have the appropriate sponsorship in place prior to the Change of Control. Failure to have the appropriate sponsorship in place results in the automatic termination of the Exploitation Contract upon the Ch ange of Control, unless a State Party or States Parties have submitted a certificate or certificates of sponsorship and the Commission or Council, as applicable, is still reviewing whether the Contractor has the appropriate sponsorship.\n\n1. ter If a State Party or States Parties have submitted a certificate or certificates of sponsorship and the Commission or Council, as applicable, is still reviewing whether the Contractor has the appropriate sponsorship and a Contractor proceeds with a Change of Control before the Council has decided that the Contractor has the appropriate sponsorship, no activities under an Exploitation Contract may be carried out until the Council has decided that the Contractor has the appropriate sponsorship. If the Council decides that the Contractor lacks the appropriate sponsorship or does not have the operational or financial capability to meet its obligations under its Exploitation Contract, or its Managing Company will not have the capability to meet its obligati ons under the Parent Company Liability Statement, but the Change of Control has already occurred, the Exploitation Contract shall terminate automatically.\n\n2. After considering information and documents and consulting the Contractor or entity providing the Environmental Performance Guarantee, as the case may be, the Commission shall:\n\n(a) determine whether, following a Change of Control of the Contractor or the entity providing the Environmental Performance Guarantee, the Contractor will continue to be able, to meet its obligations under the Exploitation Contract or Environmental Performance Guarantee; [(a) bis determine whether the Contractor will have the appropriate sponsorship after the Change of Control;]\n\n(b) determine the identity of any Managing Company of the Contractor, which shall be required to issue a Parent Company Liability Statement effective as of the Change of Control;\n\n(c) in the case of an entity providing an Environmental Performance Guarantee, require the Contractor to lodge a new Environmental Performance Guarantee in accordance with regulation 26, within such time frame as the Commission shall stipulate; and\n\n(e) provide a report on any developments pertaining to this paragraph to the Council at its next meeting.\n\n3. Where the Commission determines that, following a Change of Control, a Contractor may not have the operational or financial capability to meet its obligations under its Exploitation Contract or lacks the appropriate sponsorship, or its Managing Company will not have the capability to meet its obligations under the Parent Company Liability Statement, the Commission shall submit a report of its findings and recommendations to the Council. The Council shall consider the matter at its next meeting with a view to taking a decision in accordance with this regulation.\n\n4. Where the Council decides that a Contractor may not have the operational or financial capability to meet its obligations under its Exploitation Contract, or lacks the appropriate sponsorship, or its Managing Company will not have the capability to meet its obligations under the Parent Company Liability Statement, the Contractor may decide not to proceed with the Change of Control, in which case the Exploitation Contract remains in full force and effect. 5bis. This regulation shall apply mutatis mutandis to a Change of Control of an Applicant.\n\n5. This regulation shall apply mutatis mutandis to a Change of Control of an Applicant.\n\nRegulation 24 bis. Change of Nationality\n\n1. If a Contractor wishes to change its nationality, or if a Controlling National wishes to change its own nationality or that of its Contractor, the Contractor shall, as soon as reasonably practicable prior to the proposed Change of Nationality, notify the SecretaryGeneral and its Sponsoring State or States, as applicable. The Contractor shall provide the Secretary-General and the Sponsoring State or States with such details as may reasonably be requested of the Change of Nationality. On receipt of such not ification and any further details pursuant to this paragraph, the Secretary -General shall within 7 Days notify the Commission and the Council.\n\n2. Where there is a proposed Change of Nationality of a Contractor or a Controlling National, the State Party or States Parties, as applicable, that become the new State of nationality of the Contractor, or the Controlling National shall submit a certificate or certificates of sponsorship in accordance with regulation 6 as if the Contractor were an Applicant. Regulation 21, paragraph 1, regulation 21, paragraph 3, regulation 21, paragraph 3.bis, regulation 21, paragraph 4 and regulation 21, paragraph 7 shall apply mutatis mutandis to this situation.\n\n3. The Contractor must have the appropriate sponsorship prior to the Change of Nationality of itself or of the Controlling National. Failure to have the appropriate sponsorship in place results in the automatic termination of the Exploitation Contract upon the Change of Nationality.\n\n4. After considering information and documents and consulting the Contractor or its Controlling National, as applicable, the Commission shall submit a report of its findings and recommendations to the Council. The Council shall consider the matter at its next meeting with a view to taking a decision on whether the Contractor will have the appropriate sponsorship upon the Change of Nationality.\n\n5. This regulation shall apply mutatis mutandis to a Change of Nationality of an Applicant or its Controlling National.\n\nSection 2. Matters relating to production\n\nRegulation 25. Documents to be submitted prior to [commercial] production\n\n1. At least 12 months prior to the proposed commencement of Commercial Production, the Contractor shall provide to the Secretary-General a [bankable] Feasibility Study prepared in accordance with the applicable Standard and taking into account the Guidelines [as well as the Pilot Mining Report and the updated Environmental Plans, pursuant to regulation 48 ter and in accordance with Annex [IV ter]. [1. bis The Contractor shall conduct consultation on the Feasibility Study with all States and Stakeholders in accordance with regulations 93 bis and 93 ter.]\n\n1. ter Provided the procedure under regulations 93 bis and 93 ter has been completed, the Commission shall review the Feasibility Study and determine whether any Material Change needs to be made to the Plan of Work, [and it should promptly inform the Contractor, which shall prepare and submit to the Commission through the Secretary General a revised Plan of Work.\n\n2. Regulation 57 shall apply to a revised Plan of Work submitted by the Contractor under paragraph 1.\n\n3. The Contractor [shall] not commence Commercial Production in any part of the Area covered by the Plan of Work until either:\n\n(a) the Commission has determined that no Material Change to the Plan of Work needs to be made [pursuant to paragraph 1 ter.]; or\n\n(b) in the event that a Material Change is made, the Council has given its approval to the revised Plan of Work pursuant to paragraph 2 above; and the Authority has confirmed lodgement of an Environmental Performance Guarantee in accordance with regulation 26.\n\nRegulation 25 Alt. Documents to be submitted prior to production\n\n1. A Contractor must obtain the agreement of the Council before commencing Commercial Production.\n\n2. At least 12 months prior to a proposed date of commencement of Commercial Production, the Contractor shall notify the Secretary-General of its intention to commence Commercial Production on that date.\n\n3. The notification from the Contractor under paragraph 1 shall, taking into account any new information obtained since the award of the Exploitation Contract, include either:\n\n(a) a confirmation that no amendment to the Plan of Work is required, or\n\n(b) a Plan of Work revised in accordance with regulation 57.\n\n4. The Secretary-General shall promptly forward the notification to the Commission and the Council. The Commission shall conduct a consultation with Stakeholders and shall prepare a report and recommendation to the Council on whether to agree to the proposed date of commencement of Commercial Production, in accordance with the applicable Standards and taking into account the Guidelines.\n\n5. The Council shall decide, giving reasons, whether to agree to the proposed date of Commercial Production. Where the decision is not to agree to commencement of Commercial Production, the Council shall indicate any actions it requires from the Contractor to progress towards a new date of commencement of Commercial Production. The Contractor shall comply with the decision of the Council.\n\nRegulation 26. Alt. 1 Environmental Performance Guarantee/Alt. 2 Decommissioning and Emergency Response Guarantee/Alt. 3 Closure Guarantee\n\n1. A Contractor shall lodge an Environmental Performance Guarantee in favour of the Authority on execution of the Exploitation Contract.\n\n2. The required form and amount of the Environmental Performance Guarantee shall be included in the Plan of Work according to the applicable Standards and take into account the Guidelines and shall reflect the forecasted costs required for implementation of the Contractor’s Closure Plan and Emergency Response and Contingency Plan.\n\n3. [The amount of an Environmental Performance Guarantee may be provided by way of instalments over a specified period]. In such cases, Commercial Production may only commence once the full amount has been provided. [3. bis The Environmental Performance Guarantee shall take the form of a letter of credit or security bond and meet the other financial criteria provided for in the Standard.]\n\n4. The amount of the Environmental Performance Guarantee shall be reviewed by the Commission and updated by the Contractor:\n\n(a) where the Closure Plan is updated in accordance with these Regulations; or\n\n(b) as the result of:\n\n(i) a performance assessment under regulation 52;\n\n(ii) a modification of a Plan of Work under regulation 57; or\n\n(iii) a review of activities under a Plan of Work under regulation 58;\n\n(c) at the time of review by the Commission of a Final Closure Plan under regulation 60. [(d) [at least every [five] year to consider whether the likely cost of the activities outlined in paragraph 2 have substantially increased, taking into account i nflation and other market or economic conditions that may impact on the amount of the Environmental Performance Guarantee that must be held.]\n\n(e) at each extension of the Exploitation Contract; and\n\n(f) at any time that the Environmental Performance Guarantee, or any part of it, is used or drawn upon.\n\n5. A Contractor shall, as a result of any review under paragraph 4 above, recalculate the amount of the Environmental Performance Guarantee within 60 Days of a review date and submit this calculation to the Secretary General for forwarding to the Commission for their review. The Commission shall promptly assess and make appropriate recommendations to the Council, which shall determine the revised amount. Within 30 Days, the Contractor shall lodge a revised Environmental Performance Guarantee in favour of the Authority.\n\n6. The Authority shall hold such guarantee in accordance with its policies and procedures, which shall provide for:\n\n(a) the repayment or release of any Environmental Performance Guarantee, or part thereof, upon compliance by the Contractor with its obligations that are the subject of the Environmental Performance Guarantee;\n\n(b) the forfeiture of any Environmental Performance Guarantee, or part thereof, where the Contractor fails to comply with such obligations ; and [(c) the replenishment of any Environmental Performance Guarantee, or part thereof, by the Contractor should the Authority need to make recourse to the Environmental Performance Guarantee.]\n\n7. The requirement for an Environmental Performance Guarantee under this regulation shall be applied in a uniform and non-discriminatory manner.\n\n8. [The lodging of an Environmental Performance Guarantee does not relieve the Contractor of its obligations that are subject of this regulation.] [Refusal or reluctance on the part of the Contractor to fulfil such obligation shall be subject to the relevant compliance measures under these Regulations]. The provision of an Environmental Performance Guarantee by a Contractor shall not affect the responsibility and liability of the Contractor under its Exploitation Contract and does not relieve the Contractor of its obligations that are subject of this regulation. [Should the Authority be compelled to make recourse to the Environmental Performance Guarantee due to any non -compliance by the Contractor of its obligations that are the subject of the Environmental Performance Guarantee, the Contractor remains liable to the Authority for any direct, incidental or additional costs incurred by the Authority.]\n\nRegulation 27. Commencement of Commercial Production\n\n1. Where the requirements of regulation 25 are satisfied and the Contractor has lodged an Environmental Performance Guarantee in accordance with regulation 26, the Contractor, consistent with Good Industry Practice, shall make reasonable efforts to bring each Mining Area into Commercial Production in accordance with the Plan of Work.\n\n2. The commencement of Commercial Production shall be based on the maintenance of a certain level of production capacity for a specified number of days in accordance with the applicable Standard.\n\n3. Any failure on the part of the Contractor to comply with this regulation and the applicable Standard may be considered under the general anti-avoidance rule established pursuant to regulation 77 and other applicable rules, regulations, and procedures of the Authority. [4. The definition of commencement of Commercial Production as provided for pursuant this regulation shall apply to Exploitation activities in the Area without prejudice to activities in other areas of the seabed and subsoil thereof.]\n\nRegulation 28. Maintaining Commercial Production\n\n1. Except for in circumstances described in regulation 33, the Contractor shall maintain Commercial Production in accordance with the Exploitation Contract and the Plan of Work annexed thereto, including the Mining Workplan and any amendments made to it from time to time,] these Regulations. A Contractor shall, taking into account Good Industry Practice, manage the recovery of the Minerals removed from the Mining Area at rates included in the Mining Workplan, [including any amendments made to it from time to time].\n\n2. [During Commercial Production] the Contractor shall notify the Secretary-General and if applicable the Sponsoring State or States, if it:\n\n(a) fails to maintain Commercial Production; or\n\n(b) determines that it will not be able to maintain Commercial Production in the future.\n\n2. bis Save for a situation covered by regulation 29, the Secretary-General shall transmit the notification made under paragraph 2 and any supporting documentation to the [Compliance Committee]/ [The Commission] for review and to make a recommendation to the Council.]\n\n3. A Contractor shall notify the Secretary-General [and if appliable the Sponsoring State or States] as soon as it recommences any Commercial Production, and no later than [24] hours after such recommencement, and, where necessary, shall provide to the Secretary-General [and Sponsoring State] such information as is necessary to demonstrate what was causing the contractor to fail to maintain Commercial Production . The Secretary-General shall notify the Council that production has recommenced.\n\nRegulation 29. Reduction or suspension in production\n\n1. Notwithstanding regulation 28, a Contractor may temporarily reduce or suspend production but shall notify in writing the Secretary-General, the Council [and if applicable the Sponsoring State or States thereof and provide the rationale for such a reduction or suspension and the period of time for which the Contractor anticipate the Temporary Suspension of or reduction in production will last [as soon as practicable thereafter but no later than 7 Days from the date of the reduction or suspension] . regulation 29 bis shall govern the procedure for such suspensions.\n\n2. The reduction or suspension may be for a period of up to 12 months. If the Contractor proposes to continue the reduction or suspension for more than 12 months, the Contractor shall notify the Secretary-General in writing, at least [30 Days] prior to the end of the 12-month period, giving its reasons for seeking a further r eduction or suspension of that length of time. the Secretary-General shall transmit the notification and any supporting documentation to the [Compliance Committee]/[Commission] for review and to make a recommendation to the Council.]\n\nRegulation 29 bis. Procedure for suspension or reduction in Exploitation activities\n\n1. Any time that there is a suspension of Exploitation activities under these Regulations and pursuant to regulation 29, the Secretary-General shall [within 7 Days] notify the Council and publish the notice on the Authority’s website when activities have been suspended, which shall include the rationale for the suspension, and when the activities have recommenced. 2. During a suspension of Exploitation activities for any reason:\n\n(a) a Contractor shall notify the Secretary-General [and if appliable the Sponsoring State or States], as soon as it intends to recommence any or all of the suspended activities and no later than [72 hours] before such recommencement, and, where necessary, shall provide to the Secretary-General such information as is necessary to demonstrate that the issue triggering a suspension has been addressed; or\n\n(b) a Contractor shall report to the Secretary-General on at least a monthly basis with regards to the reasons for continuing the suspension, providing such information as is necessary to justify that the issue triggering a suspension continues.\n\n3. The Secretary-General shall supply all information received pursuant to paragraph 3 to the Commission for review and to make a recommendation to the Council. The Council shall determine when the relevant Exploitation activities should recommence, giving the Contractor no less than 60 Days’ written notice where resumption of activities is required.\n\n4. In making its review under paragraph 4, the Commission shall take into account the recommendations of the Economic Planning Commission where applicable and shall examine whether the reasons for the suspension are reasonable, and whether a continued suspension or a recommencement of activities, would be in the best interests of humankind in the circumstances.\n\n5. Throughout the duration of any suspension in Exploitation activities, the Contractor shall continue to monitor and manage the Mining Area in accordance with the relevant section of the Closure Plan.\n\n6. Where a suspension in Exploitation activities continues for a period of more than 12 months, the Commission may require the Contractor to submit a Final Closure Plan in accordance with regulation 60.\n\n7. In the event that a Contractor elects to suspend all Commercial Production for more than five consecutive years, the Council may after discussion with the Contractor decide that Commercial Production has ceased and require the Contractor to implement the Final Closure Plan.\n\n8. The procedure under this regulation shall also apply mutatis mutandis to reductions that result in failure to maintain Commercial Production.\n\nRegulation 29 ter Certification of origin\n\n1. The Authority, upon the receipt of an application from the Enterprise or the Contractor, shall certify the origin for the Minerals removed from the Area, in accordance with the applicable Standard.\n\n2. Any certification of the origin of Minerals in accordance with the applicable Standard shall be recognised by the member States of the Authority.\n\nSection 3. Monitoring\n\nRegulation 29 quat. Ship notification, electronic monitoring and data reporting\n\n1. All Installations, ships and mining collectors engaged in Exploitation activities under the Exploitation Contract shall be fitted with an electronic monitoring system, which shall record [continuously and] where technically feasible in real time, inter alia, the date, time and position of [all Exploitation activities]/[all activities relating to the Exploitation Contract], and environmental data. [The electronic monitoring system shall also be capable of detecting and recording any unauthorized activities.] The details and frequency of reporting shall be in accordance with the Standards and taking into account the Guidelines.\n\n2. All Installations, ships, mining collectors [and other service operating units] shall be fitted with a satellite tracking system [which shall be turned on at all times] to enable identification of each ship and determination of its position, navigation status, course and speed. [This system shall also include redundancy measures to ensure continuous tracking in case of primary system failure]. The detail and frequency of reporting shall be in accordance with the Standards and taking into account the Guidelines. [3. The Compliance Committee shall issue a Non-Compliance Notice under regulation 103 bis to a Contractor, where there is reasonable evidence to suggest based on the data transmitted to the Authority that unapproved [or unreported] Exploitation activities have occurred or are occurring. [The Contractor shall be required to provide a detailed explanation and corrective action plan within 7 Days].]\n\n4. All data received and transmitted to the Authority under this regulation shall be transmitted to the Sponsoring State or States.\n\nSection 4. Safety, labour and health at sea\n\nRegulation 29 quin. Risk reduction principles\n\n1. [The Contractor shall prevent harm or danger of harm to human life and health, including in accordance with any applicable Standards, and taking into account the Guidelines.] The Contractor shall reduce the risk [of accidents, Incidents and other hazards].\n\n2. The Contractor shall keep under review the risk reduction measures in the light of new knowledge and technology developments and Good Industry Practice, Best Available Techniques and Best Environmental Practices. In assessing whether the time, cost and effort would be [grossly] disproportionate to the benefits of further reducing the risk, consideration shall be given to best practice risk levels compatible with the operations being conducted.\n\n3. The Contractor shall maintain the necessary risk assessment and risk management systems in accordance with the applicable Standard and taking into account Good Industry Practice, Best Available Techniques and Best Environmental Practices and shall report annually to the Secretary-General on such systems in accordance with regulation 38, paragraph 2, subparagraph (h).\n\nRegulation 30. Safety, labour and health standards 1. The Contractor shall ensure at all times that:\n\n(a) all vessels, and Installations engaged in Exploitation activities are in good repair, in a safe and sound condition in accordance with the requirements, specifications and preventive or corrective maintenance plans of the respective manufacturers, and adequately crewed, and comply with paragraphs 2 and 3 below;\n\n(b) all vessels, and Installations engaged in Exploitation activities have an appropriate class designation and shall remain in class for the duration of the Exploitation Contract; and\n\n(c) the Health and Safety Plan and Maritime Security Plan are kept up -to-date and effectively implemented.\n\n2. The Contractor shall ensure compliance with the [relevant] mandatory international rules and standards established by competent international organizations or general diplomatic conferences concerning the safety of life at sea, the pollution of the Marine Environment by vessels, the prevention of Collisions at sea, the training of seafarers, maritime labour conditions and the treatment of crew members, as well as the rules, regulations and procedures of the Authority on these matters. 3. In addition, Contractors shall:\n\n(a) comply with the relevant national laws relating to vessel standards and crew safety of their flag State in the case of vessels, or their Sponsoring State or States in the case of Installations; and\n\n(b) comply with the national laws of its Sponsoring State or States in relation to any matters that fall outside of the jurisdiction of the flag State, such as worker rights for non-crew members and human health and safety that pertains to the mining process rather than to ship operation.\n\n4. The Contractor shall provide copies of valid certificates required under relevant international shipping conventions to the Authority upon request. 5. The Contractor shall ensure that:\n\n(a) all of its personnel, before assuming their duties, have the necessary experience, training and qualifications and safety equipment and are able to conduct their duties safely, competently and in compliance with the rules, regulations and procedures of the Authority and the terms of the Exploitation Contract;\n\n(b) implementation of the Health and Safety Plan and Maritime Security Plan shall include awareness-raising programmes for personnel about the duties arising from those plans, and a programme to inform all personnel engaged in Exploitation activities as to the occupational risks which may result from their work and the manner in which such risks are to be dealt with; and\n\n(c) records of the experience, training and qualifications of all of its personnel are kept and made available to the Secretary-General upon request.\n\nRegulation 30 bis. Human health and safety management system\n\n1. When conducting its operations, a Contractor shall develop, implement and maintain a safety management system, taking into account the Guidelines.\n\n1. bis A safety management system shall be detailed in the Health and Safety Plan and Maritime Security Plan. 2. A Contractor’s safety management system shall:\n\n(a) establish site-specific safety objectives and meeting performance requirements reflected in the Health and Safety Plan and Maritime Security Plan;\n\n(b) cover occupational health and safety and process safety, including the selection or design of assets, facilities, equipment and materials;\n\n(c) permit effective reporting to the Authority in connection with safety performance;\n\n(e) be in accordance with Good Industry Practice and internationally recognised standards; and [(f) be subject to continual improvement during the term of the Exploitation Contract, including through frequent management review and audit.] [2. bis A Contractor shall, in its annual reports detail any material changes to the health and safety management system and demonstrate the systematic assessment of the system and its continual improvement, including through the results of management review and audits under paragraph 2, subparagraph (f) bis.] [3. A proposed change to a Contractor’s safety management system shall be treated the same as a modification of a Plan of Work, pursuant to regulation 57 mutatis mutandis.]\n\n4. Compliance with this regulation is a fundamental term of the Exploitation Contract, for the purposes of regulation 103.]\n\nSection 5. Other activities in the Marine Environment\n\nRegulation 31. Accommodation of activities in the Area and in the marine environment\n\n1. Contractors shall carry out activities under an Exploitation Contract with reasonable regard for other activities in the Marine Environment, in accordance with article 147 of the Convention, and consistent with any applicable Standards and taking into account the Guidelines.\n\n2. A Contractor shall exercise due diligence in identifying current and planned uses or activities in the Marine Environment transiting, overlapping, or proximate to the Contract Area through publicly available data and resources and any other reasonable means [, including but not limited to marine scientific research, fishing, navigation, and activities to ensure effective Protection for the Marine Environment.]\n\n3. Where the relevant other activities involve competent international, regional, or sectoral bodies, the Authority shall, in conjunction with member States, cooperate with such bodies and, where possible, coordinate activities in the Marine Environment.\n\nRegulation 31 Alt. Accommodation of activities in the Area and in the marine environment\n\n1. Contractors shall carry out activities under an Exploitation Contract with reasonable regard for other activities in the Marine Environment, in accordance with article 147 of the Convention, and consistent with any applicable Standards and taking into account the Guidelines.\n\n2. The Authority shall cooperate actively with States Parties, competent international organizations, and relevant entities, to acquire information regarding other activities overlapping with, or in proximity to Contract Areas to facilitate the accommodation of Activities as set out in article 147 of the Convention.\n\n3. The Authority shall transmit to the relevant State Parties, international organizations or entities the coordinates and Activities information concerning such Contract Areas, where the Authority becomes aware of other activities conducted or proposed to be conducted in areas overlapping with, or in proximity to Contract Areas.\n\n4. The Authority shall transmit to Contractors that may be affected by other activities any relevant information it has obtained from the State Parties, international organizations, or entities, and shall facilitate communication between the Contractor and the States, organizations, or entities concerned.\n\nRegulation 31 bis. Reducing risk of damage to submarine cables and pipelines\n\n1. The Contractor shall take [all] necessary measures to reduce the risks of damage [arising from its conduct of activities in the Contract Area] to submarine cables or pipelines, including, as appropriate, through:\n\n(a) coordinating with relevant Stakeholders and international, regional or sectoral bodies for, or operators of, submarine cables or pipelines in the Marine Environment [, including through conducting consultations in line with regulation 93 ter];\n\n(b) complying with measures the Contractor has agreed with the operators of submarine cables or pipelines in the Contract Area to reduce the risks of damage to any in-service [or planned] submarine cables and pipelines;\n\n(c) [identifying current and planned uses or activities relating to submarine cables or pipelines in the Marine Environment transiting or proximate to the Contract Area through publicly or commercially available data and resources;]\n\n(d) [promoting information sharing of Exploitation activities under an Exploitation Contract;] and\n\n(e) other measures in accordance with the applicable Standards and taking into account the Guidelines.\n\n2. Nothing in these Regulations shall affect the rights and obligations of States pertaining to submarine cables and pipelines under the Convention, including articles 87, 112 and 113 of the Convention.\n\nSection 6. Emergency Response and Contingency Plan, Incidents and Notifiable Events\n\nRegulation 32. Emergency Response and Contingency Plans 1. A Contractor shall maintain:\n\n(a) the currency and adequacy of its Emergency Response and Contingency Plan based on the identification of potential Incidents and in the light of new knowledge, and technology developments, Good Industry Practice and Best Environmental Practices, which shall be reviewed at least [quarterly]; and\n\n(b) such resources, training and procedures, [including on-vessel presence for rapid emergency response], as are necessary for the prompt execution and implementation of the Emergency Response and Contingency Plan and any Emergency Orders issued by the Authority.\n\n2. The Secretary General shall facilitate the exchange of knowledge, information and experience relating to Incidents between Contractors and States, and shall [where appropriate] draw on the advice of other relevant international organizations for the purposes of supporting:\n\n(a) contractors to meet their requirements, inter alia under this regulation 32, paragraph 1; and\n\n(b) the Authority in the development, revision and dissemination of applicable Standards and Guidelines and other appropriate materials.\n\nRegulation 33. Preventing and responding to Incidents\n\n1. The Contractor shall suspend Exploitation activities and follow the procedures set forth in regulation 29 bis if it is reasonably foreseeable that proceeding or continuing would cause or contribute to an Incident, [or reduce] or prevent the effective management of an Incident.\n\n1. bis A Contractor shall maintain an Incident Register in respect of all on board any mining vessels or Installations engaged in Exploitation activities. 2. The Contractor shall, upon becoming aware of an Incident:\n\n(b) immediately implement, as applicable, the Emergency Response and Contingency Plan;\n\n(c) undertake promptly, and within such time frame as stipulated, any instructions received from the Secretary-General in consultation with the Sponsoring State or States, flag State, [States adjacent to the Contract Area likely to be affected] or relevant international organizations, as the case may be;\n\n(d) take all other measures necessary [and reasonable] in the circumstances to limit the adverse effects of the Incident;\n\n(e) record the Incident in the Incidents Register; and\n\n(f) following resolution of an Incident, provide the [Secretary-General and its Sponsoring State or States] with an Incident report which details the Incident and any corresponding data on its nature, scale, and impacts, the Contractor’s response, [findings] [and any proposed measures to minimise or reduce the risk of similar Incidents occurring in the future]. Any adjacent coastal states consulted under paragraph 2, subparagraph (c) shall also receive the incident report.\n\n3. The Secretary-General shall promptly report any Contractor that fails to comply with this regulation to its Sponsoring State or States, [States adjacent to the Contract Area [likely to be affected] and the flag State of any vessel involved in the Incident for consideration of the institution of legal proceedings under national law [and the Compliance Committee]. 4. The Secretary-General shall:\n\n(a) before issuing instructions under this regulation, request instruction from the Compliance Committee, and consult with the Sponsoring State or State, and other relevant State or international organisations, insofar as it is feasible to do so taking account of the urgency in the situation; and\n\n(c) report such Incidents and measures taken to the Commission and the Council at their next available meeting.\n\n5. The Secretary-General shall publish copies of Incident reports on the Authority’s website [and the Seabed Mining Register except to the extent this is] Confidential Information.\n\nRegulation 34. Notification of Incidents and Notifiable Events\n\n1. A Contractor shall immediately notify its Sponsoring State or States, States adjacent to the Contract Area likely to be affected and the Secretary-General of the occurrence of any of the Notifiable Events,\n\n2. The Contractor shall, as soon as reasonably practicable, but no later than 24 hours after the Contractor becomes aware of any such Notifiable Event :\n\n(a) provide written notification to the Secretary-General of the event, including a description of the event, the immediate response action taken , including, if appropriate, a statement regarding the implementation of an Emergency Response and Contingency Plan and any planned action to be taken; and\n\n(b) record the Notifiable Events in the Incidents Register.\n\n3. Upon receipt of notification under paragraph 2, the Secretary -General shall consult with the Sponsoring State or States, States adjacent to the Contract Area likely to be affected and other regulatory authorities as necessary and shall seek the instructions of the Compliance Committee and the Council. [4. The Contractor shall ensure that all regulatory authorities are notified and consulted, as appropriate.]\n\n5. Where a complaint is made to a Contractor concerning a matter covered by these Regulations, the Contractor shall record the complaint and shall report it to the Secretary-General within 7 Days of the complaint being received.\n\nRegulation 35. Human remains and [objects and sites of an archaeological or historical nature] [Underwater Cultural Heritage]\n\n1. Exploitation activities in the Area shall be conducted in a way that does not [negatively] affect human remains and [Alt. 1 objects and sites of an archaeological or historical nature] [Alt. 2 Underwater Cultural Heritage] [and shall avoid [unnecessary] disturbance of venerated sites].\n\n2. The Contractor shall notify the Secretary-General in writing within 48 hours the finding in the Contract Area of any human remains and [Alt. 1 objects and sites of an archaeological or historical nature] [Alt. 2 Underwater Cultural Heritage] [or any venerated sites], and [their] / [its] location, including the preservation and protection measures taken. The Contractor shall immediately cease exploitation activities within a 500 meters radius of the finding.\n\n3. The Secretary-General shall transmit such information in writing, within 5 Days of receiving it to all members States, the President of the Council, the Director General of the United Nations Educational, Scientific and Cultural Organization, to any other competent international organization and to any other [competent] observer.\n\n4. Within 10 Days of the notification of the discovery by the Secretary-General, any member State may declare to the President of the Council its interest in being consulted on how to ensure the effective protection of the human remains and [ Alt. 1 objects and sites of an archaeological or historical nature] [Alt. 2 Underwater Cultural Heritage] [or any venerated sites] found in the Area. Both the Sponsoring State [and the flag State] of the Contractor shall always be considered one of these interested Sta tes. [Alt. 1 Competent international organizations and observers] [Alt. 2 International Organizations and observers referenced in paragraph 3] shall have the same length of time to notify the Secretary-General their interest in being consulted.\n\n5. After ascertaining the views of Member States, particularly those with preferential rights under article 149 of the Convention, in its next immediate meeting after the notification of the discovery by the Secretary-General, the Council shall make a decision as to whether or not exploitation activities shall be terminated within the area referred to in paragraph 2. The Council may suggest to the member States any measure to preserve human remains and [objects and sites of archaeological or historical nature] [Alt. 2 Underwater Cultural Heritage] [or any venerated sites] in their archaeological and natural context, for the benefit of humankind as a whole. In adopting its decisions, the Council shall take into account the views of the United Nations Educational, Scientific and Cultural Organization and other competent international organizations. The Council may also take into account the views of other [competent] observers .\n\n6. No member State shall undertake or authorize activities directed at, or incidentally affecting, sunken State vessels and aircraft without the consent of the flag State.\n\n7. Any measure decided under this regulation shall be adopted or suggested in accordance with applicable Standards and taking into the Guidelines. [8. The Contractor shall not be entitled to compensation for any measure required in this regulation.]\n\n9. The Council shall forward to the Seabed Mining Register all information, except for Confidential Information, used in making its decision under paragraph 5 of this regulation. [10. If [Alt. 1 objects and sites of an archaeological or historical nature] [Alt. 2 the remains of Underwater Cultural Heritage] may be deemed to be a potentially polluting wreck, then regulation [X] shall also apply.]\n\nSection 7. Insurance obligations\n\nRegulation 36. Insurance\n\n1. A Contractor shall obtain and thereafter at all times maintain, and cause its subcontractors to obtain and maintain, in full force and effect, insurance with financially sound insurers satisfactory to the Authority, of such types, on such terms and in such amounts in accordance with the applicable Standard and consistent with Good Industry Practice.\n\n1. bis The insurance required under paragraph 1 shall:\n\n(a) be proposed at the time of applying for approval of a Plan of Work of exploitation to allow the Commission and Council to assess the satisfactoriness of the proposed insurance policy against this regulation and the applicable Standard;\n\n(b) be in effect [Alt. 1. upon the execution of the Exploitation Contract] [Alt. 2. as at the point in time that the Contractor’s vessel departs port for the Area for the purpose of conducting Exploitation activities] until such time as the Environmental Performance Guarantee has been released back to the Contractor in full by the Authority ; and\n\n(c) cover all [potential] harms to people, property, natural resources, and environment that may occur, wherever located, or howsoever caused, as a result of the Contractor’s activities in the Area. [(c) Alt. cover the financial consequences of any liability of the Contractor in accordance with the applicable Standard].\n\n2. Contractors shall include the Authority as an additional assured. A Contractor shall ensure that all insurances required under these Regulations shall be endorsed to provide that the underwriters waive any rights of recourse, including subrogation rights against the Authority in relation to Exploitation.\n\n3. The obligation under an Exploitation Contract to maintain insurance as specified in these Regulations and the applicable Standard is a fundamental term of the Exploitation Contract. Should a Contractor fail to maintain the insurance required under these Regulations, the Contractor shall immediately suspend Exploitation activities pursuant to regulation 29bis. The Compliance Committee, upon being notified of such a suspension, shall consider what additional compliance action is needed, if any, pursuant to regulation 103. [4. A Contractor shall not make any Material Change to or terminate any insurance policy related to its Exploitation activities in the Area without the prior approval of the Council.]\n\n5. A Contractor shall notify the [Compliance Committee [immediately] [without any delay] if the insurer terminates the policy or modifies the terms of insurance [or in case of any change of insurer].\n\n6. A Contractor shall notify the Secretary-General within 24 hours upon receipt of claims made under its insurance.\n\n7. A Contractor shall include evidence of the existence of insurance in accordance with regulation 38, paragraph 2, subparagraph (i) [to its annual report to the Authority.\n\n8. The Secretary-General shall notify the Commission and the Council at its next available meetings of termination, modification of the terms of insurance, reception by a Contractor of claims made under its insurance and actions of a Contractor in this regard.\n\nSection 8. Training commitment\n\nRegulation 37. Training Obligations\n\n1. The Contractor [and the Enterprise] shall conduct and carry out the training programs for the personnel of the Authority and developing States on an ongoing basis in accordance with the approved Training Plan commitment under Schedule 8 to the Exploitation Contract, these Regulations and applicable Standards, and taking into account the Guidelines. [2. The Contractor shall in the Training Plan:\n\n(a) include measures to ensure the protection of the health, safety and rights of trainees; and\n\n(b) have due regard to gender equality, inclusivity, non-discrimination, and diversity in the Contractor ’s approach to training opportunities.]\n\nRegulation 37 bis. Transfer of Technology [1. The Contractor shall cooperate fully and effectively with the Authority for the purpose of the Authority, the Enterprise or its joint venture, a developing State or States acquiring deep seabed mining technology on fair and reasonable commercial terms and conditions, consistent with the effective protection of intellectual property rights. ] [1. Alt. The Contractor shall include in the Plan of Work undertakings on transfer of technology pursuant to article 144 of the Convention and Section 5 of the Annex to the Agreement.\n\n2. The Plan of Work shall include a detailed technology transfer plan, specifying the types of technology to be transferred, the modalities of transfer, and the timelines for implementation, in accordance with the applicable Standards and taking into account the Guidelines.]\n\nSection 9. Annual reports and record maintenance\n\nRegulation 38. Annual report\n\n1. A Contractor shall, within 90 Days of the end of each Calendar Year, submit an annual report to the Secretary-General regarding its activities in the Contract Area and reporting on compliance with the terms of the Exploitation Contract.\n\n2. Such annual reports shall be in accordance with applicable Standards and taking into account the Guidelines and include:\n\n(a) details of the Exploitation work carried out during the Calendar Year, including maps, charts and graphs illustrating the work that has been done and the data and results obtained, reported against and noting variance from the approved Plan of Work;\n\n(b) the information to be included in royalty returns pursuant to regulation 71;\n\n(c) details of the [mining] equipment used to carry out Exploitation, and in operation at the end of the period;\n\n(d) an annual financial report, in conformity with internationally accepted accounting principles and certified by a duly qualified firm of public accountants, of the actual and direct Exploitation expenditures, which are the capital expenditures and operating costs of the Contractor in carrying out the programme of activities during the Contractor’s accounting year in respect of the Contract Area, together with an annual statement of the computation of payments paid or payable by the Contractor to the Authority, governments, state enterprises, and other contractors, as well as payments and other forms of financial benefit received by the Contractor from Sponsoring States, and reported against the Financing Plan;\n\n(e) information on compliance with health, labour and safety standards [reported against the Health and Safety Plan];\n\n(e) bis details of any [accidents] / [Notifiable Events] or Incidents arising during the period [including a description of the necessary corrective actions that have been taken into account [to address the incident and prevent recurrence];\n\n(f) details of training carried out in accordance with the Training Plan ;\n\n(g) the actual results and data obtained from environmental monitoring programmes, including observations, measurements, evaluations and the analysis of environmental parameters, reported against [the Strategic Environmental Goal and Objectives in regulation 44ter, the relevant Regional Environmental Management Plan including its Regional Environmental Objective and] where applicable, any criteria and thresholds included in the applicable Standards, and against the Environmental Management and Monitoring Plan, [taking into consideration the Regional Environmental Management Plan] together with details of any response actions implemented under the plan and the actual costs of compliance with the plan;\n\n(g) bis a statement indicating whether and how the results obtained from environmental monitoring programmes help to reduce knowledge gaps, particularly with respect to Environmental Impacts and Effects of activities in the Area [and effects outside of the Area identified within the impact assessment] and help to support the identification and improvement of Environmental Practices.;\n\n(g) ter details on the actions taken yearly for the reduction of air pollution, discharges of wastewater and generation [and disposal] of waste (including details concerning the operating costs associated with such actions); [(g) quat. details of all operating costs associated with environmental measures ;]\n\n(h) a statement that all risk management systems and procedures have been followed and remain in place, together with a report on exceptions and the results of any [verification]/[assessment] [and]/[or] audit [of the Environmental Management and Monitoring Plan and Environmental Management System undertaken in accordance with regulations 50 and 50ter] [undertaken internally or by independent competent persons, appointed or employed by the Contractor];\n\n(i) evidence that insurance is maintained, including the amount of any deductibles and self-insurance, together with the details and amount of any claims made or amounts recovered from insurers during the period;\n\n(j) details of any material changes made in connection with subcontractors engaged by the Contractor during the Calendar Year;\n\n(j) bis details about any changes made to the Contractor’s business structure or collaborations, including but not limited to their subcontractors, holding, subsidiaries, affiliates and ultimate parent companies, agencies and partnerships;\n\n(k) the results of any Exploration activities, including updated data and information on the grade and quality of Resources and reserves identified in accordance with the applicable Standards and taking into account the Guidelines;\n\n(l) a statement that the Contractor’s Financing Plan is adequate for the following [reporting] period; [(m) details of any proposed modification to the Plan of Work and the reasons for such modifications];\n\n(n) details of any [material] changes made to the Contractor’s [human health and safety management system and] Environmental Management System in accordance with regulation [s 30bis and] 50 bis [respectively];\n\n(o) details of any consultations carried out with coastal States, other marine users, or any other Stakeholders, including pursuant to regulation 31;\n\n(p) a summary of any complaints or whistleblowing reports received during the reporting period and details of how these have been dealt with;\n\n(q) a summary of any performance assessments pursuant to regulation 52, or review of activities pursuant to regulation 58 during the reporting period;\n\n(r) a summary of how the Contractor has dealt with any inspection reports, Inspector instructions, Non-Compliance Notices, monetary penalties or any other regulatory monitoring, or enforcement action taken by the Authority or the Sponsoring State or States in relation to contractor compliance during the reporting period;\n\n(s) evidence that the Environmental Performance Guarantee has been paid or maintained in accordance with the contract terms and the rules, regulations and procedures of the Authority;\n\n(t) a summary report of the Mining Discharges registered in accordance with regulation 53 ter;\n\n(u) the indicative planned date of Closure, and an explanation of any changes to the date, if applicable, in accordance with regulation 59[; and\n\n(v) any other matters specified in the applicable Standards as may be amended from time to time.]\n\n2. bis The Secretariat shall arrange for the effective management of the submitted information in order to overcome existing gaps in knowledge concerning the marine ecosystems including their sensitivity and resilience, the determination of environmental quality Standards and appropriate exploitation equipment. [2 ter The Commission shall review [annual reports received, and shall prepare and submit to the Council a summary report which shall record any trends or findings from the review, and any related recommendations for the Council’s consideration ]/[a summary report which shall record any trends or findings from the review, including any concerns relating to non-compliance or performance and any related recommendations for the Council’s consideration]. The report should include any information relevant to the formulation by the Authority of rules, regulations and procedures concerning Protection of the Marine Environment and health and safety.] [2. ter. Alt. In reviewing annual reports, the Commission shall prepare for the Council a report that summarises trends or findings from the annual reports, including but not limited to any knowledge and information relevant to the continuous improvement of the regulation and the management of activities in the Area, with a particular emphasis on information relevant to better understanding marine ecosystems and the impacts of activities in the Area on such ecosystems [as well as safety and mining equipment ].]\n\n3. Annual reports shall be published in the Seabed Mining Register, except for Confidential Information, which shall be redacted. To this end, Contractors shall structure the annual reports such that any Confidential Information can be clearly identified and extracted.\n\nRegulation 39. Books, records and samples\n\n1. A Contractor shall keep a complete and proper set of books, accounts and financial records, consistent with internationally accepted accounting principles, which must include information that fully discloses all revenue and actual and direct expenditures [and] liabilities for Exploitation, including capital expenditures and operating costs and such other information as will facilitate an effective audit of the Contractor’s expenditures and costs.\n\n1. bis The Contractor shall keep the books, accounts, and records pursuant to paragraph 1 [at a place specified in the Exploitation Contract], and shall make them available for inspection and audit in accordance with these Regulations. [1. bis. Alt. The Contractor shall maintain books, accounts, and records at a location specified in the Exploitation Contract. If circumstances require a change, the Contractor and the Compliance Committee may mutually agree on an alternative location. In any case, the books, accounts, and records shall be kept in a place that allows them to be readily available for inspection and audit in accordance with these Regulations.]\n\n2. A Contractor shall maintain [maps, geological]/[relevant maps and geological data], mining and Mineral analysis reports, production records, processing records, records of sales or use of Minerals, records of port inspections, customs records, processing plant receipt data or records, environmental data, archives and samples and any other data, information and samples connected with the Exploitation activities in accordance with Standards and taking into account the Guidelines.\n\n3. A Contractor shall keep, in good condition, a representative portion of samples or cores, as the case may be, of the Resource category, from each sample collection period identified in the applicable Standard, together with biological samples, obtained in the course of Exploitation until the termination of the Closure Plan. Samples shall be maintained taking into account the Guidelines, which shall provide the option for the Contractor to maintain them itself or to have such maintenance performed on its behalf in whole or in part by a third party.\n\n4. Upon [written] request of the Secretary-General or Inspectors, or Compliance Committee, the Contractor shall deliver to the Secretary-General for analysis a portion of any sample or core obtained during the course of Exploitation activities.\n\n5. A Contractor shall, subject to reasonable notice[, and after consultation with the Sponsoring State], permit full access by the Secretary-General or [Inspectors][and]/[or][Compliance Committee] to the data, information and samples [kept or maintained by the Contractor in accordance with th is regulation].\n\nSection 10. Miscellaneous\n\nRegulation 40. Prevention of corruption\n\n1. A Contractor shall not offer, promise or provide any gift, reward, favour or undue advantage, nor attempt to do so, directly or indirectly, to:\n\n(a) any officials, agents, employees or contractors or subcontractors of the Authority; or\n\n(b) other individuals acting under the auspices of the Authority; to induce such persons to act contrary to their duties under the Rules of the Authority, or to reward them for any such acts undertaken or refrained from .\n\n1. bis A Contractor shall not offer, promise or provide any gift, reward, favour or undue advantage, nor attempt to do so, directly or indirectly, to the Authority, to procure a benefit to which it would not be entitled.\n\n1. ter A Contractor shall not encourage, instruct, procure or condone another person providing gifts, rewards, favours or undue advantage as referred to in paragraphs 1 and 1.bis above on behalf of the Contractor or for the Contractor’s benefit.\n\n1. quat. In respect of activities in the Area, Contractors shall prepare and publish an anti- bribery and anti-corruption policy setting out how they assess and manage corruption risk, including how they collect and take risk-based steps to use beneficial ownership data of joint venture partners, subcontractors and supplie rs in their process.\n\n2. The Contractor shall adhere to the anti-bribery and anti-corruption provisions of the jurisdictions of which the Contractor is a national and shall conduct its activities under the Exploitation Contract in accordance with its obligations under such anti-bribery and anti-corruption laws.\n\n3. The obligations under paragraphs 1, 1.bis, 1.ter and 1.quat are fundamental terms of the Exploitation Contract for the purpose of regulation 103.\n\n3. bis The Secretary-General, an Inspector, or a Sponsoring State shall notify the Compliance Committee immediately if it becomes aware of any circumstance it considers contravenes this regulation or which would be likely to do so. The SecretaryGeneral or an Inspector, as applicable, shall also send such notification to the Sponsoring State or States. The Sponsoring State or States shall cooperate with the Authority and consider any further action in accordance with applicable domestic laws.\n\n3. ter The Compliance Committee shall consider any alleged contravention of this regulation as a matter of urgent priority, including whether to conduct an investigation to determine if a breach has occurred, if so determined, whether any measures against the Contractor under [regulation 103] would be appropriate. The Secretary-General shall forward all available potential information and evidence in support of such alleged contravention to the Compliance Committee and the Sponsoring State.\n\n4. Without prejudice to the Compliance Committee’s competence to take or recommend measures in accordance with [regulation 103], if a contravention of this regulation relates to a decision that has been taken by the Council or a recommendation of the Commission under these Regulations, then the Council or Commission shall consider the decision or recommendation de novo. If the decision of the Council or recommendation of the Commission relates to the approval of a Plan of Work or an extension of an approved Plan of Work,\n\n(a) the Commission shall recommend the disapproval of the concerned Plan of Work or the extension of the concerned Plan of Work; and\n\n(b) the Council shall disapprove the concerned Plan of Work or the extension of the concerned Plan of Work.\n\n5. This regulation shall apply mutatis mutandis to applicants. If the Compliance Committee determines that this regulation has been contravened by an Applicant:\n\n(a) the Commission shall not recommend approval of a proposed Plan of Work and shall reverse any recommendation for approval of such proposed Plan of Work, and\n\n(b) the Council shall not approve an application for a Plan of Work submitted by the said application, as applicable.\n\nRegulation 41. Other Resource categories\n\n1. The Contractor shall notify the Secretary-General immediately [or within no more than six hours of the discovery] if it discovers, within its Contract Area, Resources other than the Resource category to which the Exploitation Contract relates. [This notification shall include a description of the resources found].\n\n1. bis The Secretary-General shall inform the Council about such notification during the next available meeting of the Council.\n\n2. Any Exploration for and Exploitation of Resources referred to in paragraph 1 of this regulation shall be the subject of a separate application to the Authority [by any interested party] in accordance with the relevant rules, regulations and procedures of the Authority for that specified category of resources.\n\nRegulation 42. Restrictions on advertisements, prospectuses and other notices\n\n1. [Except to the extent required by any legal or disclosure requirements, including in relation to securities listings] no statement shall be made in any prospectus, notice, circular, advertisement, press release or similar document issued by the Contractor or with the express or implied permission of the Contractor, or in any other manner or through any other medium, claiming or suggesting, whether expressly or by implication, that the Authority has or has formed or expressed an opinion over the commercial viability of Exploitation in the Contract Area. [2. If there is any indication or reason to believe that this regulation has been contravened, the Compliance Committee shall take the matter up for urgent consideration, and determine whether to recommend to the Council that an investigation be carried out against all person or persons involved. The Secretary-General shall gather and forward all available and potential information and evidence in support of such allegation to the Compliance Committee [and the Contractor] [and seek the views of the Contractor in relation to any alleged contravention]. The Secretary General shall also notify the relevant Sponsoring State, who shall cooperate with the Authority as well as consider further action pursuant to its national legislation.] [3. This regulation may equally apply to Applicants. If the Authority determines that this regulation has been contravened, based on a verified finding of non-compliance, the application for the approval of a Plan of Work shall be dismissed, or the approval shall be reserved in instances where approval has already been granted, as the case may be. Any such dismissal or reversal shall be subject to procedural safeguards under the Authority’s legal framework.\n\nRegulation 43. Compliance with other laws and regulations\n\n1. Nothing in an Exploitation Contract shall relieve a Contractor from its obligations under any national, international or other law to which it is subject, including the laws of a Sponsoring State and flag State.\n\n2. Contractors shall maintain the currency of all permits, licences, approvals, certificates, and clearances not issued by the Authority and that may be required to lawfully conduct Exploitation activities in the Area. [Contractors must conduct regular reviews to ensure that all necessary documents are up to date and valid].\n\n3. Contractors shall notify the Secretary-General promptly when a permit, licence, approval, certificate, or clearance connected with its activities in the Area is terminated, changed or suspended. The Secretary-General shall upon notification request the relevant States how the termination, changes or suspensions may impact the Contractors activities in the Area. The Secretary-General shall then report any information provided by the Contractor and relevant States to the Compliance Committee for their consideration of whether any regulatory action is warranted or additional information from the Contractor or relevant State is required.\n\nPart IV. Protection and Preservation of the Marine Environment\n\nSection 1. Obligations relating to the Marine Environment\n\nRegulation 44. General Obligations\n\n1. The Authority, Sponsoring States, the Enterprise, Contractors, flag States and port States and the States of registry shall take necessary measures to ensure effective Protection of the Marine Environment from harmful effects which may arise from the Exploitation, in accordance with these Regulations as well as applicable Standards, taking into account the [relevant Regional Environmental Management Plan] and Guidelines and to this end shall, [as applicable in their respective areas of competence]:\n\n(a) apply the precautionary principle or precautionary approach, [as appropriate];\n\n(a) bis apply an Ecosystem-based Approach;\n\n(b) apply Best Environmental Practices;\n\n(c) apply scientific-based approach and use the Best Available Science and Scientific Information;\n\n(c) bis ensure the availability of [sufficient] science and scientific information for the purpose of decision-making;\n\n(c) ter use relevant traditional knowledge of Indigenous Peoples and of local communities in decision-making, where available;\n\n(d) ensure accountability and transparency in the assessment, evaluation and management of Environmental Effects and risks, including but not limited to [Stakeholder consultation and] public access to environmental information;\n\n(e) apply the polluter pays principle;\n\n(f) elaborate and implement measures to ensure that harmful effects ] to the Marine Environment are not transferred from one area to another or from one type of pollution into another one and to prevent, reduce and control interference with the ecological balance of the Marine Environment. Special attention should be paid to avoiding toxic, persistent and bio accumulative substances;\n\n(g) ensure reasonable regard for climate change Mitigation and avoidance of impacts on the ocean’s capacity to function as a [climate regulator] [carbon sink]; and [(h) apply the [Mitigation measures,] and should it become feasible in the future, remediate and restore the Marine Environment from harmful effects caused by activities in the Area. [(h) Alt. apply the Mitigation hierarchy to avoid, reduce, remediate and offset, as applicable, impacts on the Marine Environment.]\n\n2. The Commission shall make recommendations to the implementation of paragraph 1 as required. Council on the\n\n3. Nothing in these Regulations shall be interpreted as preventing States from applying environmental or other laws and regulations, or the Enterprise and Contractors from taking measures that are more stringent than those in the rules, regulations and procedures of the Authority relating to the Protection of the Marine Environment. [4. Exploitation in the Area and obligations relating to the Marine Environ ment] [The Rules of the Authority] shall be interpreted and applied in a manner that does not undermine relevant legal instruments and frameworks and relevant global, regional, subregional and sectoral bodies and that promotes coherence and coordination with those instruments, frameworks and bodies.]\n\nRegulation 44 bis. Regional Environmental Management Plans [1. The Council may request the Commission to prepare a Regional Environmental Management Plan for the regional areas where activities in the Area are likely to take place, for consideration and adoption by the Council.]\n\n2. The Commission shall only consider an application for a Plan of Work if a Regional Environmental Management Plan has been adopted by the Council for the particular area and type of resource concerned [in line with the Council approved procedures and template]. [2. bis As a general rule, a Regional Environmental Management Plan for a specific area shall be finalized prior to the expiry of the first exploration contract in that area.]\n\n3. In the event that an application for a Plan of Work is submitted for an area where no such Regional Environmental Management Plan exists, the drafting of a Regional Environmental Management Plan applicable to the area in concern shall be prioritised . [If such Regional Environmental Management Plan has not been adopted by the Council within 2 years after the submission of an application of a Plan of Work, the Commission shall consider the application for decision without delay, and the Council shall expe dite in parallel the formulation of such Regional Environmental Management Plan.] [3. bis The Council shall, based on the recommendations of the Commission, adopt the rules, regulations and procedures in relation to the development, establishment and review of Regional Environmental Management Plans.]\n\nRegulation 44 ter Environmental Goal and Objectives\n\n1. In performing their roles and obligations [under the Convention, the Agreement, and all relevant rules, regulations and procedures of the Authority,] [under these Regulations] [in relation to exploitation] Contractors, the Enterprise, the Authority and its organs, and Sponsoring States shall be guided by the Strategic Environmental Goal and Objectives, set out in this regulation.\n\n2. The Strategic Environmental Goal and Objectives in this regulation contribute to ensuring the Effective Protection for the Marine Environment from harmful effects that may arise from activities in the Area, in accordance with article 145 of the Convention.\n\n3. The Strategic Environmental Goal is to conserve and sustain Ecosystem Integrity of the Marine Environment. 4. The Strategic Environmental Objectives are to:\n\n(a) prevent loss of biological diversity, [including but not limited to genetic, species or functional diversity, habitat or community types, and structural complexity];\n\n(b) maintain the ability of populations to replenish themselves, [including but not limited to ensuring population connectivity and the preservation of suitable habitat];\n\n(c) prevent significant changes in the distribution, abundance, behaviour or productivity of species;\n\n(d) [Alt 1. prevent further risk to] [Alt 2. protect] [Alt.3 prevent further deterioration of] endangered or threatened species or populations of said species, including those for which the conservation status is unknown;\n\n(e) prevent the degradation of ecosystem functions and ecosystem services [including but not limited to carbon sequestration] [recognising that many ecosystem services are yet to be discovered];\n\n(f) prevent contamination by pollutants, damage to species, or other harmful effects to the Marine Environment during any phase of the mining process; (f. Alt.) prevent pollution and minimize risks posed by pollutants, especially those that may damage species or cause other harmful effects to the Marine Environment, including the coastline [during any phase of the mining process];\n\n(g) prevent, reduce and mitigate adverse effects on air and water quality as well as significant changes in the atmosphere, climate and weather patterns, the terrestrial environment, or the Marine Environment;\n\n(h) maintain resilience to prevent regime shift and to support recovery from Environmental Effects, including Cumulative Environmental Effects, including but not limited to those resulting from mining and climate change, that can affect source populations and communities, connectivity corridors, life-history patterns and species distributions;\n\n(i) prevent any risks that will undermine the protection and conservation of the natural resources of the Area and the prevention of damage to the species of the Marine Environment; (i. Alt.) protect and conserve the natural resources of the Area and prevent, reduce and mitigate damage to the species of the Marine Environment;\n\n(j) prevent degradation of special biological, scientific, archaeological, or historical significance of the Area or the Marine Environment. This shall include the preservation of vulnerable and unique marine ecosystems; and\n\n(k) prevent harmful effects from drilling, dredging, excavation, disposal of waste, construction and operation or maintenance of installations, pipelines or other devices related to activities in the Area.\n\n5. The Council shall ensure that the Strategic Environmental Goal and Objectives pursuant to this regulation are operationalized through region-specific environmental objectives [and measures], including in Regional Environmental Management Plans.\n\n6. [The Council shall ensure that the Strategic Environmental Goal and Objectives pursuant to this regulation and the region-specific environmental objectives pursuant to paragraph 5 are further operationalised through environmental thresholds, developed pursuant to regulation 4, paragraph 2 and regulation 94.]\n\n7. Contractors, Applicants, the Enterprise, [the Council, the Commission and Sponsoring States] as applicable, shall ensure that a [proposed] Plan of Work reflects [and contributes to] the achievement of the Strategic Environmental Goal and Objectives pursuant to paragraphs 3 and 4 as well as the relevant region -specific environmental objectives pursuant to paragraph 5.\n\n8. [The Authority shall keep its [Strategic Environmental Goal and Objectives and] region-specific environmental goals and objectives under periodic review and ensure amendments to reflect advances in scientific research and knowledge, technology, and new contributions from Indigenous Peoples and [from] local communities. Where the [Strategic Environmental Goal and Objectives or] region-specific environmental goals and objectives are revised, the Commission shall:\n\n(a) inform Contractors, the Enterprise and Sponsoring States and discuss whether any modification of a Plan of Work is required pursuant to regulation 57; and\n\n(b) recommend to the Council any necessary amendments to other relevant instruments.]\n\nRegulation 45. Development of environmental Standards and Guidelines\n\n1. Environmental Standards and Guidelines developed under this regulation shall have the purpose of ensuring the effective Protection of the Marine Environment from harmful effects, in accordance with article 145 of the Convention. [In addition to the environmental Standards, Guidelines on environmental matters may be developed, in accordance with regulation 95.]\n\n2. The application of this regulation shall be without prejudice to the function of the Council, upon recommendation by the Commission to adopt [other] Standards for the purpose [of ensuring] the effective Protection of the Marine Environment from harmful effects, in accordance with article 145 of the Convention.\n\nSection 2. The Environmental Impact Assessment Process\n\nRegulation 46. [The] Impact Assessment [Process]\n\n1. An Applicant or Contractor shall carry out an Environmental Impact Assessment on the potential impacts and effects on the Marine Environment of the proposed operations and activities [in accordance with the relevant regulations, and Standards, and taking into account the applicable Guidelines].\n\n2. The purpose of an Environmental Impact Assessment [Process] shall be to identify and inform the Authority’s assessment of an application of a Plan of Work under regulations 13 to 16, and predict and evaluate the potential Environmental Impacts [and Environmental Effects], of the proposed activities in the Area on the Marine Environment and identify necessary measures to Mitigate, or manage them, to enable the Authority to assess [whether:]/[the potential [residual] adverse [Environmental Impacts and] Environmental Effects, with the aim to]:\n\n(a) [the] effective Protection for the Marine Environment from harmful effects which may arise from such proposed activities [is ensured];\n\n(b) [all] activities in the Area are carried out with reasonable regard for other activities in the Marine Environment;\n\n(c) [ensure, in accordance with the Convention, that] [the Sponsoring State [or States]] and the Contractors, [in accordance with the Convention,] conduct the Environmental Impact Assessment with due regard to the rights and legitimate interests of any potentially most affected coastal State by maintaining, timely targeted and proactive consultations in accordance with regulation 93 bis; and\n\n(d) the proposed activities are carried out in accordance with the Convention, the Agreement, the Rules, regulations and procedures of the Authority and the applicable Standards and taking into account the Guidelines as well as, Best Available Scientific Information, Best Environmental Practices, and Best Available Techniques . 3. The [process for] Environmental Impact Assessment shall:\n\n(a) be based on relevant and representative environmental baseline data based on sufficient scientific information in accordance with applicable Standards and Regional Environmental Management Plans and taking into account the Guidelines;\n\n(b) be carried out by competent experts [or competent individuals];\n\n(b) bis be based on the Best Available Scientific Information and, [taking into account,] where available, relevant traditional knowledge of Indigenous Peoples and of local communities;\n\n(c) include an Environmental Risk Assessment that takes into consideration the region as a whole in accordance with the relevant Regional Environmental Management Plan; [(c) bis include an underwater survey, [which may be conducted by an expert archaeology surveyor], to identify human remains and [objects and sites of an archaeological or historical nature][Underwater Cultural Heritage] or any venerated sites that are located in areas of the proposed Exploitation activities; ]\n\n(d) [include] consultation with all States and Stakeholders in accordance with regulation 93 ter, relevant Standards and taking into account the relevant Guidelines.\n\n(e) take into account the results from Test Mining activities conducted during Exploration;\n\n(f) identify scientific and other knowledge gaps or data uncertainties, and assess the degree to which these influence the assessment; and\n\n(g) be an iterative process where specific stages are revisited and may be updated in the light of new information or new activity at a later stage .\n\n4. The Environmental Impact Assessment [Process] must follow certain procedural steps and entail the following elements:\n\n(a) a stage for scoping in accordance with regulation 47 bis;\n\n(b) a stage for assessment of Environmental Impacts [and Environmental Effects] in accordance with regulation 47;\n\n(c) a stage on the preparation and submission to the Authority of the Environmental Impact Statement to document and report the results of the Environmental Impact Assessment in accordance with regulation 47, the applicable Standards and taking into account the [relevant] Guidelines; and\n\n(d) the publication and review by the Commission of the Environmental Impact Statement, and publication of the Commission’s report and recommendations to the Council pursuant to regulations 11-15.\n\nRegulation 47. Environmental Impact Assessment\n\n1. The Applicant or Contractor shall, in accordance with the Standards, and taking into account the Guidelines, undertake an impact assessment, based on the terms of reference agreed in the Scoping Report. This includes assessing:\n\n(a) the intensity or severity of the impact [or effect] at the [area being affected];\n\n(b) the spatial extent of the impact [or effect] relative to the availability of the habitat type affected;\n\n(c) the sensitivity and vulnerability of the ecosystem to the impact [or effect, if applicable];\n\n(d) the ability of an ecosystem to recover from harm, and the rate of such recovery;\n\n(e) the extent to which ecosystem functions may be altered by the impact [or effect]; and [(e)bis the extent to which human remains and [Alt. 1 objects and sites of an archaeological or historical nature] [Alt. 2 Underwater Cultural Heritage] [or any venerated sites] may be altered or otherwise affected by the impact.] 2. In undertaking the impact assessment, the Applicant or Contractor shall complete:\n\n(a) an analysis of reasonable alternatives to the planned activity, including the noaction alternative;\n\n(b) an Environmental Risk Assessment, which adds to the preliminary Environmental Risk Assessment required during scoping by regulation 47 bis, paragraph 3, subparagraph (b);\n\n(c) an analysis of the results of the Environmental Risk Assessment, including identification of risks requiring particular focus, including in the Environmental Management and Monitoring Plan;\n\n(d) identification of measures to monitor [Environmental Impacts and] Environmental Effects to identify measures to prevent, Mitigate and manage such [impacts,] effects and risks to as low as reasonably practicable, while within acceptable levels in accordance with environmental Standards;\n\n(d) bis an analysis of the sufficiency of scientific information needed to perform the assessments listed in paragraph 1; and\n\n(e) provide for [engagement with potentially directly affected States]/[consultation with all States and Stakeholders] in accordance with regulation 93 ter, [relevant] Standards and taking into account the relevant Guidelines.\n\nRegulation 47 bis. Scoping\n\n1. An Applicant or Contractor shall undertake scoping and prepare and submit to the Secretary-General a Scoping Report in accordance with this regulation, Annex III bis, the applicable Standard and taking into account the applicable Guidelines.\n\n2. An Applicant or Contractor shall use Environmental Impact Assessment scoping to identify and prioritize the main activities and potential impacts associated with the proposed Exploitation, in order to focus the Environmental Impact Assessment and Environmental Impact Statement on the key environmental issues. [2 bis An Applicant or Contractor shall ensure that key environmental and any associated impacts, such as economic, social, cultural and human health impacts, including potential cumulative impacts, as well as alternatives to the planned activity, if any, to be included in the Environmental Impact Assessments, are identified.]\n\n3. In undertaking the Environmental Impact Assessment scoping, the Applicant or Contractor, shall:\n\n(a) review available data and knowledge, and propose additional data to be collected and studies needed to complete an Environmental Impact Statement in accordance with these Regulations;\n\n(b) undertake a preliminary impact analysis and Environmental Risk Assessment which will be updated as the Environmental Impact Assessment proceeds;\n\n(c) identify potentially affected Stakeholders in accordance with the applicable Standards and taking into account the Guidelines;\n\n(c) bis [engage]/[consult] with potentially affected [States] and in accordance with regulation 93 bis, Standards and taking into account the Guidelines;\n\n(d) identify and evaluate feasible alternative means of carrying out the project that will be further examined in the Environmental Impact Assessment;\n\n(e) use the best available scientific information and, where available, [and if applicable,] relevant traditional knowledge of Indigenous Peoples and of local communities; [(e) bis review the Best Available Scientific Information and, where available, the relevant traditional knowledge of Indigenous Peoples and of local communities and conduct consultations with the relevant Stakeholders to identify, to the extent possible, potential areas containing human remains and [Alt. 1 objects and sites of an archaeological or historical nature] [Alt. 2 Underwater Cultural Heritage][, or any venerated sites] that are located in areas of the proposed Exploitation activities ;]\n\n(f) identify terms of reference for the Environmental Impact Assessment; and\n\n(g) prepare a Scoping Report.\n\n4. The Applicant or Contractor shall consult on the Scoping Report, with all States and Stakeholders, in accordance with regulation 93 ter, before submission for approval.\n\n5. The Commission shall consider a Scoping Report submitted in accordance with this regulation, and taking into account the consultation submission received under regulation 93 ter, paragraph 8, the Applicant or Contractor’s written response prepared under regulation 93 ter, paragraph 9, any additional information provided by the Secretary-General, and in accordance with the applicable Standards and taking into account the Guidelines.\n\n6. The Commission [shall, within 60 days following its receipt of the report and any comments received as part of the consultation process referred to in paragraph 5,] recommend that the Applicant or Contractor:\n\n(a) revise the preliminary Environmental Risk Assessment, terms of reference or other aspects of the Scoping Report;\n\n(b) submit [a revised Scoping] Report, [including any amended terms of reference] for further consideration [by the Commission]; or\n\n(c) further consults under regulation 93 ter on any revised Scoping Report, particularly if the recommendations are likely to lead to a Material Change in the Scoping Report; and [(d) proceed with the preparation of the Environmental Impact Assessment based on the agreed terms of the reference contained in the Scoping Report.]\n\n7. The Applicant or Contractor [shall, before proceeding with the next steps of the Environmental Impact Assessment pursuant to regulation 47 agree the final contents of the draft terms of reference with the Commission (or have obtained approval of the scoping or taken account of any recommendations of the Authority provided prior to the adoption of these Regulations).\n\nRegulation 48. Environmental Impact Statement\n\n1. An Applicant or Contractor, as the case may be, shall prepare an Environmental Impact Statement in accordance with this regulation, Annex IV, the applicable Standards and taking into account Guidelines. The Statement shall be considered by the Authority in accordance with Part II or regulation 57 and is required for an application for a Plan of Work pursuant to regulation 7, paragraph 3, subparagraph (d).\n\n2. The Environmental Impact Statement shall document and report the results of the Environmental Impact Assessment carried out in accordance with regulation 47 and shall provide the Authority, its member States and other Stakeholders with [clear] documentation of the potential [Environmental Impacts and] Environmental Effects based on the Best Available Scientific Information, [including relevant and sufficient baseline environmental data and taking into consideration the Best Environmental Practices, and Good Industry Practice.\n\n2. bis The Applicant or Contractor shall engage with potentially directly affected Stakeholders, and in accordance with regulation 93 bis applicable Standards, and taking into account Guidelines, during the development of the Environmental Impact Statement.\n\n2. ter The Applicant or Contractor shall consult with all States and Stakeholders in accordance with regulation 93ter on the Environmental Impact Statement before submission for approval.\n\n3. The Environmental Impact Statement shall be in a form , [and entail all elements,] prescribed by the Authority in Annex IV and the applicable Standard and taking into account] the applicable Guidelines, and shall:\n\n(a) detail the results of the Environmental Impact Assessment including the methodology used, the sufficiency of [data and] information and evaluation of the identified Environmental Impacts [and Environmental Effects]; [(a) bis based on sufficient baseline environmental data and results of the performed Test Mining Study, where applicable;]\n\n(b) demonstrate that the proposed Exploitation is in accordance with all [applicable] environmental Standards and [taking into consideration] the Authority’s environmental [goals and] objectives] and the relevant Regional Environmental Management Plan, as well as any [Test Mining activities conducted during Exploration;];\n\n(c) describe engagement and consultations undertaken and identify comments received through consultation with States on the Environmental Impact Assessment and [in accordance with regulation 93 ter] [include the written response prepared under regulation 93 bis, paragraph 9];\n\n(d) be prepared in clear language and in an official language of the Authority together with an English-language version, where applicable. [4. The Environmental Impact Statement of every project, including any revisions, shall be made available on the Authority’s website.]\n\nRegulation 48 bis. [New Environmental Impact Assessment and Revised Environmental Impact Statement [or Revision of Environmental Plans]] / [Revision for change or new or increased effect or risk]\n\n1. If a Contractor becomes aware that any of the circumstances listed in paragraph 2 below have not been addressed by either an Environmental Impact Assessment or an Environmental Plan, it shall promptly notify the Secretary-General in writing, including:\n\n(a) a detailed description of the circumstance;\n\n(b) details of the potential [impact,] effect on or risk to the Marine Environment; and\n\n(c) details of any Environmental Impact Assessment conducted or to be conducted, or proposed modification to the Environmental Plans. 2. The relevant circumstances for the purpose of paragraph 1 are:\n\n(b) environmental monitoring demonstrates that impacts [and effects] significantly exceed the impact predictions made in the Environmental Impact Statement [and which are not the result of natural variability or natural changes in the Marine Environment] ;\n\n(c) an activity described in the Plan of Work is predicted to [consistently and persistently] exceed the impact thresholds set out in the Standards on environmental thresholds [in a manner that results in demonstrated non-compliance with these Regulations];\n\n(d) an applicable Standard, activity or predicted [significant] impact [or effect] has not already been addressed by an Environmental Impact Statement ; or\n\n(e) a review of existing Environmental Impact Assessment or Environmental plans is otherwise deemed necessary by the Commission or Council, in accordance with applicable Standards and taking into account the Guidelines, including following its review of a Contractor’s activities contained in an annual report submitted pursuant to regulation 38 or review of a Plan of Work pursuant to regulation 58.\n\n3. The Secretary-General shall transmit the information received from the Contractor under paragraph 1 above to the Commission. The Commission shall assess the information and determine whether the Contractor shall undertake an Environmental Impact Assessment and propose a revised Environmental Impact Statement; [or make modification to the Environmental Plans] or [make] other modification to the Plan of Work in accordance with regulation 57. [4. In order to proceed with Exploitation on a site within the Contract Area, where such Exploitation activity was not covered by the agreed Plan of Work, the Contractor must submit a new Environmental Impact Statement and revised Plan of Work, which must be approved by the Authority in accordance with regulations 11 to 16.] [5. For the avoidance of doubt, any Environmental Impact Assessment and revision to an Environmental Impact Statement conducted pursuant to this regulation shall be subject to the full processes prescribed in these Regulations.]\n\nRegulation 48 ter Pilot Mining\n\n1. Unless otherwise provided, nothing in this regulation shall exempt the Applicant or Contractor, as the case may be, from conducting Test Mining before the submission of a Plan of Work for Exploitation.\n\n2. Subject to this regulation [and the applicable Standard], a Contractor shall conduct “Pilot Mining” before starting any Commercial Production under an Exploitation Contract. Information gathered through Pilot Mining shall be compiled in a Pilot Mining Report in accordance with the applicable Standard and taking into account the Guidelines.\n\n3. Pilot Mining is conducted by a Contractor in its preparation for commencement of Commercial Production, and to assist the Commission in its [evaluation] [validation] of the Feasibility Study.\n\n4. The purpose of Pilot Mining is to validate that the proposed mining equipment is commercially and technically appropriate and the effects of the activity, in particular with regard to the Protection of the environment, operates as described in the Environmental Impact Statement/Plan of Work.\n\n5. Pilot Mining requires a prior approval by the Commission [and Council] and shall be carried out with reasonable regard for other activities in the Marine Environment, in accordance with articles 87 and 147 of the Convention, and in accordance with the applicable Standard and taking into account the Guidelines, in particular to ensure effective protection for the Marine Environment from harmful effects in accordance with article 145 of the Convention.\n\n6. A validation monitoring system shall be established by the Contractor, in line with the Environmental Management and Monitoring Plan, in order to monitor whether the requirements of the Plan of Work are complied with. In case of non -compliance, regulation 52 will apply.\n\n7. Any gains from Resources which have been collected during Pilot Mining shall be paid to the [mechanism for the sharing of benefits to be established by the Authority] .\n\n8. If a Material Change has been determined in accordance with regulation 25 [or] 57, paragraph 2, the Council shall determine whether and on which aspects any additional Pilot Mining may have to be undertaken based on the recommendations of the Commission in order to satisfy the requirements of paragraph [3] above. In this case, paragraphs [2] and [4] above apply.\n\n9. After the Pilot Mining, the Contractor shall submit to the Commission a Pilot Mining Report. The Pilot Mining Report shall provide information on the findings from the Pilot Mining, in accordance with the Standards and taking into account the Guidelines. [On this basis, the Contractor shall accordingly update its Environmental Plans.] The Pilot Mining Report [and the updated Environmental Plans] shall [mutatis mutandis be subject to regulation 11 and] provide the Commission with required information [for its assessment]. The Commission shall, without undue delay, review the findings of the Pilot Mining [Report and the updated Environmental Plans] and make [appropriate] recommendations to the Council.\n\n10. The Council shall, without undue delay, consider the findings of the Pilot Mining [Report and the updated Environmental Plans based on the recommendation of the Commission and in accordance with the procedure set out in regulation 16]. If the findings of the Pilot Mining [and the updated Environmental Plans] are in accordance with the [criteria set out in regulation 13], the Council shall make an affirmative decision and notify the Contractor through the Secretary-General. Thereafter, the Contractor may commence Commercial Production in accordance with the Exploitation Contract.\n\n11. The provisions under regulations 12 to 16 shall apply mutatis mutandis to paragraphs 8 to 10 in this regulation.\n\n12. Pilot Mining shall not equate to Commercial Production as defined under regulation 27 and in the Schedule.\n\nSection 3. Environmental Management and Monitoring\n\nRegulation 49. Environmental Management and Monitoring\n\n1. A Contractor shall continuously [and/or continually, as appropriate,] monitor and manage the Environmental Impacts and Environmental Effects [and risks] of its activities on the Marine Environment, [in accordance with the Environmental Management and Monitoring Plan and the Closure Plan ].\n\n2. A Contractor shall monitor the Environmental Impacts and Environmental Effects [and risks] of its activities on the Marine Environment [to determine whether they are having or are likely to have harmful effects on the Marine Environment] to assess compliance with the [Environmental Impact Assessment and] Environmental Impact Statement and Environmental Management and Monitoring Plan and Closure Plans [ and to avoid risk of Serious Harm to the Marine Environment]. Such monitoring shall include a comparison of monitoring data against environmental threshold values and a comparison between monitoring data and the effects predicted in the Environmental Impact Statement, to measure, analyse, and document the actual effects on the Marine Environment. 3. Monitoring shall be conducted until completion of a Closure Plan. 4 . The Contractor shall Mitigate and manage Environmental Impacts and Environmental Effects [and risks] to ensure that these are consistent with the [threshold values,] Standards and the Exploitation Contract and its schedules [including the predictions made in the Environmental Impact Statement].\n\n5. If the Contractor identifies harmful effects on the Marine Environment that breach the terms and conditions of its Exploitation Contract or the relevant rules, regulations and procedures of the Authority, including the applicable Standards, [taking into account the Guidelines,] [and if the harmful effects is an Incident or Notifiable Event, the Contractor shall proceed in accordance with regulation 33 or 34,as applicable]. [All harmful effects identified by the Contractor shall be reported in according t o regulation 50bis].\n\nRegulation 50. Environmental Management and Monitoring Plan\n\n1. The purpose of an Environmental Management and Monitoring Plan is to set out how a Contractor shall meet its management and monitoring obligations under regulation 49.\n\n2. The Environmental Management and Monitoring Plan shall include all elements and matters prescribed in Annex VII to these Regulations and shall :\n\n(a) incorporate project specific environmental objectives and environmental performance Standards, [including environmental threshold values] which are designed to achieve the environmental policy and objectives of the Authority [including those] set out in regulation 44 ter] and [are compatible with] applicable Standards and [taking into account] the relevant Regional Environmental Management Plan;\n\n(b) incorporate appropriate measurement criteria, in accordance with the applicable Standard and reflect its methodology to determine whether the environmental objectives [and Environmental Performance Standards] are being met and that the operation is compliant with the Exploitation Contract and its schedules and the relevant rules, regulations and procedures of the Authority;\n\n(c) incorporate measures and procedures on:\n\n(i) how the Environmental Impacts and Environmental Effects of Exploitation will be monitored;\n\n(ii) how the Mitigation and Management measures, including pollution control and Mining Discharge in regulations 53 bis and 53 ter will be implemented and how the effectiveness of such measures will be monitored [and evaluated];\n\n(iii) how spatial and temporal measures, including Preservation Reference Zones and Impact Reference Zones, will be utilised and implemented;\n\n(iv) how, if the monitoring results in new knowledge, the Contractor will take such knowledge into account;\n\n(v) a description of the Environmental Management System ; and\n\n(vi) how continual improvement will be achieved, including by testing assumptions and predictions made in the Environmental Impact Statement, improving environmental knowledge, and reducing uncertainties remaining from the Environmental Impact Assessment.\n\n(d) contain a monitoring programme for at least the first seven years of Commercial Production to be conducted in compliance with the applicable Standards and taking into account the Guidelines. [2. Alt. The Environmental Management and Monitoring Plan shall be in accordance with the Authority’s environmental policy and objectives [including those set out in regulation 44 ter] and [are compatible with] applicable Standards and [taking into account] the relevant Regional Environmental Management Plan, the relevant Guidelines, and be based on the Environmental Impact Statement, and shall include all elements and matters prescribed by the Authority in Annex VII to these Regulations, and shall:\n\n(a) set project specific environmental objectives and environmental performance Standards;\n\n(b) set measurement criteria and methodology;\n\n(b) bis [detail] how spatial and temporal measures, including Preservation Reference Zones and Impact References Zones, will be utilised and implemented;\n\n(c) commit to specific measures and procedures on;\n\n(i) monitoring the Environmental Impacts and Environmental Effects of Exploitation;\n\n(ii) Mitigation and management, including pollution control and Mining Discharge in regulations 53 bis and 53 ter;\n\n(iii) [monitoring the effectiveness of monitoring and management, as the relevant measures and procedures are implemented]; and\n\n(iv) taking corrective action and responding to monitoring results and new knowledge with the aim of continuous improvement;\n\n(d) describe what monitoring data and reports will be submitted to the Authority, including details of: frequency, format, medium, and data integrity Standards; and\n\n(e) provide a description of the Environmental Management Syste m and.]\n\nRegulation 50 bis. Reporting on Environmental Monitoring and Management\n\n1. The Contractor shall report annually in writing, to the Secretary -General on the implementation and results of the Environmental Management and Monitoring Plan in accordance with regulation 38, paragraph 2, subparagraph (g).\n\n2. The Contractor shall submit to the Secretary General [required] environmental data and information at the required intervals to the required data integrity quality, and in the required standardized format as set out in the Environmental Management and Monitoring Plan, in accordance with the applicable Standards, and taking into account the Guidelines.\n\n3. The Secretary General shall publish the environmental data and information publicly in accordance with regulation 92bis. The Secretary-General shall transmit annual reports to the Commission for its consideration pursuant to article 165 of the Convention and publish them pursuant to regulation 38, paragraph 3.\n\nRegulation 50 ter Environmental Management System\n\n1. A Contractor shall have in place, implement and maintain an Environmental Management System that meets the requirements of the relevant Standard and taking into account the Guidelines, for the purpose of monitoring, managing, and continuously improving its environmental performance, including through implementing the Environmental Management and Monitoring Plan.\n\n2. The Environmental Management System shall be detailed in the Environmental Management and Monitoring Plan in accordance with regulation 7, paragraph 3.bis, subparagraph (h). An Environmental Management System shall refer to the following iterative process to:\n\n(a) establish environmental objectives and processes necessary to deliver results in accordance with the Authority’s environmental objectives in the Contract Area, including those reflected in the Applicant’s Environmental Management and Monitoring Plan and the relevant Regional Environmental Management Plan;\n\n(b) implement and monitor the processes as planned and report the results to the Secretary-General; the reporting is reflected in the delivery of the annual reports pursuant to regulation 38, including details of any accidents or incidents and Notifiable Events; and\n\n(c) take actions to continually improve the performance of the Environmental Management and Monitoring Plan and report these actions in the next annual report submitted to the Secretary-General pursuant to regulation 38.\n\n3. The Contractor shall ensure that its Environmental Management System shall be reviewed and undergo periodic audits by an independent recognized and accredited international or national organization, in accordance with applicable Standards.\n\n4. A Contractor shall, in its annual reports include the results of the audits under paragraph 3 and demonstrate the continual and systematic assessment of the Environmental Management System and its improvement.\n\nRegulation 51. Compliance with the Environmental Management and Monitoring Plan\n\n1. The Commission shall review the data submitted by the Contractor [monthly/annually] pursuant to regulation 50 bis, paragraph 2 [upon receipt].\n\n2. The Contractor shall review the implementation of the Environmental Management and Monitoring Plan on a [regular] basis. Such review shall include:\n\n(a) the efficacy, timeliness, relevance and accuracy of flow of information and data derived from monitoring the Exploitation activities and the Environmental Impacts and Environmental, and Impact Area, [including the Mining Area]; and\n\n(b) the accuracy of the findings of the Environmental Impact Assessment as set out in the Environmental Impact Statement.\n\n3. If the Commission considers that [the environmental] monitoring data submitted pursuant to regulation 50 bis, paragraph 2, or its quality, indicates that the Contractor does not meet its obligations, the Commission shall refer the matter to the Compliance Committee without undue delay. The Secretary-General shall notify the Contractor, the Sponsoring State, and the Council that the matter has been referred.\n\n4. Where, as the result of the review by the Commission under regulation 52, paragraph 7, the Commission concludes that a Contractor has failed to comply with its Environmental Management and Monitoring Plan, the Commission shall refer the matter to the Compliance Committee. The Secretary-General will notify the Contractor, Sponsoring State and Council that the matter has been referred.\n\n5. The [Compliance Committee] shall assess any matter referred to it under this regulation paragraph 4 and 5 and take any necessary actions consistent with regulation s 102 and 103.]\n\nRegulation 52. Performance assessments of the Environmental Management and Monitoring Plan\n\n1. A Contractor shall [also periodically] conduct [or commission a formal] performance assessments of its Environmental Management and Monitoring Plan, [in accordance with this regulation, [the applicable Standard and taking into account the Guidelines]. In conducting such a performance assessment of the Environmental Management and Monitoring Plan, the Contractor shall [using an Independent Auditor,] assess:\n\n(a) the continued appropriateness and adequacy of the plan, including the management conditions and actions attaching thereto;\n\n(b) the conformity of the plan with [the objectives and] measures included in the applicable Regional Environmental Management Plan [including any revisions or updates to the Regional Environmental Management Plan that may be adopted from time to time,];\n\n(c) the accuracy of the findings of the Environmental Impact Assessment as set out in the Environmental Impact Statement, [upon which the Environmental Management and Monitoring Plan was based];\n\n(d) that any relevant changes in knowledge, technology, mining patterns, monitoring techniques and detection capabilities, [that were not taken into account in developing or previously updating the Environmental Management and Monitoring Plan which are relevant,] are reflected [according to Good Industry Practice, Best Available Techniques and Best Environmental Practices];\n\n(e) the reports of the Environmental Management and Monitoring Plan, as well as the comments and evaluation from the Commission to the reports in accordance with regulation 48 above, and any comments received by the [Commission/Compliance Committee] in accordance with regulation 51; and\n\n(f) the currency and adequacy of its Environmental Management System, including its ability to implement effectively the Environmental Management and Monitoring Plan.\n\n2. The frequency of a performance assessment shall be in accordance with the period specified in the approved Environmental Management and Monitoring Plan and shall occur every 24 months or, if amendments have been made to the Environmental Management and Monitoring Plan following a previous performance assessment, 12 months after such amendments have been accepted by the Council, whichever occurs later.\n\n3. An [additional] ad hoc performance assessment [under this regulation] may [also] be requested by the [Compliance Committee] following:\n\n(a) an Incident [or Notifiable Event];\n\n(b) issuance of a Non- Compliance Notice under regulation 103bis; and\n\n(c) when deemed necessary by the [Committee following investigation into thirdparty information submitted to the [Authority] or following investigation into matters referred by the Commission under regulation 51[ that results in sufficient evidence to suggest a breach of compliance has occurred]. [3. bis The Contractor shall engage with [potentially directly affected] Stakeholders, and in accordance with [regulation 93 bis], Standards and taking into account the Guidelines during the development of the performance assessment; ]\n\n4. A Contractor shall submit the results of a performance assessment in a performance assessment report to the Secretary-General in accordance with, and in the format set out in, the applicable Standards and taking into account the Guidelines, [and shall, as a minimum contain the following information :\n\n(a) information regarding the period applicable to the performance assessment;\n\n(b) the scope of the assessment;\n\n(c) the procedure used for the assessment; and\n\n(d) the evaluation criteria used during the assessment.] [5. Before submission of the performance assessment report, the Contractor shall conduct a consultation on a draft performance assessment report in accordance with regulations 93 bis and 93 ter.]\n\n6. The Commission shall review the performance assessment report in accordance with the applicable Standard and taking into account the Guidelines. [within 60 Days of receipt of such report and comments].\n\n7. Where the Commission upon review of the report, considers the performance assessment to be unsatisfactory or the report submitted to be inadequate, the Commission may, after providing the Contractor with a reasonable opportunity to address any inadequacies, require the Contractor to:\n\n(a) submit any relevant supporting documentation or information requested by the Commission including a revised report; or\n\n(b) appoint, at the cost of the Contractor, an independent competent person to conduct the whole or part of the performance assessment and to compile a report for submission to the Secretary-General and review by the Commission. [8. Where, as a result of paragraph 7 above, a revised assessment and report is produced, a new consultation in accordance with regulation 93 ter shall be conducted on the revised assessment.]\n\n9. Where, as the result of a review by the Commission under paragraph 6 above, the Commission concludes that the Environmental Management and Monitoring Plan is determined to be inadequate in any material respect, the Commission shall require the Contractor to deliver a revised Environmental Management and Monitoring Plan, taking into account the findings and recommendations of the Commission. A revised plan shall be [treated the same way as a modification of a Plan of Work pursuant to regulation 57 mutatis mutandis].\n\n10. The Commission shall report annually to the Council on performance assessments [conducted pursuant to this regulation,] and any action taken pursuant to paragraphs 6 to 9. Such report shall include any relevant recommendations for the Council’s consideration and shall be published on the Authority’s website.\n\nRegulation 53. Pollution control A Contractor shall take [all] necessary [and appropriate] measures to protect and preserve the Marine Environment, from harmful effects, in accordance with article 145 of the Convention, including by preventing, reducing and controlling pollution and other hazards, [including underwater noise, light, greenhouse gas emissions, and marine litter, directly or indirectly [resulting arising] from its activities in the Area. This is to be done [in accordance with the Standards], [pursuant to] [its Environmental Management and Monitoring Plan, and] all relevant rules, regulations and procedures of the Authority [and Contractors’ Environmental Management and Monitoring Plan] , [and taking into account] Regional Environmental Management Plans, and [the Guidelines].\n\nRegulation 53 bis. Mining Discharges\n\n1. A Contractor shall not introduce any Mining Discharge into the Marine Environment, except where such Mining Discharge is permitted in accordance with:\n\n(a) the assessment framework for Mining Discharges as set out in the applicable Standard [and];\n\n(b) the Plan of Work.\n\n2. Notwithstanding paragraph 1, a Contractor may make such Mining Discharge into the Marine Environment where it is necessary for the safety of the vessel or Installation or the safety of human life, provided that such Mining Discharge is conducted so as to prevent harm to human life and to the Marine Environment. [Such Mining Discharge shall be considered an Incident] [3. A Contractor shall keep a register of Mining Discharges, to be updated [promptly] after any discharge event, that shall be reported annually to the Authority under regulation 38, as part of the Contractor ’s annual report.] [4. The Applicant or Contractor must continuously monitor its Mining Discharges and maintain a register that is reported to the Authority at least weekly in addition to the mandatory annual report pursuant to regulation 38.]\n\nSection 4. Environmental Compensation Fund\n\nRegulation 54. Establishment of an Environmental Compensation Fund [1. The Authority hereby establishes the Environmental Compensation Fund, referred to as “the ECF” for the purposes of these Regulations.\n\n2. [Prior to the approval of the first Plan of Work for an Exploitation Contract under these Regulations,] the rules and procedures governing the ECF shall be approved by the Assembly upon the recommendation of the Council. Those rules and procedures falling within the scope of its mandate shall be formulated by the Finance Committee and submitted to the Council for that purpose. These rules and procedures shall include, inter alia:\n\n(a) the requirements and modalities governing contributions to the ECF in accordance with regulation 56, including modalities for replenishment upon disbursement;\n\n(b) the minimum size of the ECF;\n\n(c) a description of how the ECF and any interest generated will be managed and by whom;\n\n(d) the modalities for administering claims against the ECF, including determining entities eligible to access the ECF, which may include, among others, States Parties to the Convention, potentially most affected States and the Authority;\n\n(e) the types of damage and purposes eligible for claims, in accordance with regulation 55;\n\n(f) a prioritization of categories of damage to be applied in assessing claims;\n\n(g) financial safeguards to ensure a long-term viability of the ECF;\n\n(h) the standard of proof required for claims; and\n\n(i) a process for determining disbursements from the ECF.\n\n3. The Secretary-General shall, in consultation with the Finance Committee, prepare an independently audited statement of the income and expenditure of the ECF within 90 days of the end of a Calendar Year for submission to the Assembly and publication on the Authority’s website.]\n\nRegulation 55. Purpose of the Environmental Compensation Fund [1. The purpose of the ECF is to provide adequate compensation for any damage arising from activities conducted under an Exploitation Contract in cases where a Contractor does not meet its liability in full, and where all other options under these Regulations for claiming compensation from the Contractor have been exhausted, while the Sponsoring State is not liable under article 139, paragraph 2, of the Convention. Compensation includes the costs of reasonable measures undertaken to prevent, limit, or remedy damage to the Marine Environment [, as well as those related to restitution, Restoration and Rehabilitation]. 2. The operation of the ECF shall be subject to periodic review.]\n\nRegulation 56. Funding of the Environmental Compensation Fund [1. Consistent with the polluter-pays principle, the ECF shall consist of a one-time contribution paid by Contractors and/or the Enterprise following the approval of a [Plan of Work] and prior to [Commercial Production] [the commencement of activities under an Exploitation Contract], as well as an annual levy paid to the ECF by Contractors and/or the Enterprise, both as determined by the Authority.\n\n2. The Council may further decide, based on the recommendations of the Finance Committee, that additional monies be paid to the ECF [from any appropriate source, including, where consistent with the Authority’s mandate, contributions from entities that benefit from activities in the Area]. 3. The ECF may also receive voluntary contributions.]\n\nPart V. Review and modification of a Plan of Work\n\nRegulation 57. Modification of a Plan of Work by a Contractor\n\n1. A Contractor shall not modify the Plan of Work scheduled to an Exploitation Contract except in accordance with this regulation or as otherwise provided for by applicable regulations.\n\n2. A Contractor shall notify the Secretary-General of any proposed modification to a Plan of Work. The Secretary-General shall inform the Council and transmit the notification to the Commission within 7 Days of receipt.\n\n3. The Commission shall determine whether the proposed modification constitutes a Material Change in accordance with any applicable Standards and applying the procedure in regulation 12 mutatis mutandis.\n\n4. If the Commission determines in accordance with paragraph 3 of this regulation that the proposed modification constitutes a Material Change:\n\n(a) it shall report its determination to the Council and recommend whether the Contractor should be required to undertake an Environmental Impact Assessment and revise the Environmental Plans, and / or any other part of the Plan of Work;\n\n(b) the Council, based on the recommendations of the Commission, shall decide whether the Contractor is required to undertake an Environmental Impact Assessment and revise the Environmental Plans, and / or any other part of the Plan of Work;\n\n(c) if the Council decides in accordance with paragraph 4, subparagraph (b) that the Contractor is required to undertake an Environmental Impact Assessment and revise the Environmental Plans, and / or any other part of the Plan of Work, the Contractor shall do so applying the processes for their preparation set out in the Regulations mutatis mutandis and shall submit revised documents to the Commission. The Commission shall report to the Council on the revised documents and shall recommend either approval or disapproval of the proposed modification. The Council shall consider the proposed modification and the report of the Commission, and shall approve or disapprove the proposed modification applying the Council procedure for consideration and approval of a Plan of Work in regulation 16 mutatis mutandis; and\n\n(d) if the Council decides in accordance with paragraph 4, subparagraph (b) that the Contractor is not required to undertake an Environmental Impact Assessment and revise the Environmental Plans, or any other part of the Plan of Work, the Secretary-General and the Contractor shall immediately undertake a consultation on the proposed modification applying the process set out in regulation 93ter, following which the Council shall consider the proposed modification taking into account the results of the consultation and the report of the Commission, and shall approve or disapprove the proposed modification applying the Council procedure for consideration and approv al of a Plan of Work in regulation 16 mutatis mutandis.\n\n5. If the Commission determines in accordance with paragraph 3 of this regulation that the proposed modification does not constitute a Material Change, it shall recommend approval or disapproval of the proposed modification and shall report its recommendation to the Council, following which:\n\n(a) if the Council does not notify the Secretary-General that it disagrees with the Commission’s recommendation within 60 Days of the date the recommendation is notified to the Council, the recommendation shall take effect as if it were a decision of the Council 60 Days after such notification;\n\n(b) if, within 60 Days of the date a recommendation by the Commission to approve or disapproved the proposed modification is notified to the Council, the Council notifies the Secretary-General the proposed modification should be assessed as a Material Change, the procedure in paragraph 4, subparagraphs (b) – (d) of this regulation shall apply immediately;\n\n(c) if, within 60 Days of the date a recommendation by the Commission to approve or disapprove the proposed modification is notified to the Council, the Council notifies the Secretary-General that it disagrees with the recommendation, the Council shall decide whether to request the Commission to reconsider its recommendation, and if making such a request, shall provide the Commission with the Council’s reasons for doing so;\n\n(d) the Commission shall notify the Council of its reconsidered recommendation in response to any request under paragraph 5, subparagraph (c) within 60 Days of the request, following which the Council shall decide within 60 Days whether to approve or disapprove the proposed modification; and\n\n(e) if the Council does not take a decision in accordance with paragraph 5 , subparagraph (d), the Commission’s reconsidered recommendation shall take effect as if it were a decision of the Council from the end of the period referred to in paragraph 5, subparagraph (d).\n\n6. Notwithstanding paragraph 2, the Secretary-General and the Contractor may agree to changes to the Plan of Work to correct minor omissions, errors or other such defects, including upon the recommendation of the Commission, as follows:\n\n(a) the Secretary-General shall notify any such agreement to the Commission and the Council within 7 Days;\n\n(b) the Commission shall consider the agreement and, no later than 60 Days following notification by the Secretary-General, recommend to the Council whether the agreed changes should be assessed as a proposed modification pursuant to paragraphs 3 to 5 of this regulation;\n\n(c) the Council shall consider the recommendations of the Commission within 60 Days of notification; and\n\n(d) any agreed changes shall take effect from the end of the period referred to in paragraph 6, subparagraph (c), unless the Council decides before the end of that period that they are to be assessed as a proposed modification pursuant to paragraphs 3 to 5 of this regulation.\n\n7. All modifications and changes to a Plan of Work pursuant to this regulation shall be recorded in the Seabed Mining Register by the Secretary-General as soon as reasonably practicable following approval or agreement in accordance with this regulation.\n\nRegulation 58. Review of a Plan of Work\n\n1. A Plan of Work shall be reviewed at intervals not exceeding five years from the date of signature of the Exploitation Contract. That notwithstanding, the Council may decide to review more frequently, based on recommendations of the Commission, in accordance with the applicable Standards and taking into consideration the Guidelines, including where any of the events described in subparagraphs [(a) to (h)] have occurred: [(a) bis Alt. information has come to light that was not available when the Plan of Work was approved, including [major] changes in Best Available Techniques, Best Available Scientific Information [or Best Environmental Practices], and shows that more appropriate measures are necessary to deal with the Environmental Effects of the activity;] [(a) bis Evidence of misrepresentation or material omission in the original application of Plan of Work approval process;]\n\n(a) ter an indication that the cumulative effects of Exploitation activities exceed any environmental thresholds established under the applicable Standards and objectives established under the applicable Regional Environmental Management Plan ; [(a) quat. new significant information [based on scientific evidence] relevant to the effective Protection of the Marine Environment;]\n\n(a) quin. [Alt. 1 unanticipated impacts resulting in adverse effects] [Alt. 2 Unanticipated effects] on the environment [or other activities] have arisen, or are of a scale or intensity that was not anticipated, when the Plan of Work was approved ; [(a) sexies a request by [another competent international body] concerning other activities or measure in the Marine Environment pursuant to regulation 31;] [(b) significant Incidents;] [(c) recommendations for improvement in procedures or practices following an inspection report under regulation 100;] [(g) significant changes in Best Available Scientific Information; and] [(h) operational management changes, including changes to subcontractors and suppliers listed in the Plan of Work, whereby the Commission, after review with the Contractor of the Contractor’s activities under the Plan of Work, shall recommend to the Council whether any modifications to the Plan of Work are necessary. [1.bis The occurrence of any of the circumstances set out in paragraphs [1(a)ter, 1(a)quin and 1(b)] shall entail suspension of exploitation activities until the amended Plan of Work has been reviewed and approved.]\n\n2. A review of the Plan of Work under paragraph 1 shall be undertaken by the Contractor [and [reviewed and] verified by [Alt. 1 an independent expert] [Alt. 2 a panel of independent experts] in accordance with the applicable regulations], Standards and taking into account the Guidelines. The Secretary-General shall invite the Sponsoring State or States[, and [relevant] [potentially affected] coastal States,] to participate in the review. The results of the review shall be compiled as a report [and be accompanied by an endorsement of the report by the experts involved on the review and submitted to the Secretary-General by completion of the review].\n\n3. The Secretary-General shall forward the report on each review to the Commission and Council, and the Sponsoring State or States. [Alt. 1 Where, as a result of a review a Material Change needs to be made to the Plan of Work, the Commission shall recommend the Council and the Contractor shall implement as established in regulations 57] [Alt. 2 Any proposed modification to a Plan of Work as a result of a review pursuant to this regulation shall be assessed in accordance with regulation 57].\n\n4. For the purpose of the review, the Contractor shall provide [to the independent expert] all information required by the Secretary-General in the manner and at the times as may be necessary for the purposes of this regulation. [The Secretary-General shall request the Contractor to submit additional data and information as may be required by the independent expert or experts undertaking the review.]\n\n5. The Secretary-General shall make publicly available the findings and recommendations resulting from a review of a Plan of Work under this regulation [in accordance with regulation 92].\n\nPart VI. Closure plans\n\nRegulation 59. Closure Plan\n\n1. A Contractor shall develop a Closure Plan for the Mining Area, in accordance with regulation 7, paragraph 3 and regulation 93 ter, Annex VIII to these Regulations, [applicable Standards] and consistent with other Environmental Plans of the Contractor, [the Environmental goals and objectives of the Authority as contained in regulation 44ter], as well as Standards, and taking into account the Guidelines [and the applicable Regional Environmental Management Plan].\n\n1. bis The objectives of a Closure Plan are to ensure that:\n\n(a) [the Contractor has the obligation to ensure the effective Protection of the Marine Environment and human health and safety from the harmful effects of activities in the Area]; [(b) Alt. Ecosystem Integrity has been maintained, and where necessary restored, in accordance with the environmental goals and objectives in regulation 44ter;] [(c) any adverse Environmental Effects arising from Closure are Mitigated [and] [(d) [residual] Environmental Effects continue to be monitored, [managed,] [Mitigated] and reported for the period prescribed in the Closure Plan; and [(e) all installation and equipment, and equipment, or parts thereof, are removed from the Mining Area.]\n\n2. The Closure Plan shall, in accordance with the requirements of Annex VIII, set out the [obligations] of a Contractor during any Temporary Suspension. [2. bis In developing the Closure Plan, the Applicant shall, inter alia:]\n\n(a) bis undertake a gap analysis of existing environmental data to determine if additional information and/or surveys will be required [to inform closure];\n\n(b) set a date [for] cessation of [Commercial Production;] [(b) bis] [ensure alignment between the Closure Plan and the Environment Management and Monitoring Plan for the [duration of] [the] Closure Plan, in accordance with the applicable Standards and taking into account the Guidelines; and\n\n(f) [include project-specific objectives, which may include [encompass] Restoration [where possible,] and Rehabilitation commitments in accordance with the [environmental goals and objectives in the regulation 44ter and Closure objectives in paragraph 1. Bis,] applicable Standards and taking into account the Guidelines. [2. ter [In developing and maintaining the Closure Plan], the [Applicant or] Contractor [shall [must] ensure transparency, and shall]:\n\n(a) consult with all States and Stakeholders in accordance with regulation 93ter; and\n\n(b) engage with [relevant] Stakeholders, and in accordance with regulation 93 bis, Standards, and taking into account the Guidelines, consult Stakeholders on the Closure Plan, design, review, and implementation.\n\n3. A Contractor shall maintain and update its Closure Plan on the basis of [information arising] from implementation of the [Plan of Work] and in accordance with these Regulations Good Industry Practice, Best Environmental Practices, Best Available Techniques, Best Available Scientific Information and the applicable Standards and taking into account the Guidelines. 4. The Closure Plan shall be reviewed and if necessary, updated:\n\n(a) if required pursuant to regulation 57;\n\n(b) every 5 years from the date of signature of the Exploitation Contract, except where a Closure Plan has been updated in the interim pursuant to regulation 57, in which case 5-years period shall be calculated from the date of Closure was reviewed; or\n\n(c) [6 years] / [4 years] prior to the planned cessation of Commercial. [5. The updated Closure Plan shall be subject to Stakeholder consultation in accordance with regulation 93ter. Coastal states shall be engaged in accordance with regulation 93bis.] [6. Any update to a Closure Plan proposed by a Contractor, pursuant to paragraph 4Alt, subparagraph (b) or (c) shall be approved by the Authority in accordance with regulation 57.]\n\nRegulation 60. Final Closure Plan: Cessation of [Commercial] Production\n\n1. A Contractor shall, at least 24 months prior to the planned [cessation]of Commercial Production submit to the Secretary-General, for the consideration of the Commission, a [updated] [Final] Closure Plan.\n\n1. bis. Alt. The Contractor shall consult on the [updated] [Final] Closure Plan with all States and Stakeholders in accordance with regulation 93ter. [1. bis. Alt 2. The Final Closure Plan shall be subject to Stakeholder consultation in accordance with regulation 93ter. Coastal states shall be engaged in accordance with regulation 93bis.]\n\n2. The Commission shall [consider] the [updated] Closure Plan and any comments received pursuant to paragraph 1bis Alt within the consultation [period under regulation 93ter].\n\n3. If the Commission determines that the [Final] [updated] Closure Plan meets the requirements of regulation 59, it shall recommend approval of the Final Closure Plan to the Council.\n\n4. If the Commission determines that the [Final] [updated] Closure Plan does not meet the requirements of the regulation 59;\n\n(a) the Commission shall [request] the Contractor [in] writing to make and submit amendments to the [Final] [updated] Closure Plan as a condition for recommendation of approval of the Plan in accordance with paragraph 3 of this regulation:\n\n(b) the Contractor shall have the opportunity to make representations and /or to submit a revised [Final] [updated] Closure Plan for the Commission’s consideration, withinn90 Days of the date of the request in subparagraph (a); and\n\n(c) the Commission shall consider any representations under subparagraph (b) and any revised [Final] [updated] Closure Plan submitted by the Contractor when preparing its report and recommendations to the Council. [5. The Commission shall give the Contractor written notice of its [recommendation] under paragraph 4 above and provide the Contractor with the opportunity to make representations or to submit a revised [Final] [updated] Closure Plan for the Commission’s consideration, within 90 Days of the date of notification to the Contractor.] [6. The Commission and Finance Committee shall review the amount of the Environmental Performance Guarantee provided under regulation 26 and include the results of that review and any recommendations in [the Commission ’s] report to the Council on the [Final] [updated] Closure Plan.] [7. The Council shall consider and take a decision based on the report and recommendation of the Commission. [The Council’s decision shall include such directions to the Contractor as the Council considers appropriate.] [8. Any reports and recommendations submitted to the Council and decisions made by the Council under this regulation shall be published on the Authority’s website [by the Secretary General] within 7 Days of a submission or decision being made.] Regulation 60bis Unexpected and Temporary Suspensions of production [1. As soon as reasonably practicable after any unexpected cessation in Commercial Production, including a Temporary Suspension, the Contractor shall put in place a care and maintenance plan, taking into account the results of monitoring and data and information gathered during the exploitation phase and the relevant Regional Environmental Management Plan. 2. The Contractor shall notify the Secretary-General of any such unexpected cessation or Temporary Suspension in Commercial Production as soon as reasonably practicable and shall provide the Secretary-General with a copy of the care and maintenance plan.]\n\nRegulation 61. [Implementation and Monitoring of the Final Closure Plan] 1. The purpose of Closure monitoring is [to]:\n\n(a) [Obtain] evidence that the contractor fulfilled its obligations under these Regulations;]\n\n(a) bis Verify that there are no further impacts arising from Commercial Production after cessation: and\n\n(b) [Assess] the Restoration and Rehabilitation of the Marine Environment [in line with the Closure objectives];\n\n2. The Contractor shall continue to monitor the Marine Environment [as set out] in the [Final] Closure Plan until the Closure objectives have been achieved. [3. A Contractor shall implement the Final Closure Plan and shall report to the Secretary-General on the progress of such implementation, including a summary of the results of monitoring, conducted in accordance with [regulations 49 to 52,] the applicable Standard and pursuant to the [Environmental Monitoring and Management Plan], and management actions taken in response to any residual adverse Environmental Effects identified through monitoring, until completion of the Final Closure Plan. ] [4. Such reports [shall] be submitted in accordance with the [approved Environmental Monitoring and Management Plan] [The frequency of reporting] may be adjusted by the Council based on recommendations from the Commission. [5. Monitoring data, collected by the Contractor pursuant to this regulation and its [Final] Closure Plan, shall be released publicly in according [with] [regulation 92 bis]. [6. Upon completion of implementation of the Final Closure Plan, the Contractor shall, in accordance with the procedure described in the applicable Standard, hire an Independent Auditor to conduct a final compliance assessment and submit a final compliance assessment report, [in accordance with ] the applicable Standards and taking into account the Guidelines, to the Secretary-General to ensure that the Closure objectives contained in the Final Closure Plan [have] been met. [The] report shall be reviewed by the Commission at its next meeting, provided that it has been [published on the website of the Authority] at least 30 Days in advance of the meeting.] [6 bis Any final compliance assessment reports prepared by the Independent Auditor shall be made available for commenting by Stakeholders and independent experts. Any comments received shall be made available for the Commission.] [7. The Commission shall [submit] a report [of its review under paragraph 6] and recommendations to the Council for consideration, [which] shall decide whether, the objectives of the Final Closure Plan have been achieved. The [Commission’s] report [and Council’s decision] shall be published at the Authority’s website [in accordance with regulation 92].] [8. If the Council decides that a Contractor has met the objectives of the Final Closure Plan, the Council shall release the Environmental Performance Guarantee to the Contractor.] [9. If the Council decides that a Contractor has failed to meet the [objectives of] the Final Closure Plan and reporting hereon, the Council shall] [either:]\n\n(a) direct the Contractor on further action that shall be taken to deliver the Final Closure Plan; or\n\n(b) direct the Authority to use funds from the Environmental Performance Guarantee to facilitate work to meet the objectives of the Final Closure Plan and on completion of that work, to release remaining funds from the Contractor’s Environmental Performanc e Guarantee to the Contractor.\n\nPart VII. Financial terms of an Exploitation Contract\n\nSection 1. General\n\nRegulation 62. Equality of treatment The Council shall, based on the recommendations of the Commission, apply the provisions of this Part on a transparent, uniform and non-discriminatory basis, and shall ensure equality of financial treatment and comparable financial obligations for Contractors. [Alt. The Council shall, [based on the recommendation of the Commission], apply the regulations of this Part with the purpose of achieving all objectives of the financial terms of the contract envisaged by the Convention. Particular attention shall be given to the objectives of ensuring the transfer of technology, training and scientific knowledge to developing States; providing incentives for Contractors to undertake joint arrangements with the Enterprise and developing States; and guaranteeing equality of financial treatment and comparable financial obligations for Contractors.]\n\nRegulation 63. [Incentives] [1. The Council may, taking into account the recommendations of the Commission and the Economic Planning Commission in accordance with the applicable Standard, provide for incentives, including Financial Incentives[, on a uniform and nondiscriminatory basis,] to Contractors [to undertake joint arrangements with the Enterprise and developing States and their nationals] to further the objectives set out in article 13, paragraph 1, of Annex III to the Convention.] [1. Alt. The Council may, taking into account the recommendations of the Commission and the Economic Planning Commission in accordance with the applicable Standard to provide for incentives, including Financial Incentives, on a uniform and nondiscriminatory basis especially for those from developing States, including small island developing States, to advance the objectives set out in article 13, paragraph 1, of Annex III to the Convention.] [2. [Those]/[Any] incentives shall be applied on a uniform and non-discriminatory basis, to further the objectives set out in article 13, paragraph 1, of Annex III to the Convention [including, where applicable, the objective of stimulating the transfer of technology to, and training the personnel of, the Authority and of developing States ].] [3. The Council shall ensure that, as a result of the Financial Incentives provided to Contractors, Contractors are not subsidized so as to be given an artificial competitive advantage with respect to other Contractors and/or land-based miners.] [4. Any incentives shall be fully compatible with the policies and principles under regulation 2[, any applicable Standards and shall take into account the Guidelines.]] [5. A Financial Incentives Registry shall be established, maintained and published through the Seabed Mining Register, pursuant to regulation 92.]\n\nSection 2. [Determination of Royalties and Payments under the Exploitation Contract]\n\nRegulation 64. Royalty payment A Contractor, from the date of commencement of Commercial Production, shall pay a royalty in respect of the Mineral-bearing ore sold [,during the time of reduction, sold,] or removed without sale from the Contract Area as determined pursuant to paragraph 1 of Section 8 of the Annex to the Agreement in accordance with the applicable Standard. [This regulation is without prejudice to article 11, paragraph 3, of Annex III to the Convention.] Regulation 64bis Equalization measure [A Contractor, from the date that its Plan of Work has been approved, shall pay the equalization measure as determined in accordance with the applicable Standard governing the equalization measure [subject to article 10 of Annex IV to the Convention]. Regulation 64ter Environmental costs The financial terms of a contract shall reflect the environmental externalities of the Exploitation activities permitted under the contract and throughout the value chain. To this end, the Authority shall levy a further royalty reflecting environmental externalities in accordance with regulation 64quat. The further royalty shall complement the royalty provided for in regulation 64.] [Regulation 64 quat. Environmental costs royalties\n\n1. Environmental externalities to be taken into account under regulation 64bis shall initially encompass at least the following aspects:\n\n(a) future value of genetic material for use in pharmaceutical and biotechnological applications;\n\n(b) existence and bequest values for preservation of remote and largely unknown biodiversity in the Area, and potentially monetary values globally; [and]/[or]\n\n(c) carbon emissions and the impact of mining activities on carbon sequestration by benthic and pelagic ecosystem.\n\n2. Further environmental externalities shall be taken into account in accordance with the applicable Standard.\n\n3. Environmental externalities shall be calculated using the best available science and natural capital economics in accordance with the applicable Standard.\n\n4. The Council shall set an applicable further royalty rate which shall reflect the environmental externalities as calculated in accordance with the applicable Standard.] [Regulation 65 Profit Share on the Transfer of Rights under an Exploitation Contract\n\n1. The Authority shall levy a Transfer Profit Share on any gain realized from the direct or indirect transfer of rights under an Exploitation Contract.\n\n2. The effective operation of the Transfer Profit Share referenced in the above paragraph shall be subject to and carried out in accordance with the provisions included in the applicable Standard.]\n\nSection 3. Royalty returns and payment of royalty\n\nRegulation 66. Form of royalty returns A royalty return lodged with the Secretary-General shall be in the form prescribed by the applicable Standard and taking into account the Guidelines and signed by the Contractor’s designated official.\n\nRegulation 67. Royalty return period A royalty return period for the purposes of this Part is a half-year return period, from:\n\n(a) 1 January to 30 June; and\n\n(b) 1 July to 31 December.\n\nRegulation 68. Lodging of royalty returns\n\n1. A Contractor shall lodge with the Secretary-General a royalty return for the Contract Area not later than 90 Days after the end of the royalty return period in which the date of commencement of Commercial Production occurs, and thereafter not later than 90 Days after the end of each subsequent royalty return period for the duration of the Exploitation Contract.\n\n2. In connection with any joint venture arrangement or a consortium of Contractors, one royalty return shall be submitted for the Contract Area by the joint venture or consortium. 3. A royalty return may be lodged electronically.\n\nRegulation 69. Error or mistake in royalty return A Contractor shall notify the Secretary-General promptly of any error in calculation or mistake of fact in connection with a royalty return or payment of a royalty. [Failure by a Contractor to notify the Secretary-General shall attract a penalty.]\n\nRegulation 70. Payment of royalty shown by royalty return\n\n1. A Contractor shall pay the royalty due for a royalty return period on the Day the royalty return is required to be lodged [in accordance with the applicable Standards].\n\n2. [A Contractor shall [declare]/[propose] the currency to be used in the payment of royalties in the [Exploitation Contract]/[Plan of Work]] / [The currency for royalty payments shall be specified in the Exploitation Contract based on the currency proposed by the Contractor in the application for a Plan of Work and as approved by the Council]. The Contractor may only change the currency to be used in the payment of royalties if approved by the Council or otherwise [prior to the Commercial Production or] on the anniversary of the 5 th year of Commercial Production and at the end of every subsequent 5 th year of Commercial Production.\n\n3. All payments made to the Authority shall be made net and shall be free of any deductions, transmission fees, levies or other charges.\n\nRegulation 71. Information to be submitted\n\n1. A royalty return shall include the following information for each royalty return period, in accordance with Standards and taking into account the Guidelines:\n\n(a) the quantity in wet metric tons and dry metric tons of [Mineral-bearing] ore recovered from each Mining Area; [(b) the quantity by Mineral in wet metric tons and dry metric tons and value by Mineral in dry metric tons of the Mineral-bearing ore shipped from the Contract Area; The value, grades and the basis of the valuation (by Mineral and Metal) of the Mineralbearing ore [shipped from] [sold or removed without sale from] the Contract Area, as verified by a Suitably Qualified Person and supported by a representative chemical analysis of the ore by a Certified Laboratory, with the cost of weighing and testing to be borne by the Contractor;] [(b) Alt.1 the quantity of Mineral-bearing ore shipped from the Contract Area disaggregated by Mineral and reported on dry metric tons and wet metric tons;\n\n(b) Alt. bis. the value and, where applicable, the grade of Mineral-bearing ore [shipped from]/[removed from] the Contract Area disaggregated by Mineral and Metal and including the basis of the valuation;\n\n(b) Alt. ter. evidence of data from subparagraphs (b)Alt and (b)Alt. Bis verified by a Suitably Qualified Person and supported by a representative chemical analysis of the ore by a Certified Laboratory, with the cost of weighing and testing to be borne by the Contractor.]\n\n(c) details of all [Exploitation] Contracts and amendments to Exploitation Contracts and sale or exchange agreements relating to the Mineral-bearing ore sold or removed without sale from the Contract Area[, including the identity of all entities to whom the Mineral-bearing ore was transferred, sold, or otherwise delivered]; [(c)Alt. details of all Exploitation Contracts [and amendments to Exploitation Contracts] and sale or exchange agreements relating to the [Mineral -bearing ore] sold or removed without sale from the Contract Area, including the identity of all entities to whom the Mineral-bearing ore was transferred, sold, or otherwise delivered];\n\n(d) a calculation of the royalty payable, including any adjustment made to the prior royalty return period and a declaration signed by a designated official of the Contractor that the royalty return is accurate and correct; and [(e) details of all revenues and operating costs associated with activities in handling and processing, to the degree available.]\n\n2. In respect of a final royalty return period ending on the date of termination of the Exploitation Contract, the Contractor shall provide:\n\n(a) a final calculation of the royalty payable;\n\n(b) details of any refund or overpayment of royalty claimed; and\n\n(c) the quantity and value [(by Mineral and Metal)] of all closing stocks of the [Mineral-bearing ore].\n\n3. Within 90 Days from the end of a Calendar Year, the Contractor shall provide the Secretary-General and the Sponsoring State or States with a statement from an Independent Auditor or certified independent accountant that the royalty calculation for that Calendar Year:\n\n(a) is based on proper accounts and records properly kept and is in agreement with those accounts and records; and\n\n(b) complies with these Regulations and is accurate and correct.\n\nRegulation 72. [Authority may request additional information] [Request for Additional Information] The Secretary-General may, by notice to a Contractor who has lodged a royalty return, request the Contractor to provide, by the date stated in the notice, which shall be no later than 90 Days from the date of the notice, [additional] information to support the matters stated in the royalty return.\n\nRegulation 73. Overpayment of royalty\n\n1. Where a royalty return shows any overpayment of royalties, a Contractor may apply to the Secretary-General to request a refund of any such overpayment. Contractors [must] [shall] properly demonstrate that an overpayment was made, and support their claim with all necessary documentation and justifications.\n\n2. Where no such request is received by the Secretary-General within 90 Days of the due date of submission of the relevant royalty return [or within 90 Days of the actual submission if filed late], the Authority shall carry forward any overpayment and credit it against a future royalty amount payable under this Part, or, if the Exploitation Contract has expired, refund the amount within 90 Days. 3. Any request to reduce a royalty-related amount paid by a Contractor [must] [shall] be made within 1 year of an applicable financial report after the Day the relevant royalty return was lodged with the Authority.\n\n4. [Where any final royalty return shows an amount to be refunded, the SecretaryGeneral shall refund such amount within 90 Days [provided he or she determines that such refund is properly due] [of the due date of the submission or of the actual date of submission].]/[Within 90 Days of the due date of the submission or within 90 Days of the date of submission] The Secretary-General may request, and the Contractor shall provide, such additional information or confirmation, as he or she considers necessary to determine that such a refund is correct and due to a Contractor. [Regulation 73bis Underpayment of royalty\n\n1. Where a royalty return shows any underpayment of royalties, the Contractor shall pay the outstanding sum [verified by the Secretary-General] within [7] / [14] / [30] days of the notification by the Secretary-General.\n\n2. If no payment is received, [the Authority shall add the payment due to the next period of royalty collection] / [the Council shall (a) act in accordance with regulation 79 and shall consider the unpaid debt from the date it became due and payable; and (b) consider taking further action under regulation 103]. [3. [A lack of payment constitutes a breach of contract and] Proper measures shall be taken against Contractors who [do not pay the underpaid royalty in due time] [underpay or do not pay the royalty in due time in accordance with regulation 103].] [3. Alt. If no payment is received, the Authority shall add the outstanding payments to the next royalty collection period along with applicable penalties. Proper measures shall be taken against Contractors who fail to pay the underpaid royalty within the prescribed period, in accordance with the applicable Standards.]\n\nSection 4. Records and audit\n\nRegulation 74. Proper books and records to be kept\n\n1. A Contractor shall keep and maintain, [at a place specified in the Exploitation Contract], complete and accurate records relating to the Minerals recovered in order to verify and support all returns or any other accounting or financial reports required by the Authority in relation to Exploitation.\n\n2. The Contractor shall prepare such records in conformity with internationally accepted accounting principles that verify, in connection with each Mining Area [and the Contract Area], inter alia:\n\n(a) details of the quantity and grade of the Minerals, by Metal, recovered from each Mining Area [[and]/[of] the Contract Area;]\n\n(b) details of sales, shipments, transfers, exchanges and other disposals of Minerals, by Metal, from each Mining Area [[and]/[of] the Contract Area], including the time, destination, value and basis of valuation and the quantity and grade of each sale, shipment, transfer, exchange or other disposal;\n\n(c) details of all eligible capital expenditure and liabilities by category of expenditure and liability incurred in each Mining Area [[and]/[of] the Contract Area] or in direct support of activities within each Mining Area [[and]/[of] the Contract Area]; [and]\n\n(d) details of all revenues and operating costs associated with activities in each Mining Area [[and]/[of] the Contract Area] [including a breakdown of all general administration and management costs essential to, and directly connected to these activities, and accruing in the Sponsoring State][; and] [(e) details of any sales, shipments, transfers, exchanges and other disposals of any Minerals, to the degree available.]\n\n3. A Contractor shall supply and file such records at such times as may be required by the Authority under these Regulations and within 60 Days of the receipt of any such request from the Secretary-General.\n\n4. A Contractor shall maintain all records for the duration of the Exploitation Contract, [including during the period of post-mining monitoring] and [at least, during] a period of 10 years following the completion of the Closure Plan, and make such records available for inspections and audit under regulation 75.\n\nRegulation 75. Audit by the Authority\n\n1. The Council, on its own initiative, or upon the request of the Secretary -General or the Commission, may [decide to] request an audit of the Contractor’s books and records and all subcontractors’ books and records associated with the Exploitation activities in the Area.\n\n2. Any such audit shall be undertaken at the Contractor’s sole cost and shall be performed by Independent Auditor approved by the [Council] in accordance with applicable Standard and taking into account the Guidelines. 3. An Independent Auditor may, in connection with a liability for a royalty payment:\n\n(a) audit the mining and on-board processing facilities with a view to verifying the accuracy of all information reported and the accuracy of the equipment measuring the quantity of Minerals [ore] sold or removed without sale from the Contract Area;\n\n(b) audit any relevant documents, papers, records and data available at the Contractor’s offices or on-board any mining vessel or Installation;\n\n(c) require any duly authorized representative of the Contractor to answer any relevant questions in connection with the audit and provide any missing documents, papers, records and data; and\n\n(d) make and retain copies or extracts of any documents or records relevant to the subject matter of the audit and provide a Contractor with a list of such copies or extracts.\n\n4. For the purposes of an audit the Contractor shall make available to an [Independent] Auditor such financial records and information contemplated as reasonably required by the relevant organ of the Authority to determine compliance with this Part.\n\n5. Members of the Authority, in particular a Sponsoring State or States, shall cooperate with and assist the relevant organ of the Authority and any Independent A uditor in the carrying out of any audit under this regulation, and shall facilitate access to the records of a Contractor by an auditor and assist in the exchange of information relevant to a Contractor’s obligations under this Part.\n\nRegulation 76. Assessment by the Authority\n\n1. Where the Secretary-General [so determines] / [suspects], taking into account the relevant guidance provided by the Council [and] / [or] following any audit under this Part, or by otherwise becoming aware that any royalty return is not in accordance with this Part, the Secretary-General [may]/[shall], by written notice to a Contractor [and a Sponsoring State], request such additional information that the Secretary-General considers reasonable in the circumstances, including the report of an auditor[, in order to undertake an assessment in accordance with this regulation].\n\n2. A Contractor shall provide such information requested by the Secretary-General within 60 Days of the date of such request, together with any further information the Contractor [requests] the Secretary-General to take into consideration. [3. The Secretary-General may, within 60 Days of the expiry of the period prescribed in paragraph 2 above, and after giving due consideration to any information submitted under paragraph 2, make an assessment of any royalty liability that the Secretary-General considers ought to be levied in accordance with this Part.] [3. Alt. If concern persists after the information pursuant to paragraph 2 has been provided, the Secretary-General shall notify the Compliance Committee to assess any royalty liability that the Compliance Committee considers ought to be levied in accordance with this Part or to take any other compliance measure it deems appropriate.]\n\n4. The Secretary-General shall provide the Contractor with written notice of any proposed assessment under paragraph 3 above. [The Contractor may make written representations to the [Secretary-General] / [Compliance Committee] within 60 Days of the date of such written notice. The Secretary-General shall consider such representations and shall confirm or revise the assessment made under paragraph 3 above.] [4. bis If the Contractor is not satisfied with the [Secretary-General’s][Finance Committee][Compliance Committee][Council] confirmation or revision of the [initial] assessment, the Contractor may request a review of that decision in writing and provide any further information the Contractor [wishes] / [requests] the Secretary-General to consider within 30 Days of [a decision being made] / [the written notice provided by the Secretary-General under paragraph 4 above]. The Secretary-General shall then [reconsider and either] affirm, revise, or revoke the assessment, taking into account the further information provided by the Contractor, within 60 Days. ] [4. ter The Secretary-General shall [provide][inform] the Council [of decisions under] paragraphs 4 and 4bis above.] [4 ter. Alt. The Secretary-General shall provide the Commission and the Finance Committee for their consideration the assessment and information under paragraphs 4 or 4bis above. The Commission [and Finance Committee] shall consider them at their respective next available meetings provided that the assessment and information have been circulated at least 30 Days in advance of the respective meetings. The Commission shall then prepare its report and recommendations to the Council based on consultation with the Finance Committee. The Council shall then re-consider and either affirm, revise, or revoke the assessment made by the Secretary-General. The Secretary-General shall provide the Contractor the written notice of the decision of the Council.] [5. The Contractor shall pay any such royalty liability within 30 Days of the date of the determination made by the Secretary-General under paragraph 4[ or, where applicable, paragraph 4bis].] [5. Alt. In case of appropriate decision of the Council, the Contractor shall pay any such royalty liability within 30 Days of the date of the written notice provided by the Secretary-General under paragraph 4ter above.]\n\nSection 5. Anti-avoidance measures\n\nRegulation 77. General anti-avoidance rule\n\n1. [The Secretary-General shall determine the liability for a royalty payment] Where the Secretary-General reasonably considers that a Contractor has entered into any scheme, arrangement or understanding or has undertaken any steps which, directly or indirectly:\n\n(a) result in the avoidance, postponement or reduction of a liability for [any] payment under this Part;\n\n(b) have not been carried out for bona fide commercial purposes; [and]\n\n(c) have been carried out solely or mainly for the purposes of avoiding, postponing or reducing a liability for [any] payment. [1. bis The Secretary- General shall determine the liability for a [payment under this part] as if the avoidance, postponement or reduction of such liability had not been carried out by the Contractor and in accordance with this Part.]\n\n2. The Secretary-General shall provide the Contractor with written notice of any proposed determination under paragraph 1 above. The Contractor may make written representations to the Secretary-General within 60 Days of the date of such written notice. The [Secretary-General] shall consider such representations and shall determine the liability for a royalty for the original or revised amount. [2. bis [If the Contractor is not satisfied with the Secretary-General’s determination, the Contractor may request a review of that decision in writing and provide any further information the Contractor wishes the [Secretary-General] /[the Council] / [Economic and Planning Commission] to consider. The [Commission and Finance Committee] / [Economic and Planning Commission] shall consider any such representations made by the Contractor at their respective next available meetings provided that the representations have been circulated at least 30 Days in advance of the respective meetings. The [Commission] / [Economic and Planning Commission] shall then prepare its report and recommendations to the Council [based on consultation with the Finance Committee]. The Council shall then re-consider and either affirm, revise, or revoke the decision made by the [Secretary-General].] [2 ter The Sponsoring State shall be informed at the beginning of any procedure potentially leading to a determination according to this regulation, and may provide written representations to the Secretary-General, the Council or the Finance Committee.]\n\n3. The Contractor shall pay any such liability [under this Part] within 30 Days of the date of the determination made by the Secretary-General under paragraph 2. [4. If the Contractor is in [serious, persistent and wilful violation] of any payment obligations in accordance with this Part, the Council [may] suspend or [terminate] the Exploitation Contract pursuant to regulation 103 of these Regulations and the Contactor’s company principals shall be barred from direct or indirect involvement with any Contractor or subcontractor operating in the Area for a period [determined by the Authority commensurate to the violation] of [10] years].\n\nRegulation 78. Arm’s-length adjustments 1. For the purposes of this regulation:\n\n(a) “Arm’s length”, in relation to Exploitation Contracts and transactions, means contracts and transactions that are entered into freely and independently by parties that are not Related Parties and without one party influencing another; and\n\n(b) “Arm’s-length value”, in relation to costs, prices and revenues, means the value that a willing buyer and willing seller, who are not Related Parties, would agree to in a competitive environment. [1. bis All transactions involving Contractors that are State-owned enterprises shall be considered non-Arm’s length under this regulation unless the Council determines otherwise on the basis of substantiated and verifiable documentation.]\n\n2. Where, for the purposes of calculating any amounts due under this Part VII, any costs, prices and revenues have not been charged or determined on an arm’s-length basis, pursuant to a contract or transaction between a Contractor and a Related Party, the Council may adjust the value of such costs, prices and revenues to reflect an arm’s-length value, taking into account the recommendations of the Commission, in accordance with internationally accepted principles.\n\n3. The Secretary-General shall provide the Contractor with written notice of any proposed adjustment under paragraph 2 above. The Contractor may make written representations to the [Secretary-General]/[Council] within 60 Days of the date of such written notice. If the Contractor submits written representations, the [SecretaryGeneral]/[Council] shall affirm, amend or revoke the adjustment, taking into account the further information provided by the Contractor, within 60 Days of being provided with that further information. [4. The Commission and Finance Committee shall consider any such representations made by the Contractor at their respective next available meetings provided that the representations have been circulated at least 30 Days in advance of the respective meetings. The Commission shall then prepare its report and recommendations to the Council based on consultation with the Finance Committee. The Council shall decide the value of relevant costs, prices and revenues based on the recommendation.]\n\nSection 6. Interest and penalties\n\nRegulation 79. Interest on unpaid royalty\n\n1. Where any royalty or other amount levied under this Part remains wholly or partly unpaid after the date it becomes due and payable, a Contractor shall, in addition to the amount due and payable, pay interest on the amount outstanding, beginning on the date the amount became due and payable, in accordance with the applicable Standard, at an annual rate calculated by:\n\n(a) adding 5 per cent to the special drawing rights interest rate prevailing on the date the amount became due and payable for the first 30-day period of non-payment;\n\n(b) adding 10 per cent to the special drawing rights interest rate prevailing on the date the amount became due and payable for the second and third 30-day period of nonpayment; and\n\n(c) adding 15 per cent to the special drawing rights interest rate prevailing on the date the amount became due and payable for any further period of non -payment.\n\n2. Interest shall accrue on a daily pro rata basis, calculated using a 365 -day year (or 366 in leap years), based on the number of Days the amount remains unpaid pursuant to paragraph 1(a)-(c).\n\nRegulation 80. Monetary penalties [inserted under regulation 103]\n\nSection 7. Review of payment mechanism\n\nRegulation 81. Review of System of Payments\n\n1. The System of Payments refers to the set procedures adopted by the Authority under\n\nPart VII of these Regulations for the purpose of determining payments owed by a Contractor. Such payments shall include royalties, profit sharing arrangements, and/or any other payment mechanism as may be adopted by the Council under this Part, [1. Alt. The System of Payments means the financial mechanisms the Authority applies pursuant to Part VII of these Regulations to determine the payments due from a Contractor to the Authority, including the required forms of payment (such as a royalty payment and profit sharing).]\n\n2. The System of Payments shall be reviewed by the Council five years from the first date of commencement of Commercial Production in the Area and at intervals thereafter in accordance with the applicable Standards [as well as all observed Environmental Impacts]. [This shall include a review of the methodologies used to calculate environmental externalities pursuant to regulations 64ter and 64quat.]\n\n3. A review of the System of Payments shall be carried out in accordance with the applicable Standard.\n\n4. The Council, based on the recommendations of the Commission, may decide to adjust the existing System of Payments or introduce a new System of Payments. Any adjustment or introduction of a new System of Payments shall be in accordance with the results of the most recent review referred to under this regulation.\n\n5. A review of the System of Payments shall consider all Resource categories unless otherwise decided by the Council. [6. A change to the System of Payment shall only apply by agreement between the Authority and the Contractor [for Contract Areas that have already commenced Commercial Production] [to existing Contracts].] [7. This regulation shall not apply to the Enterprise for a period not exceeding 10 years, in accordance with the decision adopted by the Assembly pursuant to article 10, paragraph 3, of\n\nAnnex IV to the Convention.]\n\nRegulation 82. Review of rates of payments\n\n1. The rates of payments under an existing System of Payments shall be reviewed by the Council five years from the first date of commencement of Commercial Production in the Area and at intervals thereafter in accordance with the applicable Standards.\n\n2. A review of the rates of payments under an existing System of Payments shall be carried out in accordance with the applicable Standards and in conjunction with a review pursuant to regulation 81.\n\n3. The Council, based on the recommendations of the Commission, may decide to adjust the rates of payments. Any adjustment to the rates of payment shall be in accordance with the results of the most recent review referred to under this regulation.\n\n4. A review of the rates of payments shall consider all Resource Categories unless otherwise decided by the Council.\n\n5. An adjustment to the rates of payments shall apply to all Contract Areas [provided that the application is deferred until the end of the first five years of the Exploitation Contract].\n\n6. Without limiting the scope of any review by the Council, a review under this regulation may include an adjustment to the [rate associated with any payment mechanism adopted under [this Part] [the rules, regulations, and procedures of the Authority, in accordance with any applicable Standards and taking into account the Guidelines], including the manner and basis of their calculation, as well as the establishment of rates of payments for new relevant Minerals or Metals that are likely to be commercially exploited.]\n\nSection 8. Payments to the Authority\n\nRegulation 83. Recording in Seabed Mining Register [All payments received by the Authority from Contractors shall be recorded in the Seabed Mining Register and shall be publicly available.]\n\nRegulation 83 bis. Beneficial Ownership Registry\n\n1. Contractors shall submit detailed beneficial ownership information as part of their annual report, in compliance with regulation 38, to the Secretary General. This information [must] / [shall] be [compiled] / [included] in the Beneficial Ownership Registry, in accordance with all applicable Standards and taking into account the Guidelines. [2. The structure and operation of the Beneficial Ownership Registry shall be included in a Standard. At a minimum, the Standard shall include the reporting threshold for beneficial ownership for the purposes of an Exploitation Contract, the information which is to be included in the Beneficial Ownership Registry referenced in paragraph 1 above, and a clear process and timeline for submitting this information and ensuring it is up to date and accurate.] [3. The Standard referenced under paragraph 2 above shall promote consistency with internationally recognized standards.]\n\n4. The [Beneficial Ownership Registry] shall be published through the Seabed Mining Register.\n\nPart VIII. Annual, administrative and other applicable fees\n\nSection 1. Annual fees\n\nRegulation 84. Annual reporting fee\n\n1. A Contractor shall pay to the Authority, from the date of the signature of an Exploitation Contract [by all parties] and for the term of the Exploitation Contract and any extension thereof, an annual reporting fee as determined by a decision of the Council from time to time, based on the recommendation of the Finance Committee [with the aim of covering the costs associated with the Authority’s management and review of the Contractor’s annual reports].\n\n2. The annual reporting fee is due and payable to the Authority at the [same] time [as the deadline for] submission of the Contractor’s annual report under regulation 38. [3. Where the effective date is part way through a Calendar Year, the first payment shall be pro-rated and made within 30 Days after the effective date of an Exploitation Contract.]\n\n4. Where an annual reporting fee remains unpaid after the date it becomes due and payable: [(a) Alt. the process set out in regulation 103 should be followed to determine whether this constitutes a violation of the fundamental terms of the Exploitation Contract; and]\n\n(b) a Contractor shall, in addition to the amount due and payable, pay interest on the amount outstanding, beginning on the date the amount became due and payable, at an annual rate calculated by adding 5 per cent to the special drawing rights interest rate prevailing on the date the amount became due and payable. [Interest shall cease to run upon payment of the outstanding amount.]\n\nRegulation 85. Annual fixed fee\n\n1. A Contractor shall pay to the Authority, [from the date of the signature of an Exploitation Contract and for the term of the Exploitation Contract and any extension thereof] an annual fixed fee. The amount of the fee shall be established by the Council as required under paragraph 1, subparagraph (d) of Section 8 of the Annex to the Agreement on the advice of the Finance Committee, and with the aim to cover the likely costs associated with the Authority’s management of the Exploitation Contract, including staffing the Secretariat and conducting inspection and enforcement activities . [2. The annual fixed fee is due and payable to the Authority within 30 Days of the commencement of each Calendar Year.] [2. Alt. The annual fixed fee shall be payable to the Authority within 30 Days of the effective date of the Exploitation Contract, and thereafter within 30 Days of the commencement of each subsequent Calendar Year for the duration of the Exploitation Contract.]\n\n3. Where the date of [the signature of the Exploitation Contract] occurs part way through a Calendar Year, a prorated annual fixed fee shall become due and payable to the Authority within 30 Days of such commencement date.\n\n3. bis Where an annual fixed fee remains unpaid after the date it becomes due and payable:\n\n(a) a Contractor shall, in addition to the amount due and payable, pay interest on the amount outstanding, beginning on the date the amount became due and payable, at an annual rate calculated by adding 5 per cent to the special drawing rights interest rate prevailing on the date the amount became due and payable; and [(b). interest shall cease to run upon payment of the outstanding amount.] [4. In any Calendar Year, the annual fixed fee may be credited against any royalty or other amount payable under Part VII of these Regulations.]\n\nSection 2. Fees other than annual fees\n\nRegulation 86. Application fee for approval of a Plan of Work\n\n1. [An Applicant for the approval of a Plan of Work, [when submitting the application for the approval of a Plan of Work], shall pay an application fee] / [An Applicant shall pay an application fee at the time of submitting a Plan of Work for approval] as determined by a decision of the Council from time to time, based on the recommendation of the Finance Committee.\n\n2. Taking into account any criteria established for this purpose by the Finance Committee, the [Secretary-General]/[Finance Committee] shall determine whether there is a difference between the amount of the application fee and the administrative costs incurred by the Authority in processing an application, and [the Secretary-General shall] notify the Applicant or Contractor of the amount of any such difference. The notification shall include a statement of the expenditure incurred by the Authority. In the event the amount of the application fee falls short of the administrative costs of the Authority, the difference must be paid by the Applicant within 90 Days of the signature of the Exploitation Contract. In the event the amount of the application fee exceeds the administrative costs of the Authority, the difference must be reimbursed to the Applicant within 90 Days of the signature of the Exploitation Contract.\n\n3. The Secretary-General shall not process any application until the applicable fee under this Part has been paid [in full].\n\nRegulation 87. Other applicable fees A Contractor shall pay other prescribed fees in respect of any matter specified by the Council, based on the recommendations of the Finance Committee, in accordance with the applicable rules, regulations and procedures of the Authority.\n\nSection 3. Miscellaneous\n\nRegulation 88. Review and payment\n\n1. The [Council [based on the recommendation of the Finance Committee]] / [Finance Committee] shall review and determine [on a regular basis] / [at least once every 2 [or 3] years on] the amount of each of the annual, processing and other applicable administrative fees in order to ensure that they cover the Authority’s expected administrative costs for the service provided. [2. Except as provided for in this Part, fees will be a fixed amount expressed in [United States dollars] or its equivalent in a freely convertible currency.]\n\n3. Fees paid under this Part are not refundable upon the withdrawal, rejection or refusal of an application.\n\nPart IX. Information-gathering and handling\n\nRegulation 89. Confidentiality of information\n\n1. Data and information regarding the Plan of Work, Exploitation Contract, its schedules and annexes or the activities taken under the Exploitation Contract shall be publicly available, except where such information is qualified as confidential. 2. “Confidential Information” means:\n\n(b) data and information relating to personnel matters, the health records of individual employees or other documents in which employees have a reasonable expectation of privacy, and other matters that involve the privacy of individuals;\n\n(c) data and information which have been categorized as Confidential Information by the Council; and\n\n(d) data and information designated by the Contractor as Confidential Information at the time it was disclosed to the Authority, provided that, subject to paragraph 5 below, such designation is deemed to be well founded by the Commission in accordance with the applicable Standard on the basis that there would be substantial and demonstrable risk of serious or unfair economic prejudice if the data and information were to be released. 3. “Confidential Information” does not mean or include data and information that:\n\n(a) are generally known or publicly available from other sources;\n\n(b) have been previously made available by the owner to others without an obligation concerning its confidentiality;\n\n(c) are already in the possession of the Authority with no obligation concerning its confidentiality;\n\n(e) are necessary for the formulation by the Authority of rules, regulations and procedures of the Authority concerning the Protection and Preservation of the Marine Environment[, human health] and safety, other than equipment design data; [(f) relate to the Protection and Preservation of the Marine Environment, provided that the Secretary-General may designate such information as Confidential Information for a reasonable period, subject to such conditions as may be appropriate, where the Commission agrees that there are bona fide academic reasons for delaying its release on the terms proposed by the Secretary-General and the decision including the reasons are reported to Council;] [(f) Alt. are environmental data, including all baseline and monitoring information ;] [(f)Alt. 2 environmental data, including all baseline and monitoring information, except in such temporary circumstances where some environmental data may be deemed confidential as agreed with the Secretary General for a reasonable period only, where the Commission agrees that there are bona fide academic reasons for delaying its release. The reasons, terms and decisions are to be reported by the Secretary-General to the Council. The data shall be deemed non confidential on the expiry of the time frame agreed with the Secretary-General.]\n\n(g) are an arbitral award or judgment in connection with activities in the Area;\n\n(h) relate to Contractor payments to the Authority; [(i) Alt the names and personal information of natural persons which hold, directly or indirectly, equity of the Applicant or Contractor;]\n\n(k) the Contractor to which the data and information relates has given prior written consent to its disclosure; or\n\n(l) relates to an area that is no longer covered by an Exploitation Contract; provided that following the expiration of a period of 10 years after it was passed to the Secretary General, Confidential Information shall no longer be deemed to be such unless otherwise agreed between the Contractor and the Secretary-General/[Authority] in accordance with the applicable Standard and taking into account the Guidelines and save any data and information relating to personnel matters under paragraph 2, subparagraph (b) above.\n\n4. Confidential Information will be retained by the Authority and the Contractor in strictest confidence in accordance with regulation 90 and shall not be disclosed to any third party without the express prior written consent of the Contractor, which consent shall not be unreasonably withheld, conditioned or delayed, save that Confidential Information may be used by the Secretary-General and staff of the Authority’s Secretariat, as authorized by the Secretary-General, and by members of the Commission [Alt. 1 and the Compliance Committee] [Alt. 2 and of other relevant subsidiary organs] as necessary for and relevant to the effective exercise of their powers and functions.\n\n5. In connection with paragraph 2, subparagraph (d) above, a Contractor shall, upon transferring data and information to the Authority, designate by notice in writing to the Secretary-General the Information or any part of it as Confidential Information describing, in general terms, any information redacted or required to be withheld from publication on the basis of confidentiality with an explanation of the reasons. The Secretar y-General shall publish a copy of any such notice received upon receipt.\n\n5. bis If the Commission [or], a Member State[, or another Stakeholder] objects to such designation within a period of 30 Days from the publication of the notice, the parties shall consult upon the nature of the data and information and whether it constitutes Confidential Information under this regulation. During the consultations, the Secretary-General shall comply with the applicable Standards and take into account the Guidelines. The SecretaryGeneral shall report to the Council regarding the types and quantities of data that are designated confidential in accordance with this paragraph. Any dispute arising as to the nature of the data and information shall be dealt with in accordance with Part XII of these Regulations.\n\nRegulation 90. Procedures to ensure confidentiality\n\n1. The Secretary-General shall be responsible for maintaining the confidentiality of all Confidential Information held by the Authority and shall not, except where legally obliged to do so or with the prior written consent of a Contractor concerned), release such information to any person [who is not an official of the Authority, a Member of its constituent organs or is otherwise authorised under these Regulations]. To ensure the confidentiality of such information, the Council shall establish procedures, consistent with the provisions of the Convention, governing the handling of Confidential Information by organs of the Authority, and any other person participating in any activity or programme of the Authority. Such procedures shall include:\n\n(a) the maintenance of Confidential Information in secure facilities and the development of security procedures to prevent unauthorized access to or removal of such information; and\n\n(b) the development and maintenance of a classification, log and inventory system of all written information received, including its type and source and the routing from the time of receipt until final disposition. [2. A person who is authorized pursuant to these Regulations to access Confidential Information shall not disclose such information except as permitted under the Convention and these Regulations. The Secretary-General shall require such persons to make a written declaration witnessed by the Secretary-General or duly authorized representative to the effect that the person so authorized:\n\n(a) acknowledges his or her legal obligation under the Convention and these Regulations with respect to the non-disclosure of Confidential Information; and\n\n(b) agrees to comply with the applicable regulations and procedures established to ensure the confidentiality of such information.] [3. All subsidiary organs of the Authority shall protect the confidentiality of Confidential Information submitted to them pursuant to these Regulations or an Exploitation Contract issued under these Regulations. [M]embers of the subsidiary organs shall not disclose or use, even after the termination of their functions, any industrial secret, proprietary data which are transferred to the Authority in accordance with article 14 of Annex III to the Convention or any other Confidential Information coming to their knowledge by reason of their duties for the Authority.] [3. bis The Secretary-General shall establish and maintain a Confidential Information Register to record all instances in which data or information has been designated as Confidential Information. The Register shall, at a minimum, indicate the identity of the designating party, the legal basis and justification for the designation, the applicable category of the confidentiality as set out in regulation 89, paragraph 2, and the date of designation and the applicable expiration date of the review period. The SecretaryGeneral shall use the Confidential Information Register to inform periodic reviews of confidentiality status in accordance with the applicable Standards and to support reporting to the Council.] [4. The Secretary-General and staff of the Authority shall not disclose or use, even after the termination of their functions with the Authority, any industrial secret, proprietary data which are transferred to the Authority in accordance with article 14 of Annex III to the Convention or any other Confidential Information coming to their knowledge by reason of their employment with the Authority.] [Alt. to 3 and 4. Organs of the Authority shall protect the confidentiality of Confidential Information submitted to them pursuant to these Regulations or an Exploitation Contract issued under these Regulations. Members of organs of the Authority and staff of the Authority shall not disclose or use, even after the termination of their functions with the Authority, any industrial secret, proprietary data which are transferred to the Authority in accordance with article 14 of Annex III to the Convention or any other Confidential Information coming to their knowledge by reason of their employment with [or duties with] the Authority.]\n\n5. Taking into account the responsibility and liability of the Authority pursuant to article 22 of Annex III to the Convention, the Authority may take such action as may be appropriate against [any person] who, by reason of his or her duties for the Authority, has access to any Confidential Information and who breaches any of the obligations relating to confidentiality contained in the rules, regulations and procedures of the Authority.\n\n6. In the case of any breach of obligations relating to Confidential Information held by the Authority, the Authority, upon becoming aware of the breach, shall notify the relevant Contractor and Sponsoring State or States. [Any cases of breach of obligations relating to Confidential Information held by the Authority, shall be referred to the Compliance Committee.]\n\nRegulation 91. Data and Information to be submitted upon expiration or termination of an Exploitation Contract\n\n1. [Upon expiration of an Exploitation Contract, or upon termination of an Exploitation Contract as per regulation 18ter,] the Contractor shall transfer to the Authority within 180 Days from the date of the expiration of the Exploitation Contract, the date of the refusal of an application for extension, or date the termination of the contract, all data and information that are required for the effective exercise of the powers and functions of the Authority in respect of the Contract Area, in accordance with this regulation and the applicable Standard, and taking into account Guidelines. [This includes, but is not limited to, the provision of geological data, environmental data, [the transmission of the samples kept in accordance with regulation 39, paragraph 3 to storage in accordance with the applicable Standard], and records of any Incidents or breaches of the Contractor’s obligations that occurred during the Contract Period.] [1. Alt. Upon the expiration, termination or refusal to renew an Exploitation Contract, the Contractor shall, within 180 Days of such event, transfer to the Authority all data and information necessary for the Authority to carry out its powers and functions with respect to the Contract Area in accordance with these Regulations and applicable Standards and taking into account the Guidelines. This shall include at a minimum geological data, [environmental data], [samples collected and retained pursuant to regulation 89, paragraph 3] and records of any incidents and breaches of the Contractor’s obligations during the Contract period.]\n\n1. bis Any Confidential Data transmitted pursuant to paragraph 1 shall continue to be dealt with in accordance with regulations 89 and 90. [1. ter The information and data submitted by the Contractor in accordance with paragraph 1 shall be accompanied by a report providing a summary of the exploitation activities]. [2. Upon termination or expiration of an Exploitation Contract, the Contractor and the Secretary-General [shall] / [may] consult together [and,] in accordance with the provisions of this regulation and the applicable Standards and taking into account the Guidelines, [the Secretary-General shall] / [to] specify the data and information to be submitted to the Authority.] [2. Alt. Upon termination or expiration of an Exploitation Contract, the SecretaryGeneral, [Alt. 1 in consultation with] [Alt.2 [shall] / [may] consult] the Commission [and the Contractor], in accordance with this regulation and the applicable Standards and taking into account the Guidelines, [and] shall specify the data and information to be submitted to the Authority.]\n\nRegulation 92. Seabed Mining Register\n\n1. The Secretary-General shall establish, maintain and publish a Seabed Mining Register in accordance with the applicable Standards and taking into account the Guidelines.\n\n1. bis The Seabed Mining Register shall contain the following information except to the extent it is Confidential Information in accordance with regulations 89(4) and 90(1) which shall be redacted:\n\n(a) the names of the Contractors and the names and addresses including contact number and email of their Designated Representatives;\n\n(b) copy of original application for approval of Plan of Work and the accompanying documents submitted by each Contractor in accordance with Regulation 7, including any modifications to any documents of the original application, comments and responses of stake holder’s consultation, report and recommendation of t he Commission, and decision of the Council on the approval of Plan of Work;\n\n(c) copy of the Exploitation Contract signed by the Authority and each contractors containing its schedules in accordance with Regulation 17 including approved Plan of Work, the geographical extent of Contract Areas and Mining Areas and the category of Resources;\n\n(d) any encumbrances regarding the Exploitation Contract made in accordance with\n\nRegulation 22 and Instruments of Transfer or Assignment in accordance with regulation 23;\n\n(e) Feasibility Study, consultation report on Feasibility Study and revision of Plan of Work, if any prior to commercial production in accordance with Regulation 25, and details of Environmental Performance Guarantee lodged pursuant to regulation 26, and date of commencement of Commercial Production;\n\n(f) copy of each annual reports submitted by each contractor in accordance with regulation 38 including details of any Incidents and Notifiable Events, summary of discharges, and action taken in inspection and compliance matters;\n\n(g) copies of each Contractor’s documents validating, declaring, and confirming the Environmental Performance Guarantee;\n\n(h) all payments made by Contractors to the Authority under these Regulations and copies of royalty returns submitted in accordance with Regulation 71;\n\n(i) Beneficial Ownership Registry and Financial Incentives Registry;\n\n(j) any modifications to the approved Plan of Work and its periodic review report including recommendations of the commission and decision of the council for each contract pursuant to regulations 57 and 58;\n\n(k) copy of each recommendation by the commission and Council decision to extend, suspend or terminate of an Exploitation Contract including the rationale;\n\n(l) a copy of inspection reports in accordance with Regulation 100;\n\n(m) a copy of the compliance record for every Contractor, prepared under Regulation 100bis;\n\n(n) a copy of every Non-Compliance Notice issued to each Contractor under\n\nRegulation 103 and, where applicable, the corresponding improvement plan;\n\n(o) copy of Closure Plan and its updates including the Final Closure Plan, and implementation report of Final Closure Plan for each Contract Area;\n\n(p) copies of all reports and recommendations of the commission and decisions of the council and notices issued by the Secretary General relating to each Contract Area, before, during or after application for a Plan of Work and throughout the term of the Exploitation Contract; and\n\n(q) any other document, information and other details as may be directed by the Council from time to time. 2. The Seabed Mining Register shall be publicly available on the Authority’s website.\n\n3. The Secretary-General shall publish any information of a type listed in paragraph\n\n(1) in the Seabed Mining Register within seven days of receipt, unless prevented from doing so for good cause, in which case publication shall occur as soon as reasonably practicable.\n\nRegulation 92 bis. Publication of environmental data and information The Secretary General shall annually publish all environmental data and information relating to a Contract Area [including]/[as well as] environmental data and information obtained [adjacent to] the Contract Area], but in connection with the activities in the Contract Area [and]/[or] as part of the Regional Environmental Management Plan] whether received before, during or after application for a Plan of Work, or during the term of the Exploitation Contract. The data and information, including any revisions to that data or information, on a central data repository that is publicly available via the Authority’s website [as soon as practicable]/[according to the timeline proposed in the applicable standard], and in accordance with the Rules, regulations and Procedures of the Authority, applicable Standards and taking into account the Guidelines. Any new environmental data and information shall be published on the central data repository at regular intervals defined in the applicable Standard. Alt. The Secretary General shall ensure that all environmental data and information outside the Contract Area, but in connection with the activities within the Contract Area, are published on a central data repository that is publicly accessible via the Autho rity’s website. This shall include environmental data and information collected before, during, and after the submission of a Plan of Work during the term of the Exploitation Contract and throughout the post closure monitoring period. New or revised enviro nmental data or information shall be published within 30 Days of their receipt by the Authority or in accordance with defined intervals set out in the applicable standard and taking account into the Guidelines. Publications shall be carried out in accordance with the rules, regulations and procedures of the Authority and relevant data transparency requirements.\n\nPart X. General procedures, Standards and Guidelines\n\nRegulation 93. Notice and general procedures 1. [This regulation shall apply to all Communications by and with the Authority].\n\n2. All Communication must be made in writing and transmitted by hand, fax, registered mail or email containing an authorized electronic signature .\n\n2. bis All Communication to the Secretary-General shall be transmitted to them at the headquarters of the Authority.\n\n2. ter All Communication to the Designated Representative shall be transmitted to the address stated on the Seabed Mining Register.\n\n3. The requirement to provide any information in writing under these Regulations is satisfied by the provision of the information in an electronic document containing a digital signature.\n\n4. Delivery by hand is deemed to be effective when made, if a receipt is provided. Delivery by fax is deemed to be effective when the “transmit confirmation report” confirming the transmission to the recipient’s published fax number is received by the transmitter. Delivery by registered mail is deemed to be effective 21 Days after post ing. Delivery by email is deemed to be effective when the email enters an information system designated or used by the addressee for the purpose of receiving documents of the type sent and is capable of being retrieved and processed by the addressee.\n\n5. Notice to the Designated Representative of the Applicant or Contractor constitutes effective notice to the Applicant or Contractor for all purposes under these Regulations, and the Designated Representative is the agent of the Applicant or Contractor for the service of process or notification in any proceeding of any court or tribunal having jurisdiction.\n\n6. Notice to the Secretary-General constitutes effective notice to the Authority for all purposes under these Regulations, and the Secretary-General is the Authority’s agent for the service of process or notification in any proceeding of any court or tribunal having jurisdiction. Regulation 93bis Consultation with Coastal States\n\n1. Prior to preparing [the documents referred to in regulation 7] [the Plan of Work], the Applicant shall request the Secretary-General to, within 7 days:\n\n(a) notify the coastal States across whose jurisdiction resource deposits related to the proposed activity may lie of the Applicant’s intention to apply for a Plan of Work ; and\n\n(b) inform all other [coastal][Member] States [for the purpose of the procedure in paragraph 4, subparagraph (b) of regulation 4] [of the Applicant’s intention to apply for a Plan of Work].\n\n2. [Upon receipt of] [Within 60 days of receiving] the Secretary-General’s notification in paragraph l, any coastal State falling within paragraph 4 , subparagraph (b) of regulation 4 may inform the Applicant in writing that it wishes to participate in the Applicant’s consultations with coastal States. [A Coastal State writing to the Applicant pursuant to this paragraph shall also include supporting reasons, as well as scientific data and assessments or other relevant data and information, where available, in s upport of its view that the activities of the Applicant or contractor as well as the Enterprise are likely to cause adverse potential effects to the rights and interests under paragraph 4 , subparagraph (b) of regulation 4.]\n\n3. Applicants, [Contractors, as well as the Enterprise], shall invite the coastal States referred to in paragraph 1, subparagraph (a) above, as well as any other coastal States which have written to the Applicant pursuant to paragraph 2 above, to submit written comments [including] on the following draft documents:\n\n(a) [Plan of Work];\n\n(b) Scoping Report;\n\n(c) Environmental Impact Assessment;\n\n(d) Environmental Impact Statement;\n\n(d) Environmental Management and Monitoring Plans;\n\n(e) Performance of Assessment of the Environmental Management and Monitoring Plans; and\n\n(f) Closure Plans.\n\n4. [Where appropriate, the Secretariat, [Contractor, Sponsoring State and/or other States or relevant bodies] should provide [technical, financial and advisory] support to developing States, including small island developing States, upon request, to identify potential effects of the planned activity on Marine areas and their Resources under their jurisdiction.]\n\n5. [Potentially affected coastal States may, during the consultation process pursuant to DR 93ter, submit to the Authority scientific data and assessments or other relevant data and information on potential effects likely to be caused by the activities of the Applicant or contractor as well as the Enterprise and may request modifications to mining plans if risks are identified.]\n\n6. The Applicant, [the Contractor, as well as the Enterprise] shall consider the contributions received from coastal States during this consultation period and, as appropriate, revise the proposal accordingly or respond to substantive contributions not reflected in the revised proposal.\n\n7. Where the planned activity may result in the exploitation of Resources lying within the national jurisdiction of a coastal State, the prior consent of the coastal State must be obtained in writing before the Applicant [or the Enterprise] submits its application for a Plan of Work.\n\nRegulation 93 ter State and Stakeholder Consultation [by an Applicant or Contractor]\n\n1. Consultation with States and Stakeholders shall be inclusive and transparent and, be conducted in a timely manner. 1 bis Where these Regulations require consultation with States and Stakeholders by an Applicant, or a Contractor, consultation shall be conducted in accordance with this regulation, applicable Standards, and taking into account the Guidelines. [2. The Applicant or Contractor shall provide the Secretary General with a list of [relevant] Stakeholders.] [2. Alt. The Applicant or Contractor shall identify a list of [relevant] Stakeholders and States,]\n\n3. The [Applicant or Contractor] shall determine the consultation period for each consultation, which shall begin on the date of the publication of a notice of consultation and /[shall] not be less than 90 Days.\n\n4. The Secretary General shall prepare a notice of consultation. The notice of consultation shall invite [Member States and Observers] to make submissions to the consultation, describe the matters on which submissions are sought, include the documentation that is the subject of consultation and other relevant information, and specify the final date for submissions.\n\n5. The Secretary General shall publish the notice of consultation on the Authority’s website.\n\n6. During the consultation period, the Applicant or Contractor shall conduct engagement with States and Stakeholders and in accordance with applicable Standards, and taking into account the Guidelines. The Secretary General may direct the Applicant or Contractor to conduct such [engagement, including through] meetings, workshops and engagement. [7. The Applicant or Contractor shall organize at least one public meeting during the consultation period [Alt. 1 to allow Stakeholders to ask questions and express their concerns [or support] directly] [Alt. 2 to address the concerns raised by the Stakeholders and prepare a detailed report of public meeting highlighting the concerns raised and responses submitted for consultation within 1 month] .]\n\n8. The Applicant or Contractor shall consider the submissions received and may revise the documentation that was the subject of consultation. The Applicant or Contractor shall prepare a written response to consultation that collates and responds to the substantive comments expressed in submissions and includes an explanation of any revisions to the document and how those revisions respond to substant ive comments expressed in the submissions. [9 Activities in the Area shall be carried out with reasonable regard for other activities in the Marine Environment. To this end, meaningful consultations in good faith shall be maintained with States undertaking activities within the area covered by the Plan of Work, with a view to reaching an agreement on practical measures to reasonably accommodate such activities.]\n\n10. The Secretary-General shall maintain a permanent public record of the notice of each consultation conducted under this regulation, all submissions, and the written response to consultation, by publishing the notice, submissions and response on the Authority’s website (except for Confidential Information which shall be redacted from documents before publication). The Secretary-General shall ensure that such consultation records relating to a specific Exploitation Contract are included in, or are accessible from, the relevant entry in the Seabed Mining Register, in accordance with regulation 92.\n\n10. bis The results of each consultation shall be summarized in a public report, including an analysis of the key points raised by Stakeholders and how these key points were addressed.\n\nRegulation 94. Adoption of Standards\n\n1. The Commission shall, taking into account [the expertise of competent independent experts, Stakeholders as well as] existing internationally accepted standards, make recommendations to the Council on the adoption and revision of Standards relating to Exploitation activities in the Area, including Standards relating to, inter alia:\n\n(a) operational safety;\n\n(a) bis effective protection of human health and safety, and labour matters;\n\n(b) the conservation and Exploitation of the Resources; [(c) the Protection of the Marine Environment, including [] the Environmental Impacts and Environmental Effects of Exploitation activities;] [, as referred to in article 145 of the Convention, inter alia on the following subject matter:\n\n(d) baseline environmental studies;\n\n(e) environmental quality objectives;\n\n(f) resource and region specific [if applicable] geological, physical, chemical and biological indicators and associated quantitative threshold values, including but not limited to;\n\n(i) Toxicity\n\n(ii) Turbidity and settling of resuspended sediments\n\n(iii) Underwater noise\n\n(iv) Light pollution\n\n(v) Habitat loss\n\n(vi) Greenhouse gas emissions\n\n(vii) biodiversity status and ecosystem structures, functions and services\n\n(g) monitoring procedures;\n\n(h) Mitigation Measures [including Restoration measures] [if possible.]\n\n(i) minimum technical requirements for environmental protection with regard to all the equipment, operational procedures and processes taking place onboard the vessel used for the Exploitation activities, including criteria for the assessment methodology to be used.\n\n(j) procedure for the management and assessment of accidents and natural hazards leading to environmental emergencies as well as environmentally hazardous discharges and residual effects of such emergencies, including preparation and implementation of Emergency Response and Contingency Plans and\n\n(k) procedural and substantive requirements relating to submissions or reports required by these Regulations, including but not limited to: Plans of Work, Environmental Management Systems, Environmental Impact Assessments, Environmental Impact Statements, Environmental Management and Monitoring Plans and Closure Plans.\n\n1. bis Standards shall describe [and determine] how the Authority and Contractors shall implement these Regulations, and shall aim for:\n\n(a) a uniform and non-discriminatory operating environment for all Contractors;\n\n(b) a consistent approach by all parties to reduce, [Alt. 1 All impacts and effects] [Alt. 2 impacts and environmental, cultural, and socioeconomic effects] and human health and safety risks to as low as reasonably practicable; and\n\n(c) an outcomes-based approach to regulation, which prescribes rigorous environmental outcomes while affording flexibility for the processes by which these outcomes are achieved to enable continuous improvement, particularly as technology advances.\n\n2. The Council shall consider and provisionally adopt, upon the recommendation of the Commission and taking into account comments submitted by Stakeholders during a public consultation, the Standards, including whether ensuring that such Standards are consistent with the intent and purpose of the rules, regulations and procedures of the Authority, including the decisions of the Council and the Assembly and, to the extent relevant, developed on the basis of Best Available Scientific Evidence, Best Environmental Practices, Best Available Techniques, and Good Industry Practice. If the Council does not provisionally adopt such Standards, the Council shall return the Standards to the Commission for reconsideration in the light of the views expressed by the Council. The Standards provisionally adopted by the Council shall remain effective on a provisional basis until approved by the Assembly or until amended by the Council in the light of any views expressed by the Assembly.\n\n2. Alt. The Council shall, upon the recommendation of the Commission and taking into account comments submitted by Stakeholders through a public consultation process, consider and provisionally adopt the proposed Standards. In doing so, the Council shall address whether the proposed Standards are consistent with the purpose and Authority’s rules, regulations and procedures, including decisions of the Council and Assembly. The Council shall also ensure that to the extent relevant, developed on the basis of Best Available Scientific Evidence, Best Environmental Practices, Best Available Techniques, and Good Industry Practice. If the Council does not provisionally adopt the proposed Standards, it shall return to the Commission for reconsideration along with the statement of the reasons for non-adoption taking into account any views expressed during deliberations. The Standards provisionally adopted by the Council shall remain in effect unless and until they are approved, amended, or rejected by the Assembly. Any views expressed by the Assembly shall be considered by the Council which may amend the Standards accordingly.\n\n2. bis The Assembly shall consider the provisionally adopted Standards at its next Session and may approve, amend, or reject them by Decision. [3. The Standards contemplated in paragraph 1 above [shall] include both qualitative and quantitative Standards, if applicable, and must include [relevant] methods, processes and technology required to implement the Standards.]\n\n3. Standards or amendments thereto provisionally adopted by the Council shall be legally binding on Contractors, Sponsoring States and the Authority from the date of their adoption and the Commission shall review these Standards at least every [five] years from the date of their adoption or revision [or when needed] and advise the Council.\n\n4. Standards adopted or revised may incorporate an appropriate transition period for implementation by existing Contractors. [5. For the avoidance of doubt, compliance with Standards is a fundamental term of the Exploitation Contract, for the purposes of regulation 103.]\n\n5. Alt. Where there are instances of Contractor non-compliance with the Standards, regulation 103 shall apply.\n\n6. In the event of any conflict between the provisions of these Regulations and the provisions of a Standard, these Regulations shall prevail. The [Council] should be notified of the conflict [and shall provide additional guidance as necessary].\n\nRegulation 95. Issuance of Guidelines\n\n1. The Commission or other subsidiary organs of the Authority, shall, from time to time, where appropriate or upon request by the Council, develop Guidelines of a technical nature, in order to assist in the implementation of these Regulations, taking into account the views of Stakeholders. [1. bis The Secretary-General shall, from time to time, develop Guidelines of an administrative nature, in order to assist in the implementation of these Regulations, taking into account instructions from the Council and the views of the Commission or other subsidiary organs of the Authority as well as other Stakeholders.]\n\n2. The full text of Guidelines or any revisions thereto shall be reported to the Council for its consideration and approval. Should the Council find that a Guideline is inconsistent with the intent and purpose of the rules, regulations and procedures of the Authority, it may direct that the Guideline be modified. The Council shall consider the draft Guidelines at its next session and may approve, amend, request modification, or reject them by Decision.\n\n3. The Commission or other subsidiary organ of the Authority, in the case of technical Guidelines, and the Secretary-General, in the case of administrative Guidelines shall keep under review such Guidelines. [At least every five years from the date of their adoption or revision, the Council shall consider each Guideline, including any recommendations for amendment, in the light of improved knowledge or information, and may approve, amend, request modifications, or reject them by Decision.] [4. Notwithstanding the non-binding and recommendatory nature of Guidelines, Contractors are expected to observe all Guidelines issued by the Authority to the furthest extent possible. [The Commission/Compliance Committee may request Contractors to explain any divergence from the Guidelines].\n\nPart XI. Inspection, compliance, and enforcement\n\nSection 1. General\n\nRegulation 95 bis. Compliance Committee\n\n1. The Compliance Committee of the Authority shall assist the Council in carrying out its functions and responsibility to exercise control over activities in the Area as provided for under Part XI of the Convention.\n\n2. Without limiting the powers and functions conferred upon another organ of the Authority, the Compliance Committee shall, inter alia:\n\n(a) investigate allegations on possible instances of Contractor non -compliance;\n\n(b) secure compliance by Contractors with their Exploitation Contracts;\n\n(c) examine complaints under regulation 101 and making any recommendations to the Council;\n\n(d) make recommendations to the Council, without prejudicing the Commissions mandate subject to article 165, paragraph 2 (k), of the Convention, for the issue of emergency orders and appropriate penalties in accordance with Section 3 of this Part;] and [(e) undertake in collaboration with the Secretary-General compliance promotion activities to promote understanding of and compliance with the rules, regulations and procedures of the Authority and Exploitation Contracts, including dissemination of best practice arising from inspection activities.]\n\n3. Within 3 months of the end of the Calendar Year the Committee shall complete an annual inspection, compliance and enforcement report, together with a non -technical summary, and submit the report and summary to the Council for its consideration.\n\n4. The report shall include details of any regulatory action taken by a Sponsoring State or States as advised in writing to the Chief Inspector or Secretary -General [Council/Committee], any corrective action undertaken by a Contractor, and any recommendations as to any enforcement action to be taken by the Council to which regulation 100, paragraph 2 refers. The report shall also include any findings and recommendations arising from inspections that may contribute to the development of Good Industry Practice, Best Environmental Practices, and Best Available Techniques, as those terms are defined in the Exploitation Regulations.\n\n5. The Secretary-General shall make publicly available a copy of the Committee’s report and summary on the Authority’s website, with any Confidential Information redacted.\n\nRegulation 95 ter Public Complaint The [Council]/[Compliance Committee] shall develop and implement public complaints procedure to facilitate reporting to the Authority by any person or entity of any concerns about the activities in the Area.\n\nSection 2. Inspections\n\nRegulation 96. The [inspection] / [compliance] mechanism\n\n1. The [Secretary-General]/[Compliance Committee]/[Council] shall appoint an officer with suitable qualifications to be Chief Inspector [on the basis of the recommendation of the Compliance Committee]. The Chief Inspector shall report to the Compliance Committee and shall undertake the day-to-day management and administration of a Roster of Inspectors and inspection programme [in accordance with the Authority’s Compliance Strategy].\n\n2. The Council shall, on the basis of the recommendations of the [Commission] / [Compliance Committee], approve and maintain a code of conduct for Inspectors based on[, among others] [the principles of independence, transparency, accountability, [integrity, impartiality,] [gender equality,] [proportionality, expertise, probity] and nondiscrimination.]]\n\nRegulation 96 bis. Inspections\n\n1. The Inspector decides upon the manner of execution of the inspections [in accordance with any applicable Standard and taking into account the Guidelines]. Inspections may be carried out [announced, unannounced,] remotely, virtually or onsite [at a Contractor’s ship, installation, or office premises], or a combination of these. [1. Alt. The Inspector shall determine the manner of execution of inspection which shall be carried out without notice either physically or virtually.]\n\n1. bis [For an announced inspection,] The Chief Inspector shall give [adequate]/[reasonable] [written] notice, [which may vary] depending upon the chosen manner of [execution]/[inspection] pursuant to paragraph 1,] to a Contractor of the inspection. This notice shall contain:\n\n(a) information about the manner of execution of the planned inspection;\n\n(b) the projected time and duration of inspections;\n\n(c) the number of the Inspector(s); and\n\n(d) any activities that the Inspector(s) are to perform that are likely to require the availability of special equipment or special assistance from the personnel of the Contractor. [2. [Where the Compliance Committee or the Chief Inspector [have reasonable grounds to consider the matter to be so urgent that reasonable [written] notice cannot be given,] the Compliance Committee or the Chief Inspector shall instruct an Inspector to conduct an [unannounced] / [impromptu] inspection, [notwithstanding paragraph 1. bis.,] / [and provide written notice to the Contractors as soon as practicable,] without prior notification to a Contractor [without prior notification,] and shall cooperate with a Contractor to conduct the inspection as soon as practically possible.] [In such cases, the Contractor shall be immediately informed of the inspection urgency and the scope to facilitate compliance and minimize disruption.]] [2. Alt. Where the Chief Inspector has reasonable grounds to conduct an inspection, without given an adequate notice, the Chief Inspector shall direct an Inspector to conduct an [unscheduled]/[unannounced] inspection despite any contrary provisions on any of these Regulations and shall cooperate with a Contractor to conduct the inspection within a specified timeframe.] [2. bis [The Inspector shall, upon request by any State Party or other party concerned, be accompanied by a representative of such [Sponsoring] State or other party concerned when carrying out the inspection.]] [3. Inspectors [may]/[shall], [in accordance with these Regulations,] inspect any relevant [areas], documents, items, or digital information [and [interview]/[question] any personnel] necessary to monitor a Contractor’s compliance under its Exploitation Contract and the rules, regulations and procedures of the Authority which include inter alia, all recorded data and samples and any ships or Installation s used by the Contractor to carry out Exploitation activities and activities related to such Exploitation activities in the Area, including its log, equipment, records and facilities, as well as interview relevant personnel. [The Inspector shall have the authority to [reasonably] take copies or samples as needed for further analysis] [and shall not make public any information, categorised as confidential as recognised under regulation 89].]\n\n4. The Contractor shall cooperate with Inspectors and give full assistance to Inspectors in the performance of their duties, and shall:\n\n(a) accept and facilitate the prompt and [safe boarding]/[embarkation] and disembarkation of ships and Installations used to carry out Exploitation activities and activities related to such activities in the Area by Inspectors;\n\n(a) bis [to facilitate the conveyance of Inspectors and any individuals who have requested to participate in the inspection in accordance with regulation 96bis, paragraph 2bis, ]Keep the Chief Inspector and Sponsoring State or States notified of proposed ship [and aircraft] schedules including support and supply vessels, and when feasible, inform the Chief Inspector before any ship commences its voyage to a Contractor’s Contract Area to facilitate the conveyance of Inspectors and representatives of Sponsoring States, where appropriate and to keep the Chief Inspector informed if there is a change to proposed ship schedules due to operational, logistical or unforeseen circumstances;\n\n(a) ter within 7 Days of the Chief Inspector informing the Contractor that the Inspector(s) would like to conduct an [announced]/[scheduled] inspection of a Contractor’s ship or Installation, the Contractor shall inform the Chief Inspector of the next date a ship will commence its voyage to the Contractor’s Contract Area ;\n\n(b) cooperate with and assist in the inspection of any ship s or Installations or equipment used to carry out Exploitation activities and activities related to such activities in the Area conducted pursuant to this regulation and comply with the requests of an Inspector;\n\n(b) bis provide reasonable facilities, financed by the Contractor, including , [logistics for Inspectors necessary for their duties,] [where appropriate, ship voyage,] food and [suitable and secure] accommodation, to Inspectors [in compliance with the rules defined by the Code of Conduct defined by regulation 96, paragraph 3]; [(c) provide access [at all reasonable times] to all relevant areas, items, and personnel [engaged in activities relating to Exploitation activities in the Area, and to relevant areas, items and personnel on ships and Installations engaged in Exploitation activities in the Area; [or on ships and Installations engaged in carry out Exploitation activities related to such Exploitation activities in the Area at all reasonable times;]] [(c)Alt. provide access [at all reasonable times] to all relevant areas, documents, items, and personnel, or digital information, as referred to in paragraph 3.] [(d) provide access to relevant monitoring and surveillance systems and equipment, books, documents, papers and records [regardless of where they may be located] to determine compliance with terms and conditions of an Exploitation Contract and these Regulations;]\n\n(e) answer fully and truthfully any questions put to them;\n\n(f) accept the deployment of remote real-time monitoring and surveillance equipment and as required by the Council, the Compliance Committee, or the Chief Inspector;\n\n(f) bis facilitate the activities of Inspectors to observe the Contractor’s monitoring operations; and\n\n(g) [facilitate the conveyance of Inspectors and any individuals who have requested to participate in the inspection in accordance with regulation 96bis, paragraph 2bis, ] Not obstruct, intimidate or interfere with Inspectors in the performance of their duties, or representatives of Sponsoring States, State, or other party concerned who accompany these Inspectors.] [Contractors shall also establish and communicate internal procedures to ensure that all personnel are aware of and comply with inspection requirements.]\n\nRegulation 96 ter Request for inspection [in the event of [harmful effects]] to the Marine Environment] [1. In the event of harmful effects or risk of harmful effects to the Marine Environment, [any State or States] , which have [reasonable] grounds for believing [that] such harmful effects are caused by activities in the Area, shall notify the [Chief Inspector] / [Compliance Committee] [and the relevant Contractor] through the] Secretary-General in writing of the grounds upon which such belief is based and request an inspection. [The notification shall include all relevant evidence, and all documentation supporting the belief that the harmful effects are caused by activities in the Area.] [1. Alt. Where there are grounds for believing a Contractor does not comply with, or is at risk of non-compliance with, the rules, regulations and procedures of the Authority, and the terms of the Exploitation Contract as referred to in regulations 18bis and 98, any State may notify the Chief Inspector through the Secretary-General in writing of the grounds upon which such belief is based and request an inspection. The notification shall include all relevant evidence, and all documentation supporting the noncompliance.] [1. bis In reviewing a Contractor’s annual report, the Commission may inform the Compliance Committee of a possible non-compliance situation on the Contractor’s activities. The Compliance Committee shall consider such situation and may recommend, if necessary, to the Council for initiating an inspection. ] [1. ter Anyone who has reasonable grounds for suspecting that a Contractor has violated the Convention, these Regulations, Exploitation Contracts, or caused harmful effects to the Marine Environment, may request the Compliance Committee through the Secretary-General for inspection in writing.]\n\n2. The [Chief Inspector] / [Compliance Committee] shall [notify the relevant Contractor and Sponsoring State or States, shall] examine immediately the grounds for an inspection request and shall [promptly]/[make recommendations to the Council to] initiate inspection where such grounds appear reasonable[, and invite representatives of the State or States to [accompany the Inspector], no later than 24 hours after such notification was made by the State or States[to facilitate assessment by the Council of whether any [pollution or] the harm is attributable to activities in the Area.]] . [2. Alt. The Chief Inspector shall respond to the notification within 24 hours, indicating whether the grounds for inspection are deemed reasonable and outlining the next steps for initiating the inspection, including inviting the State or States to accomp any the Inspector during the inspection.]\n\nRegulation 97. Inspectors: Appointment and supervision\n\n1. The Council shall, on the basis of the recommendations of the [Commission][Compliance Committee] [and the Finance Committee], determine the relevant qualifications and experience for Inspectors to be included in the Roster of Inspectors appropriate to the areas of duty of an Inspector under this Part. 1 bis [Without prejudice to the possibility of self-nomination,] States Parties may, subject to the requirements of this regulation, nominate [individuals for] [Inspectors for consideration, and] inclusion in the Roster of Inspectors. Nominees [and Applicants] will be considered against the qualification and experience requirements. Equitable geographical representation and gender balance will also be considered, [both] in line with the Convention principles. [Subject to considerations of protection of personal data, the Roster of Inspectors shall be made publicly available on the Authority’s website.] [1.bis. Alt. Recruitment to the Roster of Inspectors will be through an open and transparent process conducted by the Compliance Committee. Applic ants will be considered against the qualification and experience requirements. Equitable geographical representation and gender balance will also be considered, [both] in line with the Convention principles. [Subject to considerations of protection of personal data, the Roster of Inspectors shall be made publicly available on the Authority’s website].] [2. The Compliance Committee shall make recommendations, to the Council on an [inspection programme] and schedule for the Authority in accordance with any applicable Standards and taking into account the Guidelines.] [3. The [inspection programme] shall be [adopted] by the Council, [and implemented by the Chief Inspector [and the Inspectors]].] [4. The Inspectors shall be independent [and competent] in the fulfilment of their tasks and shall comply with the Inspector Code of Conduct.]\n\n5. [The Authority will [engage] with the Sponsoring State or States to ensure that inspections performed by Inspectors are aligned with enforcement at the national level. ] Inspectors shall report to the Compliance Committee in writing regarding any difficulties relating to the enforcement of the measures.\n\n6. Inspectors may be required to undertake relevant training programmes, [including but not limited to project and ship instructions, health and safety [at sea], as well as undergo fit for work medical evaluations], [at the request of the Council,] based on the recommendations of the Compliance Committee. The Secretariat shall facilitate [the requisite]/[relevant] trainings and evaluations.\n\n7. The Compliance Committee shall keep the Roster of Inspectors under review and updated. The Council may, [inter alia,] [following non-compliance with the Inspector Code of Conduct], remove an Inspector from the Roster of Inspectors, on the basis of the [reasonable] recommendations of the Compliance Committee.\n\nRegulation 97 bis. [Inspectors’ Functions and Responsibilities] 1. Inspectors shall:\n\n(a) carry out inspections in accordance with internationally accepted principles of good seamanship so as to avoid [so far as possible] risks to the safety of life at sea, and follow [relevant] instructions and directions given to them [by the Contractor] and the master of the ship;\n\n(b) avoid interference with the [safety] operations of the Contractor and [safety operations] of ships and Installations.\n\n(b) bis comply with the Inspectors Code of Conduct. [(d) indicate in their reports all ships, Installations, equipment, facilities, data and samples monitored or otherwise examined, all documents reviewed or copied, all questions posed to the Contractor or any personnel.]\n\n2. An Inspector must have no conflicts of interest in respect of all duties undertaken. Inspectors shall have no financial interest in any activity relating to Exploration and Exploitation in the Area. [They shall not disclose, even after the termination of their functions, any industrial secret, proprietary data or other Confidential Information coming to their knowledge by reason of their functions under these Regulations.] ]\n\nRegulation 98. Inspectors’ powers\n\n1. Inspectors may, for the purposes of monitoring or enforcing compliance with the rules, regulations and procedures of the Authority and the terms of the Exploitation Contract [in accordance with applicable Standard and taking into account the relevant Guidelines]:\n\n(a) [reasonably] question any person who is deemed relevant by the Inspector and is engaged by the Contractor in the conduct of [Exploitation activities] / [activities under the Exploitation Contract] on any matter [regulated by] the rules, regulations and procedures of the Authority relate;\n\n(a) bis conduct an announced or unannounced, remote, virtual or onsite visit to the ship and Installations [or office premises] used by the Contractor [in accordance with regulation 96bis];\n\n(i) require any person who has control over, or custody of, any document, whether in electronic form or in hard copy, including a plan, book or record, to [preserve and] produce a copy of that document to the Inspector or at any other reasonable time and place required by the Inspector in writing;\n\n(ii) bis inspect any relevant documents or items which are necessary to monitor the Contractor’s compliance, all other recorded data and samples and any ship or Installation engaged [in Exploitation activities and activities related to such Exploitation activities in the Area] including its log, equipment, records and facilities and question personnel.\n\n(iii) [[seize] [acquire copies of] documents, articles, substances or any part or sample of such for [further] examination or analysis that the Inspector may reasonably require;] [(iv) take pictures, audio or video footage, or obtain contractor recordings necessary to document and substantiate Contractor’s compliance or failure to comply with agreements, terms and conditions. Inspectors shall have access to any area needed to obtain documentation needed in the course of an inspection or investigation.]\n\n(c) request from any person referred to in subparagraph s above the reason for any entry or non-entry in any document over which that person has custody or control;\n\n(d) examine any document produced under subparagraphs [above] and make a copy of it or take an extract from it;\n\n(e) inspect [or require testing of] [, and preserving,] any machinery or equipment under the supervision of the Contractor or its agents or employees that, in the Inspector’s opinion, is being or is intended to be used for the purposes of the Exploitation activities [without interfering with the production and operation of the Contractor]; [(g) label representative samples or [acquire] copies of assays of such samples from any ship or equipment used for or in connection with the Exploitation activities that the Inspector may reasonably require;]\n\n(h) require the Contractor to carry out such procedures in respect of any equipment used for or in connection with the Exploitation activities as may be deemed necessary by the Inspector; and, [(h) bis issue a [“do not disturb notice”]/[stop work order, component shut-in, or Facility shut-in], in writing, in order to allow the further inspection, examination or measurement of, or the conducting of tests concerning, any ship, Installations, equipment or facilities engaged [or used] in Exploitation activities and activities related to such Exploitation activities in the Area.] [(h)ter. make recommendations to the Compliance Committee for increased oversight of facilities and operators that require special onsite inspections or attention based on their history of serious injuries or fatalities, pollution events, and inspection findings, or other appropriate actions related to systematic violations .]\n\n(i) perform any other prescribed function of the Authority as its representative [in accordance with written authorization of the Council.] [2. Before an Inspector may seize any document under [regulation 96bis, paragraph 3] above, the Contractor may copy it.] [3. When an Inspector seizes or removes any item under these Regulations, the Inspector shall issue a receipt for that item to the Contractor.] [4. An Inspector shall document any site visit or inspection activity and shall use any means to do so, including video, audio, photograph or other form of recording. ]\n\nRegulation 99. Inspectors’ power to issue instructions [1. If, as a result of an inspection, an Inspector has reasonable grounds to determine that any occurrence, practice or condition endangers or may endanger the health or safety of any person or poses a [threat]/[risk] of harmful effects to the Marine Environment or to human remains and [Alt. 1 objects and sites of an archaeological or historical nature] [Alt. 2 Underwater Cultural Heritage] [or any venerated sites], the Inspector shall give a written instruction, which shall have immediate effect, of a temporary nature considered reasonably necessary to remedy the situation, in accordance with [regulation 35 and] any applicable Standards, including:\n\n(a) an instruction requiring a Contractor to undertake specific tests or monitoring and to furnish the Chief Inspector with the results or report of such tests or monitoring within a set period;\n\n(b) an instruction placing a requirement to [suspend or to] undertake a specified activity in a specified way, and within a specified period or at specified times or in specified circumstances; and\n\n(c) an instruction that the Contractor must take the steps set out in the instruction, within the specified period, to rectify the occurrence, practice or condition .\n\n2. An instruction under paragraph 1 above must be given to the person designated by the Contractor or, in his or her absence, the most senior employee available aboard the ship or Installation to whom the instruction can be issued. An Inspector may issue an instruction orally [in urgent situations where the issue of a written instruction] under paragraph 1 is impracticable. Where an instruction is issued orally, the Inspector must confirm it in writing and give it to the designated person at the earliest opportunity.\n\n2. bis The Inspector shall report immediately and provide a copy of the instruction to the [Chief Inspector,] Compliance Committee, the Secretary-General and through the Secretary-General to the Contractor’s Sponsoring State or States and, if applicable to the relevant coastal State or States and flag State, that an instruction has been issued under paragraph 1 above. [2. ter Unless otherwise stated, an instruction issued pursuant to this regulation shall have immediate effect and shall specify the information to be provided to the Inspector by the Contractor to demonstrate the steps being taken to implement the instruction within the specified period.]\n\n3. An instruction issued shall be for a specified period not exceeding 7 Days [, and up to 30 Days for structural modifications or repairs]. Where still necessary to remedy the situation identified in paragraph 1, the Chief Inspector may extend such period and shall report any such extension to the Compliance Committee.\n\n3. bis Within 3 Days of the expiry of the specified period or any extension thereto under paragraph 3, the Chief Inspector shall assess whether the issue given rise to the instruction has been satisfactorily resolved and shall report immediately to the Compliance Committee. [3. ter The Compliance Committee may:\n\n(a) request the Chief Inspector to provide further information as to the facts and circumstances giving rise to the issue of an instruction under paragraph 1 for its consideration;\n\n(b) [confirm,] revise or set aside an instruction issued under paragraph 1 above as soon as practicable, [stating the reasons];\n\n(b) bis exercise the powers conferred upon it under regulation 103, including where a Contractor has failed to comply with a written instruction; [or]\n\n(c) invite the Council’s attention to any cases of non-compliance with the terms of an Exploitation Contract;] [or] [(c)bis. Fully report to the Council about the inspection.]] [3. quat. In the case of a written instruction, where the circumstances giving rise to a suspension are not resolved or are unlikely to be resolved, [the Compliance Committee shall following consultation with the Contractor, notify the Council immediately together with any recommendation as to whether such suspension should continue ]. The Council [in accordance with regulations 29 and 29bis,] shall decide if the suspension should continue, including the placing of conditions on any recommencement of Exploitation activities.]\n\n4. Nothing in this regulation shall preclude the Council from issuing emergency orders pursuant to article 162, paragraph 2(w) of the Convention.]\n\nRegulation 100. Inspection Reports\n\n1. No later than 30 Days after the end of a [routine] inspection [and 7 Days after the end of an urgent inspection], the Inspector shall [submit] a report in accordance with the template and other requirements set out in the applicable Standards setting out, findings and [seeking clarification[, where relevant,] and providing] recommendations for improvements in performance, procedures or practices by a Contractor. [The [Chief] Inspector shall send the report to the Compliance Committee and the Secretary Gene ral, [[who]/[the Secretary-General] shall send a copy of the report to the Contractor and its Sponsoring State or States, as well as the relevant adjacent coastal State or States or flag State referred to in paragraph 2bis of regulation 99].]/[All inspection reports shall be submitted to the Chief Inspector and the Secretary-General. Such reports shall be promptly made public and placed on the website of the Authority.]\n\n1. bis The Contractor and the Sponsoring State or States, [as well as the relevant adjacent coastal State or States or flag State referred to in paragraph 2 bis of regulation 99] [,member States and all Stakeholders,] [shall] within 30 Days of the date of receipt of the Inspector’s report, provide to the Secretary -General [any] comments on the findings[, requests for clarification or recommendation,] including details of any action taken or to be taken in accordance with the findings and recommendations o f the Inspector’s report. The Secretary-General shall transmit [such] comments to the Compliance Committee.\n\n2. The Compliance Committee shall, pursuant to regulation [95 bis], report to the Council [and] include details on the findings and recommendations following the inspections conducted in the prior Calendar Year and shall make any recommendations to the Council on any enforcement action to be taken by the Council under these Regulations and an Exploitation Contract and taking account of any regulatory action taken by the Sponsoring State or States or corrective actions taken by a Contractor to address the findings or recommendations.\n\n3. The [Chief Inspector] shall report to the Compliance Committee and the SecretaryGeneral on any acts of violence, [bribery, intent to bribe] intimidation, or abuse against or the wilful obstruction or harassment by any person of an Inspector, or a representative of a Sponsoring State, State , or other party concerned who accompanies the Inspector in the course of their duty, or the failure by a Contractor to comply with paragraph 4 of regulation 96 bis.\n\n3. bis The Secretary-General shall report any such acts or failure to comply with regulation 96 bis immediately to the Sponsoring State or States and the flag State of any ship or Installation concerned, and to the [national State]/[State of nationality] of the Inspector for consideration of the institution of proceedings under national law. Appropriate measures may also be taken by the Compliance Committee in accordance with regulation 103.\n\nRegulation 101. Complaints relating to Inspections [1. A Contractor who considers that an Inspector has acted unreasonably or outside of the scope of their powers under this Part may complain in writing to the Secretary General, who will transmit the complaint promptly to the Compliance Committee who shall consider the complaint as soon as practicable.] [1. bis A person aggrieved by an action of an Inspector [or a Contractor][or any organ or official of the Authority] under this Part may complain in writing, [providing evidence] to the Secretary General, [who shall report to the Compliance Committee [and] Chief Inspector [or where the Compliance Committee is implicated in the complaint to the Ombudsperson] to consider the complaint as soon as practicable.] [1. Alt. A Contractor or any person directly affected by the conduct of an Inspector or a Contractor in connection with inspection or compliance activities under this Part may submit a written complaint, supported by relevant evidence, to the Secretary -General. The Secretary-General shall promptly transmit the complaint to the Compliance Committee for consideration. Where the compliant involves a member of the Compliance Committee or raises concerns about the Compliance Committee impartiality, the Secretary-General shall refer the matter to the [designated Ombudsperson or another] independent mechanism established by the Council. Complaints must relate specifically to the exercise or non-exercise of powers and duties under this Part and fall within the Compliance Committee’s mandate.] [1. ter The Secretary-General shall acknowledge [receipt of a complaint made under this regulation,] in writing, [and] within 7 Days, specifying the date of receipt.]\n\n2. The Compliance Committee [,having taken account of the views of] the Chief Inspector [as appropriate,] shall take such reasonable action.\n\n3. The Compliance Committee shall submit a report to the Council describing the complaint and the action taken in response to [the] complaint. The Council [shall]/[can] review the report and decide [on what additional actions to be taken]/[whether any additional action is required]. [4. The Secretary-General shall provide, as soon as possible, information to the complainant on the follow-up given to the complaint.] [5. Disputes concerning the handling of complaints [made in accordance with this regulation] shall be settled in accordance with regulation 106]. Regulation 101bis Whistle-blowing procedures Any complaints received from whistleblowers shall be dealt with under [a whistleblowing mechanism] established by the Authority for this purpose.\n\nSection 3. Enforcement and penalties\n\nRegulation 103. Compliance and enforcement measures by the Compliance Committee\n\n1. If the Compliance Committee determines, based on evidence, that a Contractor is not complying with its Exploitation Contract, or is at risk of not doing so, it may :\n\n(a) take measures directly; and\n\n(b) make recommendations to the Council to take measures, in order to secure compliance with the Exploitation Contract by the Contractor, in accordance with regulations [103] through [104]. 2. The Compliance Committee may, inter alia:\n\n(a) inform a Contractor what action is needed to become or remain compliant with its Exploitation Contract;\n\n(b) warn a Contractor that it is not compliant or at risk of being non -compliant with its Exploitation Contract;\n\n(c) convene a meeting with the Compliance Committee for the Contractor to attend;\n\n(d) instruct the Contractor to compile and implement an improvement plan setting out:\n\n(i) actions to be taken to return to compliance with its Exploitation Contract;\n\n(ii) how the actions’ effectiveness will be monitored and reported;\n\n(iii) the period of time within which such actions would ensure a return to compliance with its Exploitation Contract; and\n\n(iv) subsequent steps which the Contractor proposes to alternatively take, should the actions under (i) be unsuccessful, or should non -compliance continue;\n\n(e) issue written instructions to the Contractor to take particular actions, in order to return to compliance with its Exploitation Contract, including subsequent steps should non-compliance continue; or\n\n(f) recommend that the [Roster of Inspectors/Chief Inspector] conducts more frequent inspections of the activities in the Area carried out by the Contractor.\n\n3. The Compliance Committee may recommend to the Council, inter alia, that the Council:\n\n(a) requires a Contractor to pay monetary penalties, such as penalty payments or fines;\n\n(b) [issues emergency orders;] or\n\n(c) suspends or terminates a Contractor’s rights under an Exploitation Contract, if:\n\n(i) in spite of warnings by the Authority, the Contractor has conducted its activities in such a way as to result in serious, persistent and wilful violations of the fundamental terms of the Exploitation Contract, Part XI and the rules, regulations and procedures of the Authority; or\n\n(ii) the Contractor has failed to comply with a final binding decision of the dispute settlement body applicable to it.\n\n4. When taking or recommending measures under this regulation, the Compliance Committee may:\n\n(a) provide that the Contractor is obliged to ensure it complies with the Exploitation Contract within a specified time limit;\n\n(b) prescribe that the measures are conditional;\n\n(c) prescribe anticipatory measures which are to become effective if the Compliance Committee finds that the Contractor has breached the Exploitation Contract a second time and has communicated such finding to the Contractor; and\n\n(d) adopt a combination of measures.\n\n5. Where a Contractor does not comply with one or more terms or conditions of the Exploitation Contract, measures may be imposed for each respective breach of the relevant term or condition.\n\n6. The procedures through which the measures in paragraphs 2, 3 and 4 are to be taken or recommended, are further set out in a Standard, which shall be applied by the Compliance Committee.\n\n7. The Compliance Committee may, for the purposes of any finding under paragraph 1 that the Contractor is not complying with its Exploitation Contract or is at risk of not doing so, request the Contractor through the Secretary-General to provide any relevant documents or other information and invite the Contractor to make any representations for consideration by the Compliance Committee.\n\n8. The Compliance Committee may take measures by issuing a Non -Compliance Notice or otherwise. When making a recommendation to the Council, the Compliance Committee shall also issue a Non-Compliance Notice. Regulation 103bis Non-Compliance Notices 1. A Non-Compliance Notice shall:\n\n(a) describe the non-compliance, or risk of such, and the factual basis for it;\n\n(b) describe the place and time that the non-compliance, or risk of such, was observed;\n\n(c) mention the relevant obligation or obligations, including the legal basis;\n\n(d) describe the measure or measures imposed by the Compliance Committee;\n\n(e) contain the reasons why the imposed measure or measures are deemed necessary and appropriate; and\n\n(f) in the event a timeframe is imposed within which the Contractor must implement the measure or measures, specify such timeframe.\n\n2. For the purposes of article 18 of Annex III to the Convention, a Non-Compliance Notice issued under this regulation constitutes a warning by the Authority.\n\n3. A Non-Compliance Notice shall immediately be communicated by the Secretary General to the Contractor in writing upon the instruction of the Compliance Committee. A Non-Compliance Notice shall, through the Secretary-General, be provided to the Sponsoring State or States immediately after it is communicated to the Contractor.\n\n4. The Contractor shall be given a reasonable opportunity not exceeding 30 Days to make representations in writing to the Secretary General concerning any aspect of the Non-Compliance Notice, who shall transmit the received information to the Compliance Committee without undue delay. Having considered any such representations and taking account of any enforcement action taken or to be taken by the Sponsoring State or States, the Compliance Committee may make recommendations to the Council to confirm, modify or withdraw the Non-Compliance Notice. Regulation 103ter Proportionate measures commensurate to non-compliance\n\n1. The Compliance Committee shall determine the extent and nature of the non compliance with an Exploitation Contract, or risk thereof, by a Contractor, by assessing the consequences or possible consequences of the non-compliance and the conduct of the Contractor in relation to the non-compliance, in accordance with the applicable Standard.\n\n2. The Compliance Committee shall take proportionate measures that are commensurate to the extent and nature of the non-compliance of the Exploitation Contract or risk thereof, as well as the circumstances of the non-compliance or risk thereof. Relevant to determining the proportionality of a measure are (a) the severity and frequency of the non-compliance or risk thereof and (b) the Contractor’s conduct in relation to the non-compliance or risk thereof.\n\n3. In determining the severity of the non-compliance or risk thereof, the Compliance Committee shall take, inter alia, the following circumstances into account, whether:\n\n(a) the Contractor gained a financial advantage by the breach;\n\n(b) the Contractor concealed relevant facts, provided information that is false or misleading, committed forgery of documents, engaging in corruption;\n\n(c) Inspectors have been hindered in the exercise of their duties;\n\n(d) human life has been endangered;\n\n(e) the Contractor could foresee that its non-compliance could result in Serious Harm to the Marine Environment;\n\n(f) imposing a financial penalty on the Contractor will likely not cause the Contractor to comply with the Exploitation Contract;\n\n(g) the Compliance Committee considers there is a need to deter further non -compliance by the Contractor in the specific circumstances;\n\n(h) the Contractor notified the Inspectors or the Compliance Committee directly about the circumstances leading to the non-compliance or the non-compliance itself, as well as the risk thereof;\n\n(i) the Contractor’s failure to comply with the Exploitation Contract was caused by a Force Majeure;\n\n(j) the breach occurred in the context of a change to the Authority’s rules, regulations or procedures, and the Contractor is demonstrably taking reasonable steps, within a reasonable period, to bring its operations into conformity with the new requirement s;\n\n(k) the Contractor took immediate steps to remedy the breach and prevent recurrence; or\n\n(l) the Contractor fully cooperated with and facilitated the Authority’s inspections.\n\n4. In its determination of which measures to prescribe, the Compliance Committee will apply the applicable Standard. Regulation 103quat. Specific procedures through the Council in relation to enforcement\n\n1. The Compliance Committee shall submit cases of non-compliance with the Exploitation Contract to the Council [through an annual report]. The Council shall invite the attention of the Assembly to such cases of non-compliance, in accordance with article 162, paragraph 2, subparagraph (a), of the Convention.\n\n2. Except for emergency orders under article 162, paragraph 2, subparagraph (w), of the Convention, the Council may not execute a decision involving monetary penalties, suspension or termination until the Contractor has been accorded a reasonable opportunity to exhaust the judicial remedies available to it pursuant to section 5 of Par t XI to the Convention. [3. Upon exhaustion of the judicial remedies pursuant to paragraph 2 above, where the Authority requires a suspension of Exploitation activities in accordance with these Regulations, the Council upon a recommendation of the Commission will provide the Contractor with a suspension notice to specify the reasons for the suspension, what operations under the Plan of Work must cease, and which, if any, may continue, and any other relevant terms and conditions for the suspension.] [4. The Council may institute proceedings against a non -compliant Contractor before the Seabed Disputes Chamber on behalf of the Authority. The Commission may recommend to the Council that such proceedings be instituted on behalf of the Authority before the Seabed Disputes Chamber. The Compliance Committee may provide any and all assistance to the Commission and Council with respect to such proceedings before the Seabed Disputes Chamber.]\n\nRegulation 104. Power to take remedial action\n\n1. Where a Contractor fails to take [the necessary measures] required under regulation 103, the Authority: [(a) shall notify the Sponsoring State [or States] and coordinate with relevant officials of that State on further action that may be taken to enforce compliance by the Contractor; and] (b) may carry out any remedial [actions] or take such measures as it considers reasonably necessary to prevent or Mitigate the effects or potential effects of a Contractor’s failure to comply with the terms and conditions of an Exploitation Contract. The Council shall, based on the recommendations of the Commission, determine the nature of such [works]/[actions] or measures and the manner in which they are to be carried out.\n\n2. If the Authority takes remedial action or measures under paragraph 1 , subparagraph\n\n(b) above, the costs and expenses incurred by the Authority in taking that action are a debt due to the Authority from the Contractor [and, to the extent it is liable, the Sponsoring State [or States]. [3. Notwithstanding the above, the Authority shall promptly notify the Sponsoring State concerned and attempt to coordinate any further action that may be taken to enforce compliance by the Contractor.]\n\nRegulation 105. Sponsoring States Without prejudice to regulations 5, 6 and 21, and to the generality of their obligations under article 139, paragraph 2, and article 153, paragraph 4, of the Convention and article 4, paragraph 4, of Annex III to the Convention, Sponsoring States shall, in particular, take all necessary and appropriate measures to secure effective compliance by Contractors they have sponsored in accordance with Part XI of the Convention, the Agreement, rules, regulations and procedures of the Authority and the terms and conditions of the Exploitation Contract.\n\nSection 4. Periodic review of inspection, compliance and enforcement mechanism\n\nRegulation 105 bis. Periodic Review of Inspection, Compliance and Enforcement Mechanism\n\n1. [Every 5 years from the date of establishing the Compliance Committee, ] the Council shall review the Authority’s inspection, compliance and enforcement mechanism to ensure that the manner of its operation and activities accords [with] international standard of best regulatory practice and for the purpose, request information from the Compliance Committee and the Secretary-General. [During the first 10 years since the date of commencement of Commercial Production in the Area , the inspection, compliance and enforcement mechanism shall be reviewed every 3 years. After that period the mechanism shall be reviewed every 5 years.]\n\n1. bis The report of the periodic review shall be published on the Authority’s website.\n\n2. In the light of the review, the Council may, taking into account any recommendations of the Commission, the Compliance Committee, adopt amendments to the mechanism.\n\nPart XII. Settlement of disputes\n\nRegulation 106. Settlement of disputes\n\n1. Disputes concerning the interpretation or application of these Regulations and an Exploitation Contract shall be settled in accordance with section 5 of Part XI of the Convention. [1. Alt. Where a dispute arises concerning the interpretation or application of these Regulations and an Exploitation Contract:\n\n(a) the disputing parties [may / shall] enter into good faith negotiations with a view to resolving the dispute including through any alternative dispute mechanisms mutually agreeable to the parties; and\n\n(b) should the dispute remain unresolved despite best efforts undertaken in accordance with paragraph 1, subparagraph (a), the matter shall be settled in accordance with section 5 of Part XI[ Part XV and Annex 6 of the Convention.]\n\n2. Any final decision rendered by a court or tribunal having jurisdiction under the Convention relating to the rights and obligations of the Authority and of the Contractor shall be enforceable in the territory of each State party to the Convention.\n\nPart XIII. Review of these Regulations\n\nRegulation 107. Review of these Regulations [1. Five years following [Alt. 1 the approval of these Regulations by the Assembly] [Alt. 2 the signature of the first Exploitation Contract] [Alt. 3 the first date of commencement of Commercial Production], the Council shall undertake a comprehensive review of the manner in which these Regulations have operated in practice and may also reasonably undertake such a review at any time thereafter.] [1. Alt. The Council shall take a full review of these Regulations. This review shall, at least, include:\n\n(a) the manner in which these Regulations have operated in practice;\n\n(b) the effectiveness and enforceability of these Regulations; and\n\n(c) the manner in which these Regulations have ensured compliance with the principles, approaches, and policies pursuant to regulation 2, and the general obligations relating to the Marine Environment pursuant to regulation 44, paragraph1 [and regulation 44ter].\n\n1. Alt. bis The first review shall take place five years following the approval of these Regulations by the Assembly, and no later than ten years after the adoption of these Regulations by the Council.\n\n1. Alt. ter After the review pursuant to paragraph 1bis, the Council may also undertake such a review at any time thereafter, but shall do so at least every ten years. ] [1.[quat.]/[bis] Each subsequent periodic review of these Regulations shall progressively evaluate the manner in which the implementation of these Regulations contributes to the broader objectives set out in Part XI of the Convention, including the equitable sharing of financial and other economic benefits derived from activities in the Area, the effective and balanced development of activities in reserved and non -reserved areas, the prevention of monopolization of activities in the Area and the interests and needs of developing and small island States.]\n\n2. [When in the light of improved knowledge, technological advancements, implementation experience or identification of regulatory gaps, it becomes evident that these Regulations are not adequate], any State party, the Commission, the Enterprise, any Contractor (through its Sponsoring State), or Stakeholder (through a State party) may [following the completion of the first review] [request]/[suggest] the Council to consider, at its next ordinary session, revisions to these Regulations and the matter shall be included in the provisional agenda of the Council for that session .\n\n3. In the light of that review, the Council may in accordance with the Convention and the Agreement adopt and apply provisionally, pending approval by the Assembly, amendments to these Regulations, taking into account the recommendations of the Commission or other subordinate organs. [Such provisional application shall not exceed [X] years from the date of adoption of the amendments by the Council.]\n\n4. Amendments to these Regulations shall be implemented by existing Contractors. Any amendments may provide for a transition period for implementation by existing Contractors of amendments to these Regulations.\n\nAnnex I. Application for approval of a Plan of Work to obtain an Exploitation Contract\n\nSection I. Information concerning the applicant 1. Name of applicant. 2. Street address of applicant. 3. Postal address (if different from above). 4. Telephone number of applicant’s Designated Representative. 5. [omitted] 6. Email address of applicant’s Designated Representative. 7. Name of applicant’s Designated Representative.\n\n8. Street address of applicant’s Designated Representative (if different from above). 9. Postal address (if different from above).\n\n10. Telephone number.\n\n11. Fax number.\n\n12. Email address.\n\n13. If the applicant is a juridical person:\n\n(a) identify applicant’s place of registration [and laws of incorporation];\n\n(b) identify applicant’s principal place of business/domicile;\n\n(c) attach a copy of applicant’s certificate of registration ;\n\n(d) identify the identities and locations of the applicant’s;\n\n(i) management including any members of its board of directors;\n\n(ii) ownership, including any persons or entities holding [5 percent] or more of the applicant’s equity, if different from the place of registration/domicile, for example in the case the applicant is a subsidiary of a parent company located in a different jurisdiction and\n\n(iii) an organisational chart of the group structure.\n\n(vi) holding, subsidiaries, affiliated and Ultimate Parent companies, agencies and partnerships at the time of application]. 13.ter. Provide any additional information to assist [determine the nationality of the applicant,] / [in determining the identity of the State Party by which,] or by whose nationals the applicant is effectively controlled.\n\n14. Identify the Sponsoring State or States.\n\n15. In respect of each Sponsoring State, provide the date of deposit of its instrument of ratification of, or accession or succession to, the United Nations Convention on the Law of the Sea of 10 December 1982 and the date of its consent to be bound by the Agreement relating to the Implementation of Part XI of the Convention. [15.bis. Provide information about relevant national laws, regulations and administrative measures that would apply to the applicant in its conduct of Activities in the Area, including on compensation mechanisms in respect of harmful impact from such activities to the Marine Environment.]\n\n16. Attach a certificate of sponsorship issued by the Sponsoring State or States.\n\n16. bis. Attach information on all the flag States and port States that are proposed to be involved in activities under the Exploitation Contract, in accordance with regulation 5, paragraph 2, subparagraph (e).\n\nSection II. Information relating to the area under application\n\n17. Define the boundaries of the area under application by attaching a list of geographical coordinates (in accordance with the [World Geodetic System 84] [and a georeferenced file and a map with the limits of the requested area] .\n\nSection III. Technical information\n\n18. Provide detailed documentary proof of the applicant’s technical capability, or access thereto, to conduct the Exploitation and to Mitigate Environmental Effects.\n\n19. Provide documentary proof that the applicant has the ability to comply with relevant safety, labour and health Standards and is able to apply its policies in a nondiscriminatory and gender-sensitive way.\n\n20. Provide a description of how the applicant’s technical capability will be provided through the use of in-house expertise, subcontractors and consultants on the proposed Exploitation activities.\n\n20. bis. [Identify the in-service and planned submarine cables and pipelines in, or adjacent to, the area under application; and provide documentary proof of the measures discussed or agreed between the applicant and the operators of the cables and pipelines to reduce the risk of damage to the in-service and planned submarine cables and pipelines]. [20.ter. Provide evidence that the applicant has demonstrated a satisfactory record of past operational performance and compliance, both within the Area and in other States’ jurisdiction].\n\nSection IV. Financial information\n\n21. Attach such information, in accordance with the applicable Standards and taking into account the Guidelines, [to enable the Council to determine] [to assist the Authority in determining] whether the applicant has [or will have] access to the financial resources to carry out the proposed Plan of Work and fulfil its financial obligations to the Authority, as follows:\n\n(a) If the application is made by the Enterprise, attach certification by its [competent authority] [Director-General] that the Enterprise has the necessary financial resources to meet the estimated costs of the proposed Plan of Work;\n\n(b) If the application is made by a State or a State enterprise, attach a statement by the State or the Sponsoring State certifying that the applicant has the necessary financial resources to meet the estimated costs of the proposed Plan of Work; and\n\n(c) If the application is made by an entity, attach copies of the applicant’s audited financial statements, including balance sheets and income statements and cash flow statements for the most recent 3 years, in conformity with internationally accepted accounting principles and certified by a duly qualified firm of public accountants, noting that:\n\n(i) If the applicant is a newly organized entity and a certified balance sheet is not available, attach a pro forma balance sheet certified by an appropriate official of the applicant;\n\n(ii) If the applicant is a subsidiary of another entity, attach copies of such financial statements of that entity and a statement from that entity, in conformity with internationally accepted accounting principles and certified by a duly qualified firm of public accountants, that the applicant will have the financial resources to carry out the Plan of Work; and\n\n(iii) If the applicant is controlled by a State or a State enterprise, attach a statement from the State or State enterprise certifying that the applicant will have the financial resources to carry out the Plan of Work.\n\n22. If, subject to regulation 22, an applicant seeking approval of a Plan of Work intends to finance the proposed Plan of Work by borrowing, attach details of the amount of such borrowing, the repayment period and the interest rate, together with the terms and conditions of any security, charge, mortgage or pledge made or provided or intended to be made or provided or imposed by any financial institution in respect of such borrowing and the predicted debt-to-equity ratio.\n\n23. Provide details of any Environmental Performance Guarantee proposed or to be provided by the applicant in accordance with regulation 26.\n\nSection V. Undertakings\n\n24. Attach a written undertaking that the applicant will:\n\n(a) Accept as enforceable and comply with the applicable obligations created by the provisions of the Convention and the rules, regulations and procedures of the Authority, the decisions of the relevant organs of the Authority and the terms of its contracts wi th the Authority;\n\n(b) Accept control by the Authority of activities in the Area as authorized by the Convention; and\n\n(c) Provide the Authority with a written assurance that its obligations under the Exploitation Contract will be fulfilled in good faith.\n\nSection VI. Previous contracts with the Authority\n\n25. Where the applicant or, in the case of an application by a partnership or consortium of entities in a joint arrangement, any member of the partnership or consortium has previously been awarded any contract with the Authority, attach:\n\n(a) The date of the previous contract or contracts;\n\n(b) The dates, reference numbers and titles of each report submitted to the Authority in connection with the contract or Contractors;\n\n(c) The date of termination of the contract or contracts, if applicable;\n\n(d) [The final report on the results of Exploration and baseline investigations, including results of testing equipment and operations in the Exploration area.]\n\nSection VII. Attachments\n\n26. Attach the following attachments and Annexes:\n\nAnnex II. Mining Workplan A Mining Workplan, based on the results of Exploration (at least equivalent to the data and information to be provided pursuant to section 11.2 of the standard clauses for Exploration Contracts), should cover the following subject matters:\n\n(a) A comprehensive statement of the Resources delineated in the relevant Mining Area(s), including details, or estimates thereof, of all known Mineral reserves reported in accordance with the applicable Standard, together with a comprehensive report of a Suitably Qualified Person that includes details of and validation of the grade and quality of the possible, proven and probable ore reserves, as supported by a pre -feasibility study or a Feasibility Study, as the case may be; (a). bis. A description and schedule of any Exploration activities planned to be conducted following approval of the Exploitation Plan of Work, including a description of the equipment and methods expected to be used;\n\n(b) A chart of the boundaries of the proposed Mining Area(s) (on a scale and projection specified by the Authority) and a list of geographical coordinates (in accordance with the [most recent applicable international standards used by the Authority];\n\n(c) A proposed programme of Exploitation activities and sequential mining plans, including applicable time frames, schedules of the various implementation phases of the Exploitation activities and expected recovery rates;\n\n(d) Details of the equipment, methods and technology expected to be used in carrying out the proposed Plan of Work, including the results of [Test [and Pilot] Mining] conducted and the details of any tests [and Pilot Mining] to be conducted in the future, as well as any other relevant information about the characteristics of such technology, including processing and environmental safeguarding and monitoring systems, [and electricity or other energy supply] together with details of any certification from a conformity assessment body;\n\n(e) A technically and economically justified estimate of the period required for the Exploitation of the Resource category to which the application relates;\n\n(f) A detailed production plan, showing, in respect of each Mining Area, an anticipated production schedule that includes the estimated maximum amounts of Minerals that would be produced each year under the Plan of Work;\n\n(g) An economic evaluation and financial analysis of the project;\n\n(h) The estimated date of commencement of Commercial Production;\n\n(i) Details of principal subcontractors to be directly engaged for Exploitation activities and which States those vessels are flagged to, together with information about their compliance records;\n\n(j) Details on how many vessels are proposed to be involved in the Exploitation activities, including how and to where the collected ores will be transported from the mining site to shore for processing; and\n\n(k) Details relating to onshore processing, if applicable.\n\nAnnex III. Financing Plan A Financing Plan should include [supported by written [evidence]:\n\n(a) Details and costing of the mining technique, technology and production rates applicable to the proposed [Exploitation] activities;\n\n(b) Details and costing of the technological process applicable to the extraction and on-board processing of Mineral ore;\n\n(c) Details and costing of the technical skills and expertise and associated labour requirements necessary to conduct the proposed [Exploitation] activities;\n\n(d) Details and costing of regulatory requirements relevant to the proposed mining activities, including the cost of the preparation and implementation of the Environmental Management and Monitoring Plan and Closure Plan;\n\n(e) Details regarding other relevant costing, including capital expenditure requirements;\n\n(f) Details of advance agreed sales, and all expected revenue applicable to the proposed [Exploitation] activities;\n\n(g) A detailed cash-flow forecast and valuation, excluding financing of the proposed [Exploitation] activities, clearly indicating applicable regulatory costs;\n\n(h) Details of the applicant’s resources or proposed mechanisms to finance the proposed [Exploitation] activities, and details regarding the impact of such financing mechanisms on the cash-flow forecast and debt-to-equity ratio;\n\n(i) Details of any loans or planned loans, and the institutions making the loans, with an indication whether those institutions apply [the Equator Principles or the International Finance Corporation performance standards, or equivalent ]; and [(j) Details of any insolvency proceedings, current disqualification from acting as a company director or trustee of any fund organisation, unspent conv ictions for any financial crime or offence involving dishonesty, in any jurisdiction, involving key personnel from the Contractor’s management, senior staff, ownership, parent company, subsidiaries or sub-contractors.] [(k) An evaluation and details of opportunity costs, impact on benthic communities, and lost economic potential for fisheries, such as impacts from loss of food chain due to operations.] [(l) The Financial Plan should also ensure that the Decommissioning Bond is of sufficient scale to adequately cover:\n\n(i) Potential liabilities of failed operations, or bankruptcy’s impact on operations.\n\n(ii) Ensure coverage of future decommissioning operations for any related infrastructure required for extraction.]\n\nAnnex III bis. Scoping Report A Scoping Report shall include the following:\n\n(a) a brief description of the proposed Exploitation activities ;\n\n(b) a description and overview of tentative timelines and deadlines for the proposed environmental baseline studies and Environmental Impact Assessment conducted under the Exploration Contract and any associated activities;\n\n(c) a description of what is known about the environmental setting, including any [human remains and] [Alt. 1 objects and sites of an archaeological or historical nature] [Alt. 2 Underwater Cultural Heritage [sites]], for the project (Contract Area and regional setting);\n\n(d) a description of data gaps, potential data gaps or data with a large uncertainty associated with it for the project, including environmental baseline data, and a plan describing the methodology for collecting and analysing that information prior to commencement of Exploitation activities and to inform the Environmental Impact Assessment;\n\n(e) a summary of existing environmental baseline studies, and, where available, relevant traditional knowledge of indigenous peoples and local communities ;\n\n(f) a description of the technical, spatial and temporal boundaries for the Environmental Impact Assessment;\n\n(g) a description of the socioeconomic and sociocultural aspects of the project including sociocultural uses of the Mining Area (e.g., traditional navigation routes, migratory paths of culturally significant marine species, [artisanal fishing techniques, and] [sacred]/[venerated] sites and waters associated with ritual or ceremonial activities of Indigenous Peoples and local communities); [(g bis) a brief description of any human health impacts associated with the project ;]\n\n(h) any assumptions on how they are being addressed, and assessment of their implications to the Environmental Risk Assessment findings;\n\n(i) a preliminary impact analysis which categorizes the important issues into high risk, medium-risk and low-risk for the Environmental Impact Assessment to address and evaluates the need for further information, taking into account the Environmental Risk Assessment, which includes;\n\n(i) the identification of potential hazards;\n\n(ii) the environmental consequence for each identified potential impact(s) (the magnitude of the impact(s), the duration of the impacts, and the receptor characteristics), and the likelihood of the consequence occurring ;\n\n(iii) a description of the cumulative effects of the project, combined with other authorized, [] activities and actions, or natural phenomena;\n\n(iv) the confidence levels of experts, in order to account for uncertainty and a precautionary approach; and\n\n(v) a description of the methodology employed in the Environmental Risk Assessment.\n\n(j) a preliminary Environmental Risk Assessment;\n\n(k) a description of the results of the Environmental Risk Assessment, including identification of high priority risks for local and regional ecosystem functioning over short and long term, requiring particular focus in the subsequent impact assessment phase of the Environmental Impact Assessment; [(l) a list [of relevant] Stakeholders, and States within the scope of regulation 93 bis and schedule and methodology for engagement with Stakeholder[s] States during the Environmental Impact Assessment [process] and development of the Environmental Impact Statement, taking into account privacy concerns related to the publication of personal information of identified Stakeholders;]\n\n(m) a report of any written consultations undertaken during scoping;\n\n(n) a consideration of reasonable alternative means of carrying out the project that will be examined in detail as the Environmental Impact Assessment proceeds, including a no-action alternative, and any others that have not been carried forward for further analysis at this stage, and the reasons for that selection ;\n\n(n) bis explanation for how the activities and studies planned for the Environmental Impact Assessment will be sufficient to determine likely environmental impacts, and sufficient to propose Mitigation and management strategies and monitoring methodology;\n\n(o) terms of reference for the Environmental Impact Assessment, which identifies the activities and studies planned for the subsequent impact assessment stage of the Environmental Impact Assessment; and\n\n(p) applicable Standards [of the Authority].\n\nAnnex IV. Environmental Impact Statement\n\n1. Preparation of an Environmental Impact Statement The Environmental Impact Statement prepared under these Regulations and the present Annex shall, but not limited to, entail the following elements:\n\n(a) Be prepared in clear language and in an official language of the Authority together with an English-language version, where applicable;\n\n(b) Provide information [based on data from, as a general rule, a minimum of 15 years of monitoring,] in accordance with these Regulations and [] the applicable Regional Environmental Management Plan, Standards and Guidelines, corresponding to the scale and potential magnitude of the activities, to assess the likely Environmental Effects of the proposed activities. Such effects shall be discussed in proportion to their significance. Where an applicant or Contractor considers an Environmental Effect to be of no significance, there should be sufficient information to substantiate such conclusion, or a brief discussion as to why further research is not warranted; and\n\n(c) Include a non-technical summary of the main conclusions and information provided to facilitate understanding of the nature of the activity by Stakeholders.\n\n2. Template for Environmental Impact Statement The required contents and recommended format for an Environmental Impact Statement is outlined below. It is intended to provide the Authority, its member States and other Stakeholders with clear documentation of the potential Environmental Effects based on the Best Available Scientific Evidence, Best Environmental Practices, and Best Available Techniques, and Good Industry Practice on which the Authority can base its decision, and any subsequent approval that may be granted. Further detail for each section is provided following the overview. This document is a template and does not provide details of methodology or thresholds that may be resource- and site-specific. These methodologies and thresholds may also change over time in according to, for example, development of new technologies, new scientific data or new knowledge, and will be developed as Standards and Guidelines to support these Regulations. [Table of content to be inserted] Executive summary One of the main objectives of the executive summary is to provide an overview of the project and a summary of the content of the Environmental Impact Statement for non-technical readers.\n\n1. Introduction The purpose of the Introduction section is to set the scene for the Environmental Impact Assessment. This section should contain enough detail for a reader to form an overall impression of the proposed project and how it has developed and understand how the Environmental Impact Assessment is structured. As this section mai nly provides a ‘roadmap’ to more detailed material in the Environmental Impact Assessment, it may be relatively short.\n\n2. Policy, legal and administrative context Provide information on the relevant policies, legislation, agreements, Standards and Guidelines that are applicable to the proposed Exploitation activities.\n\n3. Description of the proposed project Provide details of the proposed project and the area of influence of the project or Impact Area, including relevant diagrams and drawings. It is understood that most projects will likely involve the recovery of Minerals from the Area, with the concentrating process(es) occurring on land within a national jurisdiction (outside the jurisdiction of the Authority). While this section should provide a description of the entire project, including offshore and land-based components, the Environmental Impact Statement should focus on those activities occurring within the Authority’s jurisdiction (e.g., activities related to the recovery of the Minerals from the Area up to the point of transshipment). 3.10. Summary of Scoping results, including of the risk assessment process Provide a brief overview of the results of the scoping exercise including with regard to the sufficiency of the scientific baseline data collected during Exploration or through other means to support a robust Environmental Impact Assessment. 3.11. Methodology for Description of the Marine Environment and Assessment of Environmental Impacts and Environmental Effects Provide a description of Methodologies, for collecting and analy sing baseline and “Test Mining” data and assessing the potential Environmental Impact and Environmental Effects from the proposed operations and alternatives considered. Methodological approaches should be consistent with [Best Available Techniques]. In the case that novel sampling techniques, new technology, or sampling designs are employed, particularly detailed methodology and justification should be provided in this section.\n\n4. Description of the existing [oceanographic,] physiochemical and geological environment Give a detailed account of the oceanographic (physical, chemical and geological) and meteorological (including air quantity) environmental conditions and implications of climate change on such conditions as a regional overview at each mining site, the expected total and Impact Area as well as the Impact and Preservation Reference Zones, which should include information from a thorough literature review as well as from onsite studies in accordance with the Regulations and applicable Standard and taking into account Guidelines to be specified. The Guidelines on baseline data collection as updated from time to time by the Commission, shall guide the drafting of this section by providing information on the minimum amount of detail required for an acceptable baseline description. The account will provide the baseline description of the oceanographic conditions, including physical, chemical and geological oceanographic setting, including its spatial and temporal variability and temporal trends, against which impacts will be measured and assessed. The detail in this section is based on the prior Environmental Risk Assessment carried out in accordance with the respective Standard and taking into account the Guidelines, that will have identified the main impacts, and thus the priority elements that need to be considered and assessed in the Environmental Impact Assessment.\n\n5. Description of the existing biological environment Give a detailed account of knowledge of the existing biological environment, including biological properties, biological communities’ composition and structure and ecosystems including their functions that could be impacted by proposed activities as a regional overview, in the proposed mining sites and Impact Area, and the designated Impact and Preservation Reference Zones, including information from a thorough literature review and baseline data collected from on-site campaigns, in accordance with the Regulations and applicable Standards and taking into consideration Guidelines.\n\n6. Description of the existing human activities, socioeconomic and sociocultural environment This section should describe the socioeconomic and sociocultural environment aspects and potential impacts of the project on existing human activities and planned uses of the area for which information is publicly available. This may include consideration of the scale of effects (such as the creation of jobs and estimates of the risk of Environmental Impacts), extent of duration of impacts in time and space, intensity or severity of social impacts and an assessment of whether impacts are likely to be cumulative. It is important to consider the social equity or distribution of impacts across different populations: in other words, which groups are likely to be affected in which ways.\n\n7. Assessment of impacts on the physical, chemical and geological environment and proposed Mitigation Provide a detailed description and evaluation of potential Environmental Impacts and Environmental Effects including Cumulative Environmental Effects of the operation which could degrade the current status and functioning of components of the physical, chemical and geological environment identified in section 4 including the proposed environmental management measures to Mitigate impacts and a summary of residual effects, [and the extent to which any potential Environmental Impacts and Environmental Effects may occur in areas under a State’s national jurisdiction . This should consider the entire lifespan of the project, i.e. construction/development (pre commissioning) of the mine site, operational and Decommissioning phases, and following Closure of the site. The potential for accidental events and natural hazards. The detail in this section is expected to be based on a prior Environmental Impact Assessment prepared, reviewed, and revised in accordance with regulation 47 and respective Standard and Guideline for Environmental Impact Assessment (chapter III Scoping, D).\n\n8. Assessment of effects and impacts on the biological environment and proposed Mitigation Provide a detailed description and evaluation of the sufficiency of available information on potential Environmental Impacts and Environmental Effects including Cumulative Environmental Effects of the proposed operation and a summary of the environmental management measures to Mitigate Environmental Impacts and residual effects, [Alt.1 [[Mitigation hierarchy measures to avoid, reduce and Mitigate the effects caused by the project],] [Alt.2 [Measures taken to avoid, reduce and Mitigate effects, including alternatives] [and the extent to which any potential Environmental Impacts and effects may occur in areas under a State’s national jurisdiction ]] and alternatives considered in section 3.7 to the biological environment components identified in section 5 in the Contract Area, the mine site and the Impact Area, with special regard to the Impact and Preservation Reference Zones. Consider Environmental Impacts and Environmental Effects that could happen during the entire lifespan of the project i.e. construction/development (pre-commissioning), operational and Decommissioning phases and following Closure of the site. The potential for accidental events and natural hazards should be considered. The detail in this section is expected to be based on a prior Environmental Impact Risk Assessment prepared, reviewed, and revised in accordance with regulation 47 ter, and respective Standards and taking into account the Guidelines for Environmental Impact Assessment Process.\n\n9. Assessment of impacts on the socioeconomic and sociocultural environment and proposed Mitigation Provide a detailed description and evaluation of potential Environmental Impacts and Environmental Effects of the operation to the socioeconomic and sociocultural components identified in section 6 and a summary of the environmental management measures to Mitigate impacts and residual effects. This should include projections on the potential impacts in national waters outside the Mining Area and should also consider the entire lifespan of the project i.e. construction/development (pre commissioning), operational (including maintenance) and Decommissioning phases. A description of the benefits to humankind may be included. Attitudes towards, and perceptions of, the proposed project are among the variables that should be considered in determining the significance of impacts. The potential for accidental events and natural hazards should also be considered. [9. bis Waste management [/A description outline of waste management.] A description outline of waste management. Provide a description of proposed vessel waste management, with reference to compliance with relevant conventions, legislation and principles, and methods of cleaner production and energy balance.]\n\n10. Hazards arising from natural, accidental and discharge events This section should outline the possibility/probability of accidental events and natural hazards occurring, an assessment of the impact they may have to the mine site and Impact Area, the measures taken to prevent or respond to such an event and an assessment of the residual impact should an event occur. This should include an overview of potential environmentally hazardous discharges resulting from accidental and extreme natural events as these are fundamentally different from normal operational discharges of wastes and wastewaters. Reference should be made to the ERCP. [10 bis.1 Uncertainty Assessment Provide a detailed description and evaluation of any uncertainties in the assessments described in section 7, 8, and 9. This uncertainty assessment shall describe the measures taken in the Environmental Impact Assessment to reduce uncertainty in its findings to as low as reasonably practicable.] [10 bis.2 Addressing Significant Uncertainty Where significant uncertainty exists despite the efforts described in 9bis.1(b), provide a detailed description of environmental monitoring and management measures for managing and reducing uncertainty during the proposed operations, to be incorporated into the Environmental Monitoring and Management Plan and describe how these will enable the applicant to ensure compliance with rules, regulations and procedures of the Authority.] [10 quin Analysis of residual effects against the RRP, Standards and Guidelines of the Authority Provide a description of any residual impacts that may remain following the application of Mitigation measures, including the expected longevity of those impacts, and outline the measures that will be taken to ensure long-term site compliance with the environmental quality objectives, quantitative thresholds, and indicators in accordance with these Regulations and the applicable Standard, and taking into consideration the Guidelines.]\n\n11. Environmental management, monitoring and reporting [Alt. Environmental management measures to avoid, reduce and Mitigate impacts] Provide sufficient information to enable the Authority to anticipate possible environmental management, monitoring and reporting requirements for an environmental approval. Information listed includes a description of the applicant’s Environmental Management System and should reflect the proponent’s environmental policy and the translation of that policy to meet the requirements of this section and previous sections during different stages of the project life (i.e., from construction to Decommissioning and closure and the post-closure period). The Environmental Management and Monitoring Plan is a separate report from the Environmental Impact Statement, but this could be a useful opportunity to highlight some of the key issues including residual effects from the Statement that will be addressed in the full Environmental Management and Monitoring Plan.\n\n12. Responsible product stewardship An overview of the downstream supply chain. A description of responsible product stewardship related to the intended use of the Mineral-bearing ore once it leaves the Contract Area. The description should also address how the Contractor will minimize health, safety, environmental, socioeconomic and sociocultural effects and impacts of the intended product or products to meet Standards for environmental management, and should address the following potential impacts:\n\n(a) Energy and materials consumption;\n\n(b) Waste generation;\n\n(c) Toxic substances;\n\n(d) Air and water emissions. The intention is not to provide a full and highly detailed account, but, where information is known about Environmental Impacts, these impacts should be described briefly here.\n\n13. Consultation and stakeholder engagement and methods The Environmental Impact Statement should include a description summary of the nature, extent, participation and outcomes of consultations and stakeholder engagement that have taken place with the Stakeholders, including commission consultation, and how their comments have been addressed in the environmental impact statement. A description of consultation methods shall also be provided. Consultations and engagement shall be inclusive, transparent and open to all Stakeholders, including States, global, regional, subregional and sectoral bodies, as well as civil society, the scientific community, indigenous peoples and local communities and in accordance with this Regulation and the applicable Standards and taking into account the Guidelines.\n\n14. Glossary and abbreviations Include a glossary of terms, acronyms and abbreviations used throughout the document. The glossary should include definitions for, and key terms defined in the Regulations so as to ensure that users of the Environmental Impact Statement [have a clear understanding of the intention behind the use of certain terms in it].\n\n15. Study team Outline the people involved in carrying out the Environmental Impact Assessment studies and in writing the Environmental Impact Statement.\n\n16. References Evidence obtained from outside sources should be documented throughout the Environmental Impact Statement, with the use of footnotes or other suitable reference mechanism. In addition, all sources used in preparation of the Environmental Impact Statement (including those specifically referenced in the body of the document) should be listed in bibliography format, with full details of the source (including website addresses, if applicable).\n\n17. Appendices The appendices section should include a list of all the technical reports carried out for parts of the Environmental Impact Assessment or that are used in support of any aspect of the Environmental Impact Assessment (such as prior risk assessments or monitoring activities conducted as part of Exploration Contracts). Copies of these reports should be provided as appendices to the Environmental Impact Statement, with clear indications as to which section(s) the document is being provided to support.\n\nAnnex V. Emergency Response and Contingency Plan An Emergency Response and Contingency Plan must:\n\n(a) Be prepared in accordance with Good Industry Practice and the applicable Regulations, Standards and taking into account the Guidelines;\n\n(b) Provide an effective plan of action for the applicant’s efficient response to Incidents and events, including processes by which the applicant will work in close cooperation with the Authority, [coastal States,] other competent international organizations and, where applicable, emergency response organizations; and\n\n(c) Include:\n\n(i) The overall aims and objectives and arrangements for controlling the risk of Incidents;\n\n(ii) Organisational structure and personnel roles and responsibilities;\n\n(iii) Details of individuals authorised to initiate response mechanism(s);\n\n(iv) Details of the emergency response equipment;\n\n(v) Details of the safety management system relevant to emergency response;\n\n(vi) Details of the Environmental Management System relevant to emergency response;\n\n(vii) A description of all foreseeable Incidents, an assessment of their likelihood and consequences and associated control measures;\n\n(viii) A description of the arrangements to protect persons on the mining vessel(s), and to ensure their safe escape, evacuation and rescue in the event of an Incident that presents risks to their safety;\n\n(ix) Details of arrangements for the maintenance of control systems to monitor the Marine Environment in the event of an Incident;\n\n(x) Information and measures relating to the prevention of Incidents which could result in Serious Harm to the Marine Environment;\n\n(xi) An assessment of [potential] pollution hazards and the measures to prevent or reduce such hazards;\n\n(xii) Details of the warning mechanisms intended to alert the Authority, together with the type of information to be contained in such warning;\n\n(xiii) Details of arrangements for coordinating any emergency response, including coordination with the Authority, other service providers, maritime search and rescue authorities, and nearby vessels, citing the source for such arrangements, where relevant;\n\n(xiv) Details of training programmes for personnel relating to emergency prevention of response;\n\n(xv) Details of audit and review processes relating to matters covered by this Plan, including regular testing of the Plan, significant changes to the Plan or the nature of operational activities, and the process of Incident investigation, recording and Communication to the Authority and the Sponsoring State; [(xvi) Details of the presence of other hazards/harmful substances;] [(xvii) A description of accountability and liability for environmental damage resulting from an Incident; and\n\n(xix) details of how the Plan is [gender-responsive and responsive to persons from vulnerable groups].\n\nAnnex VI. Health and Safety Plan and Maritime Security Plan Note: several important provisions of this Annex have currently been placed in the Suspense document and will be incorporated into Standards and Guidelines at a later stage. A Health and Safety Plan 1. The Health and Safety Plan prepared under these Regulations and this Annex must:\n\n(a) Be prepared in accordance with Good Industry Practice, and applicable Standards and taking into account the Guidelines;\n\n(b) Comply with applicable national laws and regulations related to safety and health, including occupational safety and health, of personnel on vessels or Installations engaged in activities in the Area, as well as applicable international rules and standards of the International Labour Organization and the International Maritime Organization related to safety and health, including occupational safety and hea lth;\n\n(c) Be designed with the aim to ensure that all personnel on a vessel or Installation engaged in activities in the Area are provided with appropriate safety and health protection, including occupational safety and health protection, and live, work and train in a safe and hygienic environment with roles and responsibilities alloc ated to relevant named personnel appropriately; [(c) bis Take into account that no worker or trainee on board a vessel or Installation engaged in the activities in the Area should be under the legal age of its nationality;]\n\n(d) Identify hazards and risks and include a comprehensive and integrated system for the management of the hazards and risks;\n\n(e) Ensure that the risks to the health and safety of personnel on a vessel or Installation engaged in activities in the Area are reduced to a level that is as low as reasonably practicable;\n\n(f) Address all matters of safety of life and the prevention of occupational accidents, injuries and diseases that may be identified as hazards and risks for personnel on vessels or Installations engaged in activities in the Area;\n\n(g) Include and refer to the requirements of the Emergency Response and Contingency Plan under Annex V of these Regulations that relate to protecting and securing the safety and health of all persons on vessels or Installations during an Incident or emergency; and\n\n(h) [Be gender-sensitive, and specifically address women’s safety, and freedom from harassment in the workplace, and consider other issues relevant to ensuring an equitable and inclusive working environment for a diverse workforce].\n\n2. The minimum requirements to the content of the health and safety plan are contained in the Standard and Guidelines on health and safety plans. B Maritime Security Plan 1. The Maritime Security Plan prepared under these Regulations and this Annex must:\n\n(a) Be prepared in accordance with Good Industry Practice and applicable Standards and taking into account Guidelines;\n\n(b) Comply with applicable national laws and regulations related to maritime security, as well as applicable international rules and standards of the International Maritime Organization related to maritime security;\n\n(c) Be developed based on a security assessment and risk analysis relating to all aspects of the vessels or Installation’s operations in order to determine which of its parts are more vulnerable to maritime security Incidents;\n\n(d) Provide an effective plan to ensure the application of measures on board the vessel that are designed to protect the persons on board, the ancillary equipment, the cargo, the cargo transport units, the ship’s stores, the vessel and the operation itself from the risks of a security Incident;\n\n(e) Be protected from unauthorized access or disclosure;\n\n(f) be subject to inspection by officers duly appointed by Inspectors appointed by the Authority under Part XI of these Regulations; [(h) be gender-sensitive, and specifically address women’s security, and any other issues relevant to ensuring maritime safety measures are applied equitably and inclusively for a diverse workforce.]\n\n2. The minimum requirements to the content of the maritime security plan are contained in the Standard and Guidelines on maritime security plans.\n\nAnnex VII. Environmental Management and Monitoring Plan\n\n1. The Environmental Management and Monitoring Plan prepared under these Regulations and this Annex VII shall be:\n\n(a) prepared in clear language and in an official language of the Authority, together with, where applicable, an official English-language version;\n\n(a) bis. prepared in accordance with the relevant regulations and Standard and Regional Environmental Management Plan, taking into consideration Guidelines, on the basis of Best Environmental Practice, Best Available Scientific Information ; and [(b) Verified by the report of independent [experts] [persons] appointed by the Authority.] 2. An Environmental Management and Monitoring Plan shall contain:\n\n(a) a non-technical summary of the main conclusions and information provided to facilitate understanding by members of the Authority and Stakeholders;\n\n(a) bis outline the guiding principles which apply to the monitoring approaches;\n\n(b) a description of the project and the area likely to be affected by the proposed activities and by any suspension plumes they generate. Include detailed location maps showing proposed Impact Reference Zones and Preservation Reference Zones as well as locations of other nearby Contract Areas or known seabed infrastructure, the Preservation Reference Zones, the Impact Reference Zones and the surrounding area with reference to the Regional Environmental Management Plan including any buffer zones to prevent damage to these areas;\n\n(b) ter a description as to how the Environmental Management and Monitoring Plan has been prepared;\n\n(c) the project-specific environmental objectives, indicators and thresholds based on baseline environmental data and applicable Standards;\n\n(c) bis a description of the environmental baseline data, measured baseline values for parameters at the site, a characterization of the area proposed to be mined, adjacent areas that could be affected by mining, and areas that will be avoided due to their environmental value;\n\n(d) a description, prepared in accordance with the applicable Standard and taking into consideration the Guidelines of how the monitoring data will be transmitted during operations, how the data will be labelled and monitored by qualified personnel, and how the data will be stored;\n\n(e) the qualifications and proposed location of the personnel monitoring the [environment];\n\n(f) a description of the procedures for providing the Authority and the Sponsoring State or States access to or receipt of the monitoring data for the purposes of monitoring compliance with the terms of an Exploitation Contract and collection of data.\n\n(g) details of or cross-references to the Contractor’s Environmental Management System documentation;\n\n(i) implementing the measures reflected in the Environmental Management and Monitoring Plan,\n\n(ii) monitoring, recording and reporting fulfilment of the Environmental Management and Monitoring Plan, and\n\n(iii) regularly reviewing and updating the Environmental Management and Monitoring Plan to ensure that it complies with rules, regulations, and procedures of the Authority;\n\n(h) an assessment of the predicted Environmental Effects of the proposed activities on the Marine Environment, and any significant changes likely to result, consistent with the Environmental Impact Assessment and the Environmental Impact Statement;\n\n(h) bis. a description of uncertainties identified from the Environmental Impact Assessment and the plan to reduce or manage these;\n\n(i) an assessment of the significance of the potential Environmental Effects to receptors identified in the Environmental Impact Statement, their key uncertainties, proposed monitoring approach and objectives, and proposed Mitigation measures and management control procedures and responses to minimize, prevent, reduce and control the harm from Environmental Effects, consistent with the Environmental Impact Assessment and the Environmental Impact Statement;\n\n(j) a description of the planned monitoring programme, with reference to the applicable Standard on Monitoring, and the overall approach, standards, protocols, methodologies, procedures and performance assessment of the Environmental Management and Monitoring Plan, including the necessary risk assessment and techniques for managing these risks, including the use of monitoring data to validate predictive models and reduce uncertainties, and adaptive management techniques, if appropriate, needed to achieve the desired outcomes. Each component should be described separately in a manner consistent with sections 7-10 of Annex IV. Monitoring methodology/results should provide a sufficient degree of confidence that conclusions in the Environmental Impact Statement can be validated an d that agreed performance standards are being met (monitoring should have the statistical power to detect changes in environmental state). The components of the monitoring programme should, at a minimum, include those applicable to the Contractor during its Exploration phase to allow for comparison of monitoring data.\n\n(k) details of the proposed monitoring stations across the Contract Area, including the frequency of monitoring and data collection, the spatial and temporal arrangements for such monitoring and the justification for such arrangements, including how in situ validation of modelled results will be carried out. Proposed monitoring stations should, at a minimum, include the monitoring stations used during Test Mining [where if any demonstrated Test Mining data is used, the proposed monitoring [stations] [arrays] should correspond to those used at the time of that data collection] ;\n\n(l) the location and planned monitoring and management of Preservation Reference Zones and Impact Reference Zones designed in accordance with the criteria contained in Annex X bis, as well as other spatial management planning tools if any;\n\n(l) bis the location and boundaries of planned or established long-term protected areas within the Contract Area as determined in the applicable Regional Environment Management Plan as well as of declared Preservation Reference Zones of neighbouring Contract Areas, if known;\n\n(l) ter details of any plans outside of the Contract Area to increase scientific knowledge and other knowledge/information in the relevant region, including in collaboration with other Contractors or via international cooperation efforts, as well as in collaboration with Indigenous Peoples and local communities;\n\n(m) a description, with threshold levels, of the applicable environmental performance Standards and indicators (trigger and threshold points) to be monitored, including decision rules based on the results of the monitoring of these indicators;\n\n(n) a description of a system for ensuring that the plan shall adhere to Best Environmental Practices and Best Available Scientific Information, and a description of how such practices are reflected in the proposed Exploitation activities;\n\n(o) details of the quality control and management Standards, and how the effectiveness of management measures will be monitored, assessed and reviewed, including list of reporting deliverables to the Authority and time schedule, plans for real-time reporting of environmental data to the Authority, internal and external auditing and reporting of environmental performance, and including the frequency of the review of the performance of the Environmental Management and Monitoring Plan for the purposes of regulation 51;\n\n(o) bis: a description of a statistically sound comparison of the monitoring results collected within the Contractor’s Impact Reference Zones and Preservation Reference Zones which compare the monitoring results with the baseline as well as between Impact Reference Zones and Preservation Reference Zones to determine and quantify impacts and recovery of Impact Areas.\n\n(p) a description of the monitoring technology and system to be to be implemented, including the types of data to be collected and monitored, and frequency of monitoring, in accordance with Good Industry Practice and Best Available Techniques, reflecting the types of data and formats to be collected and monitored, the use of remote monitoring technology and the types of data available in real time together with a description of the procedures for providing the Authority and the Sponsoring State or States access to the monitoring system and data for the purposes of monitoring compliance with the Environmental Management and Monitoring Plan and collection of data;\n\n(q) details of [all] training programme for all persons engaged or to be engaged in activities in the project or its area;\n\n(r) details of Mining Discharges, including those defined and regulated by relevant rules and regulations issued by the International Maritime Organization, within the Mining Area;\n\n(s) details of ongoing consultation with other users of the Marine Environment;\n\n(s) bis. details of arrangements made or planned with other marine users, with the aim to ensure due regard to each other’s rights and activities.\n\n(t) details of any practicable Restoration and Rehabilitation of the Mining Area and the monitoring of their success;\n\n(u) a plan for further research and studies;\n\n(u) bis detail of the process and measures to be taken in case of non – compliance with the Environmental Monitoring and Management Plan.\n\n(u) ter a description of the measures that will be taken to address non -compliance with the Environmental Monitoring and Management Plan, including reporting, recording and response action protocols;\n\n(u) quat a description of the document control system that will be used for environmental management documentation;\n\n(v) details of reporting requirements and timing (<2 years) including details of the methodology to be applied to ensure that monitoring data submitted are provided in an accessible and interpretable format consistent with best scientific practices; and\n\n(x) an overview program (list) of all proposed activities\n\nAnnex VIII. Closure Plan\n\n1. The Closure Plan or Final Closure Plan shall be prepared and implemented in accordance with regulation 7 [and regulations 59-61], the Environmental Management System, Standards and taking into account the Guidelines and the relevant Regional Environmental Management Plan and shall include the following information:\n\n(a) a description of the Closure objectives to ensure that the Closure of Exploitation activities is a process that is incorporated into the mining life cycle, any measures agreed or proposed to implement these, and how these relate to the mining activity and its environmental, socioeconomic and sociocultural setting;\n\n(b) the period during which the plan will be required, which shall be determined by reference to a specified duration, achievement of a specified event or target indicator or compliance with specified terms agreed with the Authority and shall relate to the objectives of the Environmental Impact Assessment, such as recovery of impacted environment;\n\n(c) coordinates showing the area(s) subject to the Closure objectives accompanied by a map;\n\n(d) a summary of the relevant regulatory requirements, including conditions previously documented, e.g. baselines;\n\n(e) details of the Closure implementation and timetable, including descriptions of the arrangements for the Temporary Suspension of Exploitation activities or for permanent Closure as well as Decommissioning arrangements for vessels, Installations, plant and removal of equipment (where applicable);\n\n(f) summary of data and information relating to environmental baseline for monitoring measures;\n\n(g) a summary of the Environmental Impact Statement entailing an updated Environmental Impact Assessment for the activities that will be undertaken during Closure, if any, together with details of the identifiable remaining Environmental Effects, including any relevant technical documents or reports as well as the expected period until recovery of the environment towards natural state conditions; [(h) the temporal and spatial intensity of monitoring to be undertaken during and after Closure needs to mirror monitoring efforts prior and during Exploitation using equivalent methodology to allow for full quantification of the impact as well as of any recovery from impacts. Details of monitoring to be undertaken during and after closure (comparable to monitoring efforts prior and during exploitation) that specify the sampling design (spatial and temporal sampling), the methods to be used and the duration of the [post-closure activities] [post Commercial Production];]\n\n(i) details of the management measures to minimize, control, Mitigate the remaining Environmental Effects;\n\n(j) details of the remediation, Restoration and Rehabilitation (where possible) objectives and activities building on those detailed in the Environmental Impact Statement and the Environmental Management and Monitoring Plan;\n\n(k) documentation of environmental recovery and Details of any anticipated residual impacts that may remain even after Mitigation measures;\n\n(l) information on reporting and management of data and information [post closure] [post Commercial Production] including information on how data will be archived and made publicly available [post-closure] [post Commercial Production], and how the formatting of submitted datasets and reports will be consistent with best scientific practices;\n\n(m) details of the persons or entity (subcontractor, consultant(s)) that will carry out the monitoring and management measures under the Closure Plan or Final Closure Plan, including their qualification(s) and experience, together with details of the budget, (i ncl. inflation adjustment for long-term monitoring), project management plan and the protocols for reporting to the Authority under the Closure Plan or Final Closure Plan;\n\n(n) details of the amount of the Environmental Performance Guarantee provided under these Regulations; and\n\n(o) details of consultations with Stakeholders in respect of the plan.\n\n2. The level of detail in the Closure Plan or Final Closure Plan is expected to differ between cases involving a Temporary Suspension of Exploitation activities, cases involving unplanned abandonment of work, and cases involving final mine closure. The content of the Closure Plan or Final Closure Plan is to be commensurate with the nature, extent and duration of activities associated with the level of closure and maturity of the project.\n\nAnnex IX. Exploitation Contract and schedules THIS CONTRACT made the … day of … between the INTERNATIONAL SEABED AUTHORITY represented by its SECRETARY-GENERAL (hereinafter referred to as “the Authority”) and … represented by … (hereinafter referred to as “the Contractor”) WITNESSETH as follows: A. Incorporation of clauses The standard clauses set out in Annex X to the Regulations on exploitation of Resources in the Area shall be incorporated herein and shall have effect as if herein set out at length. B. Contract Area For the purposes of this Contract, the “Contract Area” means that part of the Area allocated to the Contractor for Exploitation, defined by the coordinates listed in schedule 1 hereto. C. Grant of rights In consideration of (a) their mutual interest in the conduct of Exploitation in the Contract Area pursuant to the United Nations Convention on the Law of the Sea of 10 December 1982 and the Agreement relating to the Implementation of Part XI of the Convention, (b) the rights and responsibility of the Authority to organize and control activities in the Area, particularly with a view to administering the Resources of the Area, in accordance with the legal regime established in Part XI of the Convention and the Agreement and Part XII of the Convention, respectively, and (c) the interest and financial commitment of the Contractor in conducting activities in the Contract Area and the mutual covenants made herein, the Authority hereby grants to the Contractor the exclusive right to Explore for and Exploit [specified Resource category] in the Contract Area in accordance with the terms and conditions of this Contract. D. Entry into force and Contract term This Contract shall enter into force on signature by both parties and, subject to the standard clauses, shall remain in force for an initial period of [x] years thereafter unless the Contract is sooner terminated, provided that this Contract may be renewed in accordance with the Regulations. E. Entire agreement This Contract expresses the entire agreement between the parties, and no oral understanding or prior writing shall modify the terms hereof. F. Languages This Contract will be provided and executed in the [ … and] English language[s] [and both texts are valid]. IN WITNESS WHEREOF the undersigned, being duly authorized thereto by the respective parties, have signed this Contract at …, this … day of …. The Schedules to the Exploitation Contract\n\nSchedule 1. Coordinates and illustrative chart of the Contract Area and proposed Mining Area(s).\n\nSchedule 1 bis. [Certificate of sponsorship]\n\nSchedule 2. The Mining Workplan.\n\nSchedule 3. The Financing Plan.\n\nSchedule 4. The Emergency Response and Contingency Plan.\n\nSchedule 5. The Health and Safety Plan and the Maritime Security Plan.\n\nSchedule 6. The Environmental Management and Monitoring Plan.\n\nSchedule 7. The Closure Plan.\n\nSchedule 8. The Training Plan.\n\nSchedule 9. Conditions, amendments and modifications agreed between the Commission and the Contractor, and approved by the Council, during the application approval process. Section 1. Amendments relation to the Regional Environmental Management Plan\n\nSchedule 10. Where applicable under regulation 26, the form of any Environmental Performance Guarantee, and its related terms and conditions.\n\nSchedule 11. Details of insurance policies taken out or to be taken out under regulation 36.\n\nSchedule 12. Agreed review dates for individual plans, together with any specific terms attaching to a review, where applicable.\n\nSchedule 13 To the extent that any documentation is not available at the point of signing the Contract, and a time frame for submission has been agreed with the Commission, this should be reflected here, together with, where applicable, deadline dates.\n\nSchedule 14. The Parent Company Liability Statement.\n\nAnnex X. Standard clauses for Exploitation Contract\n\nSection 2. Interpretation 2.1 Terms and phrases defined in the Regulations have the same meaning in these standard clauses. 2.2 In accordance with the Agreement relating to the Implementation of Part XI of the United Nations Convention on the Law of the Sea of 10 December 1982, its provisions and Part XI of the Convention are to be interpreted and applied together as a single instrument; this Contract and references in this Contract to the Convention are to be interpreted and applied accordingly.\n\nSection 3. Undertakings 3.1 The Authority undertakes to fulfil in good faith its powers and functions under the Convention and the Agreement in accordance with article 157 of the Convention. 3.2 The Contractor shall implement this Contract in good faith and shall in particular implement the Plan of Work in accordance with regulation 18bis. For the avoidance of doubt, the Plan of Work includes:\n\n(a) The Mining Workplan;\n\n(b) The Financing Plan;\n\n(c) The Emergency Response and Contingency Plan;\n\n(d) The Training Plan;\n\n(e) The Environmental Management and Monitoring Plan;\n\n(f) The Closure Plan; and\n\n(g) The Health and Safety Plan and Maritime Security Plan, that are appended as schedules to this Contract, as the same may be amended from time to time in accordance with the Regulations. 3.3 The Contractor shall, in addition:\n\n(a) Comply with the Regulations, as well as other rules, regulations and procedures of the Authority, as amended from time to time, and the decisions of the relevant organs of the Authority;\n\n(b) Accept control by the Authority of activities in the Area for the purpose of securing compliance under this Contract as authorized by the Convention;\n\n(c) Pay all fees and royalties required or amounts falling due to the Authority under the Regulations, including all payments due to the Authority in accordance with Part VII of the Regulations; and\n\n(d) Carry out its obligations under this Contract with due diligence, including compliance with the rules, regulations and procedures of the Authority to ensure effective Protection for the Marine Environment, and exercise reasonable regard for other activities in the Marine Environment.\n\nSection 4. Security of tenure and exclusivity 4.1 The Contractor is hereby granted the exclusive right under this Contract to Explore for and Exploit the resource category specified in this Contract and to conduct Exploration and Exploitation activities within the Contract Area in accordance with the terms of this Contract. The Contractor shall have security of tenure , and this Contract shall not be suspended, terminated or revised except in accordance with the terms set out herein and the Regulations. Any impacts from activities in the Area carried out under an Exploitation Contract must be strictly limited to the Contractor area. 4.2 The Authority undertakes not to grant any rights to another person to Explore for or Exploit the same resource category in the Contract Area for the duration of this Contract. 4.3 The Authority reserves the right to enter into contracts with third parties with respect to Resources other than the resource category specified in this Contract but shall ensure that no other entity operates in the Contract Area for a different category o f Resources in a manner that might interfere with the Exploitation activities of the Contractor. 4.4 If the Authority receives an application for an Exploitation Contract in an area that overlaps with the Contract Area, the Authority shall notify the Contractor of the existence of that application within 30 Days of receiving that application.\n\nSection 5. Legal title to Minerals 5.1 The Contractor will obtain title to and property over the Minerals upon recovery of the Minerals from the seabed and ocean floor and subsoil thereof [onto the Contractor’s mining vessel or Installation], in compliance with this Contract. 5.2 This Contract shall not create, nor be deemed to confer, any interest or right on the Contractor in or over any other part of the Area and its Resources other than those rights expressly granted in this Contract.\n\nSection 6. Use of subcontractors and third parties 6.1 No Contractor may subcontract any part of its obligations under this Contract unless the subcontract contains appropriate terms and conditions to ensure that the performance of the subcontract will reflect and uphold the same standards and requirements of this Contract between the Contractor and the Authority. 6.2 The Contractor shall ensure the adequacy of its systems and procedures for the supervision and management of its subcontractors and any work that is further subcontracted, in accordance with Good Industry Practice. 6.2.bis. The Contractor shall apply due diligence in selecting its suppliers, and shall be responsible to ensure the adequacy of goods and services it procures, in accordance with Good Industry Practice].6.3 Nothing in this section shall relieve the Contractor of any obligation or liability under this Contract, and the Contractor shall remain responsible and liable to the Authority for the performance of its obligations under this Contract in the event that it subcontracts any aspect of the performance of those obligations.\n\nSection 7. Responsibility and liability 7.1 [In accordance with the ‘polluter pays’ principle,] the Contractor shall be liable to the Authority for the actual amount of [all environmental damage caused by Contractor activities that were not foreseen in the Plan of Work or that arise from a breach of any conditions of approval, including arising out of activities of the Contractor] / [any damage, including damage to the Marine Environment, arising out of its wrongful acts or omissions, and those of its employees, subcontractors, agents and all persons engaged in working or acting for them in the conduct of its operations under this Contract [arising out of its wrongful acts [or omissions]] ] [], account being taken of any contributory acts or omissions by the Authority or third parties. This clause survives the termination of the Contract and applies to all damage [] [arising out of the Contractors wrongful acts [or omissions]] regardless of whether it is caused or arises before, during or after the completion of the Exploitation activities or Contract term. [For the purpose of clauses 7.1 and 7.2, ‘wrongful acts or omissions’, means any unlawful act or omission attributable to the Contractor that results in damage not anticipated and approved in the Plan of Work, irrespective of bad intention or negligence.] [[Recoverable damages under this clause include: costs of reasonable measures to prevent and limit damage to the Marine Environment, lost revenue, reinstatement, pay-out in lieu of actual reinstatement, and/or measures to compensate for third-party economic loss, as well as pure ecological loss and harm to the living resources of the Area.] For the avoidance of doubt, strict liability in this context applies the polluter pays principle, and means, it is not necessary to prove that a Contractor intended to commit or was reckless as to committing a wrongful act or omission, it is necessary only to demonstrate unpermitted damage or harm arose as a result of a Contractor’s wrongful act for the Contractor to be held liable for that damage or harm. ] 7.2 The Contractor shall indemnify the Authority, its employees, subcontractors and agents against all claims and liabilities of any third party arising out of any [wrongful] environmental damage caused by Contractor activities that were not foreseen in the Plan of Work or that arise from a breach of any conditions of approval, including arising from activities of the Contractor. 7.3 The Authority shall be liable to the Contractor for the actual amount of any damage caused to the Contractor arising out of its wrongful acts in the exercise of its powers and functions, including violations under article 168, paragraph 2 of the Convention, account being taken of contributory acts or omissions by the Contractor [its employees, agents and subcontractors, and all persons engaged in working or acting for them in the conduct of its operations under this Contract] or third parties. 7.4 The Authority shall indemnify the Contractor [its employees, agents and subcontractors, and all persons engaged in working or acting for them in the conduct of its operations under this Contract] against all claims and liabilities of any third party arising out of any wrongful acts or omissions in the exercise of its powers and functions hereunder, including violations under article 168, paragraph 2 of the Convention.\n\nSection 8. Force Majeure 8.1 The Contractor shall not be liable for an unavoidable delay or failure to perform any of its obligations under this Contract due to Force Majeure, provided the Contractor has taken all reasonable steps to overcome the delay or obstacle to performance. For the purposes of this Contract, Force Majeure shall mean an event or condition that the Contractor could not reasonably be expected to prevent or control; provided that the event or condition was not caused by Contractor action, negligence or by a failure to observe Good Industry Practice. 8.2 The Contractor shall give written notice to the Authority of the occurrence of an event of Force Majeure as soon as reasonably possible after its occurrence (specifying the nature of the event or circumstance, what is required to remedy the event or circumstance and if a remedy is possible, the estimated time to cure or overcome the event or circumstance and the obligations that cannot be properly or timely performed on account of the event or circumstance) and similarly give written notice to the Authority of the Restoration of normal conditions. 8.3 The Contractor shall, upon request to the Secretary-General, be granted a time extension equal to the period by which performance was delayed hereunder by Force Majeure and the term of this Contract shall be extended accordingly.\n\nSection 9. Extension 9.1 20.] [Alt. 1 The Contractor may extent this Contract in accordance with regulation [Alt. 2 The Contractor may extent this Contract for periods not more than 10 years each, on the following conditions:\n\n(a) The resource category is recoverable annually in commercial quantities from the Contract Area;\n\n(b) The Contractor is in compliance with the terms of this Contract and the Rules of the Authority, including rules, regulations and procedures adopted by the Authority to ensure effective protection for the Marine Environment from harmful effects which ma y arise from activities in the Area;\n\n(c) This Contract has not been terminated earlier; and\n\n(d) The Contractor has paid the applicable fee. 9.2 To renew this Contract, the Contractor shall notify the Secretary -General no later than one year before the expiration of the initial period or extension period, as the case may be, of this Contract. 9.3 The Council shall review the notification, and if the Council determines that the Contractor is in compliance with the conditions set out above, this Contract shall be renewed on the terms and conditions of the standard exploitation contract that are i n effect on the date that the Council approves the extension application.]\n\nSection 10. Renunciation of rights 10.1 The Contractor, by prior written notice to the Authority, may renounce without penalty the whole or part of its rights in the Contract Area, provided that the Contractor shall remain liable for all obligations and liabilities accrued prior to the date of s uch renunciation in respect of the whole or part of the Contract Area renounced. Such obligations shall include, inter alia, the payment of any sums outstanding to the Authority, and obligations under the Environmental Management and Monitoring Plan and Closure Plan.\n\nSection 11. Termination of sponsorship [Omitted]\n\nSection 12. Suspension and termination of Contract and penalties 12.1 The Council may suspend or terminate this Contract, without prejudice to any other rights that the Authority may have, if any of the following events should occur:\n\n(a) If, in spite of written warnings by the Authority, the Contractor has conducted its activities in such a way as to result in serious persistent and wilful violations of the fundamental terms of this Contract, Part XI of the Convention, the Agreement and t he rules, regulations and procedures of the Authority;\n\n(b) If the Contractor has failed, within a reasonable period, to comply with a final binding decision of the dispute settlement body applicable to it;\n\n(c) If the Contractor knowingly, recklessly or negligently provides the Authority with information that is false or misleading;\n\n(d) If the Contractor [] becomes insolvent or commits an act of bankruptcy or enters into any agreement for composition with its creditors or goes into liquidation or receivership, whether compulsory or voluntary, or petitions or applies to any tribunal for the appointment of a receiver or a trustee for itself or commences any proceedings relating to itself under any bankruptcy, insolvency or readjustment of debt law, whether now or hereafter in effect, other than for the purpose of reconstruction; or (d bis) If any person standing as surety or financial guarantor to the Contractor pursuant to regulation 26 of the Regulations becomes insolvent or commits an act of bankruptcy or enters into any agreement for composition with its creditors or goes into liquidation or receivership, whether compulsory or voluntary, or petitions or applies to any tribunal for the appointment of a receiver or a trustee or receiver for itself or commences any proceedings relating to itself under any bankruptcy, insolvency or re adjustment of debt law, whether now or hereafter in effect, other than for the purpose of reconstruction, and the Contractor is unable to find a suitable replacement for that person within a reasonable period of time; or\n\n(e) If the Contractor has not made bona fide efforts to achieve or sustain Commercial Production and is not recovering Minerals in commercial quantities at the end of five years from the expected date of Commercial Production, save where the Contractor is able to demonstrate to the Council’s satisfaction good cause, which may include Force Majeure, [good faith efforts to comply with the environmental obligations imposed by the Authority,] or other circumstances beyond the reasonable control of the Contract or that prevented the Contractor from achieving Commercial Production. 12.2 The Council may, without prejudice to Section 8, after consultation with the Contractor, suspend or terminate this Contract, without prejudice to any other rights that the Authority may have, if the Contractor is prevented from performing its obligations under this Contract by reason of an event or condition of Force Majeure, as described in Section 8, which has persisted for a continuous period exceeding 2 years, despite the Contractor having taken all reasonable measures to overcome its inability to perform and comply with the terms and conditions of this Contract with minimum delay. 12.3 Any suspension or termination shall be by written notice to the Contractor, through the Secretary-General, which shall include a statement of the reasons for taking such action. The suspension or termination shall be effective 60 Days after such written notice, unless the Contractor within such period disputes the Authority’s right to suspend or terminate this Contract in accordance with Part XI, Section 5, of the Convention. In such a case, this Contract shall only be suspended or terminated in accordance with a final binding decision in accordance with Part XI, Section 5, of the Convention. [12.4 If the Contractor takes such action, this Contract shall only be suspended or terminated in accordance with a final binding decision in accordance with Part XI, Section 5, of the Convention.] 12.5 If the Council has suspended this Contract, the Council may by written notice require the Contractor to resume its operations and comply with the terms and conditions of this Contract, not later than 60 Days after such written notice. 12.6 In the case of any violation of this Contract not covered under Section 12.1 (a), or in lieu of suspension or termination under Section 12, the Council may impose upon the Contractor monetary penalties proportionate to the seriousness of the violation. 12.7 Subject to Section 13, the Contractor shall cease operations upon the termination of this Contract. 12.8 Termination of this Contract for any reason (including the passage of time), in whole or in part, shall be without prejudice to rights and obligations expressed in this Contract to survive termination, or to rights and obligations accrued thereunder prior to termination, including performance under a Closure Plan, and all provisions of this Contract reasonably necessary for the full enjoyment and enforcement of those rights and obligations shall survive termination for the period so necessary.\n\nSection 13. Obligations on Termination of a Contract 13.1 In the event of termination of this Contract, the Contractor shall:\n\n(a) comply with the Final Closure Plan, and the Environmental Management and Monitoring Plan and continue to perform the required environmental management of the Contract Area as set forth in the Final Closure Plan and for the period established in the Final Closure Plan; (b) continue to comply with relevant provisions of the Regulations, including: (i) maintaining and keeping in place all insurance required under the Regulations;\n\n(ii) paying any fee, royalty, penalty or other money on any other account owing to the Authority on or before the date of termination; and\n\n(iii) complying with any obligation to meet any liability under Section 8 . (c) and remove all Installations, plant, equipment and materials in the Contract Area;\n\n(d) make the area safe so as not to constitute a danger to persons, shipping or [to result in adverse impacts, or a reasonable likelihood of such impacts, to] the Marine Environment. 13.2 Where the Contractor fails to undertake the obligations listed in Section 13.1 within a reasonable period, the Authority may take necessary steps to effect such removal and make safe the area at the expense of the Contractor. Such expense, if any, shall be deducted from the Environmental Performance Guarantee held by the Authority. 13.3 Upon termination of this Contract, any rights of the Contractor under the Plan of Work and in respect of the Contract Area also terminate.\n\nSection 14. Transfer of rights and obligations [Omitted]\n\nSection 15. No waiver No waiver by either party of any rights pursuant to a breach of the terms and conditions of this Contract to be performed by the other party shall be construed as a waiver by the party of any succeeding breach of the same or any other term or condition to be performed by the other party.\n\nSection 16. Modification of terms and conditions of this Contract 16.1 When circumstances have arisen or are likely to arise after this Contract has commenced which, in the opinion of the Authority or the Contractor would render this Contract inequitable or make it impracticable or impossible to achieve the objectives set out in this Contract or in Part XI of the Convention, the parties shall enter into negotiations to revise it accordingly. 16.2 This Contract may be revised by agreement between the Contractor and the Authority. 16.3 (a) This Contract may be revised only: with the consent of the Contractor and the Authority; and\n\n(b) by an appropriate instrument signed by the duly authorized representatives of the parties. 16.4 Subject to the confidentiality requirements of the Regulations, the Authority shall publish information about any revision to the terms and conditions of this Contract.\n\nSection 17. Applicable law 17.1 This Contract is governed by the terms of this Contract, the rules, regulations and procedures of the Authority and other rules of international law not incompatible with the Convention. 17.2 The Contractor, shall observe the applicable law referred to in Section 17.1 hereof and shall not engage in any transaction, directly or indirectly, prohibited by the applicable law. 17.3 Nothing contained in this Contract shall be deemed an exemption from the necessity of applying for and obtaining any permit or authority that may be required for any activities under this Contract. 17.4 The division of this Contract into sections and subsections and the insertion of headings are for convenience of reference only and shall not affect the construction or interpretation hereof.\n\nSection 18. Disputes Any dispute between the parties concerning the interpretation or application of this Contract shall be settled in accordance with Part XII of the Regulations.\n\nSection 19. Notice Any notice provided to or from one party to another pursuant to this Contract shall be provided in accordance with the notice provision set out at regulation 91 of the Regulations.\n\nSection 20. Schedules This Contract includes the schedules to this Contract, which shall be an integral part hereof.\n\nAnnex X bis. Design Criteria for Impact Reference Zones and Preservation Reference Zones Applicants must establish suitable and effective Impact Reference Zones and Preservation Reference Zones in order to monitor the Environmental Impacts of their activities. The following parameters shall apply in the designation of Impact Reference Zones and Preservation Reference Zones. 1. Impact Reference Zones and Preservation Reference Zones must be situated within the Contract Area (and the Contract Area may need to be selected around the need for appropriate Impact Reference Zones and Preservation Reference Zones, especially where multiple or large reference zones are required)\n\n2. The applicant needs to demonstrate that the Impact Reference Zones and Preservation Reference Zones are [ecologically] similar before the commencement of mining. Additional Impact Reference Zones and Preservation Reference Zones have to be introduced subsequently, once areas ecologically dissimilar from the primary Preservation Reference Zones are impacted, to warrant future comparability.\n\n3. Impact Reference Zones must be zones where direct impacts from mining are predicted to occur once mining commences.\n\n4. The area(s) of the Impact Reference Zones needs to be sufficiently large and representative to allow adequate assessment of recovery of populati ons and environmental conditions after the Exploitation activities, in accordance with the applicable Standards and taking into consideration Guidelines.\n\n5. Preservation Reference Zones will be important in identifying natural variations in environmental conditions against which impacts shall be assessed and must be comparable to that of the Impact Areas, in accordance with the applicable Standards and, taking into consideration Guidelines.\n\n6. Preservation Reference Zones must be areas that will not be impacted by Exploitation activities from any Contractor, including impacts from operational and discharge plumes and including during the post-closure period. Preservation Reference Zones should also be free from impacts of other industrial activities. Preservation Reference Zones should have to remain unimpacted throughout the post-mining monitoring period.\n\n7. Where a Contract Area consists of several disjunct sub-areas that are isolated from each other, then each of those areas would require a corresponding Preservation Reference Zone and Impact Reference Zone.\n\n8. Use of multiple Preservation Reference Zones and Impact Reference Zones should be considered for increase in statistical rigour, and chance of detecting effects and adding redundancy in case of unexpected variation/plan changes.\n\n9. The area of the Preservation Reference Zone needs to be sufficiently large to contain sufficiently large populations to guarantee long-term survival. The Preservation Reference Zone will also require a buffer zone around it to protect the populations and ensure maintenance of natural environmental conditions in the Preservation Reference Zone.\n\n10. [monitoring shows a trajectory towards recovery of] Isolation of Preservation Reference Zone is important. Any Preservation Reference Zone will by definition have to remain unimpacted throughout the post-mining monitoring period.\n\nAnnex XI. Parent Company Liability Statement THIS “STATEMENT” made the ... day of ... by A. [insert name of Managing Company], with its statutory seat at [insert address and home State] and registered at [insert Chamber of Commerce or Trade Register details], represented by ..., with the authority to provide this Statement on behalf of [Managing Company]; and B. [insert name of Contractor], with its statutory seat at [insert address and home State] and registered at [insert Chamber of Commerce or Trade Register details], represented by ..., with the authority to provide this Statement on behalf of [Contractor]; an d irrevocably and unconditionally DECLARE and REPRESENT that: Obligations of [Managing Company] 1. [Managing Company] is jointly and severally liable for any debts and liabilities of [Contractor] arising in relation to:\n\n(i) the obligations of [Contractor] that follow from the agreement that is to be concluded between [Contractor] and the International Seabed Authority for the exploitation of Resources in the Area (hereinafter referred to as “the Exploitation Contract”);\n\n(ii) the acts performed by [Contractor] in the performance of the Exploitation Contract; and\n\n(iii) the omissions that [Contractor] makes in the performance of the Exploitation Contract (hereinafter referred to as “the Joint and Several Liability Obligation”);\n\n2. [Managing Company] has the financial capability to comply with the Joint and Several Liability Obligation, or can draw on a parent company or its shareholders in order to do so (hereinafter referred to as “Certainty of Funds”);\n\n3. [Managing Company] confirms that the Contractor is adequately insured to perform the Exploitation Contract in accordance with the applicable regulations and that such insurance will remain in place until such time as the Contractor’s insurance should be in place, in accordance with the Regulations on Exploitation of Resources in the Area (hereinafter referred to as “the Regulations”) and the Exploitation Contract (hereinafter referred to as “Certainty of Insurance”);\n\n4. [Managing Company] will procure that [Contractor] complies with the terms and conditions of their Exploitation Contract and the rules, regulations and procedures of the International Seabed Authority, in a manner consistent with the Convention and the Agreement, by among others, but not limited to, exercising its voting rights in the shareholder’s meeting of [Contractor] and issuing instructions to the directors of [Contractor], when it is competent to do so; Enforcement of Obligations of [Managing Company]\n\n5. At any given point in time, the International Seabed Authority is authorized to request documentation to support the [Managing Company’s] compliance with its obligations of Certainty of Funds and Certainty of Insurance, and that failure to do so within 15 working days or inability to substantiate such Certainty of Funds or Certainty of Insurance has to be remedied by [Managing Company] within a period of 90 days;\n\n6. Should [Managing Company] fail to comply with the obligations in provision 5 above, the International Seabed Authority shall suspend the Exploitation Contract by issuing a written notice to the Managing Company and the Contractor in accordance with the applicable regulations, as a consequence of which the Contractor shall cease its operations in the exercise of the Exploitation Agreement until the International Seabed Authority is satisfied that [Managing Company] has remedied its failure to comply with the obligations in provision 5 above;\n\n7. Notices to [Managing Company] and [Contractor] are to be sent to the following address: [insert contact details of Managing Company and Contractor] . Miscellaneous Provisions\n\n8. If [Contractor] transfers its rights and obligations under an Exploitation Contract in whole, [Contractor] and [Managing Company] shall procure that the party that qualifies as the “Managing Company” under Regulations of the Transferee provides a statement substantially in the same form as Schedule 14 to the Exploitation Contract (Parent Company Liability Statement);\n\n9. If [Contractor] transfers its rights and obligations under an Exploitation Contract in part, this STATEMENT shall remain in full force and effect, unless [Contractor] and [Managing Company] procure that the party that qualifies as the “Managing Company” under Regulations of the Transferee provides a statement substantially in the same form as Schedule 14 to the Exploitation Contract (Parent Company Liability Statement); 10.If [Managing Company] no longer directly or indirectly owns or controls [Contractor], the party that comes to qualify as the “Managing Company” under the Schedule to the Regulations shall issue a statement substantially in the same form as\n\nSchedule 14 to the Exploitation Contract (Parent Company Liability Statement);\n\n11. This STATEMENT or the obligations provided for in this STATEMENT cannot be assigned, transferred or novated;\n\n12. A change in the corporate seat of [Managing Company] does not affect the validity of this STATEMENT;\n\n13. [Managing Company] undertakes not to engage in any contracting or other corporate practice that serves to avoid its liability and responsibility as provided for under this STATEMENT;\n\n14. This STATEMENT shall remain in effect after the termination of the Exploitation Contract and can be invoked for any conduct that is reasonably attributable to the Contractor; and\n\n15. Any disputes arising in relation to this STATEMENT shall be settled in accordance with Part XII of the Regulations. [Managing Party] herewith provides its explicit written consent to being a party to such dispute settlement procedures. Schedule Use of terms and scope “Agreement” means the Agreement relating to the Implementation of\n\nPart XI of the United Nations Convention on the Law of the Sea of 10 December 1982. “Application” and “Applicant” means an application and an applicant, respectively, for a Plan of Work for exploitation in the form of a contract with the Authority.] “Authority” means the International Seabed Authority as established by part XI of the Convention and for the purposes of these Regulations shall include all organs of the Authority save for the Enterprise, except where the Enterprise is expressly stated as being included. “Beneficial Ownership Registry” means [to be inserted]. “Best Available Scientific [Information]/[Knowledge]” means the scientific information and data accessible and attainable that, in the particular circumstances, is accurate, reliable, and relevant of good quality and is objective, within reasonable technical and economic constraints, and is based on internationally recognized scientific practices, standards, technologies and methodologies, including peer review. “Best Available Techniques” means the latest stage of development, and state-of-theart processes, facilities or methods of operation that indicate the practical suitability of a particular measure for the prevention, reduction and control of pollution and the Protection of the Marine Environment from the harmful effects of activities in the Area, taking into account the guidance set out in the applicable Standards and Guidelines. “Best Environmental Practices” means the application of the most appropriate combination of environmental control measures and strategies, for purposes of ensuring the effective Protection of the Marine Environment, and based on the Best Available Scientific Information and Best Available Techniques that will change with time in the light of improved knowledge, understanding or technology, as well as the incorporation of the relevant traditional knowledge of Indigenous Peoples and local communities and in accordance with applicable Standards taking into account the relevant Guidelines. “Calendar Year” means a period of 12 months, ending with 31 December. “Certified Laboratory” means a testing or calibration facility that has been formally accredited by a recognised accreditation body to demonstrate compliance with the relevant international standard. “Change of Control” means where there is a change resulting in ownership of 50 percent or more of the Contractor, or of the membership of the joint venture, consortium or partnership, as the case may be, or a change resulting in ownership of 50 percent or more of the entity providi ng an Environmental Performance Guarantee Alt.1 means the occurrence of any of the following events: (a) a transaction by which any person or group obtains beneficial ownership of more than 50% of the outstanding voting stock of the Company or newly represents more than 50% of the combined voting power with respect to the election of directors; (b) a merger or consolidation of the Company with any other entity where the resulting entity is not controlled by the Company's preexisting shareholders; (c) the sale or transfer of substantially all of the Company's assets; (d) a change in the majority of the Company's Board of Directors as the result of a transaction Alt.2 means a Change of Control of an applicant, a Change of Control of a Contractor, or a Change of Control of an entity providing an Environmental Performance Guarantee on behalf of a Contractor, as applicable. “Change of Control of a Contractor” means a change in the Effective Control of a Contractor. “Change of Control of an entity providing an Environmental Performance Guarantee on behalf of a Contractor” means a change of the natural or judicial person who has the power to secure that the affairs of the entity providing an Environmental Performance Guarantee are conducted in accordance with its wishes. “Change of Nationality” means a change in the nationality of a natural person or a change of State in which a judicial person is incorporated. “Closure” means activities undertaken within a Contract Area once Commercial Production has ceased, and includes: Decommissioning, post-mining monitoring and reporting, and any Rehabilitation and Restoration or compensatory measures that may be agreed. “Closure Plan” means a document that contains an integrated environmental, social and economic base case for Decommissioning, closure and postclosure activities and conditions against which future monitoring can be compared. It will be revised through the lifetime of the Exploitation Contract and must be considered as an integral part of operational planning. Alt. means the document referred to in annex VIII. “Collision” means the act of a moving vessel (including an aircraft) striking another vessel, or striking a stationary vessel or object (e.g., a boat striking a drilling rig or platform). “ Commercial Production” shall be deemed to have begun where a Contractor engages in Sustained Large-scale Recovery operations which yield a quantity of materials sufficient to indicate clearly that the principal purpose is large-scale production rather than production intended for information-gathering, analysis or the testing of equipment or plant. “Commission” means the Legal and Technical Commission of the Authority. “Communication” means any application, request, notice, report, consent, approval, waiver, direction or instruction required or made under these Regulations; “Confidential Information” shall have the meaning assigned to that term by regulation 89. “Contract Area” means the part or parts of the Area allocated to a Contractor under an Exploitation Contract and defined by the coordinates listed in schedule 1 to such Exploitation Contract. “Contractor” means any party to an Exploitation Contract (other than the Authority) in accordance with Part III of these Regulations and, where the context applies, shall include its employees, subcontractors, agents and all persons engaged in working or acting for them in the conduct of its operations under the Exploitation Contract. “Controlling National” has the meaning ascribed to that term in the definition of Effective Control. “Convention” means the United Nations Convention on the Law of the Sea. “Council” means the executive organ of the Authority established under article 158 of the Convention. “Cumulative Environmental Effect” means any consequences in the Marine Environment arising over time from the conduct of Exploitation activities or in combination with other stressors and activities in the same area, including those not regulated by the Authority. In case of cumulative effects, the combination of all effects in the same area may be more severe than the sum of its parts. “Day” means calendar Day. “Decommissioning” means measures taken, whether onshore or offshore, to permanently cease the operations, remove, or dispose of structures, facilities, Installations, and other equipment erected or used for the purposes of activities undertaken pursuant to an Exploitation Contract, in connection with the abandonment or cessation or partial cessation of those activities in a Contract Area or part of a Contract Area. “Designated Representative” means the person so named on behalf of a Contractor on the Seabed Mining Register or prior to award of the Exploitation Contract, in the application. “Ecosystem Approach” means a comprehensive, integrated and interdisciplinary approach to the management of human activities based on the Best Available Scientific Knowledge to balance ecological, social and governance principles at appropriate temporal and spatial scales in a distinct geographical area to achieve ecosystem conservation and sustainable resource use. Scientific knowledge and effective monitoring are used to acknowledge connections, integrity and biodiversity within an ecosystem along with its dynamic nature and associated uncertainties. The ecosystem-based approach recognizes coupled socio-ecological systems, with Stakeholders involved in an integrated and adaptive management process where decisions reflect societal choice. “Ecosystem Integrity” means the ability of an ecosystem to support and maintain ecological processes and a diverse community of organisms. It is measured as the degree to which a diverse community of native organisms is maintained, and is used as a proxy for ecological resilience, intended as the capacity of an ecosystem to adapt in the face of stressors, while maintaining the functions of interest. “Effective Control” or “effectively controlled” means a required, substantial and genuine link between Sponsoring State and Contractor, which includes for nonState actors the location of the company’s management and beneficial ownership, as well as the ability of the Sponsoring State to ensure the availability of resources of the Contractor for fulfilment of its Exploitation Contract with the Authority and any liability arising therefrom, through the location of such resources in the territory of the Sponsoring State or otherwise. “Effective Control” or “effectively controlled Alt.1” means the substantial and genuine link between Sponsoring State and Contractor, demonstrated by the Contractor being a national of the Sponsoring State and being subject to its effective jurisdiction and regulatory control. “Effective Control” Alt.2 of an applicant or Contractor by: -\n\n(a) A State which is not the State of nationality of the applicant or Contractor (the Controlling State); or\n\n(b) A national of a State which is not the State of nationality of the applicant or Contractor (the Controlling National), means that the Controlling State or Controlling National has the power to secure that the affairs of the applicant or Contractor are conducted in accordance with the instructions or directions of the Controlling State or Controlling National, applying the relevant Standard. Alt.3 of an applicant or Contractor means: - -\n\n(a) with respect to a State which is the State of Nationality of the applicant or Contractor, “Effective Control” means the existence of regulatory control and meaningful economic ties between the applicant or Contractor and that State; or\n\n(b) with respect to another State that is not referred to in\n\n(a) above, or to a national of that State, “Effective Control” means the exercise of influence resulting in de facto control of the applicant or Contractor by that State. “Effective Protection” means achieving the Authority’s Strategic Environmental Goal and Objectives pursuant to regulation 44ter, the regional environmental objectives, environmental thresholds and the requirements of regulation 13, paragraph 9. “Emergency Response and Contingency Plan” means the document referred to in Annex V. “Environmental Effect” [Alt. means any consequence or outcome of an Environmental Impacts arising from action or activity to the environment. “Environmental Impact” [Alt. means the influence of an action or activity on the environment.] “Environmental Impact Assessment” means the process of identifying, predicting, evaluating and mitigating the physicochemical, biological, socioeconomic, and other relevant effects of development proposals prior to major decisions being taken and commitments made. This includes all potential effects, both positive and negative, and encompasses natural and anthropogenic receptors. “Environmental Impact Assessment Process” means the process set out in regulation 47. “Environmental Impact Statement” means the documentation of the Environmental Impact Assessment, which describes the predicted effects of the project on the environment (and their significance), the measures that the applicant is committed to taking to avoid, minimise and reduce them where possible, and the remaining effects that cannot be avoided. “Environmental Management System” means the part of the overall management system [implemented]/[applied] by a Contractor that includes organizational structure, planning activities, responsibilities, practices, procedures, processes and resources for developing, implementing, achieving, reviewing and maintaining environmental policy, goals, objectives and environmental performance. [Alt. means part of the management system used to manage environmental aspects, fulfil compliance obligations, and address risks and opportunities.] “Environmental Risk Assessment” means the process for identifying and evaluating Environmental Risk using a generally accepted risk assessment methodology. “Environmental Performance Guarantee” means a financial guarantee supplied under regulation 26. “Environmental Plans” means the Environmental Impact Statement, the Environmental Management and Monitoring Plan and the Closure Plan. “Exploit” and “Exploitation” mean the recovery for commercial purposes of Resources in the Area with exclusive rights and the extraction of Minerals therefrom, including the construction and operation of mining, processing and transportation systems in area beyond national jurisdiction, for the production and marketing of Metals, as well as the Decommissioning and Closure of Exploitation activities. “Exploitation Contract” means an exploitation contract entered into between the Authority and a Contractor in the form prescribed in regulation 17 and Annex IX to these Regulations. “Exploration Regulations” means the regulations on prospecting and exploration for polymetallic nodules in the Area, the regulations on prospecting and exploration for polymetallic sulphides in the Area and the regulations on prospecting and exploration for cobalt-rich ferromanganese crusts in the Area, as the case may be and as replaced or amended by the Council from time to time. “Explore” and “Exploration” as applicable, mean the searching for Resources in the Area with exclusive rights, the analysis of such Resources, the use and testing of recovery systems and equipment, processing facilities and transportation systems and the carrying out of studies of the environmental, technical, economic, commercial and other appropriate factors that must be taken into account in Exploitation. “Facility” means a vessel, a structure, installation, or an artificial island used for offshore exploitation operations. “Feasibility Study” means a comprehensive study of a Mineral deposit in which all geological, engineering, legal, operating, economic, social, environmental and other relevant factors are considered. “Final Closure Plan” means the version of a Contractor’s Closure Plan that has been approved by the Council pursuant to regulation 60. “Financial Incentive” means a financial grant or reduction of amounts otherwise payable to the Authority which otherwise complies with the requirements for financial incentives in these Regulations and in Standards and Guidelines. “Financing Plan” means the document referred to in Annex III. “Force Majeure” means any unforeseeable and irresistible act of nature, any act of war (whether declared or not), invasion, revolution, insurrection, terrorism, or any other acts of a similar nature or force provided that such acts arise from causes beyond the control and without the fault or negligence of the Contractor. “Good Industry Practice” means the exercise of the degree of skill, diligence, prudence and foresight which would reasonably and ordinarily be expected to be applied by a skilled and experienced person engaged in the marine mining industry and other related extractive industries worldwide [and includes meeting the performance requirements under the rules, regulations and procedures of the Authority]. “Guidelines” means such documents issued by the organs of the Authority pursuant to regulation 95. “Impact” is the influence of an action or activity on inter alia the biological, chemical, or physical environment, or sociocultural or economic values. “Impact Area” or “Impact Areas” means the zone or region on the seafloor and in the water column subject to measurable effects from activities under an Exploitation Contract related to 1 or several Mining Area(s). “Impact Reference Zone” means a zone designated within the Contract Area [in accordance with Annex X bis to these Regulations] that is representative of the environmental characteristics of the Contract Area, is predicted to be impacted by Exploitation activities, and will be used to assess the effects of activities under an Exploitation Contract on the Marine Environment, including by way of comparison with the Preservation Reference Zones. “Incident” means an event, or sequence of events, where activities in the Area result in:\n\n(a) a marine Incident or a marine casualty as defined in the Code of International Standards and Recommended Practices for a Safety Investigation into a Marine Casualty or Marine Incident (Casualty Investigation Code, effective 1 January 2010) and other relevant standards and guidelines for offshore exploitation operations;\n\n(b) a significant unanticipated or unpermitted adverse impact to the Marine Environment or to other existing legitimate sea uses, whether accidental or not, or a situation in which such adverse impact was only narrowly avoided is a reasonably foreseeable consequence of the situation;\n\n(c) damage to a submarine cable or pipeline, other subsea technology, or any Installation;\n\n(d) fires and explosions; and/or\n\n(e) other Notifiable Events. “Incidents Register” means a register to be maintained by the Contractor on board a mining vessel or Installation to record any Incidents or Notifiable Events. “Independent Auditor” means an auditor appointed by [the Contractor] to conduct an audit in respect of a Contractor and/or its related entities in accordance with the relevant Standards and taking into account the Guidelines. “Inspector” means a person acting under Part XI of these Regulations. “Inspector Code of Conduct” means [to be inserted] “Installations” includes, insofar as they are used for carrying out activities in the Area, structures and platforms, whether stationary or mobile. [“Managing Company”] [means [to be inserted]] “Marine Environment” includes the physical, chemical, oceanographic geological, genetic, and biological components, conditions and factors which interact and determine the productivity, state, condition and quality and connectivity of the marine ecosystem(s), the waters of the seas and oceans and the airspace above those waters, species, biodiversity, ecosystems, as well as the seabed and ocean floor and subsoil thereof. “Material Change” means a [substantial]/[significant] change that affects the basis on which an original report, document or plan, including a Plan of Work, was accepted or approved by the Authority, and includes changes such as physical modifications, changes to harmful effects of activities on the Marine Environment, other Environmental Effects or effects on Stakeholders, the availability of new knowledge or technology and changes to operational management that are to be considered in light of the applicable Guidelines. [Alt “Material Change” means a substantial or significant change to the basis on which the original report, document or plan, including a Plan of Work, was accepted or approved by the Authority.] [Alt 2 “Material Change” means a change that effects the fundamental basis on which the original report, document or plan, including a Plan of Work, was accepted or approved by the Authority]. [Alt. 3 “Material Change” means a significant change that affects the basis on which an original report, document or plan, including a Plan of Work, was accepted or approved by the Authority, and may include changes such as modifications to the way in which Exploitation activities are conducted; changes to assessments of harmful effects of activities on the Marine Environment, or effects on Stakeholders; the availability of new knowledge or technology; changes to a Contractor’s operational management; and changes to any applicable Standards and Guidelines.] “Metal” means any metal contained in a Mineral. “Minerals” means Resources that have been recovered from the Area. “Mining Area” means the part or parts within the Contract Area from which Minerals will be extracted, as described in a Plan of Work, as may be modified from time to time in accordance with these Regulations. “Mining Discharge” means any sediment, waste or other effluent directly resulting from Exploitation, including shipboard or Installation processing immediately above a mine site of Minerals recovered from that mine site and includes but is not limited to, disposal, spilling, leaking, pumping, emitting, emptying, or discharging. “Mining Workplan” means the document referred to in Annex II, including any modifications made from time to time in accordance with these Regulations. “Mitigate” and “Mitigation” means acting/an action or activity intended to remedy, reduce or offset known potential negative impacts to the environment. These occur in a strict hierarchy:\n\n(a) Avoiding an Environmental Effect altogether by undertaking or not undertaking a certain activity or parts of an activity;\n\n(b) For Environmental Effects that cannot be avoided, minimizing effects by limiting the degree or magnitude of the activity and its implementation [to the extent practicable and necessary to ensure Protection of the Marine Environment];\n\n(c) For Environmental Effects that cannot be avoided or minimised rectifying the effect by repairing, rehabilitating or Environment; and restoring the affected Marine\n\n(d) For Environmental Effects that cannot be avoided, minimised or rectified, reducing or eliminating the impact over time through preservation and maintenance operations during the life of the mining activity; [(e) Offsetting, only as a last resort and if it becomes technically and scientifically feasible in the future.] [“Monopolize”] [means the ability to control over 75 per cent of the estimated annual volume of similar Mineral-bearing ore exploited, produced or removed from the Area after Commercial Production has occurred in respect of at least 2 Exploitation Contracts.] “Non-Compliance Notice” means [to be defined] [“Notifiable Events”] [means, for the purposes of regulation 34, any of the following events, except for where it constitutes an Incident for the purposes of these Regulations:\n\n1. Occupational lost time illness.\n\n2. Occupational lost time injury.\n\n3. Marine Mammal Fatality.\n\n4. Significant leak of hazardous substance [as determined in accordance with the applicable Standard and taking into consideration the applicable Guideline].\n\n5. Unauthorized Mining Discharge.\n\n6. Adverse environmental conditions that cause or likely to cause] significant safety or environmental consequences.\n\n7. Significant threat or breach of security, [including cyber security].\n\n8. Impairment or damage to safety or environmentally critical equipment, [where such impairment or damage prevents compliance with the Regulations].\n\n9. Contact with fishing gear resulting in its damage.\n\n10. Contact with submarine pipelines or cables resulting in its damage [or an event that is likely to such damage].\n\n11. Contact with equipment related to marine scientific research resulting in its damage.] [“Parent Company Liability Statement”] [means the statement that is to be validly signed by the Contractor and the Contractor’s Managing Company on behalf of those companies, and provided by the Contractor as Schedule 14 to the Exploitation Contract, as amended from, yet substantially in the same form as,\n\nAnnex XI to these Regulations.] “Pilot Mining”] [means an in situ operating of the integrated system of all equipment and all related process steps, including collector, raiser and release techniques, for exploitation activities in a Contract Area under appropriate technical, spatial and temporal conditions which provides evidence concerning, inter alia, environmental impact, commercial capacity, duration of operations to validate feasibility of future Commercial Production. “Plan of Work” means a Plan of Work for Exploitation in the Area, defined collectively as all and any plans or other documents setting out the activities for the conduct of the Exploitation, which form part of, or is proposed to be part of, an Exploitation Contract. “Preservation” means the maintenance of the environment, lands and natural resources without anthropogenic use beyond access. “Preservation Reference Zone” means a zone designated within the Contract Area in accordance with Annex X bis to these Regulations that has been identified as having similar ecological characteristics to an Impact Reference Zone, and within which no mining impacts are predicted to occur, which will be used to show a representative and stable ecosystem from the sea surface to the benthic subsurface layers, and can be used to form a comparison with an Impact Reference Zone. “Protection [of the Marine Environment]” means any action or activity designed to reduce or prevent pollution, negative environmental impacts or other damage to environment, land, ecosystems, natural resources, [traditional ownership or customary use of resources, human remains and Underwater Cultural Heritage, or intangible Underwater Cultural Heritage] by human activities, including to mitigate climate change, to reduce the risk of such damage, to protect and restore biodiversity or to lead to more efficient use of natural resources, including energy-saving measures and the use of renewable sources of energy and other techniques to reduce greenhouse gas emissions and other pollutants, as well as to shift to circular economy models to reduce the use of primary materials and increase efficiencies. It also covers actions that reinforce adaptive capacity and minimise vulnerability to climate impacts. “Regulations” means the regulations on exploitation of Mineral resources in the Area, adopted by the Authority. “Rehabilitation” means an occurrence of when an ecosystem recovers characteristics of its natural state, such as the presence of its original species, functions or services. “Regional Environmental Management Plan” means a proactive spatial management strategy that anticipates exploitation and that includes the designation of areas of Particular Environmental Interest. [Where the Regulations refer to the “applicable Regional Environmental Management Plan”, this shall be understood to mean the Regional Environmental Management Plan adopted by the Council for the particular area and type of resource concerned.] “Related Parties” or “Related Party” means parties that belong to the same corporate structure, such as a parent and subsidiary company, or sister companies which are both subsidiaries of the same parent company, and a state enterprise shall be considered a “Related Party” vis-à-vis its host State party or a Contractor sponsored by its host State party unless evidence is provided that any costs, prices and revenues have been charged or determined on an arm’s-length basis. “Reserved Area” means any part of the Area designated by the Authority as a reserved area in accordance with article 8 of Annex III to the Convention. “Resources” means all solid, liquid or gaseous mineral resources, Mineral-bearing ore, associated Minerals, or mixture thereof in situ in the Area at or beneath the seabed. “Restoration” means a return to pre-disturbance conditions. “Roster of Inspectors” means [to be inserted] “Rules of the Authority” means [the Convention, the Agreement,] these Regulations and other rules, regulations and procedures of the Authority, including Standards and Guidelines as may be adopted from time to time. “Scoping Report” means [to be inserted] “Seabed Mining Register” means the registry established and maintained by the Authority in accordance with regulation 92. [“Serious Harm to the Marine Environment”] means an Environmental Effect that, individually in combination or cumulatively meets any of the following criteria:\n\n(a) it is not likely to be redressed through natural recovery within a reasonable period;\n\n(b) it impairs the ability of affected populations to replace themselves;\n\n(c) it degrades the long-term natural productivity of habitats or ecosystems;\n\n(d) causes, on a more than temporary basis, a loss of species richness or biological diversity, including community structure, genetic connectivity among populations, ecosystem functioning and ecosystem services on the seabed, at the sea surface, and in midwater and in the benthic boundary layer, or habitat; or\n\n(e) any other criteria contained in the relevant Regional Environmental Management Plan, or Standards.] “Sponsoring State” means a State Party to the Convention which submits a certificate of sponsorship of an applicant in accordance with regulation 6. “Stakeholder” means a natural or juristic person or an association of persons [, including Indigenous Peoples [as well as] [and] local communities,] with an interest of any kind in, or who may be affected by, the proposed or existing Exploitation activities under a Plan of Work in the Area, or who has relevant information, [knowledge] or expertise. “Standards” means such documents adopted by the Authority pursuant to regulation 94. “State” means a State party or parties to the Convention. “Strategic Environmental Goal” means the goal pursuant to regulation 44ter, paragraph 3. “Strategic Environmental Objectives” means the objectives pursuant to regulation 44ter, paragraph 4. “Suitably Qualified Person” means a person qualified to conduct a valuation of Mineral-bearing ore in accordance with the relevant standards of the International Organization for Standardization and who otherwise complies with the requirements for a Suitably Qualified Person in Standards and Guidelines. [“System of Payments”] means the financial mechanisms the Authority applies pursuant to Part VII of the Regulations to determine the payments due from a Contractor to the Authority, including the required forms of payment (such as a royalty payment and profit sharing).] “Temporary Suspension” means [to be discussed and inserted] “Test Mining” means the in situ use and testing of a fully integrated and functional mining system, including collection systems and water discharge systems. “Transferee” means an entity to which a Contractor may transfer, or has transferred, its rights and obligations under an Exploitation Contract in accordance with regulation 23. “Transfer Profit Share” means a payment by the Contractor to the Authority in accordance with the applicable Standard in circumstances where the Contractor has transferred its rights and obligations under an Exploitation Contract in accordance with regulation 23. “Underwater Cultural Heritage” refers, for purposes of these Regulations, to all traces of human existence found in the Area which have been underwater for at least 100 years, having a cultural, historical or archaeological character, such as objects of prehistoric character, sites, structures, buildings, artifacts, vessels, aircraft, other vehicles or any part thereof, their cargo or other contents, together with their archaeological and natural context. Alt. refers to all traces of human existence found in the Area which have been underwater for at least 100 years, having a cultural, historical or archaeological character, or are associated with intangible underwater cultural heritage, such as objects of prehistoric character, sites, structures, buildings, artifacts, vessels, aircraft, other vehicles or any part thereof, their cargo or other contents, together with their archaeological and natural context. [It also refers to objects or sites which are the subject of intangible underwater cultural heritage.]\n", "n_chars": 480393}
{"corpus_id": "isa/regulation/crusts-2012", "version_id": "2012-10-22", "title": "Regulations on Prospecting and Exploration for Cobalt-rich Ferromanganese Crusts in the Area", "short_title": "ISA Cobalt-rich Crusts Exploration Regulations (2012)", "jurisdiction": "international", "document_type": "isa_regulation", "official_citation": "ISBA/18/A/11, annex — Regulations on Prospecting and Exploration for Cobalt-rich Ferromanganese Crusts in the Area", "authentic_languages": ["ar", "zh", "en", "fr", "ru", "es"], "language": "en", "adoption_date": "2012-07-27", "entry_into_force_date": null, "source_url": "https://isa.org.jm/wp-content/uploads/2022/06/isba-18a-11_0.pdf", "source_publisher": "International Seabed Authority (ISA)", "source_is_official": true, "authoritative_status": "authentic_text", "text_fidelity": "extracted_verified", "content_hash": "sha256:f9061306c05126a6324af99d9612e42e7d2c3bfdbc8e3441d9aa47ff4a74a1b1", "original_sha256": "sha256:f9061306c05126a6324af99d9612e42e7d2c3bfdbc8e3441d9aa47ff4a74a1b1", "text_sha256": "sha256:f9061306c05126a6324af99d9612e42e7d2c3bfdbc8e3441d9aa47ff4a74a1b1", "license": "isa-materials-terms", "rights_note": "Official ISA document (ISBA/18/A/11), attributed to the International Seabed Authority; UN document series, used with attribution; not relicensed.", "provenance_note": "English authentic text of the ISA Assembly decision ISBA/18/A/11 (22 October 2012) and its annex, the Regulations on Prospecting and Exploration for Cobalt-rich Ferromanganese Crusts in the Area (adopted 27 July 2012; Regulations 1–45 across Parts I–VIII, plus annexed forms and the standard clauses for exploration contract). Captured 2026-07-03 from the official ISA PDF via the approved web-fetch tool; a deterministic cleaner removed PDF page artifacts and reconstructed provision boundaries — no wording altered. Text extraction, NOT byte-exact PDF; byte-exact download recommended as an upgrade. Other five authentic languages not yet stored (JC-003).", "text": "ISA Regulations on Prospecting and Exploration for Cobalt-rich Ferromanganese Crusts in the Area — ISBA/18/A/11, annex\n\nDecision of the Assembly of the International Seabed Authority relating to the Regulations on Prospecting and Exploration for Cobalt-rich Ferromanganese Crusts in the Area The Assembly of the International Seabed Authority, Having considered the Regulations on Prospecting and Exploration for Cobalt\u0002rich Ferromanganese Crusts in the Area, as provisionally adopted by the Council at its 181st meeting, on 26 July 2012, Approves the Regulations on Prospecting and Exploration for Cobalt-rich Ferromanganese Crusts in the Area as contained in the annex to the present decision. 138th meeting 2 12-57345 Annex Regulations on Prospecting and Exploration for Cobalt-rich Ferromanganese Crusts in the Area Preamble In accordance with the United Nations Convention on the Law of the Sea of 10 December 1982 (“the Convention”), the seabed and ocean floor and the subsoil thereof beyond the limits of national jurisdiction, as well as its resources, are the common heritage of mankind, the exploration and exploitation of which shall be carried out for the benefit of mankind as a whole, on whose behalf the International Seabed Authority acts. The objective of this set of Regulations is to provide for prospecting and exploration for cobalt-rich ferromanganese crusts.\n\nPart I. Introduction\n\nRegulation 1. Use of terms and scope\n\n1. Terms used in the Convention shall have the same meaning in these Regulations.\n\n2. In accordance with the Agreement relating to the Implementation of Part XI of the United Nations Convention on the Law of the Sea of 10 December 1982 (“the Agreement”), the provisions of the Agreement and Part XI of the Convention shall be interpreted and applied together as a single instrument. These Regulations and references in these Regulations to the Convention are to be interpreted and applied accordingly.\n\n3. For the purposes of these Regulations:\n\n(a) “Cobalt crusts” means cobalt-rich iron/manganese (ferromanganese) hydroxide/oxide deposits formed from direct precipitation of minerals from seawater onto hard substrates containing minor but significant concentrations of cobalt, titanium, nickel, platinum, molybdenum, tellurium, cerium, other metallic and rare earth elements;\n\n(b) “Exploitation” means the recovery for commercial purposes of cobalt crusts in the Area and the extraction of minerals therefrom, including the construction and operation of mining, processing and transportation systems, for the production and marketing of metals;\n\n(c) “Exploration” means the searching for deposits of cobalt crusts in the Area with exclusive rights, the analysis of such deposits, the use and testing of recovery systems and equipment, processing facilities and transportation systems and the carrying out of studies of the environmental, technical, economic, commercial and other appropriate factors that must be taken into account in exploitation;\n\n(d) “Marine environment” includes the physical, chemical, geological and biological components, conditions and factors which interact and determine the productivity, state, condition and quality of the marine ecosystem, the waters of the seas and oceans and the airspace above those waters, as well as the seabed and ocean floor and subsoil thereof;\n\n(e) “Prospecting” means the search for deposits of cobalt crusts in the Area, including estimation of the composition, sizes and distributions of deposits of cobalt crusts and their economic values, without any exclusive rights;\n\n(f) “Serious harm to the marine environment” means any effect from activities in the Area on the marine environment which represents a significant adverse change in the marine environment determined according to the rules, regulations and procedures adopted by the Authority on the basis of internationally recognized standards and practices.\n\n4. These Regulations shall not in any way affect the freedom of scientific research, pursuant to article 87 of the Convention, or the right to conduct marine scientific research in the Area pursuant to articles 143 and 256 of the Convention. Nothing in these Regulations shall be construed in such a way as to restrict the exercise by States of the freedom of the high seas as reflected in article 87 of the Convention.\n\n5. These Regulations may be supplemented by further rules, regulations and procedures, in particular on the protection and preservation of the marine environment. These Regulations shall be subject to the provisions of the Convention and the Agreement and other rules of international law not incompatible with the Convention.\n\nPart II. Prospecting\n\nRegulation 2. Prospecting\n\n1. Prospecting shall be conducted in accordance with the Convention and these Regulations and may commence only after the prospector has been informed by the Secretary-General that its notification has been recorded pursuant to regulation 4 (2).\n\n2. Prospectors and the Authority shall apply a precautionary approach, as reflected in principle 15 of the Rio Declaration on Environment and Development.1\n\n3. Prospecting shall not be undertaken if substantial evidence indicates the risk of serious harm to the marine environment.\n\n4. Prospecting shall not be undertaken in an area covered by an approval plan of work for exploration for cobalt crusts or in a reserved area; nor may there be prospecting in an area which the International Seabed Authority Council has disapproved for exploitation because of the risk of serious harm to the marine environment. 1 Report of the United Nations Conference on Environment and Development, Rio de Janeiro, 3-14 June 1992 (United Nations publication, Sales No. E.93.I.8 and corrigendum), vol. I, Resolutions adopted by the Conference, resolution 1, annex I. 4 12-57345\n\n5. Prospecting shall not confer on the prospector any rights with respect to resources. A prospector may, however, recover a reasonable quantity of minerals, being the quantity necessary for testing and not for commercial use.\n\n6. There shall be no time limit on prospecting except that prospecting in a particular area shall cease upon written notification to the prospector by the Secretary-General that a plan of work for exploration has been approved with regard to that area.\n\n7. Prospecting may be conducted simultaneously by more than one prospector in the same area or areas.\n\nRegulation 3. Notification of prospecting\n\n1. A proposed prospector shall notify the Authority of its intention to engage in prospecting.\n\n2. Each notification of prospecting shall be in the form prescribed in annex I to these Regulations, shall be addressed to the Secretary-General and shall conform to the requirements of these Regulations.\n\n3. Each notification shall be submitted:\n\n(a) In the case of a State, by the authority designated for that purpose by it;\n\n(b) In the case of an entity, by its designated representative;\n\n(c) In the case of the Enterprise, by its competent authority.\n\n4. Each notification shall be in one of the languages of the Authority and shall contain:\n\n(a) The name, nationality and address of the proposed prospector and its designated representative;\n\n(b) The coordinates of the broad area or areas within which prospecting is to be conducted, in accordance with the most recent generally accepted international standard used by the Authority;\n\n(c) A general description of the prospecting programme, including the proposed date of commencement and its approximate duration;\n\n(d) A satisfactory written undertaking that the proposed prospector will:\n\n(i) Comply with the Convention and the relevant rules, regulations and procedures of the Authority concerning: a. Cooperation in the training programmes in connection with marine scientific research and transfer of technology referred to in articles 143 and 144 of the Convention; and b. Protection and preservation of the marine environment;\n\n(ii) Accept verification by the Authority of compliance therewith; and\n\n(iii) Make available to the Authority, as far as practicable, such data as may be relevant to the protection and preservation of the marine environment.\n\nRegulation 4. Consideration of notifications\n\n1. The Secretary-General shall acknowledge in writing receipt of each notification submitted under regulation 3, specifying the date of receipt.\n\n2. The Secretary-General shall review and act on the notification within 45 days of its receipt. If the notification conforms with the requirements of the Convention and these Regulations, the Secretary-General shall record the particulars of the notification in a register maintained for that purpose and shall inform the prospector in writing that the notification has been so recorded.\n\n3. The Secretary-General shall, within 45 days of receipt of the notification, inform the proposed prospector in writing if the notification includes any part of an area included in an approved plan of work for exploration or exploitation of any category of resources, or any part of a reserved area, or any part of an area which has been disapproved by the Council for exploitation because of the risk of serious harm to the marine environment, or if the written undertaking is not satisfactory, and shall provide the proposed prospector with a written statement of reasons. In such cases, the proposed prospector may, within 90 days, submit an amended notification. The Secretary-General shall, within 45 days, review and act upon such amended notification.\n\n4. A prospector shall inform the Secretary-General in writing of any change in the information contained in the notification.\n\n5. The Secretary-General shall not release any particulars contained in the notification except with the written consent of the prospector. The Secretary\u0002General shall, however, from time to time inform all members of the Authority of the identity of prospectors and the general areas in which prospecting is being conducted.\n\nRegulation 5. Protection and preservation of the marine environment during prospecting\n\n1. Each prospector shall take necessary measures to prevent, reduce and control pollution and other hazards to the marine environment arising from prospecting as far as reasonably possible, applying a precautionary approach and best environmental practices. In particular, each prospector shall minimize or eliminate:\n\n(a) Adverse environmental impacts from prospecting; and\n\n(b) Actual or potential conflicts or interference with existing or planned marine scientific research activities, in accordance with the relevant future guidelines in this regard.\n\n2. Prospectors shall cooperate with the Authority in the establishment and implementation of programmes for monitoring and evaluating the potential impacts of the exploration for and exploitation of cobalt crusts on the marine environment.\n\n3. A prospector shall immediately notify the Secretary-General in writing, using the most effective means, of any incident arising from prospecting which has caused, is causing or poses a threat of serious harm to the marine environment. Upon receipt of such notification the Secretary-General shall act in a manner consistent with regulation 35. 6 12-57345\n\nRegulation 6. Annual report\n\n1. A prospector shall, within 90 days of the end of each calendar year, submit a report to the Authority on the status of prospecting. Such reports shall be submitted by the Secretary-General to the Legal and Technical Commission. Each such report shall contain:\n\n(a) A general description of the status of prospecting and of the results obtained;\n\n(b) Information on compliance with the undertakings referred to in\n\nregulation 3 (4) (d); and\n\n(c) Information on adherence to the relevant guidelines in this regard.\n\n2. If the prospector intends to claim expenditures for prospecting as part of the development costs incurred prior to the commencement of commercial production, the prospector shall submit an annual statement, in conformity with internationally accepted accounting principles and certified by a duly qualified firm of public accountants, of the actual and direct expenditures incurred by the prospector in carrying out prospecting.\n\nRegulation 7. Confidentiality of data and information from prospecting contained in the annual report\n\n1. The Secretary-General shall ensure the confidentiality of all data and information contained in the reports submitted under regulation 6 applying mutatis mutandis the provisions of regulations 38 and 39, provided that data and information relating to the protection and preservation of the marine environment, in particular those from environmental monitoring programmes, shall not be considered confidential. The prospector may request that such data not be disclosed for up to three years following the date of their submission.\n\n2. The Secretary-General may, at any time, with the consent of the prospector concerned, release data and information relating to prospecting in an area in respect of which a notification has been submitted. If, after having made reasonable efforts for at least two years, the Secretary-General determines that the prospector no longer exists or cannot be located, the Secretary-General may release such data and information.\n\nRegulation 8. Objects of an archaeological or historical nature A prospector shall immediately notify the Secretary-General in writing of any finding in the Area of an object of actual or potential archaeological or historical nature and its location. The Secretary-General shall transmit such information to the Director-General of the United Nations Educational, Scientific and Cultural Organization.\n\nPart III. Applications for approval of plans of work for exploration in the form of contracts\n\nSection 1. General provisions\n\nRegulation 9. General Subject to the provisions of the Convention, the following may apply to the Authority for approval of plans of work for exploration:\n\n(a) The Enterprise, on its own behalf or in a joint arrangement;\n\n(b) States parties, State enterprises or natural or juridical persons which possess the nationality of States or are effectively controlled by them or their nationals, when sponsored by such States, or any group of the foregoing which meets the requirements of these Regulations.\n\nSection 2. Content of applications\n\nRegulation 10. Form of applications\n\n1. Each application for approval of a plan of work for exploration shall be in the form prescribed in annex II to these Regulations, shall be addressed to the Secretary-General and shall conform to the requirements of these Regulations.\n\n2. Each application shall be submitted:\n\n(a) In the case of a State, by the authority designated for that purpose by it;\n\n(b) In the case of an entity, by its designated representative or the authority designated for that purpose by the sponsoring State or States; and\n\n(c) In the case of the Enterprise, by its competent authority.\n\n3. Each application by a State enterprise or one of the entities referred to in\n\nregulation 9 (b) shall also contain:\n\n(a) Sufficient information to determine the nationality of the applicant or the identity of the State or States by which, or by whose nationals, the applicant is effectively controlled; and\n\n(b) The principal place of business or domicile and, if applicable, place of registration of the applicant.\n\n4. Each application submitted by a partnership or consortium of entities shall contain the required information in respect of each member of the partnership or consortium. 8 12-57345\n\nRegulation 11. Certificate of sponsorship\n\n1. Each application by a State enterprise or one of the entities referred to in\n\nregulation 9 (b) shall be accompanied by a certificate of sponsorship issued by the State of which it is a national or by which or by whose nationals it is effectively controlled. If the applicant has more than one nationality, as in the case of a partnership or consortium of entities from more than one State, each State involved shall issue a certificate of sponsorship.\n\n2. Where the applicant has the nationality of one State but is effectively controlled by another State or its nationals, each State involved shall issue a certificate of sponsorship.\n\n3. Each certificate of sponsorship shall be duly signed on behalf of the State by which it is submitted, and shall contain:\n\n(a) The name of the applicant;\n\n(b) The name of the sponsoring State;\n\n(c) A statement that the applicant is:\n\n(i) A national of the sponsoring State; or\n\n(ii) Subject to the effective control of the sponsoring State or its nationals;\n\n(d) A statement by the sponsoring State that it sponsors the applicant;\n\n(e) The date of deposit by the sponsoring State of its instrument of ratification of, or accession or succession to, the Convention;\n\n(f) A declaration that the sponsoring State assumes responsibility in accordance with articles 139 and 153 (4) of the Convention and article 4 (4) of\n\nannex III to the Convention.\n\n4. States or entities in a joint arrangement with the Enterprise shall also comply with this regulation.\n\nRegulation 12. Total area covered by the application\n\n1. For the purposes of these Regulations, a “cobalt crust block” is one or more cells of a grid as provided by the Authority, which may be square or rectangular in shape and no greater than 20 square kilometres in size.\n\n2. The area covered by each application for approval of a plan of work for exploration for cobalt crusts shall be comprised of not more than 150 cobalt crust blocks, which shall be arranged by the applicant in clusters, as set out in paragraph 3 below.\n\n3. Five contiguous cobalt crust blocks form a cluster of cobalt crust blocks. Two such blocks that touch at any point shall be considered to be contiguous. Clusters of cobalt crust blocks need not be contiguous but shall be proximate and located entirely within a geographical area measuring not more than 550 kilometres by 550 kilometres.\n\n4. Notwithstanding the provisions in paragraph 2 above, where an applicant has elected to contribute a reserved area to carry out activities pursuant to article 9 of\n\nannex III to the Convention, in accordance with regulation 17, the total area covered by an application shall not exceed 300 cobalt crust blocks. Such blocks shall be arranged in two groups of equal estimated commercial value and each such group of cobalt crust blocks shall be arranged by the applicant in clusters, as set out in paragraph 3 above.\n\nRegulation 13. Financial and technical capabilities\n\n1. Each application for approval of a plan of work for exploration shall contain specific and sufficient information to enable the Council to determine whether the applicant is financially and technically capable of carrying out the proposed plan of work for exploration and of fulfilling its financial obligations to the Authority.\n\n2. An application for approval of a plan of work for exploration by the Enterprise shall include a statement by its competent authority certifying that the Enterprise has the necessary financial resources to meet the estimated costs of the proposed plan of work for exploration.\n\n3. An application for approval of a plan of work for exploration by a State or a State enterprise shall include a statement by the State or the sponsoring State certifying that the applicant has the necessary financial resources to meet the estimated costs of the proposed plan of work for exploration.\n\n4. An application for approval of a plan of work for exploration by an entity shall include copies of its audited financial statements, including balance sheets and profit-and-loss statements, for the most recent three years, in conformity with internationally accepted accounting principles and certified by a duly qualified firm of public accountants.\n\n5. If the applicant is a newly organized entity and a certified balance sheet is not available, the application shall include a pro forma balance sheet certified by an appropriate official of the applicant.\n\n6. If the applicant is a subsidiary of another entity, the application shall include copies of such financial statements of that entity and a statement from that entity, in conformity with internationally accepted accounting principles and certified by a duly qualified firm of public accountants, that the applicant will have the financial resources to carry out the plan of work for exploration.\n\n7. If the applicant is controlled by a State or a State enterprise, the application shall include a statement from the State or State enterprise certifying that the applicant will have the financial resources to carry out the plan of work for exploration.\n\n8. Where an applicant seeking approval of a plan of work for exploration intends to finance the proposed plan of work for exploration by borrowings, its application shall include the amount of such borrowings, the repayment period and the interest rate.\n\n9. Each application shall include:\n\n(a) A general description of the applicant’s previous experience, knowledge, skills, technical qualifications and expertise relevant to the proposed plan of work for exploration; 10 12-57345\n\n(b) A general description of the equipment and methods expected to be used in carrying out the proposed plan of work for exploration and other relevant non-proprietary information about the characteristics of such technology;\n\n(c) A general description of the applicant’s financial and technical capability to respond to any incident or activity which causes serious harm to the marine environment.\n\n10. Where the applicant is a partnership or consortium of entities in a joint arrangement, each member of the partnership or consortium shall provide the information required by this regulation.\n\nRegulation 14. Previous contracts with the Authority Where the applicant or, in the case of an application by a partnership or consortium of entities in a joint arrangement, any member of the partnership or consortium, has previously been awarded any contract with the Authority, the application shall include:\n\n(a) The date of the previous contract or contracts;\n\n(b) The dates, reference numbers and titles of each report submitted to the Authority in connection with the contract or contracts; and\n\n(c) The date of termination of the contract or contracts, if applicable.\n\nRegulation 15. Undertakings Each applicant, including the Enterprise, shall, as part of its application for approval of a plan of work for exploration, provide a written undertaking to the Authority that it will:\n\n(a) Accept as enforceable and comply with the applicable obligations created by the provisions of the Convention and the rules, regulations and procedures of the Authority, the decisions of the organs of the Authority and the terms of its contracts with the Authority;\n\n(b) Accept control by the Authority of activities in the Area, as authorized by the Convention; and\n\n(c) Provide the Authority with a written assurance that its obligations under the contract will be fulfilled in good faith.\n\nRegulation 16. Applicant’s election of a reserved area contribution or equity interest in a joint venture arrangement Each applicant shall, in the application, elect either to:\n\n(a) Contribute a reserved area to carry out activities pursuant to article 9 of\n\nannex III to the Convention, in accordance with regulation 17; or\n\n(b) Offer an equity interest in a joint venture arrangement in accordance with\n\nregulation 19.\n\nRegulation 17. Data and information to be submitted before the designation of a reserved area\n\n1. Where the applicant elects to contribute a reserved area to carry out activities pursuant to article 9 of annex III to the Convention, the area covered by the application shall be sufficiently large and of sufficient estimated commercial value to allow two mining operations and shall be configured by the applicant in accordance with regulation 12 (4).\n\n2. Each such application shall contain sufficient data and information, as prescribed in section II of annex II to these Regulations, with respect to the area under application to enable the Council, on the recommendation of the Legal and Technical Commission, to designate a reserved area based on the estimated commercial value of each part. Such data and information shall consist of data available to the applicant with respect to both parts of the area under application, including the data used to determine their commercial value.\n\n3. The Council, on the basis of the data and information submitted by the applicant pursuant to section II of annex II to these Regulations, if found satisfactory and taking into account the recommendation of the Legal and Technical Commission, shall designate the part of the area under application which is to be a reserved area. The area so designated shall become a reserved area as soon as the plan of work for exploration for the non-reserved area is approved and the contract is signed. If the Council determines that additional information, consistent with these Regulations and annex II, is needed to designate the reserved area, it shall refer the matter back to the Commission for further consideration, specifying the additional information required.\n\n4. Once the plan of work for exploration is approved and a contract has been issued, the data and information transferred to the Authority by the applicant in respect of the reserved area may be disclosed by the Authority in accordance with article 14 (3) of annex III to the Convention.\n\nRegulation 18. Applications for approval of plans of work with respect to a reserved area\n\n1. Any State which is a developing State or any natural or juridical person sponsored by it and effectively controlled by it or by any other developing State, or any group of the foregoing, may notify the Authority that it wishes to submit a plan of work for exploration with respect to a reserved area. The Secretary-General shall forward such notification to the Enterprise, which shall inform the Secretary\u0002General in writing within six months whether or not it intends to carry out activities in that area. If the Enterprise intends to carry out activities in that area, it shall, pursuant to paragraph 4, also inform in writing the contractor whose application for approval of a plan of work for exploration originally included that area.\n\n2. An application for approval of a plan of work for exploration in respect of a reserved area may be submitted at any time after such an area becomes available following a decision by the Enterprise that it does not intend to carry out activities in that area or where the Enterprise has not, within six months of the notification by the Secretary-General, either taken a decision on whether it intends to carry out activities in that area or notified the Secretary-General in writing that it is engaged in discussions regarding a potential joint venture. In the latter instance, the 12 12-57345 Enterprise shall have one year from the date of such notification in which to decide whether to conduct activities in that area.\n\n3. If the Enterprise or a developing State or one of the entities referred to in paragraph 1 does not submit an application for approval of a plan of work for exploration for activities in a reserved area within 15 years of the commencement by the Enterprise 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 whose application for approval of a plan of work for exploration originally included that area shall be entitled to apply for a plan of work for exploration for that area provided it offers in good faith to include the Enterprise as a joint-venture partner.\n\n4. A contractor has the right of first refusal to enter into a joint venture arrangement with the Enterprise for exploration of the area which was included in its application for approval of a plan of work for exploration and which was designated by the Council as a reserved area.\n\nRegulation 19. Equity interest in a joint venture arrangement\n\n1. Where the applicant elects to offer an equity interest in a joint venture arrangement, it shall submit data and information in accordance with regulation 20. The area to be allocated to the applicant shall be subject to the provisions of\n\nregulation 27.\n\n2. The joint venture arrangement, which shall take effect at the time the applicant enters into a contract for exploitation, shall include the following:\n\n(a) The Enterprise shall obtain a minimum of 20 per cent of the equity participation in the joint venture arrangement on the following basis:\n\n(i) Half of such equity participation shall be obtained without payment, directly or indirectly, to the applicant and shall be treated pari passu for all purposes with the equity participation of the applicant;\n\n(ii) The remainder of such equity participation shall be treated pari passu for all purposes with the equity participation of the applicant except that the Enterprise shall not receive any profit distribution with respect to such participation until the applicant has recovered its total equity participation in the joint venture arrangement;\n\n(b) Notwithstanding subparagraph (a), the applicant shall nevertheless offer the Enterprise the opportunity to purchase a further 30 per cent of the equity participation in the joint venture arrangement, or such lesser percentage as the Enterprise may elect to purchase, on the basis of pari passu treatment with the applicant for all purposes;2\n\n(c) Except as specifically provided in the agreement between the applicant and the Enterprise, the Enterprise shall not by reason of its equity participation be otherwise obligated to provide funds or credits or issue guarantees or otherwise accept any financial liability whatsoever for or on behalf of the joint venture 2 The terms and conditions upon which such equity participation may be obtained would need to be further elaborated. arrangement, nor shall the Enterprise be required to subscribe for additional equity participation so as to maintain its proportionate participation in the joint venture arrangement.\n\nRegulation 20. Data and information to be submitted for approval of the plan of work for exploration\n\n1. Each applicant shall submit, with a view to receiving approval of the plan of work for exploration in the form of a contract, the following information:\n\n(a) A general description and a schedule of the proposed exploration programme, including the programme of activities for the immediate five-year period, such as studies to be undertaken in respect of the environmental, technical, economic and other appropriate factors that must be taken into account in exploration;\n\n(b) A description of the programme for oceanographic and environmental baseline studies in accordance with these Regulations and any environmental rules, regulations and procedures established by the Authority that would enable an assessment of the potential environmental impact, including, but not restricted to, the impact on biodiversity, of the proposed exploration activities, taking into account any recommendations issued by the Legal and Technical Commission;\n\n(c) A preliminary assessment of the possible impact of the proposed exploration activities on the marine environment;\n\n(d) A description of proposed measures for the prevention, reduction and control of pollution and other hazards, as well as possible impacts, to the marine environment;\n\n(e) Data necessary for the Council to make the determination it is required to make in accordance with regulation 13 (1); and\n\n(f) A schedule of anticipated yearly expenditures in respect of the programme of activities for the immediate five-year period.\n\n2. Where the applicant elects to contribute a reserved area, the data and information relating to such area shall be transferred by the applicant to the Authority after the Council has designated the reserved area in accordance with\n\nregulation 17 (3).\n\n3. Where the applicant elects to offer an equity interest in a joint venture arrangement, the data and information relating to such area shall be transferred by the applicant to the Authority at the time of the election.\n\nSection 3. Fees\n\nRegulation 21. Fee for applications\n\n1. The fee for processing an application for approval of a plan for exploration of cobalt crusts shall be a fixed amount of 500,000 United States dollars or its 14 12-57345 equivalent in a freely convertible currency, to be paid in full at the time of the submission of an application.\n\n2. If the administrative costs incurred by the Authority in processing an application are less than the fixed amount indicated in paragraph 1 above, the Authority shall refund the difference to the applicant. If the administrative costs incurred by the Authority in processing an application are more than the fixed amount indicated in paragraph 1 above, the applicant shall pay the difference to the Authority, provided that any additional amount to be paid by applicant shall not exceed 10 per cent of the fixed fee referred to in paragraph 1.\n\n3. Taking into account any criteria established for this purpose by the Finance Committee, the Secretary-General shall determine the amount of such differences as indicated in paragraph 2 above, and notify the applicant of its amount. The notification shall include a statement of the expenditure incurred by the Authority. The amount due shall be paid by the applicant or reimbursed by the Authority within three months of the signing of the Contract referred to in Regulation 25 below.\n\n4. The fixed amount referred to in paragraph 1 above shall be reviewed on a regular basis by the Council in order to ensure that it covers the expected administrative costs of processing applications and to avoid the need for applicants to pay additional amounts in accordance with paragraph 2 above.\n\nSection 4. Processing of applications\n\nRegulation 22. Receipt, acknowledgement and safe custody of applications The Secretary-General shall:\n\n(a) Acknowledge in writing within 30 days receipt of every application for approval of a plan of work for exploration submitted under this Part, specifying the date of receipt;\n\n(b) Place the application together with the attachments and annexes thereto in safe custody and ensure the confidentiality of all confidential data and information contained in the application; and\n\n(c) Notify the members of the Authority of receipt of such application and circulate to them information of a general nature which is not confidential regarding the application.\n\nRegulation 23. Consideration by the Legal and Technical Commission\n\n1. Upon receipt of an application for approval of a plan of work for exploration, the Secretary-General shall notify the members of the Legal and Technical Commission and place consideration of the application as an item on the agenda for the next meeting of the Commission. The Commission shall only consider applications in respect of which notification and information has been circulated by the Secretary-General in accordance with regulation 22 (c) at least 30 days prior to the commencement of the meeting of the Commission at which they are to be considered.\n\n2. The Commission shall examine applications in the order in which they are received.\n\n3. The Commission shall determine if the applicant:\n\n(a) Has complied with the provisions of these Regulations;\n\n(b) Has given the undertakings and assurances specified in regulation 15;\n\n(c) Possesses the financial and technical capability to carry out the proposed plan of work for exploration and has provided details as to its ability to comply promptly with emergency orders; and\n\n(d) Has satisfactorily discharged its obligations in relation to any previous contract with the Authority.\n\n4. The Commission shall, in accordance with the requirements set forth in these Regulations and its procedures, determine whether the proposed plan of work for exploration will:\n\n(a) Provide for effective protection of human health and safety;\n\n(b) Provide for effective protection and preservation of the marine environment, including, but not restricted to, the impact on biodiversity;\n\n(c) Ensure that installations are not established where interference may be caused to the use of recognized sea lanes essential to international navigation or in areas of intense fishing activity.\n\n5. If the Commission makes the determinations specified in paragraph 3 and determines that the proposed plan of work for exploration meets the requirements of paragraph 4, the Commission shall recommend approval of the plan of work for exploration to the Council.\n\n6. The Commission shall not recommend approval of the plan of work for exploration if part or all of the area covered by the proposed plan of work for exploration is included in:\n\n(a) A plan of work for exploration approved by the Council for cobalt crusts; or\n\n(b) A plan of work approved by the Council for exploration for or exploitation of other resources if the proposed plan of work for exploration for cobalt crusts might cause undue interference with activities under such approved plan of work for other resources; or\n\n(c) An area disapproved for exploitation by the Council in cases where substantial evidence indicates the risk of serious harm to the marine environment.\n\n7. The Commission may recommend the approval of a plan of work if it determines that such approval would not permit a State party or entities sponsored by it to monopolize the conduct of activities in the Area with regard to cobalt crusts or to preclude other States parties from activities in the Area with regard to cobalt crusts.\n\n8. Except in the case of applications by the Enterprise, on its own behalf or in a joint venture, and applications under regulation 18, the Commission shall not recommend approval of the plan of work for exploration if part or all of the area 16 12-57345 covered by the proposed plan of work for exploration is included in a reserved area or an area designated by the Council to be a reserved area.\n\n9. If the Commission finds that an application does not comply with these Regulations, it shall notify the applicant in writing, through the Secretary-General, indicating the reasons. The applicant may, within 45 days of such notification, amend its application. If the Commission after further consideration is of the view that it should not recommend approval of the plan of work for exploration, it shall so inform the applicant and provide the applicant with a further opportunity to make representations within 30 days of such information. The Commission shall consider any such representations made by the applicant in preparing its report and recommendation to the Council.\n\n10. In considering a proposed plan of work for exploration, the Commission shall have regard to the principles, policies and objectives relating to activities in the Area as provided for in part XI and annex III of the Convention and the Agreement.\n\n11. The Commission shall consider applications expeditiously and shall submit its report and recommendations to the Council on the designation of the areas and on the plan of work for exploration at the first possible opportunity, taking into account the schedule of meetings of the Authority.\n\n12. In discharging its duties, the Commission shall apply these Regulations and the rules, regulations and procedures of the Authority in a uniform and non discriminatory manner.\n\nRegulation 24. Consideration and approval of plans of work for exploration by the Council The Council shall consider the reports and recommendations of the Legal and Technical Commission relating to approval of plans of work for exploration in accordance with paragraphs 11 and 12 of section 3 of the annex to the Agreement.\n\nPart IV. Contracts for exploration\n\nRegulation 25. The contract\n\n1. After a plan of work for exploration has been approved by the Council, it shall be prepared in the form of a contract between the Authority and the applicant as prescribed in annex III to these Regulations. Each contract shall incorporate the standard clauses set out in annex IV in effect at the date of entry into force of the contract.\n\n2. The contract shall be signed by the Secretary-General on behalf of the Authority and by the applicant. The Secretary-General shall notify all members of the Authority in writing of the conclusion of each contract.\n\nRegulation 26. Rights of the contractor\n\n1. The contractor shall have the exclusive right to explore an area covered by a plan of work for exploration in respect of cobalt crusts. The Authority shall ensure that no other entity operates in the same area for other resources in a manner that might interfere with the operations of the contractor.\n\n2. A contractor who has an approved plan of work for exploration only shall have a preference and a priority among applicants submitting plans of work for exploitation of the same area and resources. Such preference or priority may be withdrawn by the Council if the contractor has failed to comply with the requirements of its approved plan of work for exploration within the time period specified in a written notice or notices from the Council to the contractor indicating which requirements have not been complied with by the contractor. The time period specified in any such notice shall not be unreasonable. The contractor shall be accorded a reasonable opportunity to be heard before the withdrawal of such preference or priority becomes final. The Council shall provide the reasons for its proposed withdrawal of preference or priority and shall consider any contractor’s response. The decision of the Council shall take account of that response and shall be based on substantial evidence.\n\n3. A withdrawal of preference or priority shall not become effective until the contractor has been accorded a reasonable opportunity to exhaust the judicial remedies available to it pursuant to part XI, section 5, of the Convention.\n\nRegulation 27. Size of area and relinquishment\n\n1. The contractor shall relinquish the area allocated to it in accordance with paragraph 1 of this regulation. Areas to be relinquished need not be contiguous and shall be defined by the contractor in the form of sub-blocks comprising one or more cells of a grid as provided by the Authority. By the end of the eighth year from the date of the contract, the contractor shall have relinquished at least one third of the original area allocated to it; by the end of the tenth year from the date of the contract, the contractor shall have relinquished at least two thirds of the original area allocated to it; or, at the end of the fifteenth year from the date of the contract, or when the contractor applies for exploitation rights, whichever is the earlier, the contractor shall nominate an area from the remaining area allocated to it to be retained for exploitation.\n\n2. Notwithstanding the provisions in paragraph 1, a contractor shall not be required to relinquish any additional part of such area when the remaining area allocated to it after relinquishment does not exceed 1,000 square kilometres.\n\n3. The contractor may at any time relinquish parts of the area allocated to it in advance of the schedule set out in paragraph 1.\n\n4. Relinquished areas shall revert to the Area.\n\n5. The Council may, at the request of the contractor, and on the recommendation of the Commission, in exceptional circumstances, defer the schedule of relinquishment. Such exceptional circumstances shall be determined by the Council and shall include, inter alia, consideration of prevailing economic circumstances or 18 12-57345 other unforeseen exceptional circumstances arising in connection with the operational activities of the contractor.\n\nRegulation 28. Duration of contracts\n\n1. A plan of work for exploration shall be approved for a period of 15 years. Upon 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, has obtained an extension for the plan of work for exploration or decides to renounce its rights in the area covered by the plan of work for exploration.\n\n2. Not later than six months before the expiration of a plan of work for exploration, a contractor may apply for extensions for the plan of work for exploration for periods of not more than five years each. Such extensions shall be approved by the Council, on the recommendation of the Commission, 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.\n\nRegulation 29. Training Pursuant to article 15 of annex III to the Convention, each contract shall include as a schedule a practical programme for the training of personnel of the Authority and developing States and drawn up by the contractor in cooperation with the Authority and the sponsoring State or States. Training programmes shall focus on training in the conduct of exploration, and shall provide for full participation by such personnel in all activities covered by the contract. Such training programmes may be revised and developed from time to time as necessary by mutual agreement.\n\nRegulation 30. Periodic review of the implementation of the plan of work for exploration\n\n1. The contractor and the Secretary-General shall jointly undertake a periodic review of the implementation of the plan of work for exploration at intervals of five years. The Secretary-General may request the contractor to submit such additional data and information as may be necessary for the purposes of the review.\n\n2. In the light of the review, the contractor shall indicate its programme of activities for the following five-year period, making such adjustments to its previous programme of activities as are necessary.\n\n3. The Secretary-General shall report on the review to the Commission and to the Council. The Secretary-General shall indicate in the report whether any observations transmitted to him by States parties to the Convention concerning the manner in which the contractor has discharged its obligations under these Regulations relating to the protection and preservation of the marine environment were taken into account in the review.\n\nRegulation 31. Termination of sponsorship\n\n1. Each contractor shall have the required sponsorship throughout the period of the contract.\n\n2. If a State terminates its sponsorship it shall promptly notify the Secretary\u0002General in writing. The sponsoring State should also inform the Secretary-General of the reasons for terminating its sponsorship. Termination of sponsorship shall take effect six months after the date of receipt of the notification by the Secretary\u0002General, unless the notification specifies a later date.\n\n3. In the event of termination of sponsorship the contractor shall, within the period referred to in paragraph 2, obtain another sponsor. Such sponsor shall submit a certificate of sponsorship in accordance with regulation 11. Failure to obtain a sponsor within the required period shall result in the termination of the contract.\n\n4. A sponsoring State shall not be discharged by reason of the termination of its sponsorship from any obligations accrued while it was a sponsoring State, nor shall such termination affect any legal rights and obligations created during such sponsorship.\n\n5. The Secretary-General shall notify the members of the Authority of the termination or change of sponsorship.\n\nRegulation 32. Responsibility and liability Responsibility and liability of the contractor and of the Authority shall be in accordance with the Convention. The contractor shall continue to have responsibility for any damage arising out of wrongful acts in the conduct of its operations, in particular damage to the marine environment, after the completion of the exploration phase.\n\nPart V. Protection and preservation of the marine environment\n\nRegulation 33. Protection and preservation of the marine environment\n\n1. The Authority shall, in accordance with the Convention and the Agreement, establish and keep under periodic review environmental rules, regulations and procedures to ensure effective protection for the marine environment from harmful effects which may arise from activities in the Area.\n\n2. In order to ensure effective protection for the marine environment from harmful effects which may arise from activities in the Area, the Authority and sponsoring States shall apply a precautionary approach, as reflected in principle 15 of the Rio Declaration, and best environmental practices.\n\n3. The Legal and Technical Commission shall make recommendations to the Council on the implementation of paragraphs 1 and 2 above.\n\n4. The Commission shall develop and implement procedures for determining, on the basis of the best available scientific and technical information, including 20 12-57345 information provided pursuant to regulation 20, whether proposed exploration activities in the Area would have serious harmful effects on vulnerable marine ecosystems, in particular those associated with seamounts and cold water corals, and ensure that, if it is determined that certain proposed exploration activities would have serious harmful effects on vulnerable marine ecosystems, those activities are managed to prevent such effects or not authorized to proceed.\n\n5. Pursuant to article 145 of the Convention and paragraph 2 of this regulation, each contractor shall take necessary measures to prevent, reduce and control pollution and other hazards to the marine environment arising from its activities in the Area as far as reasonably possible, applying a precautionary approach and best environmental practices.\n\n6. Contractors, sponsoring States and other interested States or entities shall cooperate with the Authority in the establishment and implementation of programmes for monitoring and evaluating the impacts of deep seabed mining on the marine environment. When required by the Council, such programmes shall include proposals for areas to be set aside and used exclusively as impact reference zones and preservation reference zones. “Impact reference zones” means areas to be used for assessing the effect of activities in the Area on the marine environment and which are representative of the environmental characteristics of the Area. “Preservation reference zones” means areas in which no mining shall occur to ensure representative and stable biota of the seabed in order to assess any changes in the biodiversity of the marine environment.\n\nRegulation 34. Environmental baselines and monitoring\n\n1. Each contract shall require the contractor to gather environmental baseline data and to establish environmental baselines, taking into account any recommendations issued by the Legal and Technical Commission pursuant to\n\nregulation 41, against which to assess the likely effects of its programme of activities under the plan of work for exploration on the marine environment and a programme to monitor and report on such effects. The recommendations issued by the Commission may, inter alia, list those exploration activities which may be considered to have no potential for causing harmful effects on the marine environment. The contractor shall cooperate with the Authority and the sponsoring State or States in the establishment and implementation of such monitoring programme.\n\n2. The contractor shall report annually in writing to the Secretary-General on the implementation and results of the monitoring programme referred to in paragraph 1 and shall submit data and information, taking into account any recommendations issued by the Commission pursuant to regulation 41. The Secretary-General shall transmit such reports to the Commission for its consideration pursuant to article 165 of the Convention.\n\nRegulation 35. Emergency orders\n\n1. A contractor shall promptly report to the Secretary-General in writing, using the most effective means, any incident arising from activities which have caused, are causing or pose a threat of serious harm to the marine environment.\n\n2. When the Secretary-General has been notified by a contractor or otherwise becomes aware of an incident resulting from or caused by a contractor’s activities in the Area that has caused, is causing or poses a threat of serious harm to the marine environment, the Secretary-General shall cause a general notification of the incident to be issued, shall notify in writing the contractor and the sponsoring State or States, and shall report immediately to the Legal and Technical Commission, to the Council and to all other members of the Authority. A copy of the report shall be circulated to competent international organizations and to concerned subregional, regional and global organizations and bodies. The Secretary-General shall monitor developments with respect to all such incidents and shall report on them as appropriate to the Commission, the Council and all other members of the Authority.\n\n3. Pending any action by the Council, the Secretary-General shall take such immediate measures of a temporary nature as are practical and reasonable in the circumstances to prevent, contain and minimize serious harm or the threat of serious harm to the marine environment. Such temporary measures shall remain in effect for no longer than 90 days, or until the Council decides at its next regular session or a special session, what measures, if any, to take pursuant to paragraph 6 of this regulation.\n\n4. After having received the report of the Secretary-General, the Commission shall determine, based on the evidence provided to it and taking into account the measures already taken by the contractor, which measures are necessary to respond effectively to the incident in order to prevent, contain and minimize serious harm or the threat of serious harm to the marine environment, and shall make its recommendations to the Council.\n\n5. The Council shall consider the recommendations of the Commission.\n\n6. The Council, taking into account the recommendations of the Commission, the report of the Secretary-General, any information provided by the contractor and any other relevant information, may issue emergency orders, which may include orders for the suspension or adjustment of operations, as may be reasonably necessary to prevent, contain and minimize serious harm or the threat of serious harm to the marine environment arising out of activities in the Area.\n\n7. If a contractor does not promptly comply with an emergency order to prevent, contain and minimize serious harm or the threat of serious harm to the marine environment arising out of its activities in the Area, the Council shall take by itself or through arrangements with others on its behalf, such practical measures as are necessary to prevent, contain and minimize any such serious harm or threat of serious harm to the marine environment.\n\n8. In order to enable the Council, when necessary, to take immediately the practical measures to prevent, contain and minimize the serious harm or threat of serious harm to the marine environment referred to in paragraph 7, the contractor, prior to the commencement of testing of collecting systems and processing operations, will provide the Council with a guarantee of its financial and technical capability to comply promptly with emergency orders or to assure that the Council can take such emergency measures. If the contractor does not provide the Council with such a guarantee, the sponsoring State or States shall, in response to a request by the Secretary-General and pursuant to articles 139 and 235 of the Convention, take necessary measures to ensure that the contractor provides such a guarantee or 22 12-57345 shall take measures to ensure that assistance is provided to the Authority in the discharge of its responsibilities under paragraph 7.\n\nRegulation 36. Rights of coastal States\n\n1. Nothing in these Regulations shall affect the rights of coastal States in accordance with article 142 and other relevant provisions of the Convention.\n\n2. Any coastal State which has grounds for believing that any activity in the Area by a contractor is likely to cause serious harm or a threat of serious harm to the marine environment under its jurisdiction or sovereignty may notify the Secretary\u0002General in writing of the grounds upon which such belief is based. The Secretary\u0002General shall provide the Contractor and its sponsoring State or States with a reasonable opportunity to examine the evidence, if any, provided by the coastal State as the basis for its belief. The contractor and its sponsoring State or States may submit their observations thereon to the Secretary-General within a reasonable time.\n\n3. If there are clear grounds for believing that serious harm to the marine environment is likely to occur, the Secretary-General shall act in accordance with\n\nregulation 35 and, if necessary, shall take immediate measures of a temporary nature as provided for in regulation 35 (3).\n\n4. Contractors shall take all measures necessary to ensure that their activities are conducted so as not to cause serious harm to the marine environment, including, but not restricted to, pollution, under the jurisdiction or sovereignty of coastal States, and that such serious harm or pollution arising from incidents or activities in its exploration area does not spread beyond such area.\n\nRegulation 37. Human remains and objects and sites of an archaeological or historical nature The contractor shall immediately notify the Secretary-General in writing of any finding in the exploration area of any human remains of an archaeological or historical nature, or any object or site of a similar nature and its location, including the preservation and protection measures taken. The Secretary-General shall immediately transmit such information to the Director-General of the United Nations Educational, Scientific and Cultural Organization and any other competent international organization. Following the finding of any such human remains, object or site in the exploration area, and in order to avoid disturbing such human remains, object or site, no further prospecting or exploration shall take place, within a reasonable radius, until such time as the Council decides otherwise after taking account of the views of the Director-General of the United Nations Educational, Scientific and Cultural Organization or any other competent international organization.\n\nPart VI. Confidentiality\n\nRegulation 38. Confidentiality of data and information\n\n1. Data and information submitted or transferred to the Authority or to any person participating in any activity or programme of the Authority pursuant to these Regulations or a contract issued under these Regulations, and designated by the contractor, in consultation with the Secretary-General, as being of a confidential nature, shall be considered confidential unless it is data and information which:\n\n(a) Is generally known or publicly available from other sources;\n\n(b) Has been previously made available by the owner to others without an obligation concerning its confidentiality; or\n\n(c) Is already in the possession of the Authority with no obligation concerning its confidentiality.\n\n2. Data and information that is necessary for the formulation by the Authority of rules, regulations and procedures concerning protection and preservation of the marine environment and safety, other than proprietary equipment design data, shall not be deemed confidential.\n\n3. Confidential data and information may only be used by the Secretary-General and staff of the Secretariat, as authorized by the Secretary-General, and by the members of the Legal and Technical Commission as necessary for and relevant to the effective exercise of their powers and functions. The Secretary-General shall authorize access to such data and information only for limited use in connection with the functions and duties of the staff of the Secretariat and the functions and duties of the Legal and Technical Commission.\n\n4. Ten years after the date of submission of confidential data and information to the Authority or the expiration of the contract for exploration, whichever is the later, and every five years thereafter, the Secretary-General and the contractor shall review such data and information to determine whether they should remain confidential. Such data and information shall remain confidential if the contractor establishes that there would be a substantial risk of serious and unfair economic prejudice if the data and information were to be released. No such data and information shall be released until the contractor has been accorded a reasonable opportunity to exhaust the judicial remedies available to it pursuant to Part XI,\n\nsection 5, of the Convention.\n\n5. If, at any time following the expiration of the contract for exploration, the contractor enters into a contract for exploitation in respect of any part of the exploration area, confidential data and information relating to that part of the area shall remain confidential in accordance with the contract for exploitation.\n\n6. The contractor may at any time waive confidentiality of data and information. 24 12-57345\n\nRegulation 39. Procedures to ensure confidentiality\n\n1. The Secretary-General shall be responsible for maintaining the confidentiality of all confidential data and information and shall not, except with the prior written consent of the contractor, release such data and information to any person external to the Authority. To ensure the confidentiality of such data and information, the Secretary-General shall establish procedures, consistent with the provisions of the Convention, governing the handling of confidential information by members of the Secretariat, members of the Legal and Technical Commission and any other person participating in any activity or programme of the Authority. Such procedures shall include:\n\n(a) Maintenance of confidential data and information in secure facilities and development of security procedures to prevent unauthorized access to or removal of such data and information;\n\n(b) Development and maintenance of a classification, log and inventory system of all written data and information received, including its type and source and routing from the time of receipt until final disposition.\n\n2. A person who is authorized pursuant to these Regulations to have access to confidential data and information shall not disclose such data and information except as permitted under the Convention and these Regulations. The Secretary\u0002General shall require any person who is authorized to have access to confidential data and information to make a written declaration witnessed by the Secretary\u0002General or his or her authorized representative to the effect that the person so authorized:\n\n(a) Acknowledges his or her legal obligation under the Convention and these Regulations with respect to the non-disclosure of confidential data and information;\n\n(b) Agrees to comply with the applicable regulations and procedures established to ensure the confidentiality of such data and information.\n\n3. The Legal and Technical Commission shall protect the confidentiality of confidential data and information submitted to it pursuant to these Regulations or a contract issued under these Regulations. In accordance with the provisions of article 163 (8) of the Convention, members of the Commission shall not disclose, even after the termination of their functions, any industrial secret, proprietary data which are transferred to the Authority in accordance with article 14 of annex III to the Convention, or any other confidential information coming to their knowledge by reason of their duties for the Authority.\n\n4. The Secretary-General and staff of the Authority shall not disclose, even after the termination of their functions with the Authority, any industrial secret, proprietary data which are transferred to the Authority in accordance with article 14 of annex III to the Convention, or any other confidential information coming to their knowledge by reason of their employment with the Authority.\n\n5. Taking into account the responsibility and liability of the Authority pursuant to article 22 of annex III to the Convention, the Authority may take such action as may be appropriate against any person who, by reason of his or her duties for the Authority, has access to any confidential data and information and who is in breach of the obligations relating to confidentiality contained in the Convention and these Regulations.\n\nPart VII. General procedures\n\nRegulation 40. Notice and general procedures\n\n1. Any application, request, notice, report, consent, approval, waiver, direction or instruction hereunder shall be made by the Secretary-General or by the designated representative of the prospector, applicant or contractor, as the case may be, in writing. Service shall be by hand, or by telex, fax, registered airmail or e-mail containing an authorized electronic signature to the Secretary-General at the headquarters of the Authority or to the designated representative.\n\n2. Delivery by hand shall be effective when made. Delivery by telex shall be deemed to be effective on the business day following the day when the “answer back” appears on the sender’s telex machine. Delivery by fax shall be effective when the “transmit confirmation report” confirming the transmission to the recipient’s published fax number is received by the transmitter. Delivery by registered airmail shall be deemed to be effective 21 days after posting. An e-mail is presumed to be received by the addressee when it enters an information system designated or used by the addressee for the purpose of receiving documents of the type sent and is capable of being retrieved and processed by the addressee.\n\n3. Notice to the designated representative of the prospector, applicant or contractor shall constitute effective notice to the prospector, applicant or contractor for all purposes under these Regulations, and the designated representative shall be the agent of the prospector, applicant or contractor for the service of process or notification in any proceeding of any court or tribunal having jurisdiction.\n\n4. Notice to the Secretary-General shall constitute effective notice to the Authority for all purposes under these Regulations, and the Secretary-General shall be the Authority’s agent for the service of process or notification in any proceeding of any court or tribunal having jurisdiction.\n\nRegulation 41. Recommendations for the guidance of contractors\n\n1. The Legal and Technical Commission may from time to time issue recommendations of a technical or administrative nature for the guidance of contractors to assist them in the implementation of the rules, regulations and procedures of the Authority.\n\n2. The full text of such recommendations shall be reported to the Council. Should the Council find that a recommendation is inconsistent with the intent and purpose of these Regulations, it may request that the recommendation be modified or withdrawn. 26 12-57345\n\nPart VIII. Settlement of disputes\n\nRegulation 42. Disputes\n\n1. Disputes concerning the interpretation or application of these Regulations shall be settled in accordance with Part XI, section 5, of the Convention.\n\n2. Any final decision rendered by a court or tribunal having jurisdiction under the Convention relating to the rights and obligations of the Authority and of the Contractor shall be enforceable in the territory of each State party to the Convention.\n\nPart IX. Resources other than cobalt crusts\n\nRegulation 43. Resources other than cobalt crusts If a prospector or contractor finds resources in the Area other than cobalt crusts, the prospecting and exploration for and exploitation of such resources shall be subject to the rules, regulations and procedures of the Authority relating to such resources in accordance with the Convention and the Agreement. The prospector or contractor shall notify the Authority of its find.\n\nPart X. Review\n\nRegulation 44. Review\n\n1. Five years following the approval of these Regulations by the Assembly, or at any time thereafter, the Council shall undertake a review of the manner in which the Regulations have operated in practice.\n\n2. If, in the light of improved knowledge or technology, it becomes apparent that the Regulations are not adequate, any State party, the Legal and Technical Commission or any contractor through its sponsoring State may at any time request the Council to consider, at its next ordinary session, revisions to these Regulations.\n\n3. In the light of the review, the Council may adopt and apply provisionally, pending approval by the Assembly, amendments to the provisions of these Regulations, taking into account the recommendations of the Legal and Technical Commission or other subordinate organs concerned. Any such amendments shall be without prejudice to the rights conferred on any contractor with the Authority under the provisions of a contract entered into pursuant to these Regulations in force at the time of any such amendment.\n\n4. In the event that any provisions of these Regulations are amended, the contractor and the Authority may revise the contract in accordance with section 24 of annex IV.\n\nAnnex I. Notification of intention to engage in prospecting\n\n1. Name of prospector:\n\n2. Street address of prospector:\n\n3. Postal address (if different from above):\n\n4. Telephone number:\n\n5. Fax number:\n\n6. E-mail address:\n\n7. Nationality of prospector:\n\n8. If prospector is a juridical person:\n\n(a) Identify prospector’s place of registration;\n\n(b) Identify prospector’s principal place of business/domicile;\n\n(c) Attach a copy of prospector’s certificate of registration.\n\n9. Name of prospector’s designated representative:\n\n10. Street address of prospector’s designated representative (if different from above):\n\n11. Postal address (if different from above):\n\n12. Telephone number:\n\n13. Fax number:\n\n14. E-mail address:\n\n15. Attach the coordinates of the broad area or areas in which prospecting is to be conducted (in accordance with the World Geodetic System WGS 84).\n\n16. Attach a general description of the prospecting programme, including the date of commencement and the approximate duration of the programme.\n\n17. Attach a written undertaking that the prospector will:\n\n(a) Comply with the Convention and the relevant rules, regulations and procedures of the Authority concerning:\n\n(i) Cooperation in the training programmes in connection with marine scientific research and transfer of technology referred to in articles 143 and 144 of the Convention; and\n\n(ii) Protection and preservation of the marine environment; and\n\n(b) Accept verification by the Authority of compliance therewith. 28 12-57345\n\n18. List hereunder all the attachments and annexes to this notification (all data and information should be submitted in hard copy and in a digital format specified by the Authority). _______________________ _________________________________________ Date Signature of prospector’s designated representative Attestation: Signature of person attesting Name of person attesting Title of person attesting\n\nAnnex II. Application for approval of a plan of work for exploration to obtain a contract\n\nSection I. Information concerning the applicant\n\n1. Name of applicant:\n\n2. Street address of applicant:\n\n3. Postal address (if different from above):\n\n4. Telephone number:\n\n5. Fax number:\n\n6. E-mail address:\n\n7. Name of applicant’s designated representative:\n\n8. Street address of applicant’s designated representative (if different from above):\n\n9. Postal address (if different from above):\n\n10. Telephone number:\n\n11. Fax number:\n\n12. E-mail address:\n\n13. If the applicant is a juridical person:\n\n(a) Identify applicant’s place of registration;\n\n(b) Identify applicant’s principal place of business/domicile;\n\n(c) Attach a copy of applicant’s certificate of registration.\n\n14. Identify the sponsoring State or States.\n\n15. In respect of each sponsoring State, provide the date of deposit of its instrument of ratification of, or accession or succession to, the United Nations Convention on the Law of the Sea of 10 December 1982 and the date of its consent to be bound by the Agreement relating to the Implementation of Part XI of the Convention.\n\n16. A certificate of sponsorship issued by the sponsoring State must be attached with this application. If the applicant has more than one nationality, as in the case of a partnership or consortium of entities from more than one State, certificates of sponsorship issued by each of the States involved must be attached.\n\nSection II. Information relating to the area under application\n\n17. Define the boundaries of the blocks under application by attaching a chart (on a scale and projection specified by the Authority) and a list of geographical coordinates (in accordance with the World Geodetic System WGS 84). 30 12-57345\n\n18. Indicate whether the applicant elects to contribute a reserved area in accordance with regulation 17 or offer an equity interest in a joint venture arrangement in accordance with regulation 19.\n\n19. If the applicant elects to contribute a reserved area:\n\n(a) Attach a list of the coordinates designating the two parts of the total area of equal estimated commercial value; and\n\n(b) Include in an attachment sufficient information to enable the Council to designate a reserved area based on the estimated commercial value of each part of the area under application. Such attachment must include the data available to the applicant with respect to both parts of the area under application, including:\n\n(i) Data on the location, survey and evaluation of the cobalt crusts in the areas, including: a. A description of the technology related to the recovery and processing of cobalt crusts that is necessary for making the designation of a reserved area; b. A map of the physical and geological characteristics, such as seabed topography, bathymetry and bottom currents and information on the reliability of such data; c. A map showing the survey data used to determine the parameters of cobalt crusts (thickness etc.) necessary to determine its tonnage within the limits of each block, clusters of blocks of the exploration area and the reserved area; d. Data showing the average tonnage (in metric tons) of each cluster of cobalt crust blocks that will comprise the mine site and an associated tonnage map showing the location of sampling sites; e. Combined maps of tonnage and grade of cobalt crusts; f. A calculation based on standard procedures, including statistical analysis, using the data submitted and assumptions made in the calculations that the two areas could be expected to contain cobalt crusts of equal estimated commercial value expressed as recoverable metals in mineable areas; g. A description of the techniques used by the applicant;\n\n(ii) Information concerning environmental parameters (seasonal and during test period) including, inter alia, wind speed and direction, water salinity, temperature and biological communities.\n\n20. If the area under application includes any part of a reserved area, attach a list of coordinates of the area which forms part of the reserved area and indicate the applicant’s qualifications in accordance with regulation 18 of the Regulations.\n\nSection III. Financial and technical information\n\n21. Attach sufficient information to enable the Council to determine whether the applicant is financially capable of carrying out the proposed plan of work for exploration and of fulfilling its financial obligations to the Authority:\n\n(a) If the application is made by the Enterprise, attach certification by its competent authority that the Enterprise has the necessary financial resources to meet the estimated costs of the proposed plan of work for exploration;\n\n(b) If the application is made by a State or a State enterprise, attach a statement by the State or the sponsoring State certifying that the applicant has the necessary financial resources to meet the estimated costs of the proposed plan of work for exploration;\n\n(c) If the application is made by an entity, attach copies of the applicant’s audited financial statements, including balance sheets and profit-and-loss statements, for the most recent three years in conformity with internationally accepted accounting principles and certified by a duly qualified firm of public accountants; and\n\n(i) If the applicant is a newly organized entity and a certified balance sheet is not available, a pro forma balance sheet certified by an appropriate official of the applicant;\n\n(ii) If the applicant is a subsidiary of another entity, copies of such financial statements of that entity and a statement from that entity in conformity with internationally accepted accounting practices and certified by a duly qualified firm of public accountants that the applicant will have the financial resources to carry out the plan of work for exploration;\n\n(iii) If the applicant is controlled by a State or a State enterprise, a statement from the State or State enterprise certifying that the applicant will have the financial resources to carry out the plan of work for exploration.\n\n22. If it is intended to finance the proposed plan of work for exploration by borrowings, attach a statement of the amount of such borrowings, the repayment period and the interest rate.\n\n23. Attach sufficient information to enable the Council to determine whether the applicant is technically capable of carrying out the proposed plan of work for exploration, including:\n\n(a) A general description of the applicant’s previous experience, knowledge, skills, technical qualifications and expertise relevant to the proposed plan of work for exploration;\n\n(b) A general description of the equipment and methods expected to be used in carrying out the proposed plan of work for exploration and other relevant non-proprietary information about the characteristics of such technology;\n\n(c) A general description of the applicant’s financial and technical capability to respond to any incident or activity which causes serious harm to the marine environment.\n\nSection IV. The plan of work for exploration\n\n24. Attach the following information relating to the plan of work for exploration:\n\n(a) A general description and a schedule of the proposed exploration programme, including the programme of activities for the immediate five-year 32 12-57345 period, such as studies to be undertaken in respect of the environmental, technical, economic and other appropriate factors which must be taken into account in exploration;\n\n(b) A description of a programme for oceanographic and environmental baseline studies in accordance with the Regulations and any environmental rules, regulations and procedures established by the Authority that would enable an assessment of the potential environmental impact including, but not restricted to, the impact on biodiversity, of the proposed exploration activities, taking into account any recommendations issued by the Legal and Technical Commission;\n\n(c) A preliminary assessment of the possible impact of the proposed exploration activities on the marine environment;\n\n(d) A description of proposed measures for the prevention, reduction and control of pollution of other hazards, as well as possible impacts, to the marine environment;\n\n(e) A schedule of anticipated yearly expenditures in respect of the programme of activities for the immediate five-year period.\n\nSection V. Undertakings\n\n25. Attach a written undertaking that the applicant will:\n\n(a) Accept as enforceable and comply with the applicable obligations created by the provisions of the Convention and the rules, regulations and procedures of the Authority, the decisions of the relevant organs of the Authority and the terms of its contracts with the Authority;\n\n(b) Accept control by the Authority of activities in the Area as authorized by the Convention;\n\n(c) Provide the Authority with a written assurance that its obligations under the contract will be fulfilled in good faith.\n\nSection VI. Previous contracts\n\n26. If the applicant or, in the case of an application by a partnership or consortium of entities in a joint arrangement, any member of the partnership or consortium has previously been awarded any contract with the Authority, the application must include:\n\n(a) The date of the previous contract or contracts;\n\n(b) The dates, reference numbers and titles of each report submitted to the Authority in connection with the contract or contracts; and\n\n(c) The date of termination of the contract or contracts, if applicable.\n\nSection VII. Attachments\n\n27. List all the attachments and annexes to this application (all data and information should be submitted in hard copy and in a digital format specified by the Authority). _____________________ _________________________________________ Date Signature of applicant’s designated representative Attestation: Signature of person attesting Name of person attesting Title of person attesting 34 12-57345\n\nAnnex III. Contract for exploration THIS CONTRACT made the … day of … between the INTERNATIONAL SEABED AUTHORITY represented by its SECRETARY-GENERAL (hereinafter referred to as “the Authority”) and … represented by … (hereinafter referred to as “the Contractor”) WITNESSETH as follows: Incorporation of clauses\n\n1. The standard clauses set out in annex IV to the Regulations on Prospecting and Exploration for Cobalt-rich Ferromanganese Crusts in the Area shall be incorporated herein and shall have effect as if herein set out at length. Exploration area\n\n2. For the purposes of this contract, the “exploration area” means that part of the Area allocated to the Contractor for exploration, defined by the coordinates listed in\n\nschedule 1 hereto, as reduced from time to time in accordance with the standard clauses and the Regulations. Grant of rights\n\n3. In consideration of (a) their mutual interest in the conduct of exploration activities in the exploration area pursuant to the United Nations Convention on the Law of the Sea of 10 December 1982 and the Agreement relating to the Implementation of Part XI of the Convention, (b) the responsibility of the Authority to organize and control activities in the Area, particularly with a view to administering the resources of the Area, in accordance with the legal regime established in Part XI of the Convention and the Agreement and Part XII of the Convention, respectively, and (c) the interest and financial commitment of the Contractor in conducting activities in the exploration area and the mutual covenants made herein, the Authority hereby grants to the Contractor the exclusive right to explore for cobalt crusts in the exploration area in accordance with the terms and conditions of this contract. Entry into force and contract term\n\n4. This contract shall enter into force on signature by both parties and, subject to the standard clauses, shall remain in force for a period of fifteen years thereafter unless:\n\n(a) The Contractor obtains a contract for exploitation in the exploration area which enters into force before the expiration of such period of fifteen years; or\n\n(b) The contract is sooner terminated provided that the term of the contract may be extended in accordance with standard clauses 3.2 and 17.2. Schedules\n\n5. The schedules referred to in the standard clauses, namely section 4 and section 8, are for the purposes of this contract schedules 2 and 3 respectively. Entire agreement\n\n6. This contract expresses the entire agreement between the parties, and no oral understanding or prior writing shall modify the terms hereof. IN WITNESS WHEREOF the undersigned, being duly authorized thereto by the respective parties, have signed this contract at …, this … day of … .\n\nSchedule 1. [Coordinates and illustrative chart of the exploration area]\n\nSchedule 2. [The current five-year programme of activities as revised from time to time]\n\nSchedule 3. [The training programme shall become a schedule to the contract when approved by the Authority in accordance with section 8 of the standard clauses.] 36 12-57345\n\nAnnex IV. Standard clauses for exploration contract\n\nSection 1. Definitions 1.1 In the following clauses:\n\n(a) “Exploration area” means that part of the Area allocated to the Contractor for exploration, described in schedule 1 hereto, as the same may be reduced from time to time in accordance with this contract and the Regulations;\n\n(b) “Programme of activities” means the programme of activities which is set out in schedule 2 hereto as the same may be adjusted from time to time in accordance with sections 4.3 and 4.4 hereof;\n\n(c) “Regulations” means the Regulations on Prospecting and Exploration for Cobalt-rich Ferromanganese Crusts in the Area, adopted by the Authority. 1.2 Terms and phrases defined in the Regulations shall have the same meaning in these standard clauses. 1.3 In accordance with the Agreement relating to the Implementation of Part XI of the United Nations Convention on the Law of the Sea of 10 December 1982, its provisions and Part XI of the Convention are to be interpreted and applied together as a single instrument; this contract and references in this contract to the Convention are to be interpreted and applied accordingly. 1.4 This contract includes the schedules to this contract, which shall be an integral part hereof.\n\nSection 2. Security of tenure 2.1 The Contractor shall have security of tenure and this contract shall not be suspended, terminated or revised except in accordance with sections 20, 21 and 24 hereof. 2.2 The Contractor shall have the exclusive right to explore for cobalt crusts in the exploration area in accordance with the terms and conditions of this contract. The Authority shall ensure that no other entity operates in the exploration area for a different category of resources in a manner that might unreasonably interfere with the operations of the Contractor. 2.3 The Contractor, by notice to the Authority, shall have the right at any time to renounce without penalty the whole or part of its rights in the exploration area, provided that the Contractor shall remain liable for all obligations accrued prior to the date of such renunciation in respect of the area renounced. 2.4 Nothing in this contract shall be deemed to confer any right on the Contractor other than those rights expressly granted herein. The Authority reserves the right to enter into contracts with respect to resources other than cobalt crusts with third parties in the area covered by this contract.\n\nSection 3. Contract term 3.1 This contract shall enter into force on signature by both parties and shall remain in force for a period of fifteen years thereafter unless:\n\n(a) The Contractor obtains a contract for exploitation in the exploration area which enters into force before the expiration of such period of fifteen years; or\n\n(b) The contract is sooner terminated, provided that the term of the contract may be extended in accordance with sections 3.2 and 17.2 hereof. 3.2 Upon application by the Contractor, not later than six months before the expiration of this contract, this contract may be extended for periods of not more than five years each on such terms and conditions as the Authority and the Contractor may then agree in accordance with the Regulations. Such extensions shall be approved if the Contractor has made efforts in good faith to comply with the requirements of this contract 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. 3.3 Notwithstanding the expiration of this contract in accordance with section 3.1 hereof, if the Contractor has, at least 90 days prior to the date of expiration, applied for a contract for exploitation, the Contractor’s rights and obligations under this contract shall continue until such time as the application has been considered and a contract for exploitation has been issued or refused.\n\nSection 4. Exploration 4.1 The Contractor shall commence exploration in accordance with the time schedule stipulated in the programme of activities set out in schedule 2 hereto and shall adhere to such time periods or any modification thereto as provided for by this contract. 4.2 The Contractor shall carry out the programme of activities set out in schedule 2 hereto. In carrying out such activities the Contractor shall spend in each contract year not less than the amount specified in such programme, or any agreed review thereof, in actual and direct exploration expenditures. 4.3 The Contractor, with the consent of the Authority, which consent shall not be unreasonably withheld, may from time to time make such changes in the programme of activities and the expenditures specified therein as may be necessary and prudent in accordance with good mining industry practice, and taking into account the market conditions for the metals contained in cobalt crusts and other relevant global economic conditions. 4.4 Not later than 90 days prior to the expiration of each five-year period from the date on which this contract enters into force in accordance with section 3 hereof, the Contractor and the Secretary-General shall jointly undertake a review of the implementation of the plan of work for exploration under this contract. The Secretary-General may require the Contractor to submit such additional data and information as may be necessary for the purposes of the review. In the light of the review, the Contractor shall make such adjustments to its plan of work as are 38 12-57345 necessary and shall indicate its programme of activities for the following five-year period, including a revised schedule of anticipated yearly expenditures. Schedule 2 hereto shall be adjusted accordingly.\n\nSection 5. Environmental monitoring 5.1 The Contractor shall take necessary measures to prevent, reduce and control pollution and other hazards to the marine environment arising from its activities in the Area as far as reasonably possible applying a precautionary approach and best environmental practices. 5.2 Prior to the commencement of exploration activities, the Contractor shall submit to the Authority:\n\n(a) An impact assessment of the potential effects on the marine environment of the proposed activities;\n\n(b) A proposal for a monitoring programme to determine the potential effect on the marine environment of the proposed activities; and\n\n(c) Data that could be used to establish an environmental baseline against which to assess the effect of the proposed activities. 5.3 The Contractor shall, in accordance with the Regulations, gather environmental baseline data as exploration activities progress and develop and shall establish environmental baselines against which to assess the likely effects of the Contractor’s activities on the marine environment. 5.4 The Contractor shall, in accordance with the Regulations, establish and carry out a programme to monitor and report on such effects on the marine environment. The Contractor shall cooperate with the Authority in the implementation of such monitoring. 5.5 The Contractor shall, within 90 days of the end of each calendar year, report to the Secretary-General on the implementation and results of the monitoring programme referred to in section 5.4 hereof and shall submit data and information in accordance with the Regulations.\n\nSection 6. Contingency plans and emergencies 6.1 The Contractor shall, prior to the commencement of its programme of activities under this contract, submit to the Secretary-General a contingency plan to respond effectively to incidents that are likely to cause serious harm or a threat of serious harm to the marine environment arising from the Contractor’s activities at sea in the exploration area. Such contingency plan shall establish special procedures and provide for adequate and appropriate equipment to deal with such incidents and, in particular, shall include arrangements for:\n\n(a) The immediate raising of a general alarm in the area of the exploration activities;\n\n(b) Immediate notification to the Secretary-General;\n\n(c) The warning of ships which might be about to enter the immediate vicinity;\n\n(d) A continuing flow of full information to the Secretary-General relating to particulars of the contingency measures already taken and further actions required;\n\n(e) The removal, as appropriate, of polluting substances;\n\n(f) The reduction and, so far as reasonably possible, prevention of serious harm to the marine environment, as well as mitigation of such effects;\n\n(g) As appropriate, cooperation with other contractors with the Authority to respond to an emergency; and\n\n(h) Periodic emergency response exercises. 6.2 The Contractor shall promptly report to the Secretary-General any incident arising from its activities that has caused, is causing or poses a threat of serious harm to the marine environment. Each such report shall contain the details of such incident, including, inter alia:\n\n(a) The coordinates of the area affected or which can reasonably be anticipated to be affected;\n\n(b) The description of the action being taken by the Contractor to prevent, contain, minimize and repair the serious harm or threat of serious harm to the marine environment;\n\n(c) A description of the action being taken by the Contractor to monitor the effects of the incident on the marine environment; and\n\n(d) Such supplementary information as may reasonably be required by the Secretary-General. 6.3 The Contractor shall comply with emergency orders issued by the Council and immediate measures of a temporary nature issued by the Secretary-General in accordance with the Regulations, to prevent, contain, minimize or repair serious harm or the threat of serious harm to the marine environment, which may include orders to the Contractor to immediately suspend or adjust any activities in the exploration area. 6.4 If the Contractor does not promptly comply with such emergency orders or immediate measures of a temporary nature, the Council may take such reasonable measures as are necessary to prevent, contain, minimize or repair any such serious harm or the threat of serious harm to the marine environment at the Contractor’s expense. The Contractor shall promptly reimburse the Authority the amount of such expenses. Such expenses shall be in addition to any monetary penalties which may be imposed on the Contractor pursuant to the terms of this contract or the Regulations.\n\nSection 7. Human remains and objects and sites of an archaeological or historical nature The Contractor shall immediately notify the Secretary-General in writing of any finding in the exploration area of any human remains of an archaeological or historical nature, or any object or site of a similar nature and its location, including the preservation and protection measures taken. The Secretary-General shall 40 12-57345 transmit such information to the Director-General of the United Nations Educational, Scientific and Cultural Organization and any other competent international organization. Following the finding of any such human remains, object or site in the exploration area, and in order to avoid disturbing such human remains, object or site, no further prospecting or exploration shall take place, within a reasonable radius, until such time as the Council decides otherwise after taking account of the views of the Director-General of the United Nations Educational, Scientific and Cultural Organization or any other competent international organization.\n\nSection 8. Training 8.1 In accordance with the Regulations, the Contractor shall, prior to the commencement of exploration under this contract, submit to the Authority for approval proposed training programmes for the training of personnel of the Authority and developing States, including the participation of such personnel in all of the Contractor’s activities under this contract. 8.2 The scope and financing of the training programme shall be subject to negotiation between the Contractor, the Authority and the sponsoring State or States. 8.3 The Contractor shall conduct training programmes in accordance with the specific programme for the training of personnel referred to in section 8.1 hereof approved by the Authority in accordance with the Regulations, which programme, as revised and developed from time to time, shall become a part of this contract as\n\nschedule 3.\n\nSection 9. Books and records The Contractor shall keep a complete and proper set of books, accounts and financial records, consistent with internationally accepted accounting principles. Such books, accounts and financial records shall include information which will fully disclose the actual and direct expenditures for exploration and such other information as will facilitate an effective audit of such expenditures.\n\nSection 10. Annual reports 10.1 The Contractor shall, within 90 days of the end of each calendar year, submit a report to the Secretary-General in such format as may be recommended from time to time by the Legal and Technical Commission covering its programme of activities in the exploration area and containing, as applicable, information in sufficient detail on:\n\n(a) The exploration work carried out during the calendar year, including maps, charts and graphs illustrating the work that has been done and the results obtained;\n\n(b) The equipment used to carry out the exploration work, including the results of tests conducted of proposed mining technologies, but not equipment design data; and\n\n(c) The implementation of training programmes, including any proposed revisions to or developments of such programmes. 10.2 Such reports shall also contain:\n\n(a) The results obtained from environmental monitoring programmes, including observations, measurements, evaluations and analyses of environmental parameters;\n\n(b) A statement of the quantity of cobalt crusts recovered as samples or for the purpose of testing;\n\n(c) A statement, in conformity with internationally accepted accounting principles and certified by a duly qualified firm of public accountants, or, where the Contractor is a State or a state enterprise, by the sponsoring State, of the actual and direct exploration expenditures of the Contractor in carrying out the programme of activities during the Contractor’s accounting year. Such expenditures may be claimed by the contractor as part of the contractor’s development costs incurred prior to the commencement of commercial production; and\n\n(d) Details of any proposed adjustments to the programme of activities and the reasons for such adjustments. 10.3 The Contractor shall also submit such additional information to supplement the reports referred to in sections 10.1 and 10.2 hereof as the Secretary-General may from time to time reasonably require in order to carry out the Authority’s functions under the Convention, the Regulations and this contract. 10.4 The Contractor shall keep, in good condition, a representative portion of samples and cores of the cobalt crusts obtained in the course of exploration until the expiration of this contract. The Authority may request the Contractor in writing to deliver to it for analysis a portion of any such sample and cores obtained during the course of exploration.\n\nSection 11. Data and information to be submitted on expiration of the contract 11.1 The Contractor shall transfer to the Authority all data and information that are both necessary for and relevant to the effective exercise of the powers and functions of the Authority in respect of the exploration area in accordance with the provisions of this section. 11.2 Upon expiration or termination of this contract the Contractor, if it has not already done so, shall submit the following data and information to the Secretary\u0002General:\n\n(a) Copies of geological, environmental, geochemical and geophysical data acquired by the Contractor in the course of carrying out the programme of activities that are necessary for and relevant to the effective exercise of the powers and functions of the Authority in respect of the exploration area;\n\n(b) The estimation of mineable deposits, when such deposits have been identified, which shall include details of the grade and quantity of the proven, probable and possible cobalt crust reserves and the anticipated mining conditions; 42 12-57345\n\n(c) Copies of geological, technical, financial and economic reports made by or for the Contractor that are necessary for and relevant to the effective exercise of the powers and functions of the Authority in respect of the exploration area;\n\n(d) Information in sufficient detail on the equipment used to carry out the exploration work, including the results of tests conducted of proposed mining technologies, but not equipment design data;\n\n(e) A statement of the quantity of cobalt crusts recovered as samples or for the purpose of testing; and\n\n(f) A statement on how and where samples of cores are archived and their availability to the Authority. 11.3 The data and information referred to in section 11.2 hereof shall also be submitted to the Secretary-General if, prior to the expiration of this contract, the Contractor applies for approval of a plan of work for exploitation or if the Contractor renounces its rights in the exploration area to the extent that such data and information relates to the renounced area.\n\nSection 12. Confidentiality Data and information transferred to the Authority in accordance with this contract shall be treated as confidential in accordance with the provisions of the Regulations.\n\nSection 13. Undertakings 13.1 The Contractor shall carry out exploration in accordance with the terms and conditions of this contract, the Regulations, Part XI of the Convention, the Agreement and other rules of international law not incompatible with the Convention. 13.2 The Contractor undertakes:\n\n(a) To accept as enforceable and comply with the terms of this contract;\n\n(b) To comply with the applicable obligations created by the provisions of the Convention, the rules, regulations and procedures of the Authority and the decisions of the relevant organs of the Authority;\n\n(c) To accept control by the Authority of activities in the Area as authorized by the Convention;\n\n(d) To fulfil its obligations under this contract in good faith; and\n\n(e) To observe, as far as reasonably practicable, any recommendations which may be issued from time to time by the Legal and Technical Commission. 13.3 The Contractor shall actively carry out the programme of activities:\n\n(a) With due diligence, efficiency and economy;\n\n(b) With due regard to the impact of its activities on the marine environment; and\n\n(c) With reasonable regard for other activities in the marine environment. 13.4 The Authority undertakes to fulfil in good faith its powers and functions under the Convention and the Agreement in accordance with article 157 of the Convention.\n\nSection 14. Inspection 14.1 The Contractor shall permit the Authority to send its inspectors on board vessels and installations used by the Contractor to carry out activities in the exploration area to:\n\n(a) Monitor the Contractor’s compliance with the terms and conditions of this contract and the Regulations; and\n\n(b) Monitor the effects of such activities on the marine environment. 14.2 The Secretary-General shall give reasonable notice to the Contractor of the projected time and duration of inspections, the name of the inspectors and any activities the inspectors are to perform that are likely to require the availability of special equipment or special assistance from personnel of the Contractor. 14.3 Such inspectors shall have the authority to inspect any vessel or installation, including its log, equipment, records, facilities, all other recorded data and any relevant documents which are necessary to monitor the Contractor’s compliance. 14.4 The Contractor, its agents and employees shall assist the inspectors in the performance of their duties and shall:\n\n(a) Accept and facilitate prompt and safe boarding of vessels and installations by inspectors;\n\n(b) Cooperate with and assist in the inspection of any vessel or installation conducted pursuant to these procedures;\n\n(c) Provide access to all relevant equipment, facilities and personnel on vessels and installations at all reasonable times;\n\n(d) Not obstruct, intimidate or interfere with inspectors in the performance of their duties;\n\n(e) Provide reasonable facilities, including, where appropriate, food and accommodation, to inspectors; and\n\n(f) Facilitate safe disembarkation by inspectors. 14.5 Inspectors shall avoid interference with the safe and normal operations on board vessels and installations used by the Contractor to carry out activities in the area visited and shall act in accordance with the Regulations and the measures adopted to protect confidentiality of data and information. 14.6 The Secretary-General and any duly authorized representatives of the Secretary-General, shall have access, for purposes of audit and examination, to any books, documents, papers and records of the Contractor which are necessary and directly pertinent to verify the expenditures referred to in section 10.2 (c). 44 12-57345 14.7 The Secretary-General shall provide relevant information contained in the reports of inspectors to the Contractor and its sponsoring State or States where action is necessary. 14.8 If for any reason the Contractor does not pursue exploration and does not request a contract for exploitation, it shall, before withdrawing from the exploration area, notify the Secretary-General in writing in order to permit the Authority, if it so decides, to carry out an inspection pursuant to this section.\n\nSection 15. Safety, labour and health standards 15.1 The Contractor shall comply with the generally accepted international rules and standards established by competent international organizations or general diplomatic conferences concerning the safety of life at sea, and the prevention of collisions and such rules, regulations and procedures as may be adopted by the Authority relating to safety at sea. Each vessel used for carrying out activities in the Area shall possess current valid certificates required by and issued pursuant to such international rules and standards. 15.2 The Contractor shall, in carrying out exploration under this contract, observe and comply with such rules, regulations and procedures as may be adopted by the Authority relating to protection against discrimination in employment, occupational safety and health, labour relations, social security, employment security and living conditions at the work site. Such rules, regulations and procedures shall take into account conventions and recommendations of the International Labour Organization and other competent international organizations.\n\nSection 16. Responsibility and liability 16.1 The Contractor shall be liable for the actual amount of any damage, including damage to the marine environment, arising out of its wrongful acts or omissions, and those of its employees, subcontractors, agents and all persons engaged in working or acting for them in the conduct of its operations under this contract, including the costs of reasonable measures to prevent or limit damage to the marine environment, account being taken of any contributory acts or omissions by the Authority. 16.2 The Contractor shall indemnify the Authority, its employees, subcontractors and agents against all claims and liabilities of any third party arising out of any wrongful acts or omissions of the Contractor and its employees, agents and subcontractors, and all persons engaged in working or acting for them in the conduct of its operations under this contract. 16.3 The Authority shall be liable for the actual amount of any damage to the Contractor arising out of its wrongful acts in the exercise of its powers and functions, including violations under article 168 (2) of the Convention, account being taken of contributory acts or omissions by the Contractor, its employees, agents and subcontractors, and all persons engaged in working or acting for them in the conduct of its operations under this contract. 16.4 The Authority shall indemnify the Contractor, its employees, subcontractors, agents and all persons engaged in working or acting for them in the conduct of its operations under this contract, against all claims and liabilities of any third party arising out of any wrongful acts or omissions in the exercise of its powers and functions hereunder, including violations under article 168 (2) of the Convention. 16.5 The Contractor shall maintain appropriate insurance policies with internationally recognized carriers, in accordance with generally accepted international maritime practice.\n\nSection 17. Force majeure 17.1 The Contractor shall not be liable for an unavoidable delay or failure to perform any of its obligations under this contract due to force majeure. For the purposes of this contract, force majeure shall mean an event or condition that the Contractor could not reasonably be expected to prevent or control; provided that the event or condition was not caused by negligence or by a failure to observe good mining industry practice. 17.2 The Contractor shall, upon request, be granted a time extension equal to the period by which performance was delayed hereunder by force majeure and the term of this contract shall be extended accordingly. 17.3 In the event of force majeure, the Contractor shall take all reasonable measures to remove its inability to perform and comply with the terms and conditions of this contract with a minimum of delay. 17.4 The Contractor shall give notice to the Authority of the occurrence of an event of force majeure as soon as reasonably possible, and similarly give notice to the Authority of the restoration of normal conditions.\n\nSection 18. Disclaimer Neither the Contractor nor any affiliated company or subcontractor shall in any manner claim or suggest, whether expressly or by implication, that the Authority or any official thereof has, or has expressed, any opinion with respect to cobalt crusts in the exploration area and a statement to that effect shall not be included in or endorsed on any prospectus, notice, circular, advertisement, press release or similar document issued by the Contractor, any affiliated company or any subcontractor that refers directly or indirectly to this contract. For the purposes of this section, an “affiliated company” means any person, firm or company or State-owned entity controlling, controlled by, or under common control with, the Contractor.\n\nSection 19. Renunciation of rights The Contractor, by notice to the Authority, shall have the right to renounce its rights and terminate this contract without penalty, provided that the Contractor shall remain liable for all obligations accrued prior to the date of such renunciation and those obligations required to be fulfilled after termination in accordance with the Regulations. 46 12-57345\n\nSection 20. Termination of sponsorship 20.1 If the nationality or control of the Contractor changes or the Contractor’s sponsoring State, as defined in the Regulations, terminates its sponsorship, the Contractor shall promptly notify the Authority forthwith. 20.2 In either such event, if the Contractor does not obtain another sponsor meeting the requirements prescribed in the Regulations which submits to the Authority a certificate of sponsorship for the Contractor in the prescribed form within the time specified in the Regulations, this contract shall terminate forthwith.\n\nSection 21. Suspension and termination of contract and penalties 21.1 The Council may suspend or terminate this contract, without prejudice to any other rights that the Authority may have, if any of the following events should occur:\n\n(a) If, in spite of written warnings by the Authority, the Contractor has conducted its activities in such a way as to result in serious persistent and wilful violations of the fundamental terms of this contract, Part XI of the Convention, the Agreement and the rules, regulations and procedures of the Authority; or\n\n(b) If the Contractor has failed to comply with a final binding decision of the dispute settlement body applicable to it; or\n\n(c) If the Contractor becomes insolvent or commits an act of bankruptcy or enters into any agreement for composition with its creditors or goes into liquidation or receivership, whether compulsory or voluntary, or petitions or applies to any tribunal for the appointment of a receiver or a trustee or receiver for itself or commences any proceedings relating to itself under any bankruptcy, insolvency or readjustment of debt law, whether now or hereafter in effect, other than for the purpose of reconstruction. 21.2 The Council may, without prejudice to section 17, after consultation with the Contractor, suspend or terminate this contract, without prejudice to any other rights that the Authority may have, if the Contractor is prevented from performing its obligations under this contract by reason of an event or condition of force majeure, as described in section 17.1, which has persisted for a continuous period exceeding two years, despite the Contractor having taken all reasonable measures to overcome its inability to perform and comply with the terms and conditions of this contract with minimum delay. 21.3 Any suspension or termination shall be by notice, through the Secretary\u0002General, which shall include a statement of the reasons for taking such action. The suspension or termination shall be effective 60 days after such notice, unless the Contractor within such period disputes the Authority’s right to suspend or terminate this contract in accordance with Part XI, section 5, of the Convention. 21.4 If the Contractor takes such action, this contract shall only be suspended or terminated in accordance with a final binding decision in accordance with Part XI,\n\nsection 5, of the Convention. 21.5 If the Council has suspended this contract, the Council may by notice require the Contractor to resume its operations and comply with the terms and conditions of this contract, not later than 60 days after such notice. 21.6 In the case of any violation of this contract not covered by section 21.1 (a) hereof, or in lieu of suspension or termination under section 21.1 hereof, the Council may impose upon the Contractor monetary penalties proportionate to the seriousness of the violation. 21.7 The Council may not execute a decision involving monetary penalties until the Contractor has been accorded a reasonable opportunity to exhaust the judicial remedies available to it pursuant to Part XI, section 5, of the Convention. 21.8 In the event of termination or expiration of this contract, the Contractor shall comply with the Regulations and shall remove all installations, plant, equipment and materials in the exploration area and shall make the area safe so as not to constitute a danger to persons, shipping or to the marine environment.\n\nSection 22. Transfer of rights and obligations 22.1 The rights and obligations of the Contractor under this contract may be transferred in whole or in part only with the consent of the Authority and in accordance with the Regulations. 22.2 The Authority shall not unreasonably withhold consent to the transfer if the proposed transferee is in all respects a qualified applicant in accordance with the Regulations and assumes all of the obligations of the Contractor. 22.3 The terms, undertakings and conditions of this contract shall inure to the benefit of and be binding upon the parties hereto and their respective successors and assigns.\n\nSection 23. No waiver No waiver by either party of any rights pursuant to a breach of the terms and conditions of this contract to be performed by the other party shall be construed as a waiver by the party of any succeeding breach of the same or any other term or condition to be performed by the other party.\n\nSection 24. Revision 24.1 When circumstances have arisen or are likely to arise which, in the opinion of the Authority or the Contractor, would render this contract inequitable or make it impracticable or impossible to achieve the objectives set out in this contract or in\n\nPart XI of the Convention or the Agreement, the parties shall enter into negotiations to revise it accordingly. 24.2 This contract may also be revised by agreement between the Contractor and the Authority to facilitate the application of any rules, regulations and procedures adopted by the Authority subsequent to the entry into force of this contract. 48 12-57345 24.3 This contract may be revised, amended or otherwise modified only with the consent of the Contractor and the Authority by an appropriate instrument signed by the authorized representatives of the parties.\n\nSection 25. Disputes 25.1 Any dispute between the parties concerning the interpretation or application of this contract shall be settled in accordance with Part XI, section 5, of the Convention. 25.2 In accordance with article 21 (2) of annex III to the Convention, any final decision rendered by a court or tribunal having jurisdiction under the Convention relating to the rights and obligations of the Authority and of the Contractor shall be enforceable in the territory of any State party to the Convention affected thereby.\n\nSection 26. Notice 26.1 Any application, request, notice, report, consent, approval, waiver, direction or instruction hereunder shall be made by the Secretary-General or by the designated representative of the Contractor, as the case may be, in writing. Service shall be by hand, or by telex, fax, registered airmail or e-mail containing an authorized signature to the Secretary-General at the headquarters of the Authority or to the designated representative. The requirement to provide any information in writing under these Regulations is satisfied by the provision of the information in an electronic document containing a digital signature. 26.2 Either party shall be entitled to change any such address to any other address by not less than ten days’ notice to the other party. 26.3 Delivery by hand shall be effective when made. Delivery by telex shall be deemed to be effective on the business day following the day when the “answer back” appears on the sender’s telex machine. Delivery by fax shall be effective when the “transmit confirmation report” confirming the transmission to the recipient’s published fax number is received by the transmitter. Delivery by registered airmail shall be deemed to be effective 21 days after posting. An e-mail is presumed to have been received by the addressee when it enters an information system designated or used by the addressee for the purpose of receiving documents of the type sent and it is capable of being retrieved and processed by the addressee. 26.4 Notice to the designated representative of the Contractor shall constitute effective notice to the Contractor for all purposes under this contract, and the designated representative shall be the Contractor’s agent for the service of process or notification in any proceeding of any court or tribunal having jurisdiction. 26.5 Notice to the Secretary-General shall constitute effective notice to the Authority for all purposes under this contract, and the Secretary-General shall be the Authority’s agent for the service of process or notification in any proceeding of any court or tribunal having jurisdiction.\n\nSection 27. Applicable law 27.1 This contract shall be governed by the terms of this contract, the rules, regulations and procedures of the Authority, Part XI of the Convention, the Agreement and other rules of international law not incompatible with the Convention. 27.2 The Contractor, its employees, subcontractors, agents and all persons engaged in working or acting for them in the conduct of its operations under this contract shall observe the applicable law referred to in section 27.1 hereof and shall not engage in any transaction, directly or indirectly, prohibited by the applicable law. 27.3 Nothing contained in this contract shall be deemed an exemption from the necessity of applying for and obtaining any permit or authority that may be required for any activities under this contract.\n\nSection 28. Interpretation The division of this contract into sections and subsections and the insertion of headings are for convenience of reference only and shall not affect the construction or interpretation hereof.\n\nSection 29. Additional documents Each party hereto agrees to execute and deliver all such further instruments, and to do and perform all such further acts and things as may be necessary or expedient to give effect to the provisions of this contract.\n", "n_chars": 121424}
{"corpus_id": "isa/regulation/crusts-2012-es", "version_id": "2012-10-22", "title": "Reglamento sobre Prospección y Exploración de Costras de Ferromanganeso con Alto Contenido de Cobalto en la Zona", "short_title": "Reglamento ISA — exploración de costras de ferromanganeso cobálticas (2012) [ES]", "jurisdiction": "international", "document_type": "isa_regulation", "official_citation": "ISBA/18/A/11, anexo — Reglamento sobre Prospección y Exploración de Costras de Ferromanganeso con Alto Contenido de Cobalto en la Zona", "authentic_languages": ["ar", "zh", "en", "fr", "ru", "es"], "language": "es", "adoption_date": "2012-10-22", "entry_into_force_date": null, "source_url": "https://isa.org.jm/wp-content/uploads/2022/04/isba-18a-11_1_0.pdf", "source_publisher": "Autoridad Internacional de los Fondos Marinos (ISA)", "source_is_official": true, "authoritative_status": "authentic_text", "text_fidelity": "extracted_verified", "content_hash": "sha256:a060362acf54f34793b41f4f2f4344aa9f816646a98df39c731976de1dd51e37", "original_sha256": "sha256:d5885d337a3827e813d6b4935163ee057da7b21de911dd2dba07bdb6d95dfec7", "text_sha256": "sha256:a060362acf54f34793b41f4f2f4344aa9f816646a98df39c731976de1dd51e37", "license": "isa-materials-terms", "rights_note": "Texto auténtico español; documento oficial, atribuido a la fuente; no relicenciado.", "provenance_note": "TEXTO AUTÉNTICO ESPAÑOL — sibling under JC-006 (English base record is isa/regulation/crusts-2012). Authentic in the six UN languages, all equally authoritative; the Spanish text is stored here. Byte-exact official PDF (human download) stored as original.pdf; text extracted with pdftotext and cleaned by the committed scripts/extract.py, byte-exact reproducible; page furniture removed, no wording changed. An equally-authentic language version, NOT a translation.", "text": "Reglamento sobre Prospección y Exploración de Costras de Ferromanganeso con Alto Contenido de Cobalto en la Zona — ISBA/18/A/11, anexo [ES]\n\nReglamento sobre prospección y exploración de costras de ferromanganeso con alto contenido de cobalto en la Zona\n\nPreámbulo De conformidad con la Convención de las Naciones Unidas sobre el Derecho del Mar de 10 de diciembre de 1982 (“la Convención”), los fondos marinos y oceánicos y su subsuelo fuera de los límites de la jurisdicción nacional, así como sus recursos, son patrimonio común de la humanidad, cuya exploración y explotación se realizarán en beneficio de toda la humanidad, en cuyo nombre actúa la Autoridad Internacional de los Fondos Marinos. Este reglamento obedece al propósito de regir la prospección y la exploración de las costras de ferromanganeso con alto contenido de cobalto.\n\nParte I\n\nIntroducción\n\nArtículo 1. Términos empleados y alcance\n\n1. Los términos utilizados en la Convención tendrán igual acepción en el presente reglamento.\n\n2. De conformidad con el Acuerdo relativo a la aplicación de la Parte XI de la Convención de las Naciones Unidas sobre el Derecho del Mar, de 10 de diciembre de 1982 (en adelante denominado “el Acuerdo”), las disposiciones del Acuerdo y la\n\nParte XI de la Convención se interpretarán y aplicarán en forma conjunta como un solo instrumento. El presente reglamento y las referencias que en él se hagan a la Convención deberán interpretarse y aplicarse de la misma manera.\n\n3. A los efectos del presente reglamento: a) Por “costras cobálticas” se entienden los depósitos de costras de hierro y manganeso (ferromanganeso) óxido e hidróxido con alto contenido de cobalto formadas por precipitación directa de minerales presentes en el agua de mar sobre sustratos sólidos y que contienen pequeñas pero significativas concentraciones de cobalto, titanio, níquel, platino, molibdeno, telurio, cerio y otros elementos metálicos y poco comunes de la tierra;\n\nb) Por “explotación” se entiende la recuperación con fines comerciales de costras cobálticas y la extracción de minerales en la Zona, incluidas la construcción y utilización de sistemas de extracción minera, tratamiento y transporte para la producción y comercialización de minerales; c) Por “exploración” se entiende la búsqueda de yacimientos de costras cobálticas en la Zona en virtud de derechos exclusivos, el análisis de esos yacimientos, la utilización y el ensayo de sistemas y equipo de extracción, instalaciones de tratamiento y sistemas de transporte y la realización de estudios de los factores ambientales, técnicos, económicos y comerciales y otros factores apropiados que haya que tener en cuenta en la explotación;\n\nd) El “medio marino” incluye los componentes, las condiciones y los factores físicos, químicos, geológicos y biológicos que interactúan y determinan la productividad, el estado, la condición y la calidad del ecosistema marino, las aguas de los mares y océanos y el espacio aéreo sobre esas aguas, así como los fondos marinos y oceánicos y su subsuelo; e) Por “prospección” se entiende la búsqueda de yacimientos de costras cobálticas en la Zona, incluida la estimación de la composición, el tamaño y la distribución de esos yacimientos y su valor económico, sin ningún derecho exclusivo; f) Por “daños graves al medio marino” se entienden los efectos causados por las actividades realizadas en la Zona en el medio marino que constituyan un cambio adverso importante del medio marino determinado con arreglo a las normas, los reglamentos y los procedimientos aprobados por la Autoridad sobre la base de normas y prácticas internacionalmente reconocidas.\n\n4. El presente reglamento no afectará de manera alguna a la libertad para realizar investigaciones científicas, de conformidad con el artículo 87 de la Convención, ni al derecho a realizar investigaciones científicas marinas en la Zona, de conformidad con los artículos 143 y 256 de la Convención. No se interpretará parte alguna del presente reglamento como una restricción al ejercicio por los Estados de la libertad de la alta mar con arreglo al artículo 87 de la Convención.\n\n5. El presente reglamento podrá complementarse con normas, reglamentos y procedimientos adicionales, en particular acerca de la protección y preservación del medio marino, y estará sujeto a las disposiciones de la Convención y el Acuerdo y demás normas del derecho internacional que no sean incompatibles con la Convención.\n\nParte II. Prospección\n\nArtículo 2. Prospección\n\n1. La prospección se realizará de conformidad con la Convención y con el presente reglamento y únicamente podrá comenzar una vez que el Secretario General haya informado al prospector de que su notificación ha sido registrada de conformidad con el artículo 4 2).\n\n2. Los prospectores y la Autoridad aplicarán el criterio de precaución enunciado en el principio 15 de la Declaración de Río sobre el medio ambiente y el desarrollo1.\n\n3. La prospección no se iniciará cuando haya pruebas fehacientes de que existe riesgo de daños graves al medio marino.\n\n4. La prospección no podrá realizarse en un área comprendida en un plan de trabajo aprobado para la exploración de costras cobálticas o en un área reservada; tampoco podrá realizarse en un área en la cual el Consejo de la Autoridad\n\n1 Informe de la Conferencia de las Naciones Unidas sobre el Medio Ambiente y el Desarrollo, Río de Janeiro, 3 a 14 de junio de 1992 (publicación de las Naciones Unidas, núm. de venta: S.93.I.8 y corrección), vol. I, Resoluciones aprobadas por la Conferencia, resolución 1, anexo I. Internacional de los Fondos Marinos haya excluido la explotación por el riesgo de daños graves al medio marino.\n\n5. La prospección no conferirá al prospector derecho alguno sobre los recursos. No obstante, el prospector podrá extraer una cantidad razonable de minerales, la necesaria para las pruebas de ensayo, pero no con fines comerciales.\n\n6. La prospección no estará sujeta a plazo, pero la prospección en un área determinada cesará cuando el prospector reciba notificación por escrito del Secretario General de que se ha aprobado un plan de trabajo para la exploración respecto de esa área.\n\n7. La prospección podrá ser realizada simultáneamente por más de un prospector en la misma área o las mismas áreas.\n\nArtículo 3. Notificación de la prospección\n\n1. Quien se proponga proceder a una prospección lo notificará a la Autoridad.\n\n2. Las notificaciones de prospección se harán en la forma prescrita en el anexo I del presente reglamento, serán dirigidas al Secretario General y se ajustarán a los requisitos enunciados en el presente reglamento.\n\n3. Las notificaciones serán presentadas: a) En el caso de los Estados, por la autoridad que designen a tal fin; b) En el caso de una entidad, por sus representantes designados; c) En el caso de la Empresa, por su autoridad competente.\n\n4. Las notificaciones se harán en uno de los idiomas de la Autoridad y contendrán: a) El nombre, la nacionalidad y la dirección de quien se proponga proceder a la prospección y su representante designado;\n\nb) Las coordenadas del área o las áreas generales dentro de las cuales se realizará la prospección, de conformidad con el estándar internacional más reciente e internacionalmente aceptado que aplique la Autoridad; c) Una descripción general del programa de prospección en que consten la fecha de comienzo de las actividades y su duración aproximada;\n\nd) Un compromiso escrito, contraído en forma satisfactoria, de que quien se proponga proceder a la prospección: i) Cumplirá la Convención y las normas, reglamentos y procedimientos de la Autoridad relativos a: a. La cooperación en los programas de capacitación relacionados con la investigación científica marina y la transferencia de tecnología a que se hace referencia en los artículos 143 y 144 de la Convención; y b. ii) La protección y preservación del medio marino; Aceptará que la Autoridad verifique el cumplimiento de lo que antecede; y iii) Facilitará a la Autoridad, en la medida de lo posible, los datos que sean pertinentes para la protección y preservación del medio marino.\n\nArtículo 4. Examen de las notificaciones\n\n1. El Secretario General acusará recibo por escrito de las notificaciones presentadas de conformidad con el artículo 3, especificando la fecha en que las recibió.\n\n2. El Secretario General examinará la notificación y tomará una decisión dentro de los 45 días siguientes a la fecha en que la haya recibido. Si la notificación cumple los requisitos previstos en la Convención y en el presente reglamento, el Secretario General inscribirá los pormenores de la notificación en el registro que llevará a esos efectos e informará de ello al prospector por escrito.\n\n3. El Secretario General, dentro de los 45 días siguientes a la fecha en que reciba la notificación, comunicará por escrito a quien se proponga proceder a la prospección si la notificación incluye una parte de un área comprendida en un plan de trabajo aprobado para la exploración o explotación de cualquier tipo de recursos, una parte de un área reservada o una parte de un área en la cual el Consejo haya excluido la explotación por entrañar riesgos de daños graves al medio marino o que el compromiso escrito no es satisfactorio y le remitirá una exposición escrita de las razones. En tales casos, quien se proponga proceder a la prospección podrá presentar una notificación enmendada en un plazo de 90 días. El Secretario General dispondrá de 45 días para examinar la notificación enmendada y tomar una decisión.\n\n4. El prospector deberá comunicar por escrito al Secretario General cualquier cambio en la información contenida en la notificación.\n\n5. El Secretario General no revelará los pormenores que figuren en la notificación, salvo con el consentimiento escrito del prospector. Sin embargo, el Secretario General comunicará periódicamente a todos los miembros de la Autoridad la identidad del prospector y las áreas en que se estén realizando actividades de prospección sin especificarlas.\n\nArtículo 5. Protección y preservación del medio marino durante la prospección\n\n1. Cada prospector tomará las medidas necesarias para prevenir, reducir y controlar, en la medida de lo razonablemente posible, la contaminación y otros riesgos para el medio marino derivados de la prospección, aplicando un criterio de precaución y las mejores prácticas ambientales. En particular, los prospectores reducirán al mínimo o eliminarán: a) Los efectos ambientales adversos de la prospección; y\n\nb) Los conflictos o las interferencias reales o posibles con las actividades de investigación científica marina existentes o previstas, conforme a las futuras directrices que se establezcan al respecto.\n\n2. Los prospectores cooperarán con la Autoridad para preparar y aplicar programas de vigilancia y evaluación de los posibles efectos sobre el medio marino de la exploración y la explotación de costras cobálticas.\n\n3. El prospector notificará inmediatamente por escrito al Secretario General, utilizando el medio más eficaz, todo incidente dimanado de la prospección que haya causado, esté causando o amenace con causar daños graves al medio marino. Al recibir la notificación, el Secretario General actuará de conformidad con el artículo\n\n35 del presente reglamento.\n\nArtículo 6. Informe anual\n\n1. El prospector presentará a la Autoridad, dentro de los 90 días siguientes al final de cada año civil, un informe sobre el estado de la prospección y el Secretario General lo presentará a la Comisión Jurídica y Técnica. El informe contendrá: a) Una descripción general del estado de la prospección y de los resultados obtenidos;\n\nb) Indicaciones sobre el cumplimiento del compromiso estipulado en el artículo 3 4) d); y c) Información sobre el cumplimiento de las directrices que se establezcan al respecto.\n\n2. El prospector, si se propone resarcirse de los gastos de la prospección como parte de los gastos de inversión que haya efectuado con anterioridad a la producción comercial, deberá presentar un estado financiero anual conforme a los principios contables internacionalmente aceptados y certificado por una empresa de contadores públicos debidamente acreditada sobre los gastos reales y directos que haya realizado con ocasión de la prospección.\n\nArtículo 7. Confidencialidad de los datos y la información contenidos en el informe anual\n\n1. El Secretario General protegerá el carácter confidencial de todos los datos y la información que consten en los informes que se presenten en cumplimiento del artículo 6, aplicando, mutatis mutandis, las disposiciones de los artículos 38 y 39 del presente reglamento, con la salvedad de que no se considerarán confidenciales los datos y la información que se refieran a la protección y preservación del medio marino, en particular los procedentes de programas de vigilancia ambiental. El prospector podrá solicitar que no se divulguen datos de ese tipo durante un período de hasta tres años después de su presentación.\n\n2. El Secretario General podrá en cualquier momento, con el consentimiento del prospector de que se trate, revelar datos e información relativos a la prospección en un área con respecto a la cual se haya presentado la notificación correspondiente. El Secretario General podrá revelar los datos y la información si, tras hacer gestiones razonables durante dos años por lo menos, determinase que el prospector ha dejado de existir o que se desconoce su paradero.\n\nArtículo 8. Objetos de interés arqueológico o histórico El prospector notificará inmediatamente por escrito al Secretario General el hallazgo de cualquier objeto de valor arqueológico o histórico real o potencial y su emplazamiento. El Secretario General transmitirá esa información al Director General de la Organización de las Naciones Unidas para la Educación, la Ciencia y la Cultura.\n\nParte III. Solicitudes de aprobación de planes de trabajo para la exploración en la forma de contratos\n\nSección 1. Disposiciones generales\n\nArtículo 9. Disposición común Con sujeción a las disposiciones de la Convención, podrán solicitar de la Autoridad la aprobación de un plan de trabajo para la exploración: a) La Empresa, actuando en nombre propio o en virtud de un arreglo conjunto;\n\nb) Los Estados partes, las empresas estatales o las personas naturales o jurídicas que posean la nacionalidad de Estados partes o sean efectivamente controlados por ellos o por sus nacionales, cuando las patrocinen dichos Estados, o cualquier agrupación de los anteriores que reúna los requisitos previstos en el presente reglamento.\n\nSección 2. Contenido de la solicitud\n\nArtículo 10. Forma de la solicitud\n\n1. Las solicitudes de aprobación de un plan de trabajo para la exploración se presentarán en la forma indicada en el anexo II del presente reglamento, estarán dirigidas al Secretario General y se ajustarán a los requisitos del presente reglamento.\n\n2. Las solicitudes serán presentadas: a) En el caso de los Estados, por la autoridad que designen a tal fin;\n\nb) En el caso de una entidad, por sus representantes designados o por la autoridad designada con tal fin por el Estado o los Estados patrocinadores; y c) En el caso de la Empresa, por su autoridad competente.\n\n3. En las solicitudes presentadas por una empresa estatal o una de las entidades a que se refiere el artículo 9 b) figurará además: a) Información suficiente para determinar la nacionalidad del solicitante o la identidad del Estado o los Estados, o la de sus nacionales, que lo controlen efectivamente; y\n\nb) El establecimiento o domicilio principal del solicitante y, si procede, el lugar en donde está inscrito.\n\n4. Las solicitudes presentadas por una asociación o un consorcio de entidades incluirán la información requerida en relación con cada uno de los componentes.\n\nArtículo 11. Certificado de patrocinio\n\n1. La solicitud presentada por una empresa estatal o una de las entidades a que se refiere el artículo 9 b) irá acompañada de un certificado de patrocinio expedido por el Estado del cual sea nacional o a cuyo control o el de sus nacionales esté efectivamente sujeta. Si el solicitante tuviere más de una nacionalidad, como en el caso de las asociaciones o consorcios de entidades de más de un Estado, cada uno de ellos expedirá un certificado de patrocinio.\n\n2. Si el solicitante tuviere la nacionalidad de un Estado pero estuviere sujeto al control efectivo de otro Estado o sus nacionales, cada uno de ellos expedirá un certificado de patrocinio.\n\n3. Los certificados de patrocinio serán debidamente firmados en nombre del Estado que los presente y consignarán: a) El nombre del solicitante; b) El nombre del Estado patrocinador; c) Una declaración de que el solicitante: i) Es nacional del Estado patrocinador; o ii) Está sujeto al control efectivo del Estado patrocinador o sus nacionales; d) La declaración de que el Estado patrocina al solicitante; e) La fecha en que el Estado patrocinador depositó el instrumento de ratificación, adhesión o sucesión con respecto a la Convención; f) Una declaración de que el Estado patrocinador asume la responsabilidad a que se hace referencia en los artículos 139 y 153 4) de la Convención, y en el artículo 4 4) del anexo III de esta.\n\n4. Los Estados o las entidades que hayan concertado un arreglo conjunto con la Empresa tendrán que cumplir también lo dispuesto en el presente artículo.\n\nArtículo 12. Superficie total a que se refiere la solicitud\n\n1. A los efectos del presente reglamento, por “bloque de costras cobálticas”, se entiende una o más secciones de la retícula establecida por la Autoridad que puede tener forma cuadrada o rectangular, y una superficie no superior a 20 kilómetros cuadrados.\n\n2. La superficie a que se refiera cada solicitud de aprobación de un plan de trabajo de exploración de costras cobálticas no podrá exceder de 150 bloques de costras cobálticas, que estarán configurados por el solicitante en conglomerados, como se indica en el párrafo 3.\n\n3. Cinco bloques contiguos de bloques de costras cobálticas constituyen un conglomerado de bloques de costras cobálticas. Se consideran contiguos dos de esos bloques que coincidan en cualquier punto. Los conglomerados de bloques de costras cobálticas no deben necesariamente ser contiguos, pero han de hallarse próximos entre sí y estar situados íntegramente en una zona geográfica que no mida más de 550 kilómetros por 550 kilómetros.\n\n4. No obstante lo dispuesto en el párrafo 2, cuando el solicitante opta por aportar un área reservada para desarrollar actividades con arreglo al artículo 9 del anexo III de la Convención, de conformidad con el artículo 17 del presente reglamento, la superficie total a que se refiera la solicitud no podrá exceder de 300 bloques de costras cobálticas. Esos bloques estarán configurados en dos grupos de igual valor comercial estimado y cada uno de esos grupos de bloques de costras cobálticas estará configurado por el solicitante en conglomerados, como se indica en el párrafo 3.\n\nArtículo 13. Capacidad financiera y técnica\n\n1. La solicitud de aprobación de un plan de trabajo para la exploración contendrá información concreta y suficiente que permita al Consejo comprobar si el solicitante tiene la capacidad financiera y técnica para realizar el plan de trabajo para la exploración que propone y para cumplir sus obligaciones financieras con la Autoridad.\n\n2. La solicitud de aprobación de un plan de trabajo para la exploración presentada por la Empresa incluirá una declaración de su autoridad competente en que se certifique que la Empresa cuenta con los recursos financieros necesarios para sufragar los gastos estimados del plan de trabajo para la exploración que propone.\n\n3. La solicitud de aprobación de un plan de trabajo para la exploración presentada por un Estado o una empresa estatal incluirá una declaración del Estado o del Estado patrocinador que certifique que el solicitante tiene los recursos financieros necesarios para sufragar los gastos estimados del plan de trabajo para la exploración que propone.\n\n4. La solicitud de aprobación de un plan de trabajo para la exploración presentada por una entidad incluirá copias de sus estados financieros comprobados, junto con los balances y los estados de pérdidas y ganancias, correspondientes a los tres últimos años ajustados a los principios contables internacionalmente aceptados y certificados por una empresa de contadores públicos debidamente acreditada.\n\n5. Si el solicitante fuere una entidad recientemente organizada y no tuviere balances certificados, la solicitud incluirá un balance pro forma certificado por un funcionario competente del solicitante.\n\n6. Si el solicitante fuere una filial de otra entidad, la solicitud incluirá copias de los estados financieros de esa entidad y declaración de esa entidad ajustada a los principios contables internacionalmente aceptados y certificada por una empresa de contadores públicos debidamente acreditada de que el solicitante contará con los recursos financieros para ejecutar el plan de trabajo para la exploración.\n\n7. Si el solicitante estuviere bajo el control de un Estado o una empresa estatal, la solicitud incluirá la certificación del Estado o la empresa estatal de que el solicitante contará con los recursos financieros para realizar el plan de trabajo para la exploración.\n\n8. Si una de las entidades que solicitan la aprobación de un plan de trabajo para la exploración tuviese la intención de financiar el plan propuesto mediante empréstitos, su solicitud deberá hacer mención del importe de los empréstitos, el período de amortización y el tipo de interés.\n\n9. Todas las solicitudes incluirán: a) Una descripción general de la experiencia, los conocimientos, la pericia, la competencia técnica y la especialización del solicitante pertinentes al plan de trabajo para la exploración que propone;\n\nb) Una descripción general del equipo y los métodos que se prevé utilizar en la realización del plan de trabajo para la exploración que se propone y otra información pertinente, que no sea objeto de derechos de propiedad intelectual, acerca de las características de esa tecnología; c) Una descripción general de la capacidad financiera y técnica del solicitante para actuar en caso de incidente o actividad que causen daños graves al medio marino.\n\n10. Si el solicitante fuere una asociación o un consorcio de entidades que hubieren concertado un arreglo conjunto, cada una de ellas proporcionará la información prevista en el presente reglamento.\n\nArtículo 14. Contratos anteriores con la Autoridad Si se hubiere adjudicado anteriormente un contrato con la Autoridad al solicitante o, en caso de que la solicitud hubiese sido presentada por una asociación o un consorcio de entidades que hubieran concertado un arreglo conjunto, a cualquiera de esas entidades, la solicitud incluirá: a) La fecha del contrato o los contratos anteriores;\n\nb) La fecha, los números de referencia y el título de cada informe presentado a la Autoridad en relación con el contrato o los contratos; y c) La fecha de terminación del contrato o los contratos, si procediere.\n\nArtículo 15. Obligaciones Como parte de su solicitud de aprobación de un plan de trabajo para la exploración, los solicitantes, incluida la Empresa, se comprometerán por escrito con la Autoridad a: a) Aceptar y cumplir las obligaciones aplicables que dimanen de las disposiciones de la Convención y las normas, los reglamentos y los procedimientos de la Autoridad, las decisiones de los órganos de la Autoridad y las cláusulas de los contratos celebrados con ella;\n\nb) Aceptar el control de la Autoridad sobre las actividades en la Zona en la forma autorizada por la Convención; y c) Dar a la Autoridad por escrito seguridades de que cumplirá de buena fe las obligaciones estipuladas en el contrato.\n\nArtículo 16. Elección por el solicitante de la aportación de un área reservada u ofrecimiento de una participación en una empresa conjunta En la solicitud, el solicitante consignará si elige la opción de: a) Aportar un área reservada para realizar actividades en virtud de lo dispuesto en el artículo 9 del anexo III de la Convención, de conformidad con lo dispuesto en el artículo 17;\n\nb) Ofrecer una participación en una empresa conjunta de conformidad con lo dispuesto en el artículo 19.\n\nArtículo 17. Datos e información que deberán presentarse antes de la designación de un área reservada\n\n1. Cuando el solicitante opte por aportar un área reservada para realizar actividades en virtud de lo dispuesto en el artículo 9 del anexo III de la Convención, el área a que se refiere la solicitud será suficientemente extensa y de suficiente valor comercial estimado para permitir dos explotaciones mineras y será configurada por el solicitante de conformidad con el artículo 12 4).\n\n2. Dichas solicitudes contendrán datos e información suficientes, con arreglo a lo dispuesto en la sección II del anexo II del presente reglamento, respecto del área solicitada para que el Consejo pueda, por recomendación de la Comisión Jurídica y Técnica, designar un área reservada sobre la base del valor comercial estimado de cada una de las partes. Esos datos e información consistirán en los datos de que disponga el solicitante respecto de las dos partes del área solicitada, incluidos los datos empleados para determinar su valor comercial.\n\n3. El Consejo, sobre la base de los datos y la información presentados por el solicitante, con arreglo a la sección II del anexo II del presente reglamento, si los estima satisfactorios, y teniendo en cuenta la recomendación de la Comisión Jurídica y Técnica, designará la parte del área solicitada que será área reservada. El área así designada pasará a ser área reservada tan pronto como se apruebe el plan de trabajo para la exploración correspondiente al área no reservada y se firme el contrato. El Consejo, si determina que, de conformidad con el reglamento y el anexo II, se necesita información adicional para designar el área reservada, devolverá la cuestión a la Comisión para su ulterior examen especificando la información adicional necesaria.\n\n4. Una vez aprobado el plan de trabajo para la exploración y firmado un contrato, la Autoridad, de conformidad con el artículo 14 3) del anexo III de la Convención, podrá dar a conocer la información y los datos que le haya trasmitido el solicitante respecto del área reservada.\n\nArtículo 18. Solicitudes de aprobación de planes de trabajo en relación con un área reservada\n\n1. Todo Estado en desarrollo o toda persona natural o jurídica patrocinada por él y que esté bajo su control efectivo o bajo el de otro Estado en desarrollo, o toda agrupación de los anteriores, podrá notificar a la Autoridad su intención de presentar un plan de trabajo para la exploración respecto de un área reservada. El Secretario General transmitirá la notificación a la Empresa, la cual informará al Secretario General por escrito dentro del plazo de seis meses si tiene o no intención de realizar actividades en esa área reservada. La Empresa, si tiene el propósito de realizar actividades en el área reservada, en cumplimiento de lo dispuesto en el párrafo 4 también informará por escrito al Contratista en cuya solicitud de aprobación de un plan de trabajo para la exploración se incluía esa área.\n\n2. Se podrán presentar solicitudes de aprobación de un plan de trabajo para la exploración respecto de un área reservada en cualquier momento después de que ésta quede disponible tras la decisión de la Empresa de no realizar actividades en ella o cuando, en el plazo de seis meses contados desde la notificación por el Secretario General, la Empresa no haya adoptado la decisión de realizar actividades en esa área o no haya notificado por escrito al Secretario General que está celebrando negociaciones relativas a una posible empresa conjunta. En este último caso, la Empresa tendrá un año a partir de la fecha de esa notificación para decidir si realizará actividades en el área mencionada.\n\n3. Si la Empresa, un Estado en desarrollo o una de las entidades a que se refiere el párrafo 1 no presentase una solicitud de aprobación de un plan de trabajo para la exploración para realizar actividades en un área reservada en el plazo de 15 años contados desde que la Empresa hubiera empezado a funcionar con independencia de la Secretaría de la Autoridad, o en el plazo de 15 años contados desde la fecha en que esa área se hubiera reservado para la Autoridad, si esta fecha fuere posterior, el Contratista en cuya solicitud de aprobación de un plan de trabajo para la exploración se incluía esa área tendrá derecho a solicitar la aprobación de un plan de trabajo para la exploración respecto de ella siempre que ofrezca de buena fe incluir a la Empresa como socia en una empresa conjunta.\n\n4. Un contratista tendrá derecho de opción preferente para concertar un arreglo de empresa conjunta con la Empresa para la exploración del área incluida en su solicitud de aprobación de un plan de trabajo para la exploración que el Consejo haya designado área reservada.\n\nArtículo 19. Participación en una empresa conjunta\n\n1. Cuando el solicitante opte por ofrecer una participación en una empresa conjunta, presentará los datos y la información correspondientes de conformidad con lo dispuesto en el artículo 20. El área que se asignará al solicitante estará sujeta a lo dispuesto en el artículo 27.\n\n2. El acuerdo de empresa conjunta, que entrará en vigor en el momento en que el solicitante firme un contrato para la explotación, deberá incluir lo siguiente: a) La Empresa obtendrá una participación mínima del 20% en la empresa conjunta sobre la base siguiente: i) La mitad de esa participación se obtendrá sin el pago de ninguna contraprestación, directa o indirecta, al solicitante y se considerará pari passu con la participación del solicitante a todos los efectos; ii) El resto de esa participación se considerará pari passu con la participación del solicitante a todos los efectos, con la salvedad de que la Empresa no participará en la distribución de beneficios con respecto a esa participación hasta que el solicitante haya recuperado el total de su participación en la empresa conjunta;\n\nb) No obstante lo dispuesto en el apartado a), el solicitante ofrecerá a la Empresa la posibilidad de adquirir hasta un 30% más de participación en la empresa conjunta o un porcentaje inferior, si así lo decide la Empresa, sobre la base de una consideración pari passu con el solicitante a todos los efectos2; c) Salvo que así se disponga expresamente en el acuerdo entre el solicitante y la Empresa, esta no estará obligada en virtud de su participación a proporcionar fondos o créditos o a emitir garantías o aceptar ninguna otra seguridad financiera de cualquier tipo para la empresa conjunta o en nombre de esta, ni podrá exigirse a la Empresa que suscriba una participación adicional para mantener la proporción de su participación en la empresa conjunta.\n\nArtículo 20. Datos e información que deben presentarse para la aprobación del plan de trabajo para la exploración\n\n1. Cada solicitante presentará, a fin de que se apruebe el plan de trabajo para exploración en forma de un contrato, la información siguiente: a) Una descripción general del programa de exploración propuesto y el período dentro del cual se propone terminarla, con inclusión de los detalles del programa de actividades para el período inmediato de cinco años, como los estudios que se han de realizar respecto de los factores ambientales, técnicos, económicos y otros factores apropiados que haya que tener en cuenta en la exploración;\n\nb) Una descripción de un programa de estudios de referencia oceanográficos y ambientales de conformidad con el presente reglamento y con las normas, reglamentos y procedimientos ambientales publicados por la Autoridad que permiten hacer una evaluación del posible impacto ambiental, en la biodiversidad, entre otros casos, de las actividades de exploración propuestas, teniendo en cuenta las recomendaciones de la Comisión Jurídica y Técnica; c) Una evaluación preliminar del posible impacto en el medio marino de las actividades de exploración propuestas;\n\nd) Una descripción de las medidas propuestas para prevenir, reducir y controlar la contaminación y otros riesgos para el medio marino, así como los posibles efectos en él; e) Los datos necesarios para que el Consejo pueda adoptar la decisión que le incumbe con arreglo al artículo 13 1); y f) Un plan de los gastos anuales previstos en relación con el programa de actividades para el período inmediato de cinco años.\n\n2. El solicitante, cuando opte por aportar un área reservada, transferirá a la Autoridad los datos y la información correspondientes a ésta cuando el Consejo haya designado el área reservada de conformidad con lo dispuesto en el artículo 17 3).\n\n2 Habrá que seguir precisando las condiciones y modalidades de esa participación en la empresa conjunta.\n\n3. Cuando el solicitante opte por ofrecer una participación en una empresa conjunta, transferirá en ese momento a la Autoridad los datos y la información correspondientes al área.\n\nSección 3. Derechos de tramitación\n\nArtículo 21. Pago de derechos\n\n1. Los derechos de tramitación de una solicitud para la aprobación de un plan de exploración de costras cobálticas consistirán en: una suma fija de 500.000 dólares de los Estados Unidos o su equivalente en moneda de libre convertibilidad, que se pagará íntegramente al momento de presentar la solicitud.\n\n2. Si los gastos administrativos hechos por la Autoridad al tramitar una solicitud son menores a la suma fija que se indica en el párrafo 1, la Autoridad devolverá al solicitante la diferencia. Si los gastos administrativos hechos por la Autoridad al tramitar una solicitud son mayores a la suma fija que se indica en el párrafo 1, el solicitante abonará la diferencia a la Autoridad, siempre que la suma adicional que deba pagar el solicitante no sea superior al 10% de la suma fija a que se refiere el párrafo 1.\n\n3. Teniendo en cuenta cualquier criterio establecido por el Comité de Finanzas con este propósito, el Secretario General determinará la suma de las diferencias que se indican en el párrafo 2 y la notificará al solicitante. La notificación incluirá una declaración de los gastos realizados por la Autoridad. La cantidad adeudada será abonada por el solicitante o reembolsada por la Autoridad en un plazo de tres meses a partir de la firma del contrato a que se refiere el artículo 25.\n\n4. La suma fija a que se refiere el párrafo 1 será revisada periódicamente por el Consejo a fin de asegurar que cubre los gastos administrativos previstos para la tramitación de las solicitudes y evitar la necesidad de que los solicitantes desembolsen sumas adicionales con arreglo al párrafo 2.\n\nSección 4. Tramitación de las solicitudes\n\nArtículo 22. Recepción, acuse de recibo y custodia de las solicitudes El Secretario General: a) Acusará recibo por escrito dentro de los 30 días siguientes a la fecha en que haya recibido una solicitud de aprobación de un plan de trabajo para exploración presentada conforme a lo dispuesto en esta Parte y especificará esa fecha;\n\nb) Conservará a buen recaudo la solicitud y los documentos adjuntos y anexos y preservará el carácter confidencial de todos los datos y la información de esa naturaleza que se incluyan en la solicitud; y c) Notificará a los miembros de la Autoridad que ha recibido una solicitud y les transmitirá la información general sobre ella que no tenga carácter confidencial.\n\nArtículo 23. Examen por la Comisión Jurídica y Técnica\n\n1. El Secretario General, al recibir una solicitud de aprobación de un plan de trabajo para la exploración, lo notificará a los miembros de la Comisión Jurídica y Técnica e incluirá su examen en el orden del día de la siguiente sesión de la Comisión. La Comisión únicamente examinará las solicitudes respecto de las cuales el Secretario General haya presentado la notificación y transmitido la información que se disponen en el artículo 22 c) al menos 30 días antes del inicio de la sesión de la Comisión en que han de examinarse.\n\n2. La Comisión examinará las solicitudes en el orden en que sean recibidas.\n\n3. La Comisión determinará si el solicitante: a) Ha cumplido las disposiciones del presente reglamento;\n\nb) Ha contraído los compromisos y dado las garantías indicados en el artículo 15; c) Tiene la capacidad financiera y técnica para llevar a cabo el plan de trabajo para la exploración propuesto y ha proporcionado detalles acerca de su capacidad para cumplir prontamente una orden de emergencia; y\n\nd) Ha cumplido debidamente sus obligaciones con respecto a contratos anteriores con la Autoridad.\n\n4. La Comisión determinará, de conformidad con lo dispuesto en el presente reglamento y sus procedimientos, si el plan de trabajo para la exploración propuesto: a) Contiene disposiciones relativas a la protección efectiva de la vida y la seguridad humanas;\n\nb) Contiene disposiciones relativas a la protección y preservación del medio marino, al impacto en la biodiversidad entre otras cosas; c) Asegura que no se erigirán instalaciones de modo que causen interferencia en la utilización de vías marítimas esenciales para la navegación internacional o en áreas de intensa actividad pesquera.\n\n5. La Comisión, si hace las determinaciones indicadas en el párrafo 3 y constata que el plan de trabajo para la exploración propuesto cumple los requisitos del párrafo 4, recomendará al Consejo que lo apruebe.\n\n6. La Comisión no recomendará que se apruebe un plan de trabajo para la exploración propuesto si una parte o la totalidad del área abarcada por él está incluida en: a) Un plan de trabajo para la exploración de costras cobálticas aprobado por el Consejo; o\n\nb) Un plan de trabajo para la exploración o la explotación de otros recursos aprobado por el Consejo si el plan de trabajo para la exploración de costras cobálticas propuesto puede dificultar indebidamente las actividades del plan de trabajo aprobado para aquellos otros recursos; o c) Un área cuya explotación haya sido excluida por el Consejo en virtud de pruebas fehacientes del riesgo de causar daños graves al medio marino.\n\n7. La Comisión podrá recomendar que se apruebe un plan de trabajo si determina que con ello impediría que un Estado parte o entidades patrocinadas por él monopolizaran la realización de actividades en la Zona en relación con las costras cobálticas o evitaran que otros Estados partes ejecutaran actividades vinculadas a las costras cobálticas en la Zona.\n\n8. Salvo las solicitudes presentadas por la Empresa, en su nombre o en el de una empresa conjunta, y las solicitudes a que se refiere el artículo 18, la Comisión no recomendará la aprobación del plan de trabajo para la exploración si una parte o la totalidad del área abarcada por el plan de trabajo para la exploración que se propone está incluida en un área reservada o designada por el Consejo como reservada.\n\n9. La Comisión, si determina que una solicitud no cumple con lo dispuesto en el presente reglamento, lo notificará al solicitante por escrito, por intermedio del Secretario General, indicando las razones. El solicitante podrá enmendar la solicitud dentro de los 45 días siguientes a esa notificación. Si la Comisión, tras un nuevo examen, entiende que no debe recomendar la aprobación del plan de trabajo para la exploración, lo comunicará al solicitante, dándole un plazo de 30 días, a contar desde la fecha de la comunicación, para presentar sus observaciones. La Comisión tomará en consideración las observaciones del solicitante al preparar su informe y la recomendación al Consejo.\n\n10. Al examinar el plan de trabajo para la exploración propuesto, la Comisión tendrá en cuenta los principios, normas y objetivos relacionados con las actividades en la Zona que se enuncian en la Parte XI y el Anexo III de la Convención y en el Acuerdo.\n\n11. La Comisión examinará las solicitudes sin dilación y presentará al Consejo un informe y recomendaciones sobre la designación de las áreas y sobre el plan de trabajo para la exploración en la primera oportunidad posible, teniendo en cuenta el programa de reuniones de la Autoridad.\n\n12. La Comisión, en el desempeño de sus funciones, aplicará el presente reglamento y las normas, los reglamentos y los procedimientos de la Autoridad de manera uniforme y no discriminatoria.\n\nArtículo 24. Examen y aprobación por el Consejo de los planes de trabajo para la exploración El Consejo examinará los informes y las recomendaciones de la Comisión Jurídica y Técnica relativos a la aprobación de planes de trabajo para la exploración de conformidad con los párrafos 11 y 12 de la sección 3 del anexo del Acuerdo.\n\nParte IV. Contratos de exploración\n\nArtículo 25. El contrato\n\n1. El plan de trabajo para la exploración, una vez aprobado por el Consejo, será preparado en la forma de un contrato entre la Autoridad y el solicitante como se prescribe en el anexo III del presente reglamento. Cada contrato de ese tipo incluirá las cláusulas estándar mencionadas en el anexo IV que estén vigentes en la fecha en que entre en vigor el contrato.\n\n2. El contrato será firmado por el Secretario General, en nombre de la Autoridad, y por el solicitante. El Secretario General notificará por escrito a todos los miembros de la Autoridad cada uno de los contratos que firme.\n\nArtículo 26. Derechos del contratista\n\n1. El contratista tendrá el derecho exclusivo de explorar un área abarcada por el plan de trabajo de la exploración respecto de las costras cobálticas. La Autoridad velará por que ninguna otra entidad realice en la misma área actividades relacionadas con otros recursos de forma tal que pueda dificultar las operaciones del contratista.\n\n2. El contratista cuyo plan de trabajo para realizar únicamente actividades de exploración haya sido aprobado tendrá preferencia y prioridad respecto de los demás solicitantes que hayan presentado un plan de trabajo para la explotación de la misma área o de los mismos recursos. El Consejo podrá retirar esa preferencia o prioridad si el contratista no hubiere cumplido las condiciones del plan de trabajo para la exploración aprobado dentro del plazo fijado en uno o varios avisos dados por escrito por el Consejo al contratista en los que indique los requisitos que este no ha cumplido. El plazo fijado en este tipo de avisos será razonable. Deberá otorgarse al contratista una oportunidad razonable de ser oído antes de que la decisión de retirar la preferencia o prioridad sea firme. El Consejo indicará las razones por las cuales se propone retirar la preferencia o prioridad y tomará en consideración las observaciones del contratista. La decisión del Consejo tendrá en cuenta tales observaciones y se adoptará sobre la base de pruebas fehacientes.\n\n3. La preferencia o prioridad no quedará efectivamente retirada hasta que se haya dado al contratista oportunidad razonable de agotar los recursos judiciales de que dispone de conformidad con la Parte XI, sección 5, de la Convención.\n\nArtículo 27. Dimensión del área y cesión de partes de ella\n\n1. El contratista cederá el área que le hubiese sido asignada según lo dispuesto en el párrafo 1 del presente artículo. El área objeto de la cesión no tendrá que ser contigua y el contratista la configurará en la forma de subbloques que comprenderán uno o más secciones de una retícula establecida por la Autoridad. A más tardar al final del octavo año contado a partir de la fecha del contrato, el contratista habrá cedido al menos un tercio del área original que le había sido asignada; a más tardar al final del décimo año contado a partir de la fecha del contrato, el contratista habrá cedido al menos dos tercios del área original que le había sido asignada; o al final del decimoquinto año contado a partir de la fecha del contrato, o cuando el contratista solicite derechos de explotación, lo que antes suceda, el contratista designará, de lo que le quede del área que le había sido asignada, un área que conservará para fines de explotación.\n\n2. No obstante lo dispuesto en el párrafo 1, un contratista no deberá ceder ninguna parte adicional de esa área cuando lo que le quede del área que le había sido asignada tras la cesión no sea superior a 1.000 kilómetros cuadrados.\n\n3. El contratista podrá en cualquier momento ceder partes del área que le hubiese sido asignada antes de los plazos fijados en el párrafo 1.\n\n4. Las áreas cedidas se revertirán a la Zona.\n\n5. El Consejo, a solicitud del contratista y por recomendación de la Comisión, podrá, en circunstancias excepcionales, extender el cronograma para la cesión. La determinación de esas circunstancias excepcionales competerá al Consejo e incluirá, entre otras, la consideración de las circunstancias económicas imperantes u otras circunstancias excepcionales imprevistas que se hubieran presentado en conexión con las actividades operacionales del contratista.\n\nArtículo 28. Duración de los contratos\n\n1. Los planes de trabajo para la exploración serán aprobados por un período de 15 años. Cuando venza el plan de trabajo para la exploración, el contratista deberá solicitar uno para la explotación, a menos que lo haya hecho ya, haya obtenido una prórroga del plan de trabajo para la exploración o decida renunciar a sus derechos en el área a que se refiere este.\n\n2. A más tardar seis meses antes de la expiración de un plan de trabajo para la exploración, el contratista podrá solicitar que este se prorrogue por períodos no superiores a cinco años cada vez. Las prórrogas serán aprobadas por el Consejo, previa recomendación de la Comisión, siempre que el contratista se haya esforzado de buena fe por cumplir los requisitos del plan de trabajo pero, por razones ajenas a su voluntad, no haya podido completar el trabajo preparatorio necesario para pasar a la etapa de explotación o las circunstancias económicas imperantes no justifiquen que se pase a esa etapa.\n\nArtículo 29. Capacitación De conformidad con el artículo 15 del anexo III de la Convención, todos los contratos incluirán en un anexo un programa práctico para la capacitación del personal de la Autoridad y de los Estados en desarrollo, preparado por el contratista en cooperación con la Autoridad y el Estado o los Estados patrocinadores. El programa de capacitación se centrará en la realización de la exploración, y dispondrá la plena participación de dicho personal en todas las actividades previstas en el contrato. Este programa podrá ser revisado y ampliado de común acuerdo, según sea necesario.\n\nArtículo 30. Examen periódico de la ejecución del plan de trabajo para la exploración\n\n1. El contratista y el Secretario General procederán conjuntamente a un examen periódico de la ejecución del plan de trabajo para la exploración a intervalos de cinco años. El Secretario General podrá pedir al contratista que presente los datos y la información adicionales que sean necesarios para los fines del examen.\n\n2. El contratista, a la luz del examen, indicará su programa de actividades para el quinquenio siguiente e introducirá en el programa anterior los ajustes que sean necesarios.\n\n3. El Secretario General presentará un informe sobre el examen a la Comisión y al Consejo. En su informe el Secretario General indicará si en el examen se tuvieron en cuenta las observaciones que le hubiesen comunicado los Estados partes en la Convención acerca del cumplimiento por el contratista de sus obligaciones en virtud del presente reglamento en lo relativo a la protección y preservación del medio marino.\n\nArtículo 31. Terminación del patrocinio\n\n1. El contratista deberá tener el patrocinio necesario durante todo el período de vigencia del contrato.\n\n2. El Estado que ponga término al patrocinio lo notificará sin dilación y por escrito al Secretario General. El Estado patrocinador también comunicará al Secretario General las razones de la terminación del patrocinio. La terminación del patrocinio surtirá efecto seis meses después de la fecha en que el Secretario General reciba la notificación, a menos que en esta se especifique una fecha ulterior.\n\n3. En el caso de que termine el patrocinio, el contratista tendrá el plazo mencionado en el párrafo 2 para obtener otro patrocinador, el cual deberá presentar otro certificado de patrocinio de conformidad con lo dispuesto en el artículo 11. Si el contratista no consiguiere un patrocinador dentro del plazo prescrito, el contrato quedará resuelto.\n\n4. La terminación del patrocinio no eximirá al Estado de ninguna de las obligaciones contraídas cuando era Estado patrocinante ni afectará a los derechos y obligaciones surgidos durante el patrocinio.\n\n5. El Secretario General notificará a los miembros de la Autoridad la terminación o modificación del patrocinio.\n\nArtículo 32. Responsabilidad La responsabilidad del contratista y de la Autoridad se ajustará a la Convención. El contratista seguirá siendo responsable de todos los daños y perjuicios derivados de los actos ilícitos cometidos en la realización de sus operaciones, en particular los daños al medio marino, después de finalizada la etapa de exploración.\n\nParte V. Protección y preservación del medio marino\n\nArtículo 33. Protección y preservación del medio marino\n\n1. La Autoridad, con arreglo a la Convención y el Acuerdo, dictará normas, reglamentos y procedimientos ambientales y los revisará periódicamente para asegurar que se proteja eficazmente al medio marino contra los efectos nocivos que puedan derivarse de las actividades en la Zona.\n\n2. Para asegurar la protección eficaz del medio marino contra los efectos nocivos que puedan derivarse de las actividades en la Zona, la Autoridad y los Estados patrocinadores aplicarán el criterio de precaución enunciado en el principio 15 de la Declaración de Río y las mejores prácticas ambientales.\n\n3. La Comisión Jurídica y Técnica hará recomendaciones al Consejo sobre la aplicación de los dos párrafos precedentes.\n\n4. La Comisión establecerá y aplicará procedimientos para determinar, sobre la base de la mejor información científica y técnica disponible, incluida la proporcionada de conformidad con el artículo 20, si las actividades de exploración propuestas en la Zona tendrían graves efectos nocivos en ecosistemas marinos vulnerables, en particular los asociados a montes submarinos y los arrecifes de coral de aguas frías, y para cerciorarse de que, en caso de determinarse que ciertas actividades de exploración propuestas tendrían graves efectos nocivos en ecosistemas marinos vulnerables, se proceda a una ordenación de esas actividades destinada a prevenir esos efectos o no se autorice su realización.\n\n5. Con arreglo al artículo 145 de la Convención y el párrafo 2 del presente artículo, el contratista tomará las medidas necesarias para prevenir, reducir y controlar la contaminación del medio marino y otros riesgos para éste derivados de sus actividades en la Zona aplicando a esos efectos, en la medida que sea razonablemente posible, un criterio de precaución y las mejores prácticas ambientales.\n\n6. Los contratistas, los Estados patrocinadores y otros Estados o entidades interesados cooperarán con la Autoridad en la preparación y aplicación de programas para la vigilancia y evaluación de los efectos sobre el medio marino de la extracción de minerales de los fondos marinos. Cuando así lo disponga el Consejo, dichos programas han de incluir propuestas de zonas que se utilicen exclusivamente como zonas de referencia para los efectos y para la preservación. Se entenderá por “zonas de referencia para los efectos” las que se utilicen para evaluar los efectos en el medio marino de las actividades en la Zona y que sean representativas de las características ambientales de la Zona. Se entenderá por “zonas de referencia para la preservación” aquellas en que no se efectuarán extracciones a fin de que la biota del fondo marino se mantenga representativa y estable y permita evaluar los cambios que tengan lugar en la biodiversidad del medio marino.\n\nArtículo 34. Líneas de base ambientales y vigilancia\n\n1. En todo contrato se exigirá al contratista que reúna datos ambientales de referencia y establezca líneas de base ambientales, teniendo en cuenta las recomendaciones que hubiese formulado la Comisión Jurídica y Técnica con arreglo al artículo 41, para evaluar los efectos probables en el medio marino de su programa de actividades en virtud del plan de trabajo para la exploración, así como un programa para vigilar esos efectos y presentar informes al respecto. Las recomendaciones de la Comisión podrán referirse, entre otras cosas, a las actividades de exploración respecto de las cuales se considere que no tienen posibilidades de causar efectos nocivos en el medio marino. El contratista cooperará con la Autoridad y el Estado o los Estados patrocinadores en la formulación y ejecución del programa de vigilancia.\n\n2. El contratista informará por escrito anualmente al Secretario General de la aplicación y los resultados del programa de vigilancia mencionado en el párrafo 1 y le presentará datos e información teniendo en cuenta las recomendaciones formuladas por la Comisión con arreglo al artículo 41. El Secretario General transmitirá a la Comisión dichos informes para que los examine de conformidad con el artículo 165 de la Convención.\n\nArtículo 35. Órdenes de emergencia\n\n1. El contratista notificará rápidamente y por escrito al Secretario General, utilizando el medio más eficaz para ello, cualquier incidente derivado de sus actividades que haya causado, esté causando o amenace con causar daños graves al medio marino.\n\n2. El Secretario General, al ser notificado por un contratista o tomar conocimiento de otra manera de un incidente derivado de las actividades del contratista en la Zona haya causado, esté causando o amenace con causar daños graves al medio marino, hará que se publique una notificación general del incidente, notificará por escrito al contratista y al Estado o los Estados patrocinadores y presentará inmediatamente un informe a la Comisión Jurídica y Técnica, al Consejo y a todos los demás miembros de la Autoridad. Se distribuirá un ejemplar del informe a las organizaciones internacionales competentes y a las organizaciones e instituciones subregionales, regionales y mundiales a que concierna. El Secretario General mantendrá en observación lo que ocurra en relación con dichos incidentes e informará de ellos, según proceda, a la Comisión, al Consejo y a los demás miembros de la Autoridad.\n\n3. Hasta que el Consejo adopte una decisión, el Secretario General tomará en forma inmediata medidas de carácter temporal, prácticas y razonables en las circunstancias del caso para prevenir, contener y reducir al mínimo un daño grave al medio marino o la amenaza de un daño grave al medio marino. Esas medidas temporales tendrán vigencia por un período máximo de 90 días o hasta que el Consejo, en su período ordinario de sesiones siguiente o en un período extraordinario de sesiones, decida si se tomarán medidas con arreglo al párrafo 6 del presente artículo y, en la afirmativa, cuáles.\n\n4. Después de haber recibido el informe del Secretario General, la Comisión determinará, sobre la base de las pruebas presentadas y teniendo en cuenta las medidas que haya tomado el contratista, qué otras medidas son necesarias para hacer frente efectivamente al incidente con vistas a prevenir, contener y reducir al mínimo un daño grave o la amenaza de un daño grave al medio marino y formulará recomendaciones al Consejo.\n\n5. El Consejo examinará las recomendaciones de la Comisión.\n\n6. El Consejo, tomando en cuenta las recomendaciones de la Comisión, el informe del Secretario General, la información que proporcione el contratista y cualquier otra información pertinente, podrá expedir órdenes de emergencia que podrán incluir la suspensión o el ajuste de las operaciones según sea razonablemente necesario con el objeto de prevenir, contener o reducir al mínimo un daño grave o la amenaza de un daño grave al medio marino derivado de actividades realizadas en la Zona.\n\n7. Si un contratista no cumple prontamente una orden de emergencia para prevenir, contener o reducir al mínimo un daño grave o la amenaza de un daño grave al medio marino derivado de sus actividades en la Zona, el Consejo adoptará, por sí mismo o mediante mecanismos concertados en su nombre con terceros, las medidas prácticas que sean necesarias para prevenir, contener y reducir al mínimo cualquier daño grave o amenaza de daño grave al medio marino.\n\n8. A fin de que el Consejo pueda, en caso necesario, adoptar inmediatamente las medidas prácticas para prevenir, contener y reducir al mínimo un daño grave o la amenaza de un daño grave al medio marino a que se hace referencia en el párrafo 7, el contratista, antes de comenzar el ensayo de los sistemas de recolección y las operaciones de tratamiento, dará al Consejo una garantía de su capacidad financiera y técnica de cumplir rápidamente las órdenes de emergencia o de asegurar que el Consejo pueda adoptar ese tipo de medidas de emergencia. Si el contratista no diese al Consejo esa garantía, el Estado o los Estados patrocinadores deberán, en respuesta a una solicitud del Secretario General y en virtud de los artículos 139 y 235 de la Convención, adoptar las medidas necesarias para que el contratista dé dicha garantía o adoptar medidas para que se preste esa asistencia a la Autoridad en el cumplimiento de las obligaciones que le incumben en virtud del párrafo 7.\n\nArtículo 36. Derechos de los Estados ribereños\n\n1. Nada de lo dispuesto en el presente reglamento se entenderá en perjuicio de los derechos que tienen los Estados ribereños en virtud del artículo 142 y otras disposiciones pertinentes de la Convención.\n\n2. El Estado ribereño que tuviera motivos para creer que una actividad de un contratista en la Zona haya probablemente de causar un daño grave o la amenaza de un daño grave al medio marino bajo su jurisdicción o soberanía podrá notificar al Secretario General por escrito esos motivos. El Secretario General dará al contratista y al Estado o los Estados patrocinadores un plazo razonable para examinar las pruebas, si las hubiere, presentadas por el Estado ribereño para corroborar sus afirmaciones. El contratista y el Estado o los Estados que lo patrocinen podrán presentar sus observaciones al respecto al Secretario General dentro de un plazo razonable.\n\n3. De haber motivos claros para considerar que es probable que se causen daños graves al medio marino, el Secretario General actuará con arreglo al artículo 35 y, de ser necesario, tomará medidas inmediatas de carácter temporal, de conformidad con lo dispuesto en el párrafo 3 de ese artículo.\n\n4. Los contratistas tomarán todas las medidas necesarias para garantizar que sus actividades se realicen de tal forma que no causen daños graves al medio marino bajo la jurisdicción o soberanía de otros Estados ribereños, contaminación entre otros, y que los daños graves o la contaminación causados por incidentes o actividades en su zona de exploración no se extiendan más allá de dicha zona.\n\nArtículo 37. Restos humanos y objetos y sitios de carácter arqueológico o histórico El contratista, si hallare en la zona de exploración restos humanos de carácter arqueológico o histórico o cualquier objeto o sitio de carácter similar, notificará inmediatamente al Secretario General por escrito del hallazgo y su ubicación, así como de las medidas de preservación y protección que se hayan adoptado. El Secretario General transmitirá de inmediato la información al Director General de la Organización de las Naciones Unidas para la Educación, la Ciencia y la Cultura y a cualquier otra organización internacional competente. Tras el hallazgo de un resto humano, objeto o sitio de esa índole en la zona de exploración y a fin de no perturbarlos, no se llevará a cabo ninguna otra prospección o exploración dentro de un radio razonable hasta que el Consejo decida otra cosa teniendo en cuenta las observaciones del Director General de la Organización de las Naciones Unidas para la Educación, la Ciencia y la Cultura o de cualquier otra organización competente.\n\nParte VI. Confidencialidad\n\nArtículo 38. Carácter confidencial de los datos y la información\n\n1. Los datos y la información presentados o transmitidos a la Autoridad o a cualquier persona que participe en una actividad o programa de la Autoridad en virtud del presente reglamento o un contrato expedido en virtud de él y calificados de confidenciales por el contratista, en consulta con el Secretario General, se considerarán confidenciales a menos que se trate de datos e información: a) fuentes; De dominio público o que se puedan obtener públicamente de otras\n\nb) Dados a conocer previamente por el propietario a otros sin obligación alguna en materia de confidencialidad; o c) Que se encuentre ya en poder de la Autoridad sin obligación alguna en materia de confidencialidad.\n\n2. No se considerarán confidenciales los datos y la información necesarios para que la Autoridad formule normas, reglamentos y procedimientos sobre la protección y preservación del medio marino y su seguridad que no sean datos relativos al diseño del equipo que estén protegidos por derechos de propiedad intelectual.\n\n3. Los datos y la información confidenciales solo podrán ser utilizados por el Secretario General y el personal de la Secretaría que autorice el Secretario General y por los miembros de la Comisión Jurídica y Técnica en la medida en que sean necesarios y pertinentes para el ejercicio efectivo de sus facultades y funciones. El Secretario General autorizará el acceso a esos datos y a esa información únicamente para que sean utilizados en forma limitada en relación con las funciones y obligaciones del personal de la Secretaría y las de la Comisión Jurídica y Técnica.\n\n4. Diez años después de la fecha de presentación de los datos e información confidenciales a la Autoridad o de la expiración del contrato de exploración, si esta última fecha es posterior, y posteriormente cada cinco años, el Secretario General y el contratista examinarán los datos y la información a fin de determinar si deberán seguir teniendo carácter confidencial. Los datos y la información seguirán siendo confidenciales si el contratista establece que podría existir un riesgo importante de perjuicio económico grave e injusto en caso de que se dieran a conocer. No se darán a conocer los datos ni la información a menos que se haya dado al contratista oportunidad razonable de agotar los recursos judiciales de que dispone de conformidad con la sección 5 de la Parte XI de la Convención.\n\n5. Si, en cualquier momento posterior a la expiración del contrato de exploración, el contratista celebrara un contrato de explotación en relación con cualquier parte de la zona de exploración, los datos y la información confidenciales relativos a dicha parte de la zona seguirán siendo confidenciales de conformidad con el contrato de exploración.\n\n6. El contratista podrá renunciar en cualquier momento a la confidencialidad de los datos y la información.\n\nArtículo 39. Procedimientos para velar por la confidencialidad\n\n1. El Secretario General será responsable del mantenimiento del carácter confidencial de todos los datos y las informaciones confidenciales y en ningún caso, excepto con consentimiento previo por escrito del contratista, revelará esos datos y esa información a ninguna persona ajena a la Autoridad. El Secretario General establecerá procedimientos, en consonancia con las disposiciones de la Convención, para velar por el carácter confidencial de esos datos y esa información, en que se determinará de qué manera los miembros de la Secretaría, los miembros de la Comisión Jurídica y Técnica y todas las demás personas que participen en cualquier actividad o programa de la Autoridad habrán de manejar la información confidencial. Entre los procedimientos se incluirán: a) El mantenimiento de la información y los datos confidenciales en instalaciones seguras y la elaboración de procedimientos de seguridad para impedir el acceso a ellos o su retiro sin autorización;\n\nb) La preparación y el mantenimiento de una clasificación, un registro y un sistema de inventario de toda la información y los datos recibidos por escrito, incluido su tipo, su fuente y su recorrido desde el momento de la recepción hasta el de su destino final.\n\n2. Toda persona que en virtud del presente reglamento tuviera acceso autorizado a datos e información confidenciales no los dará a conocer a menos que ello estuviese permitido en virtud de la Convención y del presente reglamento. El Secretario General exigirá a todos quienes tengan acceso autorizado a datos e información confidenciales que formulen una declaración por escrito, de la que será testigo el Secretario General o su representante autorizado, en el sentido de que: a) Reconoce su obligación en virtud de la Convención y del presente reglamento de no dar a conocer datos o información confidenciales;\n\nb) Acepta respetar los reglamentos y procedimientos aplicables establecidos para velar por la confidencialidad de dichos datos e información.\n\n3. La Comisión Jurídica y Técnica protegerá la confidencialidad de los datos y la información confidenciales que le hayan sido presentados en virtud del presente reglamento o de un contrato expedido en virtud del presente reglamento. De conformidad con el artículo 163 8) de la Convención, los miembros de la Comisión no revelarán, ni siquiera después de la terminación de sus funciones, ningún secreto industrial, ningún dato que sea objeto de derechos de propiedad intelectual y se transmita a la Autoridad con arreglo al artículo 14 del anexo III de la Convención ni ninguna otra información confidencial que llegue a su conocimiento como consecuencia del desempeño de sus funciones en la Autoridad.\n\n4. El Secretario General y el personal de la Autoridad no revelarán, ni siquiera después de la terminación de sus funciones, ningún secreto industrial, ningún dato que sea objeto de derechos de propiedad intelectual y se transmita a la Autoridad con arreglo al artículo 14 del anexo III de la Convención ni ninguna otra información confidencial que llegue a su conocimiento como consecuencia de su empleo con la Autoridad.\n\n5. Habida cuenta de la responsabilidad que le incumbe en virtud del artículo 22 del anexo III de la Convención, la Autoridad adoptará todas las medidas que sean adecuadas contra las personas que, como consecuencia del desempeño de sus funciones en ella, tengan acceso a datos y a información confidenciales y que no cumplan sus obligaciones relativas a la confidencialidad estipuladas en la Convención y en el presente reglamento.\n\nParte VII. Procedimientos generales\n\nArtículo 40. Notificación y procedimientos generales\n\n1. El Secretario General o el representante designado del prospector, solicitante o contratista, según corresponda, harán todo pedido, solicitud, aviso, informe, autorización, aprobación, exención, dirección o instrucción por escrito. La notificación se hará en mano, o por télex, fax, correo aéreo certificado o correo electrónico con firma electrónica autorizada al Secretario General en la sede de la Autoridad o al representante designado.\n\n2. La notificación en mano surtirá efecto en el momento en que se haga. Se considerará que la notificación por télex surtirá efecto el día hábil siguiente a aquel en que aparezca en la máquina de télex del remitente la expresión “respuesta”. La notificación por fax surtirá efecto cuando quien lo envíe reciba el “informe de confirmación de la transmisión”, en el cual se confirme la transmisión al número de fax publicado por el receptor. La notificación por correo aéreo certificado se considerará hecha 21 días después del envío. Se entenderá que el destinatario de un correo electrónico lo ha recibido cuando dicho correo entre en un sistema de información diseñado o utilizado por el destinatario para recibir documentos del tipo enviado y pueda ser recuperado y procesado por él.\n\n3. La notificación al representante designado del prospector, solicitante o contratista servirá de notificación a estos para todos los efectos en relación con el presente reglamento y el representante designado representará al prospector, solicitante o contratista a los efectos de la notificación de la demanda o de otra diligencia ante un tribunal competente.\n\n4. La notificación al Secretario General servirá de notificación a la Autoridad para todos los efectos en relación con el presente reglamento y el Secretario General representará a la Autoridad a los efectos de la notificación de la demanda o de otra diligencia ante cualquier tribunal competente.\n\nArtículo 41. Recomendaciones para orientar a los contratistas\n\n1. La Comisión Jurídica y Técnica podrá formular periódicamente recomendaciones de índole técnica o administrativa para que sirvan como directrices a los contratistas a fin de ayudarlos en la aplicación de las normas, reglamentos y procedimientos de la Autoridad.\n\n2. El texto completo de estas recomendaciones será comunicado al Consejo. Si el Consejo considerara que una recomendación no es acorde con la intención y el propósito del presente reglamento, podrá solicitar que sea modificada o retirada.\n\nParte VIII. Solución de controversias\n\nArtículo 42. Controversias\n\n1. Las controversias relativas a la interpretación o aplicación del presente reglamento se dirimirán con arreglo a lo dispuesto en la Parte XI, sección 5, de la Convención.\n\n2. El fallo definitivo que dicte un tribunal competente en virtud de la Convención en lo relativo a los derechos y obligaciones de la Autoridad y del contratista será ejecutable en el territorio de cada uno de los Estados partes en la Convención.\n\nParte IX. Recursos que no sean costras cobálticas\n\nArtículo 43. Recursos que no sean costras cobálticas La exploración y explotación de los recursos que no sean costras cobálticas y que hallen el prospector o el contratista en la Zona estarán sujetas a las normas, los reglamentos y los procedimientos relativos a esos recursos que dicte la Autoridad de conformidad con la Convención y con el Acuerdo. El prospector o el contratista notificarán a la Autoridad de lo que hallen.\n\nParte X. Revisión\n\nArtículo 44. Revisión\n\n1. El Consejo procederá a una revisión de la forma en que se ha aplicado en la práctica el presente reglamento cinco años después de que la Asamblea lo haya aprobado o en cualquier otro momento a partir de esa fecha.\n\n2. Si, en razón de tecnología o conocimientos más avanzados, queda de manifiesto que el presente reglamento no es apropiado, cualquier Estado parte, la Comisión Jurídica y Técnica o cualquier contratista, a través del Estado que lo patrocine, podrá en cualquier momento solicitar del Consejo que, en su período ordinario de sesiones siguiente, examine revisiones de él.\n\n3. Habida cuenta de la revisión, el Consejo podrá dictar y aplicar provisionalmente, hasta que las apruebe la Asamblea, enmiendas de lo dispuesto en el presente reglamento, teniendo en cuenta las recomendaciones de la Comisión Jurídica y Técnica o de otros órganos subordinados pertinentes. Estas enmiendas se entenderán sin perjuicio de los derechos conferidos a un contratista en virtud de las cláusulas de un contrato firmado con la Autoridad en virtud del presente reglamento y que esté en vigor a la fecha de la enmienda.\n\n4. En caso de enmienda a lo dispuesto en el presente reglamento, el contratista y la Autoridad podrán revisar el contrato de conformidad con la cláusula 24 del anexo IV.\n\nAnexo I. Notificación de la intención de realizar actividades de prospección\n\n1. Nombre del prospector:\n\n2. Dirección del prospector:\n\n3. Dirección postal (si es diferente de la anterior):\n\n4. Número de teléfono:\n\n5. Número de fax:\n\n6. Dirección de correo electrónico:\n\n7. Nacionalidad del prospector:\n\n8. Si el prospector es una persona jurídica:\n\n9. a) Especificar su lugar de inscripción; b) Especificar su oficina principal o domicilio comercial; c) Adjuntar una copia del certificado de inscripción del prospector. Nombre del representante designado por el prospector:\n\n10. Dirección del representante designado por el prospector (si es diferente de la anterior):\n\n11. Dirección postal (si es diferente de la anterior):\n\n12. Número de teléfono:\n\n13. Número de fax:\n\n14. Dirección de correo electrónico:\n\n15. Adjuntar las coordenadas de la zona o zonas generales en que se hará la prospección (de conformidad con el Sistema Geodésico Mundial WGS 84).\n\n16. Adjuntar una descripción general del programa de prospección, con inclusión de la fecha de inicio y la duración aproximada del programa.\n\n17. Adjuntar una declaración por escrito en el sentido de que el prospector: a) Cumplirá con la Convención y con las normas, reglamentos y procedimientos de la Autoridad que se refieren a: i) La cooperación en los programas de capacitación en relación con la investigación científica marina y la transferencia de tecnología indicadas en los artículos 143 y 144 de la Convención; y ii) La protección y preservación del medio marino; y b) Aceptará que la Autoridad verifique el cumplimiento a ese respecto.\n\n18. Enumérense a continuación todos los apéndices y anexos de esta notificación (todos los datos e información deben presentarse en forma impresa y en el formato digital especificado por la Autoridad). Fecha Firma del representante designado por el prospector Testigo: Firma del testigo Nombre del testigo Cargo del testigo\n\nAnexo II. Solicitud de aprobación de un plan de trabajo para la exploración con el fin de obtener un contrato\n\nSección I. Información relativa al solicitante\n\n1. Nombre del solicitante:\n\n2. Dirección del solicitante:\n\n3. Dirección postal (si es diferente de la anterior):\n\n4. Número de teléfono:\n\n5. Número de fax:\n\n6. Dirección de correo electrónico:\n\n7. Nombre del representante designado por el solicitante:\n\n8. Dirección del representante designado por el solicitante (si es diferente de la anterior):\n\n9. Dirección postal (si es diferente de las anteriores):\n\n10. Número de teléfono:\n\n11. Número de fax:\n\n12. Dirección de correo electrónico:\n\n13. Si el solicitante es una persona jurídica:\n\n14. a) Especificar su lugar de inscripción; b) Especificar su oficina principal o domicilio comercial; c) Adjuntar una copia del certificado de inscripción del solicitante. Sírvase indicar el Estado o los Estados patrocinantes.\n\n15. Con respecto a cada Estado patrocinante, indíquese la fecha de depósito de su instrumento de ratificación de la Convención de las Naciones Unidas sobre el Derecho del Mar de 10 de diciembre de 1982 o de adhesión a ella o de sucesión y la fecha de su consentimiento para obligarse por el Acuerdo relativo a la aplicación de la Parte XI de la Convención.\n\n16. Deberá adjuntarse a la presente solicitud un certificado de patrocinio expedido por el Estado patrocinante. Si el solicitante tuviera más de una nacionalidad, como en el caso de una sociedad o consorcio de entidades de más de un Estado, deberán adjuntarse los certificados de patrocinio expedidos por cada uno de los Estados patrocinadores.\n\nSección II. Información relativa al área respecto del cual se presenta la solicitud\n\n17. Sírvase indicar los límites de los bloques a que se refiere la solicitud adjuntando una carta (en la escala y la proyección prescrita por la Autoridad) y una lista de coordenadas geográficas (de conformidad con el Sistema Geodésico Mundial WGS 84).\n\n18. Sírvase indicar si el solicitante opta por aportar un área reservada de conformidad con el artículo 17 u ofrecer una participación en una empresa conjunta de conformidad con el artículo 19.\n\n19. Si el solicitante opta por aportar un área reservada, sírvase: a) Adjuntar una lista de las coordenadas de las dos partes del área total de igual valor comercial estimado; y\n\nb) Incluir en un apéndice información suficiente para que el Consejo pueda designar un área reservada sobre la base del valor comercial estimado de cada una de las partes del área a que se refiera la solicitud. El apéndice deberá incluir los datos de que disponga el solicitante respecto de ambas partes del área a que se refiere la solicitud, con inclusión de: i) Datos sobre la ubicación, los estudios y la evaluación de las costras cobálticas en las áreas, en particular: a. Una descripción de la tecnología para la extracción y el tratamiento de las costras cobálticas que sea necesaria para la designación de un área reservada; b. Un mapa de las características físicas y geológicas, como la topografía de los fondos marinos, la batimetría y las corrientes del fondo e información relativa a la fiabilidad de esos datos; c. Un mapa que indique los parámetros de las costras cobálticas (grosor, etc.) necesarios para determinar su tonelaje dentro de los límites de cada bloque o conglomerado de bloques en la zona de exploración y el área reservada; d. Datos que indiquen el tonelaje medio (en toneladas métricas) de cada conglomerado de bloques de costras cobálticas que comprendan el emplazamiento del yacimiento y un mapa conexo del tonelaje en que consten los lugares en que se tomaron muestras; e. Mapas combinados del tonelaje y ley de las costras cobálticas; f. Un cálculo basado en procedimientos estándar, incluidos análisis estadísticos, en que se utilicen los datos presentados y los supuestos de los cálculos, de que cabe esperar que las dos áreas contengan costras cobálticas de igual valor comercial estimado expresado como metales extraíbles en zonas explotables; g. Una descripción de las técnicas utilizadas por el solicitante; ii) Información relativa a parámetros ambientales (estacionales y durante el período de ensayo), entre ellos, velocidad y dirección del viento, salinidad del agua, temperatura y comunidades biológicas.\n\n20. Si la zona a que se refiere la solicitud incluye una parte de un área reservada, sírvase adjuntar una lista de coordenadas del área que forme parte del área reservada e indicar las condiciones que reúne el solicitante de conformidad con el artículo 18 del reglamento.\n\nSección III. Información técnica y financiera\n\n21. Se adjuntará información suficiente para que el Consejo pueda determinar si el solicitante tiene la capacidad financiera para realizar el plan de trabajo para la exploración que propone y para cumplir sus obligaciones financieras respecto de la Autoridad: a) Si la solicitud es presentada por la Empresa, se adjuntarán certificados de su autoridad competente respecto de que dispone de fondos para sufragar el costo estimado del plan de trabajo para la exploración que se propone;\n\nb) Si la solicitud es formulada por un Estado o una empresa estatal, se adjuntará una declaración del Estado, o del Estado patrocinante, en que se certifique que el solicitante cuenta con los recursos financieros necesarios para sufragar los gastos estimados del plan de trabajo para la exploración que se propone; c) Si la solicitud es formulada por una entidad, se adjuntarán copias de los estados financieros comprobados de la entidad solicitante, incluidos balances consolidados y los estados de ganancias y pérdidas correspondientes a los últimos tres años, de conformidad con principios de contabilidad internacionalmente aceptados, y certificados por una empresa de contadores públicos debidamente reconocida; y i) Si el solicitante es una entidad recientemente organizada y no se cuenta con un balance certificado, se adjuntará una hoja de balance proforma, certificado por el funcionario competente de la entidad solicitante; ii) Si el solicitante es una empresa subsidiaria de otra entidad, se presentarán copias de los estados financieros de dicha entidad y una declaración de ella, conforme a las prácticas de contabilidad internacionalmente aceptadas y certificada por una empresa de contadores públicos debidamente reconocida, de que la empresa solicitante cuenta con los recursos financieros para cumplir con el plan de trabajo para la exploración; iii) Si el solicitante se encuentra bajo el control de un Estado o una empresa estatal, se presentará una declaración del Estado o de la empresa estatal en la que certifique que el solicitante cuenta con los recursos financieros necesarios para cumplir con el plan de trabajo para la exploración.\n\n22. Si el plan de trabajo para la exploración que se propone se ha de financiar mediante empréstitos, se adjuntará un estado del monto de esos empréstitos, el plazo de amortización y el tipo de interés.\n\n23. Se adjuntará información suficiente para que el Consejo pueda determinar si el solicitante tiene la capacidad técnica necesaria para realizar el plan de trabajo que propone, con inclusión de una descripción general de lo siguiente: a) La experiencia previa, los conocimientos, las aptitudes y los conocimientos técnicos pertinentes al plan de trabajo propuesto para la exploración;\n\nb) El equipo y los métodos que se prevé utilizar en la realización del plan de trabajo para la exploración que se propone y otra información pertinente no protegida por derechos de propiedad intelectual acerca de las características de esa tecnología; c) La capacidad financiera y técnica del solicitante para hacer frente a cualquier incidente o actividad que cause daños graves al medio marino.\n\nSección IV. El plan de trabajo para la exploración\n\n24. Se adjuntará la información siguiente respecto del plan de trabajo para la exploración: a) Una descripción general y un cronograma del plan de trabajo para la exploración que se propone, incluido el programa de actividades para el siguiente período de cinco años, como los estudios que se han de hacer respecto de los factores ambientales, técnicos, económicos y de otro orden que deban tenerse en cuenta en la exploración;\n\nb) Una descripción de un programa de estudios básicos oceanográficos y ambientales de conformidad con el presente reglamento y con las normas, reglamentos y procedimientos ambientales establecidos por la Autoridad que permitan evaluar el posible impacto ambiental, sobre la biodiversidad en particular pero no exclusivamente, de las actividades de exploración propuestas, teniendo en cuenta las recomendaciones que formule la Comisión Jurídica y Técnica; c) Una evaluación preliminar de los posibles efectos de las actividades propuestas de exploración en el medio marino;\n\nd) Una descripción de las medidas propuestas para prevenir, reducir y controlar la contaminación y otros peligros para el medio marino, así como los posibles efectos sobre este; e) Un cronograma de los gastos anuales previstos por concepto del programa de actividades para el siguiente período de cinco años.\n\nSección V. Obligaciones\n\n25. Sírvase adjuntar una declaración por escrito en el sentido de que el solicitante: a) Acepta el carácter ejecutorio de las obligaciones aplicables dimanadas de las disposiciones de la Convención, y las normas, reglamentos y procedimientos de la Autoridad, las decisiones de los órganos pertinentes de la Autoridad y las cláusulas de su contrato con la Autoridad y los cumplirá;\n\nb) Acepta el control de la Autoridad sobre las actividades en la Zona en la forma autorizada en la Convención; c) Da a la Autoridad por escrito la seguridad de que cumplirá de buena fe las obligaciones estipuladas en el contrato.\n\nSección VI. Contratos anteriores\n\n26. Si la Autoridad ha adjudicado algún contrato al solicitante o, en el caso de una solicitud conjunta de una asociación o consorcio de entidades, a algún miembro de la Autoridad o consorcio, la solicitud deberá incluir: a) La fecha del contrato o los contratos anteriores;\n\nb) Las fechas, los números de referencia y los títulos de cada informe presentado a la Autoridad con respecto al contrato o a los contratos; y c) La fecha de expiración del contrato o los contratos si procede.\n\nSección VII. Apéndices\n\n27. Enumérense todos los apéndices y anexos de la presente solicitud (todos los datos e información deben presentarse en forma impresa y en el formato digital prescrito por la Autoridad). Fecha Firma del representante designado por el solicitante Testigo: Firma del testigo Nombre del testigo Cargo del testigo\n\nAnexo III. Contrato de exploración CONTRATO suscrito el día ____ de ______________________ entre la AUTORIDAD INTERNACIONAL DE LOS FONDOS MARINOS representada por su SECRETARIO GENERAL (en adelante denominada “la Autoridad”) y ____________________________ representado por ________________________ (en adelante denominado “el Contratista”): Incorporación de cláusulas\n\n1. Las cláusulas uniformes que figuran en el anexo IV del reglamento sobre la prospección y exploración de costras de ferromanganeso con alto contenido de cobalto en la Zona serán incorporadas al presente contrato y tendrán efecto como si estuvieran enunciadas en él expresamente. Zona de exploración\n\n2. A los efectos del presente contrato, por “zona de exploración” se entenderá la parte de la Zona asignada al contratista para la exploración, según se define en las coordenadas enumeradas en el anexo 1 del presente, que se reducirá cada cierto tiempo de conformidad con las cláusulas uniformes y el Reglamento. Concesión de derechos\n\n3. La Autoridad, teniendo en cuenta: a) el interés mutuo en la realización de actividades de exploración en el área de exploración de conformidad con la Convención de las Naciones Unidas sobre el Derecho del Mar de 10 de diciembre de 1982 y el Acuerdo relativo a la aplicación de la Parte XI de la Convención,\n\nb) la función que le cabe de organizar y controlar las actividades en la Zona, especialmente con miras a administrar los recursos de esta de conformidad con el régimen jurídico establecido en la Parte XI de la Convención y el Acuerdo y en la\n\nParte XII de la Convención, respectivamente, y c) el compromiso financiero del contratista de realizar actividades en la zona de exploración y su interés en ello y las obligaciones recíprocas que contraen en el presente contrato, confiere al contratista el derecho exclusivo de explorar el área de exploración de conformidad con las cláusulas del presente contrato para buscar costras cobálticas. Entrada en vigor y duración del contrato\n\n4. El presente contrato entrará en vigor una vez que haya sido firmado por ambas partes y, con sujeción a las cláusulas uniformes, seguirá en vigor por un período de quince años a menos que: a) Se adjudique al Contratista un contrato de explotación en la zona de exploración que entre en vigor antes de que expire ese período de quince años; o\n\nb) El contrato sea resuelto antes, con la salvedad de que la duración del contrato podrá prorrogarse de conformidad con las cláusulas uniformes 3.2 y 17.2. Anexos\n\n5. Los anexos mencionados en las cláusulas uniformes, concretamente en la cláusula 4 y la cláusula 8, son, a los efectos del presente contrato, los anexos 2 y 3 respectivamente. Integridad del acuerdo\n\n6. En el presente contrato se expresa en su integridad el acuerdo entre las partes y ninguna de sus cláusulas podrá ser modificada por un entendimiento verbal ni un entendimiento anterior expresado por escrito. EN TESTIMONIO DE LO CUAL, los infrascritos, debidamente autorizados para ello por las partes respectivas, han firmado el presente contrato en el día de hoy ____ de _____________________.\n\nAnexo 1. [Coordenadas y carta ilustrativa de la zona de exploración]\n\nAnexo 2. [Programa de actividades para el quinquenio en curso, revisado periódicamente]\n\nAnexo 3. [El programa de capacitación pasará a constituir un anexo del contrato cuando la Autoridad lo apruebe de conformidad con la cláusula uniforme 8.]\n\nAnexo IV\n\nCláusulas uniformes del contrato para la exploración\n\nCláusula 1. Términos empleados\n\n1.1 En las cláusulas siguientes: a) Por “zona de exploración” se entiende la parte de la Zona asignada al contratista para la exploración, según se describe en el anexo 1 del presente, y que podrá ser reducida de conformidad con el presente contrato y con las normas aplicables;\n\nb) Por “programa de actividades” se entiende el indicado en el anexo 2, que podrá modificarse de conformidad con las cláusulas 4.3 y 4.4 del presente contrato; c) Por “reglamento” se entiende el Reglamento sobre prospección y exploración de costras de ferromanganeso con alto contenido de cobalto en la Zona que apruebe la Autoridad.\n\n1.2 Los términos y frases que se definen en el reglamento tendrán igual sentido en estas cláusulas uniformes.\n\n1.3 De conformidad con el Acuerdo relativo a la aplicación de la Parte XI de la Convención de las Naciones Unidas sobre el Derecho del Mar de 10 de diciembre de 1982, sus disposiciones y la Parte XI de la Convención se interpretarán y aplicarán conjuntamente como un solo instrumento; el presente contrato y las referencias que en él se hacen a la Convención se interpretarán y aplicarán en consecuencia.\n\n1.4 El presente contrato incluye sus anexos, que formarán parte integrante de él.\n\nCláusula 2. Derechos del contratista\n\n2.1 Los derechos del contratista estarán garantizados, por lo que el presente contrato no será suspendido, rescindido ni modificado, excepto de conformidad con sus cláusulas 20, 21 y 24.\n\n2.2 El contratista tendrá el derecho exclusivo de explorar la zona de exploración en busca de costras cobálticas de conformidad con las cláusulas del presente contrato. La Autoridad velará por que ninguna otra entidad realice actividades en la zona de exploración relacionadas con una categoría diferente de recursos que puedan dificultar indebidamente las operaciones del contratista.\n\n2.3 El contratista, previa notificación a la Autoridad, podrá renunciar en cualquier momento sin sanción alguna a la totalidad o parte de sus derechos en el área de exploración, pero seguirá siendo responsable del cumplimiento de las obligaciones que haya contraído antes de la fecha de la renuncia y respecto del área objeto de la renuncia.\n\n2.4 Nada de lo dispuesto en el presente contrato será interpretado en el sentido de que confiera al contratista más derechos que los que le son conferidos expresamente en él. La Autoridad se reserva el derecho a concertar con terceros contratos relativos a recursos distintos de costras cobálticas en la zona abarcada por el presente contrato.\n\nCláusula 3. Duración del contrato\n\n3.1 El presente contrato entrará en vigor una vez que haya sido firmado por ambas partes y seguirá en vigor por un período de quince años a menos que: a) Se adjudique al contratista un contrato de explotación en la zona de exploración que entre en vigor antes de que expire ese período de quince años; o\n\nb) El contrato sea resuelto antes, con la salvedad de que la duración del contrato podrá prorrogarse de conformidad con las cláusulas 3.2 y 17.2.\n\n3.2 Si el contratista lo solicitare, a más tardar seis meses antes de la expiración del presente contrato, este podrá ser prorrogado por períodos no superiores a cinco años cada uno, en las condiciones en que la Autoridad y el contratista convengan de conformidad con el reglamento. La prórroga será aprobada si el contratista se ha esforzado de buena fe por cumplir los requisitos del presente contrato pero, por razones ajenas a su voluntad, no ha podido completar el trabajo preparatorio necesario para pasar a la etapa de explotación o las circunstancias económicas imperantes no justifiquen que se pase a esa etapa.\n\n3.3 No obstante la expiración del presente contrato de conformidad con la cláusula 3.1, si el contratista hubiere solicitado, por lo menos 90 días antes de la fecha de expiración, un contrato de explotación, sus derechos y obligaciones con arreglo al presente contrato seguirán vigentes hasta el momento en que la solicitud haya sido examinada y aceptada o denegada.\n\nCláusula 4. Exploración\n\n4.1 El contratista comenzará la exploración de conformidad con el cronograma estipulado en el programa de actividades establecido en el anexo 2 del presente y cumplirá ese cronograma con las modificaciones que se estipulen en el presente contrato.\n\n4.2 El contratista llevará a cabo el programa de actividades establecido en el anexo\n\n2 del presente. Al realizar esas actividades, realizará cada año de vigencia del contrato gastos directos y efectivos por concepto de exploración de un monto no inferior al indicado en el programa o en una modificación del programa introducida de común acuerdo.\n\n4.3 El contratista, previo consentimiento de la Autoridad, que no podrá denegarlo sin fundamento, podrá introducir en el programa de actividades y en los gastos indicados en él los cambios que sean necesarios y prudentes con arreglo a las buenas prácticas de la industria minera, teniendo en cuenta las condiciones de mercado de los metales contenidos en costras cobálticas y las demás condiciones económicas mundiales que sean pertinentes.\n\n4.4 El contratista y el Secretario General procederán, a más tardar 90 días antes de la expiración de cada quinquenio a partir de la fecha de entrada en vigor del presente contrato, según lo estipulado en su claúsula 3, a examinar conjuntamente los resultados de la ejecución del plan de trabajo para la exploración en virtud del presente contrato. El Secretario General podrá pedir al contratista que le presente los datos y la información adicionales que fueren necesarios para los fines del examen. A la luz del examen, el contratista indicará su programa de actividades para el quinquenio siguiente, incluido un cronograma revisado de los gastos anuales previstos, y hará en su anterior programa de actividades los ajustes que sean necesarios. El anexo 2 del presente se ajustará en consecuencia.\n\nCláusula 5. Vigilancia ambiental\n\n5.1 El contratista tomará las medidas necesarias para prevenir, reducir y controlar la contaminación del medio marino y otros riesgos para este derivados de sus actividades en la Zona en la medida en que sea razonablemente posible aplicando el criterio de precaución y las mejores prácticas ambientales.\n\n5.2 Antes de iniciar las actividades de exploración, el contratista presentará a la Autoridad: a) Una evaluación de los posibles efectos sobre el medio marino de las actividades propuestas;\n\nb) Una propuesta relativa a un programa de vigilancia para determinar los posibles efectos sobre el medio marino de las actividades propuestas; y c) Datos que puedan utilizarse para establecer una línea de base ambiental que permita evaluar los efectos de las actividades propuestas.\n\n5.3 El contratista, de conformidad con los reglamentos, obtendrá datos ambientales de referencia a medida que avancen y se desarrollen las actividades de exploración y establecerá líneas de base ambientales con respecto a las cuales se puedan evaluar los efectos probables sobre el medio marino de las actividades del contratista.\n\n5.4 El contratista elaborará y llevará a cabo, de conformidad con el reglamento, un programa de vigilancia e información respecto de esos efectos en el medio marino. El contratista cooperará con la Autoridad a los efectos de esa vigilancia.\n\n5.5 El contratista, dentro de los 90 días anteriores a la finalización de cada año civil del contrato, informará al Secretario General respecto de la aplicación y los resultados del programa de vigilancia mencionado en la cláusula 5.4 y presentará los datos y la información exigidos en el reglamento.\n\nCláusula 6. Planes de contingencia y casos de emergencia\n\n6.1 El contratista, antes de comenzar su programa de actividades en virtud del presente contrato, presentará al Secretario General un plan de contingencia a fin de actuar eficazmente en caso de accidentes que probablemente hayan de causar graves daños o la amenaza de graves daños al medio marino como consecuencia de las actividades marítimas del contratista en el área de exploración. En ese plan de contingencia se establecerán procedimientos especiales y se preverá el suministro del equipo suficiente y adecuado para hacer frente a esos accidentes y, en particular, el plan comprenderá disposiciones relativas a: a) Una llamada de alarma general inmediata en la zona de las actividades de exploración; b) La inmediata notificación al Secretario General; c) Una llamada de alerta a los buques que estén a punto de entrar en la cercanía inmediata de la zona;\n\nd) El suministro constante de información completa al Secretario General sobre los pormenores de las medidas de emergencia que se hayan tomado ya y las que haya que tomar; e) La eliminación, en caso necesario, de sustancias contaminantes; f) La reducción y, en la medida de lo razonablemente posible, la prevención de daños graves al medio marino, así como la mitigación de sus efectos;\n\ng) La cooperación, según proceda, con otros contratistas y con la Autoridad para actuar en caso de emergencia; y h) Simulacros periódicos de acción en casos de emergencia.\n\n6.2 El contratista informará prontamente al Secretario General de cualquier accidente dimanado de sus actividades que haya causado, esté causando o amenace con causar daños graves al medio marino. En cada informe se consignarán los detalles del accidente, entre otros: a) Las coordenadas de la zona afectada o que quepa razonablemente prever que ha de ser afectada;\n\nb) La descripción de las medidas que esté adoptando el contratista para prevenir, contener, reducir al mínimo o reparar el daño grave o la amenaza de daño grave al medio marino; c) La descripción de las medidas que esté tomando el contratista para vigilar los efectos del accidente sobre el medio marino; y\n\nd) La información razonablemente necesite. complementaria que el Secretario General\n\n6.3 El contratista cumplirá las órdenes de emergencia que dicte el Consejo y las medidas inmediatas de índole temporal que decrete el Secretario General de conformidad con el reglamento para prevenir, contener, reducir al mínimo o reparar el daño grave o la amenaza de daño grave al medio marino, las cuales podrán incluir órdenes al contratista para que suspenda o modifique de inmediato sus actividades en el área de exploración.\n\n6.4 Si el contratista no cumpliere prontamente esas órdenes de emergencia o medidas inmediatas de índole temporal, el Consejo podrá tomar las medidas que sean razonablemente necesarias para prevenir, contener, reducir al mínimo o reparar el daño grave o la amenaza de daño grave al medio marino a costa del contratista. El contratista reembolsará prontamente a la Autoridad el monto de esos gastos, que será adicional a las sanciones pecuniarias que le sean impuestas de conformidad con las disposiciones del presente contrato o del reglamento.\n\nCláusula 7. Restos humanos y objetos y sitios de carácter arqueológico o histórico El contratista, si hallare en la zona de exploración restos humanos de carácter arqueológico o histórico o cualquier objeto o sitio de carácter similar, notificará inmediatamente al Secretario General por escrito del hallazgo y su ubicación, así como de las medidas de preservación y protección que se hayan adoptado. El Secretario General transmitirá la información al Director General de la Organización de las Naciones Unidas para la Educación, la Ciencia y la Cultura y a cualquiera otra organización internacional competente. Tras el hallazgo de un resto humano, objeto o sitio de esa índole en la zona de exploración y a fin de no perturbarlos, no se llevará a cabo ninguna otra prospección o exploración dentro de un radio razonable hasta que el Consejo decida otra cosa teniendo en cuenta las observaciones del Director General de la Organización de las Naciones Unidas para la Educación, la Ciencia y la Cultura o de cualquier otra organización competente.\n\nCláusula 8. Capacitación\n\n8.1 De conformidad con el reglamento, el contratista, antes de comenzar la exploración en virtud del presente contrato, presentará a la Autoridad, para su aprobación, propuestas de programas para la capacitación de personal de la Autoridad y de Estados en desarrollo, incluida la participación de ese personal en todas las actividades que realice el contratista en virtud del presente contrato.\n\n8.2 El ámbito y la financiación del programa de capacitación serán objeto de negociaciones entre el contratista, la Autoridad y el Estado o los Estados patrocinantes.\n\n8.3 El contratista llevará a cabo los programas de esta índole de conformidad con el programa concreto de capacitación a que se hace referencia en el párrafo 8.1, aprobado por la Autoridad de conformidad con el presente reglamento, y que, con sus revisiones o adiciones, se convertirá en parte del presente contrato como anexo 3.\n\nCláusula 9. Libros y registros El contratista llevará un juego completo y en debida forma de libros, cuentas y registros financieros compatibles con los principios contables internacionalmente admitidos. En esos libros, cuentas y registros financieros se dejará constancia clara de los gastos efectivos y directos de exploración y de los demás datos que faciliten la comprobación efectiva de esos gastos.\n\nCláusula 10. Presentación de informes anuales\n\n10.1 El contratista, dentro de los 90 días siguientes a la finalización de cada año civil, presentará al Secretario General, en el formato que recomiende de cuando en cuando la Comisión Jurídica y Técnica, un informe relativo a su programa de actividades en la zona de exploración que contendrá, en la medida en que proceda, información suficientemente detallada sobre: a) Las actividades de exploración realizadas durante el año civil, lo que comprende mapas, cartas y gráficos que ilustren la labor realizada y los resultados obtenidos;\n\nb) El equipo utilizado para realizar las actividades de exploración, incluidos los resultados de los ensayos de tecnologías de explotación minera propuestas, aunque no sobre los datos relativos al diseño del equipo; y c) La ejecución de los programas de capacitación, incluidas las propuestas de revisiones o adiciones a esos programas.\n\n10.2 Los informes contendrán también: a) Los resultados de los programas de vigilancia ambiental, entre ellos observaciones, mediciones, evaluaciones y análisis de los parámetros ambientales;\n\nb) Una relación de la cantidad de costras cobálticas obtenidas como muestra o para fines de ensayo; c) Un estado, conforme a los principios contables internacionalmente aceptados y certificado por una firma de contadores públicos internacionalmente reconocida o, en caso de que el contratista sea un Estado o una empresa estatal, por el Estado patrocinante, de los gastos efectivos y directos que haya hecho el contratista en la ejecución del programa de actividades durante el año contable del contratista. El contratista podrá reclamar esos gastos como parte de los gastos de inversión efectuados antes del comienzo de la producción comercial; y\n\nd) Las propuestas de ajustes del programa de actividades y las razones en que se fundan.\n\n10.3 El contratista presentará además toda la información adicional necesaria para complementar los informes a que se hace referencia en las cláusulas 10.1 y 10.2 y que el Secretario General pueda pedir razonablemente a fin de que la Autoridad cumpla las funciones que le asignan la Convención, el reglamento y el presente contrato.\n\n10.4 El contratista conservará, en buen estado, una parte representativa de las muestras y núcleos de costras cobálticas obtenidos en el curso de la exploración hasta que termine el presente contrato. La Autoridad podrá pedir por escrito al contratista que le entregue, para analizarla, una parte de cualquier muestra y núcleo que haya obtenido en el curso de la exploración.\n\nCláusula 11. Datos e información que deberán entregarse al expirar el contrato\n\n11.1 El contratista transferirá a la Autoridad todos los datos y la información que sean necesarios y pertinentes para el ejercicio efectivo de las facultades y las funciones de la Autoridad con respecto a la zona de exploración de conformidad con lo dispuesto en la presente cláusula.\n\n11.2 Al expirar o rescindirse el contrato, el contratista, si no lo hubiese hecho ya, presentará los siguientes datos e información al Secretario General: a) Copias de los datos geológicos, ambientales, geoquímicos y geofísicos que haya adquirido durante la ejecución del programa de actividades que sean necesarios y pertinentes para el ejercicio efectivo de las facultades y funciones de la Autoridad con respecto a la zona de exploración;\n\nb) La estimación de los yacimientos explotables, cuando se hayan individualizado, lo que comprenderá detalles de la ley y cantidad de reservas comprobadas, probables y posibles de costras cobálticas y las condiciones de explotación previstas; c) Copias de los informes geológicos, técnicos, financieros y económicos preparados por él o para él que sean necesarios y pertinentes para el ejercicio efectivo de las facultades y funciones de la Autoridad con respecto a la zona de exploración;\n\nd) Información suficientemente detallada sobre el equipo utilizado para llevar a cabo las actividades de exploración, incluidos los resultados de los ensayos de tecnologías de explotación minera propuestas, aunque no los datos relativos al diseño del equipo; e) Una relación de la cantidad de costras cobálticas extraídas como muestras o con fines de ensayo; y f) Una relación de la manera y el lugar en que se archivaron muestras de los núcleos y su disponibilidad para la Autoridad.\n\n11.3 Los datos y la información mencionados en la cláusula 11.2 serán presentados también al Secretario General si, antes de que expire el presente contrato, el contratista solicita la aprobación de un plan de trabajo de explotación o si el contratista renuncia a sus derechos en la zona de exploración, en la medida en que los datos y la información se refieran a la zona respecto de la cual ha renunciado a sus derechos.\n\nCláusula 12. Confidencialidad Los datos e informaciones que se hayan transmitido a la Autoridad de conformidad con el presente contrato se considerarán confidenciales con arreglo a las disposiciones del reglamento.\n\nCláusula 13. Obligaciones\n\n13.1 El contratista procederá a la exploración de conformidad con las cláusulas y las condiciones del presente contrato, el reglamento, la Parte XI de la Convención, el Acuerdo y otras normas de derecho internacional que no sean incompatibles con la Convención.\n\n13.2 El contratista se compromete a: a) Cumplir las disposiciones del presente contrato y aceptar su carácter ejecutorio;\n\nb) Cumplir las obligaciones aplicables que dimanen de las disposiciones de la Convención, las normas, los reglamentos y los procedimientos de la Autoridad y las decisiones de los órganos competentes de la Autoridad; c) Aceptar el control de la Autoridad sobre las actividades en la Zona en la forma autorizada por la Convención; d) Cumplir de buena fe las obligaciones estipuladas en el presente contrato; y e) Cumplir, en la medida en que sea razonablemente posible, las recomendaciones que imparta periódicamente la Comisión Jurídica y Técnica.\n\n13.3 El contratista llevará a cabo activamente el programa de actividades: a) Con la diligencia, eficiencia y economía debidas;\n\nb) Teniendo debidamente en cuenta los efectos de sus actividades sobre el medio marino; y c) Teniendo razonablemente en cuenta otras actividades en el medio marino.\n\n13.4 La Autoridad se compromete a ejercer de buena fe las facultades y las funciones que le corresponden en virtud de la Convención y del Acuerdo, de conformidad con el artículo 157 de la Convención.\n\nCláusula 14. Inspección\n\n14.1 El contratista permitirá que la Autoridad envíe inspectores a bordo de los buques y las instalaciones que utilice para realizar actividades en la zona de exploración con el objeto de: a) Vigilar el cumplimiento por el contratista de las cláusulas del presente contrato y del reglamento; y b) Vigilar los efectos de esas actividades sobre el medio marino.\n\n14.2 El Secretario General dará aviso razonable al contratista de la fecha y duración previstas de las inspecciones, el nombre de los inspectores y de todas las actividades que los inspectores habrán de realizar y que probablemente requieran la disponibilidad de equipo especial o de asistencia especial del personal del contratista.\n\n14.3 Los inspectores estarán facultados para inspeccionar cualquier buque o instalación, incluidos sus registros, equipo, documentos, instalaciones, los demás datos registrados y los documentos pertinentes que sean necesarios para vigilar el cumplimiento del contrato por el contratista.\n\n14.4 El contratista, sus agentes y sus empleados prestarán asistencia a los inspectores en el desempeño de sus funciones y: a) Aceptarán y facilitarán el acceso pronto y seguro de los inspectores a las naves e instalaciones;\n\nb) Cooperarán con la inspección de un buque o instalación realizada con arreglo a estos procedimientos y prestarán asistencia en ella; c) Darán en todo momento razonable acceso al equipo, las instalaciones y el personal que correspondan y se encuentren en las naves e instalaciones;\n\nd) No obstruirán el ejercicio de las funciones de los inspectores, no los intimidarán ni interferirán en su labor; e) Suministrarán a los inspectores facilidades razonables, con inclusión, si procede, de alimentación y alojamiento; y f) Facilitarán el desembarco de los inspectores en condiciones de seguridad.\n\n14.5 Los inspectores se abstendrán de interferir con las operaciones normales y seguras a bordo de las naves e instalaciones que utilice el contratista para realizar actividades en el área visitada y actuarán de conformidad con el reglamento y las medidas adoptadas para proteger el carácter confidencial de los datos y la información.\n\n14.6 El Secretario General y cualquiera de sus representantes debidamente autorizados tendrán acceso, para los estudios y auditorías, a todos los libros, documentos, informes y registros del contratista que sean necesarios y directamente pertinentes para verificar los gastos a que se hace referencia en la cláusula 10.2 c).\n\n14.7 Cuando sea necesario adoptar medidas, el Secretario General pondrá la información pertinente que figure en los informes de los inspectores a disposición del contratista y del Estado o los Estados que lo patrocinan.\n\n14.8 El contratista, si por cualquier razón no procede a la exploración y no solicita un contrato de explotación, lo notificará por escrito al Secretario General a fin de que la Autoridad pueda, si decide hacerlo, llevar a cabo una inspección con arreglo a la presente cláusula.\n\nCláusula 15. Condiciones de seguridad, de trabajo y de salud\n\n15.1 El contratista deberá cumplir las normas y los estándares internacionales generalmente aceptados, establecidos por las organizaciones internacionales competentes o las conferencias diplomáticas generales, en relación con la seguridad de la vida en el mar y la prevención de colisiones, y las normas, los reglamentos y los procedimientos que adopte la Autoridad en relación con la seguridad de la vida en el mar. Los buques que se utilicen para realizar actividades en la Zona deberán estar en posesión de certificados vigentes y válidos, exigidos y emitidos de conformidad con los reglamentos y los estándares internacionales.\n\n15.2 El contratista, al realizar actividades de exploración con arreglo al presente contrato, deberá observar y cumplir las normas, los reglamentos y los procedimientos que adopte la Autoridad en materia de protección contra la discriminación en el empleo, salud y seguridad ocupacionales, relaciones laborales, seguridad social, seguridad en el empleo y condiciones de vida en el lugar de trabajo. En las normas, los reglamentos y los procedimientos se tendrán en cuenta los convenios y las recomendaciones de la Organización Internacional del Trabajo y otras organizaciones internacionales competentes.\n\nCláusula 16. Responsabilidad\n\n16.1 El contratista será responsable del monto efectivo de los daños y perjuicios, incluidos los causados al medio marino, derivados de actos u omisiones ilícitos cometidos por él o por sus empleados, subcontratistas, agentes y personas que trabajen para ellos o actúen en su nombre en la realización de sus operaciones con arreglo al presente contrato, con inclusión del costo de las medidas que sean razonables para prevenir o limitar los daños al medio marino, teniendo en cuenta los actos u omisiones de la Autoridad que hayan contribuido a ellos.\n\n16.2 El contratista exonerará a la Autoridad, sus empleados, subcontratistas y agentes de las demandas y obligaciones que hagan valer terceros, en razón de actos u omisiones ilícitos del contratista y de sus empleados, agentes, y subcontratistas, y de todas las personas que trabajen para ellos o actúen en su nombre en la realización de sus operaciones con arreglo al presente contrato.\n\n16.3 La Autoridad será responsable del monto efectivo de los daños y perjuicios causados al contratista como resultado de sus actos ilícitos en el ejercicio de sus facultades y funciones, con inclusión de las violaciones previstas en el artículo 168 2) de la Convención, y teniendo debidamente en cuenta los actos u omisiones del contratista, los empleados, agentes y subcontratistas y las personas que trabajan para ellos o actuasen en su nombre en la realización de sus operaciones con arreglo al presente contrato que hayan contribuido a ellos.\n\n16.4 La Autoridad exonerará al contratista, sus empleados, subcontratistas, agentes y a todas las personas que trabajen para ellos o actúen en su nombre en la realización de sus operaciones, con arreglo al presente contrato, de las demandas y obligaciones que hagan valer terceros derivadas de los actos u omisiones ilícitos en el ejercicio de sus facultades y funciones conforme al presente contrato, incluidas las violaciones previstas en el artículo 168 2) de la Convención.\n\n16.5 El contratista contratará con empresas internacionalmente reconocidas pólizas de seguro adecuadas, de conformidad con las prácticas marítimas internacionales generalmente aceptadas.\n\nCláusula 17. Fuerza mayor\n\n17.1 El contratista no será responsable de una demora inevitable o del incumplimiento de alguna de sus obligaciones con arreglo al presente contrato por razones de fuerza mayor. A los efectos del presente contrato, por fuerza mayor se entiende un acontecimiento o una condición que no cabía razonablemente prever que el contratista impidiera o controlara, a condición de que no haya sido causado por negligencia o por inobservancia de las buenas prácticas de la industria minera.\n\n17.2 Se concederá al contratista, previa solicitud, una prórroga equivalente al período en el cual el cumplimiento del contrato quedó demorado por razones de fuerza mayor y se prorrogará en la forma correspondiente la duración del presente contrato.\n\n17.3 En caso de fuerza mayor, el contratista tomará todas las medidas razonables para volver a ponerse en condiciones de cumplir las cláusulas y las condiciones del presente contrato con un mínimo de demora.\n\n17.4 El contratista notificará a la Autoridad tan pronto como sea razonablemente posible que ha habido fuerza mayor e, igualmente, notificará a la Autoridad cuando se restablezca la normalidad.\n\nCláusula 18. Descargo de responsabilidad El contratista, sus empresas afiliadas o sus subcontratistas no podrán afirmar o sugerir de manera alguna, expresa ni tácitamente, que la Autoridad o cualquiera de sus funcionarios tiene o ha expresado una opinión con respecto a costras cobálticas en la zona de exploración; no podrá incluirse una declaración en ese sentido en los prospectos, avisos, circulares, anuncios, comunicados de prensa o documentos similares que publique el contratista, sus empresas afiliadas o sus subcontratistas y que se refieran directa o indirectamente al presente contrato. A los efectos de la presente cláusula, por “empresa afiliada” se entenderá cualquier persona, empresa o compañía o entidad estatal que tenga control sobre el contratista, sea controlada por este o sea controlada junto con este por otra entidad.\n\nCláusula 19. Renuncia a derechos El contratista, previa notificación a la Autoridad, estará facultado para renunciar a sus derechos y poner término al presente contrato sin sanción alguna, si bien no quedará exento del cumplimiento de las obligaciones contraídas antes de la fecha de la renuncia y de las que debe cumplir una vez terminado el contrato de conformidad con el reglamento.\n\nCláusula 20. Término del patrocinio\n\n20.1 El contratista notificará prontamente a la Autoridad si cambia su nacionalidad o control o si el Estado que lo patrocina, tal como está definido en el reglamento, pone término a su patrocinio.\n\n20.2 En cualquiera de esos casos, y si el contratista no obtuviere otro patrocinador que cumpla los requisitos fijados en las normas aplicables y que presente a la Autoridad un certificado de patrocinio en la forma y dentro del plazo estipulados en las normas aplicables, el presente contrato quedará resuelto de inmediato.\n\nCláusula 21. Suspensión y rescisión del contrato y sanciones\n\n21.1 El Consejo podrá suspender o rescindir el presente contrato, sin perjuicio de los demás derechos que pueda tener la Autoridad, de darse una de las siguientes circunstancias: a) Si, a pesar de las advertencias por escrito de la Autoridad, la forma en que el contratista ha realizado sus actividades constituye un incumplimiento grave, persistente y doloso de las disposiciones fundamentales del presente contrato, la\n\nParte XI de la Convención, el Acuerdo o las normas, reglamentos y procedimientos de la Autoridad; o\n\nb) Si el contratista no ha cumplido una decisión definitiva y obligatoria del órgano de solución de controversias que le sea aplicable; o c) Si el contratista cae en insolvencia, comete un acto que entrañe la cesación de pagos, pacta un convenio con sus acreedores, queda sometido a liquidación o sindicatura voluntaria o forzada, pide a un tribunal que le sea nombrado un síndico o da comienzo a un procedimiento que se refiera a sí mismo con arreglo a una ley sobre quiebras, insolvencia o ajuste de la deuda, esté o no en vigor en ese momento, para un fin distinto del de reorganizarse.\n\n21.2 El Consejo podrá, sin perjuicio de lo dispuesto en la cláusula 17, suspender o rescindir el presente contrato, tras haber celebrado consultas con el contratista, sin perjuicio de ningún otro derecho que posea la Autoridad, si el contratista no puede cumplir las obligaciones que le corresponden en virtud del presente contrato debido a un acontecimiento o una condición de fuerza mayor, conforme a lo estipulado en la cláusula 17.1, que haya persistido durante un período de más de dos años continuos, aunque el contratista haya adoptado todas las medidas razonables para superar su incapacidad de cumplir con las cláusulas del presente contrato con una demora mínima.\n\n21.3 La suspensión o rescisión tendrá lugar por medio de una notificación, por intermedio del Secretario General, e incluirá una declaración acerca de los motivos para esa medida. La suspensión o rescisión entrará en vigor 60 días después de dicha notificación, a menos que el contratista impugne el derecho de la Autoridad de suspender o rescindir este contrato de conformidad con la Parte XI, sección 5, de la Convención.\n\n21.4 Si el contratista procede de esa manera, el presente contrato sólo podrá ser suspendido o rescindido de conformidad con una decisión definitiva y con fuerza jurídica obligatoria adoptada de conformidad con la Parte XI, sección 5, de la Convención.\n\n21.5 El Consejo, en caso de que suspenda el presente contrato, podrá, previa notificación, exigir al contratista que reanude sus operaciones y cumpla las cláusulas y las condiciones de él a más tardar dentro de los 60 días siguientes a la fecha de la notificación.\n\n21.6 En caso de que se produzca un incumplimiento del contrato no previsto en la cláusula 21.1 a), o en lugar de la suspensión o rescisión con arreglo a la cláusula 21.1, el Consejo podrá imponer al contratista sanciones pecuniarias proporcionales a la gravedad de la transgresión.\n\n21.7 El Consejo no podrá ejecutar una decisión que implique sanciones pecuniarias hasta que el contratista haya tenido oportunidad razonable de agotar los recursos judiciales de que dispone con arreglo a la Parte XI, sección 5, de la Convención.\n\n21.8 En caso de rescisión o expiración del presente contrato, el contratista cumplirá los reglamentos y sacará del área de exploración todas sus instalaciones, planta, equipo y materiales y hará lo necesario para que esa área no constituya un peligro para las personas, para el transporte marítimo ni para el medio marino.\n\nCláusula 22. Transferencia de derechos y obligaciones\n\n22.1 Los derechos y las obligaciones del contratista en virtud del presente contrato podrán ser transferidos en todo o parte únicamente con el consentimiento de la Autoridad y con arreglo al reglamento.\n\n22.2 La Autoridad no negará sin causa bastante su consentimiento a la transferencia si el cesionario propuesto reúne todas las condiciones requeridas de un solicitante calificado de conformidad con el reglamento y asume todas las obligaciones del contratista.\n\n22.3 Las cláusulas, las obligaciones y las condiciones del presente contrato se entenderán en beneficio de las partes en él y sus respectivos sucesores y cesionarios y serán obligatorias para ellos.\n\nCláusula 23. Exoneración El hecho de que una de las partes renuncie a los derechos que le correspondan por el incumplimiento de las cláusulas y condiciones del presente contrato por la otra no será interpretado en el sentido de que también la exonera de cualquier transgresión ulterior de la misma cláusula o la misma condición o cualquier otra que haya de cumplir.\n\nCláusula 24. Revisión\n\n24.1 Cuando hayan surgido o puedan surgir circunstancias que, a juicio de la Autoridad o el contratista, hagan inequitativo el presente contrato o hagan impracticable o imposible el logro de los objetivos previstos en él y en la Parte XI de la Convención o en el Acuerdo, las partes entablarán negociaciones para revisarlo en la forma correspondiente.\n\n24.2 El presente contrato podrá también ser revisado de común acuerdo entre el contratista y la Autoridad para facilitar la aplicación de las normas, reglamentos y procedimientos que esta apruebe después de su entrada en vigor.\n\n24.3 El presente contrato podrá ser revisado, enmendado o modificado únicamente con el consentimiento del contratista y la Autoridad y mediante instrumento en regla y firmado por los representantes autorizados de las partes.\n\nCláusula 25. Controversias\n\n25.1 Las controversias que surjan entre las partes acerca de la interpretación o aplicación del presente contrato se dirimirán con arreglo a lo dispuesto en la Parte XI, sección 5, de la Convención.\n\n25.2 De conformidad con el artículo 21 2) del anexo III de la Convención, las decisiones definitivas de una corte o tribunal que tenga competencia en virtud de la Convención respecto de los derechos y obligaciones de la Autoridad y del contratista serán ejecutables en el territorio de cada uno de los Estados Partes en la Convención afectados.\n\nCláusula 26. Notificación\n\n26.1 El Secretario General o el representante designado del contratista, según el caso, harán por escrito todo pedido, solicitud, aviso, informe, autorización, aprobación, exención, directiva o instrucción en relación con el presente contrato. La notificación se hará en mano o por télex, fax, correo aéreo certificado o correo electrónico con firma autorizada al Secretario General en la sede de la Autoridad o al representante designado. La obligación de facilitar por escrito la información que establece el presente reglamento quedará satisfecha cuando se haga en un documento electrónico que contenga una firma digital.\n\n26.2 Cualquiera de las partes estará facultada para cambiar esa dirección por cualquier otra, previo aviso enviado a la otra parte con no menos de diez días de antelación.\n\n26.3 La notificación en mano surtirá efecto en el momento en que se haga. Se considerará que la notificación por télex surtirá efecto el día hábil siguiente a aquel en que aparezca en la máquina de télex del remitente la expresión “respuesta”. La notificación por fax surtirá efecto cuando quien lo envíe reciba el “informe de confirmación de la transmisión”, en el cual se confirme la transmisión al número de fax publicado por el receptor. La notificación por correo aéreo certificado se considerará hecha 21 días después del envío. Se entenderá que el destinatario de un correo electrónico lo ha recibido, cuando dicho correo entre en un sistema de información diseñado o utilizado por el destinatario para recibir documentos del tipo enviado y pueda ser recuperado y procesado por él.\n\n26.4 La notificación al representante designado del contratista servirá de notificación a este para todos los efectos en relación con el presente contrato y el representante designado representará al contratista a los efectos de la notificación de la demanda o de otra diligencia ante un tribunal competente.\n\n26.5 La notificación al Secretario General servirá de notificación a la Autoridad para todos los efectos en relación con el presente contrato y el Secretario General representará a la Autoridad a los efectos de la notificación de la demanda o de otra diligencia ante cualquier tribunal competente.\n\nCláusula 27. Derecho aplicable\n\n27.1 El presente contrato se regirá por sus propias disposiciones, por las normas, los reglamentos y los procedimientos de la Autoridad, por la Parte XI de la Convención, por el Acuerdo y por las demás normas de derecho internacional que no sean incompatibles con la Convención.\n\n27.2 El contratista, sus empleados, subcontratistas, agentes y todas las personas que trabajen para ellos o actúen en su nombre en la realización de operaciones en virtud del presente contrato cumplirán las normas aplicables a que se hace referencia en el párrafo 27.1 y no participarán directa o indirectamente en ninguna transacción prohibida por esas normas.\n\n27.3 Ninguna de las disposiciones del presente contrato será interpretada en el sentido de que exima de la necesidad de solicitar y obtener los permisos o autorizaciones necesarios para realizar actividades en virtud de él.\n\nCláusula 28. Interpretación La división del contrato en cláusulas y párrafos y los epígrafes que figuran en él obedecen únicamente al propósito de facilitar la referencia y no afectarán a su interpretación.\n\nCláusula 29. Documentos adicionales Cada una de las partes en el presente contrato acepta firmar y entregar los demás instrumentos y realizar los demás actos que sean necesarios o convenientes para poner en vigor sus disposiciones.\n", "n_chars": 126256}
{"corpus_id": "isa/regulation/crusts-2012-fr", "version_id": "2012-10-22", "title": "Règlement relatif à la prospection et à l’exploration des encroûtements cobaltifères de ferromanganèse dans la Zone", "short_title": "Règlement ISA — exploration des encroûtements cobaltifères (2012) [FR]", "jurisdiction": "international", "document_type": "isa_regulation", "official_citation": "ISBA/18/A/11, annexe — Règlement relatif à la prospection et à l’exploration des encroûtements cobaltifères de ferromanganèse dans la Zone", "authentic_languages": ["ar", "zh", "en", "fr", "ru", "es"], "language": "fr", "adoption_date": "2012-10-22", "entry_into_force_date": null, "source_url": "https://isa.org.jm/wp-content/uploads/2022/04/isba-18a-11_2.pdf", "source_publisher": "Autorité internationale des fonds marins (ISA)", "source_is_official": true, "authoritative_status": "authentic_text", "text_fidelity": "extracted_verified", "content_hash": "sha256:e5b44ffae806e0f0b2b6dd5ec485681529c769406be96292dcd60c1f04e9aae5", "original_sha256": "sha256:305d5be42ed99055e008655fe34b7157b26f9df20de1d166f6f405b9a2595f48", "text_sha256": "sha256:e5b44ffae806e0f0b2b6dd5ec485681529c769406be96292dcd60c1f04e9aae5", "license": "isa-materials-terms", "rights_note": "Texte authentique français ; document officiel, attribué à la source ; non re-licencié.", "provenance_note": "TEXTE AUTHENTIQUE FRANÇAIS — sibling under JC-006 (language-suffixed corpus_id; English base record is isa/regulation/crusts-2012). Authentic in the six UN languages, all equally authoritative; the French text is stored here. Byte-exact official PDF (human download) stored as original.pdf (original_sha256 = the PDF hash); text extracted with pdftotext and cleaned by the committed scripts/extract.py, byte-exact reproducible; page furniture removed, no wording changed. This is an equally-authentic language version, NOT a translation of the English (translations, if any, live in the derived layer).", "text": "Règlement relatif à la prospection et à l’exploration des encroûtements cobaltifères de ferromanganèse dans la Zone — ISBA/18/A/11, annexe [FR]\n\nRèglement relatif à la prospection et à l’exploration des encroûtements cobaltifères de ferromanganèse dans la Zone\n\nPréambule Aux termes de la Convention des Nations Unies sur le droit de la mer du 10 décembre 1982 (« la Convention »), les fonds marins et leur sous-sol au-delà des limites de la juridiction nationale ainsi que les ressources qu’ils recèlent sont le patrimoine commun de l’humanité, dont l’exploration et l’exploitation se feront dans l’intérêt de l’humanité tout entière, au nom de laquelle agit l’Autorité internationale des fonds marins. Le présent Règlement a pour objet d’organiser la prospection et l’exploration des encroûtements cobaltifères de ferromanganèse.\n\nPartie I\n\nIntroduction\n\nArticle 1. Emploi des termes et champ d’application\n\n1. Les termes utilisés dans le présent Règlement s’entendent dans le sens qui leur est donné dans la Convention.\n\n2. Conformément à l’Accord relatif à l’application de la partie XI de la Convention (« l’Accord »), les dispositions de l’Accord et la partie XI de la Convention doivent être interprétées et appliquées ensemble comme un seul et même instrument; le présent Règlement et les renvois à la Convention qui y figurent doivent être interprétés et appliqués en conséquence.\n\n3. Aux fins du présent Règlement, on entend par : a) « Encroûtements cobaltifères » les gisements d’encroûtements d’oxydes/hydroxydes de ferromanganèse enrichi en cobalt, formés par précipitation directe des minéraux de l’eau de mer sur des substrats solides contenant des concentrations mineures mais non négligeables de cobalt, de titane, de nickel, de platine, de molybdène, de tellurium, de cérium, d’autres métaux et de terres rares;\n\nb) « Exploitation » la collecte à des fins commerciales d’encroûtements cobaltifères dans la Zone et l’extraction des minéraux qu’ils contiennent, notamment la construction et l’exploitation de systèmes d’extraction minière, de traitement et de transport pour la production et la vente de minéraux; c) « Exploration » la recherche, faisant l’objet de droits exclusifs de gisements d’encroûtements cobaltifères dans la Zone, l’analyse de ces gisements, l’utilisation et l’essai des procédés et du matériel d’extraction, des installations de traitement et des systèmes de transport, et l’établissement d’études des facteurs environnementaux, techniques, économiques, commerciaux et autres à prendre en considération dans l’exploitation;\n\nd) « Milieu marin » les éléments et facteurs physiques, chimiques, géologiques et biologiques, entre autres, qui agissent les uns sur les autres et déterminent la productivité, l’état, la condition et la qualité de l’écosystème marin, les eaux des mers et des océans et l’espace aérien surjacent ainsi que les fonds marins et leur sous-sol; e) « Prospection » la recherche, sans droits exclusifs, de gisements d’encroûtements cobaltifères dans la Zone, notamment l’évaluation de la composition, de la taille et de la répartition des gisements d’encroûtements cobaltifères et de leur valeur économique; f) « Dommage grave au milieu marin » tout effet d’activités menées dans la Zone sur le milieu marin se traduisant par une modification défavorable considérable du milieu marin déterminée conformément aux règles, règlements, procédures et directives adoptés par l’Autorité, sur la base des normes et des pratiques internationalement reconnues.\n\n4. Le présent Règlement n’affecte d’aucune façon ni la liberté de la recherche scientifique, conformément à l’article 87 de la Convention, ni le droit de faire de la recherche scientifique marine dans la Zone conformément aux articles 143 et 256 de la Convention. Aucune disposition du présent Règlement ne peut être interprétée comme restreignant l’exercice par les États de la liberté de la haute mer au sens de l’article 87 de la Convention.\n\n5. Le présent Règlement pourra être complété par d’autres règles, règlements et procédures, notamment en ce qui concerne la protection et la préservation du milieu marin. Il est assujetti à la Convention des Nations Unies sur le droit de la mer, à l’Accord relatif à l’application de la partie XI de ladite Convention et à toute autre norme de droit international qui n’est pas incompatible avec la Convention.\n\nPartie II. Prospection\n\nArticle 2. Prospection\n\n1. La prospection est réalisée conformément à la Convention et au présent Règlement et ne peut démarrer qu’après que le prospecteur a été informé par le Secrétaire général de l’enregistrement de sa notification conformément à l’article 4 2).\n\n2. Les prospecteurs et l’Autorité appliquent le principe de précaution posé par le Principe 15 de la Déclaration de Rio sur l’environnement et le développement1.\n\n3. Il ne doit pas être entrepris de prospection s’il y a de bonnes raisons de craindre un dommage grave au milieu marin.\n\n4. Il ne doit pas être entrepris de prospection dans une zone visée par un plan de travail relatif à l’exploration d’encroûtements cobaltifères approuvé ni dans un secteur réservé et il ne peut non plus en être entrepris dans une zone dont le Conseil de l’Autorité internationale des fonds marins a exclu la mise en exploitation en raison d’un risque de dommage grave au milieu marin. 1 Rapport de la Conférence des Nations Unies sur l’environnement et le développement, Rio de Janeiro, 3-14 juin 1992, (publication des Nations Unies, numéro de vente : F.93.I.8 et rectificatifs), vol. I, résolutions adoptées par la Conférence, résolution 1, annexe I.\n\n5. La prospection ne confère au prospecteur aucun droit sur les ressources. Le prospecteur peut toutefois extraire une quantité raisonnable de minéraux, à savoir la quantité nécessaire aux fins d’expérimentation et non à des fins commerciales.\n\n6. La prospection n’est pas limitée dans le temps; toutefois, il y est mis un terme lorsque le Secrétaire général notifie par écrit au prospecteur qu’un plan de travail relatif à l’exploration portant sur la zone prospectée a été approuvé.\n\n7. La prospection peut être réalisée simultanément par plusieurs prospecteurs dans la même zone ou les mêmes zones.\n\nArticle 3. Notification de prospection\n\n1. Le futur prospecteur doit notifier à l’Autorité son intention d’entreprendre des activités de prospection.\n\n2. Chaque notification de prospection est présentée dans les formes prescrites à l’annexe I du présent Règlement, est adressée au Secrétaire général et doit satisfaire aux conditions énoncées dans le présent Règlement.\n\n3. Chaque notification est présentée : a) Dans le cas d’un État, par l’autorité désignée à cet effet par ledit État; b) Dans le cas d’une entité, par les représentants désignés de celle-ci; c) Dans le cas de l’Entreprise, par l’autorité compétente de celle-ci.\n\n4. Chaque notification est présentée dans l’une des langues de l’Autorité et doit comporter : a) Le nom, la nationalité et l’adresse du futur prospecteur et de son représentant désigné;\n\nb) Les coordonnées de la ou des grandes zones devant être prospectées, conformément aux normes internationales généralement acceptées les plus récentes utilisées par l’Autorité; c) Une description générale du programme de prospection, notamment la date de démarrage prévue et la durée approximative du programme; d) Un engagement écrit satisfaisant du futur prospecteur indiquant : i) Qu’il respectera la Convention et les règles, règlements et procédures de l’Autorité concernant : a. La coopération aux programmes de formation en matière de recherche scientifique marine et de transfert des techniques visés aux articles 143 et 144 de la Convention; et b. La protection et la préservation du milieu marin; ii) Qu’il acceptera la vérification par l’Autorité du respect dudit engagement; et iii) Qu’il mettra à la disposition de l’Autorité, dans la mesure du possible, les données pouvant être utiles à la protection et à la préservation du milieu marin.\n\nArticle 4. Examen des notifications\n\n1. Le Secrétaire général accuse par écrit réception de chaque notification donnée en vertu de l’article 3, en spécifiant la date de réception.\n\n2. Le Secrétaire général examine la notification dans un délai de 45 jours à compter de sa réception. Si la notification satisfait aux conditions de la Convention et du présent Règlement, il inscrit les renseignements qu’elle contient dans le registre tenu à cet effet et informe par écrit le prospecteur que la notification a été dûment enregistrée.\n\n3. Le Secrétaire général fait savoir par écrit au futur prospecteur, dans un délai de 45 jours à compter de la réception de la notification, si celle-ci porte sur une partie d’une zone visée par un plan de travail approuvé relatif à l’exploration ou à l’exploitation de l’une quelconque des catégories de ressources, ou sur une partie quelconque d’un secteur réservé, ou sur toute partie d’une zone dont le Conseil a exclu la mise en exploitation en raison d’un risque de dommage grave au milieu marin, ou si l’engagement écrit n’est pas satisfaisant, et en fait connaître les raisons par écrit au futur prospecteur. Ce dernier peut alors modifier sa notification dans un délai de 90 jours. Le Secrétaire général examine à nouveau la notification et statue sur elle dans un délai de 45 jours.\n\n4. Le prospecteur informe le Secrétaire général par écrit de toute modification des informations figurant dans la notification.\n\n5. Le Secrétaire général s’abstient de divulguer les informations contenues dans la notification, si ce n’est avec le consentement écrit du prospecteur. Toutefois, il informe de temps à autre tous les membres de l’Autorité de l’identité des prospecteurs et des zones prospectées.\n\nArticle 5. Protection et préservation du milieu marin pendant la prospection\n\n1. Chaque prospecteur prend les mesures nécessaires pour prévenir, réduire et maîtriser autant que raisonnablement possible la pollution du milieu marin et les autres risques découlant de la prospection, en appliquant le principe de précaution ainsi que les meilleures pratiques écologiques. En particulier, chaque prospecteur réduit au minimum ou élimine : a) Les effets néfastes de la prospection sur l’environnement; et\n\nb) Les conflits effectifs ou potentiels avec des activités de recherche scientifique marine déjà engagées ou prévues, ou la perturbation de ces activités, conformément aux futures directives pertinentes.\n\n2. Les prospecteurs coopèrent avec l’Autorité à la mise en place et à l’exécution de programmes de surveillance et d’évaluation des effets potentiels sur le milieu marin de l’exploration et de l’exploitation d’encroûtements cobaltifères.\n\n3. Le prospecteur notifie immédiatement par écrit au Secrétaire général, en utilisant les recours aux moyens les plus efficaces, tout incident résultant de la prospection qui a causé, qui cause ou qui menace de causer un dommage grave au milieu marin. Dès réception d’une telle notification, le Secrétaire général agit conformément à l’article 35.\n\nArticle 6. Rapport annuel\n\n1. Le prospecteur doit présenter à l’Autorité, dans les 90 jours qui suivent la fin de l’année civile, un rapport sur l’état d’avancement de la prospection. Ces rapports sont soumis à la Commission juridique et technique par le Secrétaire général. Chaque rapport doit comporter : a) Une description générale de l’état d’avancement de la prospection et des résultats obtenus;\n\nb) Des informations sur la façon dont le prospecteur remplit l’engagement visé à l’article 3 4) d); et c) Des informations sur la façon dont le prospecteur se conforme aux directives pertinentes à cet égard.\n\n2. S’il entend inclure les dépenses de prospection dans les dépenses de mise en valeur encourues avant le démarrage de la production commerciale, le prospecteur soumet un état annuel, établi conformément aux principes comptables internationalement reconnus et certifié par un cabinet d’experts comptables dûment agréé, des dépenses directes et effectives qu’il a encourues dans le cadre de la prospection.\n\nArticle 7. Confidentialité des données et informations contenues dans le rapport annuel\n\n1. Le Secrétaire général garantit la confidentialité de toutes les données et informations figurant dans les rapports soumis en vertu de l’article 6, en appliquant mutatis mutandis les dispositions des articles 38 et 39, étant entendu que les données et informations relatives à la protection et la préservation du milieu marin, en particulier celles qui émanent de programmes de surveillance de l’environnement, ne sont pas considérées comme confidentielles. Le prospecteur peut demander que ces données ne soient pas divulguées pendant un délai pouvant aller jusqu’à trois ans à compter de la date où le rapport les contenant a été soumis.\n\n2. Le Secrétaire général peut, à tout moment, avec le consentement du prospecteur concerné, divulguer les données et informations concernant la prospection dans la zone pour laquelle il a reçu une notification. Si après avoir fait pendant au moins deux ans tous les efforts raisonnablement possibles pour communiquer avec le prospecteur, le Secrétaire général constate que celui-ci n’existe plus ou ne peut être localisé, il peut divulguer ces données et informations.\n\nArticle 8. Objets ayant un caractère archéologique ou historique Le prospecteur notifie immédiatement par écrit au Secrétaire général toute découverte dans la Zone d’objets ayant ou susceptibles d’avoir un caractère archéologique ou historique et leur emplacement. Le Secrétaire général en avise le Directeur général de l’Organisation des Nations Unies pour l’éducation, la science et la culture.\n\nPartie III. Demandes d’approbation de plans de travail relatifs à l’exploration revêtant la forme de contrats\n\nSection 1. Dispositions générales\n\nArticle 9. Dispositions générales Sous réserve des dispositions de la Convention, les entités ci-après peuvent présenter à l’Autorité des demandes d’approbation de plans de travail relatifs à l’exploration : a) L’Entreprise, en son nom propre, ou dans le cadre d’un accord de coentreprise;\n\nb) Les États Parties, les entreprises d’État ou les personnes physiques ou morales possédant la nationalité d’États Parties ou effectivement contrôlées par eux ou leurs ressortissants, lorsqu’elles sont patronnées par ces États, ou tout groupe des catégories précitées qui satisfait aux conditions stipulées dans le présent Règlement.\n\nSection 2. Teneur des demandes\n\nArticle 10. Forme des demandes\n\n1. Toute demande d’approbation d’un plan de travail relatif à l’exploration est présentée dans les formes prescrites à l’annexe II du présent Règlement, est adressée au Secrétaire général et doit satisfaire aux conditions énoncées dans le présent Règlement.\n\n2. Toute demande est présentée : a) Lorsqu’elle émane d’un État partie, par l’autorité désignée à cet effet par ledit État;\n\nb) Lorsqu’elle émane d’une entité, par le représentant désigné par celle-ci ou l’autorité désignée à cet effet par l’État ou les États patronnant la demande; et c) Lorsqu’elle émane de l’Entreprise, par l’autorité compétente de celle-ci.\n\n3. Toute demande émanant d’une entreprise d’État ou de l’une des entités visées à l’article 9 b) doit comporter également : a) Des renseignements permettant de déterminer la nationalité du demandeur ou l’identité de l’État ou des États, ou de leurs ressortissants, qui contrôlent effectivement le demandeur; et\n\nb) L’établissement principal ou le domicile et, le cas échéant, le lieu d’immatriculation du demandeur.\n\n4. Toute demande émanant d’une association ou d’un consortium d’entités doit comporter les renseignements requis concernant chaque membre de l’association ou du consortium.\n\nArticle 11. Certificat de patronage\n\n1. Toute demande émanant d’une entreprise d’État ou de l’une des entités visées à l’article 9 b) doit être accompagnée d’un certificat de patronage délivré par l’État dont le demandeur est ressortissant ou par lequel ou les ressortissants duquel il est effectivement contrôlé. Si le demandeur a plus d’une nationalité, ce qui est le cas d’une association ou d’un consortium d’entités relevant de plusieurs États, chacun de ces États délivre un certificat de patronage.\n\n2. Si le demandeur a la nationalité d’un État mais est effectivement contrôlé par un autre État ou par ses ressortissants, chacun de ces États délivre un certificat de patronage.\n\n3. Tout certificat de patronage doit être dûment signé au nom de l’État qui le présente et doit comporter les éléments ci-après : a) Le nom du demandeur; b) Le nom de l’État patronnant la demande; c) Une attestation indiquant que le demandeur est : i) Ressortissant de l’État patronnant la demande; ou ii) Sous le contrôle effectif de l’État patronnant la demande ou de ses ressortissants; d) Une déclaration indiquant que l’État patronne le demandeur; e) La date du dépôt de son instrument de ratification de la Convention, ou d’adhésion ou de succession à celle-ci, par l’État patronnant la demande; f) Une déclaration indiquant que l’État patronnant la demande assume les responsabilités prévues aux articles 139 et 153 4) de la Convention et à l’annexe III, article 4 4) de la Convention.\n\n4. Les États ou entités ayant passé un accord de coentreprise avec l’Entreprise sont également tenus de se conformer aux dispositions du présent article.\n\nArticle 12. Superficie totale de la zone visée par la demande\n\n1. Aux fins du présent Règlement, on entend par « bloc d’encroûtements cobaltifères » une ou plusieurs cellules d’un maillage ainsi que défini par l’Autorité, qui peut être carrée ou rectangulaire, d’une superficie de 20 kilomètres carrés au maximum.\n\n2. La zone couverte par chaque demande d’approbation d’un plan de travail relatif à l’exploration d’encroûtements cobaltifères ne doit pas comprendre plus de 150 blocs d’encroûtements cobaltifères, que le demandeur organise en grappes comme indiqué au paragraphe 3 ci-dessous.\n\n3. Cinq blocs d’encroûtements cobaltifères contigus forment une grappe de blocs d’encroûtements cobaltifères. Deux blocs qui se touchent en un point quelconque sont considérés comme contigus. Les grappes de blocs d’encroûtements cobaltifères ne doivent pas nécessairement être contiguës, mais elles doivent être proches les unes des autres et entièrement situées dans une zone géographique ne dépassant pas 550 kilomètres sur 550 kilomètres.\n\n4. Nonobstant les dispositions du paragraphe 2 ci-dessus, lorsque le demandeur a choisi de remettre un secteur réservé pour les activités devant être menées au titre de l’article 9 de l’annexe III de la Convention, conformément à l’article 17 du présent Règlement, la superficie totale de la zone couverte par sa demande est limitée à 300 blocs d’encroûtements cobaltifères. Ces blocs sont répartis en deux groupes de même valeur commerciale estimative, et chacun de ces deux groupes de blocs d’encroûtements cobaltifères est réparti en grappes par le demandeur comme indiqué au paragraphe 3 ci-dessus.\n\nArticle 13. Capacité financière et technique\n\n1. Toute demande d’approbation d’un plan de travail relatif à l’exploration doit comporter des informations précises et suffisantes pour permettre au Conseil de s’assurer que le demandeur est financièrement et techniquement capable d’exécuter le plan de travail proposé et de s’acquitter de ses obligations financières vis-à-vis de l’Autorité.\n\n2. Toute demande d’approbation d’un plan de travail relatif à l’exploration émanant de l’Entreprise doit être accompagnée d’une déclaration de l’autorité compétente de celle-ci certifiant que l’Entreprise a les ressources financières nécessaires pour couvrir le coût estimatif du plan de travail proposé.\n\n3. Toute demande d’approbation d’un plan de travail relatif à l’exploration émanant d’un État ou d’une entreprise d’État doit être accompagnée d’une déclaration par laquelle ledit État ou l’État patronnant la demande certifie que le demandeur dispose des ressources financières nécessaires pour couvrir le coût estimatif du plan de travail proposé.\n\n4. Toute demande d’approbation d’un plan de travail relatif à l’exploration émanant d’une entité doit être accompagnée de copies des états financiers vérifiés de l’entité, y compris les bilans et les comptes de profits et pertes correspondant aux trois années précédentes, établis conformément aux principes comptables internationalement reconnus et certifiés par un cabinet d’experts comptables dûment agréé.\n\n5. Si le demandeur est une entité nouvellement créée et qu’un bilan vérifié n’est pas disponible, la demande d’approbation doit être accompagnée d’un bilan pro forma certifié par un représentant compétent du demandeur.\n\n6. Si le demandeur est une filiale d’une autre entité, la demande d’approbation doit être accompagnée de copies de ces mêmes états financiers concernant cette entité et d’une déclaration de cette entité, établie conformément aux principes comptables internationalement reconnus et certifiée par un cabinet d’experts comptables dûment agréé, attestant que le demandeur disposera des ressources financières nécessaires pour exécuter le plan de travail relatif à l’exploration.\n\n7. Si le demandeur est placé sous le contrôle d’un État ou d’une entreprise d’État, la demande d’approbation doit être accompagnée d’une déclaration de l’État ou de l’entreprise d’État attestant que le demandeur disposera des ressources financières nécessaires pour exécuter le plan de travail proposé.\n\n8. Si un demandeur qui demande l’approbation d’un plan de travail relatif à l’exploration a l’intention de financer le plan de travail proposé grâce à des emprunts, sa demande doit comporter une déclaration indiquant le montant, l’échéancier et le taux d’intérêt de ces emprunts.\n\n9. Toute demande doit comprendre : a) Une description générale de l’expérience, des connaissances, des compétences et du savoir-faire techniques utiles pour l’exécution du plan de travail proposé acquis antérieurement par le demandeur;\n\nb) Une description générale du matériel et des méthodes qu’il est prévu d’utiliser pour exécuter le plan de travail proposé et d’autres informations utiles, qui ne sont pas propriété industrielle, portant sur les caractéristiques des techniques envisagées; et c) Une description générale de la capacité financière et technique dont dispose le demandeur pour faire face à tout incident ou activité causant un dommage grave au milieu marin.\n\n10. Si le demandeur est une association ou un consortium d’entités liées entre elles par un accord de coentreprise, chaque membre de l’association ou du consortium doit fournir les renseignements exigés dans le présent article.\n\nArticle 14. Précédents contrats avec l’Autorité Si le demandeur ou, lorsque la demande émane d’une association ou d’un consortium d’entités liées entre elles par un accord de coentreprise, si un membre de l’association ou du consortium a précédemment obtenu un contrat de l’Autorité, sont indiqués dans la demande : a) La date du contrat ou des contrats précédents;\n\nb) La date, le numéro de référence et le titre de tout rapport relatif au(x) contrat(s) soumis à l’Autorité; et c) La date de résiliation du contrat ou des contrats, le cas échéant.\n\nArticle 15. Engagements Dans sa demande d’approbation d’un plan de travail relatif à l’exploration, tout demandeur, y compris l’Entreprise, s’engage par écrit vis-à-vis de l’Autorité à : a) Accepter comme exécutoires et respecter les obligations qui lui incombent en vertu de la Convention et des règles, règlements et procédures de l’Autorité, des décisions des organes de l’Autorité et des clauses des contrats qu’il a conclus avec celle-ci;\n\nb) Accepter que l’Autorité exerce sur les activités menées dans la Zone le contrôle autorisé par la Convention; et c) Fournir à l’Autorité l’assurance écrite qu’il s’acquittera de bonne foi des obligations qui lui incombent en vertu du contrat.\n\nArticle 16. Choix du demandeur entre la remise d’un secteur réservé ou une participation au capital d’une entreprise conjointe Dans sa demande, le demandeur choisit entre les options suivantes : a) Remettre un secteur réservé pour les activités devant être menées au titre de l’annexe III, article 9, de la Convention, conformément à l’article 17 du présent Règlement; ou\n\nb) Offrir une participation au capital conformément à l’article 19 du présent Règlement. d’une entreprise conjointe\n\nArticle 17. Données et informations à fournir avant la désignation d’un secteur réservé\n\n1. Lorsque le demandeur choisit de remettre un secteur réservé pour les activités devant être menées au titre de l’annexe III, article 9 de la Convention, la zone couverte par sa demande doit être suffisamment étendue et avoir une valeur commerciale estimative suffisante pour permettre deux opérations d’extraction minière et est configurée par le demandeur conformément à l’article 12 4).\n\n2. Une telle demande doit contenir suffisamment de données et informations prescrites à l’annexe II, section II, du présent Règlement relatives à la zone qu’elle couvre pour permettre au Conseil de désigner, sur la recommandation de la Commission juridique et technique, un secteur réservé en se fondant sur la valeur commerciale estimative de chaque partie. Ces données et informations sont celles dont dispose le demandeur sur les deux parties de la zone couverte par la demande, notamment les données utilisées pour déterminer la valeur commerciale de celles-ci.\n\n3. Le Conseil, se fondant sur les données et informations fournies par le demandeur conformément à l’annexe II, section II, du présent Règlement, s’il les juge satisfaisantes, et compte tenu de la recommandation de la Commission juridique et technique, désigne la partie de la zone couverte par la demande qui sera réservée. La partie ainsi désignée devient le secteur réservé dès que le plan de travail relatif à l’exploration du secteur non réservé est approuvé et le contrat signé. Si le Conseil estime devoir disposer d’informations supplémentaires, en conformité avec le présent Règlement et l’annexe II, pour désigner le secteur réservé, il renvoie la question à la Commission pour qu’elle la réexamine, en indiquant les informations supplémentaires requises.\n\n4. Une fois le plan de travail relatif à l’exploration approuvé et un contrat passé, les informations fournies à l’Autorité par le demandeur au sujet du secteur réservé peuvent être communiquées par celle-ci conformément à l’article 14 3) de l’annexe III de la Convention.\n\nArticle 18. Demandes d’approbation de plans de travail concernant un secteur réservé\n\n1. Tout État en développement ou toute personne physique ou morale patronnée par lui et effectivement contrôlée par lui ou par un autre État en développement, ou tout groupe des catégories précitées, peut notifier à l’Autorité son désir de soumettre un plan de travail relatif à l’exploration d’un secteur réservé. Le Secrétaire général transmet ladite notification à l’Entreprise qui, dans les six mois, fait savoir par écrit au Secrétaire général si elle a l’intention ou non de mener des activités dans le secteur; si elle a l’intention de mener des activités dans le secteur, elle en informe aussi par écrit, en application du paragraphe 4, le contractant dont la demande d’approbation d’un plan de travail relatif à l’exploration couvrait initialement ce secteur.\n\n2. Toute demande d’approbation d’un plan de travail relatif à l’exploration d’un secteur réservé peut être présentée à tout moment après qu’un tel secteur devient disponible à la suite d’une décision de l’Entreprise de ne pas y mener d’activités ou lorsque l’Entreprise, dans les six mois de la notification par le Secrétaire général, n’a ni décidé si elle entend mener des activités dans le secteur ni notifié par écrit au Secrétaire général qu’elle est en pourparlers au sujet d’une entreprise conjointe potentielle. Dans ce dernier cas, l’Entreprise dispose d’un an à compter de la date de la notification pour décider si elle entend mener des activités dans le secteur.\n\n3. Lorsque ni l’Entreprise ni aucun État en développement ou aucune des entités visées au paragraphe 1 ne présente une demande d’approbation d’un plan de travail relatif à l’exploration d’un secteur réservé dans un délai de 15 ans après que l’Entreprise a commencé d’exercer ses fonctions indépendamment du Secrétariat de l’Autorité ou dans un délai de 15 ans à compter de la date à laquelle ledit secteur a été réservé à l’Autorité, si cette date est postérieure, le contractant dont la demande d’approbation d’un plan de travail relatif à l’exploration couvrait initialement ce secteur a le droit de présenter une demande d’approbation d’un plan de travail relatif à l’exploration de celui-ci, à charge pour lui d’offrir de bonne foi d’associer l’Entreprise à ses activités dans le cadre d’une entreprise conjointe.\n\n4. Le contractant a un droit de priorité pour conclure avec l’Entreprise un accord d’entreprise conjointe en vue de l’exploration du secteur compris dans sa demande d’approbation d’un plan de travail relatif à l’exploration et désigné par le Conseil comme secteur réservé.\n\nArticle 19. Participation au capital d’une entreprise conjointe\n\n1. Un demandeur qui opte pour une offre de participation au capital d’une entreprise conjointe doit soumettre les données et informations spécifiées à l’article 20 du présent Règlement. Le secteur devant lui être attribué sera régi par les dispositions de l’article 27.\n\n2. L’accord d’entreprise conjointe, qui prend effet au moment où le demandeur conclut un contrat d’exploitation, doit comporter les éléments ci-après : a) L’Entreprise obtiendra au minimum une participation de 20 % du capital de l’entreprise conjointe dans les conditions suivantes : i) La moitié de cette participation sera obtenue sans aucun paiement, direct ou indirect, au demandeur et sera traitée à toutes fins sur un pied d’égalité avec la participation de celui-ci; ii) Le reste de la participation sera traité à toutes fins sur un pied d’égalité avec la participation du demandeur, si ce n’est que l’Entreprise ne touchera aucun dividende pour cette partie de sa participation tant que le demandeur n’aura pas recouvré la totalité de son apport au capital de l’entreprise conjointe;\n\nb) Nonobstant l’alinéa a) ci-dessus, le demandeur offrira à l’Entreprise la possibilité d’acquérir une nouvelle participation de 30 % du capital de l’entreprise conjointe ou toute nouvelle participation inférieure à 30 % du capital qu’elle souhaiterait acquérir, à toutes fins sur un pied d’égalité avec le demandeur2; c) Sauf disposition expresse de l’accord entre le demandeur et l’Entreprise, le fait que celle-ci participe au capital de l’entreprise conjointe ne lui impose aucunement l’obligation de fournir des fonds ou des crédits, de se porter garante ou d’accepter aucune autre obligation financière pour l’entreprise conjointe ou en son nom, ni de souscrire des parts supplémentaires du capital de cette entreprise pour conserver le même pourcentage de ce capital.\n\nArticle 20. Données et informations à fournir pour l’approbation du plan de travail relatif à l’exploration\n\n1. Tout demandeur soumet, en vue d’obtenir l’approbation de son plan de travail relatif à l’exploration sous la forme d’un contrat, les informations suivantes : a) La description générale et le calendrier du programme d’exploration proposé, y compris le programme d’activités pour les cinq années à venir, telles que les études à réaliser concernant les facteurs écologiques, techniques, économiques et autres facteurs appropriés à prendre en compte pour l’exploration;\n\nb) La description du programme d’études océanographiques et écologiques prescrite par le présent Règlement et les règles, règlements et procédures d’ordre environnemental établis par l’Autorité, qui permettraient d’évaluer l’impact environnemental potentiel – y compris, sans y être limité, l’impact sur la diversité biologique – des activités d’exploration proposées, compte tenu de toutes recommandations formulées par la Commission juridique et technique; c) L’évaluation préliminaire de l’impact que les activités d’exploration proposées sont susceptibles d’avoir sur le milieu marin;\n\nd) La description des mesures proposées pour la prévention, la réduction et la maîtrise de la pollution et autres risques ainsi que de l’impact possible sur le milieu marin; e) Les données nécessaires pour permettre au Conseil de procéder aux vérifications visées à l’article 13 1); et 2 Il y aura lieu d’élaborer plus avant les conditions à prévoir pour l’obtention d’une telle participation au capital. f) Le calendrier des dépenses annuelles prévues pour le programme d’activités des cinq années à venir.\n\n2. Lorsque le demandeur choisit de remettre un secteur réservé, il communique à l’Autorité les données et informations relatives à ce secteur une fois que le Conseil a désigné ce secteur conformément à l’article 17 3).\n\n3. Lorsque le demandeur choisit d’offrir une participation au capital d’une entreprise conjointe, il communique à l’Autorité les données et informations relatives au secteur considéré au moment où il fait son choix.\n\nSection 3. Droits\n\nArticle 21. Droit afférent aux demandes\n\n1. Le droit à acquitter pour l’étude des demandes d’approbation d’un plan de travail relatif à l’exploration d’encroûtements cobaltifères est d’un montant fixe de 500 000 dollars des États-Unis ou l’équivalent dans une monnaie librement convertible, payable intégralement au moment de la présentation de la demande.\n\n2. Si les dépenses d’administration engagées par l’Autorité afin de traiter une demande sont inférieures au droit fixe indiqué au paragraphe 1 ci-dessus, l’Autorité rembourse la différence au demandeur. Si les dépenses d’administration engagées par l’Autorité afin de traiter une demande sont supérieures au droit fixe susmentionné, le demandeur verse la différence à l’Autorité; tout montant complémentaire versé à ce titre par le demandeur est limité à 10 % dudit droit fixe.\n\n3. Compte tenu des critères éventuellement établis à cette fin par la Commission des finances, le Secrétaire général détermine le montant des différences mentionnées au paragraphe 2 ci-dessus et en fait notification au demandeur. La notification inclut un état des dépenses engagées par l’Autorité. Le montant dû est payé par le demandeur ou remboursé par l’Autorité dans les trois mois de la signature du contrat mentionné à l’article 25 ci-dessous.\n\n4. Le Conseil réexamine périodiquement le montant du droit fixe mentionné au paragraphe 1 ci-dessus pour s’assurer qu’il couvre les dépenses d’administration à prévoir pour le traitement des demandes et éviter que les demandeurs aient à verser des droits complémentaires conformément au paragraphe 2 ci-dessus.\n\nSection 4. Traitement des demandes\n\nArticle 22. Réception, accusé de réception et garde des demandes Le Secrétaire général : a) Accuse réception par écrit, dans les 30 jours de sa réception, de toute demande d’approbation d’un plan de travail relatif à l’exploration soumis conformément à la présente Partie, en spécifiant la date de la réception;\n\nb) Dépose la demande avec ses pièces jointes et annexes en lieu sûr et veille à ce que la confidentialité de toutes les données et informations confidentielles fournies dans la demande soit protégée; et c) Avise les membres de l’Autorité de la réception de la demande et leur communique les renseignements non confidentiels d’ordre général y relatifs.\n\nArticle 23. Examen des demandes par la Commission juridique et technique\n\n1. Dès réception d’une demande d’approbation d’un plan de travail relatif à l’exploration, le Secrétaire général en avise les membres de la Commission juridique et technique et en inscrit l’examen à l’ordre du jour de la réunion suivante de la Commission. La Commission n’examine que les demandes qui ont été notifiées et au sujet desquelles des renseignements ont été communiqués par le Secrétaire général conformément à l’alinéa c) de l’article 22 au moins 30 jours avant le commencement de la réunion de la Commission lors de laquelle elles doivent être examinées.\n\n2. La Commission examine les demandes dans l’ordre de leur réception.\n\n3. La Commission s’assure que le demandeur : a) S’est conformé aux dispositions du présent Règlement; b) A pris les engagements et donné les assurances visés à l’article 15; c) Dispose de la capacité financière et technique nécessaire pour exécuter le plan de travail relatif à l’exploration proposé et lui a communiqué des informations détaillées attestant sa capacité à exécuter rapidement des ordres émis en cas d’urgence; et\n\nd) S’est dûment acquitté des obligations qui lui incombaient en vertu de tout contrat conclu antérieurement avec l’Autorité.\n\n4. Conformément aux dispositions du Règlement et à ses procédures, la Commission détermine si le plan de travail relatif à l’exploration proposé : a) Assure une protection effective de la santé et de la sécurité des êtres humains;\n\nb) Assure une protection et une préservation effectives du milieu marin, y compris mais sans s’y limiter, du point de vue de son impact sur la diversité biologique; c) Apporte la garantie que des installations ne seront pas mises en place là où elles risqueraient d’entraver l’utilisation de voies de circulation reconnues essentielles à la navigation internationale ni dans des zones où se pratique une pêche intensive.\n\n5. Si elle conclut que les conditions énoncées au paragraphe 3 sont remplies et que le plan de travail relatif à l’exploration proposé satisfait à celles posées au paragraphe 4, la Commission recommande au Conseil d’approuver le plan de travail relatif à l’exploration.\n\n6. La Commission ne recommande pas l’approbation du plan de travail relatif à l’exploration si une partie ou la totalité de la zone visée par le plan proposé est comprise : a) Dans un plan de travail relatif à l’exploration d’encroûtements cobaltifères approuvé par le Conseil;\n\nb) Dans un plan de travail relatif à l’exploration ou l’exploitation d’autres ressources approuvé par le Conseil, si le plan de travail proposé pour l’exploration d’encroûtements cobaltifères risque d’entraver indûment les activités menées dans le cadre du plan approuvé pour d’autres ressources; ou c) Dans une zone dont le Conseil a exclu l’exploitation parce que des éléments substantiels attestent qu’il existe un risque de causer un dommage grave au milieu marin.\n\n7. La Commission peut recommander l’approbation d’un plan de travail si elle estime que cette approbation ne permettra pas à un État partie ou à des entités parrainées par lui de monopoliser la conduite dans la Zone d’activités concernant des encroûtements cobaltifères ou d’empêcher d’autres États Parties de mener de telles activités dans la Zone.\n\n8. Sauf dans le cas de demandes présentées par l’Entreprise en son nom propre ou au nom d’une entreprise conjointe et de demandes relevant de l’article 18, la Commission ne recommande pas l’approbation du plan de travail relatif à l’exploration proposé si une partie ou la totalité de la zone sur laquelle il porte est comprise dans un secteur réservé ou un secteur désigné par le Conseil comme devant être réservé.\n\n9. Si elle conclut qu’une demande n’est pas conforme au présent Règlement, la Commission adresse au demandeur, par l’intermédiaire du Secrétaire général, une notification écrite motivée. Le demandeur peut modifier sa demande dans un délai de 45 jours à compter de ladite notification. Si la Commission estime, après examen de la demande modifiée, qu’elle ne doit pas recommander l’approbation du plan de travail relatif à l’exploration, elle en informe le demandeur, lequel dispose alors d’un délai de 30 jours pour présenter des observations. La Commission tient compte de ces observations dans son rapport et sa recommandation au Conseil.\n\n10. Lorsqu’elle examine un plan de travail relatif à l’exploration, la Commission tient compte des principes, politiques et objectifs concernant les activités menées dans la Zone énoncés dans la partie XI et l’annexe III de la Convention et dans l’Accord.\n\n11. La Commission examine les demandes avec diligence et soumet au Conseil dès que possible, compte tenu du calendrier des réunions de l’Autorité, son rapport et ses recommandations concernant la désignation des secteurs et le plan de travail relatif à l’exploration.\n\n12. Dans l’exercice de ses attributions, la Commission applique le présent Règlement et les règles, règlements et procédures de l’Autorité de façon uniforme et non discriminatoire.\n\nArticle 24. Examen et approbation par le Conseil des plans de travail relatifs à l’exploration Le Conseil examine les rapports et recommandations de la Commission juridique et technique concernant l’approbation des plans de travail relatifs à l’exploration, conformément aux paragraphes 11 et 12 de la section 3 de l’annexe de l’Accord.\n\nPartie IV. Contrats relatifs à l’exploration\n\nArticle 25. Le contrat\n\n1. Une fois approuvé par le Conseil, le plan de travail relatif à l’exploration est consigné dans un contrat conclu entre l’Autorité et le demandeur conformément à l’annexe III du présent Règlement. Chaque contrat doit contenir les clauses types énoncées à l’annexe IV, en vigueur à la date de prise d’effet du contrat.\n\n2. Le contrat est signé par le Secrétaire général agissant au nom de l’Autorité et par le demandeur. Le Secrétaire général avise par écrit tous les membres de l’Autorité de la conclusion de chaque contrat.\n\nArticle 26. Droits du contractant\n\n1. Le contractant a le droit exclusif d’explorer le secteur visé par le plan de travail relatif à l’exploration d’encroûtements cobaltifères. L’Autorité garantit qu’aucune autre entité n’exerce dans le même secteur des activités portant sur d’autres ressources d’une façon qui puisse gêner les activités du contractant.\n\n2. Un contractant qui a fait approuver un plan de travail portant uniquement sur l’exploration a préférence et priorité sur les demandeurs qui soumettent un plan de travail portant sur l’exploitation du même secteur et des mêmes ressources. Cette préférence et ce rang de priorité peuvent toutefois lui être retirés par le Conseil s’il ne s’est pas conformé aux stipulations du plan de travail relatif à l’exploration approuvé dans le délai fixé dans la ou les notifications que le Conseil lui a adressées par écrit pour lui signaler les stipulations non respectées. Le délai prescrit dans une telle notification ne doit pas être déraisonnable. La possibilité raisonnable de faire valoir ses arguments est donnée au contractant avant que la décision de retirer à celui-ci la préférence ou le rang de priorité ne devienne définitive. Le Conseil motive sa décision de retrait et examine toute réponse du contractant. La décision du Conseil tient compte de cette réponse et est fondée sur des preuves suffisantes.\n\n3. Le retrait d’une préférence ou d’un rang de priorité ne peut devenir effectif tant que le contractant n’a pas eu raisonnablement la possibilité d’épuiser les recours judiciaires dont il dispose conformément à la section 5 de la partie XI de la Convention.\n\nArticle 27. Superficie du secteur et restitution\n\n1. Le contractant restitue le secteur qui lui a été attribué conformément au paragraphe 1 du présent article. Les portions de secteur à restituer n’ont pas besoin d’être contiguës et sont définies par le contractant sous la forme de sous-blocs comprenant une ou plusieurs cellules d’un maillage ainsi que défini par l’Autorité. Huit ans au plus à compter de la date de conclusion du contrat, le contractant doit avoir restitué au moins un tiers du secteur qui lui a initialement été attribué; 10 ans au plus à compter de la date de la conclusion du contrat, le contractant doit avoir restitué au moins deux tiers du secteur qui lui a été initialement attribué; 15 ans à compter de la date de conclusion du contrat ou lorsque le contractant sollicite des droits d’exploitation si cela intervient avant, le contractant désigne, dans le secteur qui lui reste attribué, une zone qu’il entend conserver aux fins de l’exploitation.\n\n2. Nonobstant les dispositions du paragraphe 1, il ne sera demandé au contractant de restituer aucune portion supplémentaire du secteur qui lui a été attribué si la superficie du secteur qui lui reste attribué après restitution ne dépasse pas 1 000 kilomètres carrés.\n\n3. Le contractant peut à tout moment restituer, par anticipation du calendrier exposé au paragraphe 1, des portions du secteur qui lui a été attribué.\n\n4. Les portions restituées redeviennent partie intégrante de la Zone.\n\n5. À la demande du contractant et sur recommandation de la Commission, le Conseil peut, à titre exceptionnel, différer l’exécution du calendrier de restitution. Les circonstances exceptionnelles sont déterminées par le Conseil et comprennent, notamment, la situation économique du contractant ou d’autres situations imprévisibles survenant à l’occasion de ses activités opérationnelles.\n\nArticle 28. Durée des contrats\n\n1. Les plans de travail relatifs à l’exploration sont approuvés pour 15 ans. Lorsqu’un plan de travail relatif à l’exploration arrive à expiration, le contractant doit, à moins qu’il ne l’ait déjà fait, que le plan n’ait été prorogé ou qu’il ne décide de renoncer à ses droits dans la zone visée par le plan, présenter une demande d’approbation d’un plan de travail relatif à l’exploitation.\n\n2. Au plus tard six mois avant l’expiration d’un plan de travail relatif à l’exploration, le contractant peut en demander la prorogation pour des périodes ne dépassant pas cinq ans chacune. Ces prorogations sont approuvées par le Conseil, sur recommandation de la Commission, si le contractant s’est efforcé de bonne foi de se conformer aux stipulations du plan de travail mais n’a pas pu, pour des raisons indépendantes de sa volonté, achever les travaux préparatoires nécessaires pour passer à la phase d’exploitation ou si les circonstances économiques du moment ne justifient pas le passage à cette phase.\n\nArticle 29. Formation En application de l’article 15 de l’annexe III de la Convention, chaque contrat comporte en annexe un programme de formation pratique du personnel de l’Autorité et d’États en développement, établi par le contractant en coopération avec l’Autorité et le ou les États patronnant la demande. Les programmes sont axés sur la formation à l’exploration et doivent permettre la pleine participation de ce personnel à toutes les activités sur lesquelles porte le contrat. Les programmes de formation peuvent être modifiés et développés de temps à autre, selon que de besoin, par consentement mutuel.\n\nArticle 30. Examen périodique de l’exécution du plan de travail relatif à l’exploration\n\n1. Le contractant et le Secrétaire général procèdent en commun tous les cinq ans à un examen de l’exécution du plan de travail relatif à l’exploration. Le Secrétaire général peut demander au contractant de lui communiquer toutes données et informations supplémentaires qui peuvent être nécessaires aux fins de cet examen.\n\n2. À la lumière de l’examen, le contractant indique son programme d’activités pour les cinq années suivantes en ajustant son programme d’activités antérieur comme nécessaire.\n\n3. Le Secrétaire général rend compte de cet examen à la Commission et au Conseil. Il indique dans son rapport s’il a été tenu compte, aux fins de l’examen, des observations qui auront pu lui être communiquées par des États Parties à la Convention sur la manière dont le contractant s’est acquitté des obligations qui lui incombent en vertu du présent Règlement concernant la protection et la préservation du milieu marin.\n\nArticle 31. Cessation du patronage\n\n1. Tout contractant doit être dûment patronné pendant toute la durée du contrat.\n\n2. Si un État met fin à son patronage, il adresse sans retard au Secrétaire général une notification écrite et motivée. La cessation du patronage prend effet six mois après la date de réception de la notification par le Secrétaire général, à moins que la notification ne spécifie une date plus tardive.\n\n3. S’il est mis fin à un patronage, le contractant doit, dans le délai prévu au paragraphe 2, trouver un nouvel État pour le patronner. Celui-ci doit présenter un certificat de patronage conformément à l’article 11. Si le contractant n’obtient pas de patronage dans le délai prescrit, il est mis fin à son contrat.\n\n4. Un État ayant patronné une demande n’est libéré en raison de la cessation de son patronage d’aucune des obligations mises à sa charge pendant qu’il avait la qualité d’État patronnant, et la cessation du patronage est sans effet sur les droits et obligations créés en cours de patronage.\n\n5. Le Secrétaire général notifie aux membres de l’Autorité toute cessation ou tout changement de patronage.\n\nArticle 32. Responsabilité La responsabilité du contractant et celle de l’Autorité sont régies par la Convention. Le contractant demeure responsable de tout dommage résultant d’actes illicites commis dans la conduite de ses opérations, en particulier de tout dommage au milieu marin, après l’achèvement de la phase d’exploration.\n\nPartie V. Protection et préservation du milieu marin\n\nArticle 33. Protection et préservation du milieu marin\n\n1. L’Autorité, conformément à la Convention et à l’Accord, établit et revoit périodiquement des règles, règlements et procédures en matière d’environnement afin de protéger efficacement le milieu marin des effets nocifs pouvant résulter d’activités menées dans la Zone.\n\n2. Afin de protéger efficacement le milieu marin contre les effets nocifs pouvant résulter d’activités menées dans la Zone, l’Autorité et les États qui patronnent ces activités leur appliquent le principe de précaution posé dans le Principe 15 de la Déclaration de Rio et les meilleures pratiques écologiques.\n\n3. La Commission juridique et technique fait des recommandations au Conseil concernant l’application des paragraphes 1 et 2 ci-dessus.\n\n4. La Commission formule et applique les procédures voulues pour déterminer, à partir des informations scientifiques et techniques disponibles les plus sûres, notamment les informations communiquées en application de l’article 20 du présent Règlement, si des activités d’exploration qu’il est proposé de mener dans la Zone risquent d’entraîner des effets nocifs importants sur des écosystèmes marins vulnérables, en particulier ceux associés aux monts sous-marins et aux coraux d’eau froide, et pour garantir que les activités d’exploration proposées dont il aura été ainsi déterminé qu’elles risquent d’entraîner des effets nocifs importants sur des écosystèmes marins vulnérables ou bien soient menées de façon à éviter ces effets nocifs ou bien ne reçoivent pas l’autorisation nécessaire.\n\n5. Conformément à l’article 145 de la Convention et au paragraphe 2 du présent article, chaque contractant prend les mesures nécessaires pour prévenir, réduire et maîtriser autant qu’il est raisonnablement possible la pollution du milieu marin et faire face aux autres risques qui menacent celui-ci du fait des activités qu’il mène dans la Zone, en appliquant le principe de précaution ainsi que les meilleures pratiques écologiques.\n\n6. Les contractants, les États qui les patronnent et les autres États ou entités intéressés coopèrent avec l’Autorité à l’élaboration et à l’exécution de programmes de surveillance et d’évaluation de l’impact sur le milieu marin de l’extraction minière dans les grands fonds marins. Lorsqu’ils sont demandés par le Conseil, ces programmes comprennent des propositions concernant des zones à mettre en réserve et à utiliser exclusivement comme zones témoins d’impact et de préservation. Le terme « zone témoin d’impact » s’entend d’une zone qui doit être utilisée pour évaluer les effets sur le milieu marin des activités menées dans la Zone et qui est représentative des caractéristiques environnementales de la Zone. Le terme « zone témoin de préservation » s’entend d’une zone dans laquelle toute activité d’extraction minière est exclue afin de préserver des biotes stables et représentatifs des fonds marins et d’évaluer tous changements de la diversité biologique du milieu marin.\n\nArticle 34. Profils écologiques témoins et surveillance du milieu marin\n\n1. Tout contrat requiert du contractant qu’il collecte des données écologiques de base et établisse, en tenant compte de toute recommandation que pourrait formuler la Commission juridique et technique en application de l’article 41, des profils écologiques témoins par rapport auxquels seront évalués les effets que les activités menées au titre de son plan de travail relatif à l’exploration sont susceptibles d’avoir sur le milieu marin, ainsi qu’un programme destiné à surveiller ces effets et à en rendre compte. Dans ses recommandations, la Commission peut notamment énumérer les activités d’exploration qui ne sont pas susceptibles d’avoir des effets nocifs sur le milieu marin. Le contractant coopère avec l’Autorité et l’État ou les États qui le patronnent pour élaborer et appliquer ce programme de surveillance.\n\n2. Le contractant rend compte chaque année par écrit au Secrétaire général de l’application et des résultats du programme de surveillance visé au paragraphe 1 et soumet des données et informations, compte tenu de toutes recommandations formulées par la Commission en application de l’article 41. Le Secrétaire général transmet ces rapports des contractants à la Commission pour examen en application de l’article 165 de la Convention.\n\nArticle 35. Ordres en cas d’urgence\n\n1. Le contractant notifie promptement par écrit au Secrétaire général, en utilisant les moyens les plus efficaces, tout incident résultant de ses activités qui a causé, qui cause ou qui menace de causer un dommage grave au milieu marin.\n\n2. Lorsqu’un incident résultant des activités d’un contractant dans la Zone ou occasionné par celles-ci, qui a causé, cause ou menace de causer un dommage grave au milieu marin, lui est notifié par un contractant ou vient autrement à sa connaissance, le Secrétaire général fait donner notification générale de l’incident, en avise par écrit le contractant et l’État ou les États qui le patronnent, et fait immédiatement rapport à la Commission juridique et technique, au Conseil et à tous les autres membres de l’Autorité. Copie du rapport est communiquée à tous les membres de l’Autorité, aux organisations internationales compétentes et aux organisations et organes sous-régionaux, régionaux et mondiaux concernés. Dans tous les cas d’incident de ce type, le Secrétaire général suit l’évolution de la situation et, s’il le juge nécessaire, fait rapport à la Commission, au Conseil et à tous les autres membres de l’Autorité.\n\n3. En attendant que le Conseil statue, le Secrétaire général prend immédiatement toutes les mesures conservatoires d’ordre pratique qui peuvent raisonnablement être prises en l’espèce pour prévenir, maîtriser et réduire au minimum tout dommage ou menace de dommage grave au milieu marin. Ces mesures restent en vigueur pendant au maximum 90 jours ou jusqu’à ce que le Conseil décide, à sa prochaine session ordinaire ou à une session extraordinaire, des éventuelles dispositions à prendre en application du paragraphe 6 du présent article.\n\n4. Après avoir reçu le rapport du Secrétaire général, la Commission détermine, sur la base des éléments qui lui sont communiqués et compte tenu des mesures déjà prises par le contractant, les dispositions nécessaires pour faire face efficacement audit incident et prévenir, maîtriser et réduire au minimum tout dommage ou menace de dommage grave au milieu marin, et fait ses recommandations au Conseil.\n\n5. Le Conseil examine les recommandations de la Commission.\n\n6. Le Conseil, compte tenu des recommandations de la Commission, du rapport du Secrétaire général, de toute information fournie par le contractant et de toute autre information pertinente, peut émettre les ordres en cas d’urgence – y compris, le cas échéant, l’ordre de suspendre ou de modifier les opérations – raisonnablement nécessaires pour prévenir, maîtriser et réduire au minimum tout dommage ou menace de dommage grave au milieu marin résultant d’activités menées dans la Zone.\n\n7. Si un contractant ne se conforme pas rapidement à un ordre donné en cas d’urgence pour prévenir, maîtriser et réduire au minimum un dommage ou une menace de dommage grave au milieu marin résultant de ses activités dans la Zone, le Conseil prend, lui-même ou par l’intermédiaire de tiers agissant en son nom, les mesures concrètes nécessaires pour prévenir, maîtriser ou réduire au minimum ce dommage ou cette menace de dommage grave au milieu marin.\n\n8. Afin de permettre au Conseil, si nécessaire, de prendre immédiatement les mesures concrètes visées au paragraphe 7 pour prévenir, maîtriser et réduire au minimum un dommage ou une menace de dommage grave au milieu marin, le contractant, avant de commencer l’expérimentation des procédés de collecte et de traitement, fournit au Conseil une garantie de son aptitude financière et technique à se conformer rapidement aux ordres donnés en cas d’urgence ou à faire en sorte que le Conseil puisse prendre des mesures d’urgence. Si le contractant ne donne pas au Conseil une telle garantie, l’État ou les États qui le patronnent, en réponse à une demande du Secrétaire général et en application des articles 139 et 235 de la Convention, prennent les dispositions requises pour que le contractant fournisse ladite garantie ou pour qu’une aide soit apportée à l’Autorité dans l’exercice des responsabilités qui lui incombent en vertu du paragraphe 7.\n\nArticle 36. Droits des États côtiers\n\n1. Aucune disposition du présent Règlement ne porte atteinte aux droits des États côtiers tels que définis à l’article 142 et dans les autres dispositions pertinentes de la Convention.\n\n2. Tout État côtier qui a des raisons de penser qu’une activité menée dans la Zone par un contractant est susceptible de causer ou de menacer de causer un dommage grave au milieu marin dans des zones maritimes sur lesquelles il exerce sa juridiction ou sa souveraineté peut en aviser par écrit le Secrétaire général pour lui exposer ces raisons. Le Secrétaire général donne au contractant et à l’État ou aux États qui le patronnent la possibilité raisonnable d’examiner les preuves fournies, le cas échéant, par l’État côtier à l’appui de ses dires. Le contractant et l’État ou les États qui le patronnent peuvent présenter leurs observations sur la question au Secrétaire général dans un délai raisonnable.\n\n3. S’il existe des raisons sérieuses de croire que le milieu marin risque de subir un dommage grave, le Secrétaire général prend les dispositions décrites à l’article 35 et, si nécessaire, prend immédiatement des mesures conservatoires comme prévu au paragraphe 3 dudit article.\n\n4. Les contractants prennent toutes les mesures nécessaires pour que leurs activités soient menées de manière à ne pas causer de dommage grave – y compris, mais sans s’y limiter, de pollution – au milieu marin se trouvant sous la juridiction ou la souveraineté d’États côtiers et pour que les dommages graves ou les pollutions résultant d’incidents survenus ou d’activités menées dans leur zone d’exploration ne s’étendent pas au-delà de cette zone.\n\nArticle 37. Restes humains, objets et sites présentant un caractère archéologique ou historique Le contractant notifie immédiatement par écrit au Secrétaire général toute découverte, dans son secteur d’exploration, de tous restes humains, objets ou sites présentant un caractère archéologique ou historique, et leur emplacement, ainsi que toute mesure de conservation ou de protection qu’il a prise. Le Secrétaire général transmet immédiatement ces informations au Directeur général de l’Organisation des Nations Unies pour l’éducation, la science et la culture et à toute autre organisation internationale compétente. Lorsque de tels restes humains, objets ou sites sont découverts dans un secteur d’exploration, et pour éviter d’en altérer l’état, il ne sera mené aucune nouvelle activité de prospection ou d’exploration dans un rayon de dimension raisonnable tant que le Conseil n’en aura pas décidé autrement en tenant compte des avis du Directeur général de l’Organisation des Nations Unies pour l’éducation, la science et la culture ou de toute autre organisation internationale compétente.\n\nPartie VI. Confidentialité\n\nArticle 38. Confidentialité des données et informations\n\n1. Sont réputées confidentielles les données et informations présentées ou communiquées à l’Autorité, ou à toute personne participant à un programme ou une activité de l’Autorité en application du présent Règlement ou d’un contrat émis en vertu du présent Règlement, que le contractant, en consultation avec le Secrétaire général, a désignées comme telles, à moins qu’il ne s’agisse de données et informations : a) sources; Qui sont de notoriété publique ou facilement accessibles auprès d’autres\n\nb) Que leur propriétaire a antérieurement rendues accessibles sans obligation de confidentialité; ou c) Dont l’Autorité est déjà en possession sans obligation de confidentialité.\n\n2. Les données et informations qui sont nécessaires à l’élaboration par l’Autorité des règles, règlements et procédures relatifs à la protection et à la préservation du milieu marin et à la sécurité, autres que les données relatives à la conception de l’équipement réputées être propriété industrielle, ne sont pas considérées comme confidentielles.\n\n3. Le Secrétaire général, le personnel du Secrétariat, avec l’autorisation du Secrétaire général, et les membres de la Commission juridique et technique peuvent utiliser les données et informations confidentielles uniquement dans la mesure nécessaire à l’exercice effectif de leurs attributions et fonctions. Le Secrétaire général n’en autorise l’accès aux membres du personnel du Secrétariat et de la Commission juridique et technique que dans le cadre de leurs fonctions et attributions et pour un usage précis.\n\n4. Dix ans après la date à laquelle les données et informations confidentielles ont été communiquées à l’Autorité ou la date d’expiration du contrat d’exploration si celle-ci est postérieure, et tous les cinq ans par la suite, le Secrétaire général et le contractant passent en revue ces données et informations pour déterminer si elles doivent demeurer confidentielles. Demeurent confidentielles celles dont le contractant considère que la divulgation serait susceptible de lui causer injustement un grave préjudice économique. Aucune donnée ou information n’est divulguée avant que le contractant n’ait raisonnablement eu la possibilité d’épuiser les recours judiciaires dont il dispose conformément à la section 5 de la partie XI de la Convention.\n\n5. Si, à tout moment après l’expiration du contrat d’exploration, le contractant conclut un contrat d’exploitation relatif à un secteur de la zone d’exploration, les données et informations confidentielles se rapportant à ce secteur restent confidentielles, conformément au contrat d’exploitation.\n\n6. Le contractant peut, à tout moment, lever la confidentialité des données et informations.\n\nArticle 39. Protection de la confidentialité\n\n1. Le Secrétaire général veille au respect du caractère confidentiel de toutes les données et informations et ne les divulgue pas à des personnes extérieures à l’Autorité, sauf autorisation écrite préalable du contractant. Pour garantir la confidentialité des données et informations, il met au point des procédures, conformément aux dispositions de la Convention, qui régissent l’utilisation des informations confidentielles par le Secrétariat, les membres de la Commission juridique et technique et toute autre personne participant à une activité ou un programme de l’Autorité. Ces procédures consistent notamment : a) À conserver en lieu sûr les données et informations confidentielles et à prévoir des mesures de sécurité pour prévenir tout accès non autorisé à ces données et informations ou leur saisie;\n\nb) À mettre au point un système de classement, d’enregistrement et d’inventaire de toutes les données et informations écrites reçues, y compris le type, l’origine et le cheminement de ces données et informations depuis leur réception jusqu’à leur dernière utilisation.\n\n2. Les personnes autorisées à accéder à des données et informations confidentielles en vertu du présent Règlement ne les divulguent pas, sauf dans les cas prévus par la Convention et le présent Règlement. Le Secrétaire général demande à toute personne ayant accès à des données et informations confidentielles de faire une déclaration écrite en sa présence ou en présence de son représentant accrédité, aux termes de laquelle cette personne : a) Reconnaît qu’elle est juridiquement tenue, en vertu de la Convention et du présent Règlement, de ne pas divulguer les données et informations confidentielles;\n\nb) S’engage à respecter les règles et procédures établies pour garantir le caractère confidentiel de ces données et informations.\n\n3. La Commission juridique et technique protège la confidentialité de toutes les données et informations qui lui sont communiquées conformément au présent Règlement ou à un contrat émis en vertu du présent Règlement. En application de l’article 163 8), de la Convention, les membres de la Commission ne doivent divulguer, même après la cessation de leurs fonctions, aucun secret industriel, aucune donnée qui est propriété industrielle et qui a été communiquée à l’Autorité en application de l’article 14 de l’annexe III de la Convention, ni aucun autre renseignement confidentiel dont ils ont connaissance à raison de leurs fonctions au service de l’Autorité.\n\n4. Le Secrétaire général et le personnel de l’Autorité ne doivent divulguer, même après la cessation de leurs fonctions, aucun secret industriel, aucune donnée qui est propriété industrielle et qui a été communiquée à l’Autorité en application de l’article 14 de l’annexe III de la Convention, ni aucun autre renseignement confidentiel dont ils ont connaissance à raison de leurs fonctions au service de l’Autorité.\n\n5. Compte tenu de sa responsabilité visée à l’article 22 de l’annexe III de la Convention, l’Autorité peut prendre des mesures appropriées contre toute personne qui, à raison de fonctions au service de l’Autorité, a accès à des données et informations confidentielles et n’a pas observé les obligations de confidentialité énoncées dans la Convention et dans le présent Règlement.\n\nPartie VII. Procédures de caractère général\n\nArticle 40. Notification et procédures de caractère général\n\n1. Toute demande, requête, notification, approbation, renonciation, directive ou instruction ou tout rapport ou consentement aux fins du présent Règlement sont formulés par écrit par le Secrétaire général ou par le représentant désigné du prospecteur, du demandeur ou du contractant, selon le cas. L’obligation de fournir des informations par écrit en application du présent Règlement est satisfaite si ces informations sont fournies dans un document électronique comportant une signature numérique. Les notifications sont faites à personne ou par télex, télécopie, lettre recommandée expédiée par avion ou courrier électronique authentifié par une signature électronique autorisée adressés au Secrétaire général au siège de l’Autorité ou au représentant désigné.\n\n2. La notification à personne prend effet au moment où elle est faite. La notification par télex est réputée effectuée le jour ouvrable suivant le jour où la mention « réponse » apparaît sur l’appareil de télex de l’expéditeur. La notification par télécopie prend effet lorsque l’expéditeur reçoit « l’accusé de réception » confirmant la transmission au numéro de télécopie publié du destinataire. La notification par lettre recommandée expédiée par avion est réputée effectuée 21 jours après que la lettre a été postée. Un document électronique est réputé reçu par son destinataire lorsqu’il entre dans un système informatique conçu ou utilisé par le destinataire pour recevoir des documents du type de celui qui lui est adressé et qu’il peut être récupéré et traité par ce destinataire.\n\n3. La notification au représentant désigné du prospecteur, du demandeur ou du contractant vaut notification au prospecteur, demandeur ou contractant aux fins du présent Règlement, et le représentant désigné est le représentant du prospecteur, du demandeur ou du contractant aux fins de signification ou de notification à l’occasion de toute instance devant toute juridiction compétente.\n\n4. La notification au Secrétaire général vaut notification à l’Autorité aux fins du présent Règlement, et le Secrétaire général est le représentant de celle-ci aux fins de signification ou de notification à l’occasion de toute instance devant toute juridiction compétente.\n\nArticle 41. Recommandations à l’intention des contractants\n\n1. La Commission juridique et technique peut formuler de temps à autre des recommandations de caractère technique ou administratif à l’intention des contractants pour aider ceux-ci à appliquer les règles, règlements et procédures de l’Autorité.\n\n2. Le texte intégral de ces recommandations est communiqué au Conseil. S’il estime qu’une recommandation est incompatible avec le but et l’objet du présent Règlement, le Conseil peut en demander la modification ou le retrait.\n\nPartie VIII. Règlement des différends\n\nArticle 42. Différends\n\n1. Tout différend relatif à l’interprétation ou à l’application du présent Règlement est réglé conformément à la section 5 de la partie XI de la Convention.\n\n2. Toute décision définitive rendue par une cour ou un tribunal ayant compétence en vertu de la Convention au sujet des droits et obligations de l’Autorité et du contractant est exécutoire sur le territoire de tout État partie à la Convention.\n\nPartie IX. Ressources autres que les encroûtements cobaltifères\n\nArticle 43. Ressources autres que les encroûtements cobaltifères Si un prospecteur ou un contractant trouve dans la Zone des ressources autres que des encroûtements cobaltifères, la prospection, l’exploration et l’exploitation de ces ressources sont soumises aux règles, règlements et procédures de l’Autorité concernant ces ressources, conformément à la Convention et à l’Accord. Le prospecteur ou le contractant notifie sa découverte à l’Autorité.\n\nPartie X. Révision\n\nArticle 44. Révision\n\n1. Cinq ans après l’approbation du présent Règlement par l’Assemblée ou à tout autre moment par la suite, le Conseil procède à un examen de la manière dont le Règlement a fonctionné dans la pratique.\n\n2. Si le progrès des connaissances ou des techniques fait apparaître que le Règlement n’est pas adéquat, tout État partie ainsi que la Commission juridique et technique et tout contractant agissant sous couvert de l’État qui le patronne ont, à tout moment, la faculté de demander au Conseil d’examiner, à sa prochaine session ordinaire, des projets de révision du Règlement.\n\n3. À la lumière de cet examen, le Conseil peut adopter et appliquer à titre provisoire, en attendant qu’ils soient approuvés par l’Assemblée générale, des amendements au présent Règlement en tenant compte des recommandations de la Commission juridique et technique et des autres organes subsidiaires compétents. De tels amendements ne portent pas atteinte aux droits acquis par un contractant de l’Autorité en vertu d’un contrat conclu conformément au Règlement en vigueur à la date où lesdits amendements ont été adoptés.\n\n4. Au cas où l’une quelconque des dispositions du présent Règlement serait modifiée, le contractant et l’Autorité peuvent réviser le contrat conformément à l’article 24 de l’annexe IV.\n\nAnnexe I. Notification d’intention de prospecter\n\n1. Nom ou raison sociale du prospecteur :\n\n2. Domicile :\n\n3. Adresse postale (si elle diffère du domicile) :\n\n4. Numéro de téléphone :\n\n5. Numéro de télécopie :\n\n6. Adresse électronique :\n\n7. Nationalité du prospecteur :\n\n8. Si le prospecteur est une personne morale, indiquer : a) Son lieu d’immatriculation; b) Son établissement principal/domicile; c) Joindre copie de son certificat d’immatriculation.\n\n9. Nom du représentant désigné du prospecteur :\n\n10. Domicile du représentant désigné du prospecteur (s’il diffère du domicile du demandeur) :\n\n11. Adresse postale (si elle diffère du domicile) :\n\n12. Numéro de téléphone :\n\n13. Numéro de télécopie :\n\n14. Adresse électronique :\n\n15. Joindre les coordonnées de la ou des grandes zones devant être prospectées (par référence au Système géodésique mondial WGS 84).\n\n16. Joindre une description générale du programme de prospection, notamment la date à laquelle il doit démarrer et sa durée approximative.\n\n17. Joindre une lettre dans laquelle le prospecteur s’engage à : a) Respecter les dispositions de la Convention et des règles, règlements et procédures de l’Autorité concernant : i) La coopération aux programmes de formation en matière de recherche scientifique marine et les transferts de techniques visées aux articles 143 et 144 de la Convention; et ii) b) La protection et la préservation du milieu marin; et à Accepter que l’Autorité vérifie qu’il s’acquitte effectivement de ces obligations.\n\n18. Fournir la liste de toutes les pièces jointes et annexes à la présente notification (toutes les données et informations doivent être présentées sur support papier et sous la forme numérique prescrite par l’Autorité). Date Signature du représentant désigné du prospecteur Attestation Signature de l’auteur de l’attestation Nom de l’auteur de l’attestation Qualité de l’auteur de l’attestation\n\nAnnexe II. Demande d’approbation d’un plan de travail relatif à l’exploration aux fins de l’obtention d’un contrat\n\nSection I. Renseignements concernant le demandeur\n\n1. Nom ou raison sociale du demandeur :\n\n2. Domicile :\n\n3. Adresse postale (si elle diffère du domicile) :\n\n4. Numéro de téléphone :\n\n5. Numéro de télécopie :\n\n6. Adresse électronique :\n\n7. Nom du représentant désigné du demandeur :\n\n8. Domicile du représentant désigné du demandeur (s’il diffère du domicile du demandeur) :\n\n9. Adresse postale (si elle diffère du domicile) :\n\n10. Numéro de téléphone :\n\n11. Numéro de télécopie :\n\n12. Adresse électronique :\n\n13. Si le demandeur est une personne morale : a) Indiquer son lieu d’immatriculation; b) Indiquer son établissement principal/domicile; et c) Joindre copie de son certificat d’immatriculation.\n\n14. Indiquer l’État ou les États patronnant la demande.\n\n15. Pour chaque État patronnant la demande, préciser la date à laquelle il a déposé son instrument de ratification de la Convention des Nations Unies sur le droit de la mer du 10 décembre 1982 ou son instrument d’adhésion ou de succession à cette convention, ainsi que la date à laquelle il a consenti à être lié par l’Accord relatif à l’application de la partie XI de la Convention.\n\n16. Joindre un certificat de patronage délivré par l’État patronnant la demande. Si le demandeur a plus d’une nationalité, comme dans le cas d’une association ou d’un consortium composé d’entités relevant de plus d’un État, joindre les certificats de patronage délivrés par chacun des États concernés.\n\nSection II. Informations relatives à la zone visée par la demande\n\n17. Délimiter les blocs visés par la demande en joignant une carte à l’échelle et selon la projection prescrite par l’Autorité ainsi qu’une liste des coordonnées géographiques (par référence au Système géodésique mondial WGS 84).\n\n18. Indiquer si le demandeur choisit de remettre un secteur réservé conformément à l’article 17 du Règlement ou d’offrir de participer au capital d’une entreprise conjointe conformément à l’article 19.\n\n19. Si le demandeur choisit de remettre un secteur réservé : a) Joindre les coordonnées des deux parties de valeur commerciale estimative égale de la zone visée par la demande; et b) Fournir dans une pièce jointe suffisamment d’informations pour permettre au Conseil de désigner un secteur réservé en se fondant sur la valeur estimative commerciale de chaque partie de la zone visée par la demande. Dans cette pièce doivent figurer les données dont dispose le demandeur sur les deux parties de ladite zone, notamment : i) Des données sur l’emplacement, le relevé et l’évaluation des encroûtements cobaltifères dans les secteurs, y compris : a. La description des techniques de collecte et de traitement des encroûtements cobaltifères, qui est nécessaire pour désigner un secteur réservé; b. Une carte indiquant les caractéristiques physiques et géologiques de la zone telles que la topographie des fonds marins, les données bathymétriques et les courants de fond, ainsi que des informations sur la fiabilité de ces données; c. Une carte indiquant les informations de terrain utilisées pour déterminer les paramètres (par exemple, l’épaisseur) des encroûtements cobaltifères nécessaires pour en déterminer le volume en tonnes dans les limites de chaque bloc et grappe de blocs du secteur d’exploration et du secteur réservé; Des données indiquant le volume moyen (en tonnes métriques) d. de chaque grappe de blocs d’encroûtements cobaltifères qui fera partie du site minier, auxquelles sera jointe une carte montrant l’emplacement des sites d’échantillonnage et les volumes correspondants; e. Des cartes combinant encroûtements cobaltifères; le volume et la teneur des f. Les calculs effectués par des méthodes généralement acceptées, notamment l’analyse statistique, sur la base des données présentées et des hypothèses de calcul, qui autorisent à penser que les deux secteurs contiennent des encroûtements cobaltifères d’une valeur commerciale estimative égale, exprimée en fonction des métaux qu’il est possible d’extraire de ces secteurs; g. Une description des techniques utilisées par le demandeur; ii) Des données sur l’environnement (tant saisonnières que relevées au cours de la période d’expérimentation), notamment la vitesse et la direction des vents, la salinité et la température de l’eau et la biocénose.\n\n20. Si la zone visée par la demande comprend une partie quelconque d’un secteur réservé, joindre la liste des coordonnées de la zone comprise dans le secteur réservé et indiquer les qualifications du demandeur conformément à l’article 18 du Règlement.\n\nSection III. Informations financières et techniques\n\n21. Fournir suffisamment d’informations pour permettre au Conseil de déterminer si le demandeur est financièrement capable d’exécuter le plan de travail relatif à l’exploration proposé et de s’acquitter de ses obligations financières vis-àvis de l’Autorité : a) Si la demande émane de l’Entreprise, joindre une attestation de l’autorité compétente certifiant que l’Entreprise dispose des ressources financières nécessaires pour couvrir le coût estimatif du plan de travail relatif à l’exploration proposé; b) Si la demande émane d’un État ou d’une entreprise d’État, joindre une attestation de l’État demandeur ou de l’État qui patronne la demande certifiant que le demandeur dispose des ressources financières nécessaires pour couvrir le coût estimatif du plan de travail relatif à l’exploration proposé; c) Si la demande émane d’une entité, joindre une copie des états financiers vérifiés du demandeur, y compris les bilans et les comptes de profits et pertes correspondant aux trois années précédentes, établis conformément aux principes comptables internationalement reconnus et certifiés par un cabinet d’experts-comptables dûment agréé; et i) Si le demandeur est une entité nouvellement créée et si l’on ne dispose pas d’un bilan vérifié, un bilan pro forma certifié par un représentant autorisé du demandeur; ii) Si le demandeur est une filiale d’une autre entité, copie des mêmes états financiers concernant cette entité et une déclaration de la part de celle-ci, établie conformément aux principes comptables internationalement acceptés et certifiée par un cabinet d’expertscomptables dûment agréé, attestant que le demandeur disposera des ressources financières nécessaires pour exécuter le plan de travail relatif à l’exploration; iii) Si le demandeur est sous le contrôle d’un État ou d’une entreprise d’État, une déclaration de l’État ou de l’entreprise d’État attestant que le demandeur disposera des ressources financières nécessaires pour exécuter le plan de travail relatif à l’exploration.\n\n22. Si le demandeur a l’intention de financer le plan de travail relatif à l’exploration proposé au moyen d’emprunts, joindre une déclaration indiquant le montant, l’échéancier et le taux d’intérêt de ces emprunts.\n\n23. Fournir suffisamment d’informations pour permettre au Conseil de déterminer si le demandeur possède la capacité technique nécessaire pour exécuter le plan de travail relatif à l’exploration proposé, notamment : a) Une description générale de l’expérience, des connaissances, des compétences, du savoir-faire et des qualifications techniques du demandeur intéressant l’exécution du plan de travail relatif à l’exploration proposé; b) Une description générale du matériel et des méthodes qu’il est prévu d’utiliser pour exécuter le plan de travail relatif à l’exploration proposé et d’autres informations utiles, non réputées être propriété industrielle, sur les caractéristiques des techniques envisagées; c) Une description générale de la capacité de réaction financière et technique du demandeur au cas où un incident ou une activité causerait un dommage grave au milieu marin.\n\nSection IV. Plan de travail relatif à l’exploration\n\n24. Fournir les informations ci-après concernant le plan de travail relatif à l’exploration : a) La description générale et le calendrier du programme d’exploration proposé, y compris le programme d’activités des cinq prochaines années, notamment les études à mener sur les facteurs écologiques, techniques et économiques et les autres facteurs à prendre en considération pour l’exploration; b) La description d’un programme d’études océanographiques et environnementales visant à établir des profils océanographiques et écologiques témoins, conformément au Règlement et aux règles, règlements et procédures de l’Autorité concernant l’environnement, qui permette d’évaluer l’impact potentiel sur l’environnement – y compris, mais sans s’y limiter, l’impact sur la diversité biologique – des activités d’exploration proposées, compte tenu de toutes recommandations de la Commission juridique et technique; c) Une évaluation préliminaire de l’impact d’exploration proposées sur le milieu marin; d) La description des mesures proposées pour prévenir, réduire et maîtriser la pollution et autres risques, ainsi que de leur impact possible sur le milieu marin; e) Le calendrier des dépenses annuelles prévues au titre du programme d’activités des cinq prochaines années. possible des activités\n\nSection V. Engagements\n\n25. Joindre une déclaration par laquelle le demandeur s’engage par écrit à : a) Accepter comme exécutoires et respecter les obligations qui lui incombent en vertu de la Convention, des règles, règlements et procédures de l’Autorité, des décisions des organes compétents de celleci et des clauses des contrats qu’il a conclus avec l’Autorité; b) Accepter que l’Autorité exerce sur les activités menées dans la Zone le contrôle autorisé par la Convention; c) Fournir à l’Autorité l’assurance écrite qu’il s’acquittera de bonne foi de ses obligations contractuelles.\n\nSection VI. Contrats antérieurs\n\n26. Si le demandeur ou, si la demande émane d’une association ou d’un consortium d’entités liées entre elles par un accord de coentreprise, un membre de l’association ou du consortium ou une entité apparentée a précédemment conclu un contrat avec l’Autorité, la demande doit indiquer : a) La date du contrat ou des contrats antérieurs; b) La date, la cote et l’intitulé de chacun des rapports relatifs à ce(s) contrat(s) présentés à l’Autorité; et c) La date de résiliation de ce(s) contrat(s), le cas échéant.\n\nSection VII. Pièces jointes\n\n27. Fournir la liste de toutes les pièces et annexes jointes à la présente demande (toutes les données et informations doivent être présentées sur support papier et sous la forme numérique spécifiée par l’Autorité). Date Signature du représentant désigné du demandeur Attestation Signature de l’auteur de l’attestation Nom de l’auteur de l’attestation Qualité de l’auteur de l’attestation\n\nAnnexe III. Contrat d’exploration LE PRÉSENT CONTRAT, conclu le ____________________ entre l’AUTORITÉ INTERNATIONALE DES FONDS MARINS (ci-après dénommée « l’Autorité »), représentée par son SECRÉTAIRE GÉNÉRAL, et ___________________ (ci-après dénommé(e) « le Contractant »), représenté(e) par ____________________, STIPULE ce qui suit : Incorporation des clauses types\n\n1. Les clauses types énoncées à l’annexe IV du Règlement relatif à la prospection et à l’exploration des encroûtements cobaltifères de ferromanganèse dans la Zone (ci-après dénommé le « Règlement ») font partie du présent contrat et produisent le même effet que si elles y étaient intégralement reproduites. Zone d’exploration\n\n2. Aux fins du présent contrat, on entend par « zone d’exploration » la partie de la Zone attribuée au Contractant aux fins d’exploration, qui est délimitée par les coordonnées indiquées à l’annexe 1 du présent contrat, telle qu’elle peut être réduite de temps à autre en application des clauses types et du Règlement. Cession de droits\n\n3. Eu égard à a) leur intérêt mutuel dans la conduite d’activités d’exploration dans la zone d’exploration conformément à la Convention des Nations Unies sur le droit de la mer du 10 décembre 1982 et à l’Accord relatif à l’application de la partie XI de la Convention, b) la responsabilité qui incombe à l’Autorité d’organiser et de contrôler les activités menées dans la Zone, en particulier en vue d’en administrer les ressources, conformément au régime juridique institué dans la partie XI de la Convention et dans l’Accord et dans la partie XII de la Convention et\n\nc) l’intérêt que présente pour le Contractant la conduite d’activités dans la zone d’exploration et son engagement financier à cette fin, et les conventions réciproques souscrites dans le présent contrat, l’Autorité accorde au Contractant le droit exclusif d’explorer les encroûtements cobaltifères dans la zone d’exploration conformément aux clauses du présent contrat. Entrée en vigueur et durée du contrat\n\n4. Le présent contrat prendra effet dès qu’il aura été signé par les deux parties et, sous réserve des clauses types, restera en vigueur pendant une période de 15 ans à compter de cette date à moins que : a) Le Contractant n’obtienne un contrat d’exploitation dans la zone d’exploration prenant effet avant l’expiration de ladite période de 15 ans; ou que\n\nb) Le contrat ne soit résilié plus tôt, étant entendu que sa durée pourra être prolongée conformément aux articles 3.2 et 17.2 des clauses types. Annexes\n\n5. Aux fins du présent contrat, les annexes visées dans les clauses types, à savoir les articles 4 et 8, sont les annexes 2 et 3, respectivement. Intégralité de l’accord\n\n6. Le présent contrat exprime l’intégralité de l’accord entre les parties et aucune convention orale ni aucun écrit antérieur n’en modifient les termes. EN FOI DE QUOI les soussignés, à ce dûment autorisés par les parties respectives, ont signé le présent contrat à ____________________, le ____________________.\n\nAnnexe 1. [Coordonnées et carte du secteur d’exploration]\n\nAnnexe 2. [Programme d’activité quinquennal en cours, tel que révisé périodiquement]\n\nAnnexe 3. [Le programme de formation deviendra une annexe au contrat lorsqu’il aura été approuvé par l’Autorité conformément à l’article 8 des clauses types.]\n\nAnnexe IV\n\nClauses types de contrat d’exploration\n\nArticle I. Définitions 1.1 Dans les clauses ci-après : a) On entend par « zone d’exploration » la partie de la Zone attribuée au Contractant pour exploration, décrite à l’annexe 1 du présent contrat, telle qu’elle peut être réduite de temps à autre en application du présent contrat et du Règlement;\n\nb) On entend par « programme d’activités » le programme défini à l’annexe 2 du présent contrat; il peut être modifié de temps à autre conformément aux articles 4.3 et 4.4 ci-après; c) On entend par « Règlement » le Règlement relatif à la prospection et à l’exploration des encroûtements cobaltifères de ferromanganèse dans la Zone adopté par l’Autorité. 1.2 Les termes et expressions définis dans le Règlement sont utilisés dans le même sens dans les présentes clauses types. 1.3 L’Accord relatif à l’application de la partie XI de la Convention des Nations Unies sur le droit de la mer du 10 décembre 1982 stipule que ses dispositions et la partie XI de la Convention doivent être interprétées et appliquées ensemble comme un seul et même instrument; le présent contrat et les références à la Convention qui y sont faites doivent être interprétés et appliqués en conséquence. 1.4 Le présent contrat inclut ses annexes, qui en font partie intégrante.\n\nArticle 2. Garantie du titre 2.1 Le Contractant a la garantie du titre et le présent contrat ne peut être suspendu, résilié ou révisé que conformément à ses articles 20, 21 et 24. 2.2 Le Contractant a le droit exclusif d’explorer les encroûtements cobaltifères dans la zone d’exploration conformément aux clauses du présent contrat. L’Autorité veille à ce qu’aucune autre entité n’exerce dans la même zone des activités portant sur une catégorie différente de ressources d’une façon qui puisse gêner outre mesure celles que mène le Contractant. 2.3 Le Contractant a le droit, moyennant notification à l’Autorité, de renoncer à tout moment à tout ou partie de ses droits sur la zone d’exploration sans encourir de pénalité étant entendu qu’il demeure tenu de toutes les obligations qu’il a contractées avant la date de cette renonciation en ce qui concerne la zone à laquelle il renonce. 2.4 Aucune disposition du présent contrat ne peut être considérée comme conférant au Contractant d’autres droits que ceux qui y sont expressément prévus. L’Autorité se réserve le droit de conclure avec des tiers des contrats concernant les ressources autres que les encroûtements cobaltifères de la zone visée par le présent contrat.\n\nArticle 3. Durée du contrat 3.1 Le présent contrat entrera en vigueur à la date de sa signature par les deux parties et restera en vigueur pendant une période de quinze ans à compter de cette date à moins : a) Que le Contractant n’obtienne un contrat d’exploitation dans la zone d’exploration entrant en vigueur avant l’expiration de la période de 15 ans; ou\n\nb) Qu’il ne soit résilié plus tôt, étant entendu que sa durée pourra être prolongée conformément aux articles 3.2 et 17.2 ci-après. 3.2 Si le Contractant en fait la demande au plus tard six mois avant qu’il vienne à expiration, le présent contrat pourra être prorogé pour des périodes ne dépassant pas cinq ans chacune, aux clauses et conditions dont l’Autorité et le Contractant pourront convenir alors conformément au Règlement. Ces prorogations sont accordées si le Contractant s’est efforcé de bonne foi de se conformer aux stipulations du présent contrat mais n’a pas pu, pour des raisons indépendantes de sa volonté, mener à bien les travaux préparatoires nécessaires pour passer à la phase d’exploitation ou si les circonstances économiques du moment ne justifient pas le passage à la phase d’exploitation. 3.3 Nonobstant l’expiration du présent contrat conformément à son article 3.1, si le Contractant a, 90 jours au moins avant la date d’expiration, sollicité un contrat d’exploitation, ses droits et obligations sont maintenus jusqu’à ce que sa demande ait été examinée et qu’un contrat d’exploitation ait été émis ou refusé.\n\nArticle 4. Exploration 4.1 Le Contractant entreprend l’exploration conformément au calendrier arrêté dans le programme d’activités figurant à l’annexe 2 du présent contrat et respecte ce calendrier ou toute modification y afférente comme il est prévu par le présent contrat. 4.2 Le Contractant exécute le programme d’activités figurant à l’annexe 2 du présent contrat. Ce faisant, pour chaque année du contrat, il consacre aux dépenses effectives et directes d’exploration un montant au moins équivalant à celui qui est prévu dans le programme considéré ou dans toute modification y afférente. 4.3 Le Contractant peut, avec le consentement de l’Autorité, que celle-ci ne peut refuser sans motif raisonnable, apporter de temps à autre au programme d’activités et aux dépenses qui y sont prévues les modifications pouvant être nécessaires et prudentes selon la bonne pratique de l’industrie minière et compte tenu de la situation sur le marché des métaux que renferment les encroûtements cobaltifères et de la situation économique générale. 4.4 Le Contractant et le Secrétaire général procèdent conjointement à l’examen des résultats des activités d’exploration menées en vertu du présent contrat, au plus tard 90 jours avant l’expiration de chaque période de cinq ans à compter de la date d’entrée en vigueur prévue à l’article 3. Le Secrétaire général peut exiger du Contractant qu’il lui communique les données et informations supplémentaires pouvant être nécessaires pour cet examen. À l’issue de cet examen, le Contractant apporte à son plan de travail les ajustements nécessaires, indique son programme d’activités pour la période de cinq ans suivante, y compris un calendrier révisé des dépenses annuelles qu’il prévoit. L’annexe 2 est modifiée en conséquence.\n\nArticle 5. Surveillance de l’environnement 5.1 Le Contractant prend les mesures nécessaires pour prévenir, réduire et maîtriser la pollution du milieu marin et les autres dangers découlant pour ce milieu de ses activités dans la Zone en appliquant le principe de précaution ainsi que les meilleures pratiques écologiques. 5.2 Avant de commencer les activités d’exploration, le Contractant soumet à l’Autorité : a) Une étude d’impact indiquant les effets potentiels des activités proposées sur le milieu marin;\n\nb) Une proposition pour un programme de surveillance en vue de déterminer l’effet potentiel des activités proposées sur le milieu marin; et c) Des données pouvant être utilisées pour établir un profil écologique témoin par rapport auquel l’effet des activités proposées pourra être évalué. 5.3 Le Contractant réunit, conformément au Règlement, des données environnementales au fur et à mesure des activités d’exploration et établit des profils écologiques témoins par rapport auxquels seront évalués les effets probables de ses activités sur le milieu marin. 5.4 Le Contractant, conformément au Règlement, conçoit et exécute un programme de surveillance des effets de ses activités sur le milieu marin. Il coopère avec l’Autorité pour assurer cette surveillance. 5.5 Le Contractant rend compte au Secrétaire général, au plus tard 90 jours après la fin de chaque année civile, de l’exécution et des résultats du programme de surveillance visé à l’article 5.4 du présent contrat et communique les données et informations prescrites par le Règlement.\n\nArticle 6. Plans et interventions d’urgence 6.1 Avant d’entamer son programme d’activités en vertu du présent contrat, le Contractant soumet au Secrétaire général un plan d’urgence, qui permet de faire face efficacement aux incidents pouvant résulter des activités qu’il entend mener dans la zone d’exploration et qui sont susceptibles de causer ou de menacer de causer un dommage grave au milieu marin. Ledit plan d’urgence établit des procédures spéciales et prévoit les équipements appropriés pour faire face à de tels incidents, et comprend en particulier des dispositions assurant que : a) L’alerte générale soit immédiatement donnée dans le secteur d’activités; b) Le Secrétaire général soit immédiatement avisé; c) Les navires qui seraient sur le point d’entrer dans le voisinage immédiat soient avertis;\n\nd) Le Secrétaire général soit en permanence tenu informé de toutes les circonstances de l’incident, des mesures déjà prises et des nouvelles mesures nécessaires; e) Les substances polluantes soient enlevées, s’il y a lieu; f) Tout dommage grave au milieu marin soit réduit au minimum et, dans la mesure du possible, prévenu, et que ses effets soient atténués;\n\ng) S’il y a lieu, le Contractant coopère avec d’autres contractants et avec l’Autorité pour faire face à la situation d’urgence; et que h) Des exercices d’intervention d’urgence soient organisés périodiquement. 6.2 Le Contractant signale sans délai au Secrétaire général tout incident résultant de ses activités qui a causé, qui cause ou qui menace de causer un dommage grave au milieu marin. Il donne dans son rapport des renseignements détaillés sur cet incident, notamment : a) Les coordonnées de la zone affectée ou dont on peut raisonnablement craindre qu’elle sera affectée;\n\nb) Une description des mesures qu’il a prises pour prévenir, maîtriser, réduire au minimum ou réparer le dommage ou la menace de dommage grave au milieu marin; c) Une description des mesures qu’il a prises pour surveiller les effets de l’incident sur le milieu marin; et\n\nd) Toute autre information que le Secrétaire général peut raisonnablement lui demander. 6.3 Le Contractant exécute les ordres émis en cas d’urgence par le Conseil et les mesures temporaires d’exécution immédiate arrêtées par le Secrétaire général conformément au Règlement, qui peuvent comprendre l’ordre de suspendre ou de modifier immédiatement toutes activités dans la zone d’exploration, afin de prévenir, maîtriser, réduire au minimum ou réparer un dommage ou une menace de dommage grave au milieu marin. 6.4 Si le Contractant n’exécute pas rapidement ces ordres ou ces mesures temporaires d’exécution immédiate, le Conseil peut prendre les mesures raisonnables pouvant être nécessaires pour prévenir, maîtriser, réduire au minimum ou réparer, aux frais du Contractant, un dommage ou une menace de dommage grave au milieu marin. Le Contractant rembourse sans délai à l’Autorité le montant des dépenses ainsi encourues, qui vient en sus de toutes pénalités pécuniaires qui pourraient lui être imposées en vertu des clauses du présent contrat ou du Règlement.\n\nArticle 7. Restes humains, objets et sites présentant un caractère archéologique ou historique Le Contractant notifie immédiatement par écrit au Secrétaire général toute découverte, dans son secteur d’exploration, de tous restes humains, objets ou sites présentant un caractère archéologique ou historique, et leur emplacement, ainsi que toute mesure de conservation ou de protection qu’il a prise. Le Secrétaire général transmet ces informations au Directeur général de l’Organisation des Nations Unies pour l’éducation, la science et la culture et à toute autre organisation internationale compétente. Lorsque de tels restes humains, objets ou sites sont découverts dans un secteur d’exploration, et pour éviter d’en altérer l’état, il ne sera mené aucune nouvelle activité de prospection ou d’exploration dans un rayon de dimension raisonnable tant que le Conseil n’en aura pas décidé autrement en tenant compte des avis du Directeur général de l’Organisation des Nations Unies pour l’éducation, la science et la culture ou de toute autre organisation internationale compétente.\n\nArticle 8. Formation 8.1 Conformément au Règlement, avant de commencer l’exploration en vertu du présent contrat, le Contractant soumet pour approbation à l’Autorité des projets de programme de formation du personnel de l’Autorité et d’États en développement, prévoyant notamment la participation dudit personnel à toutes les activités qu’il mène en vertu du présent contrat. 8.2 La portée et le financement du programme de formation sont sujets à négociation entre le Contractant, l’Autorité et l’État ou les États patronnant le Contractant. 8.3 Le Contractant assure la formation conformément au programme de formation du personnel visé expressément à l’article 8.1 du présent contrat approuvé par l’Autorité en application du Règlement; ce programme, qui est révisé et étoffé de temps à autre, devient partie intégrante du présent contrat en tant qu’annexe 3.\n\nArticle 9. Livres et pièces comptables Le Contractant tient une série complète et appropriée de livres, comptes et états financiers conformes aux principes comptables internationalement reconnus. Ces livres, comptes et états financiers doivent contenir des informations renseignant pleinement sur les dépenses engagées effectivement et directement pour l’exploration et tous autres renseignements susceptibles de faciliter un audit effectif de ces dépenses.\n\nArticle 10. Rapports annuels 10.1 Le Contractant soumet au Secrétaire général, au plus tard 90 jours après la fin de chaque année civile, un rapport, sous la forme recommandée de temps à autre par la Commission juridique et technique, sur les activités qu’il a menées dans la zone d’exploration comportant, le cas échéant, des renseignements suffisamment détaillés sur : a) Les activités d’exploration menées au cours de l’année civile, y compris les cartes, diagrammes et graphiques illustrant les travaux effectués et les résultats obtenus;\n\nb) Le matériel utilisé pour les activités d’exploration, y compris les résultats de l’expérimentation des techniques d’extraction proposées, mais à l’exclusion des spécifications techniques relatives aux équipements; et c) L’exécution des programmes de formation, y compris les révisions et extensions proposées. 10.2 Ce rapport comprend également : a) Les résultats des programmes de surveillance de l’environnement, y compris les observations, mesures, évaluations et analyses des paramètres environnementaux;\n\nb) Un état de la quantité d’encroûtements cobaltifères prélevés à titre d’échantillons ou à des fins d’expérimentation; c) Un état, établi conformément aux principes comptables internationalement reconnus et certifié par un cabinet d’experts comptables dûment agréé ou, lorsque le Contractant est un État ou une entreprise d’État, par l’État qui le patronne, des dépenses directes et effectives d’exploration encourues par le Contractant dans l’exécution du programme d’activités au cours de son année comptable – dépenses que le Contractant peut présenter comme faisant partie des dépenses de mise en valeur encourues avant le démarrage de la production commerciale; et\n\nd) Des renseignements détaillés sur les aménagements qu’il est envisagé d’apporter au programme d’activités et les motifs de ces aménagements. 10.3 Le Contractant soumet également, en complément des rapports mentionnés aux paragraphes 10.1 et 10.2 du présent article, tous renseignements complémentaires que le Secrétaire général peut, de temps à autre, raisonnablement demander pour permettre à l’Autorité de s’acquitter de ses fonctions en vertu de la Convention, du Règlement et du présent contrat. 10.4 Le Contractant conserve en bon état une fraction représentative des échantillons et des carottes d’encroûtements cobaltifères prélevés au cours de l’exploration jusqu’à l’expiration du présent contrat. L’Autorité peut demander par écrit au Contractant de lui remettre, aux fins d’analyse, une fraction de ces échantillons et carottes prélevés au cours de l’exploration.\n\nArticle 11. Données et informations à présenter à l’expiration du contrat 11.1 Le Contractant communique à l’Autorité toutes données et informations pertinentes qui lui sont nécessaires pour exercer efficacement ses pouvoirs et fonctions en ce qui concerne la zone d’exploration, conformément aux dispositions du présent article. 11.2 À l’expiration ou à la résiliation du présent contrat, le Contractant, s’il ne l’a pas encore fait, présente au Secrétaire général les données et informations ci-après : a) Copie de toutes les données géologiques, environnementales, géochimiques et géophysiques pertinentes qu’il a acquises au cours de l’exécution du programme d’activités et qui sont nécessaires à l’Autorité pour exercer efficacement ses pouvoirs et fonctions en ce qui concerne la zone d’exploration;\n\nb) Une estimation des gisements exploitables, quand ces gisements ont été identifiés, comprenant des renseignements détaillés sur la teneur et la quantité des réserves d’encroûtements cobaltifères avérées, probables et possibles, et des prévisions concernant les conditions d’extraction; c) Copie de tous les rapports géologiques, techniques, financiers et économiques pertinents qu’il a établis ou fait établir et qui sont nécessaires à l’Autorité pour exercer efficacement ses pouvoirs et fonctions en ce qui concerne la zone d’exploration;\n\nd) Des renseignements suffisamment détaillés sur le matériel utilisé lors des activités d’exploration, y compris les résultats de l’expérimentation des techniques extractives proposées, mais à l’exclusion des spécifications techniques de ce matériel; e) Un état de la quantité d’encroûtements cobaltifères prélevés à titre d’échantillons ou aux fins d’expérimentation; et f) Une déclaration indiquant comment et où les échantillons sont conservés et comment l’Autorité peut y avoir accès. 11.3 Les données et informations visées à l’article 11.2 ci-dessus sont également communiquées au Secrétaire général si, avant l’expiration du présent contrat, le Contractant demande l’approbation d’un plan de travail relatif à l’exploitation ou renonce à ses droits dans la zone d’exploration, dans la mesure où ces données et informations ont trait au secteur auquel il a renoncé.\n\nArticle 12. Confidentialité Les données et informations qui sont communiquées à l’Autorité en vertu du présent contrat sont considérées comme confidentielles conformément aux dispositions du Règlement.\n\nArticle 13. Engagements 13.1 Le Contractant procède à l’exploration conformément aux termes du présent contrat, au Règlement, à la partie XI de la Convention, à l’Accord et aux autres règles de droit international qui ne sont pas incompatibles avec la Convention. 13.2 Le Contractant s’engage à : a) Accepter les clauses du présent contrat comme exécutoires et à les respecter;\n\nb) Exécuter les obligations qui lui incombent en vertu des dispositions de la Convention, des règles, règlements et procédures de l’Autorité et des décisions des organes compétents de l’Autorité; c) Accepter que l’Autorité exerce sur les activités menées dans la Zone le contrôle autorisé par la Convention;\n\nd) Exécuter de bonne foi des obligations qui lui incombent en vertu du présent contrat; et e) Respecter, dans la mesure où cela lui est raisonnablement possible, toutes recommandations que la Commission juridique et technique peut formuler de temps à autre. 13.3 Le Contractant s’efforce d’exécuter le programme d’activités : a) Avec la diligence, l’efficacité et l’économie voulues; b) En tenant dûment compte des effets de ses activités sur le milieu marin; et c) En tenant raisonnablement compte des autres activités menées dans le milieu marin. 13.4 L’Autorité s’engage à exercer de bonne foi les pouvoirs et les fonctions que lui confèrent la Convention et l’Accord, conformément à l’article 157 de la Convention.\n\nArticle 14. Inspection 14.1 Le Contractant autorise l’Autorité à envoyer ses inspecteurs à bord des navires et installations qu’il utilise pour ses activités dans la zone d’exploration pour : a) S’assurer qu’il respecte les termes du présent contrat et les dispositions du Règlement; et b) Surveiller les effets desdites activités sur le milieu marin. 14.2 Le Secrétaire général notifie au Contractant, suffisamment à l’avance, la date et la durée probables des inspections, le nom des inspecteurs et toutes activités pour lesquelles ceux-ci auront probablement besoin de matériel spécialisé ou d’une assistance spéciale du personnel du Contractant. 14.3 Les inspecteurs sont habilités à inspecter tout navire ou toute installation, y compris le journal de bord, les équipements, les registres, les installations, toutes les autres données enregistrées et tous documents nécessaires pour déterminer si le Contractant exécute ses obligations. 14.4 Le Contractant, ses agents et ses employés aident les inspecteurs à s’acquitter de leurs fonctions et : a) Acceptent que ceux-ci embarquent sans délai et en toute sécurité à bord des navires et installations et leur en facilitent l’accès;\n\nb) Coopèrent et concourent à l’inspection de tout navire et de toute installation effectuée conformément aux présentes procédures; c) Donnent aux inspecteurs accès, à toute heure raisonnable, à tous les matériels, équipements et personnels se trouvant à bord des navires et installations;\n\nd) S’abstiennent de gêner les inspecteurs dans l’exercice de leurs fonctions, d’y faire obstacle ou de les intimider; e) Fournissent aux inspecteurs des services convenables, et notamment pourvoient, le cas échéant, à leur restauration et à leur hébergement; et f) Facilitent le débarquement des inspecteurs en toute sécurité. 14.5 Les inspecteurs évitent d’entraver le déroulement normal, dans des conditions de sécurité, des opérations à bord des navires et installations utilisés par le Contractant pour mener ses activités dans la zone inspectée et agissent conformément au Règlement et aux dispositions adoptées pour protéger la confidentialité des données et informations. 14.6 Le Secrétaire général et tout représentant dûment autorisé de celui-ci ont accès, aux fins d’audit et d’examen, à tous les livres, documents, pièces et écritures du Contractant, nécessaires pour vérifier les dépenses visées à l’article 10.2 c) et concernant directement ces dépenses. 14.7 Le Secrétaire général communique au Contractant et à l’État ou aux États qui le patronnent toute information pertinente provenant des rapports des inspecteurs au cas où des mesures s’imposent. 14.8 Si, pour une raison ou une autre, le Contractant ne poursuit pas l’exploration et ne présente pas une demande de contrat d’exploitation, il doit, avant de se retirer de la zone d’exploration, en informer par écrit le Secrétaire général afin que l’Autorité puisse, si elle le décide, procéder à une inspection conformément aux dispositions du présent article.\n\nArticle 15. Normes de sécurité, d’emploi et de santé 15.1 Le Contractant agit conformément aux règles et normes internationales généralement acceptées qui ont été établies par les organisations internationales compétentes ou par des conférences diplomatiques générales, concernant la protection de la vie humaine en mer et la prévention des abordages, ainsi qu’aux règles, règlements, procédures et directives que l’Autorité pourrait adopter touchant la sécurité en mer. Tout navire utilisé pour mener des activités dans la Zone doit être en possession des certificats valides requis par lesdites règles et normes internationales et délivrés conformément en application de celles-ci. 15.2 Tout Contractant qui se livre à des activités d’exploration en vertu du présent contrat doit observer et respecter les règles, règlements, procédures et directives que l’Autorité pourrait adopter en matière de protection contre la discrimination en matière d’emploi, de prévention des accidents du travail et des maladies professionnelles, de relations professionnelles, de sécurité sociale, de sécurité de l’emploi et en ce qui concerne les conditions de vie sur le lieu de travail. Ces règles, règlements et procédures doivent tenir compte des conventions et recommandations de l’Organisation internationale du Travail et des autres organisations internationales compétentes.\n\nArticle 16. Responsabilité 16.1 Le Contractant est responsable du dommage effectif, y compris les dommages causés au milieu marin, imputable à ses actes ou omissions illicites et à ceux de ses employés, sous-traitants et agents et de toutes autres personnes travaillant ou agissant pour le compte de ceux-ci dans la conduite des opérations effectuées en vertu du présent contrat, y compris le coût des mesures raisonnables prises pour prévenir ou limiter les dommages au milieu marin, compte tenu le cas échéant des actes ou omissions de l’Autorité ayant contribué au dommage. 16.2 Le Contractant met l’Autorité, ses employés, sous-traitants et agents hors de cause en cas de réclamations ou actions en responsabilité de tiers fondées sur un acte ou une omission illicite du Contractant ou de ses employés, agents et soustraitants et de toutes autres personnes travaillant ou agissant pour le compte de ceuxci dans la conduite des opérations effectuées en vertu du présent contrat. 16.3 L’Autorité est responsable du dommage effectif causé au Contractant par les actes illicites qu’elle commet dans l’exercice de ses pouvoirs et fonctions, y compris les violations de l’article 168 2) de la Convention, compte tenu de la part de responsabilité imputable au Contractant, à ses employés, agents et sous-traitants et toutes personnes travaillant ou agissant pour le compte de ceux-ci, dans la conduite des opérations effectuées en vertu du présent contrat, à raison de leurs actes ou omissions. 16.4 L’Autorité met le Contractant, ses employés, sous-traitants et agents et toutes autres personnes travaillant ou agissant pour le compte de ceux-ci dans la conduite des opérations effectuées en vertu du présent contrat hors de cause en cas de réclamations ou actions en responsabilité de tiers fondées sur un acte ou une omission illicite commis par l’Autorité dans l’exercice de ses pouvoirs et fonctions dans le cadre du présent contrat, y compris les violations de l’article 168 2) de la Convention. 16.5 Le Contractant souscrit auprès de compagnies d’assurance de renommée internationale les polices d’assurance appropriées, conformément à la pratique internationale généralement acceptée en matières maritimes.\n\nArticle 17. Force majeure 17.1 Le Contractant n’est responsable d’aucun retard inévitable dans l’exécution ni de l’inexécution de l’une quelconque des obligations qui lui incombent en vertu du présent contrat imputables à la force majeure. Aux fins du présent contrat, on entend par « force majeure » un événement ou une situation que le Contractant ne saurait raisonnablement pas être censé prévenir ou maîtriser, à condition que l’événement ou la situation en question ne résulte pas d’une négligence ou de l’inobservation des bonnes pratiques en matière d’extraction minière. 17.2 S’il le demande, le Contractant se verra accorder un délai supplémentaire égal à la durée du retard dans l’exécution imputable à la force majeure, la durée du présent contrat étant prolongée en conséquence. 17.3 En cas de force majeure, le Contractant prend toutes les mesures pouvant raisonnablement être prises pour rétablir sa capacité d’exécution et se conformer aux clauses du présent contrat avec le minimum de retard. 17.4 Le Contractant notifie, aussitôt qu’il peut raisonnablement le faire, à l’Autorité la survenue d’un cas de force majeure et lui notifie pareillement le retour à la normale.\n\nArticle 18. Démenti Ni le Contractant ni une entreprise apparentée ni un sous-traitant ne peuvent d’aucune manière faire valoir ou déclarer expressément ou indirectement que l’Autorité ou l’un de ses fonctionnaires a, ou a exprimé, telle ou telle opinion concernant les encroûtements cobaltifères se trouvant dans la zone d’exploration, et aucune déclaration en ce sens se référant directement ou indirectement au présent contrat ne pourra figurer dans un prospectus, un avis, une circulaire, une annonce publicitaire, un communiqué de presse ou un document similaire émanant du Contractant, d’une entreprise apparentée ou d’un sous-traitant. Aux fins du présent article, on entend par « entreprise apparentée » toute personne, firme, société ou entreprise publique qui contrôle le Contractant, est contrôlée par lui ou est assujettie au même contrôle que lui.\n\nArticle 19. Renonciation Le Contractant peut, moyennant notification à l’Autorité, renoncer à ses droits et résilier le présent contrat sans encourir de pénalité, étant toutefois entendu qu’il reste en ce cas tenu par toutes les obligations qu’il aura pu contracter avant la date de cette renonciation et par celles qui lui incombent après la résiliation en application du Règlement.\n\nArticle 20. Cessation du patronage 20.1 Si la nationalité du Contractant ou l’entité qui le contrôle change ou si l’État qui le patronne, tel qu’il est défini dans le Règlement, met fin à son patronage, le Contractant en informe l’Autorité sans délai. 20.2 Dans l’un et l’autre cas, si le Contractant n’obtient pas d’un autre patron réunissant les conditions prescrites par le Règlement qu’il présente à l’Autorité un certificat de patronage sous la forme prescrite et dans les délais fixés par le Règlement, le présent contrat prend immédiatement fin.\n\nArticle 21. Suspension et résiliation du contrat et pénalités 21.1 Le Conseil peut suspendre le présent contrat ou y mettre fin, sans préjudice de tous autres droits que l’Autorité peut avoir, dans l’un quelconque des cas ci-après : a) Lorsque, en dépit de ses avertissements écrits, le Contractant a mené ses activités de telle manière qu’elles se traduisent par des infractions graves, réitérées et délibérées aux clauses fondamentales du présent contrat, à la partie XI de la Convention, à l’Accord et aux règles, règlements et procédures de l’Autorité; ou\n\nb) Lorsque le Contractant ne s’est pas conformé à une décision définitive et obligatoire prise à son égard par l’organe de règlement des différends; ou c) Lorsque le Contractant devient insolvable, est déclaré en cessation de paiements ou conclut un concordat avec ses créanciers, ou est mis en liquidation ou placé sous administration judiciaire à sa demande ou obligatoirement, ou encore requiert ou sollicite d’un tribunal la désignation d’un administrateur ou d’un syndic, ou engage une instance le concernant en vertu d’une loi sur la faillite, l’insolvabilité ou l’aménagement de la dette alors en vigueur, à des fins autres que le redressement. 21.2 Le Conseil peut, sans préjudice de l’article 17, après avoir consulté le Contractant, suspendre le présent contrat ou y mettre fin, sans préjudice de tous autres droits que peut avoir l’Autorité, si le Contractant est empêché d’exécuter ses obligations dans le cadre du présent contrat par un événement ou une situation de force majeure, telle que celle-ci est définie à l’article 17.1, qui dure depuis plus de deux ans sans interruption alors même que le Contractant a pris toutes les mesures raisonnablement possibles pour surmonter son incapacité d’exécuter ses obligations et se conformer aux termes et conditions du présent contrat avec un minimum de retard. 21.3 Toute suspension ou résiliation s’effectue par l’intermédiaire du Secrétaire général sous forme d’une notification qui doit indiquer les motifs de sa décision. La suspension ou la résiliation prend effet 60 jours après ladite notification, à moins que durant cette période le Contractant ne conteste le droit de l’Autorité de suspendre ou de résilier le présent contrat conformément à la partie XI, section 5, de la Convention. 21.4 Si le Contractant prend une telle initiative, le présent contrat ne sera suspendu ou résilié que conformément à une décision définitive et obligatoire prise conformément à la partie XI, section 5, de la Convention. 21.5 Si le Conseil suspend le présent contrat, il peut, moyennant notification, exiger du Contractant qu’il reprenne ses opérations et se conforme aux clauses du présent contrat, au plus tard 60 jours après cette notification. 21.6 Le Conseil peut, en cas d’infraction au présent contrat non visée au paragraphe 21.1 a) du présent article, ou au lieu de suspendre ou de résilier le présent contrat en vertu de ce paragraphe 21.1, imposer au Contractant des pénalités pécuniaires proportionnelles à la gravité de l’infraction. 21.7 Le Conseil ne peut donner effet à une décision imposant des pénalités d’amende au Contractant tant qu’une possibilité raisonnable n’a pas été donnée à celui-ci d’épuiser les voies de recours judiciaire dont il dispose en vertu de la partie XI, section 5, de la Convention. 21.8 Si le présent contrat est résilié ou vient à expiration, le Contractant se conforme aux dispositions du Règlement et retire l’ensemble des installations, équipements et matériels de la zone d’exploration et laisse celle-ci dans des conditions de sécurité telles qu’elle ne présente aucun danger pour les personnes, le transport maritime ou le milieu marin.\n\nArticle 22. Cession des droits et obligations 22.1 Les droits et obligations du Contractant au titre du présent contrat ne peuvent être cédés en tout ou partie qu’avec le consentement de l’Autorité et conformément au Règlement. 22.2 L’Autorité ne refuse pas sans motifs suffisants son consentement à la cession si le cessionnaire proposé est, à tous égards, un demandeur qualifié au regard du Règlement et assume toutes les obligations du Contractant. 22.3 Les clauses, engagements et conditions prévus par le présent contrat sont à l’avantage des parties et de leurs ayants droit et cessionnaires respectifs, et ont force obligatoire envers eux.\n\nArticle 23. Clause de non-exonération Aucune décision prise par l’une des parties d’exonérer l’autre partie d’un quelconque manquement aux clauses et conditions du présent contrat dont l’exécution lui incombe ne peut être interprétée comme impliquant de sa part exonération de tout manquement subséquent à la même clause ou à toute autre clause ou condition à la charge de l’autre partie.\n\nArticle 24. Révision 24.1 Lorsqu’il se présente ou qu’il pourrait se présenter des circonstances qui, de l’avis de l’Autorité ou du Contractant, auraient pour effet de rendre le présent contrat inéquitable ou de compromettre ou d’empêcher la réalisation des objectifs prévus par celui-ci ou par la partie XI de la Convention ou par l’Accord, les parties engagent des négociations en vue de réviser ledit contrat en conséquence. 24.2 Le présent contrat peut également être révisé par accord entre le Contractant et l’Autorité afin de faciliter l’application de règles, règlements et procédures adoptés par l’Autorité après l’entrée en vigueur du présent contrat. 24.3 Le présent contrat ne peut être révisé, amendé ou autrement modifié qu’avec le consentement du Contractant et de l’Autorité exprimé dans un instrument approprié signé par les représentants autorisés des parties.\n\nArticle 25. Différends 25.1 Tout différend entre les parties relatif à l’interprétation ou à l’application du présent contrat est réglé conformément à la partie XI, section 5, de la Convention. 25.2 En application de l’article 21 2) de l’annexe III de la Convention, toute décision définitive rendue par une cour ou un tribunal ayant compétence en vertu de la Convention au sujet des droits et obligations de l’Autorité et du Contractant est exécutoire sur le territoire de tout État partie à la Convention affecté par elle.\n\nArticle 26. Notification 26.1 Toute demande, requête, notification, approbation, renonciation, directive ou instruction et tout rapport ou consentement prévus dans le présent contrat sont formulés par écrit par le Secrétaire général ou le représentant désigné du Contractant, selon le cas. Les notifications sont faites à personne ou par télex, télécopie, lettre recommandée expédiée par avion ou courrier électronique authentifié par une signature électronique autorisée adressés au Secrétaire général au siège de l’Autorité ou au représentant désigné. L’obligation de fournir des informations par écrit en application du présent Règlement est satisfaite si ces informations sont fournies dans un document électronique comportant une signature numérique. 26.2 L’une et l’autre partie ont le droit de changer d’adresse en en informant l’autre partie au moins dix jours à l’avance. 26.3 La notification à personne prend effet au moment où elle est faite. La notification par télex est réputée effectuée le jour ouvrable suivant le jour où la mention « réponse » apparaît sur l’appareil de télex de l’expéditeur. La notification par télécopie prend effet lorsque l’expéditeur reçoit « l’accusé de réception » confirmant la transmission au numéro de télécopie publié du destinataire. La notification par lettre recommandée expédiée par avion est réputée effectuée vingt et un jours après que la lettre a été postée. Un courrier électronique est réputé reçu par son destinataire lorsqu’il entre dans un système informatique conçu ou utilisé par le destinataire pour recevoir des documents du type de celui qui lui est adressé et qu’il peut être récupéré et traité par ce destinataire. 26.4 La notification au représentant désigné du Contractant vaut notification au Contractant aux fins du présent contrat, et le représentant désigné est le représentant du Contractant aux fins de signification ou de notification à l’occasion de toute instance devant toute juridiction compétente. 26.5 La notification au Secrétaire général vaut notification à l’Autorité aux fins du présent contrat, et le Secrétaire général est le représentant de celle-ci aux fins de signification ou de notification à l’occasion de toute instance devant toute juridiction compétente.\n\nArticle 27. Droit applicable 27.1 Le présent contrat est régi par ses dispositions, les règles, règlements et procédures de l’Autorité, la partie XI de la Convention, l’Accord et les autres règles de droit international qui ne sont pas incompatibles avec la Convention. 27.2 Le Contractant, ses employés, sous-traitants et agents et toutes les personnes travaillant ou agissant pour eux dans la conduite des opérations effectuées en vertu du présent contrat observent le droit applicable visé à l’article 27.1 ci-dessus et ne se livrent directement ou indirectement à aucune transaction interdite par ce droit. 27.3 Aucune disposition du présent contrat ne peut être interprétée comme dispensant de la nécessité de demander et d’obtenir le permis ou l’autorisation pouvant être requis pour l’une quelconque des activités prévues par le présent contrat.\n\nArticle 28. Interprétation La subdivision du présent contrat en articles et paragraphes de même que les intitulés qui y figurent sont dictés uniquement par un souci de commodité et n’en affectent pas l’interprétation.\n\nArticle 29. Documents supplémentaires Chacune des parties accepte de signer et de communiquer tous autres instruments et d’accomplir tous autres actes et formalités qui pourraient être nécessaires ou opportuns pour donner effet aux dispositions du présent contrat.\n", "n_chars": 126029}
{"corpus_id": "isa/regulation/crusts-2012-ru", "version_id": "2012-10-22", "title": "Правила поиска и разведки кобальтоносных железомарганцевых корок в Районе", "short_title": "Правила МОМД — разведка кобальтоносных корок (2012 г.) [RU]", "jurisdiction": "international", "document_type": "isa_regulation", "official_citation": "ISBA/18/A/11, приложение — Правила поиска и разведки кобальтоносных железомарганцевых корок в Районе", "authentic_languages": ["ar", "zh", "en", "fr", "ru", "es"], "language": "ru", "adoption_date": "2012-07-27", "entry_into_force_date": null, "source_url": "https://isa.org.jm/wp-content/uploads/2022/04/isba-18a-11_3-1.pdf", "source_publisher": "Международный орган по морскому дну (ISA)", "source_is_official": true, "authoritative_status": "authentic_text", "text_fidelity": "extracted_verified", "content_hash": "sha256:66bb2544ebbc5609623ae9ab470855326fd7515976e54120320036d8fe3259ef", "original_sha256": "sha256:f574d5555fe0b9b40c6817d58329976e691314e5b799a7c4004a80331d22a275", "text_sha256": "sha256:66bb2544ebbc5609623ae9ab470855326fd7515976e54120320036d8fe3259ef", "license": "isa-materials-terms", "rights_note": "Аутентичный русский текст; официальный документ, атрибутирован источнику; не перелицензирован.", "provenance_note": "AUTHENTIC RUSSIAN TEXT — sibling under JC-006 (language-suffixed corpus_id; English base record is isa/regulation/crusts-2012). Authentic in the six UN languages, all equally authoritative; the RU text is stored here. Byte-exact official PDF (human download) stored as original.pdf (original_sha256 = the PDF hash); text extracted with pdftotext and cleaned by the committed scripts/extract.py, byte-exact reproducible; page furniture removed, no wording changed. This is an equally-authentic language version, NOT a translation of the English (translations, if any, live in the derived layer).", "text": "Правила поиска и разведки кобальтоносных железомарганцевых корок в Районе — ISBA/18/A/11, приложение [RU]\n\nПравила поиска и разведки кобальтоносных железомарганцевых корок в Районе\n\nПреамбула Согласно Конвенции Организации Объединенных Наций по морскому праву от 10 декабря 1982 года («Конвенция»), дно морей и океанов и его недра за пределами национальной юрисдикции, а также его ресурсы являются общим наследием человечества, и их разведка и разработка осуществляются на благо человечества в целом, от имени которого действует Международный орган по морскому дну. Задача настоящего свода Правил состоит в том, чтобы предусмотреть порядок ведения поиска и разведки кобальтоносных железомарганцевых корок.\n\nЧасть I\n\nВведение\n\nПравило 1. Употребление терминов и сфера применения\n\n1. Термины, употребляемые в Конвенции, имеют то же значение и в настоящих Правилах.\n\n2. В соответствии с Соглашением об осуществлении части XI Конвенции Организации Объединенных Наций по морскому праву от 10 декабря 1982 года («Соглашение»), положения Соглашения и части XI Конвенции толкуются и применяются совместно, как единый акт. Настоящие Правила и содержащиеся в них ссылки на Конвенцию толкуются и применяются соответствующим же образом.\n\n3. Для целей настоящих Правил: a) «кобальтовые корки» означает залежи богатых кобальтом железомарганцевых (ферромарганцевых) гидроокислов/окислов, сформировавшихся в результате непосредственного осаждения минералов из морской воды на твердые субстраты, содержащие небольшие, но значимые скопления кобальта, титана, никеля, платины, молибдена, теллура, церия и других металлических и редкоземельных элементов;\n\nb) «разработка» означает промышленный сбор кобальтовых корок в Районе и извлечение из них полезных ископаемых, в том числе изготовление и эксплуатацию систем добычи, обработки и транспортировки для производства металлов; c) «разведка» означает изыскание залежей кобальтовых корок в Районе на исключительных правах, анализ таких залежей, использование и испытание систем и оборудования для добычи, обрабатывающих установок и систем транспортировки, а также проведение исследований в отношении экологических, технических, экономических, коммерческих и прочих соответствующих факторов, которые должны учитываться при разработке;\n\nd) «морская среда» означает физические, химические, геологические и биологические компоненты, условия и факторы, которые взаимодействуют и определяют продуктивность, положение, состояние и качество морской экосистемы, воды морей и океанов и воздушное пространство над ними, а также дно морей и океанов и его недра; e) «поиск» означает изыскание залежей кобальтовых корок в Районе — включая оценку состава, размеров и распределения залежей кобальтовых корок и их экономической ценности, — не предполагающие каких-либо исключительных прав; f) «серьезный ущерб морской среде» означает любое воздействие деятельности в Районе на морскую среду, которое представляет собой значительное негативное изменение в морской среде, определяемое в соответствии с нормами, правилами и процедурами, принятыми Органом на основе международно признанных стандартов и практики.\n\n4. Настоящие Правила никоим образом не затрагивают свободу научных исследований, предусмотренную статьей 87 Конвенции, или право на проведение морских научных исследований в Районе, предусмотренное статьями 143 и 256 Конвенции. Ничто в настоящих Правилах не должно пониматься как ограничивающее осуществление государствами свобод открытого моря, нашедших отражение в статье 87 Конвенции.\n\n5. Настоящие Правила могут дополняться новыми правилами, положениями и процедурами, в частности касающимися защиты и сохранения морской среды. Настоящие Правила подчиняются положениям Конвенции и Соглашения и другим нормам международного права, не расходящимся с Конвенцией.\n\nЧасть II. Поиск\n\nПравило 2. Поиск\n\n1. Поиск производится в соответствии с Конвенцией и настоящими Правилами и может начаться лишь после того, как Генеральный секретарь информирует изыскателя о том, что его уведомление зарегистрировано в соответствии с правилом 4 (2).\n\n2. Изыскатели и Орган применяют к такой деятельности осторожный подход, нашедший отражение в принципе 15 Рио-де-Жанейрской декларации по окружающей среде и развитию 1 .\n\n3. Поиск не производится при наличии существенных доказательств, указывающих на риск причинения серьезного ущерба морской среде.\n\n4. Поиск не производится в районе, охваченном утвержденным планом работы по разведке кобальтовых корок, или в зарезервированном районе; поиск\n\n1 Доклад Конференции Организации Объединенных Наций по окружающей среде и развитию, Рио-де-Жанейро, 3–14 июня 1992 года (издание Организации Объединенных Наций, в продаже под № R.93.I.8, и исправление), том I, Резолюции, принятые на Конференции, резолюция 1, приложение I. не может производиться также в районе, в котором разработка не была разрешена Советом Международного органа по морскому дну ввиду риска причинения серьезного ущерба морской среде.\n\n5. Поиск не предоставляет изыскателю каких-либо прав на ресурсы. Однако изыскатель может извлекать разумное количество полезных ископаемых, т.е. количество, необходимое для испытаний, но не для коммерческого использования.\n\n6. Поиск ведется без каких-либо временных ограничений, за исключением тех случаев, когда поиск в каком-либо конкретном районе прекращается по получении изыскателем от Генерального секретаря письменного уведомления о том, что в отношении этого района утвержден план работы по разведке.\n\n7. Поиск в одном и том же районе (районах) может проводиться одновременно более чем одним изыскателем.\n\nПравило 3. Уведомление о поиске\n\n1. Предполагаемый изыскатель уведомляет Орган о своем намерении заняться поиском.\n\n2. Каждое уведомление о поиске представляется по установленной в приложении I к настоящим Правилам форме на имя Генерального секретаря и должно отвечать требованиям настоящих Правил.\n\n3. Каждое уведомление представляется: a) в случае государства — органом, назначенным для этой цели; b) в случае субъекта права — назначенным им представителем; c) в случае Предприятия — его компетентным органом.\n\n4. Каждое уведомление представляется на одном из языков Органа и содержит: a) наименование, национальную принадлежность и адрес предполагаемого изыскателя и назначенного им представителя;\n\nb) координаты ориентировочного района (районов) проведения поиска, указанные в соответствии с наиболее свежим общепринятым международным стандартом, используемым Органом; c) общее описание программы поиска, включая предлагаемую дату начала и ее примерную продолжительность;\n\nd) удовлетворительное письменное обязательство о том, что предполагаемый изыскатель будет: i) соблюдать Конвенцию и соответствующие нормы, правила и процедуры Органа, касающиеся: a. сотрудничества в программах подготовки кадров в связи с морскими научными исследованиями и передачей технологии, о которых говорится в статьях 143 и 144 Конвенции, и b. защиты и сохранения морской среды; ii) давать согласие на проведение Органом проверки их соблюдения; iii) предоставлять Органу, насколько это практически возможно, такие данные, которые могут иметь отношение к защите и сохранению морской среды.\n\nПравило 4. Рассмотрение уведомлений\n\n1. Генеральный секретарь письменно подтверждает получение каждого уведомления, представляемого согласно правилу 3, с указанием даты получения.\n\n2. В 45-дневный срок с момента получения уведомления Генеральный секретарь рассматривает его и принимает решение. Если уведомление соответствует требованиям Конвенции и настоящих Правил, Генеральный секретарь заносит указанные в уведомлении данные в регистр, который ведется для этой цели, и в письменном виде информирует изыскателя о том, что уведомление зарегистрировано.\n\n3. В 45-дневный срок с момента получения уведомления Генеральный секретарь в письменном виде информирует предполагаемого изыскателя о том, охватывает ли его уведомление какую-либо часть района, включенного в утвержденный план работы по разведке либо разработке какой-либо категории ресурсов, или какую-либо часть зарезервированного района, или какую-либо часть района, в котором разработка не была разрешена Советом ввиду риска причинения серьезного ущерба морской среде, или же о том, что его письменное обязательство является неудовлетворительным, и представляет предлагаемому изыскателю в письменном виде изложение причин. В таких случаях предлагаемый изыскатель может в 90-дневный срок представить измененное уведомление. Генеральный секретарь в 45-дневный срок рассматривает такое измененное уведомление и принимает по нему решение.\n\n4. Изыскатель в письменном виде информирует Генерального секретаря о любом изменении в информации, содержащейся в уведомлении.\n\n5. Генеральный секретарь предает содержащиеся в уведомлении данные огласке лишь с письменного согласия изыскателя. Однако Генеральный секретарь периодически информирует всех членов Органа о личности изыскателей и о том, где в принципе ведется ими поиск.\n\nПравило 5. Защита и сохранение морской среды в ходе поиска\n\n1. Каждый изыскатель принимает необходимые меры к предотвращению, сокращению и сохранению под контролем загрязнения морской среды и других опасностей для нее, вытекающих из поиска, насколько это реально возможно, используя осторожный подход и передовую природоохранную практику. В частности, каждый изыскатель сводит к минимуму или устраняет: а) негативное экологическое воздействие поиска и\n\nb) фактические или потенциальные коллизии или помехи в отношении осуществляемой или планируемой деятельности по проведению морских научных исследований согласно соответствующим будущим руководящим принципам по этому вопросу.\n\n2. Изыскатели сотрудничают с Органом в учреждении и осуществлении программ мониторинга и оценки потенциального воздействия разведки и разработки кобальтоносных корок на морскую среду.\n\n3. Изыскатель незамедлительно уведомляет Генерального секретаря в письменном виде, используя наиболее эффективные средства, о любом инциденте, происшедшем в результате поиска и представляющем угрозу причинения серьезного вреда морской среде. По получении такого уведомления Генеральный секретарь действует сообразно с правилом 35.\n\nПравило 6. Годовой отчет\n\n1. В 90-дневный срок после окончания каждого календарного года изыскатель представляет Органу отчет о ходе поиска. Такие отчеты препровождаются Генеральным секретарем Юридической и технической комиссии. В каждом таком отчете содержатся: a) общее описание состояния поиска и полученных результатов;\n\nb) информация о соблюдении обязательств, указанных в правиле 3 (4) (d); и c) информация о соблюдении соответствующих будущих руководящих принципов по этому вопросу.\n\n2. Если изыскатель намеревается провести расходы по поиску как часть расходов по освоению, произведенных до начала промышленного производства, то он представляет составленную в соответствии с международно принятыми принципами учета и заверенную надлежащим образом квалифицированной аудиторской фирмой годовую ведомость фактических прямых затрат, произведенных изыскателем в ходе поиска.\n\nПравило 7. Конфиденциальность содержащихся в годовом отчете данных и информации, полученных в результате поиска\n\n1. Генеральный секретарь обеспечивает конфиденциальность всех данных и информации, содержащихся в отчетности, представляемой согласно правилу 6, применяя mutatis mutandis положения правил 38 и 39, при том условии, что данные и информация, касающиеся защиты и сохранения морской среды, в частности данные и информация программ экологического мониторинга, не считаются конфиденциальными. Изыскатель может запросить неразглашение такой информации до истечения трех лет после даты ее представления.\n\n2. С согласия соответствующего изыскателя Генеральный секретарь может в любой момент предать огласке данные и информацию, касающиеся поиска в районе, в отношении которого представлено уведомление. Если, приложив разумные усилия по меньшей мере в течение двух лет, Генеральный секретарь определяет, что изыскателя уже нет в наличии или что его местонахождение установить невозможно, то Генеральный секретарь может предать такие данные и информацию огласке.\n\nПравило 8. Объекты, имеющие археологическое или историческое значение Изыскатель незамедлительно уведомляет Генерального секретаря в письменном виде об обнаружении в Районе любого объекта, имеющего фактическое или потенциальное археологическое или историческое значение, и о его местонахождении. Генеральный секретарь препровождает такую информацию Генеральному директору Организации Объединенных Наций по вопросам образования, науки и культуры.\n\nЧасть III. Заявки на утверждение планов работы по разведке в форме контракта\n\nРаздел 1. Общие положения\n\nПравило 9. Общие положения При условии соблюдения положений Конвенции право подавать в Орган заявки на утверждение планов работы на разведку имеют: a) ности; Предприятие от своего имени или как участник совместной деятель-\n\nb) государства-участники, государственные предприятия либо физические или юридические лица, имеющие национальность этих государствучастников либо находящиеся под эффективным контролем этих государств или их граждан, когда такие государства поручились за них, или любая группа вышеуказанных субъектов, которые отвечают требованиям, предусмотренным в настоящих Правилах.\n\nРаздел 2. Содержание заявок\n\nПравило 10. Форма заявок\n\n1. Каждая заявка на утверждение плана работы по разведке представляется по установленной в приложении II к настоящим Правилам форме на имя Генерального секретаря и должна отвечать требованиям настоящих Правил.\n\n2. Каждая заявка представляется: a) в случае государства — органом, назначенным им для этой цели;\n\nb) в случае субъекта права — назначенным им представителем или органом, назначенным для этой цели поручившимся государством (государствами), и c) в случае Предприятия — его компетентным органом.\n\n3. В каждой заявке государственного предприятия или одного из субъектов, упомянутых в правиле 9(b), указывается также: a) достаточная информация для установления национальной принадлежности заявителя или наименование государства (государств), под эффективным контролем которого (или граждан которого) находится заявитель, и\n\nb) местонахождение главной конторы или домициль, а в соответствующих случаях — место регистрации заявителя.\n\n4. Каждая заявка, представленная партнерством или консорциумом субъектов, содержит необходимую информацию о каждом участнике партнерства или консорциума.\n\nПравило 11. Удостоверение о поручительстве\n\n1. Каждая заявка государственного предприятия или одного из субъектов, упомянутых в правиле 9 (b), сопровождается удостоверением о поручительстве, выданном государством, национальность которого он имеет или под эффективным контролем которого (или граждан которого) он находится. Если заявитель имеет более чем одну национальность, как в случае партнерства или консорциума субъектов из нескольких государств, каждое такое государство выдает удостоверение о поручительстве.\n\n2. Если заявитель имеет национальность одного государства, но находится под эффективным контролем другого государства или его граждан, каждое такое государство выдает удостоверение о поручительстве.\n\n3. Каждое удостоверение о поручительстве должно быть должным образом подписано от имени государства, которое его представляет, и содержать: a) наименование заявителя; b) наименование поручившегося государства; c) указание о том, что заявитель: i) имеет национальность поручившегося государства или ii) является субъектом, находящимся под эффективным контролем поручившегося государства или его граждан;\n\nd) заявление поручившегося государства о том, что оно поручается за заявителя; e) дату сдачи на хранение поручившимся государством своего документа о ратификации Конвенции, присоединении к ней или о правопреемстве в ее отношении; f) заявление о том, что поручившееся государство берет на себя ответственность согласно статьям 139 и 153 (4) Конвенции и статье 4 (4) приложения III к ней.\n\n4. Государства или субъект, осуществляющие деятельность совместно с Предприятием, также соблюдают настоящее правило.\n\nПравило 12. Целый район, указанный в заявке\n\n1. Для целей настоящих Правил «блок кобальтовых корок» означает одну или несколько клеток координатной сетки, указанной Органом, квадратной или прямоугольной формы и площадью не свыше 20 кв. км.\n\n2. Район, указанный в каждой заявке на утверждение плана работы по разведке кобальтовых корок, состоит из не более чем 150 блоков кобальтовых корок, которые компонуются заявителем в группы, как указано в пункте 3 ниже.\n\n3. Пять прилегающих блоков кобальтовых корок образуют группу блоков кобальтовых корок. Прилегающими блоками считаются два блока, соприкасающиеся в какой бы то ни было точке. Группы блоков кобальтовых корок могут не быть прилегающими, но должны находиться поблизости друг от друга и полностью входить в один и тот же географический район размером не более 550 км на 550 км.\n\n4. Независимо от положений пункта 2 выше, когда заявитель выбирает передачу зарезервированного района для осуществления деятельности согласно статье 9 приложения III к Конвенции, в соответствии с правилом 17, общая площадь, указанная в заявке, не должна превышать 300 блоков кобальтовых корок. Такие блоки компонуются в два комплекта равной предположительной коммерческой ценности, и каждый из этих комплектов блоков кобальтовых корок разбивается заявителем на группы, как указано в пункте 3 выше.\n\nПравило 13. Финансовые и технические возможности\n\n1. Каждая заявка на утверждение плана работы по разведке содержит достаточный объем конкретной информации, позволяющей Совету определить, располагает ли заявитель финансовыми и техническими возможностями для осуществления предлагаемого плана работы по разведке и выполнения своих финансовых обязательств перед Органом.\n\n2. Заявка на утверждение плана работы по разведке Предприятия содержит заявление его компетентного органа, удостоверяющее, что Предприятие располагает необходимыми финансовыми ресурсами на покрытие сметных расходов по предлагаемому плану работы по разведке.\n\n3. Заявка на утверждение плана работы по разведке государства или государственного предприятия содержит заявление государства или поручившегося государства, удостоверяющее, что заявитель располагает необходимыми финансовыми ресурсами на покрытие сметных расходов по предлагаемому плану работы по разведке.\n\n4. Заявка субъекта на утверждение плана работы по разведке содержит копии его проверенных финансовых ведомостей (включая балансовые ведомости и отчеты о прибылях и убытках) за последние три года, составленные в соответствии с международно принятыми принципами учета и заверенные надлежащим образом квалифицированной аудиторской фирмой.\n\n5. Если заявителем является недавно созданный субъект и заверенной балансовой ведомости не имеется, заявка содержит условную балансовую ведомость, заверенную соответствующим должностным лицом заявителя.\n\n6. Если заявителем является дочерняя компания другого субъекта, заявка содержит копии таких финансовых ведомостей этого субъекта и заявление последнего о том, что заявитель будет располагать финансовыми ресурсами на осуществление плана работы по разведке, каковое заявление составляется в соответствии с международно принятыми принципами учета и заверяется надлежащим образом квалифицированной аудиторской фирмой.\n\n7. Если заявитель находится под контролем государства или государственного предприятия, заявка содержит заявление этого государства или государственного предприятия, удостоверяющее, что заявитель будет располагать финансовыми ресурсами на осуществление плана работы по разведке.\n\n8. Если заявитель, обращающийся за утверждением плана работы по разведке, намеревается финансировать предлагаемый план работы по разведке за счет займов, в его заявке указывается сумма таких займов, сроки их погашения и процентная ставка.\n\n9. Все заявки должны включать: a) общее описание имеющихся у заявителя опыта, знаний, навыков, технической квалификации и специальной подготовки для осуществления предлагаемого плана работы по разведке;\n\nb) общее описание оборудования и методов, которые намечается использовать при осуществлении предлагаемого плана работы по разведке, и другую не имеющую характера собственности информацию о характеристиках такой технологии; c) общее описание имеющихся у заявителя финансовых и технических возможностей реагировать на любые инциденты или действия, причиняющие серьезный ущерб морской среде.\n\n10. Если заявителем является партнерство или консорциум субъектов, осуществляющих совместную деятельность, каждый участник этого партнерства или консорциума предоставляет информацию, предусмотренную настоящим правилом.\n\nПравило 14. Предыдущие контракты с Органом Если заявитель или — в случае представления заявки партнерством или консорциумом субъектов, осуществляющих деятельность совместно, — любой участник партнерства или консорциума ранее заключал какой-либо контракт с Органом, в заявке указывается: a) дата предыдущего контракта (контрактов);\n\nb) дата представления, условное обозначение и название каждого отчета, представленного Органу в связи с контрактом (контрактами) и c) в соответствующих случаях — дата прекращения контракта (контрактов).\n\nПравило 15. Обязательства Каждый заявитель, включая Предприятие, в рамках своей заявки на утверждение плана работы по разведке берет перед Органом следующие письменные обязательства: a) признать в качестве подлежащих исполнению и соблюдать применимые обязательства, возникающие в силу положений Конвенции, норм, правил и процедур Органа, решений соответствующих органов Органа и условий его контрактов с Органом;\n\nb) признать предусмотренный Конвенцией контроль со стороны Органа за деятельностью в Районе и c) представить Органу письменное заверение в том, что его обязательства по контракту будут добросовестно выполняться.\n\nПравило 16. Право заявителя на выбор между передачей зарезервированного района или предложением доли в акционерном капитале в рамках механизма совместного предприятия Каждый заявитель в своей заявке выбирает либо: a) передать зарезервированный район для проведения деятельности согласно статье 9 приложения III к Конвенции в соответствии с правилом 17; либо\n\nb) предложить долю в акционерном капитале в рамках механизма совместного предприятия в соответствии с правилом 19.\n\nПравило 17. Данные и информация, предоставляемые до обозначения зарезервированного района\n\n1. Если заявитель выбирает передачу зарезервированного района для осуществления деятельности согласно статье 9 приложения III к Конвенции, район, указанный в заявке, должен быть достаточно большим и иметь достаточную предполагаемую коммерческую ценность, чтобы в нем можно было вести две добычных операции, и должен быть скомпонован заявителем в соответствии с правилом 12 (4).\n\n2. Каждая такая заявка содержит достаточный объем предписываемых в разделе II приложения II к настоящим Правилам данных и информации о заявочном районе, позволяющих Совету по рекомендации Юридической и технической комиссии обозначить зарезервированный район с учетом предположительной коммерческой ценности каждой части. Такие данные и информация включают имеющиеся у заявителя данные об обеих частях заявочного района, в том числе данные, использованные для определения их коммерческой ценности.\n\n3. На основе данных и информации, представленных заявителем согласно разделу II приложения II к настоящим Правилам (если таковые сочтены удовлетворительными), и с учетом рекомендаций Юридической и технической ко- миссии Совет обозначает ту часть заявочного района, которая станет зарезервированным районом. Обозначенный таким образом район становится зарезервированным районом, как только утверждается план работы по разведке в отношении незарезервированного района и подписывается контракт. Если Совет определит, что для обозначения зарезервированного района необходима дополнительная информация, соответствующая настоящим Правилам и приложению II, он возвращает этот вопрос в Комиссию для дальнейшего рассмотрения с указанием требуемой дополнительной информации.\n\n4. После утверждения плана работы по разведке и заключения контракта данные и информация о зарезервированном районе, переданные заявителем Органу, могут быть преданы Органом огласке в соответствии со статьей 14 (3) приложения III к Конвенции.\n\nПравило 18. Заявки на утверждение планов работы в отношении зарезервированного района\n\n1. Любое государство, являющееся развивающимся государством, или любое физическое либо юридическое лицо, за которое это государство поручилось или которое находится под эффективным контролем этого государства либо другого развивающегося государства, или любая группа вышеуказанных субъектов может уведомить Орган о своем намерении представить план работы по разведке в отношении зарезервированного района. Генеральный секретарь препровождает такое уведомление Предприятию, которое в течение шести месяцев в письменном виде информирует Генерального секретаря о том, намерено ли оно осуществлять деятельность в этом районе. Если Предприятие намерено осуществлять деятельность в этом районе, оно в соответствии с пунктом 4 в письменном виде информирует также контрактора, чья заявка на утверждение плана работы по разведке первоначально включала этот район.\n\n2. Заявка на утверждение плана работы по разведке в отношении зарезервированного района может подаваться в любой момент после того, как этот район станет свободным вследствие принятия Предприятием решения о том, что оно не намеревается осуществлять деятельность в этом районе, или если в течение шести месяцев после получения уведомления от Генерального секретаря Предприятие не примет решение о том, намеревается ли оно осуществлять деятельность в этом районе, и не уведомит Генерального секретаря в письменном виде о том, что оно ведет переговоры о потенциальном совместном предприятии. В последнем случае Предприятию предоставляется один год с момента подачи такой заявки, в течение которого оно должно решить, будет ли оно осуществлять деятельность в указанном районе.\n\n3. Если Предприятие, или развивающееся государство, или один из субъектов, упомянутых в пункте 1, не подает заявку на утверждение плана работы по разведке в рамках деятельности в зарезервированном районе в течение 15 лет с момента начала своего независимого от Секретариата Органа функционирования или же в течение 15 лет с даты, когда этот район резервируется за Органом, — в зависимости от того, что наступит позднее, — контрактор, чья заявка на утверждение плана работы по разведке первоначально включала этот район, вправе подать заявку на утверждение плана работы по разведке в этом районе, при условии что он добросовестно предлагает Предприятию участвовать в совместном предприятии.\n\n4. Контрактор обладает преимущественным правом на организацию с Предприятием совместного предприятия для разведки района, который был включен в его заявку на утверждение плана работы по разведке и который был обозначен Советом в качестве зарезервированного района.\n\nПравило 19. Доля в акционерном капитале в рамках механизма совместного предприятия\n\n1. Если заявитель решает предложить долю в акционерном капитале в рамках совместного предприятия, он предоставляет данные и информацию в соответствии с правилом 20. Выделение района заявителю регулируется положениями правила 27.\n\n2. Механизм совместного предприятия, вступающий в силу в момент подачи заявителем заявки на утверждение контракта на эксплуатацию, включает следующее: a) Предприятие получает не менее 20 процентов участия в акционерном капитале совместного предприятия на следующей основе: i) половина такого долевого участия предоставляется без выплаты заявителю каких-либо платежей, прямых или косвенных, и для всех целей имеет такой же режим, как и долевое участие заявителя; ii) остальная часть такого долевого участия для всех целей имеет такой же режим, как и долевое участие заявителя за исключением того, что Предприятие не получает никаких дивидендов в отношении этой части, пока заявитель не возместит в полном объеме сумму своего долевого участия в совместном предприятии;\n\nb) независимо от подпункта (a) выше заявитель тем не менее предлагает Предприятию возможность приобрести еще 30 процентов долевого участия в механизме совместного предприятия или такую меньшую долю, которую Предприятие решит приобрести, на основе режима, во всех отношениях равноправного с заявителем 2 ; с) за исключением случаев, когда это прямо предусмотрено в соглашении между заявителем и Предприятием, Предприятие не обязано в силу своего участия каким-либо иным способом предоставлять фонды или кредиты или обеспечивать гарантии или признавать какую бы то ни было финансовую ответственность за механизм совместного предприятия или от его имени, равно как и не обязано подписываться на дополнительное долевое участие для поддержания своей доли в механизме совместного предприятия.\n\n2 Условия возможного приобретения такого долевого участия нужно будет проработать более подробно.\n\nПравило 20. Данные и информация, подлежащие представлению для утверждения плана работы по разведке\n\n1. Каждый заявитель в целях утверждения плана работы по разведке в форме контракта представляет следующую информацию: a) общее описание и график предлагаемой программы разведки, включая программу деятельности на ближайший пятилетний период, как то: запланированные исследования в отношении экологических, технических, экономических и прочих соответствующих факторов, которые должны учитываться при разведке;\n\nb) описание программы океанографических и фоновых экологических исследований в соответствии с настоящими Правилами и любыми установленными Органом природоохранными нормами, правилами и процедурами, которая позволила бы произвести оценку потенциального экологического воздействия предлагаемой разведочной деятельности, с учетом любых рекомендаций, вынесенных Юридической и технической комиссией; c) предварительная оценка возможного воздействия предлагаемой деятельности по разведке на морскую среду;\n\nd) описание предлагаемых мер по предотвращению, сокращению и сохранению под контролем загрязнения морской среды и других опасностей для нее, а также возможного воздействия на морскую среду; e) данные, необходимые Совету для определения, которое он должен вынести в соответствии с правилом 13 (1), и f) калькуляция предполагаемых годовых расходов по программе деятельности на ближайший пятилетний период.\n\n2. Если заявитель выбирает вариант зарезервированного района, данные и информация в отношении такого района передаются заявителем Органу после обозначения Советом зарезервированного района в соответствии с правилом 17 (3).\n\n3. Если заявитель выбирает вариант долевого участия в механизме совместного предприятия, данные и информация о таком районе передаются заявителем Органу в момент принятия такого решения.\n\nРаздел 3. Сборы\n\nПравило 21. Сбор за заявку\n\n1. Сбор за рассмотрение заявок на утверждение плана работы по разведке кобальтовых корок составляет фиксированную сумму в размере 500 000 долл. США или эквивалент этой суммы в свободно конвертируемой валюте, подлежащей выплате в полном объеме в момент представления заявки.\n\n2. Если административные издержки, понесенные Органом при рассмотрении заявки, меньше фиксированной суммы, указанной в пункте 1 выше, Орган возмещает разницу заявителю. Если административные издержки, понесенные Органом при рассмотрении заявки, превышают фиксированную сумму, указанную в пункте 1 выше, заявитель оплачивает разницу Органу; при том условии, что какая-либо дополнительная сумма, подлежащая выплате заявителем, не должна превышать 10 процентов фиксированного сбора, о котором идет речь в пункте 1.\n\n3. С учетом любого критерия, установленного для этой цели Финансовым комитетом, Генеральный секретарь определяет размер такой разницы, о которой идет речь в пункте 2 выше, и уведомляет об этом заявителя. Уведомление должно включать в себя ведомость с указанием издержек, понесенных Органом. Соответствующая сумма должна выплачиваться заявителем или возмещаться Органом в течение трех месяцев с момента подписания контракта, о котором идет речь в правиле 25 ниже.\n\n4. Фиксированная сумма, о которой идет речь в пункте 1 выше, пересматривается на регулярной основе Советом в целях обеспечения того, чтобы она покрывала предполагаемые административные издержки, связанные с рассмотрением заявок, и устраняла необходимость выплаты заявителями дополнительных сумм согласно пункту 2 выше.\n\nРаздел 4. Рассмотрение заявок\n\nПравило 22. Получение, подтверждение и хранение заявок Генеральный секретарь: a) в течение 30 дней в письменном виде подтверждает получение каждой заявки на утверждение плана работы по разведке, представленной согласно настоящей части, с указанием даты получения;\n\nb) обеспечивает сохранность заявки с сопроводительными документами и приложениями к ней, а также конфиденциальность всех содержащихся в заявке конфиденциальных данных и информации; c) уведомляет членов Органа о получении такой заявки и рассылает им информацию о заявке, имеющую общий и неконфиденциальный характер.\n\nПравило 23. Рассмотрение заявок Юридической и технической комиссией\n\n1. По получении заявки на утверждение плана работы по разведке Генеральный секретарь уведомляет членов Юридической и технической комиссии и вносит вопрос о рассмотрении заявки в повестку дня следующего заседания Комиссии. Комиссия рассматривает только заявки, в отношении которых уведомление и информация были распространены Генеральным секретарем в соответствии с правилом 22(c) по меньшей мере за 30 дней до открытия заседания Комиссии, на котором они должны рассматриваться.\n\n2. Комиссия рассматривает заявки в порядке их поступления.\n\n3. Комиссия определяет следующее: a) выполнил ли заявитель положения настоящих Правил;\n\nb) взял ли заявитель на себя обязательства и представил ли заверения, указанные в правиле 15; c) располагает ли заявитель финансовыми и техническими возможностями для осуществления предлагаемого плана работы по разведке и представил ли он подробные сведения на предмет своей способности выполнять чрезвычайные распоряжения;\n\nd) выполнил ли заявитель надлежащим образом свои обязательства в связи с любым предыдущим контрактом с Органом.\n\n4. В соответствии с требованиями, установленными в настоящих Правилах, и своими процедурами Комиссия определяет, будет ли предлагаемый план работы по разведке: a) обеспечивать эффективную охрану здоровья и безопасности людей;\n\nb) обеспечивать эффективную защиту и сохранение морской среды, включая воздействие на биоразнообразие, но не ограничиваясь таковым; c) обеспечивать, чтобы установки не сооружались там, где это может создать помехи для использования признанных морских путей, имеющих существенное значение для международного судоходства, или в районах ведения интенсивной рыбопромысловой деятельности.\n\n5. Если Комиссия определяет, что заявитель выполнил требования пункта 3 и что предлагаемый план работы по разведке удовлетворяет требованиям пункта 4, она рекомендует Совету утвердить план работы по разведке.\n\n6. Комиссия не рекомендует план работы по разведке к утверждению, если указанный в предлагаемом плане работы по разведке район или его часть включены в: a) какой-либо утвержденный Советом план работы по разведке кобальтовых корок, или\n\nb) какой-либо утвержденный Советом план работы по разведке или разработке других ресурсов, если предлагаемый план работы по разведке кобальтовых корок может повлечь за собой ненужные помехи в отношении деятельности по утвержденному плану работы по другим ресурсам, или c) какой-либо район, разработка которого запрещена Советом, поскольку имеются существенные доказательства, указывающие на риск причинения серьезного ущерба морской среде.\n\n7. Комиссия может рекомендовать одобрить план работы, если она решит, что такое одобрение не позволит государству-участнику или спонсируемым им организациям монополизировать проведение деятельности в Районе в отношении кобальтовых корок или помешать другим государствам-участникам проводить в Районе деятельность в отношении кобальтовых корок.\n\n8. За исключением случаев подачи заявок Предприятием — от его собственного имени или в рамках совместного предприятия — и заявок согласно правилу 18, Комиссия не рекомендует план работы к утверждению, если указанный в предлагаемом плане работы по разведке район или его часть включены в какой-либо зарезервированный район или район, обозначенный Советом в качестве будущего зарезервированного района.\n\n9. Если Комиссия считает, что заявка не соответствует настоящим Правилам, то Комиссия через Генерального секретаря уведомляет об этом заявителя в письменном виде, указывая причины. Заявитель может в течение 45 дней с момента такого уведомления исправить свою заявку. Если после дальнейшего рассмотрения Комиссия приходит к мнению о том, что ей не следует рекомендовать план работы по разведке к утверждению, то она сообщает об этом заявителю и предоставляет ему еще одну возможность сделать представления в течение 30 дней с момента получения такой информации. Комиссия рассматривает любые такие представления, сделанные заявителем, при подготовке своего доклада и рекомендации Совету.\n\n10. При рассмотрении предлагаемого плана работы по разведке Комиссия принимает во внимание принципы, политику и цели в отношении деятельности в Районе, как это предусмотрено в части XI и приложении III Конвенции и в Соглашении.\n\n11. Комиссия рассматривает заявки оперативно и представляет Совету доклад и рекомендации относительно обозначения районов и о плане работы по разведке при первой же возможности с учетом графика заседаний Органа.\n\n12. При выполнении своих обязанностей Комиссия применяет настоящие Правила, а также нормы, правила и процедуры Органа на единообразной и недискриминационной основе.\n\nПравило 24. Рассмотрение и утверждение Советом планов работы по разведке Совет рассматривает доклады и рекомендации Юридической и технической комиссии, касающиеся утверждения планов работы по разведке, в соответствии с пунктами 11 и 12 раздела 3 приложения к Соглашению.\n\nЧасть IV. Контракты на разведку\n\nПравило 25. Контракт\n\n1. После утверждения Советом плана работы по разведке он оформляется в виде контракта между Органом и заявителем, как предписано в приложении III к настоящим Правилам. Каждый контракт включает изложенные в приложении IV стандартные условия, действующие на дату вступления контракта в силу.\n\n2. Контракт подписывается Генеральным секретарем от имени Органа и заявителем. Генеральный секретарь в письменном виде уведомляет всех членов Органа о заключении каждого контракта.\n\nПравило 26. Права контрактора\n\n1. Контрактор имеет исключительное право на разведку в районе, указанном в плане работы, в отношении кобальтовых корок. Орган обеспечивает, чтобы никакой другой субъект не осуществлял в этом же районе деятельность в отношении других ресурсов таким образом, чтобы это создавало помехи для деятельности контрактора.\n\n2. Контрактор, который имеет утвержденный план работы только на разведку, имеет предпочтение и пользуется приоритетом среди заявителей, представивших планы работы на разработку того же района или тех же ресурсов. Совет может лишить контрактора такого предпочтения или приоритета, если он не выполнит требований своего утвержденного плана работы в течение периода времени, предписанного в письменном уведомлении или уведомлениях, направленных Советом контрактору с указанием требований, не выполненных контрактором. Период времени, указываемый в любом таком уведомлении, должен быть разумным. Контрактору предоставляется разумная возможность быть заслушанным, прежде чем лишение его такого предпочтения или приоритета становится окончательным. Совет разъясняет мотивы предлагаемого лишения предпочтения или приоритета и рассматривает любой ответ контрактора. При принятии решения Совет учитывает этот ответ и основывается на существенных сведениях.\n\n3. Лишение предпочтения или приоритета становится действительным лишь после того, как контрактору предоставляется разумная возможность исчерпать средства судебной защиты, имеющиеся в его распоряжении согласно разделу 5 части XI Конвенции.\n\nПравило 27. Размеры района и отказ от его участков\n\n1. Контрактор производит отказ от выделенных ему блоков в соответствии с пунктом 1 настоящего правила. Участки, от которых производится отказ, могут не быть прилегающими и определяются контрактором в форме подблоков, составляющих один или более квадратов координатной сетки, как предусмотрено Органом. К концу восьмого года с даты контракта контрактор отказывается не менее чем от одной трети изначально выделенного ему района; к концу десятого года с даты контракта контрактор отказывается не менее чем от двух третей изначально выделенного ему района; или в конце пятнадцатого года с даты контракта, или когда контрактор подает заявку на права на эксплуатацию, в зависимости от того, что произойдет раньше, контрактор обозначает район в рамках оставшихся участков выделенного ему района, который будет сохранен за ним для целей добычи.\n\n2. Несмотря на положения пункта 1, контрактор не должен отказываться от какой-либо дополнительной части такого района, если оставшийся район, выделенный ему после отказа, по площади не превышает 1000 кв. км.\n\n3. Контрактор может в любое время отказываться от участков выделенного ему района, опережая график, установленный в пункте 1.\n\n4. Блоки, от которых производится отказ, вновь поступают в Район.\n\n5. По просьбе контрактора и рекомендации Комиссии Совет в исключительных обстоятельствах может продлить сроки отказа. Такие исключительные обстоятельства определяются Советом и включают, в частности, преобладающие экономические условия или иные непредвиденные исключительные обстоятельства, возникающие в связи с оперативной деятельностью контрактора.\n\nПравило 28. Срок действия контрактов\n\n1. План работы по разведке утверждается на 15-летний срок. По истечении плана работы по разведке контрактор подает заявку на план работы по разработке, за исключением случаев, когда контрактор уже сделал это, добился продления плана работы по разведке или решил отказаться от своих прав в районе, охваченном планом работы по разведке.\n\n2. Не позднее шести месяцев после истечения плана работы по разведке контрактор может ходатайствовать о продлениях плана работы по разведке на сроки не более чем по пять лет. Такие продления утверждаются Советом по рекомендации Комиссии, если контрактор добросовестно пытался соблюсти требования плана работы, однако в силу неподвластных ему обстоятельств не смог завершить необходимую подготовительную работу для перехода к этапу разработки, либо если такой переход не оправдывается сложившейся экономической конъюнктурой.\n\nПравило 29. Подготовка кадров Во исполнение статьи 15 приложения III Конвенции к каждому контракту прилагается практическая программа подготовки персонала Органа и развивающихся государств, составленная контрактором в сотрудничестве с Органом и поручившимся государством (государствами). Программы подготовки ориентированы на обучение навыкам разведки и предусматривают всестороннее участие такого персонала во всех мероприятиях, охватываемых контрактом. По взаимному согласию такие программы подготовки могут при необходимости периодически пересматриваться и дорабатываться.\n\nПравило 30. Периодический обзор осуществления плана работы по разведке\n\n1. Каждые пять лет контрактор и Генеральный секретарь совместно производят периодический обзор осуществления плана работы по разработке. Генеральный секретарь может запросить у контрактора дополнительные данные и информацию, которые могут оказаться необходимыми для целей обзора.\n\n2. В свете этого обзора Контрактор знакомит со своей программой деятельности на следующий пятилетний период, внося необходимые коррективы в свою предшествующую программу деятельности.\n\n3. Генеральный секретарь докладывает о результатах обзора Комиссии и Совету. Генеральный секретарь указывает в докладе, были ли учтены в ходе обзора какие-либо замечания, препровожденные ему государствами — участниками Конвенции относительно того, каким образом контрактор осуществляет свои обязательства по настоящим правилам касательно защиты и сохранения морской среды.\n\nПравило 31. Прекращение поручительства\n\n1. На протяжении всего срока действия контракта каждому контрактору необходимо иметь поручительство.\n\n2. Если государство прекращает свое поручительство, оно в письменном виде оперативно уведомляет об этом Генерального секретаря. Поручившееся государство должно также сообщить Генеральному секретарю мотивы прекращения им своего поручительства. Поручительство прекращает действовать через шесть месяцев после даты получения Генеральным секретарем уведомления, если только в уведомлении не указывается более поздний срок.\n\n3. В случае прекращения поручительства контрактор находит другого поручителя в срок, указанный в пункте 2. Такой поручитель выдает удостоверение о поручительстве в соответствии с правилом 11. Если контрактор не находит поручителя в требуемый срок, действие контракта прекращается.\n\n4. Прекращение поручительства не освобождает поручившееся государство от каких-либо обязательств, возникших в период, когда оно являлось поручившимся государство, и не затрагивает никаких юридических прав и обязанностей, появившихся в период такого поручительства.\n\n5. Генеральный секретарь уведомляет членов Органа о прекращении или изменении поручительства.\n\nПравило 32. Ответственность Материальная и иная ответственность контрактора и Органа регулируется Конвенцией. Контрактор продолжает нести ответственность за любой ущерб, причиненный в результате неправомерных действий, допущенных им при осуществлении своей деятельности, в частности ущерб морской среде, по окончании этапа разведки.\n\nЧасть V. Защита и сохранение морской среды\n\nПравило 33. Защита и сохранение морской среды\n\n1. В соответствии с Конвенцией и Соглашением Орган устанавливает и подвергает периодическому обзору природоохранные нормы, правила и процедуры, необходимые для обеспечения эффективной защиты морской среды от вредных для нее последствий, которые могут возникнуть в результате деятельности в Районе.\n\n2. Чтобы обеспечить эффективную защиту морской среды от вредных последствий, которые могут возникнуть в результате осуществления деятельности в Районе, Орган и поручившиеся государства применяют осторожный под- ход, нашедший отражение в принципе 15 Рио-де-Жанейрской декларации, и передовую природоохранную практику.\n\n3. Юридическая и техническая комиссия формулирует рекомендации Совету относительно осуществления пунктов 1 и 2 выше.\n\n4. Комиссия разрабатывает и осуществляет процедуры с целью определить на основе наилучшей имеющейся научно-технической информации, включая информацию, представляемую во исполнение правила 20, будет ли предлагаемая разведочная деятельность в Районе иметь серьезные пагубные последствия для уязвимых морских экосистем, в частности экосистем, приуроченных к подводным горам и холодноводным кораллам, и обеспечивает, чтобы в случае определения, что некоторые предлагаемые виды разведочной деятельности будут иметь серьезные пагубные последствия для уязвимых морских экосистем, такая деятельность регулировалась во избежание подобных последствий или ее проведение не санкционировалось.\n\n5. Во исполнение статьи 145 Конвенции и пункта 2 настоящего правила каждый контрактор принимает необходимые меры в целях предотвращения, сокращения и сохранения под контролем загрязнения и других опасностей для морской среды, вытекающих из его деятельности в Районе, насколько это реально возможно, используя осторожный подход и передовую природоохранную практику.\n\n6. Контракторы, поручившиеся государства и другие заинтересованные государства или субъекты сотрудничают с Органом в разработке и осуществлении программ мониторинга и оценки воздействия разработки глубоководных районов морского дна на морскую среду. Когда об этом попросит Совет, такие программы включают предложения об обозначении участков, предназначенных для обособления и исключительного использования в качестве рабочих эталонных полигонов и заповедных эталонных полигонов. Термин «рабочие эталонные полигоны» означает участки, используемые для оценки последствий деятельности в Районе для морской среды и имеющие типичные для Района экологические характеристики. Термин «заповедные эталонные полигоны» означает участки, в которых добыча не производится, с тем чтобы обеспечить типичность и ненарушенность биоты морского дна для целей оценки любых изменений в биоразнообразии морской среды.\n\nПравило 34. Экологический фон и мониторинг\n\n1. В каждом контракте предусматривается требование о том, чтобы, учитывая любые рекомендации, выносимые Юридической и технической комиссией на основании правила 41, контрактор собирал фоновые экологические данные и устанавливал экологический фон, используемый для оценки вероятного воздействия его программы деятельности в рамках плана работы по разведке на морскую среду, а также программу мониторинга такого воздействия и сообщения о нем. В рекомендациях, выносимых Комиссией, могут, в частности, перечисляться те разведочные мероприятия, которые могут рассматриваться в качестве потенциально неспособных оказать вредное воздействие на морскую среду. В надлежащих случаях контрактор сотрудничает с Органом и поручившимся государством (государствами) в разработке и осуществлении такой программы мониторинга.\n\n2. Контрактор ежегодно докладывает в письменном виде Генеральному секретарю об осуществлении и результатах программы мониторинга, упомянутой в пункте 1, и представляет данные и информацию, учитывая при этом любые рекомендации, выносимые Комиссией на основании правила 41. Генеральный секретарь направляет такие доклады Комиссии, которая рассматривает их согласно статье 165 Конвенции.\n\nПравило 35. Чрезвычайные распоряжения\n\n1. Контрактор незамедлительно сообщает Генеральному секретарю в письменном виде, используя наиболее эффективные средства, о любом инциденте, вытекающем из деятельности, причинившей, причиняющей или угрожающей причинить серьезный ущерб морской среде.\n\n2. Когда Генеральный секретарь уведомляется контрактором или иным образом осведомляется об инциденте, который произошел вследствие деятельности контрактора в Районе или вызван этой деятельностью и который причинил, причиняет или угрожает причинить серьезный ущерб морской среде, Генеральный секретарь обеспечивает общее оповещение об инциденте, в письменном виде уведомляет контрактора и поручившееся государство (государства) и немедленно сообщает об этом Юридической и технической комиссии, Совету и всем другим членам Органа. Копия этого сообщения распространяется среди всех членов Органа, компетентных международных организаций и соответствующих субрегиональных, региональных и глобальных организаций и органов. Генеральный секретарь следит за событиями в связи со всеми такими инцидентами и сообщает о них по мере необходимости Комиссии, Совету и всем другим членам Органа.\n\n3. Впредь до того, как Совет предпримет какие-либо действия, Генеральный секретарь принимает экстренные меры временного характера, которые являются практичными и разумными в сложившихся обстоятельствах с точки зрения предотвращения, сдерживания и максимального сокращения серьезного ущерба или угрозы серьезного ущерба морской среде. Такие временные меры остаются в силе в течение не более чем 90 дней или же до того момента, когда Совет постановит на своей следующей очередной сессии, какие меры должны (и должны ли) быть приняты во исполнение пункта 6 настоящего правила.\n\n4. Получив доклад Генерального секретаря, Комиссия, опираясь на представленные ей сведения и учитывая уже принятые контрактором меры, определяет, какие меры необходимо принять для эффективного преодоления инцидента, с тем чтобы предотвратить, сдержать и максимально сократить угрозу серьезного или необратимого ущерба морской среде, и выносит Совету свои рекомендации.\n\n5. Совет рассматривает рекомендации Комиссии.\n\n6. Учитывая рекомендации Комиссии, доклад Генерального секретаря, любую информацию, представленную контрактором, и любую иную соответствующую информацию, Совет может издавать чрезвычайные распоряжения, в число которых могут входить распоряжения о приостановке или корректировке операций, разумно необходимой для предотвращения, сдерживания и макси- мального сокращения серьезного ущерба или угрозы серьезного ущерба морской среде в результате деятельности в Районе.\n\n7. Если контрактор не обеспечивает оперативного выполнения чрезвычайного распоряжения о предотвращении, сдерживании и максимальном сокращении серьезного ущерба или угрозы серьезного ущерба морской среде, вызываемого его деятельностью в Районе, сам Совет или по договоренности с ним кто-либо иной от его имени принимает такие практические меры, которые необходимы для предотвращения, сдерживания и максимального сокращения любого такого серьезного ущерба или угрозы серьезного ущерба морской среде.\n\n8. Для того чтобы Совет, при необходимости, мог немедленно принять практические меры для предотвращения, сдерживания и максимального сокращения серьезного ущерба или угрозы серьезного ущерба морской среде, о которых говорится в пункте 7, контрактор до начала испытаний коллекторных систем и операций по переработке должен будет представить Совету гарантию своих финансовых и технических возможностей для оперативного выполнения чрезвычайных распоряжений или заверить Совет в том, что такие меры может принять он сам. Если контрактор не предоставляет Совету такой гарантии, то поручившееся государство или государства в ответ на просьбу Генерального секретаря и во исполнение статей 139 и 235 Конвенции принимают меры с целью обеспечить оказание Органу содействия в осуществлении им своих обязанностей по пункту 7.\n\nПравило 36. Права прибрежных государств\n\n1. Сообразно со статьей 142 и другими соответствующими положениями Конвенции ничто в настоящих Правилах не затрагивает прав прибрежных государств.\n\n2. Любое прибрежное государство, которое имеет основания полагать, что та или иная деятельность контрактора в Районе может причинить серьезный ущерб морской среде или вызвать угрозу серьезного ущерба морской среде в акваториях, находящихся под его юрисдикцией и/или суверенитетом, может в письменном виде уведомить Генерального секретаря о таких основаниях. Генеральный секретарь предоставляет контрактору и его поручившемуся государству (государствам) разумную возможность изучить доказательства (если таковые имеются), представленные прибрежным государством в качестве упомянутых оснований. Контрактор и его поручившееся государство (государства) могут представить Генеральному секретарю свои замечания по ним в течение разумного периода времени.\n\n3. Если имеются явные основания заключить, что серьезный ущерб морской среде вероятен, то Генеральный секретарь действует в соответствии с правилом 35, а в случае необходимости принимает экстренные меры временного характера, предусмотренные правилом 35 (3).\n\n4. Контракторы принимают все необходимые меры с целью обеспечить, чтобы их деятельность проводилась без нанесения серьезного ущерба морской среде, включая загрязнение, но не ограничиваясь таковым, в акваториях, находящихся под юрисдикцией или суверенитетом прибрежных государств, и чтобы такой серьезный ущерб или загрязнение, являющееся результатом инциден- тов или деятельности в их разведочных районах, не распространялись за пределы таких районов.\n\nПравило 37. Человеческие останки и объекты и участки, имеющие археологическое или историческое значение Контрактор незамедлительно уведомляет Генерального секретаря в письменном виде об обнаружении в разведочном районе каких бы то ни было человеческих останков, имеющих археологическое или историческое значение, или каких-либо объектов или участков аналогичного характера и об их местонахождении, включая принятые меры по сохранению и защите. Генеральный секретарь незамедлительно препровождает такую информацию Генеральному директору Организации Объединенных Наций по вопросам образования, науки и культуры и любой иной компетентной международной организации. При обнаружении в разведочном районе любых таких человеческих останков, объектов или участков и во избежание причинения ущерба таким человеческим останкам, объектам или участкам в разумном радиусе не проводится никаких дальнейших поисково-разведочных работ, пока Совет не примет иного решения с учетом мнения Генерального директора Организации Объединенных Наций по вопросам образования, науки и культуры или любой иной компетентной международной организации.\n\nЧасть VI. Конфиденциальность\n\nПравило 38. Конфиденциальность данных и информации\n\n1. Данные и информация, представленные или переданные Органу или любому лицу, участвующему в какой бы то ни было деятельности или программе Органа, во исполнение настоящих Правил или контракта, заключенного согласно настоящим Правилам, и обозначенные контрактором в консультации с Генеральным секретарем в качестве имеющих конфиденциальный характер, считаются конфиденциальными, если речь не идет о данных и информации, которые: a) общеизвестны или доступны из других источников;\n\nb) были ранее представлены их собственником другим лицам без обязательства соблюдать их конфиденциальность или c) уже находятся во владении Органа без обязательства соблюдать их конфиденциальность.\n\n2. Данные и информация, которые необходимы для выработки Органом норм, правил и процедур, касающихся защиты и сохранения морской среды и техники безопасности, и которые не относятся при этом к данным о конструкции оборудования, не рассматриваются в качестве конфиденциальных.\n\n3. Конфиденциальные данные и информация могут использоваться Генеральным секретарем и персоналом Секретариата, с санкции Генерального секретаря, и членами Юридической и технической комиссии только при необхо- димости и только для эффективного осуществления ими своих полномочий и функций. Генеральный секретарь санкционирует доступ к таким данным и информации только для ограниченного пользования в связи с осуществлением сотрудниками Секретариата и Юридической и технической комиссией своих функций и обязанностей.\n\n4. Через десять лет после даты представления конфиденциальных данных и информации Органу или после истечения контракта на разведку (в зависимости от того, что наступает позднее) и через каждые пять лет после этого Генеральный секретарь и контрактор производят обзор таких данных и информации с целью определить, должны ли они оставаться конфиденциальными. Такие данные и информация остаются конфиденциальными, если контрактор определяет, что в случае опубликования таких данных и информации возникнет существенный риск серьезного и несправедливого экономического ущерба. Такие данные и информация не публикуются до тех пор, пока контрактору не будет предоставлена разумная возможность исчерпания средств судебной защиты, имеющихся в его распоряжении согласно разделу 5 части XI Конвенции.\n\n5. Если в какой-либо момент времени после истечения контракта на разведку контрактор заключает контракт на разработку в отношении любой части разведочного района, конфиденциальные данные и информация, касающиеся этой части района, сохраняют конфиденциальность в соответствии с контрактом на разработку.\n\n6. Контрактор может в любое время отказаться от конфиденциальности данных и информации.\n\nПравило 39. Процедуры обеспечения конфиденциальности\n\n1. Генеральный секретарь отвечает за сохранение конфиденциальности всех конфиденциальных данных и информации и без предварительного письменного согласия контрактора не разглашает такие данные и информацию какомулибо лицу, постороннему для Органа. Для обеспечения конфиденциальности таких данных и информации Генеральный секретарь устанавливает в соответствии с положениями Конвенции процедуры обращения с конфиденциальной информацией для членов Секретариата, членов Юридической и технической комиссии и любых других лиц, участвующих в какой бы то ни было деятельности или программе Органа. Такие процедуры включают: a) хранение конфиденциальных данных и информации в надежных местах и разработку процедур безопасности для предотвращения несанкционированного доступа к таким данным и информации или их изъятия;\n\nb) составление и ведение классификации, перечня или описи всех полученных письменных данных и информации с указанием их типа, источника и схемы прохождения с момента получения до момента окончательного распоряжения ими.\n\n2. Лицо, уполномоченное согласно настоящим Правилам иметь доступ к конфиденциальным данным и информации, не разглашает таких данных и информации, за исключением тех случаев, когда это разрешается Конвенцией или настоящими Правилами. Генеральный секретарь предписывает любому лицу, уполномоченному иметь доступ к конфиденциальным данным и информации, делать в присутствии Генерального секретаря или назначенного им представителя письменное заявление о том, что имеющее такой допуск лицо: a) признает свои юридические обязательства согласно Конвенции и настоящим Правилам относительно неразглашения конфиденциальных данных и информации;\n\nb) соглашается соблюдать применимые правила и процедуры, установленные для обеспечения конфиденциальности таких данных и информации.\n\n3. Юридическая и техническая комиссия ограждает конфиденциальность конфиденциальных данных и информации, представленных ей в соответствии с настоящими Правилами или контрактом, заключенным согласно настоящим Правилам. В соответствии с положениями статьи 163 (8) Конвенции члены Комиссии не должны разглашать даже после прекращения осуществления своих функций никакие промышленные секреты, имеющие характер собственности данные, которые передаются Органу в соответствии со статьей 14 приложения III к Конвенции, и никакую другую конфиденциальную информацию, которая стала им известна в силу их обязанностей, выполняемых в Органе.\n\n4. Генеральный секретарь и персонал Органа не должны разглашать даже после прекращения осуществления своих функций в Органе никакие промышленные секреты, имеющие характер собственности данные, которые передаются Органу в соответствии со статьей 14 приложения III к Конвенции, и никакую другую конфиденциальную информацию, которая стала им известна в силу их службы в Органе.\n\n5. Принимая во внимание ответственность Органа согласно статье 22 приложения III к Конвенции, Орган может принимать какие бы то ни было надлежащие меры в отношении любого лица, которое в силу своих обязанностей, выполняемых в Органе, имеет доступ к каким-либо конфиденциальным данным и информации и которое нарушает обязательства в отношении конфиденциальности, содержащиеся в Конвенции и настоящих Правилах.\n\nЧасть VII. Общие процедуры\n\nПравило 40. Уведомления и общие процедуры\n\n1. Любое заявление, просьба, уведомление, сообщение, согласие, одобрение, освобождение от обязательств, распоряжение или инструкция, предусмотренные настоящими Правилами, направляются Генеральным секретарем или же назначенным представителем изыскателя, заявителя либо контрактора в письменном виде. Требование о представлении какой-либо информации в письменном виде согласно настоящим Правилам удовлетворяется представлением информации в электронном документе, содержащем цифровую подпись. Они доставляются с посыльным либо по телексу, факсу, заказной авиапочтой или электронной почтой с авторизованной электронной подписью Генеральному секретарю в штаб-квартиру Органа или же назначенному представителю.\n\n2. Доставка с посыльным считается состоявшейся в момент вручения. Доставка по телексу считается состоявшейся на следующий рабочий день после того, как на телексном аппарате отправителя появляется автоответ. Доставка по факсу считается состоявшейся, когда отправитель получает сигнал «сообщение передано», подтверждающий, что сообщение прошло на обнародованный номер факса получателя. Доставка заказной авиапочтой считается состоявшейся через 21 день после отправки. Предполагается, что электронное сообщение получено адресатом, когда оно попадает в информационную систему, обозначенную или используемую адресатом для цели получения документов, аналогичных отправленному, и оно может быть извлечено и обработано адресатом.\n\n3. Уведомление в адрес назначенного представителя изыскателя, заявителя или контрактора представляет собой действительное уведомление изыскателя, заявителя или контрактора для всех целей по настоящим Правилам, а назначенный представитель является представителем изыскателя, заявителя или контрактора для целей вручения повесток или извещений по любому производству в каком-либо компетентном судебном или арбитражном органе.\n\n4. Уведомление в адрес Генерального секретаря представляет собой действительное уведомление Органа для всех целей по настоящим Правилам, а Генеральный секретарь является представителем Органа для целей вручения повесток или извещений по любому производству в каком-либо компетентном судебном или арбитражном органе.\n\nПравило 41. Рекомендации, призванные сориентировать контракторов\n\n1. Юридическая и техническая комиссия может периодически выносить рекомендации технического или административного характера, призванные сориентировать контракторов, помогая им в толковании норм, правил и процедур Органа.\n\n2. Полный текст таких рекомендаций сообщается Совету. Если Совет находит, что та или иная рекомендация не соответствует предназначению и цели настоящих Правил, он может потребовать изменения или изъятия этой рекомендации.\n\nЧасть VIII. Урегулирование споров\n\nПравило 42. Споры\n\n1. Споры относительно толкования или применения настоящих Правил урегулируются в соответствии с разделом 5 части XI Конвенции.\n\n2. Любое окончательное решение относительно прав и обязанностей Органа и контрактора, вынесенное каким-либо судебным или арбитражным органом, имеющим юрисдикцию в соответствии с Конвенцией, подлежит исполнению на территории каждого государства — участника Конвенции.\n\nЧасть IX. Ресурсы помимо кобальтовых корок\n\nПравило 43. Ресурсы помимо кобальтовых корок Если изыскатель или контрактор обнаруживает в Районе ресурсы помимо кобальтовых корок, поиск, разведка и разработка таких ресурсов регламентируются в соответствии с Конвенцией и Соглашением нормами, правилами и процедурами Органа, касающимися таких ресурсов. Изыскатель или контрактор уведомляет орган о том, что он обнаружил.\n\nЧасть X. Обзор\n\nПравило 44. Обзор\n\n1. Через пять лет после утверждения настоящих Правил Ассамблеей или в любой последующий момент времени Совет проводит обзор того, как Правила функционируют на практике.\n\n2. Если в свете обновленных знаний или технологии становится очевидным, что Правила не адекватны, любое государство-участник, Юридическая и техническая комиссия или любой контрактор через посредство своего удостоверяющего государства может в любой момент времени просить Совет провести на своей следующей очередной сессии пересмотр настоящих Правил.\n\n3. В свете обзора Совет может принимать и в предварительном порядке применять (впредь до утверждения Ассамблеей) поправки к положениям настоящих Правил, принимая во внимание рекомендации Юридической и технической комиссии или других соответствующих подчиненных органов. Любые такие поправки не наносят ущерба правам, присваиваемым какому-либо контрактору в соответствии с положениями контракта с Органом, заключенного в соответствии с настоящими Правилами, действующего на момент внесения любой такой поправки.\n\n4. Если в какие-либо положения настоящих Правил вносятся поправки, то контрактор и Орган могут пересмотреть контракт в соответствии с разделом 24 приложения IV.\n\nПриложение I. Уведомление о намерении заняться поиском\n\n1. Наименование изыскателя:\n\n2. Местонахождение изыскателя:\n\n3. Почтовый адрес (если отличается от вышеуказанного):\n\n4. Телефон:\n\n5. Факс:\n\n6. Адрес электронной почты:\n\n7. Национальная принадлежность изыскателя:\n\n8. Если изыскатель является юридическим лицом:\n\n9. a) указать место регистрации изыскателя; b) указать местонахождение главной конторы/домициль изыскателя; c) приложить копию регистрационного свидетельства изыскателя. Наименование назначенного изыскателем представителя:\n\n10. Местонахождение (адрес) назначенного изыскателем представителя (если отличается от вышеуказанного):\n\n11. Почтовый адрес (если отличается от вышеуказанного):\n\n12. Телефон:\n\n13. Факс:\n\n14. Адрес электронной почты:\n\n15. Приложить координаты ориентировочного района (районов) проведения поиска (в соответствии с мировой геодезической системой WGS 84).\n\n16. Приложить общее описание программы поиска, включая дату начала и примерную продолжительность программы.\n\n17. Приложить письменное обязательство о том, что изыскатель будет: a) соблюдать Конвенцию и соответствующие нормы, правила и процедуры Органа, касающиеся: i) сотрудничества в программах подготовки кадров в связи с морскими научными исследованиями и передачей технологии, о которых говорится в статьях 143 и 144 Конвенции, и ii) защиты и сохранения морской среды; и b) давать согласие на проведение Органом проверки их соблюдения.\n\n18. Перечислить в данном пункте все добавления и приложения к настоящему уведомлению (все данные и информация должны представляться в печатном виде и в указанном Органом цифровом формате): Дата Подпись назначенного изыскателем представителя Заверено: Подпись заверяющего лица Имя заверяющего лица Должность заверяющего лица\n\nПриложение II. Заявка на утверждение плана работы по разведке для получения контракта\n\nРаздел I. Информация о заявителе\n\n1. Наименование заявителя:\n\n2. Местонахождение заявителя:\n\n3. Почтовый адрес (если отличается от вышеуказанного):\n\n4. Телефон:\n\n5. Факс:\n\n6. Адрес электронной почты:\n\n7. Наименование назначенного заявителем представителя:\n\n8. Местонахождение назначенного заявителем представителя (если отличается от вышеуказанного):\n\n9. Почтовый адрес (если отличается от вышеуказанного):\n\n10. Телефон:\n\n11. Факс:\n\n12. Адрес электронной почты:\n\n13. Если заявитель является юридическим лицом:\n\n14. a) указать место регистрации изыскателя; b) указать местонахождение главной конторы/домициль изыскателя; c) приложить копию регистрационного свидетельства изыскателя. Указать поручившееся государство (государства).\n\n15. По каждому поручившемуся государству указать дату сдачи на хранение им своего документа о ратификации Конвенции Организации Объединенных Наций по морскому праву от 10 декабря 1982 года, о присоединении к ней или о правопреемстве в ее отношении и дату выражения согласия на обязательность для него Соглашения об осуществлении части XI Конвенции.\n\n16. К настоящей заявке должно прилагаться удостоверение о поручительстве, выданное поручившимся государством. Если заявитель имеет более чем одну национальность, как в случае партнерства или консорциума субъектов из более чем одного государства, должны прилагаться удостоверения о поручительстве, выданные каждым из таких государств.\n\nРаздел II. Информация о заявочном районе\n\n17. Определить границы заявочных блоков, приложив карту (в указанных Органом масштабе и проекции) и перечень географических координат (в соответствии с мировой геодезической системой WGS 84).\n\n18. Указать, что выбирает заявитель: передать зарезервированный район в соответствии с правилом 17 или предложить долю в акционерном капитале в рамках механизма совместного предприятия в соответствии с правилом 19.\n\n19. Если заявитель выбирает передать зарезервированный район: а) приложить перечень координат, обозначающих две части общего района, имеющие одинаковую предположительную коммерческую ценность; и\n\nb) включить в приложение достаточную информацию, позволяющую Совету обозначить зарезервированный район с учетом предположительной коммерческой ценности каждой части заявочного района. Такое приложение должно включать имеющиеся у заявителя данные по обеим частям заявочного района, в том числе: i) данные о местоположении, съемке и оценке кобальтовых корок в районах, включая: a. описание технологий, связанных с извлечением и обработкой кобальтовых корок, которое необходимо для обозначения зарезервированного района; b. карту с указанием таких физических и геологических характеристик, как топография морского дна, батиметрия и донные течения, и информацию о степени надежности соответствующих данных; c. карту, на которую нанесены исследовательские данные, использованные для определения параметров кобальтовых корок (толщина и т.д.), необходимых для измерения их тоннажа в пределах каждого блока, групп блоков разведочного района и зарезервированного района; d. данные, указывающие на средний тоннаж (в метрических тоннах) каждой группы блоков кобальтовых корок, которое станет участком добычи, и соответствующую карту тоннажа с указанием мест пробоотбора; e. сводные карты тоннажа и сортности кобальтовых корок; f. произведенный на основе стандартных процедур (включая статистический анализ) расчет с использованием представленных данных и выкладок, дающий основания полагать, что оба района содержат кобальтовые корки одинаковой предположительной коммерческой ценности, которая выражается в виде объема металлов, извлекаемого на поддающихся разработке участках; g. описание методов, использованных заявителем; ii) информацию об экологических параметрах (в сезонной разбивке и за весь период испытаний), в том числе о скорости и направлении ветра, солености и температуре воды и биологических сообществах.\n\n20. Если заявочный район включает какую-либо часть зарезервированного района, приложить перечень координат района, являющегося частью зарезервированного района, и указать соответствующие характеристики заявителя сообразно с правилом 18 Правил.\n\nРаздел III. Финансовая и техническая информация\n\n21. Приложить достаточную информацию, позволяющую Совету определить, располагает ли заявитель финансовыми возможностями для осуществления предлагаемого плана работы по разведке и выполнения своих финансовых обязательств перед Органом: a) если заявка представляется Предприятием, приложить выданное его компетентным органом удостоверение о том, что Предприятие располагает необходимыми финансовыми ресурсами на покрытие сметных расходов по предлагаемому плану работы по разведке;\n\nb) если заявка представляется государством или государственным предприятием, приложить заявление государства или поручившегося государства, удостоверяющее, что заявитель располагает необходимыми финансовыми ресурсами на покрытие сметных расходов по предлагаемому плану работы по разведке; c) если заявка представляется субъектом, приложить проверенные финансовые ведомости заявителя (включая балансовые ведомости и отчеты о прибылях и убытках) за последние три года, составленные в соответствии с международно принятыми принципами учета и заверенные надлежащим образом квалифицированной аудиторской фирмой, а также: i) если заявителем является недавно созданный субъект и заверенной балансовой ведомости не имеется, — условную балансовую ведомость, заверенную соответствующим должностным лицом заявителя; ii) если заявителем является дочерняя компания другого субъекта, — копии таких финансовых ведомостей этого субъекта и заявление последнего о том, что заявитель будет располагать финансовыми ресурсами на осуществление плана работы по разведке, каковое заявление составляется в соответствии с международно принятыми принципами учета и заверяется надлежащим образом квалифицированной аудиторской фирмой; iii) если заявитель находится под контролем государства или государственного предприятия, — заявление этого государства или государственного предприятия, удостоверяющее, что заявитель будет располагать финансовыми ресурсами на осуществление плана работы по разведке.\n\n22. Если предлагаемый план работы по разведке намечается финансировать за счет займов, приложить заявление о сумме таких займов, сроках их погашения и процентной ставке.\n\n23. Приложить достаточную информацию, позволяющую Совету определить, в состоянии ли заявитель осуществить предлагаемый план работы по разведке в техническом отношении, включая: a) общее описание имеющихся у заявителя опыта, знаний, навыков, технической квалификации и специальной подготовки для осуществления предлагаемого плана работы по разведке;\n\nb) общее описание оборудования и методов, которые намечается использовать при осуществлении предлагаемого плана работы по разведке, и другую не имеющую характера собственности информацию о характеристиках такой технологии; c) общее описание имеющихся у заявителя финансовых и технических возможностей реагировать на любые инциденты или действия, причиняющие серьезный ущерб морской среде.\n\nРаздел IV. План работы по разведке\n\n24. Приложить следующую информацию о программе работы по разведке: a) общее описание и график предлагаемой программы разведки, включая программу деятельности на ближайший пятилетний период, как то запланированные исследования в отношении экологических, технических, экономических и прочих соответствующих факторов, которые должны учитываться при разведке;\n\nb) описание программы океанографических и фоновых экологических исследований в соответствии с настоящими Правилами и любыми установленными Органом природоохранными нормами, правилами и процедурами, которая позволила бы произвести оценку потенциального экологического воздействия предлагаемой разведочной деятельности, включая воздействие на биоразнообразие, но не ограничиваясь таковым, с учетом любых рекомендаций, выносимых Юридической и технической комиссией; c) предварительная оценка возможного воздействия предлагаемой разведочной деятельности на морскую среду;\n\nd) описание предлагаемых мер по предупреждению, уменьшению и сохранению под контролем загрязнения и другого опасного воздействия на морскую среду, а также возможных последствий для нее; e) калькуляция предполагаемых годовых расходов по программе деятельности на ближайший пятилетний период.\n\nРаздел V. Обязательства\n\n25. Приложить письменное обязательство заявителя: a) признать в качестве подлежащих исполнению и соблюдать применимые обязательства, возникающие в силу положений Конвенции, норм, правил и процедур Органа, решений соответствующих органов Органа и условий его контрактов с Органом;\n\nb) признать предусмотренный Конвенцией контроль со стороны Органа за деятельностью в Районе; c) представить Органу письменное заверение в том, что его обязательства по контракту будут добросовестно выполняться.\n\nРаздел VI. Предыдущие контракты\n\n26. Если заявитель, или — в случае представления заявки партнерством или консорциумом субъектов, осуществляющих деятельность совместно, — любой участник партнерства либо консорциума, или любой ассоциированный с ними субъект заключал ранее какой-либо контракт с Органом, то заявка должна включать: a) дату предыдущего контракта (контрактов);\n\nb) дату представления, условное обозначение и название каждого отчета, представленного Органу в связи с контрактом (контрактами); c) в соответствующих случаях — дату прекращения контракта (контрактов).\n\nРаздел VII. Добавления\n\n27. Перечислить все добавления и приложения к настоящей заявке (все данные и информация должны представляться в печатном виде и в указанном Органом цифровом формате): Дата Подпись назначенного изыскателем представителя Заверено: Подпись заверяющего лица Имя заверяющего лица Должность заверяющего лица\n\nПриложение III. Контракт на разведку НАСТОЯЩИЙ КОНТРАКТ, заключенный « » ______________ года между МЕЖДУНАРОДНЫМ ОРГАНОМ ПО МОРСКОМУ ДНУ (именуемым далее «Орган»), представленным его ГЕНЕРАЛЬНЫМ СЕКРЕТАРЕМ, и ____________________ (именуемым далее «Контрактор»), представленным _____________________, УДОСТОВЕРЯЕТ нижеследующее: Инкорпорация условий\n\n1.\n\nСтандартные условия, приводимые в приложении IV к Правилам поиска и разведки кобальтоносных железомарганцевых корок в Районе, включаются в настоящий контракт и имеют такую же силу, как если бы они развернуто приводились в самом контракте. Разведочный район\n\n2. Для целей настоящего контракта «разведочный район» означает ту часть Района, которая выделена Контрактору для разведки; она определяется перечисленными в добавлении 1 к контракту координатами и может периодически сокращаться в соответствии со стандартными условиями и Правилами. Предоставление прав\n\n3. С учетом a) их взаимной заинтересованности в осуществлении деятельности по разведке в разведочном районе в соответствии с Конвенцией Организации Объединенных Наций по морскому праву от 10 декабря 1982 года и Соглашением об осуществлении части XI Конвенции; b) ответственности Органа за организацию и контроль деятельности в Районе, особенно в целях управления ресурсами Района, в соответствии с правовым режимом, установленным, соответственно, в части XI Конвенции и Соглашении и в части XII Конвенции, и c) интересов и финансовых обязательств Контрактора в осуществлении деятельности в разведочном районе и взаимных договоренностей, закрепленных в настоящем контракте, Орган настоящим предоставляет Контрактору исключительное право на разведку кобальтовых корок в разведочном районе в соответствии с условиями настоящего контракта. Вступление в силу и срок действия контракта\n\n4. Настоящий контракт вступает в силу по его подписании обеими сторонами и с соблюдением стандартных условий остается в силе в течение последующих пятнадцати лет, если только: a) Контрактор не получит контракт на разработку в разведочном районе, вступающий в силу до истечения такого пятнадцатилетнего периода, или\n\nb) контракт не будет прекращен ранее, при условии что срок действия контракта может быть продлен в соответствии со стандартными условиями 3.2 и 17.2. Добавления\n\n5. Добавления, упоминаемые в стандартных условиях, а именно в разделе 4 и разделе 8, являются для целей настоящего контракта, соответственно, добавлениями 2 и 3. Содержание соглашения\n\n6. Настоящий контракт заключает в себе все содержание соглашения между сторонами, и никакие устные договоренности или предшествующие документы не меняют его условий. В УДОСТОВЕРЕНИЕ ЧЕГО нижеподписавшиеся, должным образом на то уполномоченные соответствующими сторонами, подписали « » ________ года в ________ настоящий контракт.\n\nДобавление 1. [Координаты и иллюстративная карта разведочного района]\n\nДобавление 2. [Периодически пересматриваемая программа деятельности на текущий пятилетний период]\n\nДобавление 3 [Программа подготовки кадров становится добавлением к контракту после утверждения Органом в соответствии с разделом 8 стандартных условий.]\n\nПриложение IV\n\nСтандартные условия контракта на разведку\n\nРаздел 1. Определения\n\n1.1 В нижеследующих условиях: a) «разведочный район» означает ту часть Района, которая выделена Контрактору для разведки; она описывается в добавлении 1 к настоящему контракту и может периодически сокращаться в соответствии с настоящим контрактом и Правилами;\n\nb) «программа деятельности» означает программу деятельности, которая изложена в добавлении 2 к контракту и может периодически корректироваться в соответствии с разделами 4.3 и 4.4 стандартных условий; c) «Правила» означает Правила поиска и разведки кобальтоносных железомарганцевых корок в Районе, принимаемые Органом.\n\n1.2 Термины и выражения, которым дано определение в Правилах, имеют то же значение и в настоящих стандартных условиях.\n\n1.3 В соответствии с Соглашением об осуществлении части XI Конвенции Организации Объединенных Наций по морскому праву от 10 декабря 1982 года его положения и часть XI Конвенции толкуются и применяются совместно, как единый акт; настоящий контракт и содержащиеся в нем ссылки на Конвенцию толкуются и применяются соответствующим же образом.\n\n1.4 Настоящий контракт включает добавления к нему, которые являются его неотъемлемой частью.\n\nРаздел 2. Гарантия обладания контрактом\n\n2.1 Контрактору гарантируется обладание контрактом, и настоящий контракт не может быть приостановлен, прекращен или пересмотрен иначе как в соответствии с разделами 20, 21 и 24 стандартных условий.\n\n2.2 Контрактор имеет исключительное право на разведку кобальтовых корок в разведочном районе в соответствии с положениями настоящего контракта. Орган обеспечивает, чтобы никакой иной субъект не осуществлял в разведочном районе деятельность, связанную с иной категорией ресурсов, таким образом, чтобы это создавало необоснованные помехи для деятельности Контрактора.\n\n2.3 Контрактор вправе, уведомив Орган, в любой момент полностью или частично отказаться, не подвергаясь каким-либо санкциям, от своих прав в разведочном районе, при том что он не освобождается ни от каких обязательств, возникших в отношении района, от которого он отказывается, до даты такого отказа.\n\n2.4 Ничто в настоящем контракте не может рассматриваться как наделяющее Контрактора какими-либо правами помимо тех, которые прямо ему предоставлены контрактом. Орган оставляет за собой право заключать с третьими сторо- нами контракты в отношении ресурсов помимо кобальтовых корок в районе, охватываемом настоящим контрактом.\n\nРаздел 3. Срок действия контракта\n\n3.1 Настоящий контракт вступает в силу по его подписании обеими сторонами и остается в силе в течение последующих пятнадцати лет, если только: a) Контрактор не получит контракт на разработку в разведочном районе, вступающий в силу до истечения такого пятнадцатилетнего срока, или\n\nb) контракт не будет прекращен ранее, при условии что срок действия контракта может быть продлен в соответствии с разделами 3.2 и 17.2 стандартных условий.\n\n3.2 По заявлению Контрактора не позднее чем за шесть месяцев до истечения настоящего контракта контракт может быть продлен на сроки, не превышающие пяти лет каждый, на таких условиях, которые Орган и Контрактор могут в тот момент согласовать в соответствии с Правилами. Такие продления утверждаются, если Контрактор добросовестно пытался соблюсти требования настоящего контракта, однако в силу неподвластных ему обстоятельств не смог завершить необходимую подготовительную работу для перехода к этапу разработки, либо если такой переход не оправдывается сложившейся экономической конъюнктурой.\n\n3.3 Независимо от истечения срока действия настоящего контракта в соответствии с разделом 3.1 стандартных условий, если Контрактор не позднее чем за\n\n90 дней до истечения срока действия подаст заявку на контракт на разработку, права и обязательства Контрактора по настоящему контракту остаются в силе до тех пор, пока эта заявка не будет рассмотрена и не будет заключен или же отклонен контракт на разработку.\n\nРаздел 4. Разведка\n\n4.1 Контрактор начинает разведку в соответствии с графиком, предусмотренным в программе деятельности, изложенной в добавлении 2 к контракту, и придерживается таких сроков или любых их изменений, которые предусмотрены в настоящем контракте.\n\n4.2 Контрактор выполняет программу деятельности, изложенную в добавлении 2 к контракту. В каждом контрактном году Контрактор расходует в качестве фактических прямых затрат на разведку сумму, не меньшую указанной в такой программе или любом согласованном пересмотренном ее варианте.\n\n4.3 Контрактор с согласия Органа, который не может необоснованно отказать в таком согласии, может периодически вносить в программу деятельности и указанные в ней расходы такие изменения, которые могут быть необходимы и разумны в соответствии с принятой в добывающей промышленности надлежащей практикой и с учетом конъюнктуры на рынке металлов, содержащихся в кобальтовых корках, и иных условий мировой экономической конъюнктуры.\n\n4.4 Не позднее чем за 90 дней до истечения каждого пятилетнего срока, отсчитываемого с даты, когда настоящий контракт вступает в силу в соответствии с разделом 3 стандартных условий, Контрактор и Генеральный секретарь совместно производят обзор осуществления плана работы по разведке в соответствии с настоящим контрактом. Генеральный секретарь может затребовать у Контрактора дополнительные данные и информацию, которые могут оказаться необходимы для целей обзора. В свете этого обзора Контрактор вносит в свой план работы необходимые коррективы и формулирует свою программу деятельности на последующий пятилетний период, включая пересмотренную смету ожидаемых ежегодных расходов. В добавление 2 к контракту вносятся соответствующие коррективы.\n\nРаздел 5. Экологический мониторинг\n\n5.1 Контрактор принимает необходимые меры для предотвращения, сокращения и сохранения под контролем загрязнения и других опасностей для морской среды, вызываемых его деятельностью в Районе, насколько это реально возможно, используя осторожный подход и передовую природоохранную практику.\n\n5.2 До начала разведочной деятельности Контрактор представляет Органу: a) оценку возможного воздействия предлагаемой деятельности на морскую среду;\n\nb) предложение по программе мониторинга, позволяющей определить возможное воздействие предлагаемой деятельности на морскую среду, и c) данные, могущие применяться для установления экологического фона, в сопоставлении с которым оценивается воздействие предлагаемой деятельности.\n\n5.3 По ходу разведочной деятельности Контрактор производит в соответствии с Правилами сбор фоновых экологических данных и устанавливает экологический фон, в сопоставлении с которым оценивается возможное воздействие деятельности Контрактора на морскую среду.\n\n5.4 Контрактор организует и осуществляет в соответствии с Правилами программу мониторинга такого воздействия на морскую среду и сообщения о нем. Контрактор сотрудничает с Органом в осуществлении такого мониторинга.\n\n5.5 В течение 90 дней после окончания каждого календарного года Контрактор сообщает Генеральному секретарю об осуществлении и результатах программы мониторинга, о которой говорится в разделе 5.4 стандартных условий, и представляет данные и информацию в соответствии с Правилами.\n\nРаздел 6. Планы чрезвычайных мер и чрезвычайные ситуации\n\n6.1 До начала осуществления своей программы деятельности по настоящему контракту Контрактор представляет Генеральному секретарю план чрезвычайных мер с целью эффективного реагирования на вызванные деятельностью Контрактора на море в разведочном районе инциденты, которые могут причинить серьезный ущерб морской среде или вызвать угрозу серьезного ущерба. В таком плане чрезвычайных мер устанавливаются специальные процедуры и предусматривается надлежащее и подходящее оборудование для борьбы с такими инцидентами и, в частности, оговаривается: a) немедленное объявление общей тревоги в районе разведочной деятельности; b) немедленное извещение Генерального секретаря; c) предупреждение судов, которые могут вскоре оказаться в непосредственной близости;\n\nd) непрерывное снабжение Генерального секретаря полной информацией, касающейся подробностей уже принятых чрезвычайных мер и требуемых дальнейших действий; e) устранение в надлежащих случаях загрязняющих веществ; f) сокращение и, насколько это реально возможно, предотвращение серьезного ущерба морской среде, а также смягчение соответствующих последствий;\n\ng) сотрудничество при необходимости с другими контракторами Органа в целях устранения чрезвычайной ситуации и h) проведение периодических учебных тревог.\n\n6.2 Контрактор оперативно сообщает Генеральному секретарю о любом вызванном деятельностью Контрактора инциденте, который причинил, причиняет или угрожает причинить серьезный ущерб морской среде. Каждое такое сообщение содержит подробное изложение такого инцидента, включая, в частности: a) координаты района, который был затронут или который вполне может быть затронут;\n\nb) описание действий, предпринимаемых Контрактором в целях предотвращения, сдерживания, максимального сокращения и устранения серьезного ущерба морской среде; c) описание действий, предпринимаемых Контрактором в целях мониторинга последствий инцидента для морской среды;\n\nd) такую другую информацию, которая может разумно потребоваться Генеральному секретарю.\n\n6.3 Контрактор выполняет издаваемые Советом чрезвычайные распоряжения и принимаемые Генеральным секретарем в соответствии с Правилами экстренные меры временного характера, которые направлены на предотвращение, сдерживание, максимальное сокращение или устранение серьезного ущерба или угрозы серьезного ущерба морской среде и которые могут включать распоряжения о том, чтобы Контрактор немедленно приостановил или скорректировал любую деятельность в разведочном районе.\n\n6.4 Если Контрактор не выполняет оперативно такие чрезвычайные распоряжения или экстренные меры временного характера, то Совет может принимать за счет Контрактора такие разумные меры, которые необходимы для предотвращения, сдерживания, максимального сокращения или устранения любого такого серьезного ущерба или угрозы серьезного ущерба морской среде. Контрактор оперативно возмещает Органу такие расходы. Такие расходы не включают любые денежные штрафы, которые могут быть наложены на Контрактора в соответствии с условиями настоящего контракта или Правилами.\n\nРаздел 7. Человеческие останки и объекты и участки, имеющие археологическое или историческое значение Контрактор незамедлительно уведомляет Генерального секретаря в письменном виде об обнаружении в разведочном районе каких бы то ни было человеческих останков, имеющих археологическое или историческое значение, или каких-либо объектов или участков аналогичного характера и об их местонахождении, включая принятые меры по сохранению и защите. Генеральный секретарь препровождает такую информацию Генеральному директору Организации Объединенных Наций по вопросам образования, науки и культуры и любой иной компетентной международной организации. При обнаружении в разведочном районе любых таких человеческих останков, объектов или участков и во избежание причинения ущерба таким человеческим останкам, объектам или участкам в разумном радиусе не проводится никаких дальнейших поисковоразведочных работ, пока Совет не примет иного решения с учетом мнения Генерального директора Организации Объединенных Наций по вопросам образования, науки и культуры или любой иной компетентной международной организации.\n\nРаздел 8. Подготовка кадров\n\n8.1 В соответствии с Правилами Контрактор до начала разведки по настоящему контракту представляет Органу на утверждение предлагаемые программы подготовки персонала Органа и развивающихся государств, включая участие такого персонала во всех мероприятиях Контрактора по настоящему контракту.\n\n8.2 Сфера охвата и порядок финансирования программы подготовки кадров подлежат согласованию между Контрактором, Органом и поручившимся государством (государствами).\n\n8.3 Контрактор осуществляет программы подготовки кадров согласно утвержденной Органом в соответствии с Правилами конкретной программе подготовки персонала, о которой говорится в разделе 8.1 стандартных условий и которая с вносимыми в нее периодически изменениями становится частью контракта в качестве добавления 3.\n\nРаздел 9. Книги и записи Контрактор содержит в соответствии с международно принятыми принципами учета полный и надлежащий комплект книг, счетов и финансовых записей. Такие книги, счета и финансовые записи включают информацию, которая дает полный отчет о фактических прямых затратах на разведку, и такую другую информацию, которая позволяет произвести эффективную ревизию таких расходов.\n\nРаздел 10. Годовые отчеты\n\n10.1 В течение 90 дней после окончания каждого календарного года Контрактор представляет Генеральному секретарю в таком формате, который может периодически рекомендовать Юридическая и техническая комиссия, отчет о своей программе деятельности в разведочном районе, содержащий, насколько это применимо, достаточно подробную информацию: a) о разведочных работах, выполненных за календарный год, включая карты, диаграммы и графики, иллюстрирующие проделанную работу и полученные результаты;\n\nb) об оборудовании, использовавшемся при выполнении разведочных работ, включая результаты проведенных испытаний предлагаемых добычных технологий, без данных о конструкции оборудования и c) об осуществлении программ подготовки кадров, включая любые предлагаемые изменения или дополнения к таким программам.\n\n10.2 В таких отчетах содержатся также: a) результаты, полученные в ходе программ экологического мониторинга, включая наблюдения, измерения, оценки и анализы экологических параметров;\n\nb) заявление о количестве кобальтовых корок, извлеченных в виде проб или для испытаний; c) подготовленная в соответствии с международно принятыми принципами учета и заверенная надлежащим образом уполномоченной аудиторской фирмой или — когда Контрактором является государство или государственное предприятие — поручившимся государством ведомость фактических прямых затрат на разведку, понесенных Контрактором при осуществлении программы деятельности за учетный год Контрактора (такие затраты могут проводиться Контрактором как часть его расходов по освоению, понесенных до начала промышленного производства), и\n\nd) подробное изложение предлагаемых корректировок программы деятельности и оснований для таких корректировок.\n\n10.3 Контрактор представляет также информацию, которая дополняет отчеты, упомянутые в разделах 10.1 и 10.2 стандартных условий, и которую периодически может обоснованно затребовать Генеральный секретарь в целях осуществления функций Органа по Конвенции, Правилам и настоящему контракту.\n\n10.4 До истечения срока действия настоящего контракта Контрактор сохраняет в хорошем состоянии показательную часть проб и кернов кобальтовых корок, собранных в ходе разведки. Орган может в письменном виде запросить у Контрактора для анализа часть любой такой пробы и кернов, полученных в ходе разведки.\n\nРаздел 11. Данные и информация, представляемые по истечении срока действия контракта\n\n11.1 Контрактор передает Органу все данные и информацию, которые необходимы и имеют значение для эффективного осуществления полномочий и функций Органа в отношении разведочного района в соответствии с положениями настоящего раздела.\n\n11.2 По истечении срока действия настоящего контракта Контрактор представляет Генеральному секретарю, если он еще этого не сделал, следующие данные и информацию: a) копии геологических, экологических, геохимических и геофизических данных, которые получены Контрактором в ходе выполнения программы деятельности и которые необходимы и имеют значение для эффективного осуществления полномочий и функций Органа в отношении разведочного района;\n\nb) оценку эксплуатабельных залежей (если такие залежи были определены), которая включает подробные сведения о сортности и количестве доказанных, вероятных и возможных запасов кобальтовых корок и предполагаемых условиях добычи; c) копии геологических, технических, финансовых и экономических отчетов, которые составлены Контрактором или для него и которые необходимы и имеют значение для эффективного осуществления полномочий и функций Органа в отношении разведочного района;\n\nd) достаточно подробную информацию об оборудовании, использовавшемся при выполнении разведочных работ, включая результаты проведенных испытаний предлагаемых добычных технологий, без данных о конструкции оборудования; e) заявление о количестве кобальтовых корок, извлеченных в виде проб или для испытаний, и f) заявление о том, каким образом и где пробы и керны были получены, и об их доступности Органу.\n\n11.3 Указанные в разделе 11.2 стандартных условий данные и информация представляются Генеральному секретарю также в том случае, если до истечения срока действия настоящего контракта Контрактор подает заявку на утверждение плана работы по разработке или если Контрактор отказывается от своих прав в разведочном районе, — в том объеме, в каком такие данные и информация относятся к району, от которого он отказывается.\n\nРаздел 12. Конфиденциальность Переданные Органу в соответствии с настоящим контрактом данные и информация рассматриваются как конфиденциальные в соответствии с положениями Правил.\n\nРаздел 13. Обязательства\n\n13.1 Контрактор ведет разведку в соответствии с условиями настоящего контракта, Правилами, частью XI Конвенции, Соглашением и другими нормами международного права, согласующимися с Конвенцией.\n\n13.2 Контрактор обязуется: a) признать в качестве подлежащих исполнению и соблюдать условия настоящего контракта;\n\nb) выполнять применимые обязательства, возникающие в силу положений Конвенции, норм, правил и процедур Органа и решений соответствующих органов Органа; c) признать предусмотренный Конвенцией контроль со стороны Органа за деятельностью в Районе;\n\nd) добросовестно выполнять свои обязательства по настоящему контракту и e) соблюдать, насколько это реально возможно, любые рекомендации, которые может периодически выносить Юридическая и техническая комиссия.\n\n13.3 Контрактор активно осуществляет программу работы и при этом: a) проявляет должное старание, действенность и экономию; b) разумно учитывает воздействие своей деятельности на морскую сре- c) разумно учитывает другую деятельность в морской среде. ду и\n\n13.4 В соответствии со статьей 157 Конвенции Орган обязуется добросовестно выполнять свои полномочия и функции по Конвенции и Соглашению.\n\nРаздел 14. Инспектирование\n\n14.1 Контрактор разрешает Органу направлять своих инспекторов на борт судов и установок, используемых Контрактором для осуществления деятельности в разведочном районе, в целях: a) проверки соблюдения Контрактором условий настоящего контракта и Правил и b) мониторинга воздействия такой деятельности на морскую среду.\n\n14.2 Генеральный секретарь за разумный срок сообщает Контрактору сведения о предполагаемом времени и продолжительности инспекций, имена инспекторов и сведения о любой их деятельности, для которой может потребоваться наличие специального оборудования или особое содействие персонала Контрактора.\n\n14.3 Такие инспекторы полномочны производить осмотр любого судна или установки, включая их судовой журнал, оборудование, отчеты, оснащение, все прочие регистрируемые данные и любые соответствующие документы, необходимые для проверки соблюдения Контрактором своих обязательств.\n\n14.4 Контрактор, его агенты и работники оказывают инспекторам содействие в выполнении их обязанностей и: a) допускают и облегчают быструю и безопасную высадку инспекторов на суда и установки;\n\nb) оказывают содействие в осмотре любого судна или установки, производимом в соответствии с этими процедурами; c) обеспечивают доступ ко всему соответствующему оборудованию, оснащению и персоналу на судах и установках в любое разумное время;\n\nd) не чинят препятствий, не допускают угроз и не мешают инспекторам в выполнении ими своих обязанностей; e) обеспечивают инспекторам разумные условия, включая, когда необходимо, продовольствие и жилые помещения, и f) способствуют безопасному убытию инспекторов.\n\n14.5 Инспекторы избегают вмешательства в нормальные, безопасные операции на борту судов и установок, используемых Контрактором для осуществления деятельности в посещаемом районе, и действуют сообразно Правилам и мерам, принятым в целях охраны конфиденциальности данных и информации.\n\n14.6 Генеральный секретарь и любой из должным образом уполномоченных его представителей имеют доступ — на предмет ревизии и изучения — к любым книгам, документам, бумагам и записям Контрактора, которые необходимы для проверки расходов, упомянутых в разделе 10.2 (c), и имеют непосредственное отношение к такой проверке.\n\n14.7 В тех случаях, когда требуется принятие мер, Генеральный секретарь направляет соответствующую информацию, содержащуюся в докладах инспекторов, Контрактору и поручившемуся за него государству (государствам).\n\n14.8 Если по какой-либо причине Контрактор не производит разведку и не запрашивает контракт на разработку, до ухода из разведочного района он уведомляет Генерального секретаря в письменном виде, с тем чтобы Орган мог осуществить инспектирование согласно настоящему разделу, если он примет такое решение.\n\nРаздел 15. Нормы техники безопасности, охраны труда и производственной гигиены\n\n15.1 Контрактор соблюдает установленные компетентными международными организациями или общими дипломатическими конференциями общепризнанные международные нормы и стандарты, касающиеся охраны человеческой жизни на море и предупреждения столкновений судов, и такие нормы, правила и процедуры, которые могут быть приняты Органом в отношении безопасности на море. Каждое судно, используемое для осуществления деятельности в Районе, имеет действительные на текущий момент свидетельства, требуемые и выдаваемые на основании таких международных норм и стандартов.\n\n15.2 При ведении разведки по настоящему контракту Контрактор соблюдает и выполняет такие нормы, правила и процедуры, которые могут быть приняты Органом в отношении защиты от дискриминации в области занятости, техники безопасности, производственной гигиены, производственных отношений, социального обеспечения, гарантий занятости и жилищно-бытовых условий на месте работы. В таких нормах, правилах и процедурах учитываются конвенции и рекомендации Международной организации труда и других компетентных международных организаций.\n\nРаздел 16. Ответственность\n\n16.1 Контрактор несет ответственность за любой фактический ущерб, в том числе ущерб морской среде, причиненный в результате неправомерных действий или бездействия самого Контрактора или его работников, субподрядчиков, агентов и всех лиц, выполняющих для них работы или действующих от их имени при осуществлении Контрактором деятельности по настоящему контракту, включая затраты на разумные меры по предотвращению или ограничению ущерба морской среде; при этом учитываются действия или бездействие Органа, способствовавшие причинению такого ущерба.\n\n16.2 Контрактор возмещает Органу, его работникам, субподрядчикам и агентам издержки по всем претензиям и требованиям, предъявленным любой третьей стороной в результате каких-либо неправомерных действий или бездействия Контрактора и его работников, агентов и субподрядчиков, а также всех лиц, выполняющих для них работы или действующих от их имени при осуществлении Контрактором деятельности по настоящему контракту.\n\n16.3 Орган несет ответственность за любой фактический ущерб Контрактору, причиненный в результате его неправомерных действий при исполнении им своих полномочий и функций, включая нарушения, предусмотренные статьей 168 (2) Конвенции; при этом учитываются способствовавшие причинению такого ущерба действия или бездействие Контрактора или его работников, агентов и субподрядчиков, а также всех лиц, выполняющих для них работы или действующих от их имени при осуществлении Контрактором деятельности по настоящему контракту.\n\n16.4 Орган возмещает Контрактору, его работникам, субподрядчикам, агентам и всем лицам, выполняющим для них работы или действующим от их имени при осуществлении Контрактором деятельности по настоящему контракту, издержки по всем претензиям и требованиям, предъявленным любой третьей стороной в результате каких-либо неправомерных действий или бездействия при осуществлении им своих полномочий и функций по настоящему контракту, включая нарушения, предусмотренные в статье 168 (2) Конвенции.\n\n16.5 Контрактор заключает с международно признанными страховыми компаниями надлежащие договоры страхования в соответствии с общепринятой международной морской практикой.\n\nРаздел 17. Форс-мажорные обстоятельства\n\n17.1 Контрактор не несет ответственности за неизбежную задержку с исполнением или неисполнение какого-либо из своих обязательств по настоящему контракту в силу форс-мажорных обстоятельств. Для целей настоящего контракта выражение «форс-мажорные обстоятельства» означает событие или со- стояние, предотвратить или сохранить под контролем которое Контрактор реально не мог, при условии что это событие или состояние не было вызвано небрежностью или нарушением принятой в добывающей промышленности надлежащей практики.\n\n17.2 Предоставленный Контрактору срок продлевается по его просьбе на период, равный по продолжительности вызванной форс-мажорными обстоятельствами задержке; соответственно продлевается и срок действия контракта.\n\n17.3 В случае форс-мажорных обстоятельств Контрактор принимает все разумные меры с целью устранить свою неспособность исполнить обязательство и соблюдать условия контракта с минимальной задержкой.\n\n17.4 Контрактор в разумно возможные сроки уведомляет Орган о сложившихся форс-мажорных обстоятельствах и аналогичным же образом уведомляет Орган о восстановлении нормальных условий.\n\nРаздел 18. Оговорка Ни Контрактор, ни какие-либо ассоциированные компании или субподрядчики никоим образом — ни прямо, ни опосредованно — не заявляют и не дают оснований предположить, что Орган или какое-либо его должностное лицо имеет или выразило какое-либо мнение относительно кобальтовых корок в разведочном районе, причем ни в каких проспектах, уведомлениях, циркулярах, рекламных материалах, пресс-релизах или аналогичных документах, прямо или косвенно затрагивающих настоящий контракт и публикуемых Контрактором, какими-либо ассоциированными компаниями или субподрядчиками, не фигурируют и не поддерживаются заявления на этот счет. Для целей настоящего раздела выражение «ассоциированная компания» означает любое лицо, фирму или компанию либо принадлежащий государству субъект, контролирующие Контрактора, контролируемые им или находящиеся под общим с ним контролем.\n\nРаздел 19. Отказ от прав Контрактор вправе, уведомив Орган, отказаться от своих прав и прекратить действие настоящего контракта, не подвергаясь каким-либо санкциям, при том что он не освобождается ни от каких обязательств, возникших до даты такого отказа, и от тех обязательств, которые требуется выполнить после прекращения действия контракта в соответствии с Правилами.\n\nРаздел 20. Прекращение поручительства\n\n20.1 Если изменяется национальная принадлежность Контрактора или контроль над ним либо если поручившееся за Контрактора государство, как оно определяется в Правилах, прекращает свое поручительство, Контрактор оперативно уведомляет об этом Орган.\n\n20.2 В любом подобном случае действие контракта немедленно прекращается, если Контрактор не находит другого поручителя, который отвечает предписываемым Правилами требованиям и представляет Органу в оговоренный в Пра- вилах срок удостоверение о поручительстве за Контрактора по установленной форме.\n\nРаздел 21. Приостановление и прекращение действия контракта и санкции\n\n21.1 Совет может приостановить или прекратить действие настоящего контракта, что не наносит ущерб каким-либо другим правам, которые может иметь Орган, в случае наступления любого из следующих событий: a) если, несмотря на письменные предупреждения Органа, Контрактор осуществлял свою деятельность таким образом, что это приводило к серьезным, постоянным и умышленным нарушениям основных условий настоящего контракта, части XI Конвенции, Соглашения и норм, правил и процедур, установленных Органом, или\n\nb) если Контрактор не выполнил применимого к нему окончательного обязательного решения органа по урегулированию споров, или c) если Контрактор становится неплатежеспособным, либо объявляет себя банкротом, либо заключает со своими кредиторами мировое соглашение, либо подвергается ликвидации или конкурсному управлению, будь то в принудительном или добровольном порядке, либо обращается в какой-либо судебный орган с просьбой назначить управляющего или же поручителя или управляющего для него самого, либо начинает в отношении себя производство по любому действующему сейчас или в будущем закону о банкротстве, несостоятельности или реструктуризации долгов, за исключением случаев, когда это делается в целях реорганизации.\n\n21.2 При условии соблюдения раздела 17 Совет может после консультаций с Контрактором приостановить или прекратить действие настоящего контракта (что не наносит ущерба каким-либо другим правам, которые может иметь Орган), если Контрактор оказывается не в состоянии исполнять свои обязательства по настоящему контракту в силу события или состояния, которое относится к форс-мажорным обстоятельствам по смыслу раздела 17.1 и которое продолжается в течение непрерывного промежутка времени, превышающего два года, несмотря на принятие Контрактором всех разумных мер с целью преодолеть свою неспособность исполнить обязательство и соблюдать условия настоящего контракта с минимальной задержкой.\n\n21.3 Любое приостановление или прекращение действия контракта осуществляется путем делаемого через Генерального секретаря уведомления, которое включает изложение причин этой меры. Приостановление или прекращение действия контракта вступает в силу через 60 дней после такого уведомления, если только Контрактор за этот срок не оспорит право Органа приостанавливать или прекращать действие контракта в соответствии с разделом 5 части XI Конвенции.\n\n21.4 Если Контрактор предпринимает такой шаг, действие настоящего контракта приостанавливается или прекращается только на основании окончательного обязательного решения в соответствии с разделом 5 части XI Конвенции.\n\n21.5 Если Совет приостанавливает действие настоящего контракта, он может путем уведомления потребовать, чтобы Контрактор не позднее чем через\n\n60 дней после такого уведомления возобновил свои операции и стал выполнять условия настоящего контракта.\n\n21.6 В случае какого-либо нарушения настоящего контракта, не охватываемого его разделом 21.1 (a), либо вместо приостановления или прекращения действия контракта в соответствии с его разделом 21.1 Совет может наложить на Контрактора денежный штраф, соразмерный серьезности нарушения.\n\n21.7 Совет не может исполнить решение, предусматривающее наложение денежных штрафов, до тех пор пока Контрактору не будет предоставлена разумная возможность исчерпать средства судебной защиты, которыми он обладает в соответствии с разделом 5 части XI Конвенции.\n\n21.8 В случае прекращения или истечения срока действия настоящего контракта Контрактор выполняет требования Правил и удаляет из разведочного района все установки, механизмы, оборудование и материалы, обезопасив этот район для людей, судоходства и морской среды.\n\nРаздел 22. Передача прав и обязательств\n\n22.1 Права и обязательства Контрактора по настоящему контракту могут передаваться полностью или частично только с согласия Органа и в соответствии с Правилами.\n\n22.2 Орган без разумных оснований не отказывает в таком согласии, если субъект, которому предлагается передать права и обязательства, отвечает всем требованиям Правил и принимает на себя все обязательства Контрактора.\n\n22.3 Условия, обязательства и положения настоящего контракта вступают в силу и являются обязательными для его сторон и их соответствующих правопреемников и правоприобретателей.\n\nРаздел 23. Неосвобождение от обязательств Никакой отказ одной из сторон от каких-либо прав в связи с нарушением условий настоящего контракта, которые должна выполнять другая сторона, не рассматривается как предоставление стороной освобождения от обязательств при любом последующем нарушении тех же или каких-либо других условий, подлежащих выполнению другой стороной.\n\nРаздел 24. Пересмотр\n\n24.1 Когда возникают или могут возникнуть обстоятельства, которые, по мнению Органа или Контрактора, приводят к тому, что настоящий контракт становится несправедливым или практически неосуществимым, или при которых невозможно достичь целей, изложенных в настоящем контракте либо в части XI Конвенции или в Соглашении, стороны вступают в переговоры с целью соответствующего его пересмотра.\n\n24.2 Настоящий контракт может также быть пересмотрен по договоренности между Контрактором и Органом с тем, чтобы облегчить применение любых норм, правил и процедур, принятых Органом после вступления в силу настоящего контракта.\n\n24.3 Настоящий контракт может быть подвергнут пересмотру, внесению поправок или иных изменений лишь с согласия Контрактора и Органа посредством соответствующего документа, подписанного уполномоченными представителями сторон.\n\nРаздел 25. Споры\n\n25.1 Любой спор между сторонами относительно толкования или применения настоящего контракта урегулируется в соответствии с разделом 5 части XI Конвенции.\n\n25.2 В соответствии со статьей 21 (2) приложения III к Конвенции окончательные решения суда или арбитража, имеющего компетенцию согласно Конвенции, относительно прав и обязанностей Органа и Контрактора подлежат исполнению на территории любого государства — участника Конвенции, затрагиваемого этим решением.\n\nРаздел 26. Уведомление\n\n26.1 Любое заявление, просьба, уведомление, сообщение, согласие, одобрение, освобождение от обязательств, распоряжение или инструкция на основании настоящего контракта направляются Генеральным секретарем или же назначенным представителем Контрактора в письменном виде. Они доставляются с посыльным либо по телексу, по факсу, заказной авиапочтой или электронной почтой с авторизованной электронной подписью Генеральному секретарю в штаб-квартиру Органа или же назначенному представителю. Требование о представлении какой-либо информации в письменном виде согласно настоящим Правилам удовлетворяется представлением информации в электронном документе, содержащем цифровую подпись.\n\n26.2 Любая из сторон вправе изменить всякий такой адрес на любой другой, уведомив об этом не менее чем за десять дней другую сторону.\n\n26.3 Доставка с посыльным считается состоявшейся в момент вручения. Доставка по телексу считается состоявшейся на следующий рабочий день после того, как на телексном аппарате отправителя появляется автоответ. Доставка по факсу считается состоявшейся, когда отправитель получает сигнал «сообщение передано», подтверждающий, что сообщение прошло на обнародованный номер факса получателя. Доставка заказной авиапочтой считается состоявшейся через 21 день после отправки. Предполагается, что электронное сообщение получено адресатом, когда оно попадает в информационную систему, обозначенную или используемую адресатом для цели получения документов, аналогичных отправленному, и оно может быть извлечено и обработано адресатом.\n\n26.4 Уведомление в адрес назначенного представителя Контрактора представляет собой действительное уведомление Контрактора для всех целей по настоящему контракту, а назначенный представитель является представителем Контрактора для целей вручения повесток или извещений по любому производству в каком-либо компетентном судебном или арбитражном органе.\n\n26.5 Уведомление в адрес Генерального секретаря представляет собой действительное уведомление Органа для всех целей по настоящему контракту, а Генеральный секретарь является представителем Органа для целей вручения повесток или извещений по любому производству в каком-либо компетентном судебном или арбитражном органе.\n\nРаздел 27. Применимые правовые нормы\n\n27.1 Настоящий контракт регулируется положениями контракта, нормами, правилами и процедурами Органа, частью XI Конвенции, Соглашением и другими нормами международного права, согласующимися с Конвенцией.\n\n27.2 Контрактор, его работники, субподрядчики, агенты и все лица, выполняющие для них работы или действующие от их имени при осуществлении деятельности по настоящему контракту, соблюдают применимые правовые нормы, указанные в разделе 27.1 стандартных условий, и не участвуют ни прямым, ни косвенным образом в каких бы то ни было сделках, запрещенных этими нормами.\n\n27.3 Ничто в настоящем контракте не рассматривается как освобождение от необходимости запрашивать и получать те или иные разрешения или санкции, которые могут требоваться для той или иной деятельности по настоящему контракту.\n\nРаздел 28. Толкование Разбивка настоящего контракта на разделы и подразделы и их рубрикация предназначены только для удобства пользования и не влияют на его трактовку и толкование.\n\nРаздел 29. Дополнительные документы Каждая из сторон настоящего контракта соглашается оформлять и передавать все дальнейшие документы и делать и принимать все дальнейшие шаги и меры, которые могут оказаться необходимыми или целесообразными для выполнения положений настоящего контракта.\n", "n_chars": 118635}
{"corpus_id": "isa/regulation/crusts-2012-zh", "version_id": "2012-10-22", "title": "“区域”内富钴铁锰结壳探矿和勘探规章", "short_title": "国际海底管理局规章 — 富钴铁锰结壳探矿和勘探（2012年）[ZH]", "jurisdiction": "international", "document_type": "isa_regulation", "official_citation": "ISBA/18/A/11，附件 — “区域”内富钴铁锰结壳探矿和勘探规章", "authentic_languages": ["ar", "zh", "en", "fr", "ru", "es"], "language": "zh", "adoption_date": "2012-07-27", "entry_into_force_date": null, "source_url": "https://isa.org.jm/wp-content/uploads/2022/04/isba-18a-11_1.pdf", "source_publisher": "国际海底管理局（ISA）", "source_is_official": true, "authoritative_status": "authentic_text", "text_fidelity": "extracted_verified", "content_hash": "sha256:bebf15920cdb8ba95d8cf7f53b3bb2cd40914835cb66f68ab1ecc6ac2942a109", "original_sha256": "sha256:6db3047b28ae7e6a2713940ea14bfb1993cc78e3683d05b8c0baaa4943765224", "text_sha256": "sha256:bebf15920cdb8ba95d8cf7f53b3bb2cd40914835cb66f68ab1ecc6ac2942a109", "license": "isa-materials-terms", "rights_note": "中文作准文本；官方文件，归属于来源；未重新许可。", "provenance_note": "AUTHENTIC CHINESE TEXT — sibling under JC-006 (language-suffixed corpus_id; English base record is isa/regulation/crusts-2012). Authentic in the six UN languages, all equally authoritative; the ZH text is stored here. Byte-exact official PDF (human download) stored as original.pdf (original_sha256 = the PDF hash); text extracted with pdftotext and cleaned by the committed scripts/extract.py, byte-exact reproducible; page furniture removed, no wording changed. This is an equally-authentic language version, NOT a translation of the English (translations, if any, live in the derived layer).", "text": "“区域”内富钴铁锰结壳探矿和勘探规章 — ISBA/18/A/11，附件 [ZH]\n\n序言1982 年 12 月 10 日《联合国海洋法公约》(《公约》)规定，国家管辖范围以外的海床和洋底及其底土以及该区域的资源为人类的共同继承财产，其勘探与开发应为全人类的利益而进行。国际海底管理局代表全人类行事。本套规章旨在规定富钴铁锰结壳的探矿和勘探活动。\n\n第一部分\n\n导言\n\n第1条用语和范围\n\n1.《公约》用语在本规章内涵义相同。\n\n2. 《关于执行 1982 年 12 月 10 日<联合国海洋法公约>第十一部分的协定》(《协定》)规定，《协定》的条款及《公约》第十一部分应作为一个单一文书来解释和适用。本规章和本规章中提及《公约》的条款应相应地加以解释和适用。\n\n3.为本规章的目的：\n\n(a) “钴结壳”是指从海水直接析出的矿物沉降到硬基岩而形成的富钴铁锰氢氧化/氧化矿床，其中含有少量但明显富集的钴、钛、镍、铂、钼、碲、铈、其他金属和稀土元素；\n\n(b) “开发”是指在“区域”内为商业目的回收钴结壳和从中选取矿物，包括建设和运作和供生产和销售金属之用的采矿、加工和运输系统；\n\n(c) “勘探”是指以专属权利在“区域”内探寻钴结壳矿床，分析这些矿床，使用并测试采集系统和设备、加工设施及运输系统，以及对开发时必须考虑的环境、技术、经济、商业和其他有关因素进行研究；\n\n(d) “海洋环境”包括影响和决定海洋生态系统、海洋水域及这些水域的上空以及海床和洋底及其底土的生产力、状态、状况和素质的物理、化学、地质和生物的组成部分、条件和因素；\n\n(e) “探矿”是指在不享有任何专属权利的情况下，在“区域”内探寻钴结壳矿床，包括估计钴结壳矿床的成分、规模和分布情况及其经济价值；\n\n(f) “对海洋环境造成严重损害”是指“区域”内活动造成的任何使海洋环境出现显著不良变化的影响，这种影响是按照管理局根据国际公认标准和惯例所控制的规则、规章和程序断定的。\n\n4.本规章不影响按照《公约》第八十七条进行科学研究的自由，或是按照《公约》第一四三条和第二五六条在“区域”内进行海洋科学研究的权利。本规章的任何条款不应理解为限制各国行使《公约》第八十七条所述的公海自由。\n\n5.本规章可以由其他的，特别是关于保护和保全海洋环境的。本规章应符合《公约》和《协定》的规定及与《公约》无抵触的其他国际法规则。\n\n第二部分探矿\n\n第2条探矿\n\n1.探矿应按照《公约》和本规章进行，并须经秘书长告知探矿者，其通知已按照第 4 条第 2 款记录在案后方可开始。\n\n2.探矿者和管理局应采用《关于环境与发展的里约宣言》原则 15 所反映的预防做法。\n\n3.实质证据显示可能对海洋环境造成严重损害时,不得进行探矿。\n\n4.不得在一项核准的钴结壳勘探工作计划所包括的区域或在保留区内进行探矿；亦不得在国际海底管理局理事会因有对海洋环境造成严重损害的危险而不核准开发的区域内进行探矿。\n\n5.探矿不应使探矿者取得对资源的任何权利。但是，探矿者可回收试验所需的合理数量的矿物，但不得用于商业用途。\n\n6.探矿没有时间限制，但是探矿者如收到秘书长的书面通知，表示已就某一特定区域核准勘探工作计划，则应停止在该区域的探矿活动。\n\n7.一个以上的探矿者可在同一个或几个区域内同时进行探矿。\n\n第3条探矿通知\n\n1.有意探矿者应将其进行探矿的意向通知管理局。\n\n2.每份探矿通知应以本规章附件一规定的格式提交秘书长，并应符合本规章的要求。\n\n3.每份通知的提交方式如下：\n\n(a) 国家的通知，由其为此目的指定的机构提交；《联合国环境与发展会议的报告(1992 年 6 月 3 日至 14 日，里约热内卢)》(联合国出版物，出售品编号 C.93.I.8 和更正)，第 1 卷：《环发会议通过的决议》，决议 1，附件一。\n\n(b) 实体的通知，由其指定代表提交；\n\n(c) 企业部的通知，由其主管机构提交。\n\n4.通知应以管理局的一种语文提出，并应载有：\n\n(a) 有意探矿者及其指定代表的名称、国籍和地址；\n\n(b) 符合管理局采用的最新公认国际标准，关于准备进行探矿的一个或多个大致区域的坐标；\n\n(c) 对探矿方案的一般说明，包括拟议的开始日期和估计所需时间；\n\n(d) 令人满意的书面承诺，表示有意探矿者将：㈠遵守《公约》和管理局有关下列事项的相关规则、规章和程序：a.合作进行《公约》第一四三条和第一四四条所述的海洋科学研究和技术转让方面的训练方案；和b.保护和保全海洋环境；㈡接受管理局对遵守承诺情况的查核；和㈢在实际可行的情况下，尽量向管理局提供保护和保全海洋环境的相关数据。\n\n第4条对通知的审理\n\n1.秘书长应书面确认收到根据第 3 条提交的每份通知，并注明收件日期。\n\n2.秘书长应在收到通知后 45 天内对通知进行审查并采取行动。如果通知符合《公约》和本规章的要求，秘书长应将通知的细节记入为此目的置备的登记册，并书面告知探矿者，通知已记录在案。\n\n3.如果通知涵盖某一已核准的勘探或开发任一资源的工作计划所包括区域的任何部分，或某一保留区的任何部分，或理事会因有对海洋环境造成严重损害的危险而不核准开发的区域的任何部分，或者书面承诺不能令人满意，秘书长应在收到通知后 45 天内书面告知有意探矿者，并应书面向有意探矿者说明理由。在这种情况下，有意探矿者可以在 90 天内提交修正的通知。秘书长应在 45 天内对修正的通知进行审查并采取行动。\n\n4.通知内的任何资料有变，探矿者应书面通告秘书长。\n\n5.秘书长不应披露通知中的任何细节，除非探矿者书面表示同意。但秘书长应不时将探矿者的身份和正在进行探矿的大概区域位置告知管理局所有成员。\n\n第5条在探矿过程中保护和保全海洋环境\n\n1.各探矿者应采用预防做法和最佳环境做法，在合理的可能范围内采取必要措施，防止、减少和控制探矿活动对海洋环境的污染及其他危害。各探矿者尤应尽量减少或消除：\n\n(a) 探矿活动对环境的不良影响；和\n\n(b) 对正在进行或计划进行的海洋科学研究活动造成的实际或潜在冲突或干扰，并在这方面依照今后的相关准则行事。\n\n2.探矿者应同管理局合作，制订并实施方案，监测和评价钴结壳的勘探和开发可能对海洋环境造成的影响。\n\n3.探矿活动引发的任何事故如已经、正在或可能对海洋环境造成严重损害，探矿者应采用最有效的手段，立即以书面形式通知秘书长。接到这一通知后，秘书长即应依照第 35 条的规定行事。\n\n第6条年度报告\n\n1.探矿者应在每一旦历年结束后 90 天内，向管理局提出有关探矿情况的报告。秘书长应将报告提交法律和技术委员会。每份报告应载列：\n\n(a) 关于探矿情况和所获得结果的一般性说明；\n\n(b) 关于第 3 条第 4 款(d)项所述承诺遵守情况的资料；和\n\n(c) 关于这方面的相关准则的遵守情况的资料。\n\n2.如果探矿者打算把探矿所涉费用申报为开始商业生产前的部分开发成本，探矿者应就其进行探矿活动所支付的实际和直接费用提交符合国际公认会计原则并由合格的公共会计师事务所核证的年度报表。\n\n第7条年度报告内的探矿数据和资料的机密性\n\n1.秘书长应比照适用第 38 条和第 39 条的规定，确保根据第 6 条所提交报告内的所有数据和资料的机密性，但有关海洋环境保护和保全的数据和资料，特别是源自环境监测方案的数据和资料，不应被视为机密资料。探矿者可要求有关数据自提交之日起最多三年内不予披露。\n\n2.秘书长经有关的探矿者同意，可随时公布关于某一已提交通知的区域的探矿数据和资料。如果秘书长经过至少两年的合理努力后断定探矿者不复存在或下落不明，秘书长可公布这种数据和资料。\n\n第8条考古或历史文物在“区域”内发现任何实际或可能的考古或历史文物，探矿者应立即将此事及发现的地点以书面方式通知秘书长。秘书长应将这些资料转交联合国教育、科学及文化组织总干事。\n\n第三部分请求核准合同形式的勘探工作计划的申请第1节一般规定\n\n第9条通则在符合《公约》各项规定的情况下，下列各方可向管理局申请核准勘探工作计划：\n\n(a) 企业部以自己的名义，或作为一项联合安排的参与方；\n\n(b) 缔约国、国营企业，或具有缔约国国籍或在这些国家或其国民有效控制下并由这些国家担保的自然人或法人，或符合本规章规定的上述各方的任何组合。第2节申请书的内容\n\n第10条申请书的格式\n\n1.每一份请求核准勘探工作计划的申请书，应以本规章附件二规定的格式提交秘书长，并应符合本规章的要求。\n\n2.申请书的提交方式如下:\n\n(a) 缔约国的申请书，由其为此目的指定的机构提交；\n\n(b) 实体的申请书，由其指定代表或担保国为此目的指定的机构提交；和\n\n(c) 企业部的申请书，由其主管机构提交。\n\n3.国营企业或第 9 条(b)项所述实体的每一份申请书还应包括：\n\n(a) 足以确定申请者国籍，或申请者由其或其国民有效控制的国家的身份的资料；和\n\n(b) 申请者的主要营业地点或住所和在适当时其注册地点。\n\n4.由实体组成的合伙企业或联营企业所提交的每一份申请书应载有关于每一个合伙者或联营者的所需资料。\n\n第11条担保书\n\n1.国营企业或第 9 条(b)项所述实体的每一份申请书，应附有申请者为其国民或受该国或该国国民有效控制的国家开具的担保书。如果申请者具有一个以上国籍，例如由多个国家的实体组成的合伙企业或联营企业，则所涉每一国家均应出具担保书。\n\n2.如果申请者具有一国国籍，但受另一国或其国民的有效控制，则所涉每一国家均应出具担保书。\n\n3.每一份担保书应以提交该担保书的国家名义正式签署，并应载有：\n\n(a) 申请者名称；\n\n(b) 担保国国名；\n\n(c) 一份陈述，声明申请者是：㈠担保国国民；或㈡受担保国或其国民的有效控制；\n\n(d) 担保国的陈述，表示该国担保该申请者；\n\n(e) 担保国交存《公约》批准书、加入书或继承书的日期；\n\n(f) 担保国按照《公约》第一三九条、第一五三条第 4 款和附件三第四条第\n\n4 款承担责任的声明。\n\n4.与企业部订立联合安排的国家或实体也应遵守本条的规定。\n\n第12条申请书涵盖的总区域\n\n1.为本规章的目的，“钴结壳区块”是指管理局规定的一个或多个网格单元，形状可为正方形或长方形，面积不超过 20 平方公里。\n\n2.每一份请求核准勘探钴结壳工作计划的申请书所包括的区域，由不超过150 个钴结壳区块组成，这些区块应由申请者按照下文第 3 款所述排列为组群。\n\n3.五个毗连钴结壳区块构成一个钴结壳区块组群。在任何一点相接触的两个钴结壳区块应视为毗连区块。钴结壳区块组群不一定毗连但须邻近，且完全局限在一个不超过 550 公里 X550 公里的地理区域内。\n\n4. 虽有上文第 2 款的规定，如果申请者选择依照第 17 条的规定提供一个保留区，以根据《公约》附件三第九条开展活动，则申请书涵盖的总区域不应超过 300 个钴结壳区块。这些区块应排列成两组，每组具有相等估计商业价值，每组钴结壳区块均应由申请者按照上文第 3 款所述排列为组群。\n\n第13条财政和技术能力\n\n1. 每一份请求核准勘探工作计划的申请书，应载有足够的具体资料，使理事会能够确定申请者是否有财政和技术能力执行提议的勘探工作计划和履行其对管理局的财政义务。\n\n2. 企业部提出的请求核准勘探工作计划的申请书应附有其主管机构的声明，证明企业部拥有所需财政资源承付提议的勘探工作计划的估计费用。\n\n3. 国家或国营企业提出的请求核准勘探工作计划的申请书应附有该国或担保国的声明，证明申请者拥有所需的财政资源承付提议的勘探工作计划的估计费用。\n\n4. 实体提出的请求核准勘探工作计划的申请书应附有其最近三年符合国际公认会计原则并由合格的公共会计师事务所核证的经审计的财务报表的副本，包括资产负债表和损益表的副本。\n\n5. 如果申请者是新组成的实体，尚没有经核证的资产负债表，则申请书中应有经申请者的适当人员认证的预计资产负债表。\n\n6.如果申请者是另一个实体的子公司，则申请书中应有该实体的上述财务报表副本，以及符合国际公认会计原则并由合格的公共会计师事务所核证的该实体证明申请者将有执行勘探工作计划的财政资源的声明。\n\n7.如果申请者受一个国家或国营企业控制，则申请书中应有该国或国营企业证明申请者将有执行勘探工作计划的财政资源的声明。\n\n8.如果争取勘探工作计划获得核准的申请者打算以贷款筹措提议的勘探工作计划的经费，其申请书应写明贷款额、偿还期和利率。\n\n9.每一份申请书应附有：\n\n(a) 关于申请者与提议的勘探工作计划相关的先前经验、知识、技能、技术资格和专长的一般说明；\n\n(b) 关于预期用来执行提议的勘探工作计划的设备和方法的一般说明，以及关于这些技术的特点的其他非专有性相关资料；\n\n(c) 关于申请者处理对海洋环境造成严重损害的事故或活动的财政和技术能力的一般说明。\n\n10. 如果申请者是联合安排中由实体组成的合伙企业或联营企业，则各合伙者或联营者均应提供本条所要求的资料。\n\n第14条以前同管理局订立的合同如果申请者，或在申请是联合安排中由实体组成的合伙企业或联营企业提出时，任何合伙者或联营者，以前曾同管理局订立任何合同，则申请书应载列：\n\n(a) 以前订立合同的日期；\n\n(b) 就有关合同向管理局提交的每一份报告的日期、编号和标题；和\n\n(c) 已终止合同的合同终止日期。\n\n第15条承诺作为请求核准勘探工作计划的申请书的一部分，各申请者，包括企业部在内，应向管理局作出下列书面承诺：\n\n(a) 同意因《公约》的规定，管理局的规则、规章和程序，管理局各有关机关的决定及申请者同管理局所订合同的条款而产生的适用义务是可以执行的，并将予以履行；\n\n(b) 接受管理局根据《公约》授权对“区域”内的活动进行控制；和\n\n(c) 向管理局提出书面保证，表示将诚意履行合同规定的义务。\n\n第16条申请者选择提供保留区或提供在一个联合企业安排中的股份每一申请者在申请书中应选择：\n\n(a) 依照第 17 条的规定提供一个保留区，以根据《公约》附件三第九条开展活动；或\n\n(b) 依照第 19 条的规定提供在一个联合企业安排中的股份。\n\n第17条在指定保留区以前应提交的数据和资料\n\n1.申请者如果选择提供一个保留区，以根据《公约》附件三第九条开展活动，申请书包括的区域应当足够大，有足够的估计商业价值，可供从事两起采矿作业，并应由申请者依照第 12 条第 4 款的规定予以组合。\n\n2.每一份此类申请书均应载有本规章附件二第二节所规定的关于申请所涉区域的足够数据和资料，使理事会能根据法律和技术委员会的建议，基于每一部分的估计商业价值指定一个保留区。这些数据和资料应包括申请者可以得到的关于申请所涉区域两个部分的数据，包括用以确定其商业价值的数据。\n\n3.理事会根据申请者按照本规章附件二第二节的规定所提交，经断定为令人满意的数据和资料，并考虑到法律和技术委员会的建议，应指定申请区域中将来作为保留区的那一部分。一旦非保留区的勘探工作计划获得核准并签订合同，该指定区域即成为保留区。理事会如果断定需要其他符合本规章和附件二的资料来指定保留区，则应将此事退回委员会作进一步审议，并说明所需的进一步资料。\n\n4.在核准勘探工作计划并发出合同后，管理局可按照《公约》附件三第十四条第 3 款的规定，公布申请者就保留区移交管理局的数据和资料。\n\n第18条请求核准保留区的工作计划的申请书\n\n1.任何发展中国家，或该国所担保并受该国或任何其他发展中国家有效控制的任何自然人或法人，或上述各方的任何组合，可通知管理局它希望就某一保留区提出勘探工作计划。秘书长应将该通知转交企业部，企业部应在六个月内书面告知秘书长企业部是否打算在该区域进行活动。企业部如果打算在该区域进行活动，还应按照第 4 款书面告知原来在其请求核准勘探工作计划的申请书中包括该区域的承包者。\n\n2.如果企业部决定无意在某一保留区进行活动，或者在秘书长发出通知后六个月内既未决定是否打算在该区域进行活动，也未书面通知秘书长，说明企业部正在进行有关可能成立联合企业的谈判，即可随时提出请求核准关于该保留区的勘探工作计划的申请。就联合企业进行谈判时，自通知秘书长之日起企业部应有一年时间决定是否在该区域进行活动。\n\n3.如果企业部或某一发展中国家或第 1 款所述的一个实体，在企业部独立于管理局秘书处开始执行其职务后的 15 年内，或在将某一区域保留给管理局之日起的 15 年内(以较晚者为准)，没有提交请求核准在该保留区进行活动的勘探工作计划的申请书，则其请求核准勘探工作计划的申请书原来包括该区域的承包者应有权申请关于该区域的勘探工作计划，但须诚意提供机会让企业部参加为联合企业的合伙者。\n\n4.对于承包者的请求核准勘探工作计划的申请书所涵盖并经理事会指定为保留区的区域，承包者应有与企业部订立勘探该区域的联合企业安排的第一取舍权。\n\n第19条在一个联合企业安排中的股份\n\n1.申请者如果选择提供在一个联合企业安排中的股份，应依照第 20 条的规定提交数据和资料。分配给申请者的区域受第 27 条的规定限制。\n\n2.联合企业安排在申请者签订开发合同之时生效，其中应规定：\n\n(a) 企业部根据下列规定，在联合企业安排中应获得至少 20%的参股：㈠ 参股所得的一半股份应无偿获得，无须向申请者作出任何直接或间接支付，并在一切方面同申请者所持股份享有平等待遇；㈡ 参股所得余下部分在一切方面同申请者所持股份享有平等待遇，但在申请者收回其对联合企业安排投入的全部股本之前，企业部不得就这部分分享任何利润；\n\n(b) 虽有(a)项的规定，申请者应向企业部提供机会，使其可以在同申请者在一切方面享有平等待遇的基础上增加股份参与，增购 30%联合企业安排的股份，或企业部可能选择的较小份额；\n\n(c) 除申请者和企业部的协定中另有具体规定外，企业部不因参股而有责任为联合企业安排或代表联合企业安排提供资金或信贷或作出担保或承担任何财务责任，也不得要求企业部增购股份，以维持企业部在联合企业安排中的参与比例。\n\n第20条须为核准勘探工作计划提交的数据和资料\n\n1.为了使合同形式的勘探工作计划获得核准，每一申请者应提交下列资料：\n\n(a) 关于提议的勘探方案的一般说明和时间表，包括在未来五年的活动方案，例如对勘探时必须考虑的环境、技术、经济和其他有关因素进行的研究；\n\n(b) 关于按照本规章及管理局制定的任何环境方面的规则、规章和程序进行的海洋学和环境基线研究方案的说明，以便能够考虑到法律和技术委员会提出的任何建议，评估提议的勘探活动对环境的潜在影响，包括但不限于对生物多样性的影响；\n\n(c) 关于提议的勘探活动可能对海洋环境造成的影响的初步评估；\n\n(d) 关于为防止、减少和控制对海洋环境的污染和其他危害，以及可能造成的影响而提议的措施的说明；\n\n(e) 理事会根据第 13 条第 1 款作出决定所需的数据；和\n\n(f) 未来五年活动方案的预期年度支出表。\n\n2. 申请者如果选择提供一个保留区，则应当在理事会根据第 17 条第 3 款指定保留区后，向管理局移交与这些区域有关的数据和资料。\n\n3.申请者如果选择提供在一个联合企业安排中的股份，则应当在作出这一选择之时，向管理局移交与这些区域有关的数据和资料。获取股份参与的条件需予进一步阐明。第3节规费\n\n第21条申请费\n\n1.请求核准钴结壳勘探工作计划的申请的处理费应为 50 万美元或等值可自由兑换货币的固定规费，在提交申请书时全额缴付。\n\n2.如果管理局处理申请书的行政费用低于上文第 1 款所述固定规费，管理局应将余额退还申请者。如果管理局处理申请书的行政费用高于上文第 1 款所述固定规费，申请者应将差额付给管理局，但申请者缴付的额外规费不应超过第 1款所述固定规费的 10%。\n\n3.考虑到财务委员会为此制定的标准，秘书长应确定上文第 2 款所述差额，并将此数额通知申请者。通知中应说明管理局的支出。在下文第 25 条所述合同签署后三个月内申请者应支付或管理局应退还所欠数额。\n\n4.理事会应定期审查上文第 1 款所述固定规费，以确保该数额足以支付处理申请书的预期行政费用，并避免申请者必须按照上文第 2 款支付额外规费。第4节申请书的处理\n\n第22条申请书的收受、确认和妥善保管秘书长应：\n\n(a) 在 30 天内书面确认收到根据本部分提交的每一份请求核准勘探工作计划的申请书，并注明收件日期；\n\n(b) 妥善保管申请书及其附文和附件，并确保申请书所载全部机密数据和资料的机密性；和\n\n(c) 通知管理局成员收到申请书，并向他们分发关于此申请书的一般性非机密资料。\n\n第23条法律和技术委员会的审议\n\n1.秘书长在收到请求核准勘探工作计划的申请书后，即应通知法律和技术委员会成员并将该申请书的审议作为一个项目列入委员会下一次会议议程。委员会应仅审议秘书长根据第 22 条(c)项的规定在委员会审议会议开始至少 30 天前已就其发出通知和资料的申请书。\n\n2.委员会应按收件的先后次序审查申请书。\n\n3.委员会应确定申请者是否：\n\n(a) 遵守本规章的规定；\n\n(b) 作出第 15 条所规定的承诺和保证；\n\n(c) 具备执行提议的勘探工作计划的财务和技术能力，并提供了详细资料说明其迅速执行紧急命令的能力；和\n\n(d) 已令人满意地履行了以前同管理局订立的任何合同的有关义务。\n\n4.委员会应根据本规章及其程序所列的要求，确定提议的勘探工作计划是否将：\n\n(a) 有效地保护人体健康和安全；\n\n(b) 有效地保护和保全海洋环境，包括但不限于对生物多样性的影响；\n\n(c) 确保设施不坐落在可能干扰国际航行必经的公认航道的地点或坐落在捕鱼活动集中的区域。\n\n5.如果委员会根据第 3 款作出确定，并确定提议的勘探工作计划符合第 4款的要求，委员会应建议理事会核准勘探工作计划。\n\n6.如果提议的勘探工作计划所涉区域的一部分或全部有下列情况，委员会不应建议核准该勘探工作计划：\n\n(a) 包括在一项理事会已核准的钴结壳勘探工作计划内；或\n\n(b) 包括在一项理事会已核准的其他资源勘探或开发工作计划内，如果提议的钴结壳勘探工作计划可能不当地干扰根据这一项已核准的其他资源工作计划所进行的活动；或\n\n(c) 位于理事会因有实质证据显示存在对海洋环境造成严重损害的危险而不核准开发的一个区域内。\n\n7.委员会可以建议核准某一工作计划，如果它确定核准该计划不致使一个缔约国或由其担保的实体垄断“区域”内有关钴结壳的活动，或者排除其他缔约国在“区域”内开展有关钴结壳的活动。\n\n8.除企业部为其本身或某一联合企业提出的申请，及根据第 18 条提出的申请外，如果提议的勘探工作计划所涉区域的一部分或全部位于一个保留区或位于理事会指定为保留区的区域以内，则委员会不得建议核准该勘探工作计划。\n\n9.委员会如果认为申请书不符合本规章规定，应通过秘书长书面通知申请者并说明其理由。申请者可以在这种通知发出后 45 天内修正其申请书。委员会如果在进一步审议后认为仍不应建议核准勘探工作计划，应将此意见通知申请者，并给予申请者另一次机会，在通知后 30 天内提出其意见。委员会在拟定提交理事会的报告和建议时应考虑申请者所提意见。\n\n10. 委员会在审议提议的勘探工作计划时，应考虑到《公约》第十一部分和附件三以及《协定》就“区域”内活动规定的原则、政策和目标。\n\n11. 委员会应从速审议申请书，并应考虑到管理局会议的时间表，利用第一个可能的机会向理事会提交关于区域的指定和勘探工作计划的报告和建议。\n\n12. 委员会在履行职责时，应无歧视地划一适用本规章及管理局的规则、规章和程序。\n\n第24条理事会对勘探工作计划的审议和核准理事会应按照《协定》附件第 3 节第 11 和第 12 段的规定审议法律和技术委员会关于核准勘探工作计划的报告和建议。\n\n第四部分勘探合同\n\n第25条合同\n\n1.一项勘探工作计划经理事会核准后，应按本规章附件三的格式写成管理局与申请者之间的合同。每一项合同都应包括附件四中所列、自合同生效之日具有效力的标准条款。\n\n2.合同应由秘书长代表管理局与申请者签署。秘书长应将每一项合同的缔结书面通知管理局所有成员。\n\n第26条承包者的权利\n\n1.承包者对一项钴结壳勘探工作计划所涉区域享有专属勘探权。管理局应确保其他实体在同一区域就其他资源进行作业的方式不致干扰承包者的作业。\n\n2.持有一项已核准的勘探工作计划的承包者，只应在那些就同一区域和资源提出开发工作计划的各申请者中享有优惠和优先。在理事会对承包者发出书面通知，指出承包者未遵循经核准的勘探工作计划的具体要求后，如果承包者未能在通知规定的时限内依照勘探工作计划的要求行事，理事会可撤销这种优惠或优先。通知内规定的时限应当为合理的时限。在最后决定撤销这种优惠或优先以前，承包者应有合理机会提出意见。理事会应说明建议撤销优惠或优先的理由，并应考虑承包者的每项回应。理事会的决定应考虑承包者的上述回应并应以实质证据为基础。\n\n3.在撤销优惠或优先的决定正式生效以前，承包者应有合理机会用尽《公约》第十一部分第五节所规定的司法救济。\n\n第27条区域面积和放弃\n\n1.承包者应依照本条第 1 款的规定放弃已获分配的区域。拟放弃的区域不一定毗连，承包者应以小区块的形式界定此区域；小区块由管理局规定的一个或多个网格单元组成。在合同签订之日起第八年结束时，承包者应当已经放弃至少三分之一原获分配区域；在合同签订之日起第十年结束时，承包者应当已经放弃至少三分之二原获分配区域；或在合同签订之日起第十五年结束时，或在承包者申请开发权时(以较早者为准)，承包者应在剩余的已获区域面积中指定一个区域，保留作开发之用。\n\n2.虽有第 1 款的规定，当放弃后剩余的原获分区域不超过 1 000 平方公里时，不得要求承包者放弃更多区域。\n\n3.承包者在任何时候都可以在第 1 款所列的时间表之前放弃部分原获分配区域。\n\n4.被放弃的区域将恢复为“区域”。\n\n5.理事会应承包者请求，可根据委员会的建议，在特殊情况下，将放弃时间表延迟。这种特殊情况应由理事会断定，除其他外，包括考虑当时的经济情况或在承包者的作业活动中出现的其他突发特殊情况。\n\n第28条合同期限\n\n1.核准的勘探工作计划的期限应为 15 年。勘探工作计划期满时，承包者应申请开发工作计划，除非承包者已经提出申请，或已获准延长勘探工作计划，或决定放弃其在勘探工作计划所涉区域的权利。\n\n2.在勘探工作计划期限届满前六个月，承包者可申请延长勘探工作计划，每次延长期限不得超过五年。如果承包者已作出真诚努力遵守工作计划的各项要求，但由于承包者无法控制的原因而不能完成进入开发阶段的必要准备工作，或者在当时的经济环境下没有理由进入开发阶段，则理事会应根据委员会建议核准这种延长。\n\n第29条训练《公约》附件三第十五条规定，每一项合同都应以附件方式载有承包者与管理局和担保国合作拟订的训练管理局和发展中国家人员的实际方案。训练方案应着重有关进行勘探的训练，由上述人员充分参与合同所涉所有活动。这些训练方案可不时根据需要通过双方协议予以修改和制订。\n\n第30条对勘探工作计划执行情况的定期审查\n\n1.承包者和秘书长应每隔五年共同对勘探工作计划的执行情况进行定期审查。秘书长可要求承包者提交审查可能需要的进一步数据和资料。\n\n2.承包者应根据审查结果说明其下一个五年的活动方案，对其上一个活动方案作出必要的调整。\n\n3.秘书长应向委员会和理事会报告审查结果。秘书长应在报告中说明，审查是否考虑到《公约》缔约国就承包者履行本规章在保护和保全海洋环境方面对其规定的义务的方式向他转递的任何意见。\n\n第31条担保的终止\n\n1.每一承包者在整个合同期间应有规定的担保。\n\n2.一个国家如果终止其担保，应立即书面通知秘书长。担保国也应将终止担保的理由告知秘书长。担保的终止应在秘书长收到通知之日起六个月后生效，除非通知中设定一个较后的日期。\n\n3.如果担保终止，承包者应在第 2 款所述期间内找到另一担保国。该另一担保国应按照第 11 条提交担保书。如果未能在规定期间内找到担保国，合同应予终止。\n\n4.担保国在作为担保国期间承担的任何义务，不因担保终止而免除；担保终止也不应影响在担保期间产生的任何法律权利和义务。\n\n5.秘书长应将担保的终止或改变通知管理局成员。\n\n第32条责任承包者和管理局应按照《公约》承担责任。在勘探阶段结束后，承包者应继续对其在作业过程中的不当行为所造成的任何损害，特别是对海洋环境造成的损害承担责任。\n\n第五部分保护和保全海洋环境\n\n第33条保护和保全海洋环境\n\n1. 管理局应依照《公约》和《协定》的规定制订并定期审查环境规则、规章和程序，以确保有效保护海洋环境，使其免受“区域”内活动可能造成的有害影响。\n\n2. 为了确保有效保护海洋环境，使其免受“区域”内活动可能造成的有害影响，管理局和担保国对这种活动应采取《里约宣言》原则 15 所反映的预防做法和最佳环境做法。\n\n3.法律和技术委员会应就上文第 1 和第 2 款的执行向理事会提出建议。\n\n4. 委员会应制订并执行程序，以便根据现有最佳科学和技术信息，包括依照第 20 条规定提供的信息，确定“区域”内拟议的勘探活动是否会对脆弱的海洋生态系统，尤其是与海山和冷水珊瑚有关的海洋生态系统造成严重的有害影响，并确保，如果确定某些拟议的勘探活动会对脆弱海洋生态系统造成严重有害影响，则对这些活动加以管理以防出现此类影响或不核准从事这些活动。\n\n5. 根据《公约》第一四五条和本条第 2 款，每一承包者应采用预防做法和最佳环境做法，尽量在合理的可能范围内采取必要措施防止、减少和控制其“区域”内活动对海洋环境造成的污染和其他危害。\n\n6. 承包者、担保国和其他有关国家或实体应同管理局合作，制订并实施方案，监测和评价深海底采矿对海洋环境的影响。如理事会提出要求，此种方案应包括划出地区专门用作影响参照区和保全参照区的提议。“影响参照区”是指反映“区域”环境特性，用作评估“区域”内活动对海洋环境的影响的区域。“保全参照区”是指不应进行采矿以确保海底的生物群具有代表性和保持稳定，以便评估海洋环境生物多样性的任何变化的区域。\n\n第34条环境基线和监测\n\n1. 每一合同应要求承包者参照法律和技术委员会根据第 41 条提出的建议，收集环境基线数据并确定环境基线，供对比评估其勘探工作计划所列的活动方案可能对海洋环境造成的影响，及要求承包者制订监测和报告这些影响的方案。委员会所提的建议除其他外，可列出据认为不具有对海洋环境造成有害影响的潜在可能的勘探活动。承包者应与管理局和担保国合作制订和执行这种监测方案。\n\n2. 承包者应参照委员会根据第 41 条提出的建议，每年以书面方式向秘书长报告第 1 款所述监测方案的执行情况和结果，并提交数据和资料。秘书长应将上述报告送交委员会按照《公约》第一六五条加以审议。\n\n第35条紧急命令\n\n1. 承包者应以最有效的手段，迅速向秘书长书面报告任何已经、正在或可能对海洋环境造成严重损害的活动引发的事故。\n\n2.如果秘书长接到承包者通知，或从其他来源获悉，承包者在“区域”内的活动引起或造成事故，已经对、正在或可能对海洋环境造成严重损害，秘书长应指示发出有关该事故的一般性通知，应书面通知承包者和担保国，并应立即向法律和技术委员会、理事会及管理局所有其他成员提出报告。报告应分送主管国际组织以及各有关的分区域、区域及全球性组织和机构。秘书长应监测所有这种事故的发展情况，并酌情向委员会、理事会及管理局所有其他成员提出有关报告。\n\n3.在理事会未采取任何行动之前，秘书长应立即采取一切合乎情况需要的实际而合理的临时措施，以防止、控制和减轻对海洋环境的严重损害或可能的严重损害。上述临时措施应持续有效，但不超过 90 天，或者直到理事会在其下届常会或特别会议上根据本条第 6 款决定是否采取任何措施。\n\n4.委员会在接到秘书长的报告后，应根据所收到的证据，并考虑到承包者已采取的措施，确定需要采取什么措施来有效地应对事故，以防止、控制和减轻对海洋环境的严重损害或可能的严重损害，并应向理事会提出其建议。\n\n5.理事会应审议委员会的建议。\n\n6.理事会考虑到委员会的建议、秘书长的报告、承包者提交的任何资料及任何其他相关资料，可发布紧急命令，其中可包括暂停或调整作业的必要合理命令，以防止、控制和减轻“区域”内活动对海洋环境的严重损害或可能的严重损害。\n\n7.如果承包者不迅速遵从紧急命令，以防止、控制和减轻其“区域”内活动对海洋环境造成的严重损害或可能的严重损害，理事会应自行采取或同他方作出安排代表它采取必要的实际措施，以防止、控制和减轻这种对海洋环境的严重损害或可能的严重损害的情况。\n\n8.为了使理事会可以在必要时立即采取第 7 款所述的实际措施，防止、控制或减轻对海洋环境的严重损害或可能的严重损害，承包者在开始测试采集系统和进行加工作业以前，须向理事会保证承包者具有财政和技术能力，可迅速遵从紧急命令，或确保理事会可以采取这种紧急措施。如果承包者不向理事会提供上述保证，担保国应在秘书长提出请求后，根据《公约》第一三九条和第二三五条采取必要措施，确保承包者提供上述保证，或应采取措施确保向管理局提供协助，以便管理局执行第 7 款规定的职责。\n\n第36条沿海国的权利\n\n1.权利。本规章不影响沿海国根据《公约》第一四二条和其他相关规定所享有的\n\n2. 任何沿海国如有理由认为承包者的任何“区域”内活动有可能对其管辖范围内或主权范围内的海洋环境造成严重损害或可能的严重损害，可书面通知秘书长，说明其看法依据的理由。秘书长应向承包者及其担保国提供合理的机会，审查沿海国作为其看法的根据而提出的任何证据。承包者及其担保国可在合理时间内向秘书长提出其对此的意见。\n\n3.如果有明确理由相信可能对海洋环境造成严重损害，秘书长应依照第 35条的规定行事，并在必要时根据第 35 条第 3 款立即采取临时措施。\n\n4.承包者应采取一切必要措施，确保其进行的活动不会对沿海国管辖范围内或主权范围内的海洋环境造成严重损害，包括但不限于污染，并确保其勘探区内的事故或活动所引起的此类严重损害或污染不扩散至该区域之外。\n\n第37条具有考古或历史意义的遗骸、文物和遗址在勘探区内发现任何具有考古或历史意义的遗骸或任何类似性质的文物或遗址时，承包者应立即将此事及发现的地点以书面方式通知秘书长，包括报告已采取的保全和保护措施。秘书长应立即将这些资料转交联合国教育、科学及文化组织总干事以及任何其他主管国际组织。在勘探区发现这种遗骸、文物或遗址后，为了避免扰动此类遗骸、文物或遗址，在理事会考虑到联合国教育、科学及文化组织总干事或任何其他主管国际组织的意见后另有决定之前，不得在一个合理范围内继续进行探矿或勘探。\n\n第六部分机密性\n\n第38条数据和资料的机密性\n\n1.按照本规章或按照根据本规章发给的合同提交或移交管理局或参与管理局的任何活动或方案的任何人的数据和资料，经承包者与秘书长协商指明属机密性质的，应视为具有机密性，但下述数据和资料不在此列:\n\n(a) 众所周知或可从其他来源公开获取的；\n\n(b) 所有人以前曾向对其不负保密义务的其他人提供的；或\n\n(c) 管理局已掌握但对其保密义务的。\n\n2.管理局为制订关于保护和保全海洋环境及安全的规则、规章和程序而需要的数据和资料，除专利设备的设计数据外，不应视为具有机密性。\n\n3.唯有秘书长和经秘书长授权的秘书处工作人员，以及法律和技术委员会成员，可以在有效履行职权和职能的必要和相关范围内使用机密数据和资料。秘书长批准取用机密数据和资料，仅限于为履行秘书处工作人员职能和职责及法律和技术委员会职能和职责时有限度地加以使用。\n\n4.在机密数据和资料提交管理局之日起十年后或于勘探合同期满之后以较晚者为准，以及此后每隔五年，秘书长和承包者应审查这些数据和资料，以确定是否应保持其机密性。如果承包者确认公开数据和资料很可能造成重大和不公平的经济损害，则应继续保持这些数据和资料的机密性。在承包者有合理机会用尽根据《公约》第十一部分第五节可以使用的所有司法救济之前，任何此种数据和资料均不得公开。\n\n5.在勘探合同期满后的任何时候，如果承包者就勘探区的任何部分订立开发合同，则与该部分地区有关的机密数据和资料应依照开发合同规定继续保密。\n\n6.承包者可随时放弃数据和资料的机密性。\n\n第39条确保机密性的程序\n\n1.秘书长应负责保持所有机密数据和资料的机密性，除事先征得承包者的书面同意外，不应向管理局外部任何人公布这些数据和资料。为确保这些数据和资料的机密性，秘书长应按照《公约》的规定制订程序，规范秘书处成员、法律和技术委员会成员以及参与管理局任何活动或方案的任何其他人对机密资料的处理。这种程序应包括：\n\n(a) 在安全的设施内保存机密数据和资料，并制订安全程序，防止未经许可取用或移走这些数据和资料；\n\n(b) 建立和维护一个分类、登记和编目系统，以记录所收到的所有书面数据和资料，包括其类型和来源以及从收到直至最终处置的收发日志。\n\n2.根据本规章有权取用机密数据和资料的人，除《公约》和本规章准许的情况外，不得泄露这些数据和资料。秘书长应规定，经授权可取用机密数据和资料的人须在秘书长或其指定代表见证下作出书面声明，表示获授权的人：\n\n(a) 确认其根据《公约》和本规章，承担不泄露机密数据和资料的法律义务；\n\n(b) 同意遵守为确保这些数据和资料的机密性而制定的适用规章和程序。\n\n3.法律和技术委员会应保护按照本规章或根据本规章发给的合同提交给委员会的数据和资料的机密性。《公约》第一六三条第 8 款规定，该委员会成员不应泄露工业秘密、按照《公约》附件三第十四条移交管理局的专有性数据，或因其在管理局任职而知悉的任何其他机密资料，即使在职务终止以后，也是如此。\n\n4.秘书长和管理局工作人员不应泄露任何工业秘密、按照《公约》附件三第十四条转交管理局的专有性数据，或因其在管理局所任职务而知悉的任何其他机密资料，即使在职务终止以后，也是如此。\n\n5.考虑到管理局根据《公约》附件三第二十二条所承担的责任，管理局得对任何因其在管理局所任职务而可接触任何机密数据和资料，但违反《公约》和本规章所规定保密义务的人采取适当的行动。\n\n第七部分一般程序\n\n第40条通知和一般程序\n\n1. 与本规章有关的任何申请书、请求、通知、报告、同意书、批准书、放弃权利声明、指令或指示，应按情况由秘书长或由探矿者、申请者或承包者的指定代表以书面作成。应以专人手递、电报、传真或挂号航空邮件或带有经授权的电子签字的电子邮件送达管理局总部交秘书长或送达指定代表。\n\n2. 专人手递的，于送达时生效。以电报传送的，于发送者电报机显示“回答”之日的下一个办公日视为生效。以传真传送的，于传真机收到“发送证实报告”证实已向收件者的公开传真号码发送传真时生效。以挂号航空信件发出的，于寄出\n\n21 天之后视为生效。电子邮件，在其进入收件人为接收所发此类文件而指定或使用信息系统，并可以由收件人取用和处理时，视为被收件人收到。\n\n3. 就本规章的所有目的而言，向探矿者、申请者或承包者指定的代表发出的通知，构成给探矿者、申请者或承包者的有效通知，而且在任何具有管辖权的法院或法庭的诉讼程序中，被指定的代表应为接收送达的传票或通知的探矿者、申请者或承包者的代理人。\n\n4. 就本规章的所有目的而言，发给秘书长的通知构成给管理局的有效通知，而且在任何具有管辖权的法院或法庭的诉讼程序中，秘书长应为接收送达传票或通知的管理局代理人。\n\n第41条指导承包者的建议\n\n1. 法律和技术委员会可以不时作出技术性或行政性建议指导承包者，协助承包者执行管理局的规则、规章和程序。\n\n2. 此类建议的全部内容应报告理事会。理事会认为某一建议不符本规章的用意和宗旨时，可要求修改或撤回建议。\n\n第八部分解决争端\n\n第42条争端\n\n1. 关于本规章的解释或适用的争端应按照《公约》第十一部分第五节的规定解决。\n\n2. 根据《公约》具有管辖权的法院或法庭就管理局和承包者的权利和义务作出的任何终局裁判，在《公约》每一缔约国境内均可执行。\n\n第九部分钴结壳以外的其他资源\n\n第43条钴结壳以外的其他资源如果探矿者或承包者在“区域”内发现钴结壳以外的其他资源，这些资源的探矿、勘探和开发应按照管理局根据《公约》和《协定》就这些资源制定的规则、规章和程序进行。探矿者或承包者应将其发现通知管理局。\n\n第十部分审查\n\n第44条审查\n\n1.大会核准《规章》五年后,或其后任何时间，理事会应对《规章》的实际运作情况进行审查。\n\n2.如果在知识增加或技术改进的情况下，《规章》显然不敷使用，则任何缔约国、法律和技术委员会或任何承包者通过其担保国随时可要求理事会考虑在理事会下届常会上修订《规章》。\n\n3.理事会可根据审查结果，考虑到法律和技术委员会或其他有关附属机构的建议，在大会予以核准前，通过并临时适用对《规章》条款的修正。任何修正均不得影响任何承包者按照这种修正时有效的《规章》签订的合同条款所享受的权利。\n\n4.如果对《规章》任何条款做出修正，承包者和管理局可按照附件四第 24节修订合同。\n\n附件一从事探矿的意向通知\n\n1.探矿者名称：\n\n2.探矿者街道地址：\n\n3.邮政地址(如不同于上述地址)：\n\n4.电话号码：\n\n5.传真号码：\n\n6.电子邮件地址：\n\n7.探矿者国籍：\n\n8.如果探矿者是法人：\n\n(a) 写明探矿者的注册地点；\n\n(b) 写明探矿者的主要营业地点/住所；\n\n(c) 附上探矿者的注册证书副本。\n\n9.探矿者指定代表的名称：\n\n10. 探矿者指定代表的街道地址(如不同于上述地址)：\n\n11. 邮政地址(如不同于上述地址)：\n\n12. 电话号码：\n\n13. 传真号码：\n\n14. 电子邮件地址：\n\n15. 附上准备进行探矿的一个或多个大致区域的坐标(以世界大地测量系统 WGS\n\n84 为基准)。\n\n16. 附上对探矿方案的一般说明，包括方案的开始日期和大致持续时间。\n\n17. 附上探矿者对下列事项的书面承诺：\n\n(a) 遵守《公约》和管理局关于下列事项的相关规则、规章和程序：㈠ 合作进行《公约》第一四三条和第一四四条所述的海洋科学研究和技术转让方面的训练方案；和㈡保护和保全海洋环境；和\n\n(b) 接受管理局对遵守承诺情况的核查。\n\n18. 在下面列出本通知的所有附录和附件(所有数据和资料应以硬拷贝和管理局指定的数字格式提交)：探矿者指定代表签名日期：证明：证明人签名证明人姓名证明人职衔\n\n附件二请求核准勘探工作计划以取得合同的申请书第一节申请者资料\n\n1.申请者名称：\n\n2.申请者街道地址：\n\n3.邮政地址(如不同于上述地址)：\n\n4.电话号码：\n\n5.传真号码：\n\n6.电子邮件地址：\n\n7.申请者指定代表的姓名：\n\n8.申请者指定代表的街道地址(如不同于上述地址)：\n\n9.邮政地址(如不同于上述地址)：\n\n10. 电话号码：\n\n11. 传真号码：\n\n12. 电子邮件地址：\n\n13. 如果申请者是法人：\n\n(a) 写明申请者的注册地点；\n\n(b) 写明申请者的主要营业地点/住所；\n\n(c) 附上申请者的注册证书副本。\n\n14. 列出担保国。\n\n15. 每一担保国须提供该国对 1982 年 12 月 10 日《联合国海洋法公约》的批准书、加入书或继承书的交存日期，及该国同意接受《关于执行〈公约〉第十一部分的协定》约束的日期。\n\n16. 申请书须附有担保国开具的担保书。如果申请者具有一个以上国籍，例如由一个以上国家的实体组成的合伙企业或联营企业，则须附有所涉每一国家开具的担保书。第二节关于所申请区域的资料\n\n17. 附上一张海图(比例尺和投影法由管理局具体规定)和一份(以世界大地测量系统 WGS 84 为基准的)地理坐标表，划定所申请区块的界限。\n\n18. 说明申请者是选择依照《规章》第 17 条的规定提供一个保留区还是选择依照《规章》第 19 条的规定提供联合企业安排中的股份。\n\n19. 如果申请者选择提供一个保留区：\n\n(a) 附上一份标明总区域中估计商业价值相等的两个部分的坐标表；和\n\n(b) 以一个附件提供足够的资料，使理事会能根据所申请区域每一部分的估计商业价值指定一个保留区。附件中须包括申请者可以得到的关于所申请区域两个部分的数据，包括：㈠关于区域内钴结壳的定位、调查和评价的数据，包括：a.指定保留区所需的与钴结壳的回收和加工有关的技术说明；b.一份显示海底地形、水深和底层流等物理和地质特征的图件和关于这些数据的可靠性的资料；c.一份显示用于确定钴结壳参数(厚度等)的调查数据的图件，确定勘探区和保留区每个区块和区块组群内的钴结壳的吨位需要这些数据；d.显示构成矿址的每个钴结壳区块组群的平均吨位(公吨)数据及相关的显示取样地点位置的吨位图；e.钴结壳吨位和品位综合图；f.按照标准程序，包括统计分析法，用所提交的数据和以下假设作出的计算：以可开采区域内的可回收金属表示，可以预期区域的两个部分所含钴结壳具有相等估计商业价值；g.㈡关于申请者所用技术的说明；关于环境参数(季节性的和试验期间的)的资料，除其他外，包括风速和风向、盐度、温度以及生物群落。\n\n20. 如果所申请的区域包括一个保留区的任何部分，应附上一份显示构成保留区一部分的有关区域的坐标表，并说明申请者根据《规章》第 18 条具有的资格。第三节财政和技术资料\n\n21. 附上足够的资料，使理事会能确定申请者是否有财政能力执行提议的勘探工作计划和履行其对管理局的财政义务：\n\n(a) 如果企业部提出申请，应附上由其主管机构开具的证明，证明企业部拥有所需财政资源承付提议的勘探工作计划的估计费用；\n\n(b) 如果国家或国营企业提出申请，应附上该国或担保国的声明，证明申请者拥有所需财政资源承付提议的勘探工作计划的估计费用；\n\n(c) 如果实体提出申请，应附上其最近三年符合国际公认会计原则并由合格的公共会计师事务所核证的经审计的财务报表的副本，包括资产负债表和损益表的副本；㈠如果申请者是新组成的实体，尚没有经核证的资产负债表，则应提交经申请者的适当职务人员认证的预计资产负债表；㈡如果申请者是另一个实体的子公司，则应提交该实体的上述财务报表副本，以及符合国际公认会计惯例，并由具有适当资格的公共会计师事务所核证的该实体关于申请者将有执行勘探工作计划的财政资源的说明；㈢如果申请者受一个国家或一家国营企业所控制，则应提交该国或国营企业证明申请者将有执行勘探工作计划的财政资源的说明。\n\n22. 如果打算以贷款方式筹措提议的勘探工作计划的经费，则应附上一份说明，写明贷款额、偿还期和利率。\n\n23. 附上足够的资料，使理事会能确定申请者是否有技术能力执行提议的勘探工作计划，包括：\n\n(a) 关于申请者与提议的勘探工作计划相关的先前经验、知识、技能、技术资格和专长的一般说明；\n\n(b) 关于预期将用于执行提议的勘探工作计划的设备和方法的一般说明，以及关于这些技术的特点的其他非专有性相关资料；\n\n(c) 关于申请者应对对海洋环境造成严重损害的事故或活动的财政和技术能力的一般说明。第四节勘探工作计划\n\n24. 附上与勘探工作计划有关的下列资料：\n\n(a) 关于提议的勘探方案的一般说明和时间表，包括未来五年的活动方案，例如对勘探时必须考虑的环境、技术、经济和其他有关因素进行的研究；\n\n(b) 关于按照本规章及管理局制定的任何环境规则、规章和程序进行的海洋学和环境基线研究方案的说明，以便能够考虑到法律和技术委员会提出的任何建议，评估提议的勘探活动对环境的潜在影响，包括但不限于对生物多样性的影响；\n\n(c) 关于提议的勘探活动可能对海洋环境造成的影响的初步评估；\n\n(d) 关于为防止、减少和控制对海洋环境的污染和其他危害以及可能造成的影响而提议的措施的说明；\n\n(e) 未来五年活动方案的预期年度支出表。第五节承诺\n\n25. 附上一份书面承诺，表示申请者将：\n\n(a) 同意因《公约》的规定，管理局的规则、规章和程序，管理局各相关机关的决定及申请者同管理局所订合同的条款而产生的适用义务是可执行的，并将予以履行；\n\n(b) 接受管理局根据《公约》授权对“区域”内活动进行控制；\n\n(c) 向管理局提出书面保证，表示将诚意履行合同规定的义务。第六节以前订立的合同\n\n26. 如果申请者，或当申请者是联合安排中由实体组成的合伙企业或联营企业时，该事合伙企业或联营企业的任何成员，以前获得过管理局颁发的合同，则申请书中必须有：\n\n(a) 以前订立的合同的日期；\n\n(b) 就有关合同向管理局提交的每一份报告的日期、编号和标题；和\n\n(c) 已终止合同的合同终止日期。第七节\n\n附件\n\n27. 列出本申请书的所有附录和附件(所有数据和资料应以硬拷贝和管理局指定的数字格式提交)。申请者指定代表签名日期：证明：证明人签名证明人姓名证明人职衔\n\n附件三勘探合同本合同由国际海底管理局(以下称“管理局”)和_______________(以下称“承包者”)通过双方各自的代表，管理局秘书长和____于____年____月____日签订，兹协议如下：条款的并入\n\n1.《“区域”内富钴铁锰结壳探矿和勘探规章》附件四所载的标准条款应并入本合同内，并应具有相当于在本合同内详细载列的效力。勘探区域\n\n2.为本合同的目的，“勘探区域”是指本合同附件 1 的坐标表所界定、分配给承包者勘探的那部分“区域”，该部分的范围按照标准条款和《规章》的规定分阶段予以缩小。权利的授予\n\n3.考虑到：(a) 双方都有兴趣根据 1982 年 12 月 10 日《联合国海洋法公约》和《关于执行<公约>第十一部分的协定》在勘探区域进行勘探活动；(b) 管理局有责任组织和控制“区域”内活动，特别是为了依照《公约》第十一部分和《协定》及《公约》第十二部分的规定分别制定的法律制度管理“区域”的资源；和\n\n(c) 承包者有兴趣在勘探区域进行活动并为此作出财政承诺，以及双方在此订立的契约，管理局特此授予承包者专属权利，依照本合同的条款和条件对勘探区域内的钴结壳进行勘探。生效和合同期限\n\n4.本合同应在双方签署后生效，并在不违反标准条款的情况下，应在签署后十五年内有效，除非：\n\n(a) 承包者获得在勘探区域进行开发的合同，而且该合同在上述十五年期限届满之前生效；或\n\n(b) 合同在期限届满之前终止，但合同的期限可根据标准条款第 3.2 节和第\n\n17.2 节的规定予以延长。\n\n附件\n\n5.\n\n标准条款第 4 节和第 8 节所述的附件在本合同中分别为附件 2 和附件 3。全部协定\n\n6.本合同为当事方之间的全部协定，不得以任何口头谅解或前订文书修改其中的条款。下列签署人，经各自一方正式授权，于_____年_____月____日在_____签署本合同，以资证明。附件 1[勘探区域的坐标和示意图]附件 2[不时修订的现行五年活动方案]附件 3[管理局按照标准条款第 8 节核准训练方案后，训练方案应成为合同的一个附件。]\n\n附件四勘探合同的标准条款第1节定义\n\n1.1 在下列条款内：\n\n(a) “勘探区域”是指本合同附件 1 所述、分配给承包者勘探的那部分“区域”，该部分的范围可按照本合同和《规章》的规定分阶段予以缩小；\n\n(b) “活动方案”是指载于本合同附件 2 的工作方案，该工作方案可不时依照本合同第 4.3 和第 4.4 节的规定予以调整；\n\n(c) “《规章》”是指管理局通过的《“区域”内富钴铁锰结壳探矿和勘探规章》。\n\n1.2 《规章》界定的用语和短语在本标准条款内具有相同涵义。\n\n1.3 《关于执行 1982 年 12 月 10 日<联合国海洋法公约>第十一部分的协定》规定，其条款及《公约》第十一部分应作为一个单一文书来解释和适用；本合同和本合同中提及《公约》的条款应相应地加以解释和适用。\n\n1.4 本合同包括本合同各附件，这些附件为本合同的组成部分。第2节合同在期限内持续有效的保证\n\n2.1 承包者应享有合同在期限内持续有效的保证，而且除本合同第 20、21和 24 节规定的情况外，不得中止、终止或修改本合同。\n\n2.2 承包者应享有依照本合同的条款和条件对勘探区域内的钴结壳进行勘探的专属权利。管理局应确保在勘探区域内勘探不同类别资源的任何其他实体在作业时不致不合理地干扰该承包者的作业。\n\n2.3 承包者向管理局发出通知后，有权随时放弃其在勘探区域的所有或部分权利而不受罚，但该承包者仍须对宣布放弃之日以前就所放弃区域所产生的所有义务承担责任。\n\n2.4 除本合同明确授予的权利以外，本合同未授予承包者任何其他权利。管理局保留在本合同所涉区域内与第三方订立涉及钴结壳以外资源的合同的权利。第3节合同期限\n\n3.1 本合同应在双方签署后生效，并且应在签署后十五年内有效，除非：\n\n(a) 承包者获得在勘探区域进行开发的合同，而且该合同在上述十五年期限届满之前生效；或\n\n(b) 合同在期限届满之前终止，但合同的期限可依照本合同第 3.2 节和第\n\n17.2 节的规定予以延长。\n\n3.2 如果承包者至迟于本合同到期之前六个月提出申请，则本合同可予延长，每次延长期限不得超过五年，而且须以管理局和承包者届时根据《规章》商定的条款为准。如果承包者已作出真诚努力遵守本合同的各项要求，但由于承包者无法控制的原因而不能完成进入开发阶段的必要准备工作，或者在当时的经济环境下没有理由进入开发阶段，则此种延长应获核准。\n\n3.3 尽管根据本合同第 3.1 节规定本合同已到期，如承包者在期满之日 90天前申请开发合同，则本合同规定的承包者权利和义务应予继续，直至审议申请，颁发或拒发开发合同时为止。第4节勘探\n\n4.1 承包者应按照本合同附件 2 所列活动方案规定的时间表开始勘探，并应遵守本合同所规定的时限或对时限所作的任何修改。\n\n4.2 承包者应执行本合同附件 2 所述的活动方案。承包者进行这些活动时，每一合同年度内所花的实际和直接勘探费用应不少于该方案所规定的数额，或对方案进行审查后议定的数额。\n\n4.3 承包者经管理局同意，可不时根据采矿业的良好做法，并参考钴结壳所含金属的市场状况和其他相关的全球经济状况，对活动方案及其中所列支出数额作必要和谨慎的调整。管理局不应不合理地拒绝给予同意。\n\n4.4 承包者和秘书长至迟应在本合同根据合同第 3 节生效之日开始的每一个五年届满之前 90 天，共同对根据本合同执行勘探工作计划的情况进行审查。秘书长可视需要要求承包者提交此审查所需的进一步数据和资料。承包者应参照审查结果，对其工作计划作出必要的调整，并说明其下一个五年的活动方案，包括列出预计每年开支的订正表。本合同附件 2 应作相应调整。第5节环境监测\n\n5.1 承包者应在合理可能的范围内采取预防做法和最佳环境做法，采取必要措施，防止、减少和控制其“区域”内活动对海洋环境造成的污染和其他危害。\n\n5.2 在开始勘探活动之前，承包者应向管理局提交：\n\n(a) 一份关于拟议活动对海洋环境潜在影响的评估书；\n\n(b) 一份用于确定拟议活动对海洋环境潜在影响的监测方案建议书；和\n\n(c) 可用于制订环境基线以评估拟议活动影响的数据。\n\n5.3 承包者应依照《规章》的规定，随着勘探活动的不断深入和发展，收集环境基线数据，并确定环境基线，供对比评估承包者的活动可能对海洋环境造成的影响。\n\n5.4 承包者应依照《规章》的规定，制订和执行关于监测和报告对海洋环境的影响的方案。承包者应与管理局合作实施此监测。\n\n5.5 承包者应于每一日历年结束后 90 天内向秘书长报告本合同第 5.4 节所述监测方案的执行情况和结果，并应根据《规章》提交数据和资料。第6节应急计划和紧急情况\n\n6.1 承包者在按照本合同开始其活动方案之前，应向秘书长提交一份能有效应对因承包者在勘探区域的海上活动而可能对海洋环境造成严重损害或带来严重损害威胁的事故的应急计划。这种应急计划应确定特别程序，并应规定备有足够和适当的设备，以应对此类事故，特别是应包括下列安排：\n\n(a) 立即在勘探活动区域发出一般警报；\n\n(b) 立即通知秘书长；\n\n(c) 警告可能行将进入毗邻水域的船只；\n\n(d) 不断向秘书长充分通报已经采取的紧急措施的细节和所需的进一步行动；\n\n(e) 适当清除污染物质；\n\n(f) 减少并在合理范围内尽可能防止对海洋环境造成严重损害，以及减轻此类影响；\n\n(g) 在适当情况下，同管理局的其他承包者合作应对紧急情况；并\n\n(h) 定期举行紧急情况演习。\n\n6.2 承包者的活动如引起已经、正在或可能对海洋环境造成严重损害的事故，承包者应迅速向秘书长报告。每一报告应载列事故的详情，其中除其他外，应包括：\n\n(a) 已受影响的或可以合理地预期会受影响的区域的坐标；\n\n(b) 说明承包者正在采取什么行动来防止、控制、减轻和弥补对海洋环境造成或可能造成严重损害的情况；\n\n(c) 说明承包者正在为监测事故对海洋环境的影响而采取的行动；和\n\n(d) 秘书长在合理范围内可能要求提供的补充资料。\n\n6.3 承包者应遵从理事会和秘书长为了防止、控制、减轻或弥补对海洋环境造成或可能造成严重损害的情况而分别按照《规章》发布的紧急命令和指示立即采取的暂时性措施，包括可能要求承包者立即暂停或调整其在勘探区域内任何活动的命令。\n\n6.4 如果承包者不迅速遵从这种紧急命令或立即采取暂时性措施，理事会可采取必要的合理措施，以防止、控制、减轻或弥补对海洋环境造成或可能造成严重损害的情况，费用由承包者承担。承包者应迅速向管理局偿还这种费用。这种费用不包括在根据本合同或《规章》对承包者课处的任何罚款之内。第7节具有考古或历史意义的遗骸、文物和遗址在勘探区内发现任何具有考古或历史意义的遗骸或任何类似性质的文物或遗址时，承包者应立即将此事及发现的地点以书面方式通知秘书长，包括报告已采取的保全和保护措施。秘书长应将这些资料转交联合国教育、科学及文化组织总干事以及任何其他主管国际组织。在勘探区发现这种考古或历史意义的遗骸、文物或遗址后，为了避免扰动此类遗骸、文物或遗址，在理事会考虑到联合国教育、科学及文化组织总干事或任何其他主管国际组织的意见后另有决定之前，不得在一个合理范围内继续进行探矿或勘探。第8节训练\n\n8.1 根据《规章》，承包者在按照本合同开始勘探之前，应把关于训练管理局人员和发展中国家人员的拟议训练方案提交管理局核准，其中包括让这些人员参与承包者按照本合同所从事的所有活动。\n\n8.2 训练方案的范围和筹资办法应由承包者、管理局和担保国商订。\n\n8.3 承包者应依照本合同第 8.1 节所述并经管理局根据《规章》核准的具体人员训练方案，实施训练方案。具体方案可不时加以修改和发展，并应作为附件\n\n3 成为本合同的一部分。第9节账簿和记录承包者应按照国际公认会计原则保存完整和正确的账簿、账目和财务记录。保存的账簿、账目和财务记录应包括充分披露实际和直接支出的勘探费用的资料和有助于切实审计这些费用的其他资料。第 10 节年度报告\n\n10.1承包者应于每一旦历年结束后 90 天内，按照法律和技术委员会不时建议的格式，向秘书长提交一份报告，说明其在勘探区域的活动方案，并在适用时提供关于下列方面的详尽资料：\n\n(a) 该日历年内进行勘探的工作包括显示已进行工作和已取得结果的地图、海图和图表；\n\n(b) 进行勘探工作所使用的设备，包括对拟议采矿技术进行测试的结果，但不包括设备的设计数据；和\n\n(c) 训练方案的执行情况包括对这类方案的任何拟议的修订或发展。\n\n10.2这种报告也应载列：\n\n(a) 环境监测方案的结果，包括对各项环境参数的观察、测量、评价和分析；\n\n(b) 一份列有作为样品或为测试目的回收的钴结壳数量的报表；\n\n(c) 一份符合国际公认会计原则和经具有适当资格的公共会计师事务所核证的报表，或在承包者为国家和国营企业时经担保国核证的报表，其中载列承包者在其会计年度内为执行活动方案而实际和直接支出的勘探费用。承包者可将这些费用申报为承包者在开始商业生产前的部分开发成本；和\n\n(d) 任何拟对活动方案作出调整的细节和作出这种调整的理由。\n\n10.3承包者还应按照秘书长不时提出的合理要求，提供更多资料以补充本合同第 10.1 节和第 10.2 节所述的报告，以便管理局根据《公约》、《规章》和本合同履行其职能。\n\n10.4对于在勘探期间取得的钴结壳样品和岩心，承包者应妥善保存一个具有代表性的部分，直至本合同期满为止。管理局可书面请求承包者将任何这种在勘探期间取得的样品和岩心的一部分送交管理局作分析之用。第 11 节合同期满时应提交的数据和资料\n\n11.1承包者应依照本节的规定，向管理局移交管理局对勘探区域有效行使权力和履行职能所必需和相关的一切数据和资料。\n\n11.2在本合同期满或终止时，尚未向秘书长提交下列数据和资料的承包者应向秘书长提交：\n\n(a) 承包者在执行活动方案期间获得的，并为管理局对勘探区域有效行使权力和履行职能所必需和相关的地质、环境、地球化学和地球物理数据的副本；\n\n(b) 确定可开采矿床后对这些矿床的估计，包括关于经证实的、推定的及可能的钴结壳储量的品位和数量以及预计采矿条件的细节；\n\n(c) 承包者编写或为承包者编写，并为管理局对勘探区域有效行使权力和履行职能所必需和相关的地质、技术、财务和经济报告的副本；\n\n(d) 进行勘探工作所使用设备的充分详细资料，包括对拟议采矿技术进行测试的结果，但不包括设备的设计数据；\n\n(e) 一份列有作为样品或为测试目的回收的钴结壳数量的报表；和\n\n(f) 一份关于岩心样品的保存方式和地点及可供管理局使用的方式的说明。\n\n11.3如果在本合同期满之前，承包者申请核准一项开发工作计划，则应向秘书长提交本合同第 11.2 节所述的数据和资料；或如果承包者放弃其在勘探区域内的权利，则本合同第 11.2 节所述的与被放弃区域有关的数据和资料也应提交秘书长。第 12 节机密性依照本合同的规定提交管理局的数据和资料应按照《规章》规定作为机密资料处理。第 13 节承诺\n\n13.1承包者应依照本合同的条款和条件、《规章》、《公约》第十一部分、《协定》以及符合《公约》规定的其他国际法规则进行勘探。\n\n13.2 承包者承诺：\n\n(a) 同意本合同的条款是可执行的，并将予以遵守；\n\n(b) 遵守《公约》的规定、管理局的规则、规章和程序及管理局相关机关的决定所产生的适用义务；\n\n(c) 接受管理局根据《公约》授权对“区域”内活动进行控制；\n\n(d) 诚意履行本合同规定的义务；和\n\n(e) 在合理可行范围内遵从法律和技术委员会随时公布的建议。\n\n13.3承包者应以下述方式积极执行活动方案：\n\n(a) 认真、高效和节省；\n\n(b) 适当顾及其活动对海洋环境的影响；和\n\n(c) 合理顾及海洋环境中的其他活动。\n\n13.4管理局承诺按照《公约》第一五七条诚意履行《公约》和《协定》规定的职权和职能。第 14 节检查\n\n14.1承包者应准许管理局派其检查员登临承包者用以在勘探区域内进行活动的船舶和设施，以便：\n\n(a) 监测承包者遵守本合同的条款及《规章》的情况；和\n\n(b) 监测这些活动对海洋环境的影响。\n\n14.2秘书长应合理通知承包者，告知检查的预定时间和检查的时间长度、检查员的姓名以及检查员准备进行、而且可能需要特别设备或者需要承包者的人员提供特别协助的活动。\n\n14.3 检查员应有权检查任何船舶或设施，包括其航海日志、设备、记录、装备、所有其他已记录的数据以及为监测承包者的遵守情况而需要的任何相关文件。\n\n14.4承包者及其代理人和雇员应协助检查员履行其职务，并应：\n\n(a) 接受检查员并方便检查员迅速而安全地登临船舶和设施；\n\n(b) 对按照这些程序检查任何船舶或设施的活动给予合作和协助；\n\n(c) 在任何合理的时间为接触船舶和设施上所有相关的设备、装置和人员提供便利；\n\n(d) 在检查员履行职务时不加阻挠、恫吓或干预；\n\n(e) 向检查员提供合理的便利，包括在适当情况下提供膳宿；和\n\n(f) 方便检查员安全离船。\n\n14.5检查员应避免干扰承包者在所检查区域进行活动的船舶和设施上的安全和正常作业，并应按照《规章》和为保护数据和信息的机密性而采取的措施行事。\n\n14.6秘书长及经正式授权的秘书长代表为审计和检查目的，应可查阅承包者所有的任何必要的和直接相关的账簿、凭单、文件和记录，以核实第 10.2(c)节所提及的费用。\n\n14.7需要采取行动时，秘书长应向承包者及其担保国提供检查员报告内的相关资料。\n\n14.8如果承包者以任何原因不开展勘探，并且不要求颁发开发合同，则应在撤出勘探区域之前向秘书长提出书面通知，以使管理局如作出决定，可按照本节规定进行检查。第 15 节安全、劳动及健康标准\n\n15.1承包者应遵守主管国际组织或外交大会所制定的关于海上人命安全和防止碰撞的公认国际规则和标准以及管理局可能通过的关于海上安全的规则、规章和程序。用于在“区域”内进行活动的每一船舶应持有这些国际规则和标准所要求且按照这些国际规则和标准颁发的有效证件。\n\n15.2承包者在按照本合同进行勘探时，应奉行和遵守管理局可能通过的关于防止就业歧视、职业安全和健康、劳资关系、社会保障、就业保障和工作场所生活条件的规则、规章和程序。这些规则、规章和程序应考虑到国际劳工组织和其他主管国际组织的公约和建议。第 16 节责任\n\n16.1承包者应对其本身及其雇员、分包者、代理人及他们为根据本合同进行承包者的业务而雇用为他们工作或代他们行事的所有人员的不当作为或不作为所造成的包括对海洋环境的损害在内的任何损害的实际数额负赔偿责任，其中包括为防止或限制对海洋环境造成损害而采取的合理措施的费用，但应考虑到管理局的共同作为或不作为。\n\n16.2对于第三方因承包者及其雇员、代理人和分包者及他们为根据本合同进行承包者的业务而雇用为他们工作或代他们行事的所有人员的任何不当作为或不作为而提出的一切主张和赔偿要求，承包者应使管理局、承包者的雇员、分包者和代理人免受损失。\n\n16.3管理局应对在履行其职权和职能时的不当作为，包括违反《公约》第一六八条第 2 款的行为所造成的任何损害的实际数额向承包者负赔偿责任，但应考虑到承包者、其雇员、代理人和分包者及他们为根据本合同进行承包者的业务而雇用为他们工作或代他们行事的所有人员的共同作为或不作为。\n\n16.4对于第三方因管理局在履行本合同规定的职权和职能时的任何不当作为或不作为，包括违反《公约》第一六八条第 2 款的行为而提出的一切主张和赔偿要求，管理局应使承包者、其雇员、分包者、代理人及他们为根据本合同进行承包者的业务而雇用为他们工作或代他们行事的所有人员免受损失。\n\n16.5承包者应按公认的国际海事惯例向国际公认的保险商适当投保。第 17 节不可抗力\n\n17.1承包者对因不可抗力而无法避免的延误或因而无法履行本合同所规定的任何义务不负赔偿责任。为本合同的目的，不可抗力指无法合理地要求承包者防止或控制的事件或情况；但这种事件或情况不应是疏忽或未遵守采矿业的良好做法所引起的。\n\n17.2本合同的履行如果因不可抗力受到延误，经承包者请求，承包者应获准展期，延展期相当于履行被延误的时间，而本合同的期限也应相应延长。\n\n17.3发生不可抗力时，承包者应采取一切合理措施，克服无法履行的情况，尽少延误地遵守本合同的条款和条件。\n\n17.4承包者应合理地尽快将发生的不可抗力事件通知管理局，并应同样地将情况恢复正常的消息通知管理局。第 18 节免责条款承包者或任何关联公司或分包者不得以任何明示或暗示的方式声称或表示，管理局或其任何官员对勘探区域内钴结壳持有任何意见或已表示任何意见。承包者、任何关联公司或任何分包者印发的，直接或间接提及本合同的任何计划书、通知、通告、广告、新闻稿或类似文件均不应登载或认可类似内容的声明。为本节的目的，“关联公司”是指控制承包者，或由承包者控制，或与承包者受共同控制的任何个人、商号或公司或国有实体。第 19 节放弃权利承包者向管理局发出通知后，有权放弃其权利和终止本合同而不受罚，但承包者仍须对宣布放弃之日以前产生的所有义务和按照《规章》须在合同终止后履行的义务承担责任。第 20 节担保的终止\n\n20.1如果承包者国籍或控制权发生变化或《规章》所界定的承包者担保国终止其担保，承包者应从速通知管理局。\n\n20.2在上述任何一种情况下，如果承包者未能找到另一符合《规章》所定要求的担保国，在《规章》规定的时限内以规定的格式为承包者向管理局提交担保书，则本合同应即予终止。第 21 节合同的中止和终止及罚则\n\n21.1如果发生以下情况之一，理事会可以中止或终止合同，但不妨害管理局可能具有的任何其他权利：\n\n(a) 虽经管理局书面警告，承包者仍然进行活动，以致造成一再故意严重违反本合同基本条款、《公约》第十一部分、《协定》和管理局的规则、规章和程序的结果；或\n\n(b) 承包者不遵守对其适用的争端解决机构作出的有拘束力的终局裁判；或\n\n(c) 承包者失去偿付能力，或采取破产行动，或与债权人达成任何清偿协议，或进行清算或被接管，无论是强制性还是自愿的，或根据任何现行或此后生效的破产法、无力偿债法或债务调整法向任何法庭申请指派管理人或其自己的托管人或管理人或展开任何与自己有关的法律程序，但为了改组的除外。\n\n21.2如果由于 17.1 节所述的不可抗力事件或情况持续存在长达两年以上，尽管承包者已采取一切合理措施，以克服无法履行合同的情况，尽少延误地遵守本合同的条款和条件，但仍无法履行本合同为其规定的义务，则理事会在须遵循第 17 节规定的情况下，同承包者协商后，可中止或终止合同，但不妨害管理局可能拥有的其他任何权利。\n\n21.3任何中止或终止应采用书面通知形式，通过秘书长发出，并应附上关于采取这一行动的理由的说明。中止或终止应于通知后的 60 天生效，除非承包者在此段时间内按照《公约》第十一部分第五节对管理局中止或终止本合同的权利提出异议。\n\n21.4如果承包者采取上述行动，本合同只可根据按照《公约》第十一部分第五节作出的有拘束力的终局裁判予以中止或终止。\n\n21.5如果理事会已经中止本合同，理事会可发出通知，要求承包者在通知后的 60 天内恢复其作业并遵守本合同的条款和条件。\n\n21.6对于本合同第 21.1(a)节未予规定的任何违反本合同的行为，或作为本合同第 21.1 节所规定的中止或终止的代替做法，理事会可对承包者课以与违约行为的严重性相称的罚款。\n\n21.7在承包者已有合理机会用尽根据《公约》第十一部分第五节可以使用的司法救济之前，理事会不得执行涉及罚款的决定。\n\n21.8在本合同被终止或到期时，承包者应遵守《规章》，从勘探区域撤出所有设施、工厂、设备和材料，使该区成为安全区域，不会对人员、航运或对海洋环境构成危险。第 22 节权利和义务的转让\n\n22.1 本合同规定的承包者权利和义务，须经管理局同意，并按照《规章》的规定，才可全部或部分转让。\n\n22.2 如果拟议的受让者根据《规章》的规定是在所有方面都合格的申请者，并且承担承包者的一切义务，管理局不应不合理地拒绝同意转让。\n\n22.3 本合同的条款、承诺和条件应对合同各方及其各自的继承者和受让者生效，使他们从中受益并受其拘束。第 23 节不放弃权利任何一方放弃因他方在履行本合同条款方面的一项违约行为而产生的权利，不应推定为该一方放弃权利，不追究他方随后在履行同一条款或任何其他条款方面的违约行为。第 24 节修改\n\n24.1 如果已经发生或可能发生的情况使管理局或承包者认为将使本合同有失公允，或使本合同或《公约》第十一部分和《协定》所订的目标无法或不可能实现，双方应进行谈判，对合同作出相应的修改。\n\n24.2 承包者和管理局也可以协议修改本合同，以便利执行管理局在本合同生效以后通过的任何规则、规章和程序。\n\n24.3 本合同的修改、修正或变更，须得到承包者和管理局的同意，以经由双方授权的代表签署的适当文书为之。第 25 节争端\n\n25.1 双方关于本合同的解释或适用的争端应依照《公约》第十一部分第五节的规定解决。\n\n25.2 依照《公约》附件三第二十一条第 2 款的规定，根据《公约》具有管辖权的法院或法庭就管理局和承包者的权利和义务作出的任何终局裁判，在任何受影响的《公约》缔约国境内均可执行。第 26 节通知\n\n26.1 与本合同有关的任何申请书、请求、通知、报告、同意书、批准书、放弃权利声明、指令或指示，应按情况由秘书长或由承包者的指定代表以书面作成。应以专人手递、电报、传真、挂号航空邮件或带有经授权的签字的电子邮件方式送达管理局总部交秘书长或送达指定的代表。以带有数字签字的电子文件提供信息，可满足本规章关于以书面形式提供一切信息的规定。\n\n26.2 任何一方都有权将任何地址更改为任何其他地址，但应至少提前十天向他方发出通知。\n\n26.3 专人手递的，于送达时生效。以电报传送的，于发送者电报机显示“回答”之日的下一个办公日视为生效。以传真传送的，于传真机收到“发送证实报告”证实已向收件者的公开传真号码发送传真时生效。以挂号航空信件发出的，于寄出\n\n21 天之后视为生效。电子文件，在其进入收件人为接收所发此类文件而指定或使用的信息系统，并可以由收件人取用和处理时，视为被收件人收到。\n\n26.4就本合同的所有目的而言，向承包者指定的代表发出的通知，构成给承包者的有效通知，而且在任何具有管辖权的法院或法庭的任何程序中，被指定代表的应为接收送达的传票或通知的承包者的代理人。\n\n26.5就本合同的所有目的而言，发给秘书长的通知构成给管理局的有效通知，而且在任何具有管辖权的法院或法庭的诉讼程序中，秘书长应为接收送关的传票或通知的管理局代理人。第 27 节适用的法律\n\n27.1本合同应按照本合同的条款、管理局的规则、规章和程序、《公约》第十一部分、《协定》以及与《公约》不相抵触的其他国际法规则确定。\n\n27.2承包者其雇员、分包者、代理人及他们为根据本合同进行承包者的业务而雇用为他们工作或代他们行事的所有人员，应遵守本合同第 27.1 节所提到的适用的法律，并且不应直接或间接地从事适用的法律禁止的任何交易。\n\n27.3本合同任何条款不得被视为不必为按照本合同进行的任何活动申请和取得可能需要的任何执照或授权。第 28 节解释本合同分成若干节和分节，另加上标题，仅为了便于参考，不应影响对合同的解释。第 29 节其他文件为实施本合同的规定，本合同每一当事方同意签署和递送所有必要或恰当的进一步文书，并采取和履行所有必要或恰当的进一步行动和事务。\n", "n_chars": 30861}
{"corpus_id": "isa/regulation/nodules-2013", "version_id": "2013-07-22", "title": "Regulations on Prospecting and Exploration for Polymetallic Nodules in the Area (as amended 2013)", "short_title": "ISA Polymetallic Nodules Exploration Regulations (2013)", "jurisdiction": "international", "document_type": "isa_regulation", "official_citation": "ISBA/19/C/17, annex — Regulations on Prospecting and Exploration for Polymetallic Nodules in the Area (originally ISBA/6/A/18 (2000), as amended 2013)", "authentic_languages": ["ar", "zh", "en", "fr", "ru", "es"], "language": "en", "adoption_date": "2013-07-22", "entry_into_force_date": null, "source_url": "https://isa.org.jm/wp-content/uploads/2022/04/isba-19c-17_0-2.pdf", "source_publisher": "International Seabed Authority (ISA)", "source_is_official": true, "authoritative_status": "authentic_text", "text_fidelity": "extracted_verified", "content_hash": "sha256:0d49f504b29f11dc81f0ba0416fa892f31e5e9acddc388ea7c203bf541cd601b", "original_sha256": "sha256:0d49f504b29f11dc81f0ba0416fa892f31e5e9acddc388ea7c203bf541cd601b", "text_sha256": "sha256:0d49f504b29f11dc81f0ba0416fa892f31e5e9acddc388ea7c203bf541cd601b", "license": "isa-materials-terms", "rights_note": "Official ISA document (ISBA/19/C/17), attributed to the International Seabed Authority; UN document series, used with attribution; not relicensed.", "provenance_note": "English authentic text of the ISA Council decision ISBA/19/C/17 (22 July 2013) and its annex, which contains the consolidated Regulations on Prospecting and Exploration for Polymetallic Nodules in the Area as amended in 2013 (Regulations 1–40 across Parts I–VIII, plus the annexed forms and the standard clauses for exploration contract). The Nodules Regulations were originally adopted by the Assembly in 2000 (ISBA/6/A/18); the 2013 amendments were adopted by the Assembly in ISBA/19/A/9. Captured 2026-07-03 from the official ISA PDF via the approved web-fetch tool; a deterministic cleaner removed PDF page artifacts (UN job numbers, running headers, footnote markers) and reconstructed provision boundaries — no wording was altered. Text extraction, NOT a byte-exact PDF; a human-downloaded byte-exact official PDF is a recommended provenance upgrade. Other five authentic languages not yet stored (JC-003).", "text": "ISA Regulations on Prospecting and Exploration for Polymetallic Nodules in the Area (as amended 2013) — ISBA/19/C/17, annex\n\nDecision of the Council of the International Seabed Authority relating to amendments to the Regulations on Prospecting and Exploration for Polymetallic Nodules in the Area and related matters The Council of the International Seabed Authority,\n\n1. Adopts the amendments to the Regulations on Prospecting and Exploration for Polymetallic Nodules in the Area as contained in the annex to the present document;\n\n2. Decides to apply the amended Regulations provisionally from the date of their adoption by the Council, pending their approval by the Assembly of the\n\n3. Requests the Secretary-General, in the case of a pending application for approval of a plan of work for polymetallic nodules submitted prior to the entry into force of the amendments to the Regulations, to consult the applicant prior to the signature of the contract for exploration, with a view to incorporating any necessary revisions into the standard terms of contract;\n\n4. Requests the Legal and Technical Commission of the Authority to make a recommendation for consideration by the Council at its twentieth session to bring\n\nregulation 21 of the Regulations on Prospecting and Exploration for Polymetallic Sulphides in the Area1 into line with regulation 21 of the Regulations on Prospecting and Exploration for Cobalt-rich Ferromanganese Crusts in the Area;2\n\n5. Decides that, pending the receipt of the recommendation of the Legal and Technical Commission referred to in paragraph 4, regulation 21 (1) (b) of the Regulations on Prospecting and Exploration for Polymetallic Sulphides in the Area shall not apply;\n\n6. Further requests the Legal and Technical Commission to review the provisions of the Regulations on Prospecting and Exploration for Polymetallic Nodules in the Area, the Regulations on Prospecting and Exploration for Polymetallic Sulphides and the Regulations on Prospecting and Exploration for Cobalt-rich Ferromanganese Crusts in the Area relating to the monopolization of activities in the Area and the option of offering an equity interest in a joint venture arrangement with a view to possibly aligning all three sets of regulations in this respect and to make a recommendation thereon for consideration by the Council at its twentieth session. 190th meeting 2 13-40403 Annex Regulations on Prospecting and Exploration for Polymetallic Nodules in the Area Preamble In accordance with the United Nations Convention on the Law of the Sea of 10 December 1982 (“the Convention”), the seabed and ocean floor and the subsoil thereof beyond the limits of national jurisdiction, as well as its resources, are the common heritage of mankind, the exploration and exploitation of which shall be carried out for the benefit of mankind as a whole, on whose behalf the International Seabed Authority acts. The objective of this set of Regulations is to provide for prospecting and exploration for polymetallic nodules.\n\nPart I. Introduction\n\nRegulation 1. Use of terms and scope\n\n1. Terms used in the Convention shall have the same meaning in these Regulations.\n\n2. In accordance with the Agreement relating to the Implementation of Part XI of the United Nations Convention on the Law of the Sea of 10 December 1982 (“the Agreement”), the provisions of the Agreement and Part XI of the Convention shall be interpreted and applied together as a single instrument. These Regulations and references in these Regulations to the Convention are to be interpreted and applied accordingly.\n\n3. For the purposes of these Regulations:\n\n(a) “Exploitation” means the recovery for commercial purposes of polymetallic nodules in the Area and the extraction of minerals therefrom, including the construction and operation of mining, processing and transportation systems, for the production and marketing of metals;\n\n(b) “Exploration” means the searching for deposits of polymetallic nodules in the Area with exclusive rights, the analysis of such deposits, the use and testing of recovery systems and equipment, processing facilities and transportation systems and the carrying out of studies of the environmental, technical, economic, commercial and other appropriate factors that must be taken into account in exploitation;\n\n(c) “Marine environment” includes the physical, chemical, geological and biological components, conditions and factors which interact and determine the productivity, state, condition and quality of the marine ecosystem, the waters of the seas and oceans and the airspace above those waters, as well as the seabed and ocean floor and subsoil thereof;\n\n(d) “Polymetallic nodules” means one of the resources of the Area consisting of any deposit or accretion of nodules, on or just below the surface of the deep seabed, which contain manganese, nickel, cobalt and copper;\n\n(e) “Prospecting” means the search for deposits of polymetallic nodules in the Area, including estimation of the composition, sizes and distributions of deposits of polymetallic nodules and their economic values, without any exclusive rights;\n\n(f) “Serious harm to the marine environment” means any effect from activities in the Area on the marine environment which represents a significant adverse change in the marine environment determined according to the rules, regulations and procedures adopted by the Authority on the basis of internationally recognized standards and practices.\n\n4. These Regulations shall not in any way affect the freedom of scientific research, pursuant to article 87 of the Convention, or the right to conduct marine scientific research in the Area pursuant to articles 143 and 256 of the Convention. Nothing in these Regulations shall be construed in such a way as to restrict the exercise by States of the freedom of the high seas as reflected in article 87 of the Convention.\n\n5. These Regulations may be supplemented by further rules, regulations and procedures, in particular on the protection and preservation of the marine environment. These Regulations shall be subject to the provisions of the Convention and the Agreement and other rules of international law not incompatible with the Convention.\n\nPart II. Prospecting\n\nRegulation 2. Prospecting\n\n1. Prospecting shall be conducted in accordance with the Convention and these Regulations and may commence only after the prospector has been informed by the Secretary-General that its notification has been recorded pursuant to regulation 4 (2).\n\n2. Prospectors and the Authority shall apply a precautionary approach, as reflected in principle 15 of the Rio Declaration on Environment and Development.3 Prospecting shall not be undertaken if substantial evidence indicates the risk of serious harm to the marine environment.\n\n3. Prospecting shall not be undertaken in an area covered by an approved plan of work for exploration for polymetallic nodules or in a reserved area; nor may there be prospecting in an area which the Council has disapproved for exploitation because of the risk of serious harm to the marine environment.\n\n4. Prospecting shall not confer on the prospector any rights with respect to resources. A prospector may, however, recover a reasonable quantity of minerals, being the quantity necessary for testing and not for commercial use. 3 Report of the United Nations Conference on Environment and Development, Rio de Janeiro, 3-14 June 1992 (United Nations publication, Sales No. E.93.I.8 and corrigendum), vol. I, Resolutions adopted by the Conference, resolution 1, annex I. 4 13-40403\n\n5. There shall be no time limit on prospecting, except that prospecting in a particular area shall cease upon written notification to the prospector by the Secretary-General that a plan of work for exploration has been approved with regard to that area.\n\n6. Prospecting may be conducted simultaneously by more than one prospector in the same area or areas.\n\nRegulation 3. Notification of prospecting\n\n1. A proposed prospector shall notify the Authority of its intention to engage in prospecting.\n\n2. Each notification of prospecting shall be in the form prescribed in annex I to these Regulations, shall be addressed to the Secretary-General and shall conform to the requirements of these Regulations.\n\n3. Each notification shall be submitted:\n\n(a) In the case of a State, by the authority designated for that purpose by it;\n\n(b) In the case of an entity, by its designated representative;\n\n(c) In the case of the Enterprise, by its competent authority.\n\n4. Each notification shall be in one of the languages of the Authority and shall contain:\n\n(a) The name, nationality and address of the proposed prospector and its designated representative;\n\n(b) The coordinates of the broad area or areas within which prospecting is to be conducted, in accordance with the most recent generally accepted international standard used by the Authority;\n\n(c) A general description of the prospecting programme, including the proposed date of commencement and its approximate duration;\n\n(d) A satisfactory written undertaking that the proposed prospector will:\n\n(i) Comply with the Convention and the relevant rules, regulations and procedures of the Authority concerning: a. Cooperation in the training programmes in connection with marine scientific research and transfer of technology referred to in articles 143 and 144 of the Convention; and b. Protection and preservation of the marine environment;\n\n(ii) Accept verification by the Authority of compliance therewith; and\n\n(iii) Make available to the Authority, as far as practicable, such data as may be relevant to the protection and preservation of the marine environment.\n\nRegulation 4. Consideration of notifications\n\n1. The Secretary-General shall acknowledge in writing receipt of each notification submitted under regulation 3, specifying the date of receipt.\n\n2. The Secretary-General shall review and act on the notification within 45 days of its receipt. If the notification conforms with the requirements of the Convention and these Regulations, the Secretary-General shall record the particulars of the notification in a register maintained for that purpose and shall inform the prospector in writing that the notification has been so recorded.\n\n3. The Secretary-General shall, within 45 days of receipt of the notification, inform the proposed prospector in writing if the notification includes any part of an area included in an approved plan of work for exploration or exploitation of any category of resources, or any part of a reserved area, or any part of an area which has been disapproved by the Council for exploitation because of the risk of serious harm to the marine environment, or if the written undertaking is not satisfactory, and shall provide the proposed prospector with a written statement of reasons. In such cases, the proposed prospector may, within 90 days, submit an amended notification. The Secretary-General shall, within 45 days, review and act upon such amended notification.\n\n4. A prospector shall inform the Secretary-General in writing of any change in the information contained in the notification.\n\n5. The Secretary-General shall not release any particulars contained in the notification except with the written consent of the prospector. The Secretary\u0002General shall, however, from time to time inform all members of the Authority of the identity of prospectors and the general areas in which prospecting is being conducted.\n\nRegulation 5. Protection and preservation of the marine environment during prospecting\n\n1. Each prospector shall take necessary measures to prevent, reduce and control pollution and other hazards to the marine environment arising from prospecting, as far as reasonably possible, applying a precautionary approach and best environmental practices. In particular, each prospector shall minimize or eliminate:\n\n(a) Adverse environmental impacts from prospecting; and\n\n(b) Actual or potential conflicts or interference with existing or planned marine scientific research activities, in accordance with the relevant future guidelines in this regard.\n\n2. Prospectors shall cooperate with the Authority in the establishment and implementation of programmes for monitoring and evaluating the potential impacts of the exploration for and exploitation of polymetallic nodules on the marine environment.\n\n3. A prospector shall immediately notify the Secretary-General in writing, using the most effective means, of any incident arising from prospecting which has caused, is causing or poses a threat of serious harm to the marine environment. 6 13-40403 Upon receipt of such notification the Secretary-General shall act in a manner consistent with regulation 33.\n\nRegulation 6. Annual report\n\n1. A prospector shall, within 90 days of the end of each calendar year, submit a report to the Authority on the status of prospecting. Such reports shall be submitted by the Secretary-General to the Legal and Technical Commission. Each such report shall contain:\n\n(a) A general description of the status of prospecting and of the results obtained;\n\n(b) Information on compliance with the undertakings referred to in\n\nregulation 3 (4) (d); and\n\n(c) Information on adherence to the relevant guidelines in this regard.\n\n2. If the prospector intends to claim expenditures for prospecting as part of the development costs incurred prior to the commencement of commercial production, the prospector shall submit an annual statement, in conformity with internationally accepted accounting principles and certified by a duly qualified firm of public accountants, of the actual and direct expenditures incurred by the prospector in carrying out prospecting.\n\nRegulation 7. Confidentiality of data and information from prospecting contained in the annual report\n\n1. The Secretary-General shall ensure the confidentiality of all data and information contained in the reports submitted under regulation 6 applying mutatis mutandis the provisions of regulations 36 and 37, provided that data and information relating to the protection and preservation of the marine environment, in particular those from environmental monitoring programmes, shall not be considered confidential. The prospector may request that such data not be disclosed for up to three years following the date of their submission.\n\n2. The Secretary-General may, at any time, with the consent of the prospector concerned, release data and information relating to prospecting in an area in respect of which a notification has been submitted. If, after having made reasonable efforts for at least two years, the Secretary-General determines that the prospector no longer exists or cannot be located, the Secretary-General may release such data and information.\n\nRegulation 8. Objects of an archaeological or historical nature A prospector shall immediately notify the Secretary-General in writing of any finding in the Area of an object of actual or potential archaeological or historical nature and its location. The Secretary-General shall transmit such information to the Director General of the United Nations Educational, Scientific and Cultural Organization.\n\nPart III. Applications for approval of plans of work for exploration in the form of contracts\n\nSection 1. General provisions\n\nRegulation 9. General Subject to the provisions of the Convention, the following may apply to the Authority for approval of plans of work for exploration:\n\n(a) The Enterprise, on its own behalf or in a joint arrangement;\n\n(b) States parties, State enterprises or natural or juridical persons which possess the nationality of States or are effectively controlled by them or their nationals, when sponsored by such States, or any group of the foregoing which meets the requirements of these Regulations.\n\nSection 2. Content of applications\n\nRegulation 10. Form of applications\n\n1. Each application for approval of a plan of work for exploration shall be in the form prescribed in annex II to these Regulations, shall be addressed to the Secretary-General and shall conform to the requirements of these Regulations.\n\n2. Each application shall be submitted:\n\n(a) In the case of a State, by the authority designated for that purpose by it;\n\n(b) In the case of an entity, by its designated representative or the authority designated for that purpose by the sponsoring State or States; and\n\n(c) In the case of the Enterprise, by its competent authority.\n\n3. Each application by a State enterprise or one of the entities referred to in\n\nregulation 9 (b) shall also contain:\n\n(a) Sufficient information to determine the nationality of the applicant or the identity of the State or States by which, or by whose nationals, the applicant is effectively controlled; and\n\n(b) The principal place of business or domicile and, if applicable, place of registration of the applicant.\n\n4. Each application submitted by a partnership or consortium of entities shall contain the required information in respect of each member of the partnership or consortium. 8 13-40403\n\nRegulation 11. Certificate of sponsorship\n\n1. Each application by a State enterprise or one of the entities referred to in\n\nregulation 9 (b) shall be accompanied by a certificate of sponsorship issued by the State of which it is a national or by which or by whose nationals it is effectively controlled. If the applicant has more than one nationality, as in the case of a partnership or consortium of entities from more than one State, each State involved shall issue a certificate of sponsorship.\n\n2. Where the applicant has the nationality of one State but is effectively controlled by another State or its nationals, each State involved shall issue a certificate of sponsorship.\n\n3. Each certificate of sponsorship shall be duly signed on behalf of the State by which it is submitted and shall contain:\n\n(a) The name of the applicant;\n\n(b) The name of the sponsoring State;\n\n(c) A statement that the applicant is:\n\n(i) A national of the sponsoring State; or\n\n(ii) Subject to the effective control of the sponsoring State or its nationals;\n\n(d) A statement by the sponsoring State that it sponsors the applicant;\n\n(e) The date of deposit by the sponsoring State of its instrument of ratification of, or accession or succession to, the Convention;\n\n(f) A declaration that the sponsoring State assumes responsibility in accordance with articles 139 and 153 (4) of the Convention and article 4 (4) of\n\nannex III to the Convention.\n\n4. States or entities in a joint arrangement with the Enterprise shall also comply with this regulation.\n\nRegulation 12. Financial and technical capabilities\n\n1. Each application for approval of a plan of work for exploration shall contain specific and sufficient information to enable the Council to determine whether the applicant is financially and technically capable of carrying out the proposed plan of work for exploration and of fulfilling its financial obligations to the Authority.\n\n2. An application for approval of a plan of work for exploration submitted on behalf of a State or entity, or any component of such entity, referred to in paragraph 1 (a) (ii) or (iii) of resolution II, other than a registered pioneer investor, which has 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 for exploration if the sponsoring State or States certify that the applicant has expended an amount equivalent to at least 30 million United States dollars 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 for exploration.\n\n3. An application for approval of a plan of work for exploration by the Enterprise shall include a statement by its competent authority certifying that the Enterprise has the necessary financial resources to meet the estimated costs of the proposed plan of work for exploration.\n\n4. An application for approval of a plan of work for exploration by a State or a State enterprise, other than a registered pioneer investor or an entity referred to in paragraph 1 (a) (ii) or (iii) of resolution II, shall include a statement by the State or the sponsoring State certifying that the applicant has the necessary financial resources to meet the estimated costs of the proposed plan of work for exploration.\n\n5. An application for approval of a plan of work for exploration by an entity, other than a registered pioneer investor or an entity referred to in paragraph 1 (a) (ii) or (iii) of resolution II, shall include copies of its audited financial statements, including balance sheets and profit-and-loss statements, for the most recent three years, in conformity with internationally accepted accounting principles and certified by a duly qualified firm of public accountants.\n\n6. If the applicant is a newly organized entity and a certified balance sheet is not available, the application shall include a pro forma balance sheet certified by an appropriate official of the applicant.\n\n7. If the applicant is a subsidiary of another entity, the application shall include copies of such financial statements of that entity and a statement from that entity, in conformity with internationally accepted accounting principles and certified by a duly qualified firm of public accountants, that the applicant will have the financial resources to carry out the plan of work for exploration.\n\n8. If the applicant is controlled by a State or a State enterprise, the application shall include a statement from the State or State enterprise certifying that the applicant will have the financial resources to carry out the plan of work for exploration.\n\n9. Where an applicant seeking approval of a plan of work for exploration intends to finance the proposed plan of work for exploration by borrowings, its application shall include the amount of such borrowings, the repayment period and the interest rate.\n\n10. Except as provided for in paragraph 2, each application shall include:\n\n(a) A general description of the applicant’s previous experience, knowledge, skills, technical qualifications and expertise relevant to the proposed plan of work for exploration;\n\n(b) A general description of the equipment and methods expected to be used in carrying out the proposed plan of work for exploration and other relevant non proprietary information about the characteristics of such technology; and\n\n(c) A general description of the applicant’s financial and technical capability to respond to any incident or activity which causes serious harm to the marine environment. 10 13-40403\n\n11. Where the applicant is a partnership or consortium of entities in a joint arrangement, each member of the partnership or consortium shall provide the information required by this regulation.\n\nRegulation 13. Previous contracts with the Authority Where the applicant or, in the case of an application by a partnership or consortium of entities in a joint arrangement, any member of the partnership or consortium, has previously been awarded any contract with the Authority, the application shall include:\n\n(a) The date of the previous contract or contracts;\n\n(b) The date, reference number and title of each report submitted to the Authority in connection with the contract or contracts; and\n\n(c) The date of termination of the contract or contracts, if applicable.\n\nRegulation 14. Undertakings Each applicant, including the Enterprise, shall, as part of its application for approval of a plan of work for exploration, provide a written undertaking to the Authority that it will:\n\n(a) Accept as enforceable and comply with the applicable obligations created by the provisions of the Convention and the rules, regulations and procedures of the Authority, the decisions of the organs of the Authority and the terms of its contracts with the Authority;\n\n(b) Accept control by the Authority of activities in the Area, as authorized by the Convention; and\n\n(c) Provide the Authority with a written assurance that its obligations under the contract will be fulfilled in good faith.\n\nRegulation 15. Total area covered by the application Each application for approval of a plan of work for exploration shall define the boundaries of the area under application by a list of coordinates in accordance with the most recent generally accepted international standard used by the Authority. Applications other than those under regulation 17 shall cover a total area, which need not be a single continuous area, sufficiently large and of sufficient estimated commercial value to allow two mining operations. The applicant shall indicate the coordinates dividing the area into two parts of equal estimated commercial value. The area to be allocated to the applicant shall be subject to the provisions of\n\nregulation 25.\n\nRegulation 16. Data and information to be submitted before the designation of a reserved area\n\n1. Each application shall contain sufficient data and information, as prescribed in\n\nsection II of annex II to these Regulations, with respect to the area under application to enable the Council, on the recommendation of the Legal and Technical Commission, to designate a reserved area based on the estimated commercial value of each part. Such data and information shall consist of data available to the applicant with respect to both parts of the area under application, including the data used to determine their commercial value.\n\n2. The Council, on the basis of the data and information submitted by the applicant pursuant to section II of annex II to these Regulations, if found satisfactory, and taking into account the recommendation of the Legal and Technical Commission, shall designate the part of the area under application which is to be a reserved area. The area so designated shall become a reserved area as soon as the plan of work for exploration for the non-reserved area is approved and the contract is signed. If the Council determines that additional information, consistent with these Regulations and annex II, is needed to designate the reserved area, it shall refer the matter back to the Commission for further consideration, specifying the additional information required.\n\n3. Once the plan of work for exploration is approved and a contract has been issued, the data and information transferred to the Authority by the applicant in respect of the reserved area may be disclosed by the Authority in accordance with article 14 (3) of annex III to the Convention.\n\nRegulation 17. Applications for approval of plans of work with respect to a reserved area\n\n1. Any State which is a developing State or any natural or juridical person sponsored by it and effectively controlled by it or by any other developing State, or any group of the foregoing, may notify the Authority that it wishes to submit a plan of work for exploration with respect to a reserved area. The Secretary-General shall forward such notification to the Enterprise, which shall inform the Secretary\u0002General in writing within six months whether or not it intends to carry out activities in that area. If the Enterprise intends to carry out activities in that area, it shall, pursuant to paragraph 4, also inform in writing the contractor whose application for approval of a plan of work for exploration originally included that area.\n\n2. An application for approval of a plan of work for exploration in respect of a reserved area may be submitted at any time after such an area becomes available following a decision by the Enterprise that it does not intend to carry out activities in that area or where the Enterprise has not, within six months of the notification by the Secretary-General, either taken a decision on whether it intends to carry out activities in that area or notified the Secretary-General in writing that it is engaged in discussions regarding a potential joint venture. In the latter instance, the Enterprise shall have one year from the date of such notification in which to decide whether to conduct activities in that area.\n\n3. If the Enterprise or a developing State or one of the entities referred to in paragraph 1 does not submit an application for approval of a plan of work for exploration for activities in a reserved area within 15 years of the commencement by the Enterprise 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 whose application for approval of a plan of work for exploration originally included that area shall be entitled to apply for a 12 13-40403 plan of work for exploration for that area provided it offers in good faith to include the Enterprise as a joint-venture partner.\n\n4. A contractor has the right of first refusal to enter into a joint venture arrangement with the Enterprise for exploration of the area which was included in its application for approval of a plan of work for exploration and which was designated by the Council as a reserved area.\n\nRegulation 18. Data and information to be submitted for approval of the plan of work for exploration Each applicant shall submit, with a view to receiving approval of the plan of work for exploration in the form of a contract, the following information:\n\n(a) A general description and a schedule of the proposed exploration programme, including the programme of activities for the immediate five-year period, such as studies to be undertaken in respect of the environmental, technical, economic and other appropriate factors that must be taken into account in exploration;\n\n(b) A description of the programme for oceanographic and environmental baseline studies in accordance with these Regulations and any environmental rules, regulations and procedures established by the Authority that would enable an assessment of the potential environmental impact, including, but not restricted to, the impact on biodiversity, of the proposed exploration activities, taking into account any recommendations issued by the Legal and Technical Commission;\n\n(c) A preliminary assessment of the possible impact of the proposed exploration activities on the marine environment;\n\n(d) A description of proposed measures for the prevention, reduction and control of pollution and other hazards, as well as possible impacts, to the marine environment;\n\n(e) Data necessary for the Council to make the determination it is required to make in accordance with regulation 12 (1); and\n\n(f) A schedule of anticipated yearly expenditures in respect of the programme of activities for the immediate five-year period.\n\nSection 3. Fees\n\nRegulation 19. Fee for applications\n\n1. The fee for processing an application for approval of a plan of work for exploration for polymetallic nodules shall be a fixed amount of 500,000 United States dollars or its equivalent in a freely convertible currency, to be paid in full at the time of the submission of an application.\n\n2. If the administrative costs incurred by the Authority in processing an application are less than the fixed amount indicated in paragraph 1 above, the Authority shall refund the difference to the applicant. If the administrative costs incurred by the Authority in processing an application are more than the fixed amount indicated in paragraph 1 above, the applicant shall pay the difference to the Authority, provided that any additional amount to be paid by the applicant shall not exceed 10 per cent of the fixed fee referred to in paragraph 1.\n\n3. Taking into account any criteria established for this purpose by the Finance Committee, the Secretary-General shall determine the amount of such differences as indicated in paragraph 2 above and notify the applicant of its amount. The notification shall include a statement of the expenditure incurred by the Authority. The amount due shall be paid by the applicant or reimbursed by the Authority within three months of the signing of the contract referred to in regulation 23 below.\n\n4. The fixed amount referred to in paragraph 1 above shall be reviewed on a regular basis by the Council in order to ensure that it covers the expected administrative costs of processing applications and to avoid the need for applicants to pay additional amounts in accordance with paragraph 2 above.\n\nSection 4. Processing of applications\n\nRegulation 20. Receipt, acknowledgement and safe custody of applications\n\n1. The Secretary-General shall:\n\n(a) Acknowledge in writing within 30 days receipt of every application for approval of a plan of work for exploration submitted under this Part, specifying the date of receipt;\n\n(b) Place the application together with the attachments and annexes thereto in safe custody and ensure the confidentiality of all confidential data and information contained in the application; and\n\n(c) Notify the members of the Authority of the receipt of such application and circulate to them information of a general nature which is not confidential regarding the application.\n\nRegulation 21. Consideration by the Legal and Technical Commission\n\n1. Upon receipt of an application for approval of a plan of work for exploration, the Secretary-General shall notify the members of the Legal and Technical Commission and place consideration of the application as an item on the agenda for the next meeting of the Commission. The Commission shall consider only applications in respect of which notification and information has been circulated by the Secretary-General in accordance with regulation 20 (c) at least 30 days prior to the commencement of the meeting of the Commission at which they are to be considered.\n\n2. The Commission shall examine applications in the order in which they are received.\n\n3. The Commission shall determine if the applicant:\n\n(a) Has complied with the provisions of these Regulations; 14 13-40403\n\n(b) Has given the undertakings and assurances specified in regulation 14;\n\n(c) Possesses the financial and technical capability to carry out the proposed plan of work for exploration and has provided details as to its ability to comply promptly with emergency orders; and\n\n(d) Has satisfactorily discharged its obligations in relation to any previous contract with the Authority.\n\n4. The Commission shall, in accordance with the requirements set forth in these Regulations and its procedures, determine whether the proposed plan of work for exploration will:\n\n(a) Provide for effective protection of human health and safety;\n\n(b) Provide for effective protection and preservation of the marine environment including, but not restricted to, the impact on biodiversity;\n\n(c) Ensure that installations are not established where interference may be caused to the use of recognized sea lanes essential to international navigation or in areas of intense fishing activity.\n\n5. If the Commission makes the determinations specified in paragraph 3 and determines that the proposed plan of work for exploration meets the requirements of paragraph 4, the Commission shall recommend approval of the plan of work for exploration to the Council.\n\n6. The Commission shall not recommend approval of the plan of work for exploration if part or all of the area covered by the proposed plan of work for exploration is included in:\n\n(a) A plan of work for exploration approved by the Council for polymetallic nodules; or\n\n(b) A plan of work approved by the Council for exploration for or exploitation of other resources if the proposed plan of work for exploration for polymetallic nodules might cause undue interference with activities under such approved plan of work for other resources; or\n\n(c) An area disapproved for exploitation by the Council in cases where substantial evidence indicates the risk of serious harm to the marine environment; or\n\n(d) If the proposed plan of work for exploration has been submitted or sponsored by a State that already holds:\n\n(i) Plans of work for exploration and exploitation or exploitation only in non-reserved areas that, together with either part of the area covered by the application, exceed in size 30 per cent of a circular area of 400,000 square kilometres surrounding the centre of either part of the area covered by the proposed plan of work;\n\n(ii) Plans of work for exploration and exploitation or exploitation only in non-reserved areas which, taken together, constitute 2 per cent of that part of the Area which is not reserved or disapproved for exploitation pursuant to article 162 (2) (x) of the Convention.\n\n7. Except in the case of applications by the Enterprise, on its own behalf or in a joint venture, and applications under regulation 17, the Commission shall not recommend approval of the plan of work for exploration if part or all of the area covered by the proposed plan of work for exploration is included in a reserved area or an area designated by the Council to be a reserved area.\n\n8. If the Commission finds that an application does not comply with these Regulations, it shall notify the applicant in writing, through the Secretary-General, indicating the reasons. The applicant may, within 45 days of such notification, amend its application. If the Commission after further consideration is of the view that it should not recommend approval of the plan of work for exploration, it shall so inform the applicant and provide the applicant with a further opportunity to make representations within 30 days of such information. The Commission shall consider any such representations made by the applicant in preparing its report and recommendation to the Council.\n\n9. In considering a proposed plan of work for exploration, the Commission shall have regard to the principles, policies and objectives relating to activities in the Area as provided for in Part XI and annex III of the Convention and the Agreement.\n\n10. The Commission shall consider applications expeditiously and shall submit its report and recommendations to the Council on the designation of the areas and on the plan of work for exploration at the first possible opportunity, taking into account the schedule of meetings of the Authority.\n\n11. In discharging its duties, the Commission shall apply these Regulations and the rules, regulations and procedures of the Authority in a uniform and non-discriminatory manner.\n\nRegulation 22. Consideration and approval of plans of work for exploration by the Council The Council shall consider the reports and recommendations of the Commission relating to approval of plans of work for exploration in accordance with paragraphs 11 and 12 of section 3 of the annex to the Agreement.\n\nPart IV. Contracts for exploration\n\nRegulation 23. The contract\n\n1. After a plan of work for exploration has been approved by the Council, it shall be prepared in the form of a contract between the Authority and the applicant as prescribed in annex III to these Regulations. Each contract shall incorporate the standard clauses set out in annex IV in effect at the date of entry into force of the contract.\n\n2. The contract shall be signed by the Secretary-General on behalf of the Authority and by the applicant. The Secretary-General shall notify all members of the Authority in writing of the conclusion of each contract.\n\n3. In accordance with the principle of non-discrimination, a contract with a State or entity or any component of such entity referred to in paragraph 6 (a) (i) of section 1 of the annex to the Agreement shall include arrangements that shall be similar to and no less favourable than those agreed with any registered pioneer investor. If any 16 13-40403 of the States or entities or any components of such entities referred to in paragraph 6 (a) (i) of section 1 of the annex to the Agreement 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, provided that such arrangements do not affect or prejudice the interests of the Authority.\n\nRegulation 24. Rights of the contractor\n\n1. The contractor shall have the exclusive right to explore an area covered by a plan of work for exploration in respect of polymetallic nodules. The Authority shall ensure that no other entity operates in the same area for other resources in a manner that might interfere with the operations of the contractor.\n\n2. A contractor who has an approved plan of work for exploration only shall have a preference and a priority among applicants submitting plans of work for exploitation of the same area and resources. Such preference or priority may be withdrawn by the Council if the contractor has failed to comply with the requirements of its approved plan of work for exploration within the time period specified in a written notice or notices from the Council to the contractor indicating which requirements have not been complied with by the contractor. The time period specified in any such notice shall not be unreasonable. The contractor shall be accorded a reasonable opportunity to be heard before the withdrawal of such preference or priority becomes final. The Council shall provide the reasons for its proposed withdrawal of preference or priority and shall consider any contractor’s response. The decision of the Council shall take account of that response and shall be based on substantial evidence.\n\n3. A withdrawal of preference or priority shall not become effective until the contractor has been accorded a reasonable opportunity to exhaust the judicial remedies available to it pursuant to Part XI, section 5, of the Convention.\n\nRegulation 25. Size of area and relinquishment\n\n1. The total area allocated to the contractor under the contract shall not exceed 150,000 square kilometres. The contractor shall relinquish portions of the area allocated to it to revert to the Area. By the end of the third year from the date of the contract, the contractor shall have relinquished 20 per cent of the area allocated to it; by the end of the fifth year from the date of the contract, the contractor shall have relinquished an additional 10 per cent of the area allocated to it; and, after eight years from the date of the contract, the contractor shall have relinquished an additional 20 per cent of the area allocated to it, or such larger amount as would exceed the exploitation area decided upon by the Authority, provided that a contractor shall not be required to relinquish any portion of such area when the total area allocated to it does not exceed 75,000 square kilometres.\n\n2. The Council may, at the request of the contractor, and on the recommendation of the Commission, in exceptional circumstances, defer the schedule of relinquishment. Such exceptional circumstances shall be determined by the Council and shall include, inter alia, consideration of prevailing economic circumstances or other unforeseen exceptional circumstances arising in connection with the operational activities of the contractor.\n\nRegulation 26. Duration of contracts\n\n1. A plan of work for exploration shall be approved for a period of 15 years. Upon 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, has obtained an extension for the plan of work for exploration or decides to renounce its rights in the area covered by the plan of work for exploration.\n\n2. Not later than six months before the expiration of a plan of work for exploration, a contractor may apply for extensions for the plan of work for exploration for periods of not more than five years each. Such extensions shall be approved by the Council, on the recommendation of the Commission, 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.\n\nRegulation 27. Training Pursuant to article 15 of annex III to the Convention, each contract shall include as a schedule a practical programme for the training of personnel of the Authority and developing States and drawn up by the contractor in cooperation with the Authority and the sponsoring State or States. Training programmes shall focus on training in the conduct of exploration, and shall provide for full participation by such personnel in all activities covered by the contract. Such training programmes may be revised and developed from time to time as necessary by mutual agreement.\n\nRegulation 28. Periodic review of the implementation of the plan of work for exploration\n\n1. The contractor and the Secretary-General shall jointly undertake a periodic review of the implementation of the plan of work for exploration at intervals of five years. The Secretary-General may request the contractor to submit such additional data and information as may be necessary for the purposes of the review.\n\n2. In the light of the review, the contractor shall indicate its programme of activities for the following five-year period, making such adjustments to its previous programme of activities as are necessary.\n\n3. The Secretary-General shall report on the review to the Commission and to the Council. The Secretary-General shall indicate in the report whether any observations transmitted to him by States parties to the Convention concerning the manner in which the contractor has discharged its obligations under these Regulations relating to the protection and preservation of the marine environment were taken into account in the review. 18 13-40403\n\nRegulation 29. Termination of sponsorship\n\n1. Each contractor shall have the required sponsorship throughout the period of the contract.\n\n2. If a State terminates its sponsorship it shall promptly notify the Secretary\u0002General in writing. The sponsoring State should also inform the Secretary-General of the reasons for terminating its sponsorship. Termination of sponsorship shall take effect six months after the date of receipt of the notification by the Secretary\u0002General, unless the notification specifies a later date.\n\n3. In the event of termination of sponsorship the contractor shall, within the period referred to in paragraph 2, obtain another sponsor. Such sponsor shall submit a certificate of sponsorship in accordance with regulation 11. Failure to obtain a sponsor within the required period shall result in the termination of the contract.\n\n4. A sponsoring State shall not be discharged by reason of the termination of its sponsorship from any obligations accrued while it was a sponsoring State, nor shall such termination affect any legal rights and obligations created during such sponsorship.\n\n5. The Secretary-General shall notify the members of the Authority of the termination or change of sponsorship.\n\nRegulation 30. Responsibility and liability Responsibility and liability of the contractor and of the Authority shall be in accordance with the Convention. The contractor shall continue to have responsibility for any damage arising out of wrongful acts in the conduct of its operations, in particular damage to the marine environment, after the completion of the exploration phase.\n\nPart V. Protection and preservation of the marine environment\n\nRegulation 31. Protection and preservation of the marine environment\n\n1. The Authority shall, in accordance with the Convention and the Agreement, establish and keep under periodic review environmental rules, regulations and procedures to ensure effective protection for the marine environment from harmful effects which may arise from activities in the Area.\n\n2. In order to ensure effective protection for the marine environment from harmful effects which may arise from activities in the Area, the Authority and sponsoring States shall apply a precautionary approach, as reflected in principle 15 of the Rio Declaration, and best environmental practices.\n\n3. The Legal and Technical Commission shall make recommendations to the Council on the implementation of paragraphs 1 and 2 above.\n\n4. The Commission shall develop and implement procedures for determining, on the basis of the best available scientific and technical information, including information provided pursuant to regulation 18, whether proposed exploration activities in the Area would have serious harmful effects on vulnerable marine ecosystems and ensure that, if it is determined that certain proposed exploration activities would have serious harmful effects on vulnerable marine ecosystems, those activities are managed to prevent such effects or not authorized to proceed.\n\n5. Pursuant to article 145 of the Convention and paragraph 2 of this regulation, each contractor shall take necessary measures to prevent, reduce and control pollution and other hazards to the marine environment arising from its activities in the Area as far as reasonably possible, applying a precautionary approach and best environmental practices.\n\n6. Contractors, sponsoring States and other interested States or entities shall cooperate with the Authority in the establishment and implementation of programmes for monitoring and evaluating the impacts of deep seabed mining on the marine environment. When required by the Council, such programmes shall include proposals for areas to be set aside and used exclusively as impact reference zones and preservation reference zones. “Impact reference zones” means areas to be used for assessing the effect of activities in the Area on the marine environment and which are representative of the environmental characteristics of the Area. “Preservation reference zones” means areas in which no mining shall occur to ensure representative and stable biota of the seabed in order to assess any changes in the biodiversity of the marine environment.\n\nRegulation 32. Environmental baselines and monitoring\n\n1. Each contract shall require the contractor to gather environmental baseline data and to establish environmental baselines, taking into account any recommendations issued by the Legal and Technical Commission pursuant to\n\nregulation 39, against which to assess the likely effects of its programme of activities under the plan of work for exploration on the marine environment and a programme to monitor and report on such effects. The recommendations issued by the Commission may, inter alia, list those exploration activities which may be considered to have no potential for causing harmful effects on the marine environment. The contractor shall cooperate with the Authority and the sponsoring State or States in the establishment and implementation of such monitoring programme.\n\n2. The contractor shall report annually in writing to the Secretary-General on the implementation and results of the monitoring programme referred to in paragraph 1 and shall submit data and information, taking into account any recommendations issued by the Commission pursuant to regulation 39. The Secretary-General shall transmit such reports to the Commission for its consideration pursuant to article 165 of the Convention.\n\nRegulation 33. Emergency orders\n\n1. A contractor shall promptly report to the Secretary-General in writing, using the most effective means, any incident arising from activities which have caused, are causing or pose a threat of serious harm to the marine environment. 20 13-40403\n\n2. When the Secretary-General has been notified by a contractor or otherwise becomes aware of an incident resulting from or caused by a contractor’s activities in the Area that has caused, is causing or poses a threat of serious harm to the marine environment, the Secretary-General shall cause a general notification of the incident to be issued, shall notify in writing the contractor and the sponsoring State or States, and shall report immediately to the Legal and Technical Commission, to the Council and to all other members of the Authority. A copy of the report shall be circulated to competent international organizations and to concerned subregional, regional and global organizations and bodies. The Secretary-General shall monitor developments with respect to all such incidents and shall report on them as appropriate to the Commission, the Council and all other members of the Authority.\n\n3. Pending any action by the Council, the Secretary-General shall take such immediate measures of a temporary nature as are practical and reasonable in the circumstances to prevent, contain and minimize serious harm or the threat of serious harm to the marine environment. Such temporary measures shall remain in effect for no longer than 90 days, or until the Council decides at its next regular session or a special session, what measures, if any, to take pursuant to paragraph 6 of this regulation.\n\n4. After having received the report of the Secretary-General, the Commission shall determine, based on the evidence provided to it and taking into account the measures already taken by the contractor, which measures are necessary to respond effectively to the incident in order to prevent, contain and minimize serious harm or the threat of serious harm to the marine environment, and shall make its recommendations to the Council.\n\n5. The Council shall consider the recommendations of the Commission.\n\n6. The Council, taking into account the recommendations of the Commission, the report of the Secretary-General, any information provided by the contractor and any other relevant information, may issue emergency orders, which may include orders for the suspension or adjustment of operations, as may be reasonably necessary to prevent, contain and minimize serious harm or the threat of serious harm to the marine environment arising out of activities in the Area.\n\n7. If a contractor does not promptly comply with an emergency order to prevent, contain and minimize serious harm or the threat of serious harm to the marine environment arising out of its activities in the Area, the Council shall take by itself or through arrangements with others on its behalf, such practical measures as are necessary to prevent, contain and minimize any such serious harm or threat of serious harm to the marine environment.\n\n8. In order to enable the Council, when necessary, to take immediately the practical measures to prevent, contain and minimize the serious harm or threat of serious harm to the marine environment referred to in paragraph 7, the contractor, prior to the commencement of testing of collecting systems and processing operations, will provide the Council with a guarantee of its financial and technical capability to comply promptly with emergency orders or to assure that the Council can take such emergency measures. If the contractor does not provide the Council with such a guarantee, the sponsoring State or States shall, in response to a request by the Secretary-General and pursuant to articles 139 and 235 of the Convention, take necessary measures to ensure that the contractor provides such a guarantee or shall take measures to ensure that assistance is provided to the Authority in the discharge of its responsibilities under paragraph 7.\n\nRegulation 34. Rights of coastal States\n\n1. Nothing in these Regulations shall affect the rights of coastal States in accordance with article 142 and other relevant provisions of the Convention.\n\n2. Any coastal State which has grounds for believing that any activity in the Area by a contractor is likely to cause serious harm or a threat of serious harm to the marine environment under its jurisdiction or sovereignty may notify the Secretary-General in writing of the grounds upon which such belief is based. The Secretary-General shall provide the contractor and its sponsoring State or States with a reasonable opportunity to examine the evidence, if any, provided by the coastal State as the basis for its belief. The contractor and its sponsoring State or States may submit their observations thereon to the Secretary-General within a reasonable time.\n\n3. If there are clear grounds for believing that serious harm to the marine environment is likely to occur, the Secretary-General shall act in accordance with\n\nregulation 33 and, if necessary, shall take immediate measures of a temporary nature as provided for in regulation 33 (3).\n\n4. Contractors shall take all measures necessary to ensure that their activities are conducted so as not to cause serious harm to the marine environment, including, but not restricted to, pollution, under the jurisdiction or sovereignty of coastal States, and that such serious harm or pollution arising from incidents or activities in its exploration area does not spread beyond such area.\n\nRegulation 35. Human remains and objects and sites of an archaeological or historical nature The contractor shall immediately notify the Secretary-General in writing of any finding in the exploration area of any human remains of an archaeological or historical nature, or any object or site of a similar nature and its location, including the preservation and protection measures taken. The Secretary-General shall transmit such information to the Director General of the United Nations Educational, Scientific and Cultural Organization and any other competent international organization. Following the finding of any such human remains, object or site in the exploration area, and in order to avoid disturbing such human remains, object or site, no further prospecting or exploration shall take place, within a reasonable radius, until such time as the Council decides otherwise after taking account of the views of the Director General of the United Nations Educational, Scientific and Cultural Organization or any other competent international organization. 22 13-40403\n\nPart VI. Confidentiality\n\nRegulation 36. Confidentiality of data and information\n\n1. Data and information submitted or transferred to the Authority or to any person participating in any activity or programme of the Authority pursuant to these Regulations or a contract issued under these Regulations, and designated by the contractor, in consultation with the Secretary-General, as being of a confidential nature, shall be considered confidential unless it is data and information which:\n\n(a) Is generally known or publicly available from other sources;\n\n(b) Has been previously made available by the owner to others without an obligation concerning its confidentiality; or\n\n(c) Is already in the possession of the Authority with no obligation concerning its confidentiality.\n\n2. Data and information that is necessary for the formulation by the Authority of rules, regulations and procedures concerning protection and preservation of the marine environment and safety, other than proprietary equipment design data, shall not be deemed confidential.\n\n3. Confidential data and information may only be used by the Secretary-General and staff of the Secretariat, as authorized by the Secretary-General, and by the members of the Legal and Technical Commission as necessary for and relevant to the effective exercise of their powers and functions. The Secretary-General shall authorize access to such data and information only for limited use in connection with the functions and duties of the staff of the Secretariat and the functions and duties of the Legal and Technical Commission.\n\n4. Ten years after the date of submission of confidential data and information to the Authority or the expiration of the contract for exploration, whichever is the later, and every five years thereafter, the Secretary-General and the contractor shall review such data and information to determine whether they should remain confidential. Such data and information shall remain confidential if the contractor establishes that there would be a substantial risk of serious and unfair economic prejudice if the data and information were to be released. No such data and information shall be released until the contractor has been accorded a reasonable opportunity to exhaust the judicial remedies available to it pursuant to Part XI,\n\nsection 5, of the Convention.\n\n5. If, at any time following the expiration of the contract for exploration, the contractor enters into a contract for exploitation in respect of any part of the exploration area, confidential data and information relating to that part of the area shall remain confidential in accordance with the contract for exploitation.\n\n6. The contractor may at any time waive confidentiality of data and information.\n\nRegulation 37. Procedures to ensure confidentiality\n\n1. The Secretary-General shall be responsible for maintaining the confidentiality of all confidential data and information and shall not, except with the prior written consent of the contractor, release such data and information to any person external to the Authority. To ensure the confidentiality of such data and information, the Secretary-General shall establish procedures, consistent with the provisions of the Convention, governing the handling of confidential information by members of the Secretariat, members of the Legal and Technical Commission and any other person participating in any activity or programme of the Authority. Such procedures shall include:\n\n(a) Maintenance of confidential data and information in secure facilities and development of security procedures to prevent unauthorized access to or removal of such data and information;\n\n(b) Development and maintenance of a classification, log and inventory system of all written data and information received, including its type and source and routing from the time of receipt until final disposition.\n\n2. A person who is authorized pursuant to these Regulations to have access to confidential data and information shall not disclose such data and information except as permitted under the Convention and these Regulations. The Secretary\u0002General shall require any person who is authorized to have access to confidential data and information to make a written declaration witnessed by the Secretary\u0002General or his or her authorized representative to the effect that the person so authorized:\n\n(a) Acknowledges his or her legal obligation under the Convention and these Regulations with respect to the non-disclosure of confidential data and information;\n\n(b) Agrees to comply with the applicable regulations and procedures established to ensure the confidentiality of such data and information.\n\n3. The Legal and Technical Commission shall protect the confidentiality of confidential data and information submitted to it pursuant to these Regulations or a contract issued under these Regulations. In accordance with the provisions of article 163 (8) of the Convention, members of the Commission shall not disclose, even after the termination of their functions, any industrial secret, proprietary data which are transferred to the Authority in accordance with article 14 of annex III to the Convention, or any other confidential information coming to their knowledge by reason of their duties for the Authority.\n\n4. The Secretary-General and staff of the Authority shall not disclose, even after the termination of their functions with the Authority, any industrial secret, proprietary data which are transferred to the Authority in accordance with article 14 of annex III to the Convention, or any other confidential information coming to their knowledge by reason of their employment with the Authority.\n\n5. Taking into account the responsibility and liability of the Authority pursuant to article 22 of annex III to the Convention, the Authority may take such action as may be appropriate against any person who, by reason of his or her duties for the Authority, has access to any confidential data and information and who is in breach 24 13-40403 of the obligations relating to confidentiality contained in the Convention and these Regulations.\n\nPart VII. General procedures\n\nRegulation 38. Notice and general procedures\n\n1. Any application, request, notice, report, consent, approval, waiver, direction or instruction hereunder shall be made by the Secretary-General or by the designated representative of the prospector, applicant or contractor, as the case may be, in writing. Service shall be by hand, or by telex, fax, registered airmail or e-mail containing an authorized electronic signature to the Secretary-General at the headquarters of the Authority or to the designated representative.\n\n2. Delivery by hand shall be effective when made. Delivery by telex shall be deemed to be effective on the business day following the day when the “answer back” appears on the sender’s telex machine. Delivery by fax shall be effective when the “transmit confirmation report” confirming the transmission to the recipient’s published fax number is received by the transmitter. Delivery by registered airmail shall be deemed to be effective 21 days after posting. An e-mail is presumed to be received by the addressee when it enters an information system designated or used by the addressee for the purpose of receiving documents of the type sent and is capable of being retrieved and processed by the addressee.\n\n3. Notice to the designated representative of the prospector, applicant or contractor shall constitute effective notice to the prospector, applicant or contractor for all purposes under these Regulations, and the designated representative shall be the agent of the prospector, applicant or contractor for the service of process or notification in any proceeding of any court or tribunal having jurisdiction.\n\n4. Notice to the Secretary-General shall constitute effective notice to the Authority for all purposes under these Regulations, and the Secretary-General shall be the Authority’s agent for the service of process or notification in any proceeding of any court or tribunal having jurisdiction.\n\nRegulation 39. Recommendations for the guidance of contractors\n\n1. The Legal and Technical Commission may from time to time issue recommendations of a technical or administrative nature for the guidance of contractors to assist them in the implementation of the rules, regulations and procedures of the Authority.\n\n2. The full text of such recommendations shall be reported to the Council. Should the Council find that a recommendation is inconsistent with the intent and purpose of these Regulations, it may request that the recommendation be modified or withdrawn.\n\nPart VIII. Settlement of disputes\n\nRegulation 40. Disputes\n\n1. Disputes concerning the interpretation or application of these Regulations shall be settled in accordance with Part XI, section 5, of the Convention.\n\n2. Any final decision rendered by a court or tribunal having jurisdiction under the Convention relating to the rights and obligations of the Authority and of the contractor shall be enforceable in the territory of each State party to the Convention.\n\nPart IX. Resources other than polymetallic nodules\n\nRegulation 41. Resources other than polymetallic nodules If a prospector or contractor finds resources in the Area other than polymetallic nodules, the prospecting and exploration for and exploitation of such resources shall be subject to the rules, regulations and procedures of the Authority relating to such resources in accordance with the Convention and the Agreement. The prospector or contractor shall notify the Authority of its find.\n\nPart X. Review\n\nRegulation 42. Review\n\n1. Five years following the approval of these revised Regulations by the Assembly, or at any time thereafter, the Council shall undertake a review of the manner in which the Regulations have operated in practice.\n\n2. If, in the light of improved knowledge or technology, it becomes apparent that the Regulations are not adequate, any State party, the Legal and Technical Commission or any contractor through its sponsoring State may at any time request the Council to consider, at its next ordinary session, revisions to these Regulations.\n\n3. In the light of the review, the Council may adopt and apply provisionally, pending approval by the Assembly, amendments to the provisions of these Regulations, taking into account the recommendations of the Legal and Technical Commission or other subordinate organs concerned. Any such amendments shall be without prejudice to the rights conferred on any contractor with the Authority under the provisions of a contract entered into pursuant to these Regulations in force at the time of any such amendment.\n\n4. In the event that any provisions of these Regulations are amended, the contractor and the Authority may revise the contract in accordance with section 24 of annex IV. 26 13-40403\n\nAnnex I. Notification of intention to engage in prospecting\n\n1. Name of prospector:\n\n2. Street address of prospector:\n\n3. Postal address (if different from above):\n\n4. Telephone number:\n\n5. Fax number:\n\n6. E-mail address:\n\n7. Nationality of prospector:\n\n8. If prospector is a juridical person:\n\n(a) Identify prospector’s place of registration;\n\n(b) Identify prospector’s principal place of business/domicile;\n\n(c) Attach a copy of prospector’s certificate of registration.\n\n9. Name of prospector’s designated representative:\n\n10. Street address of prospector’s designated representative (if different from above):\n\n11. Postal address (if different from above):\n\n12. Telephone number:\n\n13. Fax number:\n\n14. E-mail address:\n\n15. Attach the coordinates of the broad area or areas in which prospecting is to be conducted (in accordance with the World Geodetic System WGS 84).\n\n16. Attach a general description of the prospecting programme, including the date of commencement and the approximate duration of the programme.\n\n17. Attach a written undertaking that the prospector will:\n\n(a) Comply with the Convention and the relevant rules, regulations and procedures of the Authority concerning:\n\n(i) Cooperation in the training programmes in connection with marine scientific research and transfer of technology referred to in articles 143 and 144 of the Convention; and\n\n(ii) Protection and preservation of the marine environment; and\n\n(b) Accept verification by the Authority of compliance therewith.\n\n18. List hereunder all the attachments and annexes to this notification (all data and information should be submitted in hard copy and in a digital format specified by the Authority). Date: Signature of prospector’s designated representative Attestation: Signature of person attesting Name of person attesting Title of person attesting 28 13-40403\n\nAnnex II. Application for approval of a plan of work for exploration to obtain a contract\n\nSection I. Information concerning the applicant\n\n1. Name of applicant:\n\n2. Street address of applicant:\n\n3. Postal address (if different from above):\n\n4. Telephone number:\n\n5. Fax number:\n\n6. E-mail address:\n\n7. Name of applicant’s designated representative:\n\n8. Street address of applicant’s designated representative (if different from above):\n\n9. Postal address (if different from above):\n\n10. Telephone number:\n\n11. Fax number:\n\n12. E-mail address:\n\n13. If the applicant is a juridical person:\n\n(a) Identify applicant’s place of registration;\n\n(b) Identify applicant’s principal place of business/domicile;\n\n(c) Attach a copy of applicant’s certificate of registration.\n\n14. Identify the sponsoring State or States.\n\n15. In respect of each sponsoring State, provide the date of deposit of its instrument of ratification of, or accession or succession to, the United Nations Convention on the Law of the Sea of 10 December 1982 and the date of its consent to be bound by the Agreement relating to the Implementation of Part XI of the Convention.\n\n16. A certificate of sponsorship issued by the sponsoring State must be attached with this application. If the applicant has more than one nationality, as in the case of a partnership or consortium of entities from more than one State, certificates of sponsorship issued by each of the States involved must be attached.\n\nSection II. Information relating to the area under application\n\n17. Define the boundaries of the area under application by attaching a list of geographical coordinates (in accordance with the World Geodetic System WGS 84).\n\n18. Attach a chart (on a scale and projection specified by the Authority) and a list of the coordinates dividing the total area into two parts of equal estimated commercial value.\n\n19. Include in an attachment sufficient information to enable the Council to designate a reserved area based on the estimated commercial value of each part of the area under application. Such attachment must include the data available to the applicant with respect to both parts of the area under application, including:\n\n(a) Data on the location, survey and evaluation of the polymetallic nodules in the areas, including:\n\n(i) A description of the technology related to the recovery and processing of polymetallic nodules that is necessary for making the designation of a reserved area;\n\n(ii) A map of the physical and geological characteristics, such as seabed topography, bathymetry and bottom currents and information on the reliability of such data;\n\n(iii) Data showing the average density (abundance) of polymetallic nodules in kg/m2 and an associated abundance map showing the location of sampling sites;\n\n(iv) Data showing the average elemental content of metals of economic interest (grade) based on chemical assays in (dry) weight per cent and an associated grade map;\n\n(v) Combined maps of abundance and grade of polymetallic nodules;\n\n(vi) A calculation based on standard procedures, including statistical analysis, using the data submitted and assumptions made in the calculations that the two areas could be expected to contain polymetallic nodules of equal estimated commercial value expressed as recoverable metals in mineable areas;\n\n(vii) A description of the techniques used by the applicant.\n\n(b) Information concerning environmental parameters (seasonal and during test period) including, inter alia, wind speed and direction, water salinity, temperature and biological communities.\n\n20. If the area under application includes any part of a reserved area, attach a list of coordinates of the area which forms part of the reserved area and indicate the applicant’s qualifications in accordance with regulation 17 of the Regulations. 30 13-40403\n\nSection III. Financial and technical informationa\n\n21. Attach sufficient information to enable the Council to determine whether the applicant is financially capable of carrying out the proposed plan of work for exploration and of fulfilling its financial obligations to the Authority:\n\n(a) If the application is made by the Enterprise, attach certification by its competent authority that the Enterprise has the necessary financial resources to meet the estimated costs of the proposed plan of work for exploration;\n\n(b) If the application is made by a State or a State enterprise, attach a statement by the State or the sponsoring State certifying that the applicant has the necessary financial resources to meet the estimated costs of the proposed plan of work for exploration;\n\n(c) If the application is made by an entity, attach copies of the applicant’s audited financial statements, including balance sheets and profit-and-loss statements, for the most recent three years in conformity with internationally accepted accounting principles and certified by a duly qualified firm of public accountants; and\n\n(i) If the applicant is a newly organized entity and a certified balance sheet is not available, a pro forma balance sheet certified by an appropriate official of the applicant;\n\n(ii) If the applicant is a subsidiary of another entity, copies of such financial statements of that entity and a statement from that entity in conformity with internationally accepted accounting practices and certified by a duly qualified firm of public accountants that the applicant will have the financial resources to carry out the plan of work for exploration;\n\n(iii) If the applicant is controlled by a State or a State enterprise, a statement from the State or State enterprise certifying that the applicant will have the financial resources to carry out the plan of work for exploration.\n\n22. If it is intended to finance the proposed plan of work for exploration by borrowings, attach a statement of the amount of such borrowings, the repayment period and the interest rate.\n\n23. Attach sufficient information to enable the Council to determine whether the applicant is technically capable of carrying out the proposed plan of work for exploration, including:\n\n(a) A general description of the applicant’s previous experience, knowledge, skills, technical qualifications and expertise relevant to the proposed plan of work for exploration; a An application for approval of a plan of work for exploration submitted on behalf of a State or entity, or any component of such entity, referred to in paragraph 1 (a) (ii) or (iii) of resolution II, other than a registered pioneer investor, which has 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 an amount equivalent to at least 30 million United States dollars 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.\n\n(b) A general description of the equipment and methods expected to be used in carrying out the proposed plan of work for exploration and other relevant non-proprietary information about the characteristics of such technology; and\n\n(c) A general description of the applicant’s financial and technical capability to respond to any incident or activity which causes serious harm to the marine environment.\n\nSection IV. The plan of work for exploration\n\n24. Attach the following information relating to the plan of work for exploration:\n\n(a) A general description and a schedule of the proposed exploration programme, including the programme of activities for the immediate five-year period, such as studies to be undertaken in respect of the environmental, technical, economic and other appropriate factors which must be taken into account in exploration;\n\n(b) A description of a programme for oceanographic and environmental baseline studies in accordance with the Regulations and any environmental rules, regulations and procedures established by the Authority that would enable an assessment of the potential environmental impact including, but not restricted to, the impact on biodiversity, of the proposed exploration activities, taking into account any recommendations issued by the Legal and Technical Commission;\n\n(c) A preliminary assessment of the possible impact of the proposed exploration activities on the marine environment;\n\n(d) A description of proposed measures for the prevention, reduction and control of pollution and other hazards, as well as possible impacts, to the marine environment;\n\n(e) A schedule of anticipated yearly expenditures in respect of the programme of activities for the immediate five-year period.\n\nSection V. Undertakings\n\n25. Attach a written undertaking that the applicant will:\n\n(a) Accept as enforceable and comply with the applicable obligations created by the provisions of the Convention and the rules, regulations and procedures of the Authority, the decisions of the relevant organs of the Authority and the terms of its contracts with the Authority;\n\n(b) Accept control by the Authority of activities in the Area as authorized by the Convention;\n\n(c) Provide the Authority with a written assurance that its obligations under the contract will be fulfilled in good faith. 32 13-40403\n\nSection VI. Previous contracts\n\n26. If the applicant or, in the case of an application by a partnership or consortium of entities in a joint arrangement, any member of the partnership or consortium has previously been awarded any contract with the Authority, the application must include:\n\n(a) The date of the previous contract or contracts;\n\n(b) The date, reference number and title of each report submitted to the Authority in connection with the contract or contracts; and\n\n(c) The date of termination of the contract or contracts, if applicable.\n\nSection VII. Attachments\n\n27. List all the attachments and annexes to this application (all data and information should be submitted in hard copy and in a digital format specified by the Authority). Date: Signature of applicant’s designated representative Attestation: Signature of person attesting Name of person attesting Title of person attesting\n\nAnnex III. Contract for exploration THIS CONTRACT made the ... day of ... between the INTERNATIONAL SEABED AUTHORITY represented by its SECRETARY-GENERAL (hereinafter referred to as “the Authority”) and ... represented by ... (hereinafter referred to as “the Contractor”) WITNESSETH as follows: Incorporation of clauses\n\n1. The standard clauses set out in annex IV to the Regulations on Prospecting and Exploration for Polymetallic Nodules in the Area shall be incorporated herein and shall have effect as if herein set out at length. Exploration area\n\n2. For the purposes of this contract, the “exploration area” means that part of the Area allocated to the Contractor for exploration, defined by the coordinates listed in\n\nschedule 1 hereto, as reduced from time to time in accordance with the standard clauses and the Regulations. Grant of rights\n\n3. In consideration of (a) their mutual interest in the conduct of exploration activities in the exploration area pursuant to the United Nations Convention on the Law of the Sea of 10 December 1982 and the Agreement relating to the Implementation of Part XI of the Convention, (b) the responsibility of the Authority to organize and control activities in the Area, particularly with a view to administering the resources of the Area, in accordance with the legal regime established in Part XI of the Convention and the Agreement and Part XII of the Convention, respectively, and (c) the interest and financial commitment of the Contractor in conducting activities in the exploration area and the mutual covenants made herein, the Authority hereby grants to the Contractor the exclusive right to explore for polymetallic nodules in the exploration area in accordance with the terms and conditions of this contract. Entry into force and contract term\n\n4. This contract shall enter into force on signature by both parties and, subject to the standard clauses, shall remain in force for a period of fifteen years thereafter unless:\n\n(a) The Contractor obtains a contract for exploitation in the exploration area which enters into force before the expiration of such period of fifteen years; or\n\n(b) The contract is sooner terminated, provided that the term of the contract may be extended in accordance with standard clauses 3.2 and 17.2. Schedules\n\n5. The schedules referred to in the standard clauses, namely section 4 and\n\nsection 8, are for the purposes of this contract schedules 2 and 3 respectively. 34 13-40403 Entire agreement\n\n6. This contract expresses the entire agreement between the parties, and no oral understanding or prior writing shall modify the terms hereof. IN WITNESS WHEREOF the undersigned, being duly authorized thereto by the respective parties, have signed this contract at ..., this ... day of ... .\n\nSchedule 1. [Coordinates and illustrative chart of the exploration area]\n\nSchedule 2. [The current five-year programme of activities as revised from time to time]\n\nSchedule 3. [The training programme shall become a schedule to the contract when approved by the Authority in accordance with section 8 of the standard clauses]\n\nAnnex IV. Standard clauses for exploration contract\n\nSection 1. Definitions 1.1 In the following clauses:\n\n(a) “Exploration area” means that part of the Area allocated to the Contractor for exploration, described in schedule 1 hereto, as the same may be reduced from time to time in accordance with this contract and the Regulations;\n\n(b) “Programme of activities” means the programme of activities which is set out in schedule 2 hereto as the same may be adjusted from time to time in accordance with sections 4.3 and 4.4 hereof;\n\n(c) “Regulations” means the Regulations on Prospecting and Exploration for Polymetallic Nodules in the Area, adopted by the Authority. 1.2 Terms and phrases defined in the Regulations shall have the same meaning in these standard clauses. 1.3 In accordance with the Agreement relating to the Implementation of Part XI of the United Nations Convention on the Law of the Sea of 10 December 1982, its provisions and Part XI of the Convention are to be interpreted and applied together as a single instrument; this contract and references in this contract to the Convention are to be interpreted and applied accordingly. 1.4 This contract includes the schedules to this contract, which shall be an integral part hereof.\n\nSection 2. Security of tenure 2.1 The Contractor shall have security of tenure and this contract shall not be suspended, terminated or revised except in accordance with sections 20, 21 and 24 hereof. 2.2 The Contractor shall have the exclusive right to explore for polymetallic nodules in the exploration area in accordance with the terms and conditions of this contract. The Authority shall ensure that no other entity operates in the exploration area for a different category of resources in a manner that might unreasonably interfere with the operations of the Contractor. 2.3 The Contractor, by notice to the Authority, shall have the right at any time to renounce without penalty the whole or part of its rights in the exploration area, provided that the Contractor shall remain liable for all obligations accrued prior to the date of such renunciation in respect of the area renounced. 2.4 Nothing in this contract shall be deemed to confer any right on the Contractor other than those rights expressly granted herein. The Authority reserves the right to enter into contracts with respect to resources other than polymetallic nodules with third parties in the area covered by this contract. 36 13-40403\n\nSection 3. Contract term 3.1 This contract shall enter into force on signature by both parties and shall remain in force for a period of fifteen years thereafter unless:\n\n(a) The Contractor obtains a contract for exploitation in the exploration area which enters into force before the expiration of such period of fifteen years; or\n\n(b) The contract is sooner terminated, provided that the term of the contract may be extended in accordance with sections 3.2 and 17.2 hereof. 3.2 Upon application by the Contractor, not later than six months before the expiration of this contract, this contract may be extended for periods of not more than five years each on such terms and conditions as the Authority and the Contractor may then agree in accordance with the Regulations. Such extensions shall be approved if the Contractor has made efforts in good faith to comply with the requirements of this contract 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. 3.3 Notwithstanding the expiration of this contract in accordance with section 3.1 hereof, if the Contractor has, at least 90 days prior to the date of expiration, applied for a contract for exploitation, the Contractor’s rights and obligations under this contract shall continue until such time as the application has been considered and a contract for exploitation has been issued or refused.\n\nSection 4. Exploration 4.1 The Contractor shall commence exploration in accordance with the time schedule stipulated in the programme of activities set out in schedule 2 hereto and shall adhere to such time periods or any modification thereto as provided for by this contract. 4.2 The Contractor shall carry out the programme of activities set out in schedule 2 hereto. In carrying out such activities the Contractor shall spend in each contract year not less than the amount specified in such programme, or any agreed review thereof, in actual and direct exploration expenditures. 4.3 The Contractor, with the consent of the Authority, which consent shall not be unreasonably withheld, may from time to time make such changes in the programme of activities and the expenditures specified therein as may be necessary and prudent in accordance with good mining industry practice, and taking into account the market conditions for the metals contained in polymetallic nodules and other relevant global economic conditions. 4.4 Not later than 90 days prior to the expiration of each five-year period from the date on which this contract enters into force in accordance with section 3 hereof, the Contractor and the Secretary-General shall jointly undertake a review of the implementation of the plan of work for exploration under this contract. The Secretary-General may require the Contractor to submit such additional data and information as may be necessary for the purposes of the review. In the light of the review, the Contractor shall make such adjustments to its plan of work as are necessary and shall indicate its programme of activities for the following five-year period, including a revised schedule of anticipated yearly expenditures. Schedule 2 hereto shall be adjusted accordingly.\n\nSection 5. Environmental monitoring 5.1 The Contractor shall take necessary measures to prevent, reduce and control pollution and other hazards to the marine environment arising from its activities in the Area as far as reasonably possible applying a precautionary approach and best environmental practices. 5.2 Prior to the commencement of exploration activities, the Contractor shall submit to the Authority:\n\n(a) An impact assessment of the potential effects on the marine environment of the proposed activities;\n\n(b) A proposal for a monitoring programme to determine the potential effect on the marine environment of the proposed activities; and\n\n(c) Data that could be used to establish an environmental baseline against which to assess the effect of the proposed activities. 5.3 The Contractor shall, in accordance with the Regulations, gather environmental baseline data as exploration activities progress and develop and shall establish environmental baselines against which to assess the likely effects of the Contractor’s activities on the marine environment. 5.4 The Contractor shall, in accordance with the Regulations, establish and carry out a programme to monitor and report on such effects on the marine environment. The Contractor shall cooperate with the Authority in the implementation of such monitoring. 5.5 The Contractor shall, within 90 days of the end of each calendar year, report to the Secretary-General on the implementation and results of the monitoring programme referred to in section 5.4 hereof and shall submit data and information in accordance with the Regulations.\n\nSection 6. Contingency plans and emergencies 6.1 The Contractor shall, prior to the commencement of its programme of activities under this contract, submit to the Secretary-General a contingency plan to respond effectively to incidents that are likely to cause serious harm or a threat of serious harm to the marine environment arising from the Contractor’s activities at sea in the exploration area. Such contingency plan shall establish special procedures and provide for adequate and appropriate equipment to deal with such incidents and, in particular, shall include arrangements for:\n\n(a) The immediate raising of a general alarm in the area of the exploration activities;\n\n(b) Immediate notification to the Secretary-General; 38 13-40403\n\n(c) The warning of ships which might be about to enter the immediate vicinity;\n\n(d) A continuing flow of full information to the Secretary-General relating to particulars of the contingency measures already taken and further actions required;\n\n(e) The removal, as appropriate, of polluting substances;\n\n(f) The reduction and, so far as reasonably possible, prevention of serious harm to the marine environment, as well as mitigation of such effects;\n\n(g) As appropriate, cooperation with other contractors with the Authority to respond to an emergency; and\n\n(h) Periodic emergency response exercises. 6.2 The Contractor shall promptly report to the Secretary-General any incident arising from its activities that has caused, is causing or poses a threat of serious harm to the marine environment. Each such report shall contain the details of such incident, including, inter alia:\n\n(a) The coordinates of the area affected or which can reasonably be anticipated to be affected;\n\n(b) The description of the action being taken by the Contractor to prevent, contain, minimize and repair the serious harm or threat of serious harm to the marine environment;\n\n(c) A description of the action being taken by the Contractor to monitor the effects of the incident on the marine environment; and\n\n(d) Such supplementary information as may reasonably be required by the Secretary-General. 6.3 The Contractor shall comply with emergency orders issued by the Council and immediate measures of a temporary nature issued by the Secretary-General in accordance with the Regulations, to prevent, contain, minimize or repair serious harm or the threat of serious harm to the marine environment, which may include orders to the Contractor to immediately suspend or adjust any activities in the exploration area. 6.4 If the Contractor does not promptly comply with such emergency orders or immediate measures of a temporary nature, the Council may take such reasonable measures as are necessary to prevent, contain, minimize or repair any such serious harm or the threat of serious harm to the marine environment at the Contractor’s expense. The Contractor shall promptly reimburse the Authority the amount of such expenses. Such expenses shall be in addition to any monetary penalties which may be imposed on the Contractor pursuant to the terms of this contract or the Regulations.\n\nSection 7. Human remains and objects and sites of an archaeological or historical nature The Contractor shall immediately notify the Secretary-General in writing of any finding in the exploration area of any human remains of an archaeological or historical nature, or any object or site of a similar nature and its location, including the preservation and protection measures taken. The Secretary-General shall transmit such information to the Director General of the United Nations Educational, Scientific and Cultural Organization and any other competent international organization. Following the finding of any such human remains, object or site in the exploration area, and in order to avoid disturbing such human remains, object or site, no further prospecting or exploration shall take place, within a reasonable radius, until such time as the Council decides otherwise after taking account of the views of the Director General of the United Nations Educational, Scientific and Cultural Organization or any other competent international organization.\n\nSection 8. Training 8.1 In accordance with the Regulations, the Contractor shall, prior to the commencement of exploration under this contract, submit to the Authority for approval proposed training programmes for the training of personnel of the Authority and developing States, including the participation of such personnel in all of the Contractor’s activities under this contract. 8.2 The scope and financing of the training programme shall be subject to negotiation between the Contractor, the Authority and the sponsoring State or States. 8.3 The Contractor shall conduct training programmes in accordance with the specific programme for the training of personnel referred to in section 8.1 hereof approved by the Authority in accordance with the Regulations, which programme, as revised and developed from time to time, shall become a part of this contract as\n\nschedule 3.\n\nSection 9. Books and records The Contractor shall keep a complete and proper set of books, accounts and financial records, consistent with internationally accepted accounting principles. Such books, accounts and financial records shall include information which will fully disclose the actual and direct expenditures for exploration and such other information as will facilitate an effective audit of such expenditures.\n\nSection 10. Annual reports 10.1 The Contractor shall, within 90 days of the end of each calendar year, submit a report to the Secretary-General in such format as may be recommended from time to time by the Legal and Technical Commission covering its programme of activities in the exploration area and containing, as applicable, information in sufficient detail on:\n\n(a) The exploration work carried out during the calendar year, including maps, charts and graphs illustrating the work that has been done and the results obtained;\n\n(b) The equipment used to carry out the exploration work, including the results of tests conducted of proposed mining technologies, but not equipment design data; and 40 13-40403\n\n(c) The implementation of training programmes, including any proposed revisions to or developments of such programmes. 10.2 Such reports shall also contain:\n\n(a) The results obtained from environmental monitoring programmes, including observations, measurements, evaluations and analyses of environmental parameters;\n\n(b) A statement of the quantity of polymetallic nodules recovered as samples or for the purpose of testing;\n\n(c) A statement, in conformity with internationally accepted accounting principles and certified by a duly qualified firm of public accountants, or, where the Contractor is a State or a State enterprise, by the sponsoring State, of the actual and direct exploration expenditures of the Contractor in carrying out the programme of activities during the Contractor’s accounting year. Such expenditures may be claimed by the contractor as part of the contractor’s development costs incurred prior to the commencement of commercial production; and\n\n(d) Details of any proposed adjustments to the programme of activities and the reasons for such adjustments. 10.3 The Contractor shall also submit such additional information to supplement the reports referred to in sections 10.1 and 10.2 hereof as the Secretary-General may from time to time reasonably require in order to carry out the Authority’s functions under the Convention, the Regulations and this contract. 10.4 The Contractor shall keep, in good condition, a representative portion of samples of the polymetallic nodules obtained in the course of exploration until the expiration of this contract. The Authority may request the Contractor in writing to deliver to it for analysis a portion of any such sample obtained during the course of exploration.\n\nSection 11. Data and information to be submitted on expiration of the contract 11.1 The Contractor shall transfer to the Authority all data and information that are both necessary for and relevant to the effective exercise of the powers and functions of the Authority in respect of the exploration area in accordance with the provisions of this section. 11.2 Upon expiration or termination of this contract the Contractor, if it has not already done so, shall submit the following data and information to the Secretary\u0002General:\n\n(a) Copies of geological, environmental, geochemical and geophysical data acquired by the Contractor in the course of carrying out the programme of activities that are necessary for and relevant to the effective exercise of the powers and functions of the Authority in respect of the exploration area;\n\n(b) The estimation of mineable areas, when such areas have been identified, which shall include details of the grade and quantity of the proven, probable and possible polymetallic nodule reserves and the anticipated mining conditions;\n\n(c) Copies of geological, technical, financial and economic reports made by or for the Contractor that are necessary for and relevant to the effective exercise of the powers and functions of the Authority in respect of the exploration area;\n\n(d) Information in sufficient detail on the equipment used to carry out the exploration work, including the results of tests conducted of proposed mining technologies, but not equipment design data;\n\n(e) A statement of the quantity of polymetallic nodules recovered as samples or for the purpose of testing; and\n\n(f) A statement on how and where samples are archived and their availability to the Authority. 11.3 The data and information referred to in section 11.2 hereof shall also be submitted to the Secretary-General if, prior to the expiration of this contract, the Contractor applies for approval of a plan of work for exploitation or if the Contractor renounces its rights in the exploration area to the extent that such data and information relates to the renounced area.\n\nSection 12. Confidentiality Data and information transferred to the Authority in accordance with this contract shall be treated as confidential in accordance with the provisions of the Regulations.\n\nSection 13. Undertakings 13.1 The Contractor shall carry out exploration in accordance with the terms and conditions of this contract, the Regulations, Part XI of the Convention, the Agreement and other rules of international law not incompatible with the Convention. 13.2 The Contractor undertakes:\n\n(a) To accept as enforceable and comply with the terms of this contract;\n\n(b) To comply with the applicable obligations created by the provisions of the Convention, the rules, regulations and procedures of the Authority and the decisions of the relevant organs of the Authority;\n\n(c) To accept control by the Authority of activities in the Area as authorized by the Convention;\n\n(d) To fulfil its obligations under this contract in good faith; and\n\n(e) To observe, as far as reasonably practicable, any recommendations which may be issued from time to time by the Legal and Technical Commission. 13.3 The Contractor shall actively carry out the programme of activities:\n\n(a) With due diligence, efficiency and economy;\n\n(b) With due regard to the impact of its activities on the marine environment; and 42 13-40403\n\n(c) With reasonable regard for other activities in the marine environment. 13.4 The Authority undertakes to fulfil in good faith its powers and functions under the Convention and the Agreement in accordance with article 157 of the Convention.\n\nSection 14. Inspection 14.1 The Contractor shall permit the Authority to send its inspectors on board vessels and installations used by the Contractor to carry out activities in the exploration area to:\n\n(a) Monitor the Contractor’s compliance with the terms and conditions of this contract and the Regulations; and\n\n(b) Monitor the effects of such activities on the marine environment. 14.2 The Secretary-General shall give reasonable notice to the Contractor of the projected time and duration of inspections, the name of the inspectors and any activities the inspectors are to perform that are likely to require the availability of special equipment or special assistance from personnel of the Contractor. 14.3 Such inspectors shall have the authority to inspect any vessel or installation, including its log, equipment, records, facilities, all other recorded data and any relevant documents which are necessary to monitor the Contractor’s compliance. 14.4 The Contractor, its agents and employees shall assist the inspectors in the performance of their duties and shall:\n\n(a) Accept and facilitate prompt and safe boarding of vessels and installations by inspectors;\n\n(b) Cooperate with and assist in the inspection of any vessel or installation conducted pursuant to these procedures;\n\n(c) Provide access to all relevant equipment, facilities and personnel on vessels and installations at all reasonable times;\n\n(d) Not obstruct, intimidate or interfere with inspectors in the performance of their duties;\n\n(e) Provide reasonable facilities, including, where appropriate, food and accommodation, to inspectors; and\n\n(f) Facilitate safe disembarkation by inspectors. 14.5 Inspectors shall avoid interference with the safe and normal operations on board vessels and installations used by the Contractor to carry out activities in the area visited and shall act in accordance with the Regulations and the measures adopted to protect confidentiality of data and information. 14.6 The Secretary-General and any duly authorized representatives of the Secretary-General, shall have access, for purposes of audit and examination, to any books, documents, papers and records of the Contractor which are necessary and directly pertinent to verify the expenditures referred to in section 10.2 (c). 14.7 The Secretary-General shall provide relevant information contained in the reports of inspectors to the Contractor and its sponsoring State or States where action is necessary. 14.8 If for any reason the Contractor does not pursue exploration and does not request a contract for exploitation, it shall, before withdrawing from the exploration area, notify the Secretary-General in writing in order to permit the Authority, if it so decides, to carry out an inspection pursuant to this section.\n\nSection 15. Safety, labour and health standards 15.1 The Contractor shall comply with the generally accepted international rules and standards established by competent international organizations or general diplomatic conferences concerning the safety of life at sea, and the prevention of collisions and such rules, regulations and procedures as may be adopted by the Authority relating to safety at sea. Each vessel used for carrying out activities in the Area shall possess current valid certificates required by and issued pursuant to such international rules and standards. 15.2 The Contractor shall, in carrying out exploration under this contract, observe and comply with such rules, regulations and procedures as may be adopted by the Authority relating to protection against discrimination in employment, occupational safety and health, labour relations, social security, employment security and living conditions at the work site. Such rules, regulations and procedures shall take into account conventions and recommendations of the International Labour Organization and other competent international organizations.\n\nSection 16. Responsibility and liability 16.1 The Contractor shall be liable for the actual amount of any damage, including damage to the marine environment, arising out of its wrongful acts or omissions, and those of its employees, subcontractors, agents and all persons engaged in working or acting for them in the conduct of its operations under this contract, including the costs of reasonable measures to prevent or limit damage to the marine environment, account being taken of any contributory acts or omissions by the Authority. 16.2 The Contractor shall indemnify the Authority, its employees, subcontractors and agents against all claims and liabilities of any third party arising out of any wrongful acts or omissions of the Contractor and its employees, agents and subcontractors, and all persons engaged in working or acting for them in the conduct of its operations under this contract. 16.3 The Authority shall be liable for the actual amount of any damage to the Contractor arising out of its wrongful acts in the exercise of its powers and functions, including violations under article 168 (2) of the Convention, account being taken of contributory acts or omissions by the Contractor, its employees, agents and subcontractors, and all persons engaged in working or acting for them in the conduct of its operations under this contract. 16.4 The Authority shall indemnify the Contractor, its employees, subcontractors, agents and all persons engaged in working or acting for them in the conduct of its 44 13-40403 operations under this contract, against all claims and liabilities of any third party arising out of any wrongful acts or omissions in the exercise of its powers and functions hereunder, including violations under article 168 (2) of the Convention. 16.5 The Contractor shall maintain appropriate insurance policies with internationally recognized carriers, in accordance with generally accepted international maritime practice.\n\nSection 17. Force majeure 17.1 The Contractor shall not be liable for an unavoidable delay or failure to perform any of its obligations under this contract due to force majeure. For the purposes of this contract, force majeure shall mean an event or condition that the Contractor could not reasonably be expected to prevent or control; provided that the event or condition was not caused by negligence or by a failure to observe good mining industry practice. 17.2 The Contractor shall, upon request, be granted a time extension equal to the period by which performance was delayed hereunder by force majeure and the term of this contract shall be extended accordingly. 17.3 In the event of force majeure, the Contractor shall take all reasonable measures to remove its inability to perform and comply with the terms and conditions of this contract with a minimum of delay. 17.4 The Contractor shall give notice to the Authority of the occurrence of an event of force majeure as soon as reasonably possible, and similarly give notice to the Authority of the restoration of normal conditions.\n\nSection 18. Disclaimer Neither the Contractor nor any affiliated company or subcontractor shall in any manner claim or suggest, whether expressly or by implication, that the Authority or any official thereof has, or has expressed, any opinion with respect to polymetallic nodules in the exploration area and a statement to that effect shall not be included in or endorsed on any prospectus, notice, circular, advertisement, press release or similar document issued by the Contractor, any affiliated company or any subcontractor that refers directly or indirectly to this contract. For the purposes of this section, an “affiliated company” means any person, firm or company or State\u0002owned entity controlling, controlled by, or under common control with, the Contractor.\n\nSection 19. Renunciation of rights The Contractor, by notice to the Authority, shall have the right to renounce its rights and terminate this contract without penalty, provided that the Contractor shall remain liable for all obligations accrued prior to the date of such renunciation and those obligations required to be fulfilled after termination in accordance with the Regulations.\n\nSection 20. Termination of sponsorship 20.1 If the nationality or control of the Contractor changes or the Contractor’s sponsoring State, as defined in the Regulations, terminates its sponsorship, the Contractor shall promptly notify the Authority forthwith. 20.2 In either such event, if the Contractor does not obtain another sponsor meeting the requirements prescribed in the Regulations which submits to the Authority a certificate of sponsorship for the Contractor in the prescribed form within the time specified in the Regulations, this contract shall terminate forthwith.\n\nSection 21. Suspension and termination of contract and penalties 21.1 The Council may suspend or terminate this contract, without prejudice to any other rights that the Authority may have, if any of the following events should occur:\n\n(a) If, in spite of written warnings by the Authority, the Contractor has conducted its activities in such a way as to result in serious persistent and wilful violations of the fundamental terms of this contract, Part XI of the Convention, the Agreement and the rules, regulations and procedures of the Authority; or\n\n(b) If the Contractor has failed to comply with a final binding decision of the dispute settlement body applicable to it; or\n\n(c) If the Contractor becomes insolvent or commits an act of bankruptcy or enters into any agreement for composition with its creditors or goes into liquidation or receivership, whether compulsory or voluntary, or petitions or applies to any tribunal for the appointment of a receiver or a trustee or receiver for itself or commences any proceedings relating to itself under any bankruptcy, insolvency or readjustment of debt law, whether now or hereafter in effect, other than for the purpose of reconstruction. 21.2 The Council may, without prejudice to section 17, after consultation with the Contractor, suspend or terminate this contract, without prejudice to any other rights that the Authority may have, if the Contractor is prevented from performing its obligations under this contract by reason of an event or condition of force majeure, as described in section 17.1, which has persisted for a continuous period exceeding two years, despite the Contractor having taken all reasonable measures to overcome its inability to perform and comply with the terms and conditions of this contract with minimum delay. 21.3 Any suspension or termination shall be by notice, through the Secretary\u0002General, which shall include a statement of the reasons for taking such action. The suspension or termination shall be effective 60 days after such notice, unless the Contractor within such period disputes the Authority’s right to suspend or terminate this contract in accordance with Part XI, section 5, of the Convention. 21.4 If the Contractor takes such action, this contract shall only be suspended or terminated in accordance with a final binding decision in accordance with Part XI,\n\nsection 5, of the Convention. 46 13-40403 21.5 If the Council has suspended this contract, the Council may by notice require the Contractor to resume its operations and comply with the terms and conditions of this contract, not later than 60 days after such notice. 21.6 In the case of any violation of this contract not covered by section 21.1 (a) hereof, or in lieu of suspension or termination under section 21.1 hereof, the Council may impose upon the Contractor monetary penalties proportionate to the seriousness of the violation. 21.7 The Council may not execute a decision involving monetary penalties until the Contractor has been accorded a reasonable opportunity to exhaust the judicial remedies available to it pursuant to Part XI, section 5, of the Convention. 21.8 In the event of termination or expiration of this contract, the Contractor shall comply with the Regulations and shall remove all installations, plant, equipment and materials in the exploration area and shall make the area safe so as not to constitute a danger to persons, shipping or to the marine environment.\n\nSection 22. Transfer of rights and obligations 22.1 The rights and obligations of the Contractor under this contract may be transferred in whole or in part only with the consent of the Authority and in accordance with the Regulations. 22.2 The Authority shall not unreasonably withhold consent to the transfer if the proposed transferee is in all respects a qualified applicant in accordance with the Regulations and assumes all of the obligations of the Contractor and if the transfer does not confer to the transferee a plan of work, the approval of which would be forbidden by article 6, paragraph 3 (c), of annex III to the Convention. 22.3 The terms, undertakings and conditions of this contract shall inure to the benefit of and be binding upon the parties hereto and their respective successors and assigns.\n\nSection 23. No waiver No waiver by either party of any rights pursuant to a breach of the terms and conditions of this contract to be performed by the other party shall be construed as a waiver by the party of any succeeding breach of the same or any other term or condition to be performed by the other party.\n\nSection 24. Revision 24.1 When circumstances have arisen or are likely to arise which, in the opinion of the Authority or the Contractor, would render this contract inequitable or make it impracticable or impossible to achieve the objectives set out in this contract or in\n\nPart XI of the Convention or the Agreement, the parties shall enter into negotiations to revise it accordingly. 24.2 This contract may also be revised by agreement between the Contractor and the Authority to facilitate the application of any rules, regulations and procedures adopted by the Authority subsequent to the entry into force of this contract. 24.3 This contract may be revised, amended or otherwise modified only with the consent of the Contractor and the Authority by an appropriate instrument signed by the authorized representatives of the parties.\n\nSection 25. Disputes 25.1 Any dispute between the parties concerning the interpretation or application of this contract shall be settled in accordance with Part XI, section 5, of the Convention. 25.2 In accordance with article 21 (2) of Annex III to the Convention, any final decision rendered by a court or tribunal having jurisdiction under the Convention relating to the rights and obligations of the Authority and of the Contractor shall be enforceable in the territory of any State party to the Convention affected thereby.\n\nSection 26. Notice 26.1 Any application, request, notice, report, consent, approval, waiver, direction or instruction hereunder shall be made by the Secretary-General or by the designated representative of the Contractor, as the case may be, in writing. Service shall be by hand, or by telex, fax, registered airmail or e-mail containing an authorized signature to the Secretary-General at the headquarters of the Authority or to the designated representative. The requirement to provide any information in writing under these Regulations is satisfied by the provision of the information in an e-mail containing a digital signature. 26.2 Either party shall be entitled to change any such address to any other address by not less than ten days’ notice to the other party. 26.3 Delivery by hand shall be effective when made. Delivery by telex shall be deemed to be effective on the business day following the day when the “answer back” appears on the sender’s telex machine. Delivery by fax shall be effective when the “transmit confirmation report” confirming the transmission to the recipient’s published fax number is received by the transmitter. Delivery by registered airmail shall be deemed to be effective 21 days after posting. An e-mail is presumed to have been received by the addressee when it enters an information system designated or used by the addressee for the purpose of receiving documents of the type sent and it is capable of being retrieved and processed by the addressee. 26.4 Notice to the designated representative of the Contractor shall constitute effective notice to the Contractor for all purposes under this contract, and the designated representative shall be the Contractor’s agent for the service of process or notification in any proceeding of any court or tribunal having jurisdiction. 26.5 Notice to the Secretary-General shall constitute effective notice to the Authority for all purposes under this contract, and the Secretary-General shall be the Authority’s agent for the service of process or notification in any proceeding of any court or tribunal having jurisdiction. 48 13-40403\n\nSection 27. Applicable law 27.1 This contract shall be governed by the terms of this contract, the rules, regulations and procedures of the Authority, Part XI of the Convention, the Agreement and other rules of international law not incompatible with the Convention. 27.2 The Contractor, its employees, subcontractors, agents and all persons engaged in working or acting for them in the conduct of its operations under this contract shall observe the applicable law referred to in section 27.1 hereof and shall not engage in any transaction, directly or indirectly, prohibited by the applicable law. 27.3 Nothing contained in this contract shall be deemed an exemption from the necessity of applying for and obtaining any permit or authority that may be required for any activities under this contract.\n\nSection 28. Interpretation The division of this contract into sections and subsections and the insertion of headings are for convenience of reference only and shall not affect the construction or interpretation hereof.\n\nSection 29. Additional documents Each party hereto agrees to execute and deliver all such further instruments, and to do and perform all such further acts and things as may be necessary or expedient to give effect to the provisions of this contract.\n", "n_chars": 121308}
{"corpus_id": "isa/regulation/nodules-2013-es", "version_id": "2013-07-22", "title": "Reglamento sobre Prospección y Exploración de Nódulos Polimetálicos en la Zona (en su forma enmendada en 2013)", "short_title": "Reglamento ISA — exploración de nódulos polimetálicos (2013) [ES]", "jurisdiction": "international", "document_type": "isa_regulation", "official_citation": "ISBA/19/C/17, anexo — Reglamento sobre Prospección y Exploración de Nódulos Polimetálicos en la Zona", "authentic_languages": ["ar", "zh", "en", "fr", "ru", "es"], "language": "es", "adoption_date": "2013-07-22", "entry_into_force_date": null, "source_url": "https://isa.org.jm/wp-content/uploads/2022/04/isba-19c-17_1_0-1.pdf", "source_publisher": "Autoridad Internacional de los Fondos Marinos (ISA)", "source_is_official": true, "authoritative_status": "authentic_text", "text_fidelity": "extracted_verified", "content_hash": "sha256:c87adab9821517b96f537fb787ed70fbdf92b4034e5b485fd2fa6e293acfa8ac", "original_sha256": "sha256:5940a370aaf7293968ee9c4e2213a6dc4cdebcf981d4615c91a40a8430316171", "text_sha256": "sha256:c87adab9821517b96f537fb787ed70fbdf92b4034e5b485fd2fa6e293acfa8ac", "license": "isa-materials-terms", "rights_note": "Texto auténtico español; documento oficial, atribuido a la fuente; no relicenciado.", "provenance_note": "TEXTO AUTÉNTICO ESPAÑOL — sibling under JC-006 (English base record is isa/regulation/nodules-2013). Authentic in the six UN languages, all equally authoritative; the Spanish text is stored here. Byte-exact official PDF (human download) stored as original.pdf; text extracted with pdftotext and cleaned by the committed scripts/extract.py, byte-exact reproducible; page furniture removed, no wording changed. An equally-authentic language version, NOT a translation.", "text": "Reglamento sobre Prospección y Exploración de Nódulos Polimetálicos en la Zona (en su forma enmendada en 2013) — ISBA/19/C/17, anexo [ES]\n\nReglamento sobre Prospección y Exploración de Nódulos Polimetálicos en la Zona\n\nPreámbulo De conformidad con la Convención de las Naciones Unidas sobre el Derecho del Mar de 10 de diciembre de 1982 (“la Convención”), los fondos marinos y oceánicos y su subsuelo fuera de los límites de la jurisdicción nacional, así como sus recursos, son patrimonio común de la humanidad, cuya exploración y explotación se realizarán en beneficio de toda la humanidad, en cuyo nombre actúa la Autoridad Internacional de los Fondos Marinos. Este Reglamento obedece al propósito de regir la prospección y la exploración de los nódulos polimetálicos.\n\nParte I\n\nIntroducción\n\nArtículo 1. Términos empleados y alcance\n\n1. Los términos utilizados en la Convención tendrán igual acepción en el presente Reglamento.\n\n2. De conformidad con el Acuerdo relativo a la aplicación de la Parte XI de la Convención de las Naciones Unidas sobre el Derecho del Mar, de 10 de diciembre de 1982 (en adelante denominado “el Acuerdo”), las disposiciones del Acuerdo y la\n\nParte XI de la Convención se interpretarán y aplicarán en forma conjunta como un solo instrumento. El presente Reglamento y las referencias que en él se hagan a la Convención deberán interpretarse y aplicarse de la misma manera.\n\n3. A los efectos del presente Reglamento: a) Por “explotación” se entiende la recuperación con fines comerciales de nódulos polimetálicos y la extracción de minerales en la Zona, incluidas la construcción y utilización de sistemas de extracción minera, tratamiento y transporte para la producción y comercialización de metales; b) Por “exploración” se entiende la búsqueda de yacimientos de nódulos polimetálicos en la Zona en virtud de derechos exclusivos, el análisis de esos yacimientos, la utilización el ensayo de sistemas y equipo de recuperación, instalaciones de tratamiento y sistemas de transporte y la realización de estudios de los factores ambientales, técnicos, económicos y comerciales y otros factores apropiados que haya que tener en cuenta en la explotación; c) El “medio marino” incluye los componentes, las condiciones y los factores físicos, químicos, geológicos y biológicos cuya interacción determina la productividad, el estado, la condición y la calidad del ecosistema marino, las aguas de los mares y océanos y el espacio aéreo sobre esas aguas, así como los fondos marinos y oceánicos y su subsuelo; d) Por “nódulos polimetálicos” se entiende uno de los recursos de la Zona constituido por cualquier yacimiento o acumulación, en la superficie de los fondos marinos profundos o inmediatamente debajo de ella, de nódulos que contengan manganeso, níquel, cobalto y cobre; e) Por “prospección” se entiende la búsqueda de yacimientos de nódulos polimetálicos en la Zona, incluida la estimación de la composición, el tamaño y la distribución de esos yacimientos y su valor económico, sin ningún derecho exclusivo; f) Por “daños graves al medio marino” se entienden los efectos causados por las actividades realizadas en la Zona en el medio marino que constituyan un cambio adverso importante del medio marino determinado con arreglo a las normas, los reglamentos y los procedimientos aprobados por la Autoridad sobre la base de normas y prácticas internacionalmente reconocidas.\n\n4. El presente Reglamento no afectará de manera alguna a la libertad para realizar investigaciones científicas, de conformidad con el artículo 87 de la Convención, ni al derecho a realizar investigaciones científicas marinas en la Zona, de conformidad con los artículos 143 y 256 de la Convención. No se interpretará parte alguna del presente Reglamento como una restricción al ejercicio por los Estados de la libertad de la alta mar con arreglo al artículo 87 de la Convención.\n\n5. El presente Reglamento podrá complementarse con otros reglamentos y disposiciones adicionales, en particular acerca de la protección y conservación del medio ambiente marino. Este Reglamento estará sujeto a las disposiciones de la Convención y el Acuerdo y demás normas del derecho internacional que no sean incompatibles con la Convención.\n\nParte II. Prospección\n\nArtículo 2. Prospección\n\n1. La prospección se realizará de conformidad con la Convención y con el presente Reglamento y únicamente podrá comenzar una vez que el Secretario General haya informado al prospector de que su notificación ha sido registrada de conformidad con el artículo 4 2).\n\n2. Los prospectores y la Autoridad aplicarán el criterio de precaución enunciado en el principio 15 de la Declaración de Río sobre el Medio Ambiente y el Desarrollo3. La prospección no se iniciará cuando haya pruebas fehacientes de que existe riesgo de daños graves al medio marino.\n\n3. La prospección no podrá realizarse en un área comprendida en un plan de trabajo aprobado para la exploración de nódulos polimetálicos o en un área reservada; tampoco podrá realizarse en un área en la cual el Consejo haya excluido la explotación por el riesgo de daños graves al medio marino.\n\n4. La prospección no conferirá al prospector derecho alguno sobre los recursos. No obstante, el prospector podrá extraer una cantidad razonable de minerales, la necesaria para las pruebas de ensayo, pero no con fines comerciales.\n\n3 Informe de la Conferencia de las Naciones Unidas sobre el Medio Ambiente y el Desarrollo, Río de Janeiro, 3 a 14 de junio de 1992 (publicación de las Naciones Unidas, núm. de venta: S.93.I.8 y corrección), vol. I, Resoluciones aprobadas por la Conferencia, resolución 1, anexo I.\n\n5. La prospección no estará sujeta a plazo, pero la prospección en un área determinada cesará cuando el prospector reciba notificación por escrito del Secretario General de que se ha aprobado un plan de trabajo para la exploración respecto de esa área.\n\n6. La prospección podrá ser realizada simultáneamente por más de un prospector en la misma área o las mismas áreas.\n\nArtículo 3. Notificación de la prospección\n\n1. La persona o entidad que se proponga proceder a una prospección lo notificará a la Autoridad.\n\n2. Las notificaciones de prospección se harán en la forma prescrita en el anexo I del presente Reglamento, serán dirigidas al Secretario General y se ajustarán a los requisitos enunciados en el presente Reglamento.\n\n3. Las notificaciones serán presentadas: a) En el caso de los Estados, por la autoridad que designen a tal fin; b) En el caso de una entidad, por sus representantes designados; c) En el caso de la Empresa, por su autoridad competente.\n\n4. Las notificaciones se harán en uno de los idiomas de la Autoridad y contendrán: a) El nombre, la nacionalidad y la dirección del interesado en la prospección y su representante designado; b) Las coordenadas del área o las áreas generales dentro de las cuales se realizará la prospección, de conformidad con la norma internacional más reciente e internacionalmente aceptada que aplique la Autoridad; c) Una descripción general del programa de prospección en que consten la fecha de comienzo de las actividades y su duración aproximada; d) Un compromiso escrito, contraído en forma satisfactoria, de que el interesado en la prospección: i) Cumplirá la Convención y las normas, reglamentos y procedimientos de la Autoridad relativos a: a. La cooperación en los programas de capacitación relacionados con la investigación científica marina y la transferencia de tecnología a que se hace referencia en los artículos 143 y 144 de la Convención; y b. ii) La protección y preservación del medio marino; Aceptará que la Autoridad verifique el cumplimiento de lo que antecede; y iii) Facilitará a la Autoridad, en la medida de lo posible, los datos que sean pertinentes para la protección y preservación del medio marino.\n\nArtículo 4. Examen de las notificaciones\n\n1. El Secretario General acusará recibo por escrito de las notificaciones presentadas de conformidad con el artículo 3, especificando la fecha en que las recibió.\n\n2. El Secretario General examinará la notificación y tomará una decisión dentro de los 45 días siguientes a la fecha en que la haya recibido. Si la notificación cumple los requisitos previstos en la Convención y en el presente Reglamento, el Secretario General inscribirá los pormenores de la notificación en el registro que llevará a esos efectos e informará de ello al prospector por escrito.\n\n3. El Secretario General, dentro de los 45 días siguientes a la fecha en que reciba la notificación, comunicará por escrito al interesado en la prospección si la notificación incluye una parte de un área comprendida en un plan de trabajo aprobado para la exploración o explotación de cualquier tipo de recursos, una parte de un área reservada o una parte de un área en la cual el Consejo haya excluido la explotación por entrañar riesgos de daños graves al medio marino o porque el compromiso escrito no era satisfactorio y remitirá al interesado en la prospección un informe escrito motivado. En tales casos, el interesado en la prospección podrá presentar una notificación enmendada en un plazo de 90 días. El Secretario General dispondrá de 45 días para examinar la notificación enmendada y tomar una decisión.\n\n4. El prospector deberá informar por escrito al Secretario General de cualquier cambio en la información contenida en la notificación.\n\n5. El Secretario General no revelará los pormenores que figuren en la notificación, salvo con el consentimiento escrito del prospector. Sin embargo, el Secretario General comunicará periódicamente a todos los miembros de la Autoridad la identidad del prospector y las áreas en que se estén realizando actividades de prospección sin especificarlas.\n\nArtículo 5. Protección y preservación del medio marino durante la prospección\n\n1. Cada prospector tomará las medidas necesarias para prevenir, reducir y controlar, en la medida de lo razonablemente posible, la contaminación y otros riesgos para el medio marino derivados de la prospección, aplicando un criterio de precaución y las mejores prácticas ambientales. En particular, los prospectores reducirán al mínimo o eliminarán: a) Los efectos ambientales adversos de la prospección; y b) Los conflictos o las interferencias reales o posibles con las actividades de investigación científica marina existentes o previstas, conforme a las futuras directrices que se establezcan al respecto.\n\n2. Los prospectores cooperarán con la Autoridad para preparar y aplicar programas de vigilancia y evaluación de los posibles efectos sobre el medio marino de la exploración y la explotación de nódulos polimetálicos.\n\n3. El prospector notificará inmediatamente por escrito al Secretario General, utilizando el medio más eficaz, todo incidente dimanado de la prospección que haya causado, esté causando o amenace con causar daños graves al medio marino. Al recibir la notificación, el Secretario General actuará de conformidad con el artículo\n\n33 del presente Reglamento.\n\nArtículo 6. Informe anual\n\n1. El prospector presentará a la Autoridad, dentro de los 90 días siguientes al final de cada año civil, un informe sobre el estado de la prospección y el Secretario General lo presentará a la Comisión Jurídica y Técnica. El informe contendrá: a) Una descripción general del estado de la prospección y de los resultados obtenidos; b) Indicaciones sobre el cumplimiento del compromiso estipulado en el artículo 3 4) d); y c) Información sobre el cumplimiento de las directrices que se establezcan al respecto.\n\n2. El prospector, si se propone resarcirse de los gastos de la prospección como parte de los gastos de inversión que haya efectuado con anterioridad a la producción comercial, deberá presentar un estado financiero anual conforme a los principios contables internacionalmente aceptados y certificado por una empresa de contadores públicos debidamente acreditada sobre los gastos reales y directos que haya realizado con ocasión de la prospección.\n\nArtículo 7. Confidencialidad de los datos y la información contenidos en el informe anual\n\n1. El Secretario General protegerá el carácter confidencial de todos los datos y la información que consten en los informes que se presenten en cumplimiento del artículo 6, aplicando, mutatis mutandis, las disposiciones de los artículos 36 y 37 del presente Reglamento, con la salvedad de que no se considerarán confidenciales los datos y la información que se refieran a la protección y preservación del medio marino, en particular los procedentes de programas de vigilancia ambiental. El prospector podrá solicitar que los datos no se divulguen durante un período de hasta tres años contado a partir de la fecha de su presentación.\n\n2. El Secretario General podrá en cualquier momento, con el consentimiento del prospector de que se trate, revelar datos e información relativos a la prospección en un área con respecto a la cual se haya presentado la notificación correspondiente. El Secretario General podrá revelar dichos datos e información si, tras hacer gestiones razonables durante dos años por lo menos, determinase que el prospector ha dejado de existir o que se desconoce su paradero.\n\nArtículo 8. Objetos de interés arqueológico o histórico El prospector notificará inmediatamente por escrito al Secretario General el hallazgo de cualquier objeto de interés arqueológico o histórico real o potencial y su emplazamiento. El Secretario General transmitirá a su vez esa información al Director General de la Organización de las Naciones Unidas para la Educación, la Ciencia y la Cultura.\n\nParte III. Solicitudes de aprobación de planes de trabajo para la exploración en forma de contratos\n\nSección 1. Disposiciones generales\n\nArtículo 9. Disposición común Con sujeción a las disposiciones de la Convención, podrán solicitar de la Autoridad la aprobación de un plan de trabajo para la exploración: a) La Empresa, actuando en nombre propio o en virtud de un arreglo conjunto; b) Los Estados partes, las empresas estatales o las personas naturales o jurídicas que posean la nacionalidad de Estados partes o sean efectivamente controlados por ellos o por sus nacionales, cuando las patrocinen dichos Estados, o cualquier agrupación de los anteriores que reúna los requisitos previstos en el presente Reglamento.\n\nSección 2. Contenido de la solicitud\n\nArtículo 10. Forma de la solicitud\n\n1. Las solicitudes de aprobación de un plan de trabajo para la exploración se presentarán en la forma indicada en el anexo II del presente Reglamento, se dirigirán al Secretario General y se ajustarán a los requisitos del presente Reglamento.\n\n2. Las solicitudes serán presentadas: a) En el caso de los Estados, por la autoridad que designen a tal fin; b) En el caso de una entidad, por sus representantes designados o por la autoridad designada a tal fin por el Estado o los Estados patrocinadores; y c) En el caso de la Empresa, por su autoridad competente.\n\n3. En las solicitudes presentadas por una empresa estatal o una de las entidades a que se refiere el artículo 9 b) figurará además: a) Información suficiente para determinar la nacionalidad del solicitante o la identidad del Estado o los Estados, o la de sus nacionales, que lo controlen efectivamente; y b) El establecimiento o domicilio principal del solicitante y, si procede, el lugar en donde está inscrito.\n\n4. Las solicitudes presentadas por una asociación o un consorcio de entidades incluirán la información requerida en relación con cada uno de los componentes.\n\nArtículo 11. Certificado de patrocinio\n\n1. La solicitud presentada por una empresa estatal o una de las entidades a que se refiere el artículo 9 b) irá acompañada de un certificado de patrocinio expedido por el Estado del cual sea nacional o a cuyo control o el de sus nacionales esté efectivamente sujeta. Si el solicitante tuviera más de una nacionalidad, como en el caso de las asociaciones o consorcios de entidades de más de un Estado, cada uno de ellos expedirá un certificado de patrocinio.\n\n2. Si el solicitante tuviera la nacionalidad de un Estado pero estuviera sujeto al control efectivo de otro Estado o sus nacionales, cada uno de ellos expedirá un certificado de patrocinio.\n\n3. Los certificados de patrocinio serán debidamente firmados en nombre del Estado que los presente y consignarán: a) El nombre del solicitante; b) El nombre del Estado patrocinador; c) Una declaración de que el solicitante: i) Es nacional del Estado patrocinador; o ii) Está sujeto al control efectivo del Estado patrocinador o sus nacionales; d) Una declaración de que el Estado patrocina al solicitante; e) La fecha en que el Estado patrocinador depositó el instrumento de ratificación, adhesión o sucesión con respecto a la Convención; f) Una declaración de que el Estado patrocinador asume la responsabilidad a que se hace referencia en el artículo 139 y en el artículo 153 4) de la Convención, y en el artículo 4 4) del anexo III de esta.\n\n4. Los Estados o las entidades que hayan concertado un arreglo conjunto con la Empresa tendrán que cumplir también lo dispuesto en el presente artículo.\n\nArtículo 12. Capacidad financiera y técnica\n\n1. La solicitud de aprobación de un plan de trabajo para la exploración contendrá información concreta y suficiente que permita al Consejo comprobar si el solicitante tiene la capacidad financiera y técnica para realizar el plan de trabajo para la exploración propuesto y para cumplir sus obligaciones financieras con la Autoridad.\n\n2. Se considerará que la solicitud de aprobación de un plan de trabajo para la exploración presentada en nombre de un Estado o una entidad, o un componente de una entidad, de los mencionados en el párrafo 1 a) ii) o iii) de la resolución II, que no sea un primer inversionista inscrito y que ya hubiere realizado actividades sustanciales en la Zona antes de la entrada en vigor de la Convención, o su causahabiente, ha cumplido los requisitos financieros y técnicos necesarios para la aprobación del plan de trabajo para la exploración si el Estado o los Estados patrocinadores certifican que el solicitante ha gastado por lo menos una suma equivalente a 30 millones de dólares de los Estados Unidos en actividades de investigación y exploración y ha destinado no menos del 10% de esa suma a la localización, el estudio y la evaluación del área mencionada en el plan de trabajo para la exploración.\n\n3. La solicitud de aprobación de un plan de trabajo para la exploración presentada por la Empresa incluirá una declaración de su autoridad competente en que se certifique que la Empresa cuenta con los recursos financieros necesarios para sufragar los gastos estimados del plan de trabajo para la exploración propuesto.\n\n4. La solicitud de aprobación de un plan de trabajo para la exploración presentada por un Estado o una empresa estatal que no sean primeros inversionistas inscritos ni una entidad de las mencionadas en el párrafo 1 a) ii) o iii) de la resolución II incluirá una declaración del Estado o del Estado patrocinador que certifique que el solicitante tiene los recursos financieros necesarios para sufragar los gastos estimados del plan de trabajo para la exploración propuesto.\n\n5. La solicitud de aprobación de un plan de trabajo para la exploración presentada por una entidad que no sea primer inversionista inscrito ni una de las mencionadas en el párrafo 1 a) ii) o iii) de la resolución II incluirá copias de sus estados financieros comprobados, junto con los balances y los estados de pérdidas y ganancias correspondientes a los tres últimos años, ajustados a los principios contables internacionalmente aceptados y certificados por una empresa de contadores públicos debidamente acreditada.\n\n6. Si el solicitante fuera una entidad recientemente organizada y no tuviera balances certificados, la solicitud incluirá un balance pro forma certificado por un funcionario competente del solicitante.\n\n7. Si el solicitante fuera una filial de otra entidad, la solicitud incluirá copias de los estados financieros de esa entidad y una declaración de esa entidad ajustada a los principios contables aceptados internacionalmente y certificada por una empresa de contadores públicos debidamente acreditada de que el solicitante contará con los recursos financieros para ejecutar el plan de trabajo para la exploración.\n\n8. Si el solicitante estuviese bajo el control de un Estado o una empresa estatal, la solicitud incluirá la certificación del Estado o la empresa estatal de que el solicitante contará con los recursos financieros para ejecutar el plan de trabajo para la exploración.\n\n9. Si uno de los solicitantes que buscan la aprobación de un plan de trabajo para la exploración tuviese la intención de financiar el plan de trabajo para la exploración propuesto mediante empréstitos, su solicitud deberá hacer mención del importe de los empréstitos, el período de amortización y el tipo de interés.\n\n10. Sin perjuicio de lo dispuesto en el párrafo 2, todas las solicitudes incluirán: a) Una descripción general de la experiencia, los conocimientos, la pericia, la competencia técnica y la especialización del solicitante pertinentes al plan de trabajo para la exploración propuesto; b) Una descripción general del equipo y los métodos que se prevé utilizar en la realización del plan de trabajo para la exploración propuesto y otra información pertinente, que no sea objeto de derechos de propiedad intelectual, acerca de las características de esa tecnología; y c) Una descripción general de la capacidad financiera y técnica del solicitante para actuar en caso de incidente o actividad que causen daños graves al medio marino.\n\n11. Si el solicitante fuera una asociación o un consorcio de entidades que hubieren concertado un arreglo conjunto, cada una de ellas proporcionará la información prevista en el presente Reglamento.\n\nArtículo 13. Contratos anteriores con la Autoridad Si se hubiera adjudicado anteriormente un contrato con la Autoridad al solicitante o, en caso de que la solicitud hubiese sido presentada por una asociación o un consorcio de entidades que hubieran concertado un arreglo conjunto, a cualquiera de esas entidades, la solicitud incluirá: a) La fecha del contrato o los contratos anteriores; b) La fecha, el número de referencia y el título de cada informe presentado a la Autoridad en relación con el contrato o los contratos; y c) La fecha de terminación del contrato o los contratos, si procediere.\n\nArtículo 14. Obligaciones Como parte de su solicitud de aprobación de un plan de trabajo para la exploración, los solicitantes, incluida la Empresa, se comprometerán por escrito con la Autoridad a: a) Aceptar y cumplir las obligaciones aplicables que dimanen de las disposiciones de la Convención y las normas, los reglamentos y los procedimientos de la Autoridad, las decisiones de los órganos de la Autoridad y las cláusulas de los contratos celebrados con ella; b) Aceptar el control de la Autoridad sobre las actividades en la Zona en la forma autorizada por la Convención; y c) Dar por escrito a la Autoridad seguridades de que cumplirán de buena fe las obligaciones estipuladas en el contrato.\n\nArtículo 15. Superficie total a que se refiere la solicitud La solicitud de aprobación de un plan de trabajo para la exploración definirá, de conformidad con las normas internacionales generalmente aceptadas más recientes que utilice la Autoridad, los límites del área solicitada mediante una lista de coordenadas geográficas. Las solicitudes distintas de las presentadas en virtud del artículo 17 abarcarán una superficie total, no necesariamente continua, lo bastante extensa y de suficiente valor comercial estimado para permitir dos explotaciones mineras. El solicitante indicará las coordenadas que dividan el área en dos partes de igual valor comercial estimado. El área que haya de destinarse al solicitante estará sujeta a lo dispuesto en el artículo 25.\n\nArtículo 16. Datos e información que deberán presentarse antes de la designación de un área reservada\n\n1. Las solicitudes contendrán datos e información suficientes, con arreglo a lo dispuesto en la sección II del anexo II del presente Reglamento, respecto del área solicitada para que el Consejo pueda, por recomendación de la Comisión Jurídica y Técnica, designar un área reservada sobre la base del valor comercial estimado de cada una de las partes. Esos datos e información consistirán en los datos de que disponga el solicitante respecto de las dos partes del área solicitada, incluidos los datos empleados para determinar su valor comercial.\n\n2. El Consejo, sobre la base de los datos y la información presentados por el solicitante, con arreglo a la sección II del anexo II del presente Reglamento, si los estima satisfactorios, y teniendo en cuenta la recomendación de la Comisión Jurídica y Técnica, designará la parte del área solicitada que será área reservada. El área así designada pasará a ser área reservada tan pronto como se apruebe el plan de trabajo para la exploración correspondiente al área no reservada y se firme el contrato. Si el Consejo determina que, de conformidad con el Reglamento y el anexo II, se necesita información adicional para designar el área reservada, devolverá la cuestión a la Comisión para su ulterior examen con especificación de la información adicional necesaria.\n\n3. Una vez aprobado el plan de trabajo para la exploración y expedido un contrato, la información y los datos transmitidos a la Autoridad por el solicitante respecto del área reservada podrán ser dados a conocer por la Autoridad de conformidad con el artículo 14 3) del anexo III de la Convención.\n\nArtículo 17. Solicitudes de aprobación de planes de trabajo en relación con un área reservada\n\n1. Cualquier Estado en desarrollo o persona natural o jurídica patrocinada por él y que esté bajo su control efectivo o bajo el de otro Estado en desarrollo, o cualquier agrupación de los anteriores, podrá notificar a la Autoridad su intención de presentar un plan de trabajo para la exploración respecto de un área reservada. El Secretario General transmitirá la notificación a la Empresa, la cual informará al Secretario General por escrito dentro de un plazo de seis meses si tiene o no intención de realizar actividades en esa área reservada. Si la Empresa tiene el propósito de realizar actividades en el área reservada, en cumplimiento de lo dispuesto en el párrafo 4, también informará por escrito al contratista en cuya solicitud de aprobación de un plan de trabajo para la exploración se incluía esa área.\n\n2. Se podrán presentar solicitudes de aprobación de un plan de trabajo para la exploración respecto de un área reservada en cualquier momento después de que ésta quede disponible tras la decisión de la Empresa de no realizar actividades en ella o cuando, en un plazo de seis meses contados desde la notificación por el Secretario General, la Empresa no haya adoptado la decisión de realizar actividades en esa área o no haya notificado por escrito al Secretario General que está celebrando negociaciones relativas a una posible empresa conjunta. En este último caso, la Empresa tendrá un año a partir de la fecha de esa notificación para decidir si realizará actividades en el área mencionada.\n\n3. Si la Empresa, un Estado en desarrollo o una de las entidades a que se refiere el párrafo 1 no presentase una solicitud de aprobación de un plan de trabajo para la exploración para realizar actividades en un área reservada en el plazo de 15 años contados desde que la Empresa hubiera empezado a funcionar con independencia de la Secretaría de la Autoridad, o en el plazo de 15 años contados desde la fecha en que esa área se hubiera reservado para la Autoridad, si esta fecha fuere posterior, el contratista en cuya solicitud de aprobación de un plan de trabajo para la exploración se incluía esa área tendrá derecho a solicitar la aprobación de un plan de trabajo para la exploración respecto de ella siempre que ofrezca de buena fe incluir a la Empresa como socia en una empresa conjunta.\n\n4. Un contratista tendrá derecho de opción preferente para concertar un arreglo de empresa conjunta con la Empresa para la exploración del área incluida en su solicitud de aprobación de un plan de trabajo para la exploración que el Consejo haya designado área reservada.\n\nArtículo 18. Datos e información que deben presentarse para la aprobación del plan de trabajo para la exploración Cada solicitante deberá presentar, a fin de que se apruebe el plan de trabajo para exploración en forma de un contrato, la información siguiente: a) Una descripción general del programa de exploración propuesto y el período dentro del cual se propone terminarlo, con inclusión de los detalles del programa de actividades para el período inmediato de cinco años, como los estudios que se han de realizar respecto de los factores ambientales, técnicos, económicos y otros factores apropiados que haya que tener en cuenta en la exploración; b) Una descripción del programa de estudios oceanográficos y ambientales de referencia de conformidad con el presente Reglamento y los procedimientos y las directrices ambientales publicados por la Autoridad que permita hacer una evaluación de los posibles efectos sobre el medio ambiente, incluidos entre otros, los efectos sobre la biodiversidad de las actividades de exploración propuestas, teniendo en cuenta las recomendaciones de la Comisión Jurídica y Técnica; c) Una evaluación preliminar de los posibles efectos sobre el medio ambiente de las actividades de exploración propuestas; d) Una descripción de las medidas propuestas para prevenir, reducir y controlar la contaminación y otros riesgos para el medio marino, así como los posibles efectos sobre él; e) Los datos necesarios para que el Consejo pueda adoptar la decisión que le incumbe con arreglo al artículo 12 1); y f) Un plan de los gastos anuales previstos en relación con el programa de actividades para el período inmediato de cinco años.\n\nSección 3. Derechos de tramitación\n\nArtículo 19. Pago de derechos\n\n1. Los derechos de tramitación de una solicitud de aprobación de un plan de trabajo para la exploración de nódulos polimetálicos consistirán en una cantidad fija de 500.000 dólares de los Estados Unidos o su equivalente en moneda de libre convertibilidad, que se pagará íntegramente al momento de presentar la solicitud.\n\n2. Si los gastos administrativos hechos por la Autoridad al tramitar una solicitud son menores a la suma fija que se indica en el párrafo 1, la Autoridad devolverá al solicitante la diferencia. Si los gastos administrativos hechos por la Autoridad al tramitar la solicitud son mayores a la suma fija que se indica en el párrafo 1, el solicitante abonará la diferencia a la Autoridad, siempre que la suma adicional que deba pagar el solicitante no sea superior al 10% de la suma fija indicada en el párrafo 1.\n\n3. Teniendo en cuenta cualquier criterio establecido por el Comité de Finanzas con este propósito, el Secretario General determinará la suma de las diferencias que se indican en el párrafo 2 y la notificará al solicitante. La notificación incluirá una declaración de los gastos realizados por la Autoridad. La cantidad adeudada será abonada por el solicitante o reembolsada por la Autoridad en un plazo de tres meses a partir de la firma del contrato a que se refiere el artículo 23.\n\n4. La suma fija a que se refiere el párrafo 1 será revisada periódicamente por el Consejo a fin de asegurar que cubre los gastos administrativos previstos para la tramitación de las solicitudes y evitar la necesidad de que los solicitantes desembolsen sumas adicionales con arreglo al párrafo 2.\n\nSección 4. Tramitación de las solicitudes\n\nArtículo 20. Recepción, acuse de recibo y custodia de las solicitudes\n\n1. El Secretario General: a) Acusará recibo por escrito dentro de los 30 días siguientes a la fecha en que haya recibido una solicitud de aprobación de un plan de trabajo para exploración presentada conforme a lo dispuesto en esta Parte y especificará esa fecha; b) Conservará a buen recaudo la solicitud y los documentos adjuntos y anexos, y asegurará la confidencialidad de todos los datos y la información de esa naturaleza que se incluyan en la solicitud; y c) Notificará a los miembros de la Autoridad la recepción de las solicitudes y les transmitirá la información general sobre ellas que no tenga carácter confidencial.\n\nArtículo 21. Examen por la Comisión Jurídica y Técnica\n\n1. El Secretario General, al recibir una solicitud de aprobación de un plan de trabajo para la exploración, lo notificará a los miembros de la Comisión Jurídica y Técnica e incluirá su examen en el orden del día de la siguiente sesión de la Comisión. La Comisión examinará únicamente las solicitudes respecto de las cuales el Secretario General haya presentado la notificación y transmitido la información que se disponen en el artículo 20 c) al menos 30 días antes del inicio de la sesión de la Comisión en que han de examinarse.\n\n2. La Comisión examinará las solicitudes en el orden en que sean recibidas.\n\n3. La Comisión determinará si el solicitante: a) Ha cumplido las disposiciones del presente Reglamento;\n\nb) Ha asumido las obligaciones y dado las garantías indicadas en el artículo 14; c) Tiene la capacidad financiera y técnica para llevar a cabo el plan de trabajo para la exploración propuesto y ha proporcionado detalles acerca de su capacidad para cumplir prontamente una orden de emergencia; y d) Ha cumplido debidamente sus obligaciones relativas a contratos anteriores con la Autoridad.\n\n4. La Comisión determinará, de conformidad con lo dispuesto en el presente Reglamento y sus procedimientos, si el plan de trabajo para la exploración propuesto: a) Contiene disposiciones relativas a la protección efectiva de la vida y la seguridad humanas; b) Contiene disposiciones relativas a la protección y preservación del medio marino, incluidos, entre otras cosas, los efectos sobre la biodiversidad; c) Asegura que las instalaciones se erigirán de modo que no causen interferencia en la utilización de vías marítimas esenciales para la navegación internacional o en áreas de intensa actividad pesquera.\n\n5. Si la Comisión concluye que el solicitante cumple los requisitos del párrafo 3 y que el plan de trabajo para la exploración propuesto satisface los requisitos del párrafo 4, recomendará al Consejo que apruebe el plan de trabajo para la exploración.\n\n6. La Comisión no recomendará que se apruebe un plan de trabajo para la exploración propuesto si una parte o la totalidad del área abarcada por él está incluida en: a) Un plan de trabajo para la exploración de nódulos polimetálicos aprobado por el Consejo; o b) Un plan de trabajo para la exploración o la explotación de otros recursos aprobado por el Consejo si el plan de trabajo para la exploración de nódulos polimetálicos propuesto puede dificultar indebidamente las actividades del plan de trabajo aprobado para otros recursos; o c) Un área cuya explotación haya sido excluida por el Consejo en virtud de pruebas fehacientes del riesgo de causar daños graves al medio marino; o d) Si el plan de trabajo para la exploración propuesto ha sido presentado o patrocinado por un Estado que ya sea titular de: i) Planes de trabajo para la exploración y explotación o para la explotación únicamente en áreas no reservadas que, conjuntamente con cualquiera de las dos partes del área abarcada por la solicitud, tengan una superficie superior al 30% de un área circular de 400.000 km2 cuyo centro sea el de cualquiera de las dos partes del área abarcada por el plan de trabajo propuesto; ii) Planes de trabajo para la exploración y explotación o para la explotación únicamente en áreas no reservadas que en conjunto representen un 2% de la parte de la Zona que no esté reservada ni haya sido excluida de la explotación de conformidad con el artículo 162 2) x) de la Convención.\n\n7. Salvo en el caso de las solicitudes presentadas por la Empresa, o en su nombre o en el de una empresa conjunta, y en el de las solicitudes previstas en el artículo 17, la Comisión no recomendará la aprobación del plan de trabajo para la exploración si una parte o la totalidad del área abarcada por el plan de trabajo para la exploración propuesto está incluida en un área reservada o designada por el Consejo como reservada.\n\n8. Si la Comisión determina que una solicitud no cumple el presente Reglamento, lo notificará al solicitante por escrito, por intermedio del Secretario General, indicando las razones. El solicitante podrá enmendar la solicitud dentro de los 45 días siguientes a esa notificación. Si la Comisión, tras un nuevo examen, entiende que no debe recomendar la aprobación del plan de trabajo para la exploración, lo comunicará al solicitante, dándole un plazo de 30 días a contar desde la fecha de la comunicación, para presentar sus observaciones. La Comisión tomará en consideración las observaciones del solicitante al preparar su informe y la recomendación al Consejo.\n\n9. Al examinar el plan de trabajo para la exploración propuesto, la Comisión tendrá en cuenta los principios, normas y objetivos relacionados con las actividades en la Zona que se prevén en la Parte XI y el anexo III de la Convención y en el Acuerdo.\n\n10. La Comisión examinará las solicitudes sin dilación y presentará al Consejo un informe y recomendaciones sobre la designación de las áreas y sobre el plan de trabajo para la exploración en la primera oportunidad posible, teniendo en cuenta el programa de reuniones de la Autoridad.\n\n11. La Comisión, en el desempeño de las funciones, aplicará el presente reglamento sobre una base equitativa y no discriminatoria.\n\nArtículo 22. Examen y aprobación por el Consejo de los planes de trabajo para la exploración El Consejo examinará los informes y las recomendaciones de la Comisión relativos a la aprobación de planes de trabajo para la exploración de conformidad con los párrafos 11 y 12 de la sección 3 del anexo del Acuerdo.\n\nParte IV. Contratos de exploración\n\nArtículo 23. El contrato\n\n1. El plan de trabajo para la exploración, una vez aprobado por el Consejo, será preparado en forma de contrato entre la Autoridad y el solicitante y como se dispone en el anexo III del presente Reglamento. Cada contrato de ese tipo incluirá las cláusulas estándar mencionadas en el anexo IV que estén vigentes en la fecha en que entre en vigor el contrato.\n\n2. El contrato será firmado por el Secretario General, en nombre de la Autoridad, y por el solicitante. El Secretario General notificará por escrito a todos los miembros de la Autoridad cada uno de los contratos que firme.\n\n3. De conformidad con el principio de la no discriminación, el contrato celebrado con un Estado o entidad o cualquier componente de una entidad de ese tipo mencionada en el párrafo 6 a) i) de la sección 1 del anexo del Acuerdo incluirá condiciones similares a las concertadas con un primer inversionista inscrito y no menos favorables que ellas. Si alguno de los Estados, entidades o componentes de las entidades que se indican en el párrafo 6 a) i) de la sección 1 del anexo del Acuerdo se beneficia de condiciones más favorables, el Consejo concertará disposiciones similares y no menos favorables respecto de los derechos y las obligaciones contraídas por los primeros inversionistas inscritos, a condición de que no afecten a los intereses de la Autoridad ni los perjudiquen.\n\nArtículo 24. Derechos del contratista\n\n1. El contratista tendrá el derecho exclusivo de explorar un área abarcada por el plan de trabajo de la exploración respecto de los nódulos polimetálicos. La Autoridad velará por que ninguna otra entidad realice en la misma área actividades relacionadas con otros recursos de forma tal que pueda dificultar las operaciones del contratista.\n\n2. El contratista cuyo plan de trabajo para realizar únicamente actividades de exploración haya sido aprobado tendrá preferencia y prioridad respecto de los demás solicitantes que hayan presentado un plan de trabajo para la explotación de la misma área o los mismos recursos. El Consejo podrá retirar esa preferencia o prioridad si el contratista no hubiere cumplido las condiciones del plan de trabajo para la exploración aprobado dentro del plazo fijado en uno o varios avisos dados por escrito por el Consejo al contratista en los que indique los requisitos que este no ha cumplido. El plazo fijado en este tipo de avisos será razonable. Deberá otorgarse al contratista un plazo razonable para hacerse oír antes de que la retirada de dicha preferencia o prioridad sea firme. El Consejo indicará las razones por las cuales se propone retirar la preferencia o prioridad y tomará en consideración las observaciones del contratista. La decisión del Consejo tendrá en cuenta tales observaciones y se adoptará sobre la base de pruebas fehacientes.\n\n3. La preferencia o prioridad no quedará efectivamente retirada hasta que se haya dado al contratista oportunidad razonable de agotar los recursos judiciales de que dispone de conformidad con la sección 5 de la Parte XI de la Convención.\n\nArtículo 25. Dimensión del área y cesión de partes de ella\n\n1. La superficie total del área asignada al contratista en el contrato no excederá de 150.000 km2. El contratista irá cediendo partes del área que le haya sido asignada, las cuales revertirán a la Zona. A más tardar al final del tercer año contado a partir de la fecha del contrato, el contratista habrá cedido el 20% del área que le había sido asignada; a más tardar al final del quinto año contado a partir de la fecha del contrato, el contratista habrá cedido otro 10% del área que le había sido asignada; y ocho años después de la fecha del contrato, el contratista habrá cedido otro 20% del área que le había sido asignada, o la extensión superior que exceda del área de explotación determinada por la Autoridad, en el entendimiento de que el contratista no tendrá que ceder parte alguna de dicha área cuando la que le haya sido asignada no exceda de 75.000 km2.\n\n2. En circunstancias excepcionales, el Consejo podrá, a solicitud del contratista y por recomendación de la Comisión, prorrogar el cronograma de la cesión. Corresponderá al Consejo determinar esas circunstancias excepcionales, que, entre otras, comprenderán las circunstancias económicas imperantes u otras circunstancias excepcionales imprevistas derivadas de las actividades operacionales del contratista.\n\nArtículo 26. Duración de los contratos\n\n1. Los planes de trabajo para la exploración serán aprobados por un período de\n\n15 años. Cuando venza el plan de trabajo para la exploración, el contratista deberá solicitar uno para la explotación, a menos que lo haya hecho ya, haya obtenido una prórroga del plan de trabajo para la exploración o decida renunciar a sus derechos en el área a que se refiere este.\n\n2. A más tardar seis meses antes de la expiración de un plan de trabajo para la exploración, el contratista podrá solicitar que este se prorrogue por períodos no superiores a cinco años cada vez. Las prórrogas serán aprobadas por el Consejo, previa recomendación de la Comisión, siempre que el contratista se haya esforzado de buena fe por cumplir los requisitos del plan de trabajo pero, por razones ajenas a su voluntad, no haya podido completar el trabajo preparatorio necesario para pasar a la etapa de explotación o si las circunstancias económicas imperantes no justifican que se pase a esa etapa.\n\nArtículo 27. Capacitación De conformidad con el artículo 15 del anexo III de la Convención, todos los contratos incluirán en un anexo un programa práctico para la capacitación del personal de la Autoridad y de los Estados en desarrollo, preparado por el contratista en cooperación con la Autoridad y el Estado o los Estados patrocinadores. El programa de capacitación se centrará en la realización de la exploración, y dispondrá la plena participación de dicho personal en todas las actividades previstas en el contrato. Este programa podrá ser revisado y ampliado periódicamente de común acuerdo, según sea necesario.\n\nArtículo 28. Examen periódico de la ejecución del plan de trabajo para la exploración\n\n1. El contratista y el Secretario General procederán conjuntamente a un examen periódico de la ejecución del plan de trabajo para la exploración a intervalos de cinco años. El Secretario General podrá pedir al contratista que presente los datos y la información adicionales que sean necesarios para los fines del examen.\n\n2. El contratista, a la luz del examen, indicará su programa de actividades para el quinquenio siguiente e introducirá en el programa anterior los ajustes que sean necesarios.\n\n3. El Secretario General presentará un informe sobre el examen a la Comisión y al Consejo. En su informe, el Secretario General indicará si en el examen se tuvieron en cuenta las observaciones que le hubiesen comunicado los Estados partes en la Convención acerca de la forma en que el contratista ha cumplido sus obligaciones en virtud del presente Reglamento en lo relativo a la protección y preservación del medio marino.\n\nArtículo 29. Terminación del patrocinio\n\n1. El contratista deberá tener el patrocinio necesario durante todo el período de vigencia del contrato.\n\n2. El Estado que ponga término al patrocinio lo notificará sin dilación y por escrito al Secretario General. El Estado patrocinador también comunicará al Secretario General las razones de la terminación del patrocinio. La terminación del patrocinio surtirá efecto seis meses después de la fecha en que el Secretario General reciba la notificación, a menos que en esta se especifique una fecha ulterior.\n\n3. En el caso de que termine el patrocinio, el contratista tendrá el plazo mencionado en el párrafo 2 para obtener otro patrocinador, el cual deberá presentar otro certificado de patrocinio de conformidad con lo dispuesto en el artículo 11 del presente Reglamento. Si el contratista no consiguiere un patrocinador dentro del plazo prescrito, el contrato quedará resuelto.\n\n4. La terminación del patrocinio no eximirá al Estado de ninguna de las obligaciones contraídas cuando era Estado patrocinante ni afectará a los derechos y obligaciones surgidos durante el patrocinio.\n\n5. El Secretario General notificará a los miembros de la Autoridad la terminación o modificación del patrocinio.\n\nArtículo 30. Responsabilidad La responsabilidad del contratista y de la Autoridad se ajustará a la Convención. El contratista seguirá siendo responsable de cualesquiera daños y perjuicios derivados de los actos ilícitos cometidos en la realización de sus operaciones, en particular los daños al medio marino, después de finalizada la etapa de exploración.\n\nParte V. Protección y preservación del medio marino\n\nArtículo 31. Protección y preservación del medio marino\n\n1. Con arreglo a la Convención y el Acuerdo, la Autoridad dictará normas, reglamentos y procedimientos ambientales y los mantendrá en examen periódico para asegurar que se proteja eficazmente al medio marino contra los efectos nocivos que puedan derivarse de las actividades en la Zona.\n\n2. Para asegurar la protección eficaz del medio marino contra los efectos nocivos que puedan derivarse de las actividades en la Zona, la Autoridad y los Estados patrocinadores aplicarán el criterio de precaución que figura en el principio 15 de la Declaración de Río y las mejores prácticas ambientales.\n\n3. La Comisión Jurídica y Técnica hará recomendaciones al Consejo sobre la aplicación de los dos párrafos precedentes.\n\n4. La Comisión establecerá y aplicará procedimientos para determinar, sobre la base de la mejor información científica y técnica disponible, incluida la proporcionada de conformidad con el artículo 18, si las actividades de exploración propuestas en la Zona tendrían efectos nocivos graves en los ecosistemas marinos vulnerables y para cerciorarse de que, en caso de determinarse que ciertas actividades de exploración propuestas tendrían efectos nocivos graves en los ecosistemas marinos vulnerables, se proceda a una ordenación de esas actividades destinada a prevenir esos efectos o no se autorice su realización.\n\n5. Con arreglo al artículo 145 de la Convención y el párrafo 2 del presente artículo, el contratista tomará las medidas necesarias para prevenir, reducir y controlar la contaminación del medio marino y otros riesgos para este derivados de sus actividades en la Zona, en la medida que sea razonablemente posible, aplicando a esos efectos el criterio de precaución y las mejores prácticas ambientales.\n\n6. Los contratistas, los Estados patrocinadores y otros Estados o entidades interesados cooperarán con la Autoridad en la preparación y aplicación de programas para la vigilancia y evaluación de los efectos sobre el medio marino de la extracción de minerales de los fondos marinos. Cuando así lo disponga el Consejo, esos programas han de incluir propuestas de zonas que se utilicen exclusivamente como zonas de referencia para los efectos y para la preservación. Se entenderá por “zonas de referencia para los efectos” las que se utilicen para evaluar los efectos en el medio marino de las actividades en la Zona y que sean representativas de las características ambientales de la Zona. Se entenderá por “zonas de referencia para la preservación” aquellas en que no se efectuarán extracciones a fin de que la biota del fondo marino se mantenga representativa y estable y permita evaluar los cambios que tengan lugar en la biodiversidad del medio marino.\n\nArtículo 32. Líneas de base ambientales y vigilancia\n\n1. En todo contrato se exigirá al contratista la obtención de datos ambientales de referencia y el establecimiento de líneas de base ambientales, teniendo en cuenta las recomendaciones que hubiese formulado la Comisión Jurídica y Técnica con arreglo al artículo 39, para evaluar los efectos probables en el medio marino de su programa de actividades en virtud del plan de trabajo para la exploración, así como un programa para vigilar esos efectos y presentar informes al respecto. Las recomendaciones de la Comisión podrán referirse, entre otras cosas, a las actividades de exploración respecto de las cuales se considere que no tienen posibilidades de causar efectos nocivos en el medio marino. El contratista cooperará, con la Autoridad y el Estado o los Estados patrocinadores en la formulación y ejecución del programa de vigilancia.\n\n2. El contratista informará por escrito anualmente al Secretario General de la aplicación y los resultados del programa de vigilancia mencionado en el párrafo 1 y le presentará datos e información teniendo en cuenta las recomendaciones formuladas por la Comisión con arreglo al artículo 39. El Secretario General transmitirá esos informes a la Comisión para que los examine de conformidad con el artículo 165 de la Convención.\n\nArtículo 33. Órdenes de emergencia\n\n1. El contratista notificará rápidamente y por escrito al Secretario General, utilizando el medio más eficaz para ello, cualquier incidente derivado de sus actividades que haya causado, esté causando o amenace con causar daños graves al medio marino.\n\n2. El Secretario General, al ser notificado por un contratista o tomar conocimiento de otro modo de un incidente derivado de las actividades del contratista en la Zona o causado por este haya provocado o esté provocando o amenace con provocar daños graves al medio marino, hará que se publique una notificación general del incidente, notificará por escrito al contratista y al Estado o los Estados patrocinadores y presentará inmediatamente un informe a la Comisión Jurídica y Técnica, al Consejo y a todos los demás miembros de la Autoridad. Además, se distribuirá un ejemplar del informe a las organizaciones internacionales competentes y a las organizaciones e instituciones subregionales, regionales y mundiales interesadas. El Secretario General mantendrá en observación lo que ocurra en relación con esos incidentes e informará de ellos, según proceda, a la Comisión, al Consejo y a todos los demás miembros de la Autoridad.\n\n3. Hasta que el Consejo adopte una decisión, el Secretario General tomará en forma inmediata medidas de carácter temporal, prácticas y razonables en las circunstancias del caso, para prevenir, contener y reducir al mínimo los daños graves o la amenaza de daños graves al medio marino. Esas medidas temporales tendrán vigencia por un período máximo de 90 días o hasta que el Consejo, en su período ordinario de sesiones siguiente o en un período extraordinario de sesiones, decida si se tomarán medidas con arreglo al párrafo 6 del presente artículo, y en caso afirmativo cuáles.\n\n4. Después de haber recibido el informe del Secretario General, la Comisión determinará, sobre la base de las pruebas presentadas y teniendo en cuenta las medidas que haya tomado el contratista, qué otras medidas son necesarias para hacer frente efectivamente al incidente con vistas a prevenir, contener y reducir al mínimo los daños graves o la amenaza de daños graves al medio marino, y formulará recomendaciones al Consejo.\n\n5. El Consejo examinará las recomendaciones de la Comisión.\n\n6. El Consejo, tomando en cuenta las recomendaciones de la Comisión, el informe del Secretario General, la información que proporcione el contratista y cualquier otra información pertinente, podrá expedir órdenes de emergencia que podrán incluir la suspensión o el reajuste de las operaciones según sea razonablemente necesario con el objeto de prevenir, contener o reducir al mínimo los daños graves o la amenaza de daños graves al medio marino derivados de actividades realizadas en la Zona.\n\n7. Si un contratista no cumple prontamente una orden de emergencia para impedir, contener o reducir al mínimo daños graves o la amenaza de daños graves al medio marino derivados de sus actividades en la Zona, el Consejo adoptará, por sí mismo o mediante mecanismos concertados en su nombre con terceros, las medidas prácticas necesarias para prevenir, contener y reducir al mínimo cualesquiera daños graves o amenaza de daños graves al medio marino.\n\n8. A fin de que el Consejo pueda, en caso necesario, adoptar inmediatamente las medidas prácticas para prevenir, contener y reducir al mínimo los daños graves o la amenaza de daños graves al medio marino a que se hace referencia en el párrafo 7, el contratista, antes de comenzar el ensayo de los sistemas de recolección y las operaciones de procesamiento, dará al Consejo una garantía de su capacidad financiera y técnica de cumplir rápidamente las órdenes de emergencia o de asegurar que el Consejo pueda adoptar ese tipo de medidas de emergencia. Si el contratista no diese al Consejo una garantía de esa naturaleza, el Estado o los Estados patrocinadores deberán, en respuesta a un pedido hecho por el Secretario General y en virtud de los artículos 139 y 235 de la Convención, adoptar las medidas necesarias para asegurar que el contratista dé dicha garantía o adoptar medidas para asegurar que dicha asistencia se suministre a la Autoridad en el cumplimiento de las obligaciones que le incumben en virtud del párrafo 7.\n\nArtículo 34. Derechos de los Estados ribereños\n\n1. Nada de lo dispuesto en el presente Reglamento se entenderá en perjuicio de los derechos que tienen los Estados ribereños en virtud del artículo 142 y otras disposiciones pertinentes de la Convención.\n\n2. El Estado ribereño que tuviera fundamentos para creer que alguna actividad de un contratista en la Zona puede causar daños graves o la amenaza de daños graves al medio marino bajo su jurisdicción o soberanía podrá notificar al Secretario General por escrito esos fundamentos. El Secretario General dará al contratista y al Estado o los Estados patrocinadores un plazo razonable para examinar las pruebas, si las hubiere, presentadas por el Estado ribereño para corroborar sus fundamentos. El contratista y el Estado o los Estados que lo patrocinen podrán presentar sus observaciones al respecto al Secretario General dentro de un plazo razonable.\n\n3. De haber razones claras para considerar que pueden producirse daños graves al medio marino, el Secretario General actuará con arreglo al artículo 33 y, de ser necesario, tomará medidas inmediatas de carácter temporal, de conformidad con lo dispuesto en el artículo 33 3).\n\n4. Los contratistas tomarán todas las medidas necesarias para garantizar que sus actividades se realicen de tal forma que no causen daños graves al medio marino bajo la jurisdicción o soberanía de otros Estados ribereños, contaminación entre otros, y que los daños graves o la contaminación causados por incidentes o actividades en su zona de exploración no se extiendan más allá de dicha zona.\n\nArtículo 35. Restos humanos y objetos y sitios de carácter arqueológico o histórico El contratista, si hallase en la zona de exploración restos humanos de carácter arqueológico o histórico o cualquier objeto o sitio de carácter similar, notificará inmediatamente al Secretario General por escrito el hallazgo y su ubicación, así como las medidas de preservación y protección que se hayan adoptado. El Secretario General transmitirá la información al Director General de la Organización de las Naciones Unidas para la Educación, la Ciencia y la Cultura y a cualquier otra organización internacional competente. Tras el hallazgo de un resto humano, objeto o sitio de esa índole en la zona de exploración y a fin de no perturbarlos, no se llevará a cabo ninguna otra prospección o exploración dentro de un radio razonable hasta que el Consejo decida otra cosa, teniendo en cuenta las observaciones del Director General de la Organización de las Naciones Unidas para la Educación, la Ciencia y la Cultura o de cualquier otra organización internacional competente.\n\nParte VI. Confidencialidad\n\nArtículo 36. Confidencialidad de los datos y la información\n\n1. Los datos y la información presentados o transmitidos a la Autoridad o a cualquier persona que participe en una actividad o programa de la Autoridad en virtud del presente Reglamento o de un contrato expedido en virtud de él y calificados de confidenciales por el contratista, en consulta con el Secretario General, se considerarán confidenciales a menos que se trate de datos e información: a) fuentes; De dominio público o que se puedan conseguir públicamente de otras b) Dados a conocer previamente por el propietario a otros sin obligación alguna en materia de confidencialidad; o c) Que se encuentren ya en poder de la Autoridad sin obligación alguna en materia de confidencialidad.\n\n2. No se considerarán confidenciales los datos y la información necesarios para que la Autoridad formule normas, reglamentos y procedimientos sobre la protección y preservación del medio marino y su seguridad que no sean datos relativos al diseño del equipo que estén protegidos por derechos de propiedad intelectual.\n\n3. Los datos y la información confidenciales solo podrán ser utilizados por el Secretario General y el personal de la Secretaría que autorice el Secretario General y por los miembros de la Comisión Jurídica y Técnica en la medida en que sean necesarios y pertinentes para el eficaz desempeño de sus facultades y funciones. El Secretario General autorizará el acceso a esos datos y a esa información solo para una utilización limitada en relación con las funciones y obligaciones del personal de la Secretaría y las de la Comisión Jurídica y Técnica.\n\n4. Diez años después de la fecha de presentación de los datos y de información confidenciales a la Autoridad o de la expiración del contrato de exploración, si esta última fecha es posterior, y posteriormente cada cinco años, el Secretario General y el contratista examinarán los datos y la información a fin de determinar si deberán seguir teniendo carácter confidencial. Esos datos e información seguirán siendo confidenciales si el contratista establece que podría existir un riesgo importante de sufrir un perjuicio económico grave e injusto en caso de que se dieran a conocer los datos y la información. Dichos datos e información no se darán a conocer a menos que se haya dado al contratista oportunidad razonable de agotar los recursos judiciales de que dispone de conformidad con la sección 5 de la Parte XI de la Convención.\n\n5. Si, en cualquier momento posterior a la expiración del contrato de exploración, el contratista celebrara un contrato de explotación en relación con cualquier parte de la zona de exploración, los datos y la información confidenciales relativos a dicha parte de la zona seguirán siendo confidenciales, de conformidad con el contrato de explotación.\n\n6. En cualquier momento, el contratista podrá renunciar a la confidencialidad de los datos y la información.\n\nArtículo 37. Procedimientos para velar por la confidencialidad\n\n1. El Secretario General será responsable del mantenimiento del carácter confidencial de todos los datos y las informaciones confidenciales y en ningún caso, excepto con consentimiento previo por escrito del contratista, revelará esos datos y esa información a ninguna persona ajena a la Autoridad. El Secretario General establecerá procedimientos, en consonancia con las disposiciones de la Convención, para velar por el carácter confidencial de esos datos y esa información, en que se establecerá de qué manera los miembros de la Secretaría, los miembros de la Comisión Jurídica y Técnica y todas las demás personas que participen en cualquier actividad o programa de la Autoridad habrán de manejar la información confidencial. Entre los procedimientos se incluirán: a) El mantenimiento de la información y los datos confidenciales en instalaciones seguras y la elaboración de procedimientos de seguridad para impedir el acceso a ellos o su retiro sin autorización; b) La preparación y el mantenimiento de una clasificación, un registro y un sistema de inventario de toda la información y los datos recibidos por escrito, incluido su tipo, su fuente y su recorrido desde el momento de la recepción hasta el de su destino final.\n\n2. Toda persona que en virtud del presente Reglamento tuviera acceso autorizado a datos e información confidenciales no los dará a conocer a menos que ello estuviese permitido en virtud de la Convención y del presente Reglamento. El Secretario General exigirá a todos quienes tengan acceso autorizado a datos e información confidenciales que formulen una declaración por escrito, de la que será testigo el Secretario General o su representante autorizado, en el sentido de que: a) Reconoce su obligación legal en virtud de la Convención y del presente Reglamento de no dar a conocer datos o información confidenciales; b) Acepta respetar los reglamentos y procedimientos aplicables establecidos para velar por la confidencialidad de dichos datos e información.\n\n3. La Comisión Jurídica y Técnica protegerá la confidencialidad de los datos y la información confidenciales que le hayan sido presentados en virtud del presente Reglamento o de un contrato expedido en virtud del presente Reglamento. De conformidad con el del artículo 163 8) de la Convención, los miembros de la Comisión no revelarán, ni siquiera después de la terminación de sus funciones, ningún secreto industrial, ningún dato que sea objeto de derechos de propiedad intelectual y se transmita a la Autoridad con arreglo al artículo 14 del anexo III de la Convención ni ninguna otra información confidencial que llegue a su conocimiento como consecuencia del desempeño de sus funciones en la Autoridad.\n\n4. El Secretario General y el personal de la Autoridad no revelarán, ni siquiera después de la terminación de sus funciones, ningún secreto industrial, ningún dato que sea objeto de derechos de propiedad intelectual y se transmita a la Autoridad con arreglo al artículo 14 del anexo III de la Convención ni ninguna otra información confidencial que llegue a su conocimiento como consecuencia de su empleo con la Autoridad.\n\n5. Habida cuenta de la responsabilidad de la Autoridad en virtud del artículo 22 del anexo III de la Convención, la Autoridad adoptará todas las medidas que sean adecuadas contra las personas que, como consecuencia del desempeño de sus funciones en la Autoridad, tengan acceso a datos y a información confidenciales y que no cumplan sus obligaciones relativas a la confidencialidad estipuladas en la Convención y en el presente Reglamento.\n\nParte VII. Procedimientos generales\n\nArtículo 38. Notificación y procedimientos generales\n\n1. El Secretario General o el representante designado del prospector, solicitante o contratista harán por escrito todo pedido, solicitud, aviso, informe, autorización, aprobación, exención, dirección o instrucción, según corresponda. La notificación se hará en mano, o por télex, fax, correo aéreo certificado o correo electrónico con firma electrónica autorizada al Secretario General en la sede de la Autoridad o al representante designado.\n\n2. La notificación en mano surtirá efecto en el momento en que se haga. Se considerará que la notificación por télex surtirá efecto el día hábil siguiente a aquel en que aparezca en la máquina de télex del remitente la expresión “respuesta”. La notificación por fax surtirá efecto cuando quien lo envíe reciba el “informe de confirmación de la transmisión”, en el cual se confirme la transmisión al número de fax publicado del receptor. La notificación por correo aéreo certificado se considerará hecha 21 días después del envío. Se entenderá que el destinatario de un correo electrónico lo ha recibido cuando dicho correo entre en un sistema de información diseñado o utilizado por el destinatario para recibir documentos del tipo enviado y pueda ser recuperado y procesado por él.\n\n3. La notificación al representante designado del prospector, solicitante o contratista servirá de notificación a estos para todos los efectos en relación con el presente Reglamento, y el representante designado representará al prospector, solicitante o contratista a los efectos de la notificación de la demanda o de otra diligencia ante un tribunal competente.\n\n4. La notificación al Secretario General servirá de notificación a la Autoridad para todos los efectos en relación con el presente Reglamento, y el Secretario General representará a la Autoridad a los efectos de la notificación de la demanda o de otra diligencia ante cualquier tribunal competente.\n\nArtículo 39. Recomendaciones para información de los contratistas\n\n1. La Comisión Jurídica y Técnica podrá formular recomendaciones periódicas de índole técnica o administrativa para que sirvan como directrices a los contratistas a fin de ayudarles en la aplicación de las normas, reglamentos y procedimientos de la Autoridad.\n\n2. El texto completo de estas recomendaciones será comunicado al Consejo. Si el Consejo considerara que una recomendación no es acorde con la intención y el propósito del presente Reglamento, podrá solicitar que sea modificada o retirada.\n\nParte VIII. Solución de controversias\n\nArtículo 40. Controversias\n\n1. Las controversias relativas a la interpretación o aplicación del presente Reglamento se dirimirán con arreglo a lo dispuesto en la sección 5 de la Parte XI de la Convención.\n\n2. El fallo definitivo que dicte un tribunal competente en virtud de la Convención en lo relativo a los derechos y obligaciones de la Autoridad y del contratista será ejecutable en el territorio de cada uno de los Estados partes en la Convención.\n\nParte IX. Recursos que no sean nódulos polimetálicos\n\nArtículo 41. Recursos que no sean nódulos polimetálicos La exploración y explotación de los recursos que hallen el prospector o el contratista en la Zona que no sean nódulos polimetálicos estarán sujetos a las normas, los reglamentos y los procedimientos relativos a esos recursos que dicte la Autoridad de conformidad con la Convención y con el Acuerdo. El prospector o contratista notificarán a la Autoridad lo que hallen.\n\nParte X. Revisión\n\nArtículo 42. Revisión\n\n1. El Consejo procederá a una revisión de la forma en que se ha aplicado en la práctica el presente Reglamento revisado cinco años después de que la Asamblea lo haya aprobado o en cualquier otro momento a partir de esa fecha.\n\n2. Si, en razón de tecnología o conocimientos más avanzados, queda de manifiesto que el presente Reglamento no es apropiado, cualquier Estado parte, la Comisión Jurídica y Técnica o cualquier contratista, a través del Estado que lo patrocine, podrá en cualquier momento solicitar del Consejo que, en su período ordinario de sesiones siguiente, examine revisiones.\n\n3. Habida cuenta de la revisión, el Consejo podrá dictar y aplicar provisionalmente, hasta que las apruebe la Asamblea, enmiendas a lo dispuesto en el presente Reglamento, teniendo en cuenta las recomendaciones de la Comisión Jurídica y Técnica o de otros órganos subordinados pertinentes. Estas enmiendas se entenderán sin perjuicio de los derechos conferidos a un contratista en virtud de las cláusulas de un contrato firmado con la Autoridad en virtud del presente Reglamento y que esté en vigor a la fecha de la enmienda.\n\n4. En caso de enmienda a lo dispuesto en el presente Reglamento, el contratista y la Autoridad podrán revisar el contrato de conformidad con la cláusula 24 del anexo IV.\n\nAnexo I. Notificación de la intención de realizar actividades de prospección\n\n1. Nombre del prospector:\n\n2. Dirección del prospector:\n\n3. Dirección postal (si es diferente de la anterior):\n\n4. Número de teléfono:\n\n5. Número de fax:\n\n6. Dirección de correo electrónico:\n\n7. Nacionalidad del prospector:\n\n8. Si el prospector es una persona jurídica: a) Especificar su lugar de inscripción; b) Especificar su oficina principal o domicilio comercial; c) Adjuntar una copia de su certificado de inscripción.\n\n9. Nombre del representante designado por el prospector:\n\n10. Dirección del representante designado por el prospector (si es diferente de la anterior):\n\n11. Dirección postal (si es diferente de la anterior):\n\n12. Número de teléfono:\n\n13. Número de fax:\n\n14. Dirección de correo electrónico:\n\n15. Adjuntar las coordenadas del área o las áreas generales en que se hará la prospección (de conformidad con el Sistema Geodésico Mundial WGS 84).\n\n16. Adjuntar una descripción general del programa de prospección, con inclusión de la fecha de inicio y la duración aproximada del programa.\n\n17. Adjuntar una declaración por escrito en el sentido de que el prospector: a) Se ajustará a la Convención y a las normas, los reglamentos y los procedimientos pertinentes de la Autoridad respecto de: i) La cooperación en los programas de capacitación en relación con la investigación científica marina y la transferencia de tecnología indicadas en los artículos 143 y 144 de la Convención, y ii) b) La protección y preservación del medio marino; y Aceptará que la Autoridad verifique el cumplimiento a ese respecto.\n\n18. Enumérense a continuación todos los apéndices y anexos de esta notificación (todos los datos e información deben presentarse por escrito y en el formato digital especificado por la Autoridad). Fecha: ____________________________ Firma del representante designado por el prospector Testigo: Firma del testigo Nombre del testigo Cargo del testigo\n\nAnexo II. Solicitud de aprobación de un plan de trabajo para la exploración con el fin de obtener un contrato\n\nSección I. Información relativa al solicitante\n\n1. Nombre del solicitante:\n\n2. Dirección del solicitante:\n\n3. Dirección postal (si es diferente de la anterior):\n\n4. Número de teléfono:\n\n5. Número de fax:\n\n6. Dirección de correo electrónico:\n\n7. Nombre del representante designado por el solicitante:\n\n8. Dirección del representante designado por el solicitante (si es diferente de la anterior):\n\n9. Dirección postal (si es diferente de la anterior):\n\n10. Número de teléfono:\n\n11. Número de fax:\n\n12. Dirección de correo electrónico:\n\n13. Si el solicitante es una persona jurídica:\n\n14. a) Especificar su lugar de inscripción; b) Especificar su oficina principal o domicilio comercial; c) Adjuntar una copia de su certificado de inscripción. Especificación del Estado o de los Estados patrocinantes.\n\n15. Respecto de cada Estado patrocinante, indíquese la fecha de depósito de su instrumento de ratificación de la Convención de las Naciones Unidas sobre el Derecho del Mar, de 10 de diciembre de 1982, o de adhesión o sucesión a ella, y la fecha de su consentimiento para obligarse por el Acuerdo relativo a la aplicación de la Parte XI de la Convención.\n\n16. Deberá adjuntarse a la presente solicitud un certificado de patrocinio expedido por el Estado patrocinante. Si el solicitante tiene más de una nacionalidad, como en el caso de una sociedad o consorcio de entidades de más de un Estado, deberán adjuntarse certificados de patrocinio expedidos por cada uno de los Estados participantes.\n\nSección II. Información relativa al área respecto de la cual se presenta la solicitud\n\n17. Definir los límites del área a que se refiere la solicitud adjuntando una lista de coordenadas geográficas (de conformidad con el Sistema Geodésico Mundial WGS 84).\n\n18. Adjuntar un mapa (en la escala y la proyección especificadas por la Autoridad) y una lista de las coordenadas que dividan la superficie total en dos partes de igual valor comercial estimado.\n\n19. Incluir en un apéndice información suficiente para que el Consejo pueda designar un área reservada sobre la base del valor comercial estimado de cada una de las partes del área a que se refiera la solicitud. El apéndice deberá incluir los datos de que dispuso el solicitante respecto de ambas partes del área a que se refiere la solicitud, incluidos: a) Datos sobre la ubicación, los estudios y la evaluación de los nódulos polimetálicos del área, en particular: i) Una descripción de la tecnología relacionada con la recuperación y el tratamiento de nódulos polimetálicos necesaria para proceder a la designación de un área reservada; ii) Un mapa de las características físicas y geológicas, como la topografía de los fondos marinos, la batimetría y las corrientes del fondo e información relativa a la fiabilidad de esos datos; iii) Datos que indiquen la densidad media (abundancia) de nódulos polimetálicos en kilogramos por metro cuadrado y un mapa conexo de la abundancia en que consten los lugares en que se tomaron muestras; iv) Datos que indiquen el contenido elemental medio de metales de interés económico (ley) sobre la base de pruebas químicas de porcentaje de peso (seco) y un mapa conexo de ley; v) Mapas combinados de abundancia y ley de los nódulos polimetálicos; vi) Un cálculo basado en procedimientos estándar, incluidos análisis estadísticos, en que se utilicen los datos presentados y los supuestos de los cálculos de que cabe esperar que las dos áreas contengan nódulos polimetálicos de igual valor comercial estimado expresado como metales extraíbles en áreas explotables; vii) Una descripción de las técnicas utilizadas por el solicitante; b) Información relativa a parámetros ambientales (estacionales y durante el período de ensayo), entre ellos, velocidad y dirección del viento, salinidad del agua, temperatura y comunidades biológicas.\n\n20. Si la zona a que se refiere la solicitud incluye alguna parte de un área reservada, adjuntar una lista de coordenadas del área que forme parte del área reservada e indicar las condiciones que reúne el solicitante de conformidad con el artículo 17 del Reglamento.\n\nSección III. Información financiera y técnicaa\n\n21. Se adjuntará información suficiente para que el Consejo pueda determinar si el solicitante tiene la capacidad financiera para realizar el plan de trabajo para la exploración propuesto y para cumplir sus obligaciones financieras respecto de la Autoridad. a) Si la solicitud es presentada por la Empresa, se adjuntarán certificados de su autoridad competente respecto de que la Empresa dispone de fondos para sufragar el costo estimado del plan del trabajo para la exploración propuesto; b) Si la solicitud es formulada por un Estado o una empresa estatal, se adjuntará una declaración del Estado, o del Estado patrocinante, en que se certifique que el solicitante cuenta con los recursos financieros necesarios para sufragar los gastos estimados del plan de trabajo para la exploración propuesto; c) Si la solicitud es formulada por una entidad, se adjuntarán copias de los estados financieros verificados de la entidad solicitante, incluidos balances consolidados y los estados de ganancias y pérdidas correspondientes a los últimos tres años, de conformidad con principios de contabilidad internacionalmente aceptados, y certificados por una empresa de contadores públicos debidamente reconocida; y i) Si el solicitante es una entidad recientemente organizada y no se cuenta con un balance certificado, se adjuntará una hoja de balance pro forma, certificada por el funcionario competente de la entidad solicitante; ii) Si el solicitante es una empresa subsidiaria de otra entidad, se presentarán copias de los estados financieros de dicha entidad y una declaración de dicha entidad, conforme a las prácticas de contabilidad internacionalmente aceptadas y certificada por una empresa de contadores públicos debidamente reconocida, de que la empresa solicitante contará con los recursos financieros necesarios para cumplir con el plan de trabajo para la exploración; iii) Si el solicitante se encuentra bajo el control de un Estado o una empresa estatal, preséntese una declaración del Estado o de la empresa estatal en que se certifique que el solicitante cuenta con los recursos financieros necesarios para cumplir con el plan de trabajo para la exploración.\n\n22. Si el plan de trabajo para la exploración propuesto se ha de financiar mediante empréstitos, se adjuntará un estado del monto de esos empréstitos, el plazo de amortización y el tipo de interés. a Se considerará que la solicitud de aprobación de un plan de trabajo para exploración presentada en nombre de un Estado o una entidad, o un componente de una entidad de los mencionados en el párrafo 1 a) ii) o iii) de la resolución II, que no sea un primer inversionista inscrito y que ya hubiere realizado actividades sustanciales en la Zona antes de la entrada en vigor de la Convención o del sucesor en sus intereses ha cumplido los requisitos financieros necesarios para la aprobación del plan de trabajo si el Estado o los Estados patrocinantes certifican que el solicitante ha gastado por lo menos una suma equivalente a 30 millones de dólares de los Estados Unidos en actividades de investigación y exploración y ha destinado no menos del 10% de esa suma a la localización, levantamientos y la evaluación del área mencionada en el plan de trabajo.\n\n23. Se adjuntará información suficiente para que el Consejo pueda determinar si el solicitante está capacitado desde el punto de vista técnico para realizar el plan de trabajo para la exploración propuesto, con inclusión de una descripción general de lo siguiente: a) La experiencia previa, los conocimientos, las aptitudes y los conocimientos técnicos pertinentes al plan de trabajo propuesto para la exploración; b) El equipo y los métodos que se prevé utilizar en la realización del plan de trabajo propuesto para la exploración y otra información pertinente no protegida por derechos de propiedad intelectual acerca de las características de esa tecnología; y c) La capacidad financiera y técnica del solicitante para hacer frente a cualquier incidente o actividad que cause daños graves al medio ambiente marino.\n\nSección IV. El plan de trabajo para la exploración\n\n24. Se adjuntará la información siguiente respecto del plan de trabajo para la exploración: a) Una descripción general y un cronograma del programa de la exploración propuesto, incluido el programa de actividades para el siguiente período de cinco años, por ejemplo, los estudios que se han de hacer respecto de los factores ambientales, técnicos, económicos y de otro orden que deban tenerse en cuenta en la exploración; b) Una descripción de un programa de estudios básicos oceanográficos y ambientales de conformidad con el presente Reglamento y con los reglamentos y procedimientos sobre medio ambiente dictados por la Autoridad que permitan evaluar el posible impacto ambiental, sobre la biodiversidad en particular pero no exclusivamente, de las actividades de exploración propuestas, teniendo en cuenta las recomendaciones que imparta la Comisión Jurídica y Técnica; c) Una evaluación preliminar de los posibles efectos de las actividades propuestas de exploración en el medio marino; d) Una descripción de las medidas propuestas para prevenir, reducir y controlar la contaminación y otros peligros para el medio marino, así como los posibles efectos sobre este; e) Un calendario de los gastos anuales previstos por concepto del programa de actividades para el siguiente período de cinco años.\n\nSección V. Obligaciones\n\n25. Adjuntar una declaración por escrito en el sentido de que el solicitante: a) Aceptará el carácter ejecutorio de las obligaciones aplicables dimanadas de las disposiciones de la Convención y las normas, los reglamentos y procedimientos de la Autoridad, las decisiones de los órganos competentes de la Autoridad y las cláusulas de sus contratos con la Autoridad y los cumplirá; b) Aceptará el control de la Autoridad sobre las actividades en la Zona en la forma autorizada en la Convención; c) Dará a la Autoridad por escrito la seguridad de que cumplirá de buena fe las obligaciones estipuladas en el contrato.\n\nSección VI. Contratos anteriores\n\n26. Si la Autoridad ha adjudicado previamente algún contrato al solicitante o, en el caso de una solicitud conjunta de una asociación o consorcio de entidades, a algún miembro de la asociación o consorcio, la solicitud deberá incluir: a) La fecha del contrato o los contratos anteriores; b) La fecha, el número de referencia y el título de cada informe presentado a la Autoridad con respecto al contrato o los contratos; y c) La fecha de expiración del contrato o los contratos, si procede.\n\nSección VII. Apéndices\n\n27. Enumérense todos los apéndices y anexos de la presente solicitud (todos los datos e información deben presentarse por escrito y en el formato digital especificado por la Autoridad). Fecha: ____________________________ Firma del representante designado por el solicitante Testigo: Firma del testigo Nombre del testigo Cargo del testigo\n\nAnexo III. Contrato de exploración CONTRATO celebrado el _____ día de __________________ entre LA AUTORIDAD INTERNACIONAL DE LOS FONDOS MARINOS representada por su SECRETARIO GENERAL (en adelante denominada “la Autoridad”) y ______________ representado por _________________ (en adelante denominado “el Contratista”): Incorporación de cláusulas\n\n1. Las cláusulas uniformes que figuran en el anexo IV del Reglamento sobre la Prospección y Exploración de Nódulos Polimetálicos en la Zona serán incorporadas al presente contrato y tendrán efecto como si estuvieran enunciadas en él expresamente. Zona de exploración\n\n2. A los efectos del presente contrato, por “zona de exploración” se entenderá la parte de la Zona asignada al Contratista para la exploración, según se define en las coordenadas enumeradas en el anexo 1 del presente, que se reducirá cada cierto tiempo de conformidad con las cláusulas uniformes y el Reglamento. Concesión de derechos\n\n3. La Autoridad, teniendo en cuenta: a) su interés mutuo en la realización de actividades de exploración en el área de exploración de conformidad con la Convención de las Naciones Unidas sobre el Derecho del Mar de 10 de diciembre de 1982 y el Acuerdo relativo a la aplicación de la Parte XI de la Convención, b) la función que le cabe de organizar y controlar las actividades en la Zona, especialmente con miras a administrar los recursos de esta de conformidad con el régimen jurídico establecido en la Parte XI de la Convención y el Acuerdo y en la\n\nParte XII de la Convención, respectivamente, y c) el compromiso financiero del Contratista de realizar actividades en la zona de exploración y su interés en ello y las obligaciones recíprocas que contraen en el presente contrato, confiere al Contratista el derecho exclusivo de explorar el área de exploración de conformidad con las cláusulas del presente contrato para buscar nódulos polimetálicos. Entrada en vigor y duración del contrato\n\n4. El presente contrato entrará en vigor una vez que haya sido firmado por ambas partes y, con sujeción a las cláusulas uniformes, seguirá en vigor por un período de quince años a menos que: a) Se adjudique al Contratista un contrato de explotación en la zona de exploración que entre en vigor antes de que expire ese período de quince años; o b) El contrato sea resuelto antes, con la salvedad de que la duración del contrato podrá prorrogarse de conformidad con las cláusulas uniformes 3.2 y 17.2. Anexos\n\n5. Los anexos mencionados en las cláusulas uniformes, concretamente en la cláusula 4 y la cláusula 8, son, a los efectos del presente contrato, los anexos 2 y 3 respectivamente. Integridad del acuerdo\n\n6. En el presente contrato se expresa en su integridad el acuerdo entre las partes y ninguna de sus cláusulas podrá ser modificada por un entendimiento verbal ni un entendimiento anterior expresado por escrito. EN TESTIMONIO DE LO CUAL, los infrascritos, debidamente autorizados para ello por las partes respectivas, firman el presente contrato en Kingston (Jamaica) este día de .\n\nAnexo 1. [Coordenadas y carta ilustrativa de la zona de exploración]\n\nAnexo 2. [Programa de actividades para el quinquenio en curso, revisado periódicamente]\n\nAnexo 3. [El programa de capacitación pasará a constituir un anexo del contrato cuando la Autoridad lo apruebe de conformidad con la cláusula uniforme 8.]\n\nAnexo IV\n\nCláusulas uniformes del contrato para la exploración\n\nCláusula 1. Términos empleados\n\n1.1 En las cláusulas siguientes: a) Por “zona de exploración” se entiende la parte de la Zona asignada al Contratista para la exploración, según se describe en el anexo 1 del presente, y que podrá ser reducida de conformidad con el presente contrato y el Reglamento; b) Por “programa de actividades” se entiende el indicado en el anexo 2, que podrá modificarse de conformidad con las cláusulas 4.3 y 4.4 del presente contrato; c) Por “Reglamento” se entiende el Reglamento sobre Prospección y Exploración de Nódulos Polimetálicos en la Zona que apruebe la Autoridad.\n\n1.2 Los términos y frases que se definen en el Reglamento tendrán igual sentido en estas cláusulas uniformes.\n\n1.3 De conformidad con el Acuerdo relativo a la aplicación de la Parte XI de la Convención de las Naciones Unidas sobre el Derecho del Mar de 10 de diciembre de 1982, sus disposiciones y la Parte XI de la Convención se interpretarán y aplicarán conjuntamente como un solo instrumento; el presente contrato y las referencias que en él se hacen a la Convención se interpretarán y aplicarán en consecuencia.\n\n1.4 El presente contrato incluye sus anexos, que formarán parte integrante de él.\n\nCláusula 2. Derechos del Contratista\n\n2.1 Los derechos del Contratista estarán garantizados, por lo que el presente contrato no será suspendido, rescindido ni modificado, excepto de conformidad con sus cláusulas 20, 21 y 24.\n\n2.2 El Contratista tendrá el derecho exclusivo de explorar la zona de exploración en busca de nódulos polimetálicos de conformidad con las cláusulas del presente contrato. La Autoridad velará por que ninguna otra entidad realice actividades en la zona de exploración relacionadas con una categoría diferente de recursos que dificulten indebidamente las operaciones del Contratista.\n\n2.3 El Contratista, previa notificación a la Autoridad, podrá renunciar en cualquier momento sin sanción alguna a la totalidad o parte de sus derechos en el área de exploración, pero seguirá siendo responsable del cumplimiento de las obligaciones que haya contraído antes de la fecha de la renuncia y respecto del área objeto de la renuncia.\n\n2.4 Nada de lo dispuesto en el presente contrato será interpretado en el sentido de que confiere al Contratista más derechos que los que le son conferidos expresamente en él. La Autoridad se reserva el derecho a concertar con terceros contratos relativos a recursos distintos de los nódulos polimetálicos en la zona abarcada por el presente contrato.\n\nCláusula 3. Duración del contrato\n\n3.1 El presente contrato entrará en vigor una vez que haya sido firmado por ambas partes y seguirá en vigor por un período de quince años a menos que: a) Se adjudique al Contratista un contrato de explotación en la zona de exploración que entre en vigor antes de que expire ese período de quince años; o b) El contrato sea resuelto antes, con la salvedad de que la duración del contrato podrá prorrogarse de conformidad con las cláusulas 3.2 y 17.2.\n\n3.2 Si el Contratista lo solicitare, a más tardar seis meses antes de la expiración del presente contrato, este podrá ser prorrogado por períodos no superiores a cinco años cada uno, en las condiciones en que la Autoridad y el Contratista convengan de conformidad con el Reglamento. La prórroga será aprobada si el Contratista se ha esforzado de buena fe por cumplir los requisitos del presente contrato pero, por razones ajenas a su voluntad, no ha podido completar el trabajo preparatorio necesario para pasar a la etapa de exploración o las circunstancias económicas imperantes no justifiquen que se pase a esa etapa.\n\n3.3 No obstante la expiración del presente contrato de conformidad con la cláusula 3.1, si el Contratista hubiere solicitado, por lo menos noventa días antes de la fecha de expiración, un contrato de explotación, sus derechos y obligaciones con arreglo al presente contrato seguirán vigentes hasta el momento en que la solicitud haya sido examinada y aceptada o denegada.\n\nCláusula 4. Exploración\n\n4.1 El Contratista comenzará la exploración de conformidad con el cronograma estipulado en el programa de actividades establecido en el anexo 2 del presente y cumplirá ese cronograma con las modificaciones que se estipulen en el presente contrato.\n\n4.2 El Contratista llevará a cabo el programa de actividades establecido en el anexo 2 del presente. Al realizar esas actividades, efectuará cada año de vigencia del contrato gastos directos y efectivos por concepto de exploración de un monto no inferior al indicado en el programa o en una modificación del programa introducida de común acuerdo.\n\n4.3 El Contratista, previo consentimiento de la Autoridad, que no podrá denegarlo sin fundamento, podrá introducir en el programa de actividades y en los gastos indicados en él los cambios que sean necesarios y prudentes con arreglo a las buenas prácticas de la industria minera, y teniendo en cuenta las condiciones de mercado de los metales contenidos en los nódulos polimetálicos y las demás condiciones económicas y mundiales que sean pertinentes.\n\n4.4 El Contratista y el Secretario General procederán, a más tardar noventa días antes de la expiración de cada quinquenio a partir de la fecha de entrada en vigor del presente contrato, según lo estipulado en su cláusula 3, a examinar conjuntamente los resultados de la ejecución del plan de trabajo para la exploración en virtud del presente contrato. El Secretario General podrá pedir al Contratista que le presente los datos y la información adicionales que fueren necesarios para los fines del examen. A la luz del examen, el Contratista hará los ajustes necesarios a su plan de trabajo e indicará su programa de actividades para el quinquenio siguiente, incluido un cronograma revisado de los gastos anuales previstos. El anexo 2 del presente se ajustará en consecuencia.\n\nCláusula 5. Vigilancia ambiental\n\n5.1 El Contratista tomará las medidas necesarias para prevenir, reducir y controlar la contaminación del medio marino y otros riesgos para este derivados de sus actividades en la Zona en la medida en que sea razonablemente posible aplicando el criterio de precaución y las mejores prácticas ambientales.\n\n5.2 Antes de iniciar las actividades de exploración, el Contratista presentará a la Autoridad: a) Una evaluación de los posibles efectos de las actividades propuestas sobre el medio marino; b) Una propuesta relativa a un programa de vigilancia para determinar los posibles efectos de las actividades propuestas sobre el medio marino; y c) Datos que puedan utilizarse para establecer una línea de base ambiental que permita evaluar los efectos de las actividades propuestas.\n\n5.3 El Contratista, de conformidad con el Reglamento, obtendrá datos ambientales de referencia a medida que avancen y se desarrollen las actividades de exploración y establecerá líneas de base ambientales con respecto a las cuales se puedan evaluar los efectos probables sobre el medio marino de las actividades del Contratista.\n\n5.4 El Contratista elaborará y ejecutará, de conformidad con el Reglamento, un programa de vigilancia e información respecto de esos efectos en el medio marino. El Contratista cooperará con la Autoridad a los efectos de esa vigilancia.\n\n5.5 El Contratista, dentro de los 90 días anteriores a la finalización de cada año civil del contrato, informará al Secretario General respecto de la aplicación y los resultados del programa de vigilancia mencionado en la cláusula 5.4 y presentará los datos y la información exigidos en el Reglamento.\n\nCláusula 6. Planes de contingencia y casos de emergencia\n\n6.1 El Contratista, antes de comenzar su programa de actividades en virtud del presente contrato, presentará al Secretario General un plan de contingencia a fin de actuar eficazmente en caso de accidentes que probablemente hayan de causar daños graves o la amenaza de daños graves al medio marino como consecuencia de las actividades marítimas del Contratista en el área de exploración. En ese plan de contingencia se establecerán procedimientos especiales y se preverá el suministro del equipo suficiente y adecuado para hacer frente a esos accidentes y, en particular, el plan comprenderá disposiciones relativas a: a) Una llamada de alarma general inmediata en la zona de las actividades de exploración; b) La inmediata notificación al Secretario General; c) Una llamada de alerta a los buques que estén a punto de entrar en las cercanías de la zona; d) El suministro constante de información cabal al Secretario General sobre los pormenores de las medidas de emergencia que se hayan tomado ya y las que haya que tomar; e) La eliminación, en caso necesario, de sustancias contaminantes; f) La reducción y, en la medida de lo razonablemente posible, la prevención de daños graves al medio marino, así como la mitigación de sus efectos; g) La cooperación, según proceda, con otros contratistas y con la Autoridad para actuar en caso de emergencia; y h) Simulacros periódicos de acción en casos de emergencia.\n\n6.2 El Contratista informará prontamente al Secretario General de cualquier accidente dimanado de sus actividades que haya causado, esté causando o amenace con causar daños graves al medio marino. En cada informe se consignarán los detalles del accidente, entre otros: a) Las coordenadas de la zona afectada o que quepa razonablemente prever que ha de ser afectada; b) La descripción de las medidas que esté adoptando el Contratista para prevenir, contener, reducir al mínimo o reparar los daños graves al medio marino; c) La descripción de las medidas que esté tomando el Contratista para vigilar los efectos del accidente sobre el medio marino; y d) La información razonablemente necesite. complementaria que el Secretario General\n\n6.3 El Contratista cumplirá las órdenes de emergencia que dicte el Consejo y las medidas inmediatas de índole temporal que decrete el Secretario General de conformidad con el Reglamento para prevenir, contener, reducir al mínimo o reparar los daños graves o la amenaza de daño grave al medio marino, las cuales podrán incluir órdenes al Contratista para que suspenda o modifique actividades en el área de exploración.\n\n6.4 Si el Contratista no cumpliere prontamente esas órdenes de emergencia o medidas inmediatas de índole temporal, el Consejo podrá tomar las medidas que sean razonablemente necesarias para prevenir, contener, reducir al mínimo o reparar los daños graves o la amenaza de daños graves al medio marino a costa del Contratista. El Contratista reembolsará prontamente a la Autoridad el monto de esos gastos, que será adicional a las sanciones pecuniarias que le sean impuestas de conformidad con las disposiciones del presente contrato o del Reglamento.\n\nCláusula 7. Restos humanos y objetos y sitios de carácter arqueológico o histórico El Contratista notificará de inmediato y por escrito al Secretario General que ha encontrado en la zona de exploración restos humanos de carácter arqueológico o histórico o cualquier objeto o sitio de carácter similar y cuál es su ubicación, así como de las medidas de preservación y protección que se hayan adoptado. El Secretario General transmitirá la información al Director General de la Organización de las Naciones Unidas para la Educación, la Ciencia y la Cultura y a cualquiera otra organización internacional competente. Tras el hallazgo de un resto humano, objeto o sitio de esa índole en la zona de exploración y a fin de no perturbarlos, no se llevará a cabo ninguna otra prospección o exploración dentro de un radio razonable hasta que el Consejo decida otra cosa teniendo en cuenta las observaciones del Director General de la Organización de las Naciones Unidas para la Educación, la Ciencia y la Cultura o de cualquier otra organización competente.\n\nCláusula 8. Capacitación\n\n8.1 De conformidad con el Reglamento, el Contratista, antes de comenzar la exploración en virtud del presente contrato, presentará a la Autoridad, para su aprobación, propuestas de programas para la capacitación de personal de la Autoridad y de Estados en desarrollo, incluida la participación de ese personal en todas las actividades que realice el Contratista en virtud del presente contrato.\n\n8.2 El ámbito y la financiación del programa de capacitación serán objeto de negociaciones entre el Contratista, la Autoridad y el Estado o los Estados patrocinantes.\n\n8.3 El Contratista llevará a cabo los programas de esta índole de conformidad con el programa concreto de capacitación a que se hace referencia en el párrafo 8.1, aprobado por la Autoridad de conformidad con el presente Reglamento, y que, con sus revisiones o adiciones, se convertirá en parte del presente contrato como anexo 3.\n\nCláusula 9. Libros y registros El Contratista llevará un juego completo y en debida forma de libros, cuentas y registros financieros compatibles con los principios contables internacionalmente admitidos. En esos libros, cuentas y registros financieros se dejará constancia clara de los gastos efectivos y directos de exploración y de los demás datos que faciliten la comprobación efectiva de esos gastos.\n\nCláusula 10. Presentación de informes anuales\n\n10.1 El Contratista, dentro de los noventa días siguientes a la finalización de cada año civil, presentará al Secretario General, en el formato que recomiende periódicamente la Comisión Jurídica y Técnica, un informe relativo a su programa de actividades en la zona de exploración que contendrá, en la medida en que proceda, información suficientemente detallada sobre: a) Las actividades de exploración realizadas durante el año civil, lo que comprende mapas, cartas y gráficos que ilustren la labor realizada y los resultados obtenidos; b) El equipo utilizado para realizar las actividades de exploración, incluidos los resultados de los ensayos de tecnologías de explotación minera propuestas, aunque no sobre los datos relativos al diseño del equipo; y c) La ejecución de los programas de capacitación, incluidas las propuestas de revisiones o adiciones a esos programas.\n\n10.2 Los informes contendrán también: a) Los resultados de los programas de vigilancia ambiental, entre ellos las observaciones, las mediciones, las evaluaciones y los análisis de los parámetros ambientales; b) Una relación de la cantidad de nódulos polimetálicos obtenidos como muestra o para fines de ensayo; c) Un estado, conforme a los principios contables internacionalmente aceptados y certificado por una firma de contadores públicos internacionalmente reconocida o, en caso de que el Contratista sea un Estado o una empresa estatal, por el Estado patrocinante, de los gastos efectivos y directos que haya hecho el Contratista en la ejecución del programa de actividades durante el año contable del Contratista. El contratista podrá reclamar esos gastos como parte de sus costos previos al comienzo de la producción comercial; d) Las propuestas de ajustes del programa de actividades y las razones en que se fundan.\n\n10.3 El Contratista presentará además toda la información adicional necesaria para complementar los informes a que se hace referencia en las cláusulas 10.1 y 10.2 y que el Secretario General pueda pedir razonablemente a fin de que la Autoridad cumpla las funciones que le asignan la Convención, el Reglamento y el presente contrato.\n\n10.4 El Contratista conservará, en buen estado, una parte representativa de las muestras de nódulos polimetálicos obtenidas en el curso de la exploración hasta que termine el presente contrato. La Autoridad podrá pedir por escrito al Contratista que le entregue, para analizarla, una parte de cualquier muestra que haya obtenido en el curso de la exploración.\n\nCláusula 11. Datos e información que deberán entregarse al expirar el contrato\n\n11.1 El Contratista transferirá a la Autoridad todos los datos y la información que sean necesarios y pertinentes para el ejercicio efectivo de las facultades y las funciones de la Autoridad con respecto a la zona de exploración de conformidad con lo dispuesto en la presente cláusula.\n\n11.2 Al expirar o rescindirse el contrato, el Contratista, si no lo hubiese hecho ya, presentará los siguientes datos e información al Secretario General: a) Copias de los datos geológicos, ambientales, geoquímicos y geofísicos adquiridos por el Contratista durante la ejecución del programa de actividades que sean necesarios y pertinentes para el ejercicio efectivo de las facultades y funciones de la Autoridad con respecto a la zona de exploración; b) La estimación de las zonas explotables, cuando se hayan individualizado, lo que comprenderá detalles del grado y cantidad de reservas comprobadas, probables y posibles de nódulos polimetálicos y las condiciones de explotación previstas; c) Copias de todos los informes geológicos, técnicos, financieros y económicos preparados por el Contratista o para él que sean necesarios y pertinentes para el ejercicio efectivo de las facultades y funciones de la Autoridad con respecto a la zona de exploración; d) Información suficientemente detallada sobre el equipo utilizado para llevar a cabo las actividades de exploración, incluidos los resultados de los ensayos de tecnologías de explotación minera propuestas, aunque no los datos relativos al diseño del equipo; e) Una relación de la cantidad de nódulos polimetálicos extraídos como muestras o con fines de ensayo; y f) Una relación de la manera y el lugar en que se archivaron las muestras y su disponibilidad para la Autoridad.\n\n11.3 Los datos y la información mencionados en la cláusula 11.2 serán presentados también al Secretario General si, antes de que expire el presente contrato, el Contratista solicita la aprobación de un plan de trabajo de explotación o si el Contratista renuncia a sus derechos en la zona de exploración, en la medida en que los datos y la información se refieran a la zona respecto de la cual ha renunciado a sus derechos.\n\nCláusula 12. Confidencialidad Los datos e informaciones que se hayan transmitido a la Autoridad de conformidad con el presente contrato se considerarán confidenciales con arreglo a las disposiciones del Reglamento.\n\nCláusula 13. Obligaciones\n\n13.1 El Contratista procederá a la exploración de conformidad con las cláusulas y las condiciones del presente contrato, el Reglamento, la Parte XI de la Convención, el Acuerdo y otras normas de derecho internacional que no sean incompatibles con la Convención.\n\n13.2 El Contratista se compromete a: a) Cumplir las disposiciones del presente contrato y aceptar su carácter ejecutorio; b) Cumplir las obligaciones pertinentes creadas por las disposiciones de la Convención, las normas, los reglamentos y los procedimientos de la Autoridad y las decisiones de los órganos de la Autoridad; c) Aceptar el control de la Autoridad sobre las actividades en la Zona en la forma autorizada por la Convención; d) Cumplir de buena fe las obligaciones estipuladas en el presente contrato; y e) Cumplir, en la medida en que sea razonablemente posible, las recomendaciones que imparta periódicamente la Comisión Jurídica y Técnica.\n\n13.3 El Contratista llevará a cabo activamente el programa de actividades: a) Con la diligencia, eficiencia y economía debidas; b) Teniendo debidamente en cuenta los efectos de sus actividades sobre el medio marino; y c) Teniendo razonablemente en cuenta otras actividades en el medio marino.\n\n13.4 La Autoridad se compromete a ejercer de buena fe las facultades y las funciones que le corresponden en virtud de la Convención y del Acuerdo, de conformidad con el artículo 157 de la Convención.\n\nCláusula 14. Inspección\n\n14.1 El Contratista permitirá que la Autoridad envíe inspectores a bordo de los buques y las instalaciones que utilice para realizar actividades en la zona de exploración con el objeto de: a) Vigilar el cumplimiento por el Contratista de las cláusulas del presente contrato y del Reglamento; y b) Vigilar los efectos de esas actividades sobre el medio marino.\n\n14.2 El Secretario General dará aviso razonable al Contratista de la fecha y duración previstas de las inspecciones, el nombre de los inspectores y de todas las actividades que los inspectores habrán de realizar y que probablemente requieran la disponibilidad de equipo especial o de asistencia especial del personal del Contratista.\n\n14.3 Los inspectores estarán facultados para inspeccionar cualquier buque o instalación, incluidos sus registros, equipo, documentos, instalaciones, los demás datos registrados y los documentos pertinentes que sean necesarios para vigilar el cumplimiento del contrato por el Contratista.\n\n14.4 El Contratista, sus agentes y sus empleados prestarán asistencia a los inspectores en el desempeño de sus funciones y: a) Aceptarán y facilitarán el acceso pronto y seguro de los inspectores a las naves e instalaciones; b) Cooperarán con la inspección de un buque o instalación realizada con arreglo a estos procedimientos y prestarán asistencia en ella; c) Darán en todo momento acceso razonable al equipo, las instalaciones y el personal que correspondan y se encuentren en las naves e instalaciones; d) No obstruirán el ejercicio de las funciones de los inspectores, no los intimidarán ni interferirán en su labor; e) Suministrarán a los inspectores instalaciones razonables, con inclusión, si procede, de alimentación y alojamiento; y f) Facilitarán el desembarco de los inspectores en condiciones de seguridad.\n\n14.5 Los inspectores se abstendrán de interferir con las operaciones normales y seguras a bordo de las naves e instalaciones que utilice el Contratista para realizar actividades en el área visitada y actuarán de conformidad con el Reglamento y las medidas adoptadas para proteger el carácter confidencial de los datos y la información.\n\n14.6 El Secretario General y cualquiera de sus representantes debidamente autorizados tendrán acceso, para los estudios y auditorías, a todos los libros, documentos, informes y registros del Contratista que sean necesarios y directamente pertinentes para verificar los gastos a que se hace referencia en la cláusula 10.2 c).\n\n14.7 Cuando sea necesaria la adopción de medidas, el Secretario General pondrá la información pertinente que figure en los informes de los inspectores a disposición del Contratista y del Estado o los Estados que lo patrocinan.\n\n14.8 El Contratista, si por cualquier razón no procede a la exploración y no solicita un contrato de explotación, lo notificará por escrito al Secretario General a fin de que la Autoridad pueda, si decide hacerlo, llevar a cabo una inspección con arreglo a la presente cláusula.\n\nCláusula 15. Condiciones de seguridad, de trabajo y de salud\n\n15.1 El Contratista deberá cumplir las normas y los estándares internacionales generalmente aceptados, establecidos por las organizaciones internacionales competentes o las conferencias diplomáticas generales, en relación con la seguridad de la vida en el mar y la prevención de colisiones, y las normas, los reglamentos y los procedimientos que adopte la Autoridad en relación con la seguridad de la vida en el mar, y los buques que se utilicen para realizar actividades en la Zona deberán estar en posesión de certificados vigentes y válidos, exigidos y emitidos de conformidad con los reglamentos y los estándares internacionales.\n\n15.2 El Contratista, al realizar actividades de exploración con arreglo al presente contrato, deberá observar y cumplir las normas, los reglamentos y los procedimientos que adopte la Autoridad en materia de protección contra la discriminación en el empleo, salud y seguridad ocupacionales, relaciones laborales, seguridad social, seguridad en el empleo y condiciones de vida en el lugar de trabajo. En las normas, los reglamentos y los procedimientos se tendrán en cuenta los convenios y las recomendaciones de la Organización Internacional del Trabajo y otras organizaciones internacionales competentes.\n\nCláusula 16. Responsabilidad\n\n16.1 El Contratista será responsable del monto efectivo de los daños y perjuicios, incluidos los causados al medio marino, derivados de actos u omisiones ilícitos cometidos por él o por sus empleados, subcontratistas, agentes y personas que trabajen para ellos o actúen en su nombre en la realización de sus operaciones con arreglo al presente contrato, con inclusión del costo de las medidas que sean razonables para prevenir o limitar los daños al medio marino, teniendo en cuenta los actos u omisiones de la Autoridad que hayan contribuido a ellos.\n\n16.2 El Contratista exonerará a la Autoridad, sus empleados, subcontratistas y agentes de las demandas y obligaciones que hagan valer terceros, en razón de actos u omisiones ilícitos del Contratista y de sus empleados, agentes, y subcontratistas, y de todas las personas que trabajen para ellos o actúen en su nombre en la realización de sus operaciones con arreglo al presente contrato.\n\n16.3 La Autoridad será responsable del monto efectivo de los daños y perjuicios causados al Contratista como resultado de sus actos ilícitos en el ejercicio de sus facultades y funciones, con inclusión de las violaciones previstas en el artículo 168 2) de la Convención, y teniendo debidamente en cuenta los actos u omisiones del Contratista, los empleados, agentes y subcontratistas y las personas que trabajan para ellos o actuasen en su nombre en la realización de sus operaciones con arreglo al presente contrato que hayan contribuido a ellos.\n\n16.4 La Autoridad exonerará al Contratista, sus empleados, subcontratistas, agentes y a todas las personas que trabajen para ellos o actúen en su nombre en la realización de sus operaciones, con arreglo al presente contrato, de las demandas y obligaciones que hagan valer terceros derivadas de los actos u omisiones ilícitos en el ejercicio de sus facultades y funciones conforme al presente contrato, incluidas las violaciones previstas en el artículo 168 2) de la Convención.\n\n16.5 El Contratista contratará con empresas internacionalmente reconocidas pólizas de seguro adecuadas, de conformidad con las prácticas marítimas internacionales generalmente aceptadas.\n\nCláusula 17. Fuerza mayor\n\n17.1 El Contratista no será responsable de una demora inevitable o del incumplimiento de alguna de sus obligaciones con arreglo al presente contrato por razones de fuerza mayor. A los efectos del presente contrato, por fuerza mayor se entiende un acontecimiento o una condición que no cabía razonablemente prever que el Contratista impidiera o controlara, a condición de que no haya sido causado por negligencia o por inobservancia de las buenas prácticas de la industria minera.\n\n17.2 Se concederá al Contratista, previa solicitud, una prórroga equivalente al período en el cual el cumplimiento del contrato quedó demorado por razones de fuerza mayor y se prorrogará en la forma correspondiente la duración del presente contrato.\n\n17.3 En caso de fuerza mayor, el Contratista tomará todas las medidas razonables para volver a ponerse en condiciones de cumplir las cláusulas y las condiciones del presente contrato con un mínimo de demora.\n\n17.4 El Contratista notificará a la Autoridad tan pronto como sea razonablemente posible que ha habido fuerza mayor e, igualmente, notificará a la Autoridad cuando se restablezcan las condiciones normales.\n\nCláusula 18. Descargo de responsabilidad El Contratista, sus empresas afiliadas o sus subcontratistas no podrán afirmar o sugerir de manera alguna, expresa ni tácitamente, que la Autoridad o cualquiera de sus funcionarios tiene o ha expresado una opinión con respecto a los nódulos polimetálicos en la zona de exploración; no podrá incluirse una declaración en ese sentido en los prospectos, avisos, circulares, anuncios, comunicados de prensa o documentos similares que publique el Contratista, sus empresas afiliadas o sus subcontratistas y que se refieran directa o indirectamente al presente contrato. A los efectos de la presente cláusula, por “empresa afiliada” se entenderá cualquier persona, empresa o compañía o entidad estatal que tenga control sobre el Contratista, sea controlada por este o sea controlada junto con este por otra entidad.\n\nCláusula 19. Renuncia de derechos El Contratista, previa notificación a la Autoridad, estará facultado para renunciar a sus derechos y poner término al presente contrato sin sanción alguna, si bien no quedará exento del cumplimiento de las obligaciones contraídas antes de la fecha de la renuncia ni de las que debe cumplir una vez terminado el contrato de conformidad con el Reglamento.\n\nCláusula 20. Término del patrocinio\n\n20.1 El Contratista notificará prontamente a la Autoridad si cambia su nacionalidad o control o si el Estado que lo patrocina, tal como está definido en el Reglamento, pone término a su patrocinio.\n\n20.2 En cualquiera de esos casos, y si el Contratista no obtuviere otro patrocinante que cumpla los requisitos fijados en las normas aplicables y que presente a la Autoridad un certificado de patrocinio en la forma y dentro del plazo estipulados en las normas aplicables, el presente contrato quedará resuelto de inmediato.\n\nCláusula 21. Suspensión y rescisión del contrato y sanciones\n\n21.1 El Consejo podrá suspender o rescindir el presente contrato, sin perjuicio de los demás derechos que tenga, de darse una de las siguientes circunstancias: a) Si, a pesar de las advertencias por escrito de la Autoridad, la forma en que el Contratista ha realizado sus actividades constituye un incumplimiento grave, persistente y doloso de las disposiciones fundamentales del presente contrato, la\n\nParte XI de la Convención, el Acuerdo o las normas, reglamentos y procedimientos de la Autoridad; o b) Si el Contratista no ha cumplido una decisión definitiva y obligatoria del órgano de solución de controversias que le sea aplicable; o c) Si el Contratista cae en insolvencia, comete un acto que entrañe la cesación de pagos, pacta un convenio con sus acreedores, queda sometido a liquidación o sindicatura voluntaria o forzada, pide a un tribunal que le sea nombrado un síndico o da comienzo a una actuación judicial relativa a sí mismo con arreglo a una ley sobre quiebras, insolvencia o ajuste de la deuda, esté o no en vigor en ese momento, para un fin distinto del de reorganizarse.\n\n21.2 El Consejo podrá, sin perjuicio de lo dispuesto en la cláusula 17, suspender o rescindir el presente contrato, tras haber celebrado consultas con el Contratista, sin perjuicio de ningún otro derecho que posea la Autoridad, si el Contratista no puede cumplir las obligaciones que le corresponden en virtud del presente contrato debido a un acontecimiento o una condición de fuerza mayor, conforme a lo estipulado en la cláusula 17.1, que haya persistido durante un período de más de dos años continuos, aunque el Contratista haya adoptado todas las medidas razonables para superar su incapacidad de cumplir con las cláusulas del presente contrato con una demora mínima.\n\n21.3 La suspensión o rescisión se realizará por medio de una notificación, por intermedio del Secretario General, e incluirá una declaración acerca de los motivos para tomar esa medida. La suspensión o rescisión entrará en vigor 60 días después de dicha notificación, a menos que el Contratista impugne el derecho de la Autoridad de suspender o rescindir este contrato de conformidad con la sección 5 de la Parte XI de la Convención.\n\n21.4 Si el Contratista procede de esa manera, el presente contrato solo podrá ser suspendido o rescindido de conformidad con una decisión definitiva y con fuerza jurídica obligatoria adoptada de conformidad con la sección 5 de la Parte XI de la Convención.\n\n21.5 El Consejo, en caso de que suspenda el presente contrato, podrá, previa notificación, exigir al Contratista que reanude sus operaciones y cumpla las cláusulas y las condiciones de él a más tardar dentro de los 60 días siguientes a la fecha de la notificación.\n\n21.6 En caso de que se produzca un incumplimiento del contrato no previsto en la cláusula 21.1 a), o en lugar de la suspensión o rescisión con arreglo a la cláusula 21.1, el Consejo podrá imponer al Contratista sanciones monetarias proporcionales a la gravedad de la transgresión.\n\n21.7 El Consejo no podrá ejecutar una decisión que implique sanciones monetarias hasta que el Contratista haya tenido oportunidad razonable de agotar los recursos judiciales de que dispone con arreglo a la sección 5 de la Parte XI de la Convención.\n\n21.8 En caso de rescisión o expiración del presente contrato, el Contratista cumplirá el Reglamento y sacará del área de exploración todas sus instalaciones, planta, equipo y materiales de manera de que esa área no constituya un peligro para las personas, para el transporte ni para el medio marino.\n\nCláusula 22. Transferencia de derechos y obligaciones\n\n22.1 Los derechos y las obligaciones del Contratista en virtud del presente contrato podrán ser transferidos en su totalidad o en parte únicamente con el consentimiento de la Autoridad y con arreglo al Reglamento.\n\n22.2 La Autoridad no negará sin causa bastante su consentimiento a la transferencia si el cesionario propuesto reúne todas las condiciones requeridas de un solicitante calificado de conformidad con el Reglamento y asume todas las obligaciones del Contratista y si la transferencia no confiere al cesionario un plan de trabajo cuya aprobación estaría prohibida por el artículo 6, párrafo 3 c), del anexo III de la Convención.\n\n22.3 Las cláusulas, las obligaciones y las condiciones del presente contrato se entenderán en beneficio de las partes en él y sus respectivos sucesores y cesionarios y serán obligatorias para ellos.\n\nCláusula 23. Exoneración El hecho de que una de las partes renuncie a los derechos que le correspondan por el incumplimiento de las cláusulas y condiciones del presente contrato por la otra no será interpretado en el sentido de que también la exonera de cualquier transgresión ulterior de la misma cláusula o la misma condición o cualquier otra que haya de cumplir.\n\nCláusula 24. Revisión\n\n24.1 Cuando hayan surgido o puedan surgir circunstancias que, a juicio de la Autoridad o el Contratista, hagan inequitativo el presente contrato o hagan impracticable o imposible el logro de los objetivos previstos en él y en la Parte XI de la Convención o en el Acuerdo, las partes entablarán negociaciones para revisarlo en la forma correspondiente.\n\n24.2 El presente contrato podrá también ser revisado de común acuerdo entre el Contratista y la Autoridad para facilitar la aplicación de las normas, reglamentos y procedimientos que esta apruebe después de su entrada en vigor.\n\n24.3 El presente contrato podrá ser revisado, enmendado o modificado únicamente con el consentimiento del Contratista y la Autoridad y mediante instrumento en regla y firmado por los representantes autorizados de las partes.\n\nCláusula 25. Controversias\n\n25.1 Las controversias que surjan entre las partes acerca de la interpretación o aplicación del presente contrato se dirimirán con arreglo a lo dispuesto en la sección\n\n5 de la Parte XI de la Convención.\n\n25.2 De conformidad con el artículo 21 2) del anexo III de la Convención el fallo definitivo que dicte una corte o tribunal competente con arreglo a la Convención en lo relativo a los derechos y obligaciones de la Autoridad y del Contratista será ejecutable en el territorio de cada uno de los Estados partes en la Convención afectados.\n\nCláusula 26. Notificación\n\n26.1 El Secretario General o el representante designado del Contratista, según el caso, harán por escrito todo pedido, solicitud, aviso, informe, autorización, aprobación, exención, directiva o instrucción en relación con el presente contrato. La notificación se hará en mano o por télex, fax, correo aéreo certificado o correo electrónico con firma autorizada al Secretario General en la sede de la Autoridad o al representante designado. La obligación de facilitar por escrito la información que establece el presente Reglamento quedará satisfecha cuando se haga en un mensaje de correo electrónico que contenga una firma digital.\n\n26.2 Cualquiera de las partes estará facultada para cambiar esa dirección por cualquier otra, previo aviso enviado a la otra parte con no menos de diez días de antelación.\n\n26.3 La notificación en mano surtirá efecto en el momento en que se haga. Se considerará que la notificación por télex surtirá efecto el día hábil siguiente a aquel en que aparezca en la máquina de télex del remitente la expresión “respuesta”. La notificación por fax surtirá efecto cuando quien lo envíe reciba el “informe de confirmación de la transmisión”, en el cual se confirme la transmisión al número de fax publicado por el receptor. La notificación por correo aéreo certificado se considerará hecha 21 días después del envío. Se entenderá que el destinatario de un correo electrónico lo ha recibido cuando dicho correo entre en un sistema de información diseñado o utilizado por el destinatario para recibir documentos del tipo enviado y pueda ser recuperado y procesado por él.\n\n26.4 La notificación al representante designado del Contratista servirá de notificación a este para todos los efectos en relación con el presente contrato y el representante designado representará al Contratista a los efectos de la notificación de la demanda o de otra diligencia ante un tribunal competente.\n\n26.5 La notificación al Secretario General servirá de notificación a la Autoridad para todos los efectos en relación con el presente contrato y el Secretario General representará a la Autoridad a los efectos de la notificación de la demanda o de otra diligencia ante cualquier tribunal competente.\n\nCláusula 27. Derecho aplicable\n\n27.1 El presente contrato se regirá por sus propias disposiciones, por las normas, los reglamentos y los procedimientos de la Autoridad, por la Parte XI de la Convención, por el Acuerdo y por las demás normas de derecho internacional que no sean incompatibles con la Convención.\n\n27.2 El Contratista, sus empleados, subcontratistas, agentes o personas que trabajen para ellos o actúen en su nombre en la realización de operaciones en virtud del presente contrato cumplirán las normas aplicables a que se hace referencia en el párrafo 27.1 y no participarán directa o indirectamente en una transacción prohibida por esas normas.\n\n27.3 Ninguna de las disposiciones del presente contrato será interpretada en el sentido de que exime de la necesidad de solicitar y obtener los permisos o autorizaciones necesarios para realizar actividades en virtud de él.\n\nCláusula 28. Interpretación La división del contrato en cláusulas y párrafos y los epígrafes que figuran en él obedecen únicamente al propósito de facilitar la referencia y no afectarán a su interpretación.\n\nCláusula 29. Documentos adicionales Cada una de las partes en el presente contrato acepta otorgar y entregar los demás instrumentos y realizar o dar los demás actos o cosas que sean necesarios o convenientes para poner en vigor sus disposiciones.\n", "n_chars": 124403}
{"corpus_id": "isa/regulation/nodules-2013-fr", "version_id": "2013-07-22", "title": "Règlement relatif à la prospection et à l’exploration des nodules polymétalliques dans la Zone (tel que modifié en 2013)", "short_title": "Règlement ISA — exploration des nodules polymétalliques (2013) [FR]", "jurisdiction": "international", "document_type": "isa_regulation", "official_citation": "ISBA/19/C/17, annexe — Règlement relatif à la prospection et à l’exploration des nodules polymétalliques dans la Zone", "authentic_languages": ["ar", "zh", "en", "fr", "ru", "es"], "language": "fr", "adoption_date": "2013-07-22", "entry_into_force_date": null, "source_url": "https://isa.org.jm/wp-content/uploads/2022/04/isba-19c-17_2-1.pdf", "source_publisher": "Autorité internationale des fonds marins (ISA)", "source_is_official": true, "authoritative_status": "authentic_text", "text_fidelity": "extracted_verified", "content_hash": "sha256:94086a63519a5fa9465634a9f0cfaae957564555aba2fe490feff585623cec86", "original_sha256": "sha256:1932a6f77c798bc3344d387fee7011a3adab4da2d17a13e2a9bebd48625ff9bb", "text_sha256": "sha256:94086a63519a5fa9465634a9f0cfaae957564555aba2fe490feff585623cec86", "license": "isa-materials-terms", "rights_note": "Texte authentique français ; document officiel, attribué à la source ; non re-licencié.", "provenance_note": "TEXTE AUTHENTIQUE FRANÇAIS — sibling under JC-006 (language-suffixed corpus_id; English base record is isa/regulation/nodules-2013). Authentic in the six UN languages, all equally authoritative; the French text is stored here. Byte-exact official PDF (human download) stored as original.pdf (original_sha256 = the PDF hash); text extracted with pdftotext and cleaned by the committed scripts/extract.py, byte-exact reproducible; page furniture removed, no wording changed. This is an equally-authentic language version, NOT a translation of the English (translations, if any, live in the derived layer).", "text": "Règlement relatif à la prospection et à l’exploration des nodules polymétalliques dans la Zone (tel que modifié en 2013) — ISBA/19/C/17, annexe [FR]\n\nRèglement relatif à la prospection et à l’exploration des nodules polymétalliques dans la Zone\n\nPréambule Aux termes de la Convention des Nations Unies sur le droit de la mer du 10 décembre 1982 (« la Convention »), les fonds marins et leur sous-sol au-delà des limites de la juridiction nationale ainsi que les ressources qu’ils recèlent sont le patrimoine commun de l’humanité dont l’exploration et l’exploitation se feront dans l’intérêt de l’humanité tout entière, au nom de laquelle agit l’Autorité internationale des fonds marins. Le présent Règlement a pour objet d’organiser la prospection et l’exploration des nodules polymétalliques.\n\nPartie I\n\nIntroduction\n\nArticle 1. Emploi des termes et champ d’application\n\n1. Les termes utilisés dans le présent Règlement s’entendent dans le sens qui leur est donné dans la Convention.\n\n2. Conformément à l’Accord relatif à l’application de la partie XI de la Convention des Nations Unies sur le droit de la mer du 10 décembre 1982 (« l’Accord »), les dispositions de l’Accord et la partie XI de la Convention doivent être interprétées et appliquées ensemble comme un seul et même instrument; le présent Règlement et les renvois à la Convention qui y figurent doivent être interprétés et appliqués en conséquence.\n\n3. Aux fins du présent Règlement, on entend par : a) « Exploitation » la collecte à des fins commerciales de nodules polymétalliques dans la Zone et l’extraction des minéraux qu’ils contiennent, notamment la construction et l’exploitation de systèmes d’extraction minière, de traitement et de transport pour la production et la vente de minéraux;\n\nb) « Exploration » la recherche, faisant l’objet de droits exclusifs, de gisements de nodules polymétalliques dans la Zone, l’analyse de ces gisements, l’utilisation et l’essai des procédés et du matériel d’extraction, des installations de traitement et des systèmes de transport, et l’établissement d’études des facteurs environnementaux, techniques, économiques, commerciaux et autres à prendre en considération dans l’exploitation; c) « Milieu marin » les éléments et facteurs physiques, chimiques, géologiques et biologiques, entre autres, qui agissent les uns sur les autres et déterminent la productivité, l’état, la condition et la qualité de l’écosystème marin, les eaux des mers et des océans et l’espace aérien surjacent ainsi que les fonds marins et leur sous-sol;\n\nd) « Nodules polymétalliques » l’une des ressources de la Zone constituée par tout gisement ou agglomérat de nodules, situé à la surface des grands fonds marins ou juste en dessous, qui contient du manganèse, du nickel, du cobalt et du cuivre; e) « Prospection » la recherche, sans droits exclusifs, de gisements de nodules polymétalliques dans la Zone, notamment l’évaluation de la composition, de la taille et de la répartition des gisements de nodules polymétalliques et de leur valeur économique; f) « Dommage grave au milieu marin » tout effet d’activités menées dans la Zone sur le milieu marin se traduisant par une modification défavorable considérable du milieu marin déterminée conformément aux règles, règlements, procédures et directives adoptés par l’Autorité, sur la base des normes et des pratiques internationalement reconnues.\n\n4. Le présent Règlement n’affecte d’aucune façon ni la liberté de la recherche scientifique, conformément à l’article 87 de la Convention, ni le droit de faire de la recherche scientifique marine dans la Zone conformément aux articles 143 et 256 de la Convention. Aucune disposition du présent Règlement ne peut être interprétée comme restreignant l’exercice par les États de la liberté de la haute mer au sens de l’article 87 de la Convention.\n\n5. Le présent Règlement pourra être complété par d’autres règles, règlements et procédures, notamment en ce qui concerne la protection et la préservation du milieu marin. Il est assujetti à la Convention des Nations Unies sur le droit de la mer, à l’Accord relatif à l’application de la partie XI de ladite Convention et à toute autre norme de droit international qui n’est pas incompatible avec la Convention.\n\nPartie II. Prospection\n\nArticle 2. Prospection\n\n1. La prospection est réalisée conformément à la Convention et au présent Règlement et ne peut démarrer qu’après que le prospecteur a été informé par le Secrétaire général de l’enregistrement de sa notification conformément à l’article 4 2).\n\n2. Les prospecteurs et l’Autorité appliquent le principe de précaution posé par le principe 15 de la Déclaration de Rio sur l’environnement et le développement 3. Il ne doit pas être entrepris de prospection s’il y a de bonnes raisons de craindre un dommage grave au milieu marin.\n\n3. Il ne doit pas être entrepris de prospection dans une zone visée par un plan de travail relatif à l’exploration des nodules polymétalliques approuvé ni dans un secteur réservé et il ne peut non plus en être entrepris dans une zone dont le Conseil a exclu la mise en exploitation en raison d’un risque de dommage grave au milieu marin. 3 Rapport de la Conférence des Nations Unies sur l’environnement et le développement, Rio de Janeiro, 3-14 juin 1992 (publication des Nations Unies, numéro de vente : F.93.I.8 et rectificatif), vol. I, Résolutions adoptées par la Conférence, résolution 1, annexe I.\n\n4. La prospection ne confère au prospecteur aucun droit sur les ressources. Le prospecteur peut toutefois extraire une quantité raisonnable de minéraux, à savoir la quantité nécessaire aux fins d’expérimentation et non à des fins commerciales.\n\n5. La prospection n’est pas limitée dans le temps; toutefois, il y est mis un terme lorsque le Secrétaire général notifie par écrit au prospecteur qu’un plan de travail relatif à l’exploration portant sur la zone prospectée a été approuvé.\n\n6. La prospection peut être réalisée simultanément par plusieurs prospecteurs dans la même zone ou les mêmes zones.\n\nArticle 3. Notification de prospection\n\n1. Le futur prospecteur doit notifier à l’Autorité son intention d’entreprendre des activités de prospection.\n\n2. Chaque notification de prospection est présentée dans les formes prescrites à l’annexe I du présent Règlement, est adressée au Secrétaire général et doit satisfaire aux conditions énoncées dans le présent Règlement.\n\n3. Chaque notification est présentée : a) Dans le cas d’un État, par l’autorité désignée à cet effet par ledit État; b) Dans le cas d’une entité, par les représentants désignés de celle-ci; c) Dans le cas de l’Entreprise, par l’autorité compétente de celle-ci.\n\n4. Chaque notification est présentée dans l’une des langues de l’Autorité et doit comporter : a) Le nom, la nationalité et l’adresse du futur prospecteur et de son représentant désigné;\n\nb) Les coordonnées de la ou des grandes zones devant être prospectées, conformément aux normes internationales généralement acceptées les plus récentes utilisées par l’Autorité; c) Une description générale du programme de prospection, notamment la date de démarrage prévue et la durée approximative du programme; d) Un engagement écrit satisfaisant du futur prospecteur : i) Qu’il respectera la Convention et les règles, règlements et procédures de l’Autorité concernant : a. La coopération aux programmes de formation en matière de recherche scientifique marine et de transfert des techniques visés aux articles 143 et 144 de la Convention; et b. La protection et la préservation du milieu marin; ii) Qu’il acceptera la vérification par l’Autorité du respect dudit engagement; et iii) Qu’il mettra à la disposition de l’Autorité, dans la mesure du possible, les données pouvant être utiles à la protection et à la préservation du milieu marin.\n\nArticle 4. Examen des notifications\n\n1. Le Secrétaire général accuse par écrit réception de chaque notification donnée en vertu de l’article 3, en spécifiant la date de réception.\n\n2. Le Secrétaire général examine la notification dans un délai de 45 jours à compter de sa réception. Si la notification satisfait aux conditions de la Convention et du présent Règlement, il inscrit les renseignements qu’elle contient dans le registre tenu à cet effet et informe par écrit le prospecteur que la notification a été dûment enregistrée.\n\n3. Le Secrétaire général fait savoir par écrit au futur prospecteur, dans un délai de 45 jours à compter de la réception de la notification, si celle-ci porte sur une partie d’une zone visée par un plan de travail approuvé relatif à l’exploration ou à l’exploitation de l’une quelconque des catégories de ressources, ou sur une partie quelconque d’un secteur réservé, ou sur toute partie d’une zone dont le Conseil a exclu la mise en exploitation en raison d’un risque de dommage grave au milieu marin, ou si l’engagement écrit n’est pas satisfaisant, et en fait connaître les raisons par écrit au futur prospecteur. Ce dernier peut alors modifier sa notification dans un délai de 90 jours. Le Secrétaire général examine à nouveau la notification et statue sur elle dans un délai de 45 jours.\n\n4. Le prospecteur informe le Secrétaire général par écrit de toute modification des informations figurant dans la notification.\n\n5. Le Secrétaire général s’abstient de divulguer les informations contenues dans la notification, si ce n’est avec le consentement écrit de celui-ci. Toutefois, il informe de temps à autre les membres de l’Autorité de l’identité des prospecteurs et des zones prospectées.\n\nArticle 5. Protection et préservation du milieu marin pendant la prospection\n\n1. Chaque prospecteur prend les mesures nécessaires pour prévenir, réduire et maîtriser autant que raisonnablement possible la pollution du milieu marin et les autres risques découlant de la prospection, en appliquant le principe de précaution ainsi que les meilleures pratiques écologiques. En particulier, chaque prospecteur réduit au minimum ou élimine : a) Les effets néfastes de la prospection sur l’environnement; et\n\nb) Les conflits effectifs ou potentiels avec des activités de recherche scientifique marine déjà engagées ou prévues, ou la perturbation de ces activités, conformément aux futures directives pertinentes.\n\n2. Les prospecteurs coopèrent avec l’Autorité à la mise en place et à l’exécution de programmes de surveillance et d’évaluation des effets potentiels sur le milieu marin de l’exploration et de l’exploitation de nodules polymétalliques.\n\n3. Le prospecteur notifie immédiatement par écrit au Secrétaire général, en utilisant les recours aux moyens les plus efficaces, tout incident résultant de la prospection qui a causé, qui cause ou qui menace de causer un dommage grave au milieu marin. Dès réception d’une telle notification, le Secrétaire général agit conformément à l’article 33.\n\nArticle 6. Rapport annuel\n\n1. Le prospecteur doit présenter à l’Autorité, dans les 90 jours qui suivent la fin de l’année civile, un rapport sur l’état d’avancement de la prospection. Ces rapports sont soumis à la Commission juridique et technique par le Secrétaire général. Chaque rapport doit comporter : a) Une description générale de l’état d’avancement de la prospection et des résultats obtenus;\n\nb) Des informations sur la façon dont le prospecteur remplit l’engagement visé à l’article 3 4) d); et c) Des informations sur la façon dont le prospecteur se conforme aux futures directives pertinentes à cet égard.\n\n2. S’il entend inclure les dépenses de prospection dans les dépenses de mise en valeur encourues avant le démarrage de la production commerciale, le prospecteur soumet un état annuel, établi conformément aux principes comptables internationalement reconnus et certifié par un cabinet d’experts comptables dûment agréé, des dépenses d’exploration directes et effectives qu’il a encourues dans le cadre de la prospection.\n\nArticle 7. Confidentialité des données et informations contenues dans le rapport annuel\n\n1. Le Secrétaire général garantit la confidentialité de toutes les données et informations figurant dans les rapports soumis en vertu de l’article 6, en appliquant mutatis mutandis les dispositions des articles 36 et 37, étant entendu que les données et informations relatives à la protection et la préservation du milieu marin, en particulier celles qui émanent du programme de surveillance de l’environnement, ne sont pas considérées confidentielles. Le prospecteur peut demander que ces données ne soient pas divulguées pendant un délai pouvant aller jusqu’à trois ans à compter de la date où le rapport les contenant a été soumis.\n\n2. Le Secrétaire général peut, à tout moment, avec le consentement du prospecteur concerné, divulguer les données et informations concernant la prospection dans la zone pour laquelle il a reçu une notification. Si après avoir fait pendant au moins deux ans tous les efforts raisonnablement possibles pour communiquer avec le prospecteur, le Secrétaire général constate que celui-ci n’existe plus ou ne peut plus être localisé, il peut divulguer ces données et informations.\n\nArticle 8. Objets ayant un caractère archéologique ou historique Le prospecteur notifie immédiatement par écrit au Secrétaire général toute découverte dans la Zone d’objets ayant ou susceptibles d’avoir un caractère archéologique ou historique et leur emplacement. Le Secrétaire général en avise le Directeur général de l’Organisation des Nations Unies pour l’éducation, la science et la culture.\n\nPartie III. Demandes d’approbation de plans de travail relatifs à l’exploration revêtant la forme de contrats\n\nSection 1. Dispositions générales\n\nArticle 9. Dispositions générales Sous réserve des dispositions de la Convention, les entités ci-après peuvent présenter à l’Autorité des demandes d’approbation de plans de travail relatifs à l’exploration : a) L’Entreprise, en son nom propre, ou dans le cadre d’un accord de coentreprise;\n\nb) Les États parties, les entreprises d’État ou les personnes physiques ou morales possédant la nationalité d’États parties ou effectivement contrôlés par eux ou leurs ressortissants, lorsqu’elles sont patronnées par ces États, ou tout groupe des catégories précitées qui satisfait aux conditions stipulées dans le présent Règlement.\n\nSection 2. Teneur des demandes\n\nArticle 10. Forme des demandes\n\n1. Toute demande d’approbation d’un plan de travail relatif à l’exploration est présentée dans les formes prescrites à l’annexe II du présent Règlement, est adressée au Secrétaire général et doit satisfaire aux conditions énoncées dans le présent Règlement.\n\n2. Toute demande est présentée : a) Lorsqu’elle émane d’un État partie, par l’autorité désignée à cet effet par ledit État;\n\nb) Lorsqu’elle émane d’une entité, par le représentant désigné par celle-ci ou l’autorité désignée à cet effet par l’État ou les États patronnant la demande; et c) Lorsqu’elle émane de l’Entreprise, par l’autorité compétente de celle-ci.\n\n3. Toute demande émanant d’une entreprise d’État ou de l’une des entités visées à l’article 9 b) doit comporter également : a) Des renseignements permettant de déterminer la nationalité du demandeur ou l’identité de l’État ou des États, ou de leurs ressortissants, qui contrôlent effectivement le demandeur; et\n\nb) L’établissement principal ou le domicile et, le cas échéant, le lieu d’immatriculation du demandeur.\n\n4. Toute demande émanant d’une association ou d’un consortium d’entités doit comporter les renseignements requis concernant chaque membre de l’association ou du consortium.\n\nArticle 11. Certificat de patronage\n\n1. Toute demande émanant d’une entreprise d’État ou de l’une des entités visées à l’article 9 b) doit être accompagnée d’un certificat de patronage délivré par l’État dont le demandeur est ressortissant ou par lequel ou les ressortissants duquel il est effectivement contrôlé. Si le demandeur a plus d’une nationalité, ce qui est le cas d’une association ou d’un consortium d’entités relevant de plusieurs États, chacun de ces États délivre un certificat de patronage.\n\n2. Si le demandeur a la nationalité d’un État mais est effectivement contrôlé par un autre État ou par ses ressortissants, chacun de ces États délivre un certificat de patronage.\n\n3. Tout certificat de patronage doit être dûment signé au nom de l’État qui le présente et doit comporter les éléments ci-après : a) Le nom du demandeur; b) Le nom de l’État patronnant la demande; c) Une attestation indiquant que le demandeur est : i) Ressortissant de l’État patronnant la demande; ou ii) Sous le contrôle effectif de l’État patronnant la demande ou de ses ressortissants; d) Une déclaration indiquant que l’État patronne le demandeur; e) La date du dépôt de son instrument de ratification de la Convention, ou d’adhésion ou de succession à celle-ci, par l’État patronnant la demande; f) Une déclaration indiquant que l’État patronnant la demande assume les responsabilités prévues aux articles 139 et 153 4) de la Convention et à l’annexe III, article 4 4) de la Convention.\n\n4. Les États ou entités ayant passé un accord de coentreprise avec l’Entreprise sont également tenus de se conformer aux dispositions du présent article.\n\nArticle 12. Capacité financière et technique\n\n1. Toute demande d’approbation d’un plan de travail relatif à l’exploration doit comporter des informations précises et suffisantes pour permettre au Conseil de s’assurer que le demandeur est financièrement et techniquement capable d’exécuter le plan de travail proposé et de s’acquitter de ses obligations financières vis-à-vis de l’Autorité.\n\n2. Toute demande d’approbation d’un plan de travail relatif à l’exploration soumise au nom d’un État ou d’une entité, ou d’une composante d’une entité visés au paragraphe 1 a) ii) ou iii) de la résolution II autre qu’un investisseur pionnier enregistré, ayant déjà entrepris des activités substantielles dans la Zone avant l’entrée en vigueur de la Convention, ou ses ayants cause, est réputée répondre aux conditions financières et techniques auxquelles est subordonnée l’approbation du plan de travail proposé si l’État ou les États qui patronnent la demande certifient que le demandeur a investi l’équivalent d’au moins 30 millions de dollars des États-Unis dans des activités de recherche et d’exploration et a consacré 10 % au moins de ce montant à la localisation, à l’étude topographique et à l’évaluation du secteur visé dans le plan de travail relatif à l’exploration.\n\n3. Toute demande d’approbation d’un plan de travail relatif à l’exploration émanant de l’Entreprise doit être accompagnée d’une déclaration de l’autorité compétente de celle-ci certifiant que l’Entreprise a les ressources financières nécessaires pour couvrir le coût estimatif du plan de travail proposé.\n\n4. Toute demande d’approbation d’un plan de travail relatif à l’exploration émanant d’un État ou d’une entreprise d’État, autre qu’un investisseur pionnier enregistré ou une entité visés au paragraphe 1 a) ii) ou iii) de la résolution II, doit être accompagnée d’une déclaration par laquelle ledit État ou l’État patronnant la demande certifie que le demandeur dispose des ressources financières nécessaires pour couvrir le coût estimatif du plan de travail proposé.\n\n5. Toute demande d’approbation d’un plan de travail relatif à l’exploration émanant d’une entité, autre qu’un investisseur pionnier enregistré ou une entité visés au paragraphe 1 a) ii) ou iii) de la résolution II, doit être accompagnée de copies de ses états financiers vérifiés, y compris les bilans et les comptes de profits et pertes correspondant aux trois années précédentes, établis conformément aux principes comptables internationalement reconnus et certifiés par un cabinet d’experts comptables dûment agréé.\n\n6. Si le demandeur est une entité nouvellement créée et qu’un bilan vérifié n’est pas disponible, la demande d’approbation doit être accompagnée d’un bilan pro forma certifié par un représentant compétent du demandeur.\n\n7. Si le demandeur est une filiale d’une autre entité, la demande d’approbation doit être accompagnée de copies de ces mêmes états financiers concernant cette entité et d’une déclaration de cette entité, établie conformément aux principes comptables internationalement reconnus et certifiée par un cabinet d’experts comptables dûment agréé, attestant que le demandeur disposera des ressources financières nécessaires pour exécuter le plan de travail relatif à l’exploration.\n\n8. Si le demandeur est placé sous le contrôle d’un État ou d’une entreprise d’État, la demande d’approbation doit être accompagnée d’une déclaration de l’État ou de l’entreprise d’État attestant que le demandeur disposera des ressources financières nécessaires pour exécuter le plan de travail proposé.\n\n9. Si un demandeur qui demande l’approbation d’un plan de travail relatif à l’exploration a l’intention de financer le plan de travail proposé grâce à des emprunts, sa demande doit comporter une déclaration indiquant le montant, l’échéancier et le taux d’intérêt de ces emprunts.\n\n10. Sous réserve des dispositions prévues au paragraphe 2, toute demande doit comprendre : a) Une description générale de l’expérience, des connaissances, des compétences et du savoir-faire techniques utiles pour l’exécution du plan de travail proposé acquis antérieurement par le demandeur;\n\nb) Une description générale du matériel et des méthodes qu’il est prévu d’utiliser pour exécuter le plan de travail proposé et d’autres informations utiles, qui ne sont pas propriété industrielle, portant sur les caractéristiques des techniques envisagées; et c) Une description générale de la capacité financière et technique dont dispose le demandeur pour faire face à tout incident ou activité causant un dommage grave au milieu marin.\n\n11. Si le demandeur est une association ou un consortium d’entités liées entre elles par un accord de coentreprise, chaque membre de l’association ou du consortium doit fournir les renseignements exigés dans le présent article.\n\nArticle 13. Précédents contrats avec l’Autorité Si le demandeur ou, lorsque la demande émane d’une association ou d’un consortium d’entités liées entre elles par un accord de coentreprise, si un membre de l’association ou du consortium a précédemment obtenu un contrat de l’Autorité, sont indiqués dans la demande : a) La date du contrat ou des contrats antérieurs;\n\nb) La date, le numéro de référence et le titre de tout rapport relatif au(x) contrat(s) soumis à l’Autorité; et c) La date de résiliation du contrat ou des contrats, le cas échéant.\n\nArticle 14. Engagements Dans sa demande d’approbation d’un plan de travail relatif à l’exploration, tout demandeur, y compris l’Entreprise, s’engage par écrit vis-à-vis de l’Autorité à : a) Accepter comme exécutoires et respecter les obligations qui lui incombent en vertu de la Convention et des règles, règlements et procédures de l’Autorité, des décisions des organes de l’Autorité et des clauses des contrats qu’il a conclus avec celle-ci;\n\nb) Accepter que l’Autorité exerce sur les activités menées dans la Zone le contrôle autorisé par la Convention; et c) Fournir à l’Autorité l’assurance écrite qu’il s’acquittera de bonne foi des obligations qui lui incombent en vertu du contrat.\n\nArticle 15. Superficie totale de la zone visée par la demande Toute demande d’approbation d’un plan de travail relatif à l’exploration doit délimiter, conformément aux normes internationales généralement acceptées les plus récentes utilisées par l’Autorité, la zone qu’elle vise en en indiquant la liste des coordonnées géographiques. Les demandes autres que celles présentées en vertu de l’article 17 doivent couvrir une zone, pas nécessairement d’un seul tenant, ayant une superficie totale et une valeur commerciale estimative suffisantes pour permettre deux opérations d’extraction minière. Le demandeur indique les coordonnées permettant de diviser la zone en deux parties de valeur commerciale estimative égale. L’attribution de zones est subordonnée aux dispositions de l’article 25.\n\nArticle 16. Données et informations à fournir avant la désignation d’un secteur réservé\n\n1. Toute demande doit contenir suffisamment de données et informations prescrites à l’annexe II, section II du présent Règlement relatives à la zone qu’elle couvre pour permettre au Conseil de désigner, sur la recommandation de la Commission juridique et technique, un secteur réservé en se fondant sur la valeur commerciale estimative de chaque partie. Ces données et informations sont celles dont dispose le demandeur sur les deux parties de la zone couverte par la demande, notamment les données utilisées pour déterminer la valeur commerciale de celles-ci.\n\n2. Le Conseil, se fondant sur les données et informations fournies par le demandeur conformément à l’annexe II, section II du présent Règlement, s’il les juge satisfaisantes, et compte tenu de la recommandation de la Commission juridique et technique, désigne la partie de la zone couverte par la demande qui sera réservée. La partie ainsi désignée devient le secteur réservé dès que le plan de travail relatif à l’exploration du secteur non réservé est approuvé et le contrat signé. Si le Conseil estime devoir disposer d’informations supplémentaires, en conformité avec le présent Règlement et l’annexe II, pour désigner le secteur réservé, il renvoie la question à la Commission pour qu’elle la réexamine, en indiquant les informations supplémentaires requises.\n\n3. Une fois que le plan de travail relatif à l’exploration a été approuvé et un contrat passé, les informations fournies à l’Autorité par le demandeur au sujet du secteur réservé peuvent être communiquées par celle-ci conformément à l’article 14 3) de l’annexe III de la Convention.\n\nArticle 17. Demandes d’approbation de plans de travail concernant un secteur réservé\n\n1. Tout État en développement ou toute personne physique ou morale patronnée par lui et effectivement contrôlée par lui ou par un autre État en développement, ou tout groupe des catégories précitées, peut notifier à l’Autorité son désir de soumettre un plan de travail relatif à l’exploration pour un secteur réservé. Le Secrétaire général transmet ladite notification à l’Entreprise qui, dans les six mois, fait savoir par écrit au Secrétaire général si elle a l’intention ou non de mener des activités dans ledit secteur; si elle a l’intention de mener des activités dans le secteur, elle en informe aussi par écrit, en application du paragraphe 4, le contractant dont la demande d’approbation d’un plan de travail relatif à l’exploration couvrait initialement ce secteur.\n\n2. Toute demande d’approbation d’un plan de travail relatif à l’exploration d’un secteur réservé peut être présentée à tout moment après qu’un tel secteur devient disponible à la suite d’une décision de l’Entreprise de ne pas y mener d’activités ou lorsque l’Entreprise, dans les six mois de la notification par le Secrétaire général, n’a ni décidé si elle entend mener des activités dans ledit secteur ni notifié par écrit au Secrétaire général qu’elle est en pourparlers au sujet d’une entreprise conjointe potentielle. Dans ce dernier cas, l’Entreprise dispose d’un an à compter de la date de la notification pour décider si elle entend mener des activités dans le secteur.\n\n3. Lorsque ni l’Entreprise ni aucun État en développement ou aucune des entités visées au paragraphe 1 ne présente une demande d’approbation d’un plan de travail relatif à l’exploration d’un secteur réservé dans un délai de 15 ans après que l’Entreprise a commencé d’exercer ses fonctions indépendamment du Secrétariat de l’Autorité ou dans un délai de 15 ans à compter de la date à laquelle ledit secteur a été réservé à l’Autorité, si cette date est postérieure, le contractant dont la demande d’approbation d’un plan de travail relatif à l’exploration couvrait initialement ce secteur a le droit de présenter une demande d’approbation d’un plan de travail relatif à l’exploration de celui-ci, à charge pour lui d’offrir de bonne foi d’associer l’Entreprise à ses activités dans le cadre d’une entreprise conjointe.\n\n4. Le contractant a un droit de priorité pour conclure avec l’Entreprise un accord d’entreprise conjointe en vue de l’exploration du secteur compris dans sa demande d’approbation d’un plan de travail relatif à l’exploration et désigné par le Conseil comme secteur réservé.\n\nArticle 18. Données et informations à fournir pour l’approbation du plan de travail relatif à l’exploration Tout demandeur soumet, en vue d’obtenir l’approbation de son plan de travail relatif à l’exploration sous la forme d’un contrat, les informations suivantes : a) La description générale et le calendrier du programme d’exploration proposé, y compris le programme d’activités pour les cinq années à venir, tels que les études à réaliser concernant les facteurs écologiques, techniques, économiques et autres facteurs appropriés à prendre en compte pour l’exploration;\n\nb) La description du programme d’études océanographiques et écologiques prescrite par le présent Règlement et les règles, règlements et procédures d’ordre environnemental établis par l’Autorité, qui permettraient d’évaluer l’impact environnemental potentiel – y compris, sans y être limité, l’impact sur la diversité biologique – des activités d’exploration proposées, compte tenu de toutes recommandations formulées par la Commission juridique et technique; c) L’évaluation préliminaire de l’impact que les activités d’exploration proposées sont susceptibles d’avoir sur le milieu marin;\n\nd) La description des mesures proposées pour la prévention, la réduction et la maîtrise de la pollution et autres risques ainsi que de l’impact possible sur le milieu marin; e) Les données nécessaires pour permettre au Conseil de procéder aux vérifications visées à l’article 12 1); et f) Le calendrier des dépenses annuelles prévues pour le programme d’activités des cinq années à venir.\n\nSection 3. Droits\n\nArticle 19. Droit afférent aux demandes\n\n1. Le droit à acquitter pour l’étude d’une demande d’approbation d’un plan de travail relatif à l’exploration de nodules polymétalliques est de 500 000 dollars des États-Unis, ou l’équivalent dans une monnaie librement convertible, payable par le demandeur au moment où il présente sa demande.\n\n2. Si les dépenses d’administration engagées par l’Autorité pour traiter une demande sont inférieures au montant fixé au paragraphe 1, l’Autorité rembourse la différence au demandeur. Si les dépenses d’administration engagées par l’Autorité pour traiter une demande sont supérieures au montant fixé au paragraphe 1, le demandeur paie la différence à l’Autorité, étant entendu que le montant supplémentaire à payer par le demandeur ne dépassera pas 10 % du montant fixé au paragraphe 1.\n\n3. Compte tenu des critères établis à cette fin par la Commission des finances, le Secrétaire général détermine le montant des différences visées au paragraphe 2 et notifie ce montant au demandeur. La notification inclut un état des dépenses engagées par l’Autorité. Le montant dû est acquitté par le demandeur ou remboursé par l’Autorité dans un délai de trois mois à compter de la signature du contrat visé à l’article 23.\n\n4. Le Conseil examine périodiquement le montant du droit à acquitter prévu au paragraphe 1 pour s’assurer qu’il couvre les dépenses d’administration prévues pour le traitement des demandes et pour éviter que les demandeurs n’aient à acquitter les montants supplémentaires visés au paragraphe 2 ci-dessus.\n\nSection 4. Traitement des demandes\n\nArticle 20. Réception, accusé de réception et garde des demandes Le Secrétaire général : a) Accuse réception par écrit, dans les 30 jours de sa réception, de toute demande d’approbation d’un plan de travail relatif à l’exploration soumis conformément à la présente partie, en spécifiant la date de la réception;\n\nb) Dépose la demande avec ses pièces jointes et annexes en lieu sûr et veille à ce que la confidentialité de toutes les données et informations confidentielles fournies dans la demande soit protégée; et c) Avise les membres de l’Autorité de la réception de la demande et leur communique les renseignements non confidentiels d’ordre général y relatifs.\n\nArticle 21. Examen des demandes par la Commission juridique et technique\n\n1. Dès réception d’une demande d’approbation d’un plan de travail relatif à l’exploration, le Secrétaire général en avise les membres de la Commission juridique et technique et en inscrit l’examen à l’ordre du jour de la réunion suivante de la Commission. La Commission n’examine que les demandes qui ont été notifiées et au sujet desquelles des renseignements ont été communiqués par le Secrétaire général conformément à l’alinéa c) de l’article 20, au moins 30 jours avant le début de la réunion au cours de laquelle elles doivent être examinées.\n\n2. La Commission examine les demandes dans l’ordre de leur réception.\n\n3. La Commission s’assure que le demandeur : a) S’est conformé aux dispositions du présent Règlement; b) A pris les engagements et donné les assurances visés à l’article 14; c) Dispose de la capacité financière et technique nécessaire pour exécuter le plan de travail relatif à l’exploration proposé et lui a communiqué des informations détaillées attestant sa capacité à exécuter rapidement des ordres émis en cas d’urgence; et\n\nd) S’est dûment acquitté des obligations qui lui incombaient en vertu de tout contrat conclu antérieurement avec l’Autorité.\n\n4. Conformément aux dispositions du présent Règlement et à ses procédures, la Commission détermine si le plan de travail relatif à l’exploration proposé : a) Assure une protection effective de la santé et de la sécurité des êtres humains;\n\nb) Assure une protection et une préservation effectives du milieu marin, y compris, mais sans s’y limiter, du point de vue de son impact sur la diversité biologique; c) Apporte la garantie que les installations ne seront pas mises en place là où elles risqueraient d’entraver l’utilisation des voies de circulation reconnues essentielles à la navigation internationale ni dans des zones où se pratique une pêche intensive.\n\n5. Si elle conclut que les conditions énoncées au paragraphe 3 sont remplies et que le plan de travail relatif à l’exploration proposé satisfait à celles posées au paragraphe 4, la Commission recommande au Conseil d’approuver le plan de travail relatif à l’exploration.\n\n6. La Commission ne recommande pas l’approbation du plan de travail relatif à l’exploration si une partie ou la totalité de la zone visée par le plan proposé est comprise : a) Dans un plan de travail relatif à l’exploration de nodules polymétalliques approuvé par le Conseil;\n\nb) Dans un plan de travail relatif à l’exploration ou l’exploitation d’autres ressources approuvé par le Conseil, si le plan de travail proposé pour l’exploration des nodules polymétalliques risque d’entraver indûment les activités menées dans le cadre du plan approuvé pour d’autres ressources; ou c) Dans une zone dont le Conseil a exclu l’exploitation parce que des éléments substantiels attestent qu’il existe un risque de causer un dommage grave au milieu marin; ou\n\nd) Si le plan de travail relatif à l’exploration proposé est soumis ou patronné par un État qui a déjà fait approuver : i) Des plans de travail relatifs à l’exploration et à l’exploitation, ou exclusivement à l’exploitation, dans des secteurs non réservés dont la superficie, ajoutée à celle de l’une ou l’autre partie de la zone visée par le plan proposé, dépasserait 30 % de la superficie d’une zone circulaire de 400 000 kilomètres carrés déterminée à partir du centre de l’une ou l’autre partie de la zone visée par le plan proposé; ii) Des plans de travail relatifs à l’exploration et à l’exploitation, ou exclusivement à l’exploitation, dans des secteurs non réservés représentant ensemble 2 % de la superficie totale de la partie de la Zone qui n’a pas été réservée et dont l’exploitation n’a pas été exclue en application de l’article 162 2) x) de la Convention.\n\n7. Sauf dans le cas de demandes présentées par l’Entreprise en son nom propre ou au nom d’une entreprise conjointe et de demandes relevant de l’article 17, la Commission ne recommande pas l’approbation du plan de travail relatif à l’exploration proposé si une partie ou la totalité de la zone sur laquelle il porte est comprise dans un secteur réservé ou un secteur désigné par le Conseil comme devant être réservé.\n\n8. Si la Commission conclut qu’une demande n’est pas conforme au présent Règlement, elle adresse au demandeur, par l’intermédiaire du Secrétaire général, une notification écrite motivée. Le demandeur peut modifier sa demande dans un délai de 45 jours à compter de cette notification. Si la Commission estime, après examen de la demande modifiée, qu’elle ne doit pas recommander l’approbation du plan de travail relatif à l’exploration, elle en informe le demandeur, lequel dispose alors d’un délai de 30 jours pour présenter des observations. La Commission tient compte de ces observations dans son rapport et sa recommandation au Conseil.\n\n9. Lorsqu’elle examine un plan de travail relatif à l’exploration, la Commission tient compte des principes, politiques et objectifs concernant les activités menées dans la Zone énoncés dans la partie XI et l’annexe III de la Convention et dans l’Accord.\n\n10. La Commission examine les demandes avec diligence et soumet dès que possible au Conseil, compte tenu du calendrier des réunions de l’Autorité, son rapport et ses recommandations concernant la désignation des secteurs et le plan de travail relatif à l’exploration.\n\n11. Dans l’exercice de ses attributions, la Commission applique le présent Règlement et les règles, règlements et procédures de l’Autorité de façon uniforme et non discriminatoire.\n\nArticle 22. Examen et approbation par le Conseil des plans de travail relatifs à l’exploration Le Conseil examine les rapports et recommandations de la Commission concernant l’approbation des plans de travail relatifs à l’exploration, conformément aux paragraphes 11 et 12 de la section 3 de l’annexe de l’Accord.\n\nPartie IV. Contrats relatifs à l’exploration\n\nArticle 23. Le contrat\n\n1. Une fois approuvé par le Conseil, le plan de travail relatif à l’exploration est consigné dans un contrat conclu entre l’Autorité et le demandeur conformément à l’annexe III du présent Règlement. Chaque contrat doit contenir les clauses types énoncées à l’annexe IV, en vigueur à la date de prise d’effet du contrat.\n\n2. Le contrat est signé par le Secrétaire général agissant au nom de l’Autorité et par le demandeur. Le Secrétaire général avise par écrit tous les membres de l’Autorité de la conclusion de chaque contrat.\n\n3. Conformément au principe de non-discrimination, les contrats conclus avec les États ou entités, ou les composantes des entités, visés au paragraphe 6 a) i) de la section 1 de l’annexe de l’Accord doivent comprendre des dispositions similaires à celles convenues avec les investisseurs pionniers enregistrés et non moins favorables que celles-ci. Si un État ou une entité, ou toute composante de cet État ou entité, visé au paragraphe 6 a) i) de la section 1 de l’annexe de l’Accord se voit accorder des dispositions plus favorables, le Conseil doit prendre des dispositions similaires et non moins favorables à l’égard des droits et obligations assumés par les investisseurs pionniers enregistrés pourvu que de telles dispositions soient prises sous réserve des intérêts de l’Autorité.\n\nArticle 24. Droits du contractant\n\n1. Le contractant a le droit exclusif d’explorer le secteur visé par le plan de travail relatif à l’exploration de nodules polymétalliques. L’Autorité garantit qu’aucune autre entité n’exerce dans le même secteur des activités portant sur d’autres ressources d’une façon qui puisse gêner les activités du contractant.\n\n2. Un contractant qui a fait approuver un plan de travail portant uniquement sur l’exploration a préférence et priorité sur les demandeurs qui soumettent un plan de travail portant sur l’exploitation du même secteur et des mêmes ressources. Cette préférence et ce rang de priorité peuvent toutefois lui être retirés par le Conseil s’il ne s’est pas conformé aux stipulations du plan de travail relatif à l’exploration approuvé dans le délai fixé dans la ou les notifications que le Conseil lui a adressées par écrit pour lui signaler les stipulations non respectées. Le délai prescrit dans une telle notification ne doit pas être déraisonnable. Une possibilité raisonnable de faire valoir ses arguments est donnée au contractant avant que la décision de lui retirer la préférence ou le rang de priorité ne devienne définitive. Le Conseil motive sa décision de retrait et examine toute réponse du contractant. La décision du Conseil tient compte de cette réponse et est fondée sur des preuves suffisantes.\n\n3. Le retrait d’une préférence ou d’un rang de priorité ne peut devenir effectif tant que le contractant n’a pas eu raisonnablement la possibilité d’épuiser les recours judiciaires dont il dispose conformément à la section 5 de la partie XI de la Convention.\n\nArticle 25. Superficie du secteur et restitution\n\n1. La superficie totale du secteur attribué au contractant par le contrat ne doit pas dépasser 150 000 kilomètres carrés. Le contractant restitue des portions du secteur qui lui a été attribué, qui redeviennent partie intégrante de la Zone. Trois ans au plus à compter de la date de conclusion du contrat, le contractant doit avoir restitué 20 % du secteur qui lui a été attribué; cinq ans au plus à compter de la date de la conclusion du contrat, le contractant doit avoir restitué une fraction supplémentaire du secteur attribué égale à 10 % de sa superficie; et huit ans à compter de la date de conclusion du contrat, le contractant doit avoir restitué une fraction supplémentaire du secteur attribué égale à 20 % de sa superficie ou une fraction plus importante, de manière que la superficie du secteur d’exploitation ne dépasse pas celle qu’a fixée l’Autorité, étant entendu qu’il ne sera pas demandé au contractant de restituer une portion quelconque du secteur qui lui a été attribué si la superficie du secteur ne dépasse pas 75 000 kilomètres carrés.\n\n2. À la demande du contractant et sur recommandation de la Commission, le Conseil peut, à titre exceptionnel, différer l’exécution du calendrier de restitution. Les circonstances exceptionnelles sont déterminées par le Conseil et comprennent, notamment, la situation économique du contractant ou d’autres situations imprévisibles survenant à l’occasion de ses activités opérationnelles.\n\nArticle 26. Durée des contrats\n\n1. Les plans de travail relatifs à l’exploration sont approuvés pour 15 ans. Lorsqu’un plan de travail relatif à l’exploration arrive à expiration, le contractant doit, à moins qu’il ne l’ait déjà fait, que le plan n’ait été prorogé ou qu’il ne décide de renoncer à ses droits dans la zone visée par le plan, présenter une demande d’approbation d’un plan de travail relatif à l’exploitation.\n\n2. Au plus tard six mois avant l’expiration d’un plan de travail relatif à l’exploration, le contractant peut en demander la prorogation pour des périodes ne dépassant pas cinq ans chacune. Ces prorogations sont approuvées par le Conseil, sur recommandation de la Commission, si le contractant s’est efforcé de bonne foi de se conformer aux stipulations du plan de travail mais n’a pas pu, pour des raisons indépendantes de sa volonté, achever les travaux préparatoires nécessaires pour passer à la phase d’exploitation ou si les circonstances économiques du moment ne justifient pas le passage à cette phase.\n\nArticle 27. Formation En application de l’article 15 de l’annexe III de la Convention, chaque contrat comporte en annexe un programme de formation pratique du personnel de l’Autorité et d’États en développement, établi par le contractant en coopération avec l’Autorité et le ou les États patronnant la demande. Les programmes sont axés sur la formation à l’exploration et doivent permettre la pleine participation de ce personnel à toutes les activités sur lesquelles porte le contrat. Les programmes de formation peuvent être modifiés et développés de temps à autre, selon que de besoin, par consentement mutuel.\n\nArticle 28. Examen périodique de l’exécution du plan de travail relatif à l’exploration\n\n1. Le contractant et le Secrétaire général procèdent en commun tous les cinq ans à un examen de l’exécution du plan de travail relatif à l’exploration. Le Secrétaire général peut demander au contractant de lui communiquer toutes données et informations supplémentaires qui peuvent être nécessaires aux fins de cet examen.\n\n2. À la lumière de l’examen, le contractant indique son programme d’activités pour les cinq années suivantes en ajustant son programme d’activités antérieur comme nécessaire.\n\n3. Le Secrétaire général rend compte de cet examen à la Commission et au Conseil. Il indique dans son rapport s’il a été tenu compte, aux fins de l’examen, des observations qui auront pu lui être communiquées par des États parties à la Convention sur la manière dont le contractant s’est acquitté des obligations qui lui incombent en vertu du présent Règlement concernant la protection et la préservation du milieu marin.\n\nArticle 29. Cessation du patronage\n\n1. Tout contractant doit être dûment patronné pendant toute la durée du contrat.\n\n2. Si un État met fin à son patronage, il adresse sans retard au Secrétaire général une notification écrite et motivée. La cessation du patronage prend effet six mois après la date de réception de la notification par le Secrétaire général, à moins que la notification ne spécifie une date plus tardive.\n\n3. S’il est mis fin à un patronage, le contractant doit, dans le délai prévu au paragraphe 2, trouver un nouvel État pour le patronner. Celui-ci doit présenter un certificat de patronage conformément à l’article 11. Si le contractant n’obtient pas de patronage dans le délai prescrit, il est mis fin à son contrat.\n\n4. Un État ayant patronné une demande n’est libéré en raison de la cessation de son patronage d’aucune des obligations mises à sa charge pendant qu’il avait la qualité d’État patronnant, et la cessation du patronage est sans effet sur les droits et obligations créés en cours de patronage.\n\n5. Le Secrétaire général notifie aux membres de l’Autorité toute cessation ou tout changement de patronage.\n\nArticle 30. Responsabilité La responsabilité du contractant et celle de l’Autorité sont régies par la Convention. Le contractant demeure responsable de tout dommage résultant d’actes illicites commis dans la conduite de ses opérations, en particulier de tout dommage au milieu marin, après l’achèvement de la phase d’exploration.\n\nPartie V. Protection et préservation du milieu marin\n\nArticle 31. Protection et préservation du milieu marin\n\n1. L’Autorité, conformément à la Convention et à l’Accord, établit et revoit périodiquement des règles, règlements et procédures en matière d’environnement afin de protéger efficacement le milieu marin des effets nocifs pouvant résulter d’activités menées dans la Zone.\n\n2. Afin de protéger efficacement le milieu marin contre les effets nocifs pouvant résulter d’activités menées dans la Zone, l’Autorité et les États qui patronnent ces activités leur appliquent le principe de précaution posé dans le Principe 15 de la Déclaration de Rio et les meilleures pratiques écologiques.\n\n3. La Commission juridique et technique fait des recommandations au Conseil concernant l’application des paragraphes 1 et 2 ci-dessus.\n\n4. La Commission formule et applique les procédures voulues pour déterminer, à partir des informations scientifiques et techniques disponibles les plus sûres, notamment les informations communiquées en application de l’article 18 du présent Règlement, si des activités d’exploration qu’il est proposé de mener dans la Zone risquent d’entraîner des effets nocifs importants sur des écosystèmes marins vulnérables, et pour garantir que les activités d’exploration proposées dont il aura été ainsi déterminé qu’elles risquent d’entraîner des effets nocifs importants sur des écosystèmes marins vulnérables ou bien soient menées de façon à éviter ces effets nocifs ou bien ne reçoivent pas l’autorisation nécessaire.\n\n5. Conformément à l’article 145 de la Convention et au paragraphe 2 du présent article, chaque contractant prend les mesures nécessaires pour prévenir, réduire et maîtriser autant qu’il est raisonnablement possible la pollution du milieu marin et faire face aux autres risques qui menacent celui-ci du fait des activités qu’il mène dans la Zone, en appliquant le principe de précaution ainsi que les meilleures pratiques écologiques.\n\n6. Les contractants, les États qui les patronnent et les autres États ou entités intéressés coopèrent avec l’Autorité à l’élaboration et à l’exécution de programmes de surveillance et d’évaluation de l’impact sur le milieu marin de l’extraction minière dans les grands fonds marins. Lorsqu’ils sont demandés par le Conseil, ces programmes comprennent des propositions concernant des zones à mettre en réserve et à utiliser exclusivement comme zones témoins d’impact et de préservation. Le terme « zone témoin d’impact » s’entend d’une zone qui doit être utilisée pour évaluer les effets sur le milieu marin des activités menées dans la Zone et qui est représentative des caractéristiques environnementales de la Zone. Le terme « zone témoin de préservation » s’entend d’une zone dans laquelle toute activité d’extraction minière est exclue afin de préserver des biotes stables et représentatifs des fonds marins et d’évaluer tous changements de la diversité biologique du milieu marin.\n\nArticle 32. Profils écologiques témoins et surveillance du milieu marin\n\n1. Tout contrat requiert du contractant qu’il collecte des données écologiques de base et établisse, en tenant compte de toute recommandation que pourrait formuler la Commission juridique et technique en application de l’article 39, des profils écologiques témoins par rapport auxquels seront évalués les effets que les activités menées au titre de son plan de travail relatif à l’exploration sont susceptibles d’avoir sur le milieu marin, ainsi qu’un programme destiné à surveiller ces effets et à en rendre compte. Dans ses recommandations, la Commission peut notamment énumérer les activités d’exploration qui ne sont pas susceptibles d’avoir des effets nocifs sur le milieu marin. Le contractant coopère avec l’Autorité et l’État ou les États qui le patronnent pour élaborer et appliquer ce programme de surveillance.\n\n2. Le contractant rend compte chaque année par écrit au Secrétaire général de l’application et des résultats du programme de surveillance visé au paragraphe 1 et soumet des données et informations, compte tenu de toutes recommandations formulées par la Commission en application de l’article 39. Le Secrétaire général transmet ces rapports des contractants à la Commission pour examen en application de l’article 165 de la Convention.\n\nArticle 33. Ordres en cas d’urgence\n\n1. Le contractant notifie promptement par écrit au Secrétaire général, en utilisant les moyens les plus efficaces, tout incident résultant de ses activités qui a causé, qui cause ou qui menace de causer un dommage grave au milieu marin.\n\n2. Lorsqu’un incident résultant des activités d’un contractant dans la Zone ou occasionné par celles-ci, qui a causé, cause ou menace de causer un dommage grave au milieu marin, lui est notifié par un contractant ou vient autrement à sa connaissance, le Secrétaire général fait donner notification générale de l’incident, en avise par écrit le contractant et l’État ou les États qui le patronnent, et fait immédiatement rapport à la Commission juridique et technique, au Conseil et à tous les autres membres de l’Autorité. Copie du rapport est communiquée à tous les membres de l’Autorité, aux organisations internationales compétentes et aux organisations et organes sous-régionaux, régionaux et mondiaux concernés. Dans tous les cas d’incident de ce type, le Secrétaire général suit l’évolution de la situation et, s’il le juge nécessaire, fait rapport à la Commission, au Conseil et à tous les autres membres de l’Autorité.\n\n3. En attendant que le Conseil statue, le Secrétaire général prend immédiatement toutes les mesures conservatoires d’ordre pratique qui peuvent raisonnablement être prises en l’espèce pour prévenir, maîtriser et réduire au minimum tout dommage ou menace de dommage grave au milieu marin. Ces mesures restent en vigueur pendant au maximum 90 jours ou jusqu’à ce que le Conseil décide, à sa prochaine session ordinaire ou à une session extraordinaire, des éventuelles dispositions à prendre en application du paragraphe 6 du présent article.\n\n4. Après avoir reçu le rapport du Secrétaire général, la Commission détermine, sur la base des éléments qui lui sont communiqués et compte tenu des mesures déjà prises par le contractant, les dispositions nécessaires pour faire face efficacement audit incident et prévenir, maîtriser et réduire au minimum tout dommage ou menace de dommage grave au milieu marin, et fait ses recommandations au Conseil.\n\n5. Le Conseil examine les recommandations de la Commission.\n\n6. Le Conseil, compte tenu des recommandations de la Commission, du rapport du Secrétaire général, de toute information fournie par le contractant et de toute autre information pertinente, peut émettre les ordres en cas d’urgence – y compris, le cas échéant, l’ordre de suspendre ou de modifier les opérations – raisonnablement nécessaires pour prévenir, maîtriser et réduire au minimum tout dommage ou menace de dommage grave au milieu marin résultant d’activités menées dans la Zone.\n\n7. Si un contractant ne se conforme pas rapidement à un ordre donné en cas d’urgence pour prévenir, maîtriser et réduire au minimum un dommage ou une menace de dommage grave au milieu marin résultant de ses activités dans la Zone, le Conseil prend, lui-même ou par l’intermédiaire de tiers agissant en son nom, les mesures concrètes nécessaires pour prévenir, maîtriser ou réduire au minimum ce dommage ou cette menace de dommage grave au milieu marin.\n\n8. Afin de permettre au Conseil, si nécessaire, de prendre immédiatement les mesures concrètes visées au paragraphe 7 pour prévenir, maîtriser et réduire au minimum un dommage ou une menace de dommage grave au milieu marin, le contractant, avant de commencer l’expérimentation des procédés de collecte et de traitement, fournit au Conseil une garantie de son aptitude financière et technique à se conformer rapidement aux ordres donnés en cas d’urgence ou à faire en sorte que le Conseil puisse prendre des mesures d’urgence. Si le contractant ne donne pas au Conseil une telle garantie, l’État ou les États qui le patronnent, en réponse à une demande du Secrétaire général et en application des articles 139 et 235 de la Convention, prennent les dispositions requises pour que le contractant fournisse ladite garantie ou pour qu’une aide soit apportée à l’Autorité dans l’exercice des responsabilités qui lui incombent en vertu du paragraphe 7.\n\nArticle 34. Droits des États côtiers\n\n1. Aucune disposition du présent Règlement ne porte atteinte aux droits des États côtiers tels que définis à l’article 142 et dans les autres dispositions pertinentes de la Convention.\n\n2. Tout État côtier qui a des raisons de penser qu’une activité menée dans la Zone par un contractant est susceptible de causer ou de menacer de causer un dommage grave au milieu marin dans des zones maritimes sur lesquelles il exerce sa juridiction ou sa souveraineté peut en aviser par écrit le Secrétaire général pour lui exposer ces raisons. Le Secrétaire général donne au contractant et à l’État ou aux États qui le patronnent la possibilité raisonnable d’examiner les preuves fournies, le cas échéant, par l’État côtier à l’appui de ses dires. Le contractant et l’État ou les États qui le patronnent peuvent présenter leurs observations sur la question au Secrétaire général dans un délai raisonnable.\n\n3. S’il existe des raisons sérieuses de croire que le milieu marin risque de subir un dommage grave, le Secrétaire général prend les dispositions décrites à l’article 33 et, si nécessaire, prend immédiatement des mesures conservatoires comme prévu au paragraphe 3 dudit article.\n\n4. Les contractants prennent toutes les mesures nécessaires pour que leurs activités soient menées de manière à ne pas causer de dommage grave – y compris, mais sans s’y limiter, de pollution – au milieu marin se trouvant sous la juridiction ou la souveraineté d’États côtiers et pour que les dommages graves ou les pollutions résultant d’incidents survenus ou d’activités menées dans leur zone d’exploration ne s’étendent pas au-delà de cette zone.\n\nArticle 35. Restes humains, objets et sites présentant un caractère archéologique ou historique Le contractant notifie immédiatement par écrit au Secrétaire général toute découverte, dans son secteur d’exploration, de tous restes humains, objets ou sites présentant un caractère archéologique ou historique et leur emplacement, ainsi que les mesures de conservation et de protection qu’il a prises. Le Secrétaire général transmet ces informations au Directeur général de l’Organisation des Nations Unies pour l’éducation, la science et la culture et à toute autre organisation internationale compétente. Lorsque de tels restes humains, objets ou sites sont découverts dans un secteur d’exploration, et pour éviter d’en altérer l’état, il ne sera mené aucune nouvelle activité de prospection ou d’exploration dans un rayon de dimension raisonnable tant que le Conseil n’en aura pas décidé autrement en tenant compte des avis du Directeur général de l’Organisation des Nations Unies pour l’éducation, la science et la culture ou de toute autre organisation internationale compétente.\n\nPartie VI. Confidentialité\n\nArticle 36. Confidentialité des données et informations\n\n1. Sont réputées confidentielles les données et informations présentées ou communiquées à l’Autorité, ou à toute personne participant à un programme ou une activité de l’Autorité en application du présent Règlement ou d’un contrat émis en vertu du présent Règlement, que le contractant, en consultation avec le Secrétaire général, a désignées comme telles, à moins qu’il ne s’agisse de données et informations : a) sources; Qui sont de notoriété publique ou facilement accessibles auprès d’autres\n\nb) Que leur propriétaire a antérieurement rendues accessibles sans obligation de confidentialité; ou c) Dont l’Autorité est déjà en possession sans obligation de confidentialité.\n\n2. Les données et informations qui sont nécessaires à l’élaboration par l’Autorité des règles, règlements et procédures relatifs à la protection et à la préservation du milieu marin et à la sécurité, autres que les données relatives à la conception de l’équipement réputées être propriété industrielle, ne sont pas considérées comme confidentielles.\n\n3. Le Secrétaire général, le personnel du Secrétariat, avec l’autorisation du Secrétaire général, et les membres de la Commission juridique et technique peuvent utiliser les données et informations confidentielles uniquement dans la mesure nécessaire à l’exercice effectif de leurs attributions et fonctions. Le Secrétaire général n’en autorise l’accès aux membres du personnel du Secrétariat et de la Commission juridique et technique que dans le cadre de leurs fonctions et attributions et pour un usage précis.\n\n4. Dix ans après la date à laquelle les données et informations confidentielles ont été communiquées à l’Autorité ou la date d’expiration du contrat d’exploration si celle-ci est postérieure, et tous les cinq ans par la suite, le Secrétaire général et le contractant passent en revue ces données et informations pour déterminer si elles doivent demeurer confidentielles. Demeurent confidentielles celles dont le contractant considère que la divulgation serait susceptible de lui causer injustement un grave préjudice économique. Aucune donnée ou information n’est divulguée avant que le contractant n’ait raisonnablement eu la possibilité d’épuiser les recours judiciaires dont il dispose conformément à la section 5 de la partie XI de la Convention.\n\n5. Si, à tout moment après l’expiration du contrat d’exploration, le contractant conclut un contrat d’exploitation relatif à un secteur de la zone d’exploration, les données et informations confidentielles se rapportant à ce secteur restent confidentielles, conformément au contrat d’exploitation.\n\n6. Le contractant peut, à tout moment, lever la confidentialité des données et informations.\n\nArticle 37. Protection de la confidentialité\n\n1. Le Secrétaire général veille au respect du caractère confidentiel de toutes les données et informations et ne les divulgue pas à des personnes extérieures à l’Autorité, sauf autorisation écrite préalable du contractant. Pour garantir la confidentialité des données et informations, il met au point des procédures, conformément aux dispositions de la Convention, qui régissent l’utilisation des informations confidentielles par le Secrétariat, les membres de la Commission juridique et technique et toute autre personne participant à une activité ou un programme de l’Autorité. Ces procédures consistent notamment : a) À conserver en lieu sûr les données et informations confidentielles et à prévoir des mesures de sécurité pour prévenir tout accès non autorisé à ces données et informations ou leur saisie;\n\nb) À mettre au point un système de classement, d’enregistrement et d’inventaire de toutes les données et informations écrites reçues, y compris le type, l’origine et le cheminement de ces données et informations depuis leur réception jusqu’à leur dernière utilisation.\n\n2. Les personnes autorisées à accéder à des données et informations confidentielles en vertu du présent Règlement ne les divulguent pas, sauf dans les cas prévus par la Convention et le présent Règlement. Le Secrétaire général demande à toute personne ayant accès à des données et informations confidentielles de faire une déclaration écrite en sa présence ou en présence de son représentant accrédité, aux termes de laquelle cette personne : a) Reconnaît qu’elle est juridiquement tenue, en vertu de la Convention et du présent Règlement, de ne pas divulguer les données et informations confidentielles;\n\nb) S’engage à respecter les règles et procédures établies pour garantir le caractère confidentiel de ces données et informations.\n\n3. La Commission juridique et technique protège la confidentialité de toutes les données et informations qui lui sont communiquées conformément au présent Règlement ou à un contrat émis en vertu du présent Règlement. En application de l’article 163 8) de la Convention, les membres de la Commission ne doivent divulguer, même après la cessation de leurs fonctions, aucun secret industriel, aucune donnée qui est propriété industrielle et qui a été communiquée à l’Autorité en application de l’article 14 de l’annexe III de la Convention, ni aucun autre renseignement confidentiel dont ils ont connaissance à raison de leurs fonctions au service de l’Autorité.\n\n4. Le Secrétaire général et le personnel de l’Autorité ne doivent divulguer, même après la cessation de leurs fonctions, aucun secret industriel, aucune donnée qui est propriété industrielle et qui a été communiquée à l’Autorité en application de l’article 14 de l’annexe III de la Convention, ni aucun autre renseignement confidentiel dont ils ont connaissance à raison de leurs fonctions au service de l’Autorité.\n\n5. Compte tenu de sa responsabilité visée à l’article 22 de l’annexe III de la Convention, l’Autorité peut prendre des mesures appropriées contre toute personne qui, à raison de fonctions au service de l’Autorité, a accès à des données et informations confidentielles et n’a pas observé les obligations de confidentialité énoncées dans la Convention et dans le présent Règlement.\n\nPartie VII. Procédures de caractère général\n\nArticle 38. Notification et procédures de caractère général\n\n1. Toute demande, requête, notification, approbation, renonciation, directive ou instruction ou tout rapport ou consentement aux fins du présent Règlement sont formulés par écrit par le Secrétaire général ou par le représentant désigné du prospecteur, du demandeur ou du contractant, selon le cas. Les notifications sont faites à personne ou par télex, télécopie, lettre recommandée expédiée par avion ou courrier électronique authentifié par une signature électronique autorisée adressés au Secrétaire général au siège de l’Autorité ou au représentant désigné.\n\n2. La notification à personne prend effet au moment où elle est faite. La notification par télex est réputée effectuée le jour ouvrable suivant le jour où la mention « réponse » apparaît sur l’appareil de télex de l’expéditeur. La notification par télécopie prend effet lorsque l’expéditeur reçoit « l’accusé de réception » confirmant la transmission au numéro de télécopie publié du destinataire. La notification par lettre recommandée expédiée par avion est réputée effectuée 21 jours après que la lettre a été postée. Un courrier électronique est réputé reçu par son destinataire lorsqu’il entre dans un système informatique conçu ou utilisé par le destinataire pour recevoir des documents du type de celui qui lui est adressé et qu’il peut être récupéré et traité par ce destinataire.\n\n3. La notification au représentant désigné du prospecteur, du demandeur ou du contractant vaut notification au prospecteur, demandeur ou contractant aux fins du présent Règlement, et le représentant désigné est le représentant du prospecteur, du demandeur ou du contractant aux fins de signification ou de notification à l’occasion de toute instance devant toute juridiction compétente.\n\n4. La notification au Secrétaire général vaut notification de l’Autorité aux fins du présent Règlement, et le Secrétaire général est le représentant de celle-ci aux fins de signification ou de notification à l’occasion de toute instance devant toute juridiction compétente.\n\nArticle 39. Recommandations à l’intention des contractants\n\n1. La Commission juridique et technique peut formuler de temps à autre des recommandations de caractère technique ou administratif à l’intention des contractants pour aider ceux-ci à appliquer les règles, règlements et procédures de l’Autorité.\n\n2. Le texte intégral de ces recommandations est communiqué au Conseil. S’il estime qu’une recommandation est incompatible avec le but et l’objet du présent Règlement, le Conseil peut en demander la modification ou le retrait.\n\nPartie VIII. Règlement des différends\n\nArticle 40. Différends\n\n1. Tout différend relatif à l’interprétation ou à l’application du présent Règlement est réglé conformément à la section 5 de la partie XI de la Convention.\n\n2. Toute décision définitive rendue par une cour ou un tribunal ayant compétence en vertu de la Convention au sujet des droits et obligations de l’Autorité et du contractant est exécutoire sur le territoire de tout État partie à la Convention.\n\nPartie IX. Ressources autres que les nodules polymétalliques\n\nArticle 41. Ressources autres que les nodules polymétalliques Si un prospecteur ou un contractant trouve dans la Zone des ressources autres que des nodules polymétalliques, la prospection, l’exploration et l’exploitation de ces ressources sont soumises aux règles, règlements et procédures de l’Autorité concernant ces ressources, conformément à la Convention et à l’Accord. Le prospecteur ou le contractant notifie sa découverte à l’Autorité.\n\nPartie X. Révision\n\nArticle 42. Révision\n\n1. Cinq ans après l’approbation par l’Assemblée du présent Règlement révisé ou à tout autre moment par la suite, le Conseil procède à un examen de la manière dont le Règlement a fonctionné dans la pratique.\n\n2. Si le progrès des connaissances ou des techniques fait apparaître que le Règlement n’est pas adéquat, tout État partie ainsi que la Commission juridique et technique et tout contractant agissant sous couvert de l’État qui le patronne ont, à tout moment, la faculté de demander au Conseil d’examiner, à sa prochaine session ordinaire, des projets de révision du Règlement.\n\n3. À la lumière de cet examen, le Conseil peut adopter et appliquer à titre provisoire, en attendant qu’ils soient approuvés par l’Assemblée, des amendements au présent Règlement en tenant compte des recommandations de la Commission juridique et technique ou des autres organes subsidiaires compétents. De tels amendements ne portent pas atteinte aux droits acquis par un contractant de l’Autorité en vertu d’un contrat conclu conformément au Règlement en vigueur à la date où lesdits amendements ont été adoptés.\n\n4. Au cas où l’une quelconque des dispositions du présent Règlement serait modifiée, le contractant et l’Autorité peuvent réviser le contrat conformément à l’article 24 de l’annexe IV.\n\nAnnexe I. Notification d’intention de prospecter\n\n1. Nom ou raison sociale du prospecteur :\n\n2. Domicile :\n\n3. Adresse postale (si elle diffère du domicile) :\n\n4. Numéro de téléphone :\n\n5. Numéro de télécopie :\n\n6. Adresse électronique :\n\n7. Nationalité du prospecteur :\n\n8. Si le prospecteur est une personne morale :\n\n9. a) Indiquer son lieu d’immatriculation; b) Indiquer son établissement principal/domicile; c) Joindre copie de son certificat d’immatriculation. Nom du représentant désigné du prospecteur :\n\n10. Domicile du représentant désigné du prospecteur (s’il diffère du domicile du demandeur) :\n\n11. Adresse postale (si elle diffère du domicile) :\n\n12. Numéro de téléphone :\n\n13. Numéro de télécopie :\n\n14. Adresse électronique :\n\n15. Joindre les coordonnées de la ou des grandes zones devant être prospectées (par référence au Système géodésique mondial WGS 84).\n\n16. Joindre une description générale du programme de prospection, notamment la date à laquelle il doit démarrer et sa durée approximative.\n\n17. Joindre une lettre dans laquelle le prospecteur s’engage à : a) Respecter les dispositions de la Convention et des règles, règlements et procédures de l’Autorité concernant : i) La coopération aux programmes de formation en matière de recherche scientifique marine et les transferts de techniques visés aux articles 143 et 144 de la Convention; et ii) La protection et la préservation du milieu marin; et à\n\nb) Accepter que l’Autorité vérifie qu’il s’acquitte effectivement de ces obligations.\n\n18. Fournir la liste de toutes les pièces jointes et annexes à la présente notification (toutes les données et informations doivent être présentées sur support papier et sous la forme numérique prescrite par l’Autorité). Date : ________________________________ Signature du représentant désigné du prospecteur Attestation : Signature de l’auteur de l’attestation Nom de l’auteur de l’attestation Qualité de l’auteur de l’attestation\n\nAnnexe II. Demande d’approbation d’un plan de travail relatif à l’exploration aux fins de l’obtention d’un contrat\n\nSection I. Renseignements concernant le demandeur\n\n1. Nom ou raison sociale du demandeur :\n\n2. Domicile :\n\n3. Adresse postale (si elle diffère du domicile) :\n\n4. Numéro de téléphone :\n\n5. Numéro de télécopie :\n\n6. Adresse électronique :\n\n7. Nom du représentant désigné du demandeur :\n\n8. Domicile du représentant désigné du demandeur (s’il diffère du domicile du demandeur) :\n\n9. Adresse postale (si elle diffère du domicile) :\n\n10. Numéro de téléphone :\n\n11. Numéro de télécopie :\n\n12. Adresse électronique :\n\n13. Si le demandeur est une personne morale :\n\n14. a) Indiquer son lieu d’immatriculation; b) Indiquer son établissement principal/domicile; c) Joindre copie de son certificat d’immatriculation. Indiquer l’État ou les États patronnant la demande.\n\n15. Pour chaque État patronnant la demande, préciser la date à laquelle il a déposé son instrument de ratification de la Convention des Nations Unies sur le droit de la mer du 10 décembre 1982 ou son instrument d’adhésion ou de succession à cette convention, ainsi que la date à laquelle il a consenti à être lié par l’Accord relatif à l’application de la partie XI de la Convention.\n\n16. Joindre un certificat de patronage délivré par l’État patronnant la demande. Si le demandeur a plus d’une nationalité, comme dans le cas d’une association ou d’un consortium composé d’entités relevant de plus d’un État, joindre les certificats de patronage délivrés par chacun des États concernés.\n\nSection II. Informations relatives à la zone visée par la demande\n\n17. Délimiter la zone visée par la demande en joignant une liste des coordonnées géographiques (par référence au Système géodésique mondial WGS 84).\n\n18. Joindre une carte (à l’échelle et selon la projection prescrites par l’Autorité) et une liste des coordonnées permettant de diviser la zone visée par la demande en deux parties de valeur commerciale estimative égale.\n\n19. Fournir dans une pièce jointe suffisamment d’informations pour permettre au Conseil de désigner un secteur réservé en se fondant sur la valeur estimative commerciale de chaque partie de la zone visée par la demande. Dans cette pièce doivent figurer les données dont dispose le demandeur sur les deux parties de ladite zone, notamment : a) Des données sur l’emplacement, le relevé et l’évaluation des nodules polymétalliques dans les secteurs, y compris : i) La description des techniques de collecte et de traitement des nodules polymétalliques, qui est nécessaire pour désigner un secteur réservé; ii) Une carte indiquant les caractéristiques physiques et géologiques de la zone, telles que la topographie des fonds marins, les données bathymétriques et les courants de fond, ainsi que des informations sur la fiabilité de ces données; iii) Des données indiquant la densité moyenne (abondance) des nodules polymétalliques, exprimée en kilogrammes par mètre carré, ainsi que la carte correspondante indiquant l’emplacement des endroits où ont été prélevés les échantillons; iv) Des données montrant la composition élémentaire des métaux présentant un intérêt économique (teneur) obtenues à partir d’analyses chimiques en poids (sec), auxquelles sera jointe une carte des teneurs;\n\nv) Des cartes polymétalliques; combinant l’abondance et la teneur des nodules vi) Les calculs effectués par des méthodes généralement acceptées, notamment l’analyse statistique, sur la base des données présentées et des hypothèses de calcul, qui autorisent à penser que les deux secteurs contiennent des nodules polymétalliques d’une valeur commerciale estimative égale, exprimée en fonction des métaux qu’il est possible d’extraire de ces secteurs; vii) Une description des techniques utilisées par le demandeur;\n\nb) Des données sur l’environnement (tant saisonnières que relevées au cours de la période d’expérimentation), notamment la vitesse et la direction des vents, la salinité et la température de l’eau et la biocénose.\n\n20. Si la zone visée par la demande comprend une partie quelconque d’un secteur réservé, joindre la liste des coordonnées de la zone comprise dans le secteur réservé et indiquer les qualifications du demandeur conformément à l’article 17 du Règlement.\n\nSection III. Informations financières et techniquesa\n\n21. Fournir suffisamment d’informations pour permettre au Conseil de déterminer si le demandeur est financièrement capable d’exécuter le plan de travail relatif à l’exploration proposé et de s’acquitter de ses obligations financières vis-à-vis de l’Autorité : a) Si la demande émane de l’Entreprise, joindre une attestation de l’autorité compétente certifiant que l’Entreprise dispose des ressources financières nécessaires pour couvrir le coût estimatif du plan de travail relatif à l’exploration proposé;\n\nb) Si la demande émane d’un État ou d’une entreprise d’État, joindre une attestation de l’État demandeur ou de l’État qui patronne la demande certifiant que le demandeur dispose des ressources financières nécessaires pour couvrir le coût estimatif du plan de travail relatif à l’exploration proposé; c) Si la demande émane d’une entité, joindre une copie des états financiers vérifiés du demandeur, y compris les bilans et les comptes de profits et pertes correspondant aux trois années précédentes, établis conformément aux principes comptables internationalement reconnus et certifiés par un cabinet d’expertscomptables dûment agréé; et i) Si le demandeur est une entité nouvellement créée et si l’on ne dispose pas d’un bilan vérifié, un bilan pro forma certifié par un représentant autorisé du demandeur; ii) Si le demandeur est une filiale d’une autre entité, copie des mêmes états financiers concernant cette entité et une déclaration de la part de celle-ci, établie conformément aux principes comptables internationalement acceptés et certifiée par un cabinet d’experts-comptables dûment agréé, attestant que le demandeur disposera des ressources financières nécessaires pour exécuter le plan de travail relatif à l’exploration; iii) Si le demandeur est sous le contrôle d’un État ou d’une entreprise d’État, une déclaration de l’État ou de l’entreprise d’État attestant que le demandeur disposera des ressources financières nécessaires pour exécuter le plan de travail relatif à l’exploration.\n\n22. Si le demandeur a l’intention de financer le plan de travail relatif à l’exploration proposé au moyen d’emprunts, joindre une déclaration indiquant le montant, l’échéancier et le taux d’intérêt de ces emprunts.\n\n23. Fournir suffisamment d’informations pour permettre au Conseil de déterminer si le demandeur possède la capacité technique nécessaire pour exécuter le plan de travail relatif à l’exploration proposé, notamment : a Toute demande d’approbation d’un plan de travail relatif à l’exploration soumise au nom d’un État ou d’une entité, ou d’une composante d’une entité, visés au paragraphe 1 a) ii) ou iii) de la résolution II, autre qu’un investisseur pionnier enregistré, ayant déjà entrepris des activités substantielles dans la Zone avant l’entrée en vigueur de la Convention, ou ses ayants cause, est réputée répondre aux conditions financières et techniques auxquelles est subordonnée l’approbation du plan de travail proposé, si l’État ou les États qui patronnent la demande certifient que le demandeur a investi l’équivalent d’au moins 30 millions de dollars des ÉtatsUnis dans des activités de recherche et d’exploration et a consacré 10 % au moins de ce montant à la localisation, à l’étude topographique et à l’évaluation du secteur visé dans le plan de travail. a) Une description générale de l’expérience, des connaissances, des compétences, du savoir-faire et des qualifications techniques du demandeur intéressant l’exécution du plan de travail relatif à l’exploration proposé;\n\nb) Une description générale du matériel et des méthodes qu’il est prévu d’utiliser pour exécuter le plan de travail relatif à l’exploration proposé et d’autres informations utiles, qui ne sont pas propriété industrielle, sur les caractéristiques des techniques envisagées; et c) Une description générale de la capacité de réaction financière et technique du demandeur au cas où un incident ou une activité causerait un dommage grave au milieu marin.\n\nSection IV. Plan de travail relatif à l’exploration\n\n24. Fournir les informations ci-après concernant le plan de travail relatif à l’exploration : a) La description générale et le calendrier du programme d’exploration proposé, y compris le programme d’activités des cinq prochaines années, notamment les études à mener sur les facteurs écologiques, techniques et économiques et les autres facteurs à prendre en considération pour l’exploration;\n\nb) La description d’un programme d’études océanographiques et environnementales visant à établir des profils océanographiques et écologiques témoins, conformément au Règlement et aux règles, règlements et procédures de l’Autorité concernant l’environnement, qui permette d’évaluer l’impact potentiel sur l’environnement – y compris, mais sans s’y limiter, l’impact sur la diversité biologique – des activités d’exploration proposée, compte tenu de toutes recommandations de la Commission juridique et technique; c) Une évaluation préliminaire de d’exploration proposées sur le milieu marin; l’impact possible des activités\n\nd) La description des mesures proposées pour prévenir, réduire et maîtriser la pollution et autres risques, ainsi que leur impact possible sur le milieu marin; e) Le calendrier des dépenses annuelles prévues au titre du programme d’activités des cinq prochaines années.\n\nSection V. Engagements\n\n25. Joindre une déclaration par laquelle le demandeur s’engage par écrit à : a) Accepter comme exécutoires et respecter les obligations qui lui incombent en vertu de la Convention, des règles, règlements et procédures de l’Autorité, des décisions des organes compétents de celle-ci et des clauses des contrats qu’il a conclus avec l’Autorité;\n\nb) Accepter que l’Autorité exerce sur les activités menées dans la Zone le contrôle autorisé par la Convention; c) Fournir à l’Autorité l’assurance écrite qu’il s’acquittera de bonne foi de ses obligations contractuelles.\n\nSection VI. Contrats antérieurs\n\n26. Si le demandeur ou, si la demande émane d’une association ou d’un consortium d’entités liées entre elles par un accord de coentreprise, un membre de l’association ou du consortium ou une entité apparentée a précédemment conclu un contrat avec l’Autorité, la demande doit indiquer : a) La date du contrat ou des contrats antérieurs;\n\nb) La date, la cote et l’intitulé de chacun des rapports relatifs à ce(s) contrat(s) présentés à l’Autorité; et c) La date de résiliation de ce(s) contrat(s), le cas échéant.\n\nSection VII. Pièces jointes\n\n27. Fournir la liste de toutes les pièces et annexes jointes à la présente demande (toutes les données et informations doivent être présentées sur support papier et sous la forme numérique spécifiée par l’Autorité.) Date : ________________________________ Signature du représentant désigné du demandeur Attestation : Signature de l’auteur de l’attestation Nom de l’auteur de l’attestation Qualité de l’auteur de l’attestation\n\nAnnexe III. Contrat d’exploration LE PRÉSENT CONTRAT conclu le ________________ entre l’AUTORITÉ INTERNATIONALE DES FONDS MARINS (ci-après dénommée « l’Autorité »), représentée par son SECRÉTAIRE GÉNÉRAL, _________________________ et _____________________ (ci-après dénommé(e) « le contractant »), représenté(e) par ________________________, STIPULE ce qui suit : Incorporation des clauses types\n\n1. Les clauses types énoncées à l’annexe IV du Règlement relatif à la prospection et à l’exploration des nodules polymétalliques dans la Zone (ci-après dénommé le « Règlement ») font partie du présent contrat et produisent le même effet que si elles y étaient intégralement reproduites. Zone d’exploration\n\n2. Aux fins du présent contrat, on entend par « zone d’exploration » la partie de la Zone attribuée au contractant aux fins d’exploration, qui est délimitée par les coordonnées indiquées à l’annexe I du présent contrat, telle qu’elle peut être réduite de temps à autre en application des clauses types et du Règlement. Cession de droits\n\n3. Eu égard à a) leur intérêt mutuel dans la conduite d’activités d’exploration dans la zone d’exploration conformément à la Convention des Nations Unies sur le droit de la mer du 10 décembre 1982 et à l’Accord relatif à l’application de la partie XI de la Convention, b) la responsabilité qui incombe à l’Autorité d’organiser et de contrôler les activités menées dans la Zone, en particulier en vue d’en administrer les ressources, conformément au régime juridique institué dans la partie XI de la Convention et dans l’Accord et dans la partie XII de la Convention, et c) l’intérêt que présente pour le contractant la conduite d’activités dans la zone d’exploration et son engagement financier à cette fin, et les conventions réciproques souscrites dans le présent contrat, l’Autorité accorde au contractant le droit exclusif d’explorer les nodules polymétalliques dans la zone d’exploration conformément aux clauses du présent contrat. Entrée en vigueur et durée du contrat\n\n4. Le présent contrat prendra effet dès qu’il aura été signé par les deux parties et, sous réserve des clauses types, restera en vigueur pendant une période de 15 ans à compter de cette date à moins que : a) Le contractant n’obtienne un contrat d’exploitation dans la zone d’exploration prenant effet avant l’expiration de ladite période de 15 ans; ou que\n\nb) Le contrat ne soit résilié plus tôt, étant entendu que sa durée pourra être prolongée conformément aux articles 3.2 et 17.2 des clauses types. Annexes\n\n5. Aux fins du présent contrat, les annexes visées dans les clauses types, à savoir les articles 4 et 8, sont les annexes 2 et 3, respectivement. Intégralité de l’accord\n\n6. Le présent contrat exprime l’intégralité de l’accord entre les parties et aucune convention orale ni aucun écrit antérieur n’en modifient les termes. EN FOI DE QUOI les soussignés, à ce dûment autorisés par les parties respectives, ont signé le présent contrat à _________________________________, le ______________________.\n\nAnnexe 1. [Coordonnées et carte du secteur d’exploration]\n\nAnnexe 2. [Programme d’activité quinquennal en cours, tel que révisé périodiquement]\n\nAnnexe 3. [Le programme de formation deviendra une annexe au contrat lorsqu’il aura été approuvé par l’Autorité conformément à l’article 8 des clauses types.]\n\nAnnexe IV\n\nClauses types de contrat d’exploration\n\nArticle 1. Définitions 1.1 Dans les clauses ci-après : a) On entend par « zone d’exploration » la partie de la Zone attribuée au contractant pour exploration, décrite à l’annexe 1 du présent contrat, telle qu’elle peut être réduite de temps à autre en application du présent contrat et du Règlement;\n\nb) On entend par « programme d’activités » le programme défini à l’annexe 2 du présent contrat; il peut être modifié de temps à autre conformément aux articles 4.3 et 4.4 ci-après; c) On entend par « Règlement » le Règlement relatif à la prospection et à l’exploration des nodules polymétalliques dans la Zone adopté par l’Autorité. 1.2 Les termes et expressions définis dans le Règlement sont utilisés dans le même sens dans les présentes clauses types. 1.3 L’Accord relatif à l’application de la partie XI de la Convention des Nations Unies sur le droit de la mer du 10 décembre 1982 stipule que ses dispositions et la partie XI de la Convention doivent être interprétées et appliquées ensemble comme un seul et même instrument; le présent contrat et les références à la Convention qui y sont faites doivent être interprétés et appliqués en conséquence. 1.4 Le présent contrat inclut ses annexes, qui en font partie intégrante.\n\nArticle 2. Garantie du titre 2.1 Le contractant a la garantie du titre et le présent contrat ne peut être suspendu, résilié ou révisé que conformément à ses articles 20, 21 et 24. 2.2 Le contractant a le droit exclusif d’explorer les nodules polymétalliques dans la zone d’exploration conformément aux clauses du présent contrat. L’Autorité veille à ce qu’aucune autre entité n’exerce dans la même zone des activités portant sur une catégorie différente de ressources d’une façon qui puisse gêner outre mesure celles que mène le contractant. 2.3 Le contractant a le droit, moyennant notification à l’Autorité, de renoncer à tout moment à tout ou partie de ses droits sur la zone d’exploration sans encourir de pénalité étant entendu qu’il demeure tenu de toutes les obligations qu’il a contractées avant la date de cette renonciation en ce qui concerne la zone à laquelle il renonce. 2.4 Aucune disposition du présent contrat ne peut être considérée comme conférant au contractant d’autres droits que ceux qui y sont expressément prévus. L’Autorité se réserve le droit de conclure avec des tiers des contrats concernant les ressources autres que les nodules polymétalliques de la zone visée par le présent contrat.\n\nArticle 3. Durée du contrat 3.1 Le présent contrat prendra effet à la date de sa signature par les deux parties et restera en vigueur pendant une période de 15 ans à compter de cette date à moins : a) Que le contractant n’obtienne un contrat d’exploitation dans la zone d’exploration entrant en vigueur avant l’expiration de la période de 15 ans; ou\n\nb) Qu’il ne soit résilié plus tôt, étant entendu que sa durée pourra être prolongée conformément aux articles 3.2 et 17.2 ci-après. 3.2 Si le contractant en fait la demande au plus tard six mois avant qu’il vienne à expiration, le présent contrat pourra être prorogé pour des périodes ne dépassant pas cinq ans chacune, aux clauses et conditions dont l’Autorité et le contractant pourront convenir alors conformément au Règlement. Ces prorogations sont accordées si le contractant s’est efforcé de bonne foi de se conformer aux stipulations du présent contrat mais n’a pas pu, pour des raisons indépendantes de sa volonté, mener à bien les travaux préparatoires nécessaires pour passer à la phase d’exploitation ou si les circonstances économiques du moment ne justifient pas le passage à la phase d’exploitation. 3.3 Nonobstant l’expiration du présent contrat conformément à son article 3.1, si le contractant a, 90 jours au moins avant la date d’expiration, sollicité un contrat d’exploitation, ses droits et obligations seront maintenus jusqu’à ce que sa demande ait été examinée et qu’un contrat d’exploitation ait été émis ou refusé.\n\nArticle 4. Exploration 4.1 Le contractant entreprend l’exploration conformément au calendrier arrêté dans le programme d’activités figurant à l’annexe 2 du présent contrat et respecte ce calendrier ou toute modification y afférente comme il est prévu par le présent contrat. 4.2 Le contractant exécute le programme d’activités figurant à l’annexe 2 du présent contrat. Ce faisant, pour chaque année du contrat, il consacre aux dépenses effectives et directes d’exploration un montant au moins équivalent à celui qui est prévu dans le programme considéré ou dans toute modification y afférente. 4.3 Le contractant peut, avec le consentement de l’Autorité, que celle-ci ne peut refuser sans motif raisonnable, apporter de temps à autre au programme d’activités et aux dépenses qui y sont prévues les modifications pouvant être nécessaires et prudentes selon la bonne pratique de l’industrie minière et compte tenu de la situation sur le marché des métaux que renferment les nodules polymétalliques et de la situation économique générale. 4.4 Le contractant et le Secrétaire général procèdent conjointement à l’examen des résultats des activités d’exploration menées en vertu du présent contrat, au plus tard 90 jours avant l’expiration de chaque période de cinq ans à compter de la date d’entrée en vigueur prévue à l’article 3. Le Secrétaire général peut exiger du contractant qu’il lui communique les données et informations supplémentaires pouvant être nécessaires pour cet examen. À l’issue de cet examen, le contractant apporte à son plan de travail les ajustements nécessaires, indique son programme d’activités pour la période de cinq ans suivante, y compris un calendrier révisé des dépenses annuelles qu’il prévoit. L’annexe 2 est modifiée en conséquence.\n\nArticle 5. Surveillance de l’environnement 5.1 Le contractant prend les mesures nécessaires pour prévenir, réduire et maîtriser la pollution du milieu marin et les autres dangers découlant pour ce milieu de ses activités dans la Zone en appliquant le principe de précaution ainsi que les meilleures pratiques écologiques. 5.2 Avant de commencer les activités d’exploration, le contractant soumet à l’Autorité : a) Une étude d’impact indiquant les effets potentiels des activités proposées sur le milieu marin;\n\nb) Une proposition pour un programme de surveillance en vue de déterminer l’effet potentiel des activités proposées sur le milieu marin; et c) Des données pouvant être utilisées pour établir un profil écologique témoin par rapport auquel l’effet des activités proposées pourra être évalué. 5.3 Le contractant réunit, conformément au Règlement, des données environnementales au fur et à mesure des activités d’exploration et établit des profils écologiques témoins par rapport auxquels seront évalués les effets probables de ses activités sur le milieu marin. 5.4 Le contractant, conformément au Règlement, conçoit et exécute un programme de surveillance des effets de ses activités sur le milieu marin. Il coopère avec l’Autorité pour assurer cette surveillance. 5.5 Le contractant rend compte au Secrétaire général, au plus tard 90 jours après la fin de chaque année civile, de l’exécution et des résultats du programme de surveillance visé à l’article 5.4 du présent contrat et communique les données et informations prescrites par le Règlement.\n\nArticle 6. Plans et interventions d’urgence 6.1 Avant d’entamer son programme d’activités en vertu du présent contrat, le contractant soumet au Secrétaire général un plan d’urgence, qui permet de faire face efficacement aux incidents pouvant résulter des activités qu’il entend mener dans la zone d’exploration et qui sont susceptibles de causer ou de menacer de causer un dommage grave au milieu marin. Ledit plan d’urgence établit des procédures spéciales et prévoit les équipements appropriés pour faire face à de tels incidents, et comprend en particulier des dispositions assurant que : a) L’alerte générale soit immédiatement donnée dans le secteur d’activités; b) Le Secrétaire général soit immédiatement avisé; c) Les navires qui seraient sur le point d’entrer dans le voisinage immédiat soient avertis;\n\nd) Le Secrétaire général soit en permanence tenu informé de toutes les circonstances de l’incident, des mesures déjà prises et des nouvelles mesures nécessaires; e) Les substances polluantes soient enlevées, s’il y a lieu; f) Tout dommage grave au milieu marin soit réduit au minimum et, dans la mesure du possible, prévenu, et que ses effets soient atténués;\n\ng) S’il y a lieu, le contractant coopère avec d’autres contractants et avec l’Autorité pour faire face à la situation d’urgence; et que h) Des exercices d’intervention d’urgence soient organisés périodiquement. 6.2 Le contractant signale sans délai au Secrétaire général tout incident résultant de ses activités qui a causé, qui cause ou qui menace de causer un dommage grave au milieu marin. Il donne dans son rapport des renseignements détaillés sur cet incident, notamment : a) Les coordonnées de la zone affectée ou dont on peut raisonnablement craindre qu’elle sera affectée;\n\nb) Une description des mesures qu’il a prises pour prévenir, maîtriser, réduire au minimum ou réparer le dommage ou la menace de dommage grave au milieu marin; c) Une description des mesures qu’il a prises pour surveiller les effets de l’incident sur le milieu marin; et\n\nd) Toute autre information que le Secrétaire général peut raisonnablement lui demander. 6.3 Le contractant exécute les ordres émis en cas d’urgence par le Conseil et les mesures temporaires d’exécution immédiate arrêtées par le Secrétaire général conformément au Règlement, qui peuvent comprendre l’ordre de suspendre ou de modifier immédiatement toutes activités dans la zone d’exploration, afin de prévenir, maîtriser, réduire au minimum ou réparer un dommage ou une menace de dommage grave au milieu marin. 6.4 Si le contractant n’exécute pas rapidement ces ordres ou ces mesures temporaires d’exécution immédiate, le Conseil peut prendre les mesures raisonnables pouvant être nécessaires pour prévenir, maîtriser, réduire au minimum ou réparer, aux frais du contractant, un dommage ou une menace de dommage grave au milieu marin. Le contractant rembourse sans délai à l’Autorité le montant des dépenses ainsi encourues, qui vient en sus de toutes pénalités pécuniaires qui pourraient lui être imposées en vertu des clauses du présent contrat ou du Règlement.\n\nArticle 7. Restes humains, objets et sites présentant un caractère archéologique ou historique Le contractant notifie immédiatement par écrit au Secrétaire général toute découverte, dans son secteur d’exploration, de tous restes humains, objets ou sites présentant un caractère archéologique ou historique, et leur emplacement, ainsi que les mesures de conservation et de protection qu’il a prises. Le Secrétaire général transmet ces informations au Directeur général de l’Organisation des Nations Unies pour l’éducation, la science et la culture et à toute autre organisation internationale compétente. Lorsque de tels restes humains, objets ou sites sont découverts dans un secteur d’exploration, et pour éviter d’en altérer l’état, il ne sera mené aucune nouvelle activité de prospection ou d’exploration dans un rayon de dimension raisonnable tant que le Conseil n’en aura pas décidé autrement en tenant compte des avis du Directeur général de l’Organisation des Nations Unies pour l’éducation, la science et la culture ou de toute autre organisation internationale compétente.\n\nArticle 8. Formation 8.1 Conformément au Règlement, avant de commencer l’exploration en vertu du présent contrat, le contractant soumet pour approbation à l’Autorité des projets de programme de formation du personnel de l’Autorité et d’États en développement, prévoyant notamment la participation dudit personnel à toutes les activités qu’il mène en vertu du présent contrat. 8.2 La portée et le financement du programme de formation sont sujets à négociation entre le contractant, l’Autorité et l’État ou les États patronnant le contractant. 8.3 Le contractant assure la formation conformément au programme de formation du personnel visé expressément à l’article 8.1 du présent contrat approuvé par l’Autorité en application du Règlement; ce programme, qui est révisé et étoffé de temps à autre, devient partie intégrante du présent contrat en tant qu’annexe 3.\n\nArticle 9. Livres et pièces comptables Le contractant tient une série complète et appropriée de livres, comptes et états financiers conformes aux principes comptables internationalement reconnus. Ces livres, comptes et états financiers doivent contenir des informations renseignant pleinement sur les dépenses engagées effectivement et directement pour l’exploration et tous autres renseignements susceptibles de faciliter un audit effectif de ces dépenses.\n\nArticle 10. Rapports annuels 10.1 Le contractant soumet au Secrétaire général, au plus tard 90 jours après la fin de chaque année civile, un rapport, sous la forme recommandée de temps à autre par la Commission juridique et technique, sur les activités qu’il a menées dans la zone d’exploration comportant, le cas échéant, des renseignements suffisamment détaillés sur : a) Les activités d’exploration menées au cours de l’année civile, y compris les cartes, diagrammes et graphiques illustrant les travaux effectués et les résultats obtenus;\n\nb) Le matériel utilisé pour les activités d’exploration, y compris les résultats de l’expérimentation des techniques d’extraction proposées, mais à l’exclusion des spécifications techniques relatives aux équipements; et c) L’exécution des programmes de formation, y compris les révisions et extensions proposées. 10.2 Ce rapport comprend également : a) Les résultats des programmes de surveillance de l’environnement, y compris les observations, mesures, évaluations et analyses des paramètres environnementaux;\n\nb) Un état de la quantité de nodules polymétalliques prélevés à titre d’échantillons ou à des fins d’expérimentation; c) Un état, établi conformément aux principes comptables internationalement reconnus et certifié par un cabinet d’experts comptables dûment agréé ou, lorsque le contractant est un État ou une entreprise d’État, par l’État qui le patronne, des dépenses directes et effectives d’exploration encourues par le contractant dans l’exécution du programme d’activités au cours de son année comptable – dépenses que le contractant peut présenter comme faisant partie des dépenses de mise en valeur encourues avant le démarrage de la production commerciale; et\n\nd) Des renseignements détaillés sur les aménagements qu’il est envisagé d’apporter au programme d’activités et les motifs de ces aménagements. 10.3 Le contractant soumet également, en complément des rapports mentionnés aux paragraphes 10.1 et 10.2 du présent article, tous renseignements complémentaires que le Secrétaire général peut, de temps à autre, raisonnablement demander pour permettre à l’Autorité de s’acquitter de ses fonctions en vertu de la Convention, du Règlement et du présent contrat. 10.4 Le contractant conserve en bon état une fraction représentative des échantillons de nodules polymétalliques prélevés au cours de l’exploration jusqu’à l’expiration du présent contrat. L’Autorité peut demander par écrit au contractant de lui remettre, aux fins d’analyse, une fraction de ces échantillons prélevés au cours de l’exploration.\n\nArticle 11. Données et informations à présenter à l’expiration du contrat 11.1 Le contractant communique à l’Autorité toutes données et informations pertinentes qui lui sont nécessaires pour exercer efficacement ses pouvoirs et fonctions en ce qui concerne la zone d’exploration, conformément aux dispositions du présent article. 11.2 À l’expiration ou à la résiliation du présent contrat, le contractant, s’il ne l’a pas encore fait, présente au Secrétaire général les données et informations ci-après : a) Copie de toutes les données géologiques, environnementales, géochimiques et géophysiques pertinentes qu’il a acquises au cours de l’exécution du programme d’activités et qui sont nécessaires à l’Autorité pour exercer efficacement ses pouvoirs et fonctions en ce qui concerne la zone d’exploration;\n\nb) Une estimation des secteurs exploitables, quand ces secteurs ont été identifiés, comprenant des renseignements détaillés sur la teneur et la quantité des réserves de nodules polymétalliques avérées, probables et possibles, et des prévisions concernant les conditions d’extraction; c) Copie de tous les rapports géologiques, techniques, financiers et économiques pertinents qu’il a établis ou fait établir et qui sont nécessaires à l’Autorité pour exercer efficacement ses pouvoirs et fonctions en ce qui concerne la zone d’exploration;\n\nd) Des renseignements suffisamment détaillés sur le matériel utilisé lors des activités d’exploration, y compris les résultats de l’expérimentation des techniques extractives proposées, mais à l’exclusion des spécifications techniques de ce matériel; e) Un état de la quantité de nodules polymétalliques prélevés à titre d’échantillons ou aux fins d’expérimentation; et f) Une déclaration indiquant comment et où les échantillons sont conservés et comment l’Autorité peut y avoir accès. 11.3 Les données et informations visées à l’article 11.2 ci-dessus sont également communiquées au Secrétaire général si, avant l’expiration du présent contrat, le contractant demande l’approbation d’un plan de travail relatif à l’exploitation ou renonce à ses droits dans la zone d’exploration, dans la mesure où ces données et informations ont trait au secteur auquel il a renoncé.\n\nArticle 12. Confidentialité Les données et informations qui sont communiquées à l’Autorité en vertu du présent contrat sont considérées comme confidentielles conformément aux dispositions du Règlement.\n\nArticle 13. Engagements 13.1 Le contractant procède à l’exploration conformément aux termes du présent contrat, au Règlement, à la partie XI de la Convention, à l’Accord et aux autres règles de droit international qui ne sont pas incompatibles avec la Convention. 13.2 Le contractant s’engage à : a) Accepter les clauses du présent contrat comme exécutoires et à les respecter;\n\nb) Exécuter les obligations qui lui incombent en vertu des dispositions de la Convention, des règles, règlements et procédures de l’Autorité et des décisions des organes compétents de l’Autorité; c) Accepter que l’Autorité exerce sur les activités menées dans la Zone le contrôle autorisé par la Convention;\n\nd) Exécuter de bonne foi les obligations qui lui incombent en vertu du présent contrat; et e) Respecter, dans toute la mesure où cela lui est raisonnablement possible, toutes recommandations que la Commission juridique et technique peut formuler de temps à autre. 13.3 Le contractant s’efforce d’exécuter le programme d’activités : a) Avec la diligence, l’efficacité et l’économie voulues; b) En tenant dûment compte des effets de ses activités sur le milieu marin; et c) En tenant raisonnablement compte des autres activités menées dans le milieu marin. 13.4 L’Autorité s’engage à exercer de bonne foi les pouvoirs et les fonctions que lui confèrent la Convention et l’Accord, conformément à l’article 157 de la Convention.\n\nArticle 14. Inspection 14.1 Le contractant autorise l’Autorité à envoyer ses inspecteurs à bord des navires et installations qu’il utilise pour ses activités dans la zone d’exploration pour : a) S’assurer qu’il respecte les termes du présent contrat et les dispositions du Règlement; et b) Surveiller les effets desdites activités sur le milieu marin. 14.2 Le Secrétaire général notifie au contractant, suffisamment à l’avance, la date et la durée probables des inspections, le nom des inspecteurs et toutes activités pour lesquelles ceux-ci auront probablement besoin de matériel spécialisé ou d’une assistance spéciale du personnel du contractant. 14.3 Les inspecteurs sont habilités à inspecter tout navire ou toute installation, y compris le journal de bord, les équipements, les registres, les installations, toutes les autres données enregistrées et tous documents nécessaires pour déterminer si le contractant exécute ses obligations. 14.4 Le contractant, ses agents et ses employés aident les inspecteurs à s’acquitter de leurs fonctions et : a) Acceptent que ceux-ci embarquent sans délai et en toute sécurité à bord des navires et installations et leur en facilitent l’accès;\n\nb) Coopèrent et concourent à l’inspection de tout navire et de toute installation effectuée conformément aux présentes procédures; c) Donnent aux inspecteurs accès, à toute heure raisonnable, à tous les matériels, équipements et personnels se trouvant à bord des navires et installations;\n\nd) S’abstiennent de gêner les inspecteurs dans l’exercice de leurs fonctions, d’y faire obstacle ou de les intimider; e) Fournissent aux inspecteurs des services convenables, et notamment pourvoient, le cas échéant, à leur restauration et à leur hébergement; et f) Facilitent le débarquement des inspecteurs en toute sécurité. 14.5 Les inspecteurs évitent d’entraver le déroulement normal, dans des conditions de sécurité, des opérations à bord des navires et installations utilisées par le contractant pour mener ses activités dans la zone inspectée et agissent conformément au Règlement et aux dispositions adoptées pour protéger la confidentialité des données et informations. 14.6 Le Secrétaire général et tout représentant dûment autorisé de celui-ci ont accès, aux fins d’audit et d’examen, à tous les livres, documents, pièces et écritures du contractant, nécessaires pour vérifier les dépenses visées à l’article 10.2 c) et concernant directement ces dépenses. 14.7 Le Secrétaire général communique au contractant et à l’État ou aux États qui le patronnent toute information pertinente provenant des rapports des inspecteurs au cas où des mesures s’imposent. 14.8 Si pour une raison ou une autre, le contractant ne poursuit pas l’exploration et ne présente pas une demande de contrat d’exploitation, il doit, avant de se retirer de la zone d’exploration, en informer par écrit le Secrétaire général afin que l’Autorité puisse, si elle le décide, procéder à une inspection conformément aux dispositions du présent article.\n\nArticle 15. Normes de sécurité, d’emploi et de santé 15.1 Le contractant agit conformément aux règles et normes internationales généralement acceptées qui ont été établies par les organisations internationales compétentes ou par des conférences diplomatiques générales, concernant la protection de la vie humaine en mer et la prévention des abordages, ainsi qu’aux règles, règlements, procédures et directives que l’Autorité pourrait adopter touchant la sécurité en mer. Tout navire utilisé pour mener des activités dans la Zone doit être en possession des certificats valides requis par lesdites règles et normes internationales et délivrés en application de celles-ci. 15.2 Tout contractant qui se livre à des activités d’exploration en vertu du présent contrat doit observer et respecter les règles, règlements, procédures et directives que l’Autorité pourrait adopter en matière de protection contre la discrimination dans l’emploi, de prévention des accidents du travail et des maladies professionnelles, de relations professionnelles, de sécurité sociale, de sécurité de l’emploi et en ce qui concerne les conditions de vie sur le lieu de travail. Ces règles, règlements et procédures doivent tenir compte des conventions et recommandations de l’Organisation internationale du Travail et des autres organisations internationales compétentes.\n\nArticle 16. Responsabilité 16.1 Le contractant est responsable du dommage effectif, y compris les dommages causés au milieu marin, imputable à ses actes ou omissions illicites et à ceux de ses employés, sous-traitants et agents et de toutes autres personnes travaillant ou agissant pour le compte de ceux-ci dans la conduite des opérations effectuées en vertu du présent contrat, y compris le coût des mesures raisonnables prises pour prévenir ou limiter les dommages au milieu marin, compte tenu le cas échéant des actes ou omissions de l’Autorité ayant contribué au dommage. 16.2 Le contractant met l’Autorité, ses employés, sous-traitants et agents hors de cause en cas de réclamations ou actions en responsabilité de tiers fondées sur un acte ou une omission illicite du contractant ou de ses employés, agents et soustraitants et de toutes autres personnes travaillant ou agissant pour le compte de ceux-ci dans la conduite des opérations effectuées en vertu du présent contrat. 16.3 L’Autorité est responsable du dommage effectif causé au contractant par les actes illicites qu’elle commet dans l’exercice de ses pouvoirs et fonctions, y compris les violations de l’article 168 2) de la Convention, compte tenu de la part de responsabilité imputable au contractant, à ses employés, agents et sous-traitants et toutes personnes travaillant ou agissant pour le compte de ceux-ci, dans la conduite des opérations effectuées en vertu du présent contrat, à raison de leurs actes ou omissions. 16.4 L’Autorité met le contractant, ses employés, sous-traitants et agents et toutes autres personnes travaillant ou agissant pour le compte de ceux-ci dans la conduite des opérations effectuées en vertu du présent contrat hors de cause en cas de réclamations ou actions en responsabilité de tiers fondées sur un acte ou une omission illicite commis par l’Autorité dans l’exercice de ses pouvoirs et fonctions dans le cadre du présent contrat, y compris les violations de l’article 168 2) de la Convention. 16.5 Le contractant souscrit auprès de compagnies d’assurance de renommée internationale les polices d’assurance appropriées, conformément à la pratique internationale généralement acceptée en matières maritimes.\n\nArticle 17. Force majeure 17.1 Le contractant n’est responsable d’aucun retard inévitable dans l’exécution ni de l’inexécution de l’une quelconque des obligations qui lui incombent en vertu du présent contrat imputables à la force majeure. Aux fins du présent contrat, on entend par « force majeure » un événement ou une situation que le contractant ne saurait raisonnablement pas être censé prévenir ou maîtriser, à condition que l’événement ou la situation en question ne résulte pas d’une négligence ou de l’inobservation des bonnes pratiques en matière d’extraction minière. 17.2 S’il le demande, le contractant se verra accorder un délai supplémentaire égal à la durée du retard dans l’exécution imputable à la force majeure, la durée du présent contrat étant prolongée en conséquence. 17.3 En cas de force majeure, le contractant prend toutes les mesures pouvant raisonnablement être prises pour rétablir sa capacité d’exécution et se conformer aux clauses du présent contrat avec le minimum de retard. 17.4 Le contractant notifie, aussitôt qu’il peut raisonnablement le faire, à l’Autorité la survenue d’un cas de force majeure et lui notifie pareillement le retour à la normale.\n\nArticle 18. Démenti Ni le contractant, ni une entreprise apparentée, ni un sous-traitant ne peuvent faire valoir ou déclarer expressément ou indirectement que l’Autorité ou l’un de ses fonctionnaires a, ou a exprimé, telle ou telle opinion concernant les nodules polymétalliques se trouvant dans la zone d’exploration, et aucune déclaration en ce sens se référant directement ou indirectement au présent contrat ne pourra figurer dans un prospectus, un avis, une circulaire, une annonce publicitaire, un communiqué de presse ou un document similaire émanant du contractant, d’une entreprise apparentée ou d’un sous-traitant. Aux fins du présent article, on entend par « entreprise apparentée » toute personne, firme, société ou entreprise publique qui contrôle le contractant, est contrôlée par lui ou est assujettie au même contrôle que lui.\n\nArticle 19. Renonciation Le contractant peut, moyennant notification à l’Autorité, renoncer à ses droits et résilier le présent contrat sans encourir de pénalité, étant toutefois entendu qu’il reste en ce cas tenu par toutes les obligations qu’il aura pu contracter avant la date de cette renonciation et par celles qui lui incombent après la résiliation en application du Règlement.\n\nArticle 20. Cessation du patronage 20.1 Si la nationalité du contractant ou l’entité qui le contrôle change ou si l’État qui le patronne, tel qu’il est défini dans le Règlement, met fin à son patronage, le contractant en informe l’Autorité sans délai. 20.2 Dans l’un et l’autre cas, si le contractant n’obtient pas d’un autre patron réunissant les conditions prescrites par le Règlement qu’il présente à l’Autorité un certificat de patronage sous la forme prescrite et dans les délais fixés par le Règlement, le présent contrat prend immédiatement fin.\n\nArticle 21. Suspension et résiliation du contrat et pénalités 21.1 Le Conseil peut suspendre le présent contrat ou y mettre fin, sans préjudice de tous autres droits que l’Autorité peut avoir, dans l’un quelconque des cas ci-après : a) Lorsque, en dépit de ses avertissements écrits, le contractant a mené ses activités de telle manière qu’elles se traduisent par des infractions graves, réitérées et délibérées aux clauses fondamentales du présent contrat, à la partie XI de la Convention, à l’Accord et aux règles, règlements et procédures de l’Autorité; ou\n\nb) Lorsque le contractant ne s’est pas conformé à une décision définitive et obligatoire prise à son égard par l’organe de règlement des différends; ou c) Lorsque le contractant devient insolvable, est déclaré en cessation de paiements ou conclut un concordat avec ses créanciers, ou est mis en liquidation ou placé sous administration judiciaire à sa demande ou obligatoirement, ou encore requiert ou sollicite d’un tribunal la désignation d’un administrateur ou d’un syndic, ou engage une instance le concernant en vertu d’une loi sur la faillite, l’insolvabilité ou l’aménagement de la dette alors en vigueur, à des fins autres que le redressement. 21.2 Le Conseil peut, sans préjudice de l’article 17, après avoir consulté le contractant, suspendre le présent contrat ou y mettre fin, sans préjudice de tous autres droits que peut avoir l’Autorité, si le contractant est empêché d’exécuter ses obligations dans le cadre du présent contrat par un événement ou une situation de force majeure, telle que celle-ci est définie à l’article 17.1, qui dure depuis plus de deux ans sans interruption alors même que le contractant a pris toutes les mesures raisonnablement possibles pour surmonter son incapacité d’exécuter ses obligations et se conformer aux termes et conditions du présent contrat avec un minimum de retard. 21.3 Toute suspension ou résiliation s’effectue par l’intermédiaire du Secrétaire général sous forme d’une notification qui doit indiquer les motifs de sa décision. La suspension ou la résiliation prend effet 60 jours après ladite notification, à moins que durant cette période le contractant ne conteste le droit de l’Autorité de suspendre ou de résilier le présent contrat conformément à la partie XI, section 5, de la Convention. 21.4 Si le contractant prend une telle initiative, le présent contrat ne sera suspendu ou résilié que conformément à une décision définitive et obligatoire prise conformément à la partie XI, section 5, de la Convention. 21.5 Si le Conseil suspend le présent contrat, il peut, moyennant notification, exiger du contractant qu’il reprenne ses opérations et se conforme aux clauses du présent contrat, au plus tard 60 jours après cette notification. 21.6 Le Conseil peut, en cas d’infraction au présent contrat non visée au paragraphe 21.1 a) du présent article, ou au lieu de suspendre ou de résilier le présent contrat en vertu de ce paragraphe 21.1, imposer au contractant des pénalités pécuniaires proportionnelles à la gravité de l’infraction. 21.7 Le Conseil ne peut donner effet à une décision imposant des pénalités d’amende au contractant tant qu’une possibilité raisonnable n’a pas été donnée à celui-ci d’épuiser les votes de recours judiciaire dont il dispose en vertu de la partie XI, section 5 de la Convention. 21.8 Si le présent contrat est résilié ou vient à expiration, le contractant se conforme aux dispositions du Règlement et retire l’ensemble des installations, équipements et matériels de la zone d’exploration et laisse celle-ci dans des conditions de sécurité telles qu’elle ne présente aucun danger pour les personnes, le transport maritime ou le milieu marin.\n\nArticle 22. Cession des droits et obligations 22.1 Les droits et obligations du contractant au titre du présent contrat ne peuvent être cédés en tout ou partie qu’avec le consentement de l’Autorité et conformément au Règlement. 22.2 L’Autorité ne refuse pas sans motifs suffisants son consentement à la cession si le cessionnaire proposé est, à tous égards, un demandeur qualifié au regard du Règlement et assume toutes les obligations du contractant, et si le transfert n’a pas pour résultat de lui faire attribuer un plan de travail dont l’approbation serait interdite en vertu de l’article 6 3) c) de l’annexe III de la Convention. 22.3 Les clauses, engagements et conditions prévus par le présent contrat sont à l’avantage des parties et de leurs ayants droit et cessionnaires respectifs, et ont force obligatoire envers eux.\n\nArticle 23. Clause de non-exonération Aucune décision prise par l’une des parties d’exonérer l’autre partie d’un quelconque manquement aux clauses et conditions du présent contrat dont l’exécution lui incombe ne peut être interprétée comme impliquant de sa part exonération de tout manquement subséquent à la même clause ou à toute autre clause ou condition à la charge de l’autre partie.\n\nArticle 24. Révision 24.1 Lorsqu’il se présente ou qu’il pourrait se présenter des circonstances qui, de l’avis de l’Autorité ou du contractant, auraient pour effet de rendre le présent contrat inéquitable ou de compromettre ou d’empêcher la réalisation des objectifs prévus par celui-ci ou par la partie XI de la Convention ou par l’Accord, les parties engagent des négociations en vue de réviser ledit contrat en conséquence. 24.2 Le présent contrat peut également être révisé par accord entre le contractant et l’Autorité afin de faciliter l’application de règles, règlements et procédures adoptés par l’Autorité après l’entrée en vigueur du présent contrat. 24.3 Le présent contrat ne peut être révisé, amendé ou autrement modifié qu’avec le consentement du contractant et de l’Autorité exprimé dans un instrument approprié signé par les représentants autorisés des parties.\n\nArticle 25. Différends 25.1 Tout différend entre les parties relatif à l’interprétation ou à l’application du présent contrat est réglé conformément à la partie XI, section 5, de la Convention. 25.2 En application de l’article 21 2) de l’annexe III de la Convention, toute décision définitive rendue par une cour ou un tribunal ayant compétence en vertu de la Convention au sujet des droits et obligations de l’Autorité et du contractant est exécutoire sur le territoire de tout État partie à la Convention affecté par elle.\n\nArticle 26. Notification 26.1 Toute demande, requête, notification, approbation, renonciation, directive ou instruction et tout rapport ou consentement prévus dans le présent contrat sont formulés par écrit par le Secrétaire général ou le représentant désigné du contractant, selon le cas. Les notifications sont faites à personne ou par télex, télécopie, lettre recommandée expédiée par avion ou courrier électronique authentifié par une signature électronique autorisée adressés au Secrétaire général au siège de l’Autorité ou au représentant désigné. L’obligation de fournir des informations par écrit en application du présent Règlement est satisfaite si ces informations sont fournies dans un courrier électronique comportant une signature numérique. 26.2 L’une et l’autre partie ont le droit de changer d’adresse en en informant l’autre partie au moins 10 jours à l’avance. 26.3 La notification à personne prend effet au moment où elle est faite. La notification par télex est réputée effectuée le jour ouvrable suivant le jour où la mention « réponse » apparaît sur l’appareil de télex de l’expéditeur. La notification par télécopie prend effet lorsque l’expéditeur reçoit « l’accusé de réception » confirmant la transmission au numéro de télécopie publié du destinataire. La notification par lettre recommandée expédiée par avion est réputée effectuée vingt et un jours après que la lettre a été postée. Un courrier électronique est réputé reçu par son destinataire lorsqu’il entre dans un système informatique conçu ou utilisé par le destinataire pour recevoir des documents du type de celui qui lui est adressé et qu’il peut être récupéré et traité par ce destinataire. 26.4 La notification au représentant désigné du contractant vaut notification au contractant aux fins du présent contrat, et le représentant désigné est le représentant du contractant aux fins de signification ou de notification à l’occasion de toute instance devant toute juridiction compétente. 26.5 La notification au Secrétaire général vaut notification à l’Autorité aux fins du présent contrat, et le Secrétaire général est le représentant de celle-ci aux fins de signification ou de notification à l’occasion de toute instance devant toute juridiction compétente.\n\nArticle 27. Droit applicable 27.1 Le présent contrat est régi par ses dispositions, les règles, règlements et procédures de l’Autorité, la partie XI de la Convention, l’Accord et les autres règles de droit international qui ne sont pas incompatibles avec la Convention. 27.2 Le contractant, ses employés, sous-traitants et agents et toutes les personnes travaillant ou agissant pour eux dans la conduite des opérations effectuées en vertu du présent contrat observent le droit applicable visé à l’article 27.1 ci-dessus et ne se livrent directement ou indirectement à aucune transaction interdite par ce droit. 27.3 Aucune disposition du présent contrat ne peut être interprétée comme dispensant de la nécessité de demander et d’obtenir le permis ou l’autorisation pouvant être requis pour l’une quelconque des activités prévues par le présent contrat.\n\nArticle 28. Interprétation La subdivision du présent contrat en articles et paragraphes de même que les intitulés qui y figurent sont dictés uniquement par un souci de commodité et n’en affectent pas l’interprétation.\n\nArticle 29. Documents supplémentaires Chacune des parties accepte de signer et de communiquer tous autres instruments et d’accomplir tous autres actes et formalités qui pourraient être nécessaires ou opportuns pour donner effet aux dispositions du présent contrat.\n", "n_chars": 124050}
{"corpus_id": "isa/regulation/nodules-2013-ru", "version_id": "2013-07-22", "title": "Правила поиска и разведки полиметаллических конкреций в Районе (с поправками, внесёнными в 2013 году)", "short_title": "Правила МОМД — разведка полиметаллических конкреций (2013 г.) 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Authentic in the six UN languages, all equally authoritative; the RU text is stored here. Byte-exact official PDF (human download) stored as original.pdf (original_sha256 = the PDF hash); text extracted with pdftotext and cleaned by the committed scripts/extract.py, byte-exact reproducible; page furniture removed, no wording changed. This is an equally-authentic language version, NOT a translation of the English (translations, if any, live in the derived layer).", "text": "Правила поиска и разведки полиметаллических конкреций в Районе (с поправками 2013 года) — ISBA/19/C/17, приложение [RU]\n\nПравила поиска и разведки полиметаллических конкреций в Районе\n\nПреамбула Согласно Конвенции Организации Объединенных Наций по морскому праву («Конвенция»), дно морей и океанов и его недра за пределами национальной юрисдикции, а также его ресурсы являются общим наследием человечества, и их разведка и разработка осуществляются на благо человечества в целом, от имени которого действует Международный орган по морскому дну. Задача настоящего свода Правил состоит в том, чтобы предусмотреть порядок ведения поиска и разведки полиметаллических конкреций.\n\nЧасть I\n\nВведение\n\nПравило 1. Употребление терминов и сфера применения\n\n1. Термины, употребляемые в Конвенции, имеют то же значение и в настоящих Правилах.\n\n2. В соответствии с Соглашением об осуществлении Части XI Конвенции Организации Объединенных Наций по морскому праву от 10 декабря 1982 года («Соглашение»), положения Соглашения и Части XI Конвенции толкуются и применяются совместно, как единый акт. Настоящие Правила и содержащиеся в них ссылки на Конвенцию толкуются и применяются соответствующим же образом.\n\n3. Для целей настоящих Правил: a) «разработка» означает промышленный сбор полиметаллических конкреций в Районе и извлечение из них полезных ископаемых, в том числе изготовление и эксплуатацию систем добычи, обработки и транспортировки для производства и сбыта металлов;\n\nb) «разведка» означает изыскание залежей полиметаллических конкреций в Районе на исключительных правах, анализ таких залежей, применение и испытание систем и оборудования для добычи, обрабатывающих установок и систем транспортировки, а также проведение исследований в отношении экологических, технических, экономических, коммерческих и прочих соответствующих факторов, которые должны учитываться при разработке; c) «морская среда» означает физические, химические, геологические и биологические компоненты, условия и факторы, которые взаимодействуют и определяют продуктивность, положение, состояние и качество морской экосистемы, воды морей и океанов и воздушное пространство над ними, а также дно морей и океанов и его недра;\n\nd) «полиметаллические конкреции» означает один из ресурсов Района, представляющий собой любые залежи или аккреции конкреций на поверхности морского дна или непосредственно под его поверхностью, содержащие марганец, никель, кобальт и медь; e) «поиск» означает изыскание залежей полиметаллических конкреций в Районе — включая оценку состава, размеров и распределения залежей полиметаллических конкреций и их экономической ценности, — не предполагающие каких-либо исключительных прав; f) «серьезный ущерб морской среде» означает любое воздействие деятельности в Районе на морскую среду, которое представляет собой значительное негативное изменение в морской среде, определяемое в соответствии с нормами, правилами и процедурами, принятыми Органом на основе международно признанных стандартов и практики.\n\n4. Настоящие Правила никоим образом не затрагивают свободу научных исследований, предусмотренную статьей 87 Конвенции, или право на проведение морских научных исследований в Районе, предусмотренное статьями 143 и 256 Конвенции. Ничто в настоящих Правилах не должно пониматься как ограничивающее осуществление государствами свобод открытого моря, нашедших отражение в статье 87 Конвенции.\n\n5. Настоящие Правила могут дополняться новыми правилами, положениями и процедурами, в частности касающимися защиты и сохранения морской среды. Настоящие Правила подчиняются положениям Конвенции и Соглашения и другим нормам международного права, не расходящимся с Конвенцией.\n\nЧасть II. Поиск\n\nПравило 2. Поиск\n\n1. Поиск производится в соответствии с Конвенцией и настоящими Правилами и может начаться лишь после того, как Генеральный секретарь информирует изыскателя о том, что его уведомление зарегистрировано в соответствии с пунктом 2 правила 4.\n\n2. Изыскатели и Орган применяют к такой деятельности осторожный подход, нашедший отражение в принципе 15 Рио-де-Жанейрской декларации по окружающей среде и развитию 3 Поиск не производится при наличии существенных доказательств, указывающих на риск причинения серьезного ущерба морской среде.\n\n3. Поиск не производится в районе, охваченном утвержденным планом работы по разведке полиметаллических конкреций, или в зарезервированном районе; поиск не может производиться также в районе, в котором разработка не была разрешена Советом ввиду риска причинения серьезного ущерба морской среде.\n\n3 Доклад Конференции Организации Объединенных Наций по окружающей среде и развитию, Рио-де-Жанейро, 3–14 июня 1992 года (издание Организации Объединенных Наций, в продаже под № R.93.I.8, и исправление), том I, Резолюции, принятые на Конференции, резолюция 1, приложение I.\n\n4. Поиск не предоставляет изыскателю каких-либо прав на ресурсы. Однако изыскатель может извлекать разумное количество полезных ископаемых, т.е. количество, необходимое для испытаний, но не для коммерческого использования.\n\n5. Поиск ведется без каких-либо временных ограничений, за исключением тех случаев, когда поиск в каком-либо конкретном районе прекращается по получении изыскателем от Генерального секретаря письменного уведомления о том, что в отношении этого района утвержден план работы по разведке.\n\n6. Поиск в одном и том же районе (районах) может проводиться одновременно более чем одним изыскателем.\n\nПравило 3. Уведомление о поиске\n\n1. Предполагаемый изыскатель уведомляет Орган о своем намерении заняться поиском.\n\n2. Каждое уведомление о поиске представляется по установленной в приложении I к настоящим Правилам форме на имя Генерального секретаря и должно отвечать требованиям настоящих Правил.\n\n3. Каждое уведомление представляется: a) в случае государства — органом, назначенным для этой цели; b) в случае субъекта права — назначенным им представителем; c) в случае Предприятия — его компетентным органом.\n\n4. Каждое уведомление представляется на одном из языков Органа и содержит: a) наименование, национальную принадлежность и адрес предполагаемого изыскателя и назначенного им представителя;\n\nb) координаты ориентировочного района (районов) проведения поиска, указанные в соответствии с наиболее свежим общепринятым международным стандартом, используемым Органом; c) общее описание программы поиска, включая предлагаемую дату начала и ее примерную продолжительность;\n\nd) удовлетворительное письменное обязательство о том, что предполагаемый изыскатель будет: i) соблюдать Конвенцию и соответствующие нормы, правила и процедуры Органа, касающиеся: a. сотрудничества в программах подготовки кадров в связи с морскими научными исследованиями и передачей технологии, о которых говорится в статьях 143 и 144 Конвенции, b. ii) защиты и сохранения морской среды; давать согласие на проведение Органом проверки их соблюдения; iii) предоставлять Органу, насколько это практически возможно, такие данные, которые могут иметь отношение к защите и сохранению морской среды.\n\nПравило 4. Рассмотрение уведомлений\n\n1. Генеральный секретарь письменно подтверждает получение каждого уведомления, представляемого согласно правилу 3, с указанием даты получения.\n\n2. В 45-дневный срок с момента получения уведомления Генеральный секретарь рассматривает его и принимает решение. Если уведомление соответствует требованиям Конвенции и настоящих Правил, Генеральный секретарь заносит указанные в уведомлении данные в регистр, который ведется для этой цели, и в письменном виде информирует изыскателя о том, что уведомление зарегистрировано.\n\n3. В 45-дневный срок с момента получения уведомления Генеральный секретарь в письменном виде информирует предполагаемого изыскателя о том, охватывает ли его уведомление какую-либо часть района, включенного в утвержденный план работы по разведке либо разработке какой-либо категории ресурсов, или какую-либо часть зарезервированного района, или какую-либо часть района, в котором разработка не была разрешена Советом ввиду риска причинения серьезного ущерба морской среде, или же о том, что его письменное обязательство является неудовлетворительным, и представляет предлагаемому изыскателю в письменном виде изложение причин. В таких случаях предлагаемый изыскатель может в 90-дневный срок представить измененное уведомление. Генеральный секретарь в 45-дневный срок рассматривает такое измененное уведомление и принимает по нему решение.\n\n4. Изыскатель в письменном виде информирует Генерального секретаря о любом изменении в информации, содержащейся в уведомлении.\n\n5. Генеральный секретарь предает содержащиеся в уведомлении данные огласке лишь с письменного согласия изыскателя. Однако Генеральный секретарь периодически информирует всех членов Органа о личности изыскателей и о том, где в принципе ведется ими поиск.\n\nПравило 5. Защита и сохранение морской среды в ходе поиска\n\n1. Каждый изыскатель принимает необходимые меры к предотвращению, сокращению и сохранению под контролем загрязнения морской среды и других опасностей для нее, вытекающих из поиска, насколько это реально возможно, используя осторожный подход и передовую природоохранную практику. В частности, каждый изыскатель сводит к минимуму или устраняет: а) негативное экологическое воздействие поиска и\n\nb) фактические или потенциальные коллизии или помехи в отношении осуществляемой или планируемой деятельности по проведению морских научных исследований согласно соответствующим будущим руководящим принципам по этому вопросу.\n\n2. Изыскатели сотрудничают с Органом в учреждении и осуществлении программ мониторинга и оценки потенциального воздействия разведки и разработки полиметаллических конкреций на морскую среду.\n\n3. Изыскатель незамедлительно уведомляет Генерального секретаря в письменном виде, используя наиболее эффективные средства, о любом происшедшем в результате поиска инциденте, причинившем, причиняющем или угрожающем причинить серьезный ущерб морской среде. По получении такого уведомления Генеральный секретарь действует сообразно с правилом 33.\n\nПравило 6. Годовой отчет\n\n1. В 90-дневный срок после окончания каждого календарного года изыскатель представляет Органу отчет о ходе поиска. Такие отчеты препровождаются Генеральным секретарем Юридической и технической комиссии. В каждом таком отчете содержится: a) общее описание состояния поиска и полученных результатов,\n\nb) информация о соблюдении обязательств, указанных в пункте 4(d) правила 3 и с) информация о соблюдении соответствующих руководящих принципов по этому вопросу.\n\n2. Если изыскатель намеревается провести расходы по поиску как часть расходов по освоению, произведенных до начала промышленного производства, то он представляет составленную в соответствии с международно принятыми принципами учета и заверенную надлежащим образом квалифицированной аудиторской фирмой годовую ведомость фактических прямых затрат, произведенных изыскателем в ходе поиска.\n\nПравило 7. Конфиденциальность содержащихся в годовом отчете данных и информации, полученных в результате поиска\n\n1. Генеральный секретарь обеспечивает конфиденциальность всех данных и информации, содержащихся в отчетности, представляемой согласно правилу 6, применяя mutatis mutandis положения правил 36 и 37, при том условии, что данные и информация, касающиеся защиты и сохранения морской среды, в частности данные и информация программ экологического мониторинга, не считаются конфиденциальными. Изыскатель может запросить неразглашение такой информации до истечения трех лет после даты ее представления.\n\n2. С согласия соответствующего изыскателя Генеральный секретарь может в любой момент предать огласке данные и информацию, касающиеся поиска в районе, в отношении которого представлено уведомление. Если, приложив разумные усилия по меньшей мере в течение двух лет, Генеральный секретарь определяет, что изыскателя уже нет в наличии или что его местонахождение установить невозможно, то Генеральный секретарь может предать такие данные и информацию огласке.\n\nПравило 8. Объекты, имеющие археологическое или историческое значение Изыскатель незамедлительно уведомляет Генерального секретаря в письменном виде об обнаружении в Районе любого объекта, имеющего фактическое или потенциальное археологическое или историческое значение, и о его местонахождении. Генеральный секретарь препровождает такую информацию Генеральному директору Организации Объединенных Наций по вопросам образования, науки и культуры.\n\nЧасть III. Заявки на утверждение планов работы по разведке в форме контракта\n\nРаздел 1. Общие положения\n\nПравило 9. Общие положения При условии соблюдения положений Конвенции право подавать в Орган заявки на утверждение планов работы на разведку имеют: a) ности; Предприятие от своего имени или как участник совместной деятель-\n\nb) государства-участники, государственные предприятия либо физические или юридические лица, имеющие национальность этих государств либо находящиеся под эффективным контролем этих государств или их граждан, когда такие государства поручились за них, или любая группа вышеуказанных субъектов, которые отвечают требованиям, предусмотренным в настоящих Правилах.\n\nРаздел 2. Содержание заявок\n\nПравило 10. Форма заявок\n\n1. Каждая заявка на утверждение плана работы по разведке представляется по установленной в приложении II к настоящим Правилам форме на имя Генерального секретаря и должна отвечать требованиям настоящих Правил.\n\n2. Каждая заявка представляется: a) в случае государства — органом, назначенным им для этой цели;\n\nb) в случае субъекта права — назначенным им представителем или органом, назначенным для этой цели поручившимся государством (государствами); c) в случае Предприятия — его компетентным органом.\n\n3. В каждой заявке государственного предприятия или одного из субъектов, упомянутых в подпункте (b) правила 9, указывается также: a) достаточная информация для установления национальной принадлежности заявителя или наименование государства (государств), под эффективным контролем которого (или граждан которого) находится заявитель;\n\nb) местонахождение главной конторы или домициль, а в соответствующих случаях — место регистрации заявителя.\n\n4. Каждая заявка, представленная партнерством или консорциумом субъектов, содержит необходимую информацию о каждом участнике партнерства или консорциума.\n\nПравило 11. Удостоверение о поручительстве\n\n1. Каждая заявка государственного предприятия или одного из субъектов, упомянутых в подпункте (b) правила 9, сопровождается удостоверением о поручительстве, выданном государством, национальность которого он имеет или под эффективным контролем которого (или граждан которого) он находится. Если заявитель имеет более чем одну национальность, как в случае партнерства или консорциума субъектов из нескольких государств, каждое такое государство выдает удостоверение о поручительстве.\n\n2. Если заявитель имеет национальность одного государства, но находится под эффективным контролем другого государства или его граждан, каждое такое государство выдает удостоверение о поручительстве.\n\n3. Каждое удостоверение о поручительстве должно быть должным образом подписано от имени государства, которое его представляет, и содержать: a) наименование заявителя; b) наименование поручившегося государства; c) указание о том, что заявитель: i) имеет национальность поручившегося государства или ii) является субъектом, находящимся под эффективным контролем поручившегося государства или его граждан;\n\nd) заявление поручившегося государства о том, что оно поручается за заявителя; e) дату сдачи на хранение поручившимся государством своего документа о ратификации Конвенции, присоединении к ней или о правопреемстве в ее отношении; f) заявление о том, что поручившееся государство берет на себя ответственность согласно статье 139, пункту 4 статьи 153 Конвенции и пункту 4 статьи 4 Приложения III к ней.\n\n4. Государства или субъект, осуществляющие деятельность совместно с Предприятием, также соблюдают настоящее правило.\n\nПравило 12. Финансовые и технические возможности\n\n1. Каждая заявка на утверждение плана работы по разведке содержит достаточный объем конкретной информации, позволяющей Совету определить, располагает ли заявитель финансовыми и техническими возможностями для осуществления предлагаемого плана работы по разведке и выполнения своих финансовых обязательств перед Органом.\n\n2. Заявка на утверждение плана работы по разведке, представленная от имени указанных в пункте 1(a)(ii) или (iii) резолюции II государства либо субъекта права или какого-либо компонента такого субъекта, которые не являются зарегистрированными первоначальными вкладчиками и которые до вступления Конвенции в силу уже провели в Районе значительный объем деятельности, либо от имени их правопреемников, считается удовлетворяющей финансовым и техническим условиям, необходимым для утверждения плана работы по разведке, если поручившееся государство (государства) удостоверяет, что заявитель израсходовал на исследовательскую и разведочную деятельность сумму, эквивалентную по меньшей мере 30 млн. долл. США, причем не менее 10 процентов этой суммы — на установление местонахождения, съемку и оценку района, указанного в плане работы.\n\n3. Заявка на утверждение плана работы по разведке Предприятия содержит заявление его компетентного органа, удостоверяющее, что Предприятие располагает необходимыми финансовыми ресурсами на покрытие сметных расходов по предлагаемому плану работы по разведке.\n\n4. Заявка на утверждение плана работы по разведке государства или государственного предприятия, которое не является зарегистрированным первоначальным вкладчиком или субъектом, упомянутым в пункте 1(a)(ii) или (iii) резолюции II, содержит заявление государства или поручившегося государства, удостоверяющее, что заявитель располагает необходимыми финансовыми ресурсами на покрытие сметных расходов по предлагаемому плану работы по разведке.\n\n5. Заявка на утверждение плана работы по разведке субъекта, который не является зарегистрированным первоначальным вкладчиком или субъектом, упомянутым в пункте 1(a)(ii) или (iii) резолюции II, содержит копии его проверенных финансовых ведомостей (включая балансовые ведомости и отчеты о прибылях и убытках) за последние три года, составленные в соответствии с международно принятыми принципами учета и заверенные надлежащим образом квалифицированной аудиторской фирмой, а также:\n\n6. Если заявителем является недавно созданный субъект и заверенной балансовой ведомости не имеется, то заявка содержит условную балансовую ведомость, заверенную соответствующим должностным лицом заявителя.\n\n7. Если заявителем является дочерняя компания другого субъекта, то заявка содержит копии таких финансовых ведомостей этого субъекта и заявление последнего о том, что заявитель будет располагать финансовыми ресурсами на осуществление плана работы по разведке, каковое заявление составляется в соответствии с международно принятыми принципами учета и заверяется надлежащим образом квалифицированной аудиторской фирмой.\n\n8. Если заявитель находится под контролем государства или государственного предприятия, то заявка содержит заявление этого государства или государственного предприятия, удостоверяющее, что заявитель будет располагать финансовыми ресурсами на осуществление плана работы по разведке.\n\n9. Если заявитель, подавший заявку на утверждение плана работы по разведке, намеревается финансировать предлагаемый план работы по разведке за счет займов, в его заявке указывается сумма таких займов, сроки их погашения и процентная ставка.\n\n10. За исключением предусмотренного в пункте 2, каждая заявка должна включать: a) общее описание имеющихся у заявителя опыта, знаний, навыков, технической квалификации и специальной подготовки для осуществления предлагаемого плана работы по разведке;\n\nb) общее описание оборудования и методов, которые намечается использовать при осуществлении предлагаемого плана работы по разведке, и другую не имеющую характера собственности информацию о характеристиках такой технологии; c) общее описание имеющихся у заявителя финансовых и технических возможностей реагировать на любые инциденты или действия, причиняющие серьезный ущерб морской среде.\n\n11. Если заявителем является партнерство или консорциум субъектов, осуществляющих совместную деятельность, каждый участник этого партнерства или консорциума предоставляет информацию, предусмотренную настоящим правилом.\n\nПравило 13. Предыдущие контракты с Органом Если заявитель или — в случае представления заявки партнерством или консорциумом субъектов, осуществляющих деятельность совместно, — любой участник партнерства или консорциума ранее заключал какой-либо контракт с Органом, в заявке указывается: a) дата предыдущего контракта (контрактов);\n\nb) дата представления, условное обозначение и название каждого отчета, представленного Органу в связи с контрактом (контрактами); c) в соответствующих случаях — дата прекращения контракта (контрактов).\n\nПравило 14. Обязательства Каждый заявитель, включая Предприятие, в рамках своей заявки на утверждение плана работы по разведке берет перед Органом следующие письменные обязательства: a) признать в качестве подлежащих исполнению и соблюдать применимые обязательства, возникающие в силу положений Конвенции, норм, правил и процедур Органа, решений органов Органа и условий его контрактов с Органом;\n\nb) признать предусмотренный Конвенцией контроль со стороны Органа за деятельностью в Районе; c) представить Органу письменное заверение в том, что его обязательства по контракту будут добросовестно выполняться.\n\nПравило 15. Целый район, указанный в заявке В каждой заявке на утверждение плана работы по разведке определяются границы заявочного района с помощью перечня географических координат, указанных в соответствии с наиболее свежим общепринятым международным стандартом, используемым Органом. В заявках (кроме заявок, подаваемых согласно правилу 17) указывается целый район, который не обязательно является единым непрерывным районом, но достаточно обширным и имеющим достаточную предположительную коммерческую ценность, чтобы позволить ведение двух операций по добыче. Заявитель указывает координаты, разделяющие район на две части одинаковой предположительной коммерческой ценности. Район, выделяемый заявителю, регулируется положениями правила 25.\n\nПравило 16. Данные и информация, представленные до обозначения зарезервированного района\n\n1. Каждая заявка содержит достаточный объем предписываемых в разделе II приложения II к настоящим Правилам данных и информации о заявочном районе, позволяющих Совету по рекомендации Юридической и технической комиссии обозначить зарезервированный район с учетом предположительной коммерческой ценности каждой части. Такие данные и информация включают имеющиеся у заявителя данные об обеих частях заявочного района, в том числе данные, использованные для определения их коммерческой ценности.\n\n2. На основе данных и информации, представленных заявителем согласно разделу II приложения II к настоящим Правилам (если таковые сочтены удовлетворительными), и с учетом рекомендаций Юридической и технической комиссии Совет обозначает ту часть заявочного района, которая станет зарезервированным районом. Обозначенный таким образом район становится зарезервированным районом, как только утверждается план работы по разведке в отношении незарезервированного района и подписывается контракт. Если Совет определит, что для обозначения зарезервированного района необходима дополнительная информация, соответствующая настоящим Правилам и приложению II, он возвращает этот вопрос в Комиссию для дальнейшего рассмотрения с указанием требуемой дополнительной информации.\n\n3. После утверждения плана работы по разведке и заключения контракта данные и информация о зарезервированном районе, переданные заявителем Органу, могут быть преданы Органом огласке в соответствии с пунктом 3 статьи 14 Приложения III к Конвенции.\n\nПравило 17. Заявки на утверждение планов работы в отношении зарезервированного района\n\n1. Любое государство, являющееся развивающимся государством, или любое физическое либо юридическое лицо, за которое это государство поручилось или которое находится под эффективным контролем этого государства либо другого развивающегося государства, или любая группа вышеуказанных субъектов может уведомить Орган о своем намерении представить план работы по разведке в отношении зарезервированного района. Генеральный секретарь препровождает такое уведомление Предприятию, которое в течение шести месяцев в письменном виде информирует Генерального секретаря о том, намерено ли оно осуществлять деятельность в этом районе. Если Предприятие намерено осуществлять деятельность в этом районе, оно в соответствии с пунктом 4 в письменном виде информирует также контрактора, чья заявка на утверждение плана работы по разведке первоначально включала этот район.\n\n2. Заявка на утверждение плана работы по разведке в отношении зарезервированного района может подаваться в любой момент после того, как этот район станет свободным вследствие принятия Предприятием решения о том, что оно не намеревается осуществлять деятельность в этом районе, или если в течение шести месяцев после получения уведомления от Генерального секретаря Предприятие не примет решение о том, намеревается ли оно осуществлять деятельность в этом районе, и не уведомит Генерального секретаря в письменном виде о том, что оно ведет переговоры о потенциальном совместном предприятии. В последнем случае Предприятию предоставляется один год с момента подачи такой заявки, в течение которого оно должно решить, будет ли оно осуществлять деятельность в указанном районе.\n\n3. Если Предприятие, или развивающееся государство, или один из субъектов, упомянутых в пункте 1, не подает заявку на утверждение плана работы по разведке в рамках деятельности в зарезервированном районе в течение 15 лет с момента начала своего независимого от Секретариата Органа функционирования или же в течение 15 лет с даты, когда этот район резервируется за Органом, — в зависимости от того, что наступит позднее, — контрактор, чья заявка на утверждение плана работы по разведке первоначально включала этот район, вправе подать заявку на утверждение плана работы по разведке в этом районе, при условии что он добросовестно предлагает Предприятию участвовать в совместном предприятии.\n\n4. Контрактор обладает преимущественным правом на организацию с Предприятием совместного предприятия для разведки района, который был включен в его заявку на утверждение плана работы по разведке и который был обозначен Советом в качестве зарезервированного района.\n\nПравило 18. Данные и информация, подлежащие представлению для утверждения плана работы по разведке Каждый заявитель в целях утверждения плана работы по разведке в форме контракта представляет следующую информацию: a) общее описание и график предлагаемой программы разведки, включая программу деятельности на ближайший пятилетний период, как то запланированные исследования в отношении экологических, технических, экономических и прочих соответствующих факторов, которые должны учитываться при разведке;\n\nb) описание программы океанографических и фоновых экологических исследований в соответствии с настоящими Правилами и любыми установленными Органом природоохранными нормами, правилами и процедурами, которая позволила бы произвести оценку потенциального экологического воздействия предлагаемой разведочной деятельности, включая воздействие на биоразнообразие, но не ограничиваясь таковым, с учетом любых рекомендаций, вынесенных Юридической и технической комиссией; c) предварительная оценка возможного воздействия предлагаемой деятельности по разведке на морскую среду;\n\nd) описание предлагаемых мер по предотвращению, сокращению и сохранению под контролем загрязнения морской среды и других опасностей для нее, а также возможного воздействия на морскую среду; e) данные, необходимые Совету для определения, которое он должен вынести в соответствии с пунктом 1 правила 12; f) калькуляция предполагаемых годовых расходов по программе деятельности на ближайший пятилетний период.\n\nРаздел 3. Сборы\n\nПравило 19. Сбор за заявку\n\n1. Сбор за рассмотрение заявок на утверждение плана работы по разведке полиметаллических конкреций составляет фиксированную сумму в размере 500 000 долл. США или эквивалент этой суммы в свободно конвертируемой валюте и подлежит выплате в полном объеме в момент представления заявки.\n\n2. Если административные издержки, понесенные Органом при рассмотрении заявки, меньше фиксированной суммы, указанной в пункте 1 выше, Орган возмещает разницу заявителю. Если административные издержки, понесенные Органом при рассмотрении заявки, превышают фиксированную сумму, указанную в пункте 1 выше, заявитель оплачивает разницу Органу, при условии что какая-либо дополнительная сумма, подлежащая выплате заявителем, не должна превышать 10 процентов фиксированного сбора, о котором идет речь в пункте 1.\n\n3. С учетом любого критерия, установленного для этой цели Финансовым комитетом, Генеральный секретарь определяет размер такой разницы, о которой идет речь в пункте 2 выше, и уведомляет об этом заявителя. Уведомление должно включать в себя ведомость с указанием издержек, понесенных Органом. Соответствующая сумма должна выплачиваться заявителем или возмещаться Органом в течение трех месяцев с момента подписания контракта, о котором идет речь в правиле 23 ниже.\n\n4. Фиксированная сумма, о которой идет речь в пункте 1 выше, пересматривается на регулярной основе Советом в целях обеспечения того, чтобы она покрывала предполагаемые административные издержки, связанные с рассмотрением заявок, и устраняла необходимость выплаты заявителями дополнительных сумм согласно пункту 2 выше.\n\nРаздел 4. Рассмотрение заявок\n\nПравило 20. Получение, подтверждение и хранение заявок Генеральный секретарь: a) в письменном виде в течение 30 дней подтверждает получение каждой заявки на утверждение плана работы по разведке, представленной согласно настоящей части, с указанием даты получения;\n\nb) обеспечивает сохранность заявки с сопроводительными документами и приложениями к ней, а также конфиденциальность всех содержащихся в заявке конфиденциальных данных и информации; c) уведомляет членов Органа о получении такой заявки и рассылает им информацию о заявке, имеющую общий и неконфиденциальный характер.\n\nПравило 21. Рассмотрение заявок Юридической и технической комиссией\n\n1. По получении заявки на утверждение плана работы по разведке Генеральный секретарь уведомляет членов Юридической и технической комиссии и вносит вопрос о рассмотрении заявки в повестку дня следующего заседания Комиссии. Комиссия рассматривает только заявки, в отношении которых уведомление и информация были распространены Генеральным секретарем в соответствии с правилом 20 (c) по меньшей мере за 30 дней до открытия заседания Комиссии, на котором они должны рассматриваться.\n\n2. Комиссия рассматривает заявки в порядке их поступления.\n\n3. Комиссия определяет следующее: a) выполнил ли заявитель положения настоящих Правил;\n\nb) взял ли заявитель на себя обязательства и представил ли заверения, указанные в правиле 14; c) располагает ли заявитель финансовыми и техническими возможностями для осуществления предлагаемого плана работы по разведке и представил ли он подробные сведения на предмет своей способности выполнять чрезвычайные распоряжения;\n\nd) выполнил ли заявитель надлежащим образом свои обязательства в связи с любым предыдущим контрактом с Органом.\n\n4. В соответствии с требованиями, установленными в настоящих Правилах, и своими процедурами Комиссия определяет, будет ли предлагаемый план работы по разведке: a) обеспечивать эффективную охрану здоровья и безопасности людей;\n\nb) обеспечивать эффективную защиту и сохранение морской среды, включая воздействие на биоразнообразие, но не ограничиваясь таковым; c) обеспечивать, чтобы установки не сооружались там, где это может создать помехи для использования признанных морских путей, имеющих существенное значение для международного судоходства, или в районах ведения интенсивной рыбопромысловой деятельности.\n\n5. Если Комиссия определяет, что заявитель выполнил требования пункта 3 и что предлагаемый план работы по разведке удовлетворяет требованиям пункта 4, она рекомендует Совету утвердить план работы по разведке.\n\n6. Комиссия не рекомендует план работы по разведке к утверждению, если указанный в предлагаемом плане работы по разведке район или его часть включены в: a) какой-либо утвержденный Советом план работы по разведке полиметаллических конкреций;\n\nb) какой-либо утвержденный Советом план работы по разведке или разработке других ресурсов, если этот предлагаемый план работы по разведке полиметаллических конкреций может повлечь за собой ненужные помехи в отношении деятельности по такому утвержденному плану работы по другим ресурсам; c) какой-либо район, разработка которого запрещена Советом, поскольку имеются существенные доказательства, указывающие на риск причинения серьезного ущерба морской среде;\n\nd) предлагаемый план работы по разведке, который был представлен или в отношении которого было представлено поручительство государством, уже имеющим: i) планы работы по разведке и разработке или только по разработке в незарезервированных районах, которые в совокупности с любой частью района, указанного в заявке, превышают по размерам 30 процентов круга площадью 400 000 кв. км, центром которого является центр любой части района, указанного в предлагаемом плане работы; ii) планы работы по разведке и разработке или только по разработке в незарезервированных районах, совокупная площадь которых составляет\n\n2 процента от той части Района, которая не зарезервирована или запрещена к разработке в соответствии с пунктом 2(x) статьи 162 Конвенции.\n\n7. За исключением случаев подачи заявок Предприятием — от его собственного имени или в рамках совместного предприятия — и заявок согласно правилу 17, Комиссия не рекомендует план работы к утверждению, если указанный в предлагаемом плане работы по разведке район или его часть включены в какой-либо зарезервированный район или район, обозначенный Советом в качестве будущего зарезервированного района.\n\n8. Если Комиссия считает, что заявка не соответствует настоящим Правилам, она через Генерального секретаря уведомляет об этом заявителя в письменном виде, указывая причины. Заявитель может в течение 45 дней с момента такого уведомления исправить свою заявку. Если после дальнейшего рассмотрения Комиссия приходит к мнению о том, что ей не следует рекомендовать план работы по разведке к утверждению, то она сообщает об этом заявителю и предоставляет ему еще одну возможность сделать представления в течение\n\n30 дней с момента получения такой информации. Комиссия рассматривает любые такие представления, сделанные заявителем, при подготовке своего доклада и рекомендации Совету.\n\n9. При рассмотрении предлагаемого плана работы по разведке Комиссия принимает во внимание принципы, политику и цели в отношении деятельности в Районе, как это предусмотрено в Части XI и Приложении III Конвенции и в Соглашении.\n\n10. Комиссия рассматривает заявки оперативно и представляет Совету доклад и рекомендации относительно обозначения районов и о плане работы по разведке при первой же возможности с учетом графика заседаний Органа.\n\n11. При выполнении своих обязанностей Комиссия применяет настоящие Правила, а также нормы, правила и процедуры Органа на единообразной и недискриминационной основе.\n\nПравило 22. Рассмотрение и утверждение Советом планов работы по разведке Совет рассматривает доклады и рекомендации Комиссии, касающиеся утверждения планов работы по разведке, в соответствии с пунктами 11 и 12 раздела 3 приложения к Соглашению.\n\nЧасть IV. Контракты на разведку\n\nПравило 23. Контракт\n\n1. После утверждения Советом плана работы по разведке он оформляется в виде контракта между Органом и заявителем, как предписано в приложении III к настоящим Правилам. Каждый контракт включает изложенные в приложении IV стандартные условия, действующие на дату вступления контракта в силу.\n\n2. Контракт подписывается Генеральным секретарем от имени Органа и заявителем. Генеральный секретарь в письменном виде уведомляет всех членов Органа о заключении каждого контракта.\n\n3. В соответствии с принципом недискриминации контракт с указанными в пункте 6(a)(i) раздела 1 приложения к Соглашению государством либо субъектом права или каким-либо компонентом такого субъекта предусматривает договоренности, сходные с теми и не менее льготные, чем те, которые заключаются с тем или иным зарегистрированным первоначальным вкладчиком. Если те или иные из указанных в пункте 6(a)(i) раздела 1 приложения к Соглашению государств, субъектов права или каких-либо компонентов таких субъектов достигают более льготных договоренностей, Совет обеспечивает сходные и не менее льготные договоренности в отношении прав и обязанностей, приобретаемых зарегистрированными первоначальными вкладчиками, при условии что такие договоренности не затрагивают интересы Органа и не наносят им ущерба.\n\nПравило 24. Права контрактора\n\n1. Контрактор имеет исключительное право на разведку в районе, указанном в плане работы, в отношении полиметаллических конкреций. Орган обеспечивает, чтобы никакой другой субъект не осуществлял в этом же районе деятельность в отношении других ресурсов таким образом, чтобы это создавало помехи для деятельности контрактора.\n\n2. Контрактор, который имеет утвержденный план работы только на разведку, имеет предпочтение и пользуется приоритетом среди заявителей, представивших планы работы на разработку того же района или тех же ресурсов. Совет может лишить контрактора такого предпочтения или приоритета, если он не выполнит требований своего утвержденного плана работы в течение периода времени, предписанного в письменном уведомлении или уведомлениях, направленных Советом контрактору с указанием требований, не выполненных контрактором. Период времени, указываемый в любом таком уведомлении, должен быть разумным. Контрактору предоставляется разумная возможность быть заслушанным, прежде чем лишение его такого предпочтения или приоритета становится окончательным. Совет разъясняет мотивы предлагаемого лишения предпочтения или приоритета и рассматривает любой ответ контрактора. При принятии решения Совет учитывает этот ответ и основывается на существенных сведениях.\n\n3. Лишение предпочтения или приоритета становится действительным лишь после того, как контрактору предоставляется разумная возможность исчерпать средства судебной защиты, имеющиеся в его распоряжении согласно разделу 5 Части XI Конвенции.\n\nПравило 25. Размеры района и отказ от его участков\n\n1. Общая площадь района, выделяемого контрактору по контракту, не должна превышать 150 000 кв. км. Контрактор отказывается от участков отведенного ему района для возвращения их Району. К концу третьего года с даты контракта контрактор отказывается от 20 процентов отведенного ему района; к концу пятого года с даты контракта контрактор отказывается от еще 10 процентов отведенного ему района; а через восемь лет с даты контракта контрактор отказывается от еще 20 процентов отведенного ему района или от такой большей площади, которая превысит район разработки, установленный Органом, при том условии, что контрактор не должен будет отказываться от какой-либо части такого района, если общая площадь отведенного ему района не превышает 75 000 кв. км.\n\n2. Совет может по просьбе контрактора и по рекомендации Комиссии в исключительных обстоятельствах перенести сроки отказа. Такие исключительные обстоятельства определяются Советом и включают, среди прочего, сложившиеся экономические условия или иные непредвиденные исключительные обстоятельства, сложившиеся в связи с осуществлением контрактором своей деятельности.\n\nПравило 26. Срок действия контрактов\n\n1. План работы по разведке утверждается на 15-летний срок. По истечении плана работы по разведке контрактор подает заявку на план работы по разработке, за исключением случаев, когда контрактор уже сделал это, добился продления плана работы по разведке или решил отказаться от своих прав в районе, охваченном планом работы по разведке.\n\n2. Не позднее чем за шесть месяцев до истечения плана работы по разведке контрактор может ходатайствовать о продлениях плана работы по разведке на сроки не более чем по пять лет. Такие продления утверждаются Советом по рекомендации Комиссии, если контрактор добросовестно пытался соблюсти требования плана работы, однако в силу неподвластных ему обстоятельств не смог завершить необходимую подготовительную работу для перехода к этапу разработки, либо если такой переход не оправдывается сложившейся экономической конъюнктурой.\n\nПравило 27. Подготовка кадров Во исполнение статьи 15 Приложения III Конвенции к каждому контракту прилагается практическая программа подготовки персонала Органа и развивающихся государств, составленная контрактором в сотрудничестве с Органом и поручившимся государством (государствами). Программы подготовки ориентированы на обучение навыкам разведки и предусматривают всестороннее участие такого персонала во всех мероприятиях, охватываемых контрактом. По взаимному согласию такие программы подготовки могут при необходимости периодически пересматриваться и дорабатываться.\n\nПравило 28. Периодический обзор осуществления плана работы по разведке\n\n1. Каждые пять лет контрактор и Генеральный секретарь совместно производят периодический обзор осуществления плана работы по разведке. Генеральный секретарь может запросить у контрактора дополнительные данные и информацию, которые могут оказаться необходимыми для целей обзора.\n\n2. В свете этого обзора Контрактор знакомит со своей программой деятельности на следующий пятилетний период, внося необходимые коррективы в свою предшествующую программу деятельности.\n\n3. Генеральный секретарь докладывает о результатах обзора Комиссии и Совету. Генеральный секретарь указывает в докладе, были ли учтены в ходе обзора какие-либо замечания, препровожденные ему государствами — участниками Конвенции относительно того, каким образом контрактор осуществляет свои обязательства по настоящим правилам касательно защиты и сохранения морской среды.\n\nПравило 29. Прекращение поручительства\n\n1. На протяжении всего срока действия контракта каждому контрактору необходимо иметь поручительство.\n\n2. Если государство прекращает свое поручительство, оно в письменном виде оперативно уведомляет об этом Генерального секретаря. Поручившееся государство должно также сообщить Генеральному секретарю мотивы прекращения им своего поручительства. Поручительство прекращает действовать через шесть месяцев после даты получения Генеральным секретарем уведомления, если только в уведомлении не указывается более поздний срок.\n\n3. В случае прекращения поручительства контрактор находит другого поручителя в срок, указанный в пункте 2. Такой поручитель выдает удостоверение о поручительстве в соответствии с правилом 11. Если контрактор не находит поручителя в требуемый срок, действие контракта прекращается.\n\n4. Прекращение поручительства не освобождает поручившееся государство от каких-либо обязательств, возникших в период, когда оно являлось поручившимся государством, и не затрагивает никаких юридических прав и обязанностей, появившихся в период такого поручительства.\n\n5. Генеральный секретарь уведомляет членов Органа о прекращении или изменении поручительства.\n\nПравило 30. Ответственность Материальная и иная ответственность контрактора и Органа регулируется Конвенцией. Контрактор продолжает нести ответственность за любой ущерб, причиненный в результате неправомерных действий, допущенных им при осуществлении своей деятельности, в частности ущерб морской среде, по окончании этапа разведки.\n\nЧасть V. Защита и сохранение морской среды\n\nПравило 31. Защита и сохранение морской среды\n\n1. В соответствии с Конвенцией и Соглашением Орган устанавливает и подвергает периодическому обзору природоохранные нормы, правила и процедуры, необходимые для обеспечения эффективной защиты морской среды от вредных для нее последствий, которые могут возникнуть в результате деятельности в Районе.\n\n2. Чтобы обеспечить эффективную защиту морской среды от вредных последствий, которые могут возникнуть в результате осуществления деятельности в Районе, Орган и поручившиеся государства применяют к такой деятельности осторожный подход, нашедший отражение в принципе 15 Рио-деЖанейрской декларации, и передовую природоохранную практику.\n\n3. Юридическая и техническая комиссия формулирует рекомендации Совету относительно осуществления пунктов 1 и 2 выше.\n\n4. Комиссия разрабатывает и осуществляет процедуры с целью определить на основе наилучшей имеющейся научно-технической информации, включая информацию, представляемую во исполнение правила 18, будет ли предлагаемая разведочная деятельность в Районе иметь серьезные пагубные последствия для уязвимых морских экосистем, и обеспечивает, чтобы в случае определения, что некоторые предлагаемые виды разведочной деятельности будут иметь серьезные пагубные последствия для уязвимых морских экосистем, такая деятельность регулировалась во избежание подобных последствий или ее проведение не санкционировалось.\n\n5. Во исполнение статьи 145 Конвенции и пункта 2 настоящего правила каждый контрактор принимает необходимые меры в целях предотвращения, сокращения и сохранения под контролем загрязнения и других опасностей для морской среды, вытекающих из его деятельности в Районе, насколько это реально возможно с применением осторожного подхода и передовой природоохранной практики.\n\n6. Контракторы, поручившиеся государства и другие заинтересованные государства или субъекты сотрудничают с Органом в разработке и осуществлении программ мониторинга и оценки воздействия разработки глубоководных районов морского дна на морскую среду. Когда об этом попросит Совет, такие программы включают предложения об обозначении участков, предназначенных для обособления и исключительного использования в качестве рабочих эталонных полигонов и заповедных эталонных полигонов. Термин «рабочие эталонные полигоны» означает участки, используемые для оценки последствий деятельности в Районе для морской среды и имеющие типичные для Района экологические характеристики. Термин «заповедные эталонные полигоны» означает участки, в которых добыча не производится, с тем чтобы обеспечить типичность и ненарушенность биоты морского дна для целей оценки любых изменений в биоразнообразии морской среды.\n\nПравило 32. Экологический фон и мониторинг\n\n1. В каждом контракте предусматривается требование о том, чтобы, учитывая любые рекомендации, выносимые Юридической и технической комиссией на основании правила 39, контрактор собирал фоновые экологические данные и устанавливал экологический фон, используемый для оценки вероятного воздействия его программы деятельности в рамках плана работы по разведке на морскую среду, а также программу мониторинга такого воздействия и сообщения о нем. В рекомендациях, выносимых Комиссией, могут, в частности, перечисляться те разведочные мероприятия, которые могут рассматриваться в качестве потенциально неспособных оказать вредное воздействие на морскую среду. В надлежащих случаях контрактор сотрудничает с Органом и поручившимся государством (государствами) в разработке и осуществлении такой программы мониторинга.\n\n2. Контрактор ежегодно докладывает в письменном виде Генеральному секретарю об осуществлении и результатах программы мониторинга, упомянутой в пункте 1, и представляет данные и информацию, учитывая при этом любые рекомендации, выносимые Комиссией на основании правила 39. Генеральный секретарь направляет такие доклады Комиссии, которая рассматривает их согласно статье 165 Конвенции.\n\nПравило 33. Чрезвычайные распоряжения\n\n1. Контрактор незамедлительно сообщает Генеральному секретарю в письменном виде, используя наиболее эффективные средства, о любом инциденте, вытекающем из деятельности, причинившей, причиняющей или угрожающей причинить серьезный ущерб морской среде.\n\n2. Когда Генеральный секретарь уведомляется контрактором или иным образом осведомляется об инциденте, который произошел вследствие деятельности контрактора в Районе или вызван этой деятельностью и который причинил, причиняет или угрожает причинить серьезный ущерб морской среде, Генеральный секретарь обеспечивает общее оповещение об инциденте, в письменном виде уведомляет контрактора и поручившееся государство (государства) и немедленно сообщает об этом Юридической и технической комиссии, Совету и всем другим членам Органа. Копия этого сообщения распространяется среди всех членов Органа, компетентных международных организаций и соответствующих субрегиональных, региональных и глобальных организаций и органов. Генеральный секретарь следит за событиями в связи со всеми такими инцидентами и сообщает о них по мере необходимости Комиссии, Совету и всем другим членам Органа.\n\n3. Впредь до того, как Совет предпримет какие-либо действия, Генеральный секретарь принимает экстренные меры временного характера, которые являются практичными и разумными в сложившихся обстоятельствах с точки зрения предотвращения, сдерживания и максимального сокращения серьезного ущерба морской среде. Такие временные меры остаются в силе в течение не более чем 90 дней или же до того момента, когда Совет постановит, какие меры должны (и должны ли) быть приняты во исполнение пункта 6 настоящего правила.\n\n4. Получив доклад Генерального секретаря, Комиссия, опираясь на представленные ей сведения и учитывая уже принятые контрактором меры, определяет, какие меры необходимо принять для эффективного преодоления инцидента, с тем чтобы предотвратить, сдержать и максимально сократить серьезный ущерб или угрозу серьезного ущерба морской среде, и выносит Совету свои рекомендации.\n\n5. Совет рассматривает рекомендации Комиссии.\n\n6. Учитывая рекомендации Комиссии, доклад Генерального секретаря, любую информацию, представленную контрактором, и любую иную соответствующую информацию, Совет может издавать чрезвычайные распоряжения, в число которых могут входить распоряжения о приостановке или корректировке операций, разумно необходимой для предотвращения, сдерживания и максимального сокращения серьезного ущерба или угрозы серьезного ущерба морской среде в результате деятельности в Районе.\n\n7. Если контрактор не обеспечивает оперативного выполнения чрезвычайного распоряжения о предотвращении, сдерживании и максимальном сокращении серьезного ущерба или угрозы серьезного ущерба морской среде, вызываемого его деятельностью в Районе, сам Совет или по договоренности с ним кто-либо иной от его имени принимает такие практические меры, которые необходимы для предотвращения, сдерживания и максимального сокращения любого такого серьезного ущерба или угрозы серьезного ущерба морской среде.\n\n8. Для того чтобы Совет, при необходимости, мог немедленно принять практические меры для предотвращения, сдерживания и максимального сокращения серьезного ущерба или угрозы серьезного ущерба морской среде, о которых говорится в пункте 7, контрактор до начала испытаний коллекторных систем и операций по переработке должен будет представить Совету гарантию своих финансовых и технических возможностей для оперативного выполнения чрезвычайных распоряжений или заверить Совет в том, что такие меры может принять он сам. Если контрактор не предоставляет Совету такой гарантии, то поручившееся государство или государства в ответ на просьбу Генерального секретаря и во исполнение статей 139 и 235 Конвенции принимают меры с целью обеспечить оказание Органу содействия в осуществлении им своих обязанностей по пункту 7.\n\nПравило 34. Права прибрежных государств\n\n1. Сообразно со статьей 142 и другими соответствующими положениями Конвенции ничто в настоящих Правилах не затрагивает прав прибрежных государств.\n\n2. Любое прибрежное государство, которое имеет основания полагать, что та или иная деятельность контрактора в Районе может причинить серьезный ущерб или создать угрозу серьезного ущерба морской среде в акваториях, находящихся под его юрисдикцией и/или суверенитетом, может в письменном виде уведомить Генерального секретаря о таких основаниях. Генеральный секретарь предоставляет контрактору и его поручившемуся государству (государствам) разумную возможность изучить доказательства (если таковые имеются), представленные прибрежным государством в качестве упомянутых оснований. Контрактор и его поручившееся государство (государства) могут представить Генеральному секретарю свои замечания по ним в течение разумного периода времени.\n\n3. Если имеются явные основания заключить, что серьезный ущерб морской среде вероятен, то Генеральный секретарь действует в соответствии с правилом 33, а в случае необходимости принимает экстренные меры временного характера, предусмотренные пунктом 3 правила 33.\n\n4. Контракторы принимают все необходимые меры с целью обеспечить, чтобы их деятельность проводилась без нанесения серьезного ущерба морской среде, включая загрязнение, но не ограничиваясь таковым, в акваториях, находящихся под юрисдикцией или суверенитетом прибрежных государств, и чтобы такой серьезный ущерб или загрязнение, являющееся результатом инцидентов или деятельности в их разведочных районах, не распространялись за пределы таких районов.\n\nПравило 35. Человеческие останки и объекты и участки, имеющие археологическое или историческое значение Контрактор незамедлительно уведомляет Генерального секретаря в письменном виде об обнаружении в разведочном районе каких бы то ни было человеческих останков, имеющих археологическое или историческое значение, или каких-либо объектов или участков аналогичного характера и об их местонахождении, включая принятые меры по сохранению и защите. Генеральный секретарь препровождает такую информацию Генеральному директору Организации Объединенных Наций по вопросам образования, науки и культуры и любой иной компетентной международной организации. При обнаружении в разведочном районе любых таких человеческих останков, объектов или участков и во избежание причинения ущерба таким человеческим останкам, объектам или участкам в разумном радиусе не проводится никаких дальнейших поисковоразведочных работ, пока Совет не примет иного решения с учетом мнения Генерального директора Организации Объединенных Наций по вопросам образования, науки и культуры или любой иной компетентной международной организации.\n\nЧасть VI. Конфиденциальность\n\nПравило 36. Конфиденциальность данных и информации\n\n1. Данные и информация, представленные или переданные Органу или любому лицу, участвующему в какой бы то ни было деятельности или программе Органа, во исполнение настоящих Правил или контракта, заключенного согласно настоящим Правилам, и обозначенные контрактором в консультации с Генеральным секретарем в качестве имеющих конфиденциальный характер, считаются конфиденциальными, если речь не идет о данных и информации, которые: a) общеизвестны или доступны из других источников;\n\nb) были ранее представлены их собственником другим лицам без обязательства соблюдать их конфиденциальность; c) уже находятся во владении Органа без обязательства соблюдать их конфиденциальность.\n\n2. Данные и информация, которые необходимы для выработки Органом норм, правил и процедур, касающихся защиты и сохранения морской среды и техники безопасности, и которые не относятся при этом к данным о конструкции оборудования, не рассматриваются в качестве конфиденциальных.\n\n3. Конфиденциальные данные и информация могут использоваться Генеральным секретарем и персоналом Секретариата, с санкции Генерального секретаря, и членами Юридической и технической комиссии только при необходимости и только для эффективного осуществления ими своих полномочий и функций. Генеральный секретарь санкционирует доступ к таким данным и информации только для ограниченного пользования в связи с осуществлением сотрудниками Секретариата своих функций и обязанностей и функций и обязанностей Юридической и технической комиссии.\n\n4. Через 10 лет после даты представления конфиденциальных данных и информации Органу или после истечения контракта на разведку в зависимости от того, что наступает позднее, и через каждые пять лет после этого Генеральный секретарь и контрактор производят обзор таких данных и информации с целью определить, должны ли они оставаться конфиденциальными. Такие данные и информация остаются конфиденциальными, если контрактор определяет, что в случае опубликования таких данных и информации возникнет существенный риск серьезного и несправедливого экономического ущерба. Такие данные и информация не публикуются до тех пор, пока контрактору не будет предоставлена разумная возможность истощения средств судебной защиты, имеющихся в его распоряжении согласно разделу 5 части XI Конвенции.\n\n5. Если в какой-либо момент времени после истечения контракта на разведку контрактор подписывает контракт на разработку в отношении любой части разведочного района, конфиденциальные данные и информация, касающиеся этой части района, сохраняют конфиденциальность в соответствии с контрактом на разработку.\n\n6. Контрактор может в любое время отказаться от конфиденциальности данных и информации.\n\nПравило 37. Процедуры обеспечения конфиденциальности\n\n1. Генеральный секретарь отвечает за сохранение конфиденциальности всех таких конфиденциальных данных и информации и без предварительного письменного согласия контрактора не разглашает такие данные и информацию какому-либо лицу, постороннему для Органа. Для обеспечения конфиденциальности таких данных и информации Генеральный секретарь устанавливает в соответствии с положениями Конвенции процедуры обращения с конфиденциальной информацией для членов Секретариата, членов Юридической и технической комиссии и любых других лиц, участвующих в какой бы то ни было деятельности или программе Органа. Такие процедуры включают: a) хранение конфиденциальных данных и информации в надежных местах и разработку процедур безопасности для предотвращения несанкционированного доступа к таким данным и информации или их изъятия;\n\nb) составление и ведение классификации, перечня или описи всех полученных письменных данных и информации с указанием их типа, источника и схемы прохождения с момента получения до момента окончательного распоряжения ими.\n\n2. Лицо, уполномоченное согласно настоящим Правилам иметь доступ к конфиденциальным данным и информации, не разглашает таких данных и информации, за исключением тех случаев, когда это разрешается Конвенцией или настоящими Правилами. Генеральный секретарь предписывает любому лицу, уполномоченному иметь доступ к конфиденциальным данным и информации, делать письменное заявление в присутствии Генерального секретаря или назначенного им представителя о том, что имеющее такой допуск лицо: a) признает свои юридические обязательства согласно Конвенции и настоящим Правилам относительно неразглашения конфиденциальных данных и информации;\n\nb) соглашается соблюдать применимые правила и процедуры, установленные для обеспечения конфиденциальности таких данных и информации.\n\n3. Юридическая и техническая комиссия ограждает конфиденциальность конфиденциальных данных и информации, представленных ей в соответствии с настоящими Правилами или контрактом, заключенным согласно настоящим Правилам. В соответствии с положениями пункта 8 статьи 163 Конвенции члены Комиссии не должны разглашать даже после прекращения осуществления своих функций никаких промышленных секретов, имеющих характер собственности данных, которые передаются Органу в соответствии со статьей 14 приложения III Конвенции, или любую другую конфиденциальную информацию, которая стала им известна в силу их обязанностей, выполняемых в Органе.\n\n4. Генеральный секретарь и персонал Органа не должны разглашать даже после прекращения осуществления своих функций в Органе никаких промышленных секретов, имеющих характер собственности данных, которые передаются Органу в соответствии со статьей 14 приложения III Конвенции, или любую другую конфиденциальную информацию, которая стала им известна в силу их службы в Органе.\n\n5. Принимая во внимание ответственность Органа согласно статье 22 приложения III Конвенции, Орган может принимать какие бы то ни было надлежащие меры в отношении любого лица, которое в силу своих обязанностей, выполняемых в Органе, имеет доступ к каким-либо конфиденциальным данным и информации и которое нарушает обязательства в отношении конфиденциальности, содержащиеся в Конвенции и настоящих Правилах.\n\nЧасть VII. Общие процедуры\n\nПравило 38. Уведомления и общие процедуры\n\n1. Любое заявление, просьба, уведомление, сообщение, согласие, одобрение, освобождение от обязательств, распоряжение или инструкция, предусмотренные настоящими Правилами, направляются Генеральным секретарем или же назначенным представителем изыскателя, заявителя либо контрактора в письменном виде. Они доставляются с посыльным либо по телексу, по факсу, заказной авиапочтой или электронной почтой с авторизованной электронной подписью Генеральному секретарю в штаб-квартиру Органа или же назначенному представителю.\n\n2. Доставка с посыльным считается состоявшейся в момент вручения. Доставка по телексу считается состоявшейся на следующий рабочий день после того, как на телексном аппарате отправителя появляется автоответ. Доставка по факсу считается состоявшейся, когда отправитель получает сигнал «сообщение передано», подтверждающий, что сообщение прошло на обнародованный номер факса получателя. Доставка заказной авиапочтой считается состоявшейся через 21 день после отправки. Предполагается, что электронное сообщение получено адресатом, когда оно попадает в информационную систему, обозначенную или используемую адресатом для цели получения документов, аналогичных отправленному, и оно может быть извлечено и обработано адресатом.\n\n3. Уведомление в адрес назначенного представителя изыскателя, заявителя или контрактора представляет собой действительное уведомление изыскателя, заявителя или контрактора для всех целей по настоящим Правилам, а назначенный представитель является представителем изыскателя, заявителя или контрактора для целей вручения повесток или извещений по любому производству в каком-либо компетентном судебном или арбитражном органе.\n\n4. Уведомление в адрес Генерального секретаря представляет собой действительное уведомление Органа для всех целей по настоящим Правилам, а Генеральный секретарь является представителем Органа для целей вручения повесток или извещений по любому производству в каком-либо компетентном судебном или арбитражном органе.\n\nПравило 39. Рекомендации, призванные сориентировать контракторов\n\n1. Юридическая и техническая комиссия может периодически выносить рекомендации технического или административного характера, призванные сориентировать контракторов, помогая им в толковании норм, правил и процедур Органа.\n\n2. Полный текст таких рекомендаций сообщается Совету. Если Совет находит, что та или иная рекомендация не соответствует предназначению и цели настоящих Правил, он может потребовать изменения или изъятия этой рекомендации.\n\nЧасть VIII. Урегулирование споров\n\nПравило 40. Споры\n\n1. Споры относительно толкования или применения настоящих Правил урегулируются в соответствии с разделом 5 Части XI Конвенции.\n\n2. Любое окончательное решение относительно прав и обязанностей Органа и контрактора, вынесенное каким-либо судебным или арбитражным органом, имеющим юрисдикцию в соответствии с Конвенцией, подлежит исполнению на территории каждого государства — участника Конвенции.\n\nЧасть IX. Ресурсы помимо полиметаллических конкреций\n\nПравило 41. Ресурсы помимо полиметаллических конкреций Если изыскатель или контрактор обнаруживает в Районе ресурсы помимо полиметаллических конкреций, поиск, разведка и разработка таких ресурсов регламентируются в соответствии с Конвенцией и Соглашением нормами, правилами и процедурами Органа, касающимися таких ресурсов. Изыскатель или контрактор уведомляет орган о том, что он обнаружил.\n\nЧасть X. Обзор\n\nПравило 42. Обзор\n\n1. Через пять лет после утверждения настоящих Правил Ассамблеей или в любой последующий момент времени Совет проводит обзор того, как Правила функционируют на практике.\n\n2. Если в свете обновленных знаний или технологии становится очевидным, что Правила не адекватны, любое государство-участник, Юридическая и техническая комиссия или любой контрактор через посредство своего поручившегося государства может в любой момент времени просить Совет провести на своей следующей очередной сессии пересмотр настоящих Правил.\n\n3. В свете обзора Совет может принимать и в предварительном порядке применять (впредь до утверждения Ассамблеей) поправки к положениям настоящих Правил, принимая во внимание рекомендации Юридической и технической комиссии или других соответствующих подчиненных органов. Любые такие поправки не наносят ущерба правам, присваиваемым какому-либо контрактору в соответствии с положениями контракта с Органом, заключенного в соответствии с настоящими Правилами, действующего на момент внесения любой такой поправки.\n\n4. Если в какие-либо положения настоящих Правил вносятся поправки, то контрактор и Орган могут пересмотреть контракт в соответствии с разделом 24 приложения IV.\n\nПриложение I. Уведомление о намерении заняться поиском\n\n1. Наименование изыскателя:\n\n2. Местонахождение изыскателя:\n\n3. Почтовый адрес (если отличается от вышеуказанного):\n\n4. Телефон:\n\n5. Факс:\n\n6. Адрес электронной почты:\n\n7. Национальная принадлежность изыскателя:\n\n8. Если изыскатель является юридическим лицом:\n\n9. a) указать место его регистрации; b) указать местонахождение его главной конторы/его домициль; с) приложить копию регистрационного свидетельства изыскателя. Наименование назначенного изыскателем представителя:\n\n10. Местонахождение (адрес) назначенного изыскателем представителя (если отличается от вышеуказанного):\n\n11. Почтовый адрес (если отличается от вышеуказанного):\n\n12. Телефон:\n\n13. Факс:\n\n14. Адрес электронной почты:\n\n15. Приложить координаты ориентировочного района (районов) проведения поиска (в соответствии с мировой геодезической системой WGS84).\n\n16. Приложить общее описание программы поиска, включая дату начала и примерную продолжительность программы.\n\n17. Приложить письменное обязательство о том, что изыскатель будет: a) соблюдать Конвенцию и соответствующие нормы, правила и процедуры Органа, касающиеся: i) сотрудничества в программах подготовки кадров в связи с морскими научными исследованиями и передачей технологии, о которых говорится в статьях 143 и 144 Конвенции, и ii) защиты и сохранения морской среды; b) давать согласие на проведение Органом проверки их соблюдения.\n\n18. Перечислить в данном пункте все добавления и приложения к настоящему уведомлению (все данные и информация должны представляться в печатном виде и в указанном Органом цифровом формате): Дата: Подпись назначенного изыскателем представителя Заверено: Подпись заверяющего лица Имя заверяющего лица Должность заверяющего лица\n\nПриложение II. Заявка на утверждение плана работы по разведке для получения контракта\n\nРаздел I. Информация о заявителе\n\n1. Наименование заявителя:\n\n2. Местонахождение заявителя:\n\n3. Почтовый адрес (если отличается от вышеуказанного):\n\n4. Телефон:\n\n5. Факс:\n\n6. Адрес электронной почты:\n\n7. Наименование назначенного заявителем представителя:\n\n8. Местонахождение назначенного заявителем представителя (если отличается от вышеуказанного):\n\n9. Почтовый адрес (если отличается от вышеуказанного):\n\n10. Телефон:\n\n11. Факс:\n\n12. Адрес электронной почты:\n\n13. Если заявитель является юридическим лицом:\n\n14. a) указать место его регистрации и b) указать местонахождение его главной конторы/его домициль; с) приложить копию регистрационного свидетельства заявителя. Указать поручившееся государство (государства).\n\n15. По каждому поручившемуся государству указать дату сдачи на хранение им своего документа о ратификации Конвенции Организации Объединенных Наций по морскому праву от 10 декабря 1982 года, о присоединении к ней или о правопреемстве в ее отношении и дату выражения согласия на обязательность для него Соглашения об осуществлении Части XI Конвенции.\n\n16. К настоящей заявке должно прилагаться удостоверение о поручительстве, выданное поручившимся государством. Если заявитель имеет более чем одну национальность, как в случае партнерства или консорциума субъектов из более чем одного государства, должны прилагаться удостоверения о поручительстве, выданные каждым из таких государств.\n\nРаздел II. Информация о заявочном районе\n\n17. Определить границы заявочного района, приложив перечень географических координат (в соответствии с мировой геодезической системой WGS84).\n\n18. Приложить карту (в указанных Органом масштабе и проекции) и перечень координат, разделяющих целый район на две части одинаковой предположительной коммерческой ценности.\n\n19. Включить в приложение достаточную информацию, позволяющую Совету обозначить зарезервированный район с учетом предположительной коммерческой ценности каждой части заявочного района. Такое приложение должно включать имеющиеся у заявителя данные по обеим частям заявочного района, в том числе: a) данные о местоположении, съемке и оценке полиметаллических конкреций в районах, включая: i) описание технологий, связанных с извлечением и обработкой полиметаллических конкреций, которое необходимо для обозначения зарезервированного района; ii) карту с указанием таких физических и геологических характеристик, как топография морского дна, батиметрия и придонные течения, и информацию о степени надежности соответствующих данных; iii) данные, показывающие среднюю плотность залегания полиметаллических конкреций в кг/м2, и соответствующую карту плотности залегания с указанием местоположения пробоотборных участков; iv) данные, показывающие среднее содержание элементов металлов, представляющих экономический интерес (сортность), на основе количественных анализов содержания химических элементов на единицу веса (сухих конкреций) в процентах и соответствующую карту сортности;\n\nv) комбинированные карты плотности залегания и сортности полиметаллических конкреций; vi) произведенный на основе стандартных процедур (включая статистический анализ) расчет с использованием представленных данных и выкладок, дающий основания полагать, что оба района содержат полиметаллические конкреции одинаковой предположительной коммерческой ценности, которая выражается в виде объема металлов, извлекаемого на поддающихся разработке участках; vii) описание методов, использованных заявителем;\n\nb) информацию об экологических параметрах (в сезонной разбивке и за весь период испытаний), в том числе о скорости и направлении ветра, солености и температуре воды и биологических сообществах.\n\n20. Если заявочный район включает какую-либо часть зарезервированного района, приложить перечень координат района, являющегося частью зарезервированного района, и указать соответствующие характеристики заявителя сообразно с правилом 17 Правил.\n\nРаздел III. Финансовая и техническая информацияa\n\n21. Приложить достаточную информацию, позволяющую Совету определить, располагает ли заявитель финансовыми возможностями для осуществления предлагаемого плана работы по разведке и выполнения своих финансовых обязательств перед Органом. a) Если заявка представляется Предприятием, приложить выданное его компетентным органом удостоверение о том, что Предприятие располагает необходимыми финансовыми ресурсами на покрытие сметных расходов по предлагаемому плану работы по разведке.\n\nb) Если заявка представляется государством или государственным предприятием, приложить заявление государства или поручившегося государства, удостоверяющее, что заявитель располагает необходимыми финансовыми ресурсами на покрытие сметных расходов по предлагаемому плану работы по разведке. c) Если заявка представляется субъектом, приложить проверенные финансовые ведомости заявителя (включая балансовые ведомости и отчеты о прибылях и убытках) за последние три года, составленные в соответствии с международно принятыми принципами учета и заверенные надлежащим образом квалифицированной аудиторской фирмой, а также: i) если заявителем является недавно созданный субъект и заверенной балансовой ведомости не имеется, — условную балансовую ведомость, заверенную соответствующим должностным лицом заявителя; ii) если заявителем является дочерняя компания другого субъекта, — копии таких финансовых ведомостей этого субъекта и заявление последнего о том, что заявитель будет располагать финансовыми ресурсами на осуществление плана работы по разведке, каковое заявление составляется в соответствии с международно принятыми принципами учета и заверяется надлежащим образом квалифицированной аудиторской фирмой; iii) если заявитель находится под контролем государства или государственного предприятия, — заявление этого государства или государственного предприятия, удостоверяющее, что заявитель будет располагать финансовыми ресурсами на осуществление плана работы по разведке.\n\n22. Если предлагаемый план работы по разведке намечается финансировать за счет займов, приложить заявление о сумме таких займов, сроках их погашения и процентной ставке. a Заявка на утверждение плана работы по разведке, представленная от имени указанных в пункте 1(a)(ii) и (iii) резолюции II государства либо субъекта права или какого-либо компонента такого субъекта, которые не являются зарегистрированными первоначальными вкладчиками и которые до вступления Конвенции в силу уже провели в Районе значительный объем деятельности, либо от имени их правопреемников, считается удовлетворяющей финансовым и техническим требованиям, необходимым для утверждения плана работы, если поручившееся государство (государства) удостоверяет, что заявитель израсходовал на исследовательскую и разведочную деятельность сумму, эквивалентную по меньшей мере\n\n30 млн. долл. США, причем не менее 10 процентов этой суммы — на установление местонахождения, съемку и оценку района, указанного в плане работы.\n\n23. Приложить достаточную информацию, позволяющую Совету определить, в состоянии ли заявитель осуществить предлагаемый план работы по разведке в техническом отношении, включая: a) общее описание имеющихся у заявителя опыта, знаний, навыков, технической квалификации и специальной подготовки для осуществления предлагаемого плана работы по разведке;\n\nb) общее описание оборудования и методов, которые намечается использовать при осуществлении предлагаемого плана работы по разведке, и другую не имеющую характера собственности информацию о характеристиках такой технологии; c) общее описание имеющихся у заявителя финансовых и технических возможностей реагировать на любые инциденты или действия, причиняющие серьезный ущерб морской среде.\n\nРаздел IV. План работы по разведке\n\n24. Приложить следующую информацию о программе работы по разведке: a) общее описание и график предлагаемой программы разведки, включая программу деятельности на ближайший пятилетний период, как-то запланированные исследования в отношении экологических, технических, экономических и прочих соответствующих факторов, которые должны учитываться при разведке;\n\nb) описание программы океанографических и фоновых экологических исследований в соответствии с настоящими Правилами и любыми установленными Органом природоохранными нормами, правилами и процедурами, которая позволила бы произвести оценку потенциального экологического воздействия предлагаемой разведочной деятельности, включая воздействие на биоразнообразие, но не ограничиваясь таковым, с учетом любых рекомендаций, выносимых Юридической и технической комиссией; c) предварительная оценка возможного воздействия предлагаемой разведочной деятельности на морскую среду;\n\nd) описание предлагаемых мер по предупреждению, уменьшению и сохранению под контролем загрязнения и другого опасного воздействия на морскую среду, а также возможных последствий для нее; e) калькуляция предполагаемых годовых расходов по программе деятельности на ближайший пятилетний период.\n\nРаздел V. Обязательства\n\n25. Приложить письменное обязательство заявителя: a) признать в качестве подлежащих исполнению и соблюдать применимые обязательства, возникающие в силу положений Конвенции, норм, правил и процедур Органа, решений соответствующих органов Органа и условий его контрактов с Органом;\n\nb) признать предусмотренный Конвенцией контроль со стороны Органа за деятельностью в Районе; c) представить Органу письменное заверение в том, что его обязательства по контракту будут добросовестно выполняться.\n\nРаздел VI. Предыдущие контракты\n\n26. Если заявитель или — в случае представления заявки партнерством или консорциумом субъектов, осуществляющих деятельность совместно, — любой участник партнерства или консорциума заключал ранее какой-либо контракт с Органом, то заявка должна включать: a) дату предыдущего контракта (контрактов);\n\nb) дату представления, условное обозначение и название каждого отчета, представленного Органу в связи с контрактом (контрактами); c) в соответствующих случаях — дату прекращения контракта (контрактов).\n\nРаздел VII. Добавления\n\n27. Перечислить все добавления и приложения к настоящей заявке (все данные и информация должны представляться в печатном виде и в указанном Органом цифровом формате): Дата: Подпись назначенного изыскателем представителя Заверено: Подпись заверяющего лица Имя заверяющего лица Должность заверяющего лица\n\nПриложение III. Контракт на разведку НАСТОЯЩИМ КОНТРАКТОМ, заключенным «___» ____________ года между МЕЖДУНАРОДНЫМ ОРГАНОМ ПО МОРСКОМУ ДНУ (именуемым далее «Орган»), представленным его ГЕНЕРАЛЬНЫМ СЕКРЕТАРЕМ, и ____________________ (именуемым далее «Контрактор»), представленным _____________________, УДОСТОВЕРЯЕТСЯ нижеследующее: Инкорпорация условий\n\n1. Настоящий контракт включает в себя стандартные условия, приводимые в приложении IV к Правилам поиска и разведки полиметаллических конкреций в Районе, и эти условия имеют такую же силу, как если бы они развернуто приводились в настоящем контракте. Разведочный район\n\n2. Для целей настоящего контракта «разведочный район» означает ту часть Района, которая выделена контрактору для разведки; она определяется перечисленными в добавлении 1 к контракту координатами и может периодически сокращаться в соответствии со стандартными условиями и Правилами. Предоставление прав\n\n3. С учетом a) их взаимной заинтересованности в осуществлении деятельности по разведке в разведочном районе в соответствии с Конвенцией Организации Объединенных Наций по морскому праву от 10 декабря 1982 года и Соглашением об осуществлении Части XI Конвенции, b) ответственности Органа за организацию и контролирование деятельности в Районе, в частности в целях управления ресурсами Района, в соответствии с правовым режимом, установленным, соответственно, в Части XI Конвенции и Соглашении об осуществлении Части XI Конвенции, и c) интересов и финансовых обязательств Контрактора в осуществлении деятельности в разведочном районе и взаимных договоренностей, закрепленных в настоящем контракте, Орган предоставляет настоящим Контрактору исключительное право на разведку полиметаллических конкреций в разведочном районе в соответствии с условиями настоящего контракта. Вступление в силу и срок действия контракта\n\n4. Настоящий контракт вступает в силу по его подписании обеими сторонами и с соблюдением стандартных условий остается в силе в течение последующих пятнадцати лет, если только:\n\na) Контрактор не получит контракт на разработку в разведочном районе, вступающий в силу до истечения такого пятнадцатилетнего периода, или\n\nb) контракт не будет прекращен ранее, при условии что срок действия контракта может быть продлен в соответствии со стандартными условиями 3.2 и 17.2. Добавления\n\n5. Добавления, упоминаемые в стандартных условиях, а именно в разделе 4 и разделе 7, являются для целей настоящего контракта, соответственно, добавлениями 2 и 3. Содержание соглашения\n\n6. Настоящий контракт заключает в себе все содержание соглашения между сторонами, и никакие устные договоренности или предшествующие документы не меняют его условий. В УДОСТОВЕРЕНИЕ ЧЕГО нижеподписавшиеся, должным образом на то уполномоченные соответствующими сторонами, подписали «___» _______ года в _______________ настоящий контракт.\n\nДобавление 1. [Координаты и иллюстративная карта разведочного района]\n\nДобавление 2. [Периодически пересматриваемая программа деятельности на текущий пятилетний период]\n\nДобавление 3 [Программа подготовки кадров становится добавлением к контракту после утверждения Органом в соответствии с разделом 8 стандартных условий]\n\nПриложение IV\n\nСтандартные условия контракта на разведку\n\nРаздел 1. Определения\n\n1.1 В нижеследующих условиях: a) «разведочный район» означает ту часть Района, которая выделена Контрактору для разведки; она описывается в добавлении 1 к настоящему контракту и может периодически сокращаться в соответствии с настоящим контрактом и Правилами;\n\nb) «программа деятельности» означает программу деятельности, которая изложена в добавлении 2 к контракту и может периодически корректироваться в соответствии с разделами 4.3 и 4.4 контракта; c) «Правила» означает Правила поиска и разведки полиметаллических конкреций в Районе, принимаемые Органом.\n\n1.2 Термины и выражения, которым дано определение в Правилах, имеют то же значение и в настоящих стандартных условиях.\n\n1.3 В соответствии с Соглашением об осуществлении Части XI Конвенции Организации Объединенных Наций по морскому праву от 10 декабря 1982 года его положения и Часть XI Конвенции толкуются и применяются совместно, как единый акт; настоящий контракт и содержащиеся в нем ссылки на Конвенцию толкуются и применяются соответствующим же образом.\n\n1.4 Настоящий контракт включает добавления к нему, которые являются его неотъемлемой частью.\n\nРаздел 2. Гарантия обладания контрактом\n\n2.1 Контрактору гарантируется обладание контрактом, и настоящий контракт не может быть приостановлен, прекращен или пересмотрен иначе как в соответствии с его разделами 20, 21 и 24.\n\n2.2 Контрактор имеет исключительное право на разведку полиметаллических конкреций в разведочном районе в соответствии с условиями настоящего контракта. Орган обеспечивает, чтобы никакой иной субъект не осуществлял в разведочном районе деятельность, связанную с иной категорией ресурсов, таким образом, чтобы это создавало необоснованные помехи для деятельности Контрактора.\n\n2.3 Контрактор вправе, уведомив Орган, в любой момент полностью или частично отказаться, не подвергаясь каким-либо санкциям, от своих прав в разведочном районе, при том что он не освобождается ни от каких обязательств, возникших в отношении района, от которого он отказывается, до даты такого отказа.\n\n2.4 Ничто в настоящем контракте не может рассматриваться как наделяющее Контрактора какими-либо правами помимо тех, которые прямо ему предоставлены контрактом. Орган оставляет за собой право заключать с третьими сторо- нами контракты в отношении ресурсов помимо полиметаллических конкреций в районе, охватываемом настоящим контрактом.\n\nРаздел 3. Срок действия контракта\n\n3.1 Настоящий контракт вступает в силу по его подписании обеими сторонами и остается в силе в течение последующих пятнадцати лет, если только:\n\na) Контрактор не получит контракт на разработку в разведочном районе, вступающий в силу до истечения такого пятнадцатилетнего срока, или\n\nb) контракт не будет прекращен ранее, — при условии что срок действия контракта может быть продлен в соответствии с его разделами 3.2 и 17.2.\n\n3.2 По заявлению Контрактора не позднее чем за шесть месяцев до истечения настоящего контракта контракт может быть продлен на сроки, не превышающие пяти лет каждый, на таких условиях, которые Орган и Контрактор могут в тот момент согласовать в соответствии с Правилами. Такие продления утверждаются, если Контрактор добросовестно пытался соблюсти требования настоящего контракта, однако в силу неподвластных ему обстоятельств не смог завершить необходимую подготовительную работу для перехода к этапу разработки, либо если такой переход не оправдывается сложившейся экономической конъюнктурой.\n\n3.3 Независимо от истечения срока действия настоящего контракта в соответствии с его разделом 3.1, если Контрактор не позднее чем за 90 дней до истечения срока действия подаст заявку на контракт на разработку, права и обязательства Контрактора по настоящему контракту остаются в силе до тех пор, пока эта заявка не будет рассмотрена и не будет заключен или же отклонен контракт на разработку.\n\nРаздел 4. Разведка\n\n4.1 Контрактор начинает разведку в соответствии с графиком, предусмотренным в программе деятельности, изложенной в добавлении 2 к контракту, и придерживается таких сроков или любых их изменений, которые предусмотрены в настоящем контракте.\n\n4.2 Контрактор выполняет программу деятельности, изложенную в добавлении 2 к контракту. В каждом контрактном году Контрактор расходует в качестве фактических прямых расходов на разведку сумму, не меньше указанной в такой программе или любом согласованном пересмотренном ее варианте.\n\n4.3 Контрактор с согласия Органа, который не может необоснованно отказать в таком согласии, может периодически вносить в программу деятельности и указанные в ней расходы такие изменения, которые могут быть необходимы и разумны в соответствии с принятой в добывающей промышленности надлежащей практикой и с учетом конъюнктуры на рынке металлов, содержащихся в полиметаллических конкрециях, и иных условий мировой экономической конъюнктуры.\n\n4.4 Не позднее чем за 90 дней до истечения каждого пятилетнего срока, отсчитываемого с даты, когда настоящий контракт вступает в силу в соответствии с его разделом 3, Контрактор и Генеральный секретарь совместно производят обзор осуществления плана работы по разведке в соответствии с настоящим контрактом. Генеральный секретарь может затребовать у Контрактора дополнительные данные и информацию, которые могут оказаться необходимы для целей обзора. В свете этого обзора контрактор вносит такие изменения в свою предыдущую программу деятельности, которые становятся необходимыми, и формулирует свою программу деятельности на последующий пятилетний период, включая пересмотренную смету ожидаемых ежегодных расходов. В дополнение 2 к контракту вносятся соответствующие коррективы.\n\nРаздел 5. Экологический мониторинг\n\n5.1 Контрактор принимает необходимые меры для предотвращения, сокращения и сохранения под контролем загрязнения и других опасностей для морской среды, вызываемых его деятельностью в Районе, насколько это реально возможно, используя осторожный подход и передовую природоохранную практику.\n\n5.2 До начала разведочной деятельности Контрактор представляет Органу: a) оценку возможного воздействия предлагаемой деятельности на морскую среду;\n\nb) предложение по программе мониторинга, позволяющей определить возможное воздействие предлагаемой деятельности на морскую среду, и c) данные, могущие применяться для установления экологического фона, в сопоставлении с которым оценивается воздействие предлагаемой деятельности.\n\n5.3 По ходу разведочной деятельности Контрактор производит в соответствии с Правилами сбор фоновых экологических данных и устанавливает экологический фон, в сопоставлении с которым оценивается возможное воздействие деятельности Контрактора на морскую среду.\n\n5.4 Контрактор организует и осуществляет в соответствии с Правилами программу мониторинга такого воздействия на морскую среду и сообщения о нем. Контрактор сотрудничает с Органом в осуществлении такого мониторинга.\n\n5.5 В течение 90 дней после окончания каждого календарного года Контрактор сообщает Генеральному секретарю об осуществлении и результатах программы мониторинга, о которой говорится в разделе 5.4 контракта, и представляет данные и информацию в соответствии с Правилами.\n\nРаздел 6. Планы чрезвычайных мер и чрезвычайные ситуации\n\n6.1 До начала осуществления своей программы деятельности по настоящему контракту Контрактор представляет Генеральному секретарю план чрезвычайных мер с целью эффективного реагирования на вызванные деятельностью Контрактора на море в разведочном районе инциденты, которые могут причинить серьезный ущерб морской среде или создать угрозу такого ущерба. В таком плане чрезвычайных мер устанавливаются специальные процедуры и пре- дусматривается надлежащее и подходящее оборудование для борьбы с такими инцидентами, и в частности оговаривается: a) немедленное объявление общей тревоги в районе разведочной деятельности; b) немедленное извещение Генерального секретаря; c) предупреждение судов, которые могут вскоре оказаться в непосредственной близости;\n\nd) непрерывное снабжение Генерального секретаря полной информацией, касающейся подробностей чрезвычайной ситуации, уже принятых мер и требуемых дальнейших действий; e) устранение в надлежащих случаях загрязняющих веществ; f) сокращение и, насколько это реально возможно, предотвращение серьезного ущерба морской среде, а также смягчение соответствующих последствий;\n\ng) сотрудничество при необходимости с другими контракторами Органа в целях устранения чрезвычайной ситуации; h) проведение периодических учебных тревог.\n\n6.2 Контрактор оперативно сообщает Генеральному секретарю о любом вызванном деятельностью Контрактора инциденте, который причинил, причиняет или угрожает причинить серьезный ущерб морской среде. Каждое такое сообщение содержит подробное изложение такого инцидента, включая, в частности: a) координаты района, который был затронут или который вполне может быть затронут;\n\nb) описание действий, предпринимаемых контрактором в целях предотвращения, сдерживания, максимального сокращения и устранения серьезного ущерба морской среде или угрозы такого ущерба; c) описание действий, предпринимаемых Контрактором в целях мониторинга последствий инцидента для морской среды;\n\nd) такую другую информацию, которая может разумно потребоваться Генеральному секретарю.\n\n6.3 Контрактор выполняет чрезвычайные распоряжения и экстренные меры временного характера, которые принимаются сообразно с Правилами, соответственно, Советом и Генеральным секретарем для предотвращения серьезного ущерба морской среде и которые могут включать распоряжения о том, чтобы Контрактор немедленно приостановил или скорректировал любую деятельность в разведочном районе.\n\n6.4 Если Контрактор не выполняет оперативно такие чрезвычайные распоряжения или экстренные меры временного характера, то Совет может принимать за счет Контрактора такие разумные меры, которые необходимы для предотвращения, сдерживания, максимального сокращения или устранения любого такого серьезного ущерба морской среде или угрозы такого ущерба. Контрактор оперативно возмещает Органу такие расходы. Такие расходы не включают любые денежные штрафы, которые могут быть наложены на Контрактора в соответствии с условиями настоящего контракта или Правилами.\n\nРаздел 7. Человеческие останки и объекты и участки, имеющие археологическое или историческое значение Контрактор незамедлительно уведомляет Генерального секретаря в письменном виде об обнаружении в разведочном районе каких бы то ни было человеческих останков, имеющих археологическое или историческое значение, или каких-либо объектов или участков аналогичного характера и об их местонахождении, включая принятые меры по сохранению и защите. Генеральный секретарь препровождает такую информацию Генеральному директору Организации Объединенных Наций по вопросам образования, науки и культуры и любой иной компетентной международной организации. При обнаружении в разведочном районе любых таких человеческих останков, объектов или участков и во избежание причинения ущерба таким человеческим останкам, объектам или участкам в разумном радиусе не проводится никаких дальнейших поисковоразведочных работ, пока Совет не примет иного решения с учетом мнения Генерального директора Организации Объединенных Наций по вопросам образования, науки и культуры или любой иной компетентной международной организации.\n\nРаздел 8. Подготовка кадров\n\n8.1 В соответствии с Правилами Контрактор до начала разведки по настоящему контракту представляет Органу на утверждение предлагаемые программы подготовки персонала Органа и развивающихся государств, включая участие такого персонала во всех мероприятиях Контрактора по настоящему контракту.\n\n8.2 Сфера охвата и порядок финансирования программы подготовки кадров подлежат согласованию между Контрактором, Органом и поручившимся государством (государствами).\n\n8.3 Контрактор осуществляет программы подготовки кадров согласно утвержденной Органом в соответствии с Правилами конкретной программе подготовки персонала, о которой говорится в разделе 8.1 контракта и которая с вносимыми в нее периодически изменениями становится частью контракта в качестве добавления 3.\n\nРаздел 9. Книги и записи Контрактор содержит в соответствии с международно принятыми принципами учета полный и надлежащий комплект книг, счетов и финансовых записей. Такие книги, счета и финансовые записи включают информацию, которая дает полный отчет о фактических и прямых расходах по разведке, и такую другую информацию, которая позволяет произвести эффективную ревизию таких расходов.\n\nРаздел 10. Годовые отчеты\n\n10.1 В течение 90 дней после окончания каждого календарного года Контрактор представляет Генеральному секретарю в таком формате, который может периодически рекомендовать Юридическая и техническая комиссия, отчет о своей программе деятельности в разведочном районе, содержащий, насколько это применимо, достаточно подробную информацию: a) о разведочных работах, выполненных за календарный год, включая карты, диаграммы и графики, иллюстрирующие проделанную работу и полученные результаты;\n\nb) об оборудовании, использовавшемся при выполнении разведочных работ, включая результаты проведенных испытаний предлагаемых добычных технологий, без данных о конструкции оборудования; c) об осуществлении программ подготовки кадров, включая любые предлагаемые изменения или дополнения к таким программам.\n\n10.2 В таких отчетах содержатся также: a) результаты, полученные в ходе программ экологического мониторинга, включая наблюдения, измерения, оценки и анализы экологических параметров;\n\nb) заявление о количестве полиметаллических конкреций, извлеченных в виде проб или для испытаний; c) подготовленная в соответствии с международно принятыми принципами учета и заверенная надлежащим образом уполномоченной аудиторской фирмой или — когда Контрактором является государство или государственное предприятие — поручившимся государством ведомость фактических прямых затрат на разведку, понесенных Контрактором при осуществлении программы деятельности за учетный год Контрактора. Такие затраты могут проводиться Контрактором как часть его расходов по освоению, понесенных до начала промышленного производства;\n\nd) подробное изложение предлагаемых корректировок программы деятельности и оснований для таких корректировок.\n\n10.3 Контрактор представляет также информацию, которая дополняет отчеты, упомянутые в разделах 10.1 и 10.2 настоящего контракта и которую периодически может обоснованно затребовать Генеральный секретарь в целях осуществления функций Органа по Конвенции, Правилам и настоящему контракту.\n\n10.4 До истечения срока действия настоящего контракта Контрактор сохраняет в хорошем состоянии показательную часть проб полиметаллических конкреций, собранных в ходе разведки. Орган может в письменном виде запросить у Контрактора для анализа часть любой такой пробы, отобранной в ходе разведки.\n\nРаздел 11. Данные и информация, представляемые по истечении срока действия контракта\n\n11.1 Контрактор передает Органу все данные и информацию, которые необходимы и имеют значение для эффективного осуществления полномочий и функций Органа в отношении разведочного района в соответствии с положениями настоящего раздела.\n\n11.2 По истечении срока действия настоящего контракта Контрактор представляет Генеральному секретарю, если он еще этого не сделал, следующие данные и информацию: a) копии всех геологических, экологических, геохимических и геофизических данных, которые получены Контрактором в ходе выполнения программы деятельности и которые необходимы и имеют значение для эффективного осуществления полномочий и функций Органа в отношении разведочного района;\n\nb) оценку эксплуатабельных участков, если такие участки были определены, которая включает подробные сведения о сортности и количестве доказанных, вероятных и возможных полиметаллических конкреций и предполагаемых условиях добычи; c) копии геологических, технических, финансовых и экономических отчетов, которые составлены Контрактором или для него и которые необходимы и имеют значение для эффективного осуществления полномочий и функций Органа в отношении разведочного района;\n\nd) достаточно подробную информацию об оборудовании, использовавшемся при выполнении разведочных работ, включая результаты проведенных испытаний предлагаемых добычных технологий, без данных о конструкции оборудования; e) заявление о количестве полиметаллических конкреций, извлеченных в виде проб или для испытаний, и f) заявление о том, каким образом и где пробы были получены, и об их доступности Органу.\n\n11.3 Указанные в разделе 11.2 контракта данные и информация представляются Генеральному секретарю также в том случае, если до истечения срока действия настоящего контракта Контрактор подает заявку на утверждение плана работы по разработке или если Контрактор отказывается от своих прав в разведочном районе, — в том объеме, в каком такие данные и информация относятся к району, от которого он отказывается.\n\nРаздел 12. Конфиденциальность Переданные Органу в соответствии с настоящим контрактом данные и информация рассматриваются как конфиденциальные в соответствии с положениями Правил.\n\nРаздел 13. Обязательства\n\n13.1 Контрактор ведет разведку в соответствии с условиями настоящего контракта, Правилами, Частью XI Конвенции, Соглашением и другими нормами международного права, согласующимися с Конвенцией.\n\n13.2 Контрактор обязуется: a) признать в качестве подлежащих исполнению и соблюдать условия настоящего контракта;\n\nb) выполнять применимые обязательства, возникающие в силу положений Конвенции, норм, правил и процедур Органа и решений соответствующих органов Органа; c) признать предусмотренный Конвенцией контроль со стороны Органа за деятельностью в Районе; d) тракту; добросовестно выполнять свои обязательства по настоящему кон- e) соблюдать, насколько это реально возможно, любые рекомендации, которые может периодически выносить Юридическая и техническая комиссия.\n\n13.3 Контрактор активно осуществляет программу работы и при этом: a) проявляет должное старание, действенность и экономию; b) разумно учитывает воздействие своей деятельности на морскую среду; c) разумно учитывает другую деятельность в морской среде.\n\n13.4 В соответствии со статьей 157 Конвенции Орган обязуется добросовестно выполнять свои полномочия и функции по Конвенции и Соглашению.\n\nРаздел 14. Инспектирование\n\n14.1 Контрактор разрешает Органу направлять своих инспекторов на борт судов и установок, используемых контрактором для осуществления деятельности в разведочном районе, в целях: a) проверки соблюдения Контрактором условий настоящего контракта и Правил; b) мониторинга воздействия такой деятельности на морскую среду.\n\n14.2 Генеральный секретарь за разумный срок сообщает контрактору сведения о предполагаемом времени и продолжительности инспекций, имена инспекторов и сведения о любой их деятельности, для которой может потребоваться наличие специального оборудования или особое содействие персонала контрактора.\n\n14.3 Такие инспекторы полномочны производить осмотр любого судна или установки, включая их судовой журнал, оборудование, отчеты, оснащение, все прочие регистрируемые данные и любые соответствующие документы, необходимые для проверки соблюдения Контрактором своих обязательств.\n\n14.4 Контрактор, его агенты и работники оказывают инспекторам содействие в выполнении их обязанностей и: a) допускают и облегчают быструю и безопасную высадку инспекторов на суда и установки;\n\nb) оказывают содействие в осмотре любого судна или установки, производимом в соответствии с этими процедурами; c) обеспечивают доступ ко всему соответствующему оборудованию, оснащению и персоналу на судах и установках в любое разумное время;\n\nd) не чинят препятствий, не допускают угроз и не мешают инспекторам в выполнении ими своих обязанностей; e) обеспечивают инспекторам разумные условия, включая, когда необходимо, продовольствие и жилые помещения; f) способствуют безопасному убытию инспекторов.\n\n14.5 Инспекторы избегают вмешательства в нормальные, безопасные операции на борту судов и установок, используемых Контрактором для осуществления деятельности в посещаемом районе, и действуют сообразно Правилам и мерам, принятым в целях охраны конфиденциальности данных и информации.\n\n14.6 Генеральный секретарь и любой из должным образом уполномоченных его представителей имеют доступ — на предмет ревизии и изучения — к любым книгам, документам, бумагам и записям Контрактора, которые необходимы для проверки расходов, упомянутых в разделе 10.2(c), и имеют непосредственное отношение к такой проверке.\n\n14.7 В тех случаях, когда требуется принятие мер, Генеральный секретарь направляет соответствующую информацию, содержащуюся в докладах инспекторов, Контрактору и поручившемуся за него государству (государствам).\n\n14.8 Если по какой-либо причине Контрактор не производит разведку и не запрашивает контракт на разработку, до ухода из района разведки он уведомляет Генерального секретаря в письменном виде, с тем чтобы Орган мог осуществить инспектирование согласно настоящему разделу, если он примет такое решение.\n\nРаздел 15. Нормы техники безопасности, охраны труда и производственной гигиены\n\n15.1 Контрактор соблюдает установленные компетентными международными организациями или общими дипломатическими конференциями общепризнанные международные нормы и стандарты, касающиеся охраны человеческой жизни на море и предупреждения столкновений судов, и такие нормы, правила и процедуры, которые могут быть приняты Органом в отношении безопасности на море. Каждое судно, используемое для осуществления деятельности в Районе, имеет действительные на текущий момент свидетельства, требуемые и выдаваемые на основании таких международных норм и стандартов.\n\n15.2 При ведении разведки по настоящему контракту контрактор соблюдает и выполняет такие нормы, правила и процедуры, которые могут быть приняты Органом в отношении защиты от дискриминации в области занятости, техники безопасности, производственной гигиены, производственных отношений, социального обеспечения, гарантий занятости и условий быта на месте работы. В таких нормах, правилах и процедурах учитываются конвенции и рекомендации Международной организации труда и других компетентных международных организаций.\n\nРаздел 16. Ответственность\n\n16.1 Контрактор несет ответственность за любой фактический ущерб, в том числе ущерб морской среде, причиненный в результате неправомерных действий или бездействия самого Контрактора или его работников, субподрядчиков, агентов и всех лиц, выполняющих для них работы или действующих от их имени при осуществлении Контрактором деятельности по настоящему контракту, включая затраты на разумные меры по предотвращению или ограничению ущерба морской среде; при этом учитываются действия или бездействие Органа, способствовавшие причинению такого ущерба.\n\n16.2 Контрактор возмещает Органу, его работникам, субподрядчикам и агентам издержки по всем претензиям и требованиям, предъявленным любой третьей стороной в результате каких-либо неправомерных действий или бездействия Контрактора и его работников, агентов и субподрядчиков, а также всех лиц, выполняющих для них работы или действующих от их имени при осуществлении Контрактором деятельности по настоящему контракту.\n\n16.3 Орган несет ответственность за любой фактический ущерб Контрактору, причиненный в результате его неправомерных действий при исполнении им своих полномочий и функций, включая нарушения, предусмотренные пунктом 2 статьи 168 Конвенции; при этом учитываются способствовавшие причинению такого ущерба действия или бездействие Контрактора или его работников, агентов и субподрядчиков, а также всех лиц, выполняющих для них работы или действующих от их имени при осуществлении Контрактором деятельности по настоящему контракту.\n\n16.4 Орган возмещает Контрактору, его работникам, субподрядчикам, агентам и всем лицам, выполняющим для них работы или действующим от их имени при осуществлении Контрактором деятельности по настоящему контракту, издержки по всем претензиям и требованиям, предъявленным любой третьей стороной в результате каких-либо неправомерных действий или бездействия при осуществлении им своих полномочий и функций по настоящему контракту, включая нарушения, предусмотренные в пункте 2 статьи 168 Конвенции.\n\n16.5 Контрактор заключает с международно признанными страховыми компаниями надлежащие договоры страхования в соответствии с общепринятой международной морской практикой.\n\nРаздел 17. Форс-мажорные обстоятельства\n\n17.1 Контрактор не несет ответственности за неизбежную задержку с исполнением или неисполнение какого-либо из своих обязательств по настоящему контракту в силу форс-мажорных обстоятельств. Для целей настоящего контракта выражение «форс-мажорные обстоятельства» означает событие или со- стояние, предотвратить или сохранить под контролем которое Контрактор реально не мог, при условии что это событие или состояние не было вызвано небрежностью или нарушением принятой в добывающей промышленности надлежащей практики.\n\n17.2 Предоставленный Контрактору срок продлевается по его просьбе на период, равный по продолжительности вызванной форс-мажорными обстоятельствами задержке; соответственно продлевается и срок действия контракта.\n\n17.3 В случае форс-мажорных обстоятельств Контрактор принимает все разумные меры с целью устранить свою неспособность исполнить обязательство и соблюдать условия контракта с минимальной задержкой.\n\n17.4 Контрактор в разумно возможные сроки уведомляет Орган о сложившихся форс-мажорных обстоятельствах и аналогичным же образом уведомляет Орган о восстановлении нормальных условий.\n\nРаздел 18. Оговорка Ни Контрактор, ни какие-либо ассоциированные компании или субподрядчики никоим образом — ни прямо, ни опосредованно — не заявляют и не дают оснований предположить, что Орган или какое-либо его должностное лицо имеет или выразило какое-либо мнение относительно полиметаллических конкреций в разведочном районе, причем ни в каких проспектах, уведомлениях, циркулярах, рекламных материалах, пресс-релизах или аналогичных документах, прямо или косвенно затрагивающих настоящий контракт и публикуемых Контрактором, какими-либо ассоциированными компаниями или субподрядчиками, не фигурируют и не поддерживаются заявления на этот счет. Для целей настоящего раздела выражение «ассоциированная компания» означает любое лицо, фирму или компанию либо принадлежащую государству организацию, контролирующие Контрактора, контролируемые им или находящиеся под общим с ним контролем.\n\nРаздел 19. Отказ от прав Контрактор вправе, уведомив Орган, отказаться от своих прав и прекратить действие настоящего контракта, не подвергаясь каким-либо санкциям, при том что он не освобождается ни от каких обязательств, возникших до даты такого отказа, и от тех обязательств, которые требуется выполнить после прекращения действия контракта в соответствии с Правилами.\n\nРаздел 20. Прекращение поручительства\n\n20.1 Если изменяется национальная принадлежность Контрактора или контроль над ним либо если поручившееся за Контрактора государство, как оно определяется в Правилах, прекращает свое поручительство, Контрактор немедленно уведомляет об этом Орган.\n\n20.2 В любом подобном случае действие контракта немедленно прекращается, если Контрактор не находит другого поручителя, который отвечает предписываемым Правилами требованиям и представляет Органу в оговоренный в Пра- вилах срок удостоверение о поручительстве за Контрактора по установленной форме.\n\nРаздел 21. Приостановление или прекращение действия контракта и санкции\n\n21.1 Совет может приостановить или прекратить действие настоящего контракта, что не наносит ущерб каким-либо другим правам, которые может иметь Орган, в случае наступления любого из следующих событий: a) если, несмотря на письменные предупреждения Органа, Контрактор осуществлял свою деятельность таким образом, что это приводило к серьезным, постоянным и умышленным нарушениям основных условий настоящего контракта, Части XI Конвенции, Соглашения и норм, правил и процедур, установленных Органом;\n\nb) если Контрактор не выполнил применимого к нему окончательного обязательного решения органа по урегулированию споров; c) если Контрактор становится неплатежеспособным, либо объявляет себя банкротом, либо заключает со своими кредиторами мировое соглашение, либо подвергается ликвидации или конкурсному управлению, будь то в принудительном или добровольном порядке, либо обращается в какой-либо судебный орган с просьбой назначить управляющего или поручителя или управляющего для него самого, либо начинает в отношении себя производство по любому действующему сейчас или в будущем закону о банкротстве, несостоятельности или реструктуризации долгов, за исключением случаев, когда это делается в целях реорганизации.\n\n21.2 При условии соблюдения раздела 17 Совет может после консультаций с Контрактором приостановить или прекратить действие настоящего контракта (что не наносит ущерба каким-либо другим правам, которые может иметь Орган), если Контрактор оказывается не в состоянии исполнять свои обязательства по настоящему контракту в силу события или состояния, которое относится к форс-мажорным обстоятельствам по смыслу раздела 17.1 и которое продолжается в течение непрерывного промежутка времени, превышающего два года, несмотря на принятие Контрактором всех разумных мер с целью преодолеть свою неспособность исполнить обязательство и соблюдать условия настоящего контракта с минимальной задержкой.\n\n21.3 Любая приостановка или прекращение действия контракта осуществляется путем делаемого через Генерального секретаря уведомления, которое включает изложение причин этой меры. Приостановка или прекращение действия контракта вступает в силу через 60 дней после такого уведомления, если только Контрактор за этот срок не оспорит право Органа приостанавливать или прекращать действие контракта в соответствии с разделом 5 Части XI Конвенции.\n\n21.4 Если Контрактор предпринимает такой шаг, действие настоящего контракта приостанавливается или прекращается только на основании окончательного обязательного решения в соответствии с разделом 5 Части XI Конвенции.\n\n21.5 Если Совет приостанавливает действие настоящего контракта, он может путем уведомления потребовать, чтобы Контрактор не позднее чем через\n\n60 дней после такого уведомления возобновил свои операции и стал выполнять условия настоящего контракта.\n\n21.6 В случае какого-либо нарушения настоящего контракта, не охватываемого его разделом 21.1(a), либо вместо приостановки или прекращения действия контракта в соответствии с его разделом 21.1 Совет может наложить на Контрактора денежный штраф, соразмерный серьезности нарушения.\n\n21.7 Совет не может исполнить решение, предусматривающее наложение денежных штрафов, до тех пор, пока Контрактору не будет предоставлена разумная возможность исчерпать средства судебной защиты, которыми он обладает в соответствии с разделом 5 Части XI Конвенции.\n\n21.8 В случае прекращения или истечения срока действия настоящего контракта Контрактор выполняет требования Правил и удаляет из разведочного района все установки, механизмы, оборудование и материалы, обезопасив этот район для людей, судоходства и морской среды.\n\nРаздел 22. Передача прав и обязательств\n\n22.1 Права и обязательства Контрактора по настоящему контракту могут передаваться полностью или частично только с согласия Органа и в соответствии с Правилами.\n\n22.2 Орган без разумных оснований не отказывает в таком согласии, если субъект, которому предлагается передать права и обязательства, является квалифицированным во всех отношениях заявителем в соответствии с Правилами и принимает на себя все обязательства Контрактора и если при этой передаче он не приобретает план работы, утверждение которого запрещалось бы пунктом 3(c) статьи 6 Приложения III к Конвенции.\n\n22.3 Условия, обязательства и положения настоящего контракта вступают в силу и являются обязательными для его сторон и их соответствующих правопреемников и право приобретателей.\n\nРаздел 23. Неосвобождение от обязательств Никакой отказ одной из сторон от каких-либо своих прав в связи с нарушением условий настоящего контракта, которые должна выполнять другая сторона, не рассматривается как предоставление стороной освобождения от обязательств при любом последующем нарушении тех же или каких-либо других условий, подлежащих выполнению другой стороной.\n\nРаздел 24. Пересмотр\n\n24.1 Когда возникают или могут возникнуть обстоятельства, которые, по мнению Органа или Контрактора, приводят к тому, что настоящий контракт становится несправедливым или практически неосуществимым, или при которых невозможно достичь целей, изложенных в настоящем контракте либо в Час- ти XI Конвенции или в Соглашении, стороны вступают в переговоры с целью соответствующего его пересмотра.\n\n24.2 Настоящий контракт может также быть пересмотрен по договоренности между Контрактором и Органом, с тем чтобы облегчить применение любых норм, правил и процедур, принятых Органом после вступления в силу настоящего контракта.\n\n24.3 Настоящий контракт может быть подвергнут пересмотру, внесению поправок или иных изменений лишь с согласия Контрактора и Органа посредством соответствующего документа, подписанного уполномоченными представителями сторон.\n\nРаздел 25. Споры\n\n25.1 Любой спор между сторонами относительно толкования или применения настоящего контракта урегулируется в соответствии с разделом 5 Части XI Конвенции.\n\n25.2 В соответствии со статьей 21 (2) приложения III к Конвенции любое окончательное решение суда или арбитража, имеющего компетенцию согласно Конвенции, относительно прав и обязанностей Органа и Контрактора подлежит исполнению на территории любого государства — участника Конвенции, затрагиваемого этим решением.\n\nРаздел 26. Уведомление\n\n26.1 Любое заявление, просьба, уведомление, сообщение, согласие, одобрение, освобождение от обязательств, распоряжение или инструкция на основании настоящего контракта направляются Генеральным секретарем или же назначенным представителем Контрактора в письменном виде. Они доставляются с посыльным либо по телексу, по факсу, заказной авиапочтой или электронной почтой с авторизованной электронной подписью Генеральному секретарю в штаб-квартиру Органа или же назначенному представителю. Требование о представлении какой-либо информации в письменном виде согласно настоящим Правилам удовлетворяется представлением информации в электронном документе, содержащем цифровую подпись.\n\n26.2 Любая из сторон вправе изменить всякий такой адрес на любой другой, уведомив об этом не менее чем за десять дней другую сторону.\n\n26.3 Доставка с посыльным считается состоявшейся в момент вручения. Доставка по телексу считается состоявшейся на следующий рабочий день после того, как на телексном аппарате отправителя появляется автоответ. Доставка по факсу считается состоявшейся, когда отправитель получает сигнал «сообщение передано», подтверждающий, что сообщение прошло на обнародованный номер факса получателя. Доставка заказной авиапочтой считается состоявшейся через 21 день после отправки. Предполагается, что электронное сообщение получено адресатом, когда оно попадает в информационную систему, обозначенную или используемую адресатом для цели получения документов, аналогичных отправленному, и оно может быть извлечено и обработано адресатом.\n\n26.4 Уведомление в адрес назначенного представителя Контрактора представляет собой действительное уведомление Контрактора для всех целей по настоящему контракту, а назначенный представитель является представителем Контрактора для целей вручения повесток или извещений по любому производству в каком-либо компетентном судебном или арбитражном органе.\n\n26.5 Уведомление в адрес Генерального секретаря представляет собой действительное уведомление Органа для всех целей по настоящему контракту, а Генеральный секретарь является представителем Органа для целей вручения повесток или извещений по любому производству в каком-либо компетентном судебном или арбитражном органе.\n\nРаздел 27. Применимые правовые нормы\n\n27.1 Контракт регулируется условиями настоящего контракта, нормами, правилами и процедурами Органа, Частью XI Конвенции, Соглашением и другими нормами международного права, согласующимися с Конвенцией.\n\n27.2 Контрактор, его работники, субподрядчики, агенты и все лица, выполняющие для них работы или действующие от их имени при осуществлении деятельности по настоящему контракту, соблюдают применимые правовые нормы, указанные в разделе 27.1 контракта, и не участвуют ни прямым, ни косвенным образом в каких бы то ни было сделках, запрещенных этими нормами.\n\n27.3 Ничто в настоящем контракте не рассматривается как освобождение от необходимости запрашивать и получать те или иные разрешения или санкции, которые могут требоваться для той или иной деятельности по настоящему контракту.\n\nРаздел 28. Толкование Разбивка настоящего контракта на разделы и подразделы и их рубрикация предназначены только для удобства пользования и не влияют на его существо и толкование.\n\nРаздел 29. Дополнительные документы Каждая из сторон настоящего контракта соглашается оформлять и передавать все дальнейшие документы и делать и принимать все дальнейшие шаги и меры, которые могут оказаться необходимыми или целесообразными для выполнения положений настоящего контракта.\n", "n_chars": 117014}
{"corpus_id": "isa/regulation/nodules-2013-zh", "version_id": "2013-07-22", "title": "“区域”内多金属结核探矿和勘探规章（2013年修正）", "short_title": "国际海底管理局规章 — 多金属结核探矿和勘探（2013年）[ZH]", "jurisdiction": "international", "document_type": "isa_regulation", "official_citation": "ISBA/19/C/17，附件 — “区域”内多金属结核探矿和勘探规章", "authentic_languages": ["ar", "zh", "en", "fr", "ru", "es"], "language": "zh", "adoption_date": "2013-07-22", "entry_into_force_date": null, "source_url": "https://isa.org.jm/wp-content/uploads/2022/04/isba-19c-17_1-1.pdf", "source_publisher": "国际海底管理局（ISA）", "source_is_official": true, "authoritative_status": "authentic_text", "text_fidelity": "extracted_verified", "content_hash": "sha256:883f517b329312e300c5075bc3d52d14b5bd1bd7b3e34ff067d55c2beb597bb3", "original_sha256": "sha256:2c212718050d1f30eafa627c0fa3b1bc42501e7ab4ef94561f59f1b559abeb45", "text_sha256": "sha256:883f517b329312e300c5075bc3d52d14b5bd1bd7b3e34ff067d55c2beb597bb3", "license": "isa-materials-terms", "rights_note": "中文作准文本；官方文件，归属于来源；未重新许可。", "provenance_note": "AUTHENTIC CHINESE TEXT — sibling under JC-006 (language-suffixed corpus_id; English base record is isa/regulation/nodules-2013). Authentic in the six UN languages, all equally authoritative; the ZH text is stored here. Byte-exact official PDF (human download) stored as original.pdf (original_sha256 = the PDF hash); text extracted with pdftotext and cleaned by the committed scripts/extract.py, byte-exact reproducible; page furniture removed, no wording changed. This is an equally-authentic language version, NOT a translation of the English (translations, if any, live in the derived layer).", "text": "“区域”内多金属结核探矿和勘探规章（2013年修正） — ISBA/19/C/17，附件 [ZH]\n\n序言1982 年 12 月 10 日《联合国海洋法公约》(“《公约》”)规定，国家管辖范围以外的海床和洋底及其底土以及该区域的资源为人类的共同继承财产，其勘探与开发应为全人类的利益而进行。国际海底管理局代表全人类行事。本规章的目的是规定多金属结核的探矿和勘探活动。\n\n第一部分\n\n导言\n\n第1条用语和范围\n\n1.《公约》所用用语在本规章内涵义相同。\n\n2.《关于执行 1982 年 12 月 10 日<联合国海洋法公约>第十一部分的协定》(“协定”)规定，协定的条款及《公约》第十一部分应作为一个单一文书来解释和适用。本规章和本规章中提及《公约》的条款应相应地加以解释和适用。\n\n3.为本规章的目的：\n\n(a) “开发”是指在“区域”内为商业目的回收多金属结核和从其中选取矿物，包括建造和操作供生产和销售矿物之用的采矿、加工和运输系统；\n\n(b) “勘探”是指以专属权利在“区域”内探寻多金属结核矿床，分析这些矿床，使用和测试采集系统和设备、加工设施及运输系统，以及对开发时必须考虑的环境、技术、经济、商业和其他有关因素进行研究；\n\n(c) “海洋环境”包括影响和决定海洋生态系统、海洋水域及这些水域的上空，以及海床和洋底及其底土的生产力、状态、状况和素质的物理、化学、地质和生物组成部分、条件和因素；\n\n(d) “多金属结核”是指“区域”的一种资源，包括在深海床表层上或紧贴表层下含有锰、镍、钴和铜的任何结核矿床或积层；\n\n(e) “探矿”是指在不享有任何专属权利的情况下，在“区域”内探寻多金属结核矿床，包括估计多金属结核矿床的成分、大小和分布情况及其经济价值；\n\n(f) “对海洋环境造成严重损害”是指“区域”内活动造成的任何使海洋环境出现显著不良变化的影响，这种影响是按照管理局根据国际公认标准和惯例所控制的规则、规章和程序断定的。\n\n4.本规章不影响按照《公约》第八十七条进行科学研究的自由，或是按照《公约》第一四三条和第二五六条在“区域”内进行海洋科学研究的权利。本规章的任何条款不应理解为限制各国行使《公约》第八十七条所述的公海自由。\n\n5.本规章可以由其他的，特别是关于保护和保全海洋环境的规则、规章和程序补充。本规章应符合《公约》和协定的规定及与《公约》无抵触的其他国际法规则。\n\n第二部分探矿\n\n第2条探矿\n\n1.探矿应按照《公约》和本规章进行，并须经秘书长告知探矿者，其通知已按照第 4 条第 2 款记录在案后方可开始。\n\n2.探矿者和管理局应采用《关于环境与发展的里约宣言》原则 15 所反映的预防性办法。 实质证据显示可能对海洋环境造成严重损害时，不得进行探矿。\n\n3.不得在一项核准的多金属结核勘探工作计划所包括的区域或在保留区内进行探矿；亦不得在理事会因有对海洋环境造成严重损害的危险而不核准开发的区域内进行探矿。\n\n4.探矿不应使探矿者取得对资源的任何权利。但是，探矿者可回收试验所需的合理数量的矿物，但不得用于商业用途。\n\n5.探矿应没有时限，但是探矿者如收到秘书长的书面通知，表示已就某一特定区域核准勘探工作计划，则应停止在该区域的探矿活动。\n\n6.一个以上的探矿者可在同一个或几个区域内同时进行探矿。\n\n第3条探矿通知\n\n1.申请探矿者应将其进行探矿的意向通知管理局。\n\n2.每份探矿通知应以本规章附件一规定的格式提交秘书长，并应符合本规章的要求。\n\n3.每份通知的提交方式如下：《联合国环境与发展会议的报告，1992 年 6 月 3 日至 14 日，里约热内卢》(联合国出版物，出售品编号：C.93.I.8 和更正)，第一卷，《环发会议通过的决议》，决议 1，附件一。\n\n(a) 国家的通知，由它为此目的指定的机构提交；\n\n(b) 实体的通知，由其指定代表提交；\n\n(c) 企业部的通知，由其主管机构提交。\n\n4.每份通知应以管理局的一种语文提出，并应载有：\n\n(a) 申请探矿者及其指定代表的名称、国籍和地址；\n\n(b) 符合管理局采用的最新公认国际标准，关于准备进行探矿的一个或多个大面积区域的坐标；\n\n(c) 对探矿方案的一般说明，包括拟议的开始日期和估计所需时间；\n\n(d) 令人满意的书面承诺，表示申请探矿者将：㈠遵守《公约》和管理局有关下列事项的规则、规章和程序：a.合作进行《公约》第一四三条和第一四四条所述的海洋科学研究和技术转让方面的训练方案；以及b.保护和保全海洋环境；㈡接受管理局对遵守承诺情况的查核；并㈢在实际可行的情况下，尽量向管理局提供保护和保全海洋环境的相关数据。\n\n第4条对通知的考虑\n\n1.秘书长应书面确认收到根据第 3 条提交的每份通知，并注明收件日期。\n\n2.秘书长应在收到通知后 45 天内对通知进行审查并采取行动。如果通知符合《公约》和本规章的要求，秘书长应将通知的细节记入为此目的置备的登记册，并书面告知探矿者，通知已记录在案。\n\n3.秘书长应在收到通知后 45 天内书面告知申请探矿者，如果其通知包括某一已核准的勘探或开发任一资源的工作计划所包括区域的任何部分，或某一保留区的任何部分，或理事会因有对海洋环境造成严重损害的危险而不核准开发的区域的任何部分，或者书面承诺不能令人满意，并应书面向申请探矿者说明理由。在这种情况下，申请探矿者可以在 90 天内提交修正的通知。秘书长应在 45 天内对修正的通知进行审查并采取行动。\n\n4.通知内的任何资料有变，探矿者应书面通知秘书长。\n\n5.秘书长不应披露通知中的任何细节，除非探矿者书面表示同意。但秘书长应不时将探矿者的身份和正在进行探矿的大概区域位置告知管理局所有成员。\n\n第5条在探矿过程中保护和保全海洋环境\n\n1.各探矿者应采用预防性办法和最佳环境做法，在合理的可能范围内采取必要措施，防止、减少和控制探矿活动对海洋环境的污染及其他危害。各探矿者尤应尽量减少或消除：\n\n(a) 探矿活动对环境的不良影响；以及\n\n(b) 对正在进行或计划进行的海洋科学研究活动造成的实际或潜在冲突或干扰，并在这方面依照今后的相关准则行事。\n\n2.探矿者应同管理局合作，制订并实施方案，监测和评价多金属结核的勘探和开发可能对海洋环境造成的影响。\n\n3.探矿活动引发的任何事故如已经、正在或可能对海洋环境造成严重损害，探矿者应采用最有效的手段，立即以书面形式通知秘书长。接到这一通知后，秘书长即应依照第 35 条的规定行事。\n\n第6条年度报告\n\n1.探矿者应在每一日历年结束后 90 天内，向管理局提出有关探矿情况的报告。秘书长应将报告提交法律和技术委员会。每份报告应载列：\n\n(a) 关于探矿情况和所获得结果的一般性说明；\n\n(b) 关于第 3 条第 4 款(d)项所述承诺遵守情况的资料；以及\n\n(c) 关于这方面相关准则的遵守情况的资料。\n\n2.如果探矿者打算把探矿所涉费用申报为开始商业生产前的部分开发成本，探矿者应就探矿者在进行探矿期间所支付的实际和直接费用提交符合国际公认会计原则并由合格的公共会计师事务所核证的年度报表。\n\n第7条年度报告内的探矿数据和资料的机密性\n\n1. 秘书长应比照适用第 36 条和第 37 条的规定，确保根据第 6 条所提交报告内的所有数据和资料的机密性，但有关海洋环境保护和保全的数据和资料，特别是源自环境监测方案的数据和资料，不应被视为机密资料。探矿者可要求有关数据自提交之日起最多三年内不予披露。\n\n2. 秘书长可以在有关的探矿者同意下，随时公布某一已提交通知的区域的探矿数据和资料。如果秘书长经过至少两年的合理努力后断定探矿者不复存在或下落不明，秘书长可公布这种数据和资料。\n\n第8条考古或历史文物在“区域”内发现任何实际或可能的考古或历史文物，探矿者应立即将此事及发现的地点以书面方式通知秘书长。秘书长应将这些资料转交联合国教育、科学及文化组织总干事。\n\n第三部分请求核准合同形式的勘探工作计划的申请第1节一般规定\n\n第9条通则在符合《公约》各项规定的情况下，下列各方可向管理局申请核准勘探工作计划：\n\n(a) 企业部以自己的名义，或作为一项联合安排的参与方；\n\n(b) 缔约国、国营企业，或具有缔约国国籍或在这些国家或其国民有效控制下并由这些国家担保的自然人或法人，或符合本规章规定的上述各方的任何组合。第2节申请书的内容\n\n第10条申请书的格式\n\n1. 每一份请求核准勘探工作计划的申请书，应以本规章附件二规定的格式提交秘书长，并应符合本规章的要求。\n\n2.每一份申请书的提交方式如下：\n\n(a) 缔约国的申请书，由其为此目的指定的机构提交；\n\n(b) 实体的申请书，由其指定代表或担保国为此目的指定的机构提交；\n\n(c) 企业部的申请书，由其主管机构提交。\n\n3.国营企业或第 9 条(b)项所述实体的每一份申请书还应包括：\n\n(a) 足以确定申请者国籍，或有效控制申请者的国家或其国民的身份的资料；\n\n(b) 申请者的主要营业地点或住所和在适当时其注册地点。\n\n4.由实体组成的合伙企业或联营企业所提交的每一份申请书应载有所需的关于每一个合伙者或联营者的资料。\n\n第11条担保书\n\n1.国营企业或第 9 条(b)项所述实体的每一份申请书，应附有申请者为其国民或受该国或该国国民有效控制的国家开具的担保书。如果申请者具有一个以上国籍，例如由多个国家的实体组成的合伙企业或联营企业，则所涉每一国家均应出具担保书。\n\n2.如果申请者具有一国国籍，但受另一国或其国民的有效控制，则所涉每一国家均应出具担保书。\n\n3.每一份担保书应以提交该担保书的国家名义正式签署，并应载有：\n\n(a) 申请者名称；\n\n(b) 担保国国名；\n\n(c) 一份陈述，声明申请者：㈠是担保国国民；或㈡受担保国或其国民的有效控制；\n\n(d) 担保国的陈述，表示该国担保该申请者；\n\n(e) 担保国交存《公约》批准书、加入书或继承书的日期；\n\n(f) 担保国按照《公约》第一三九条、第一五三条第 4 款和附件三第四条第\n\n4 款承担责任的声明。\n\n4.与企业部订立联合安排的国家或实体也应遵守本条的规定。\n\n第12条财政和技术能力\n\n1. 每一份请求核准勘探工作计划的申请书，应载有足够的具体资料，使理事会能够确定申请者是否有财政和技术能力执行提议的勘探工作计划和履行其对管理局的财政义务。\n\n2.对于以决议二第 1(a)(2)或(3)段所述并且在《公约》生效前已在“区域”内进行大量活动的国家或实体或此种实体的任何组成部分(但非已登记的先驱投资者)的名义，或以其利益继承者的名义提出的请求核准勘探工作计划的申请书，如果担保国证明，申请者至少已将相当于 3 000 万美元的数额用于研究和勘探活动，并且至少已将该数额的 10%用于定位、勘查和评价勘探工作计划所指的区域，即应视为已符合核准勘探工作计划所需具备的财政和技术条件。\n\n3.企业部提出的请求核准勘探工作计划的申请书应附有其主管机构的声明，证明企业部拥有所需财政资源承付提议的勘探工作计划的估计费用。\n\n4.除已登记的先驱投资者或决议二第 1(a)(2)或(3)段所述的实体外，国家或国营企业提出的请求核准勘探工作计划的申请书应附有该国或担保国的声明，证明申请者拥有所需的财政资源承付提议的勘探工作计划的估计费用。\n\n5.除已登记的先驱投资者或决议二第 1(a)(2)或(3)段所述的实体外，实体提出的请求核准勘探工作计划的申请书应附有其最近三年符合国际公认会计原则并由合格的公共会计师事务所核证的经审计财务报表，包括资产负债表和损益表的副本；\n\n6.如果申请者是新组成的实体，尚未有经核证的资产负债表，则申请书中应有经申请者的适当职务人员认证的预计资产负债表；\n\n7.如果申请者是另一个实体的子公司，则申请书中应有该实体符合国际公认会计原则并由合格的公共会计师事务所核证的上述财务报表副本，以及该实体证明申请者将有执行勘探工作计划的财政资源的声明；\n\n8.如果申请者受一个国家或国营企业控制，则申请书中应有该国或国营企业证明申请者将有执行勘探工作计划的财政资源的声明。\n\n9.如果争取勘探工作计划获得核准的申请者打算以贷款筹措提议的勘探工作计划的经费，其申请书应写明贷款额、偿还期和利率。\n\n10. 除第 2 款所规定的情况外，所有申请书应附有：\n\n(a) 关于申请者与提议的勘探工作计划相关的先前经验、知识、技能、技术资格和专长的一般说明；\n\n(b) 关于预期用来执行提议的勘探工作计划的设备和方法的一般说明，以及关于这些技术的特点的其他非专有性相关资料；以及\n\n(c) 关于申请者处理对海洋环境造成严重损害的事件或活动的财政和技术能力的一般说明。\n\n11. 如果申请者是联合安排中由实体组成的合伙企业或联营企业，则每个合伙者或联营者均应提供本条所要求的资料。\n\n第13条以前同管理局订立的合同如果申请者，或在申请是联合安排中由实体组成的合伙企业或联营企业提出时，任何合伙者或联营者以前曾同管理局订立任何合同，则申请书应包括：\n\n(a) 以前订立合同的日期；\n\n(b) 就有关合同向管理局提交的每一份报告的日期、编号和标题；以及\n\n(c) 已终止合同的合同终止日期。\n\n第14条承诺作为请求核准勘探工作计划的申请书的一部分，每个申请者，包括企业部在内，应向管理局作出下列书面承诺：\n\n(a) 同意因《公约》的规定，管理局的规则、规章和程序，管理局各有关机关的决定及申请者同管理局所订合同的条款而产生的适用义务是可执行的，并将予以履行；\n\n(b) 接受管理局根据《公约》授权对“区域”内的活动进行控制；并\n\n(c) 向管理局提出书面保证，表示将诚意履行合同规定的义务。\n\n第15条申请的总区域每一份请求核准勘探工作计划的申请书应以符合管理局采用的最新公认国际标准的坐标表界定所申请区域的界限。除了第 17 条下的申请外，申请应包括一个总区域，它不必是一个单一连续的区域，但应足够大，并有足够的估计商业价值，可供从事两起采矿作业。申请者应列明坐标，将该区域分为估计商业价值相等的两个部分。分配给申请者的区域应受第 25 条各项规定的限制。\n\n第16条在指定保留区以前应提交的数据和资料\n\n1.每一份申请书应载有本规章附件二第二节所规定的关于申请所涉区域的足够数据和资料，使理事会能根据法律和技术委员会的建议，基于每一部分的估计商业价值指定一个保留区。这些数据和资料应包括申请者可以得到的关于申请所涉区域两个部分的数据，包括用以确定其商业价值的数据。\n\n2.理事会根据申请者按照本规章附件二第二节的规定所提交，经断定为令人满意的数据和资料，并考虑到法律和技术委员会的建议，应指定申请区域中将来作为保留区的那一部分。一旦非保留区的勘探工作计划获得核准并签订合同，该指定区域即成为保留区。理事会如果断定需要其他符合本规章和附件二的资料来指定保留区，则应将此事退回委员会作进一步审议，并说明所需的进一步资料。\n\n3.在核准勘探工作计划并发给合同后，管理局可按照《公约》附件三第十四条第 3 款的规定，公布申请者就保留区移交管理局的数据和资料。\n\n第17条请求核准保留区工作计划的申请\n\n1.任何发展中国家，或该国所担保并受该国或任何其他发展中国家有效控制的任何自然人或法人，或上述各方的任何组合，可通知管理局它希望就某一保留区提出勘探工作计划。秘书长应将该通知转交企业部，企业部应在六个月内书面通知秘书长企业部是否打算在该区域进行活动。企业部如果打算在该区域进行活动，还应按照第 4 款书面通知原来在请求核准勘探工作计划的申请书中包括该区域的承包者。\n\n2.如果企业部决定无意在某一保留区进行活动，或者企业部在秘书长发出通知后六个月内既未决定是否打算在该区域进行活动，也未书面通知秘书长，说明企业部在正进行有关可能成立联合企业的谈判，即可随时提出请求核准关于该保留区的勘探工作计划的申请。就联合企业进行谈判时，自通知秘书长之日起企业部应有一年时间决定是否在该区域进行活动。\n\n3.如果企业部或某一发展中国家或第 1 款所述的一个实体，在企业部独立于管理局秘书处开始执行其职务后的 15 年内，或在将某一区域保留给管理局之日起的 15 年内(以较晚者为准)，没有提交请求核准在该保留区进行活动的勘探工作计划的申请，则其请求核准勘探工作计划的申请书原来包括该区域的承包者应有权申请关于该区域的勘探工作计划，但须诚意提供机会让企业部参加为联合企业的合伙者。\n\n4.对于承包者的请求核准勘探工作计划的申请书所包括并经理事会指定为保留区的区域，承包者应有与企业部订立勘探该区域的联合企业安排的第一取舍权。\n\n第18条须为核准勘探工作计划提交的数据和资料为了使合同形式的勘探工作计划获得核准，每一申请者应提交下列资料：\n\n(a) 关于提议的勘探方案的一般说明和时间表，包括未来五年的活动方案，例如对勘探时必须考虑的环境、技术、经济和其他有关因素进行的研究；\n\n(b) 关于按照本规章及管理局制定的任何环境方面的规则、规章和程序进行的海洋学和环境基线研究方案的说明，这些研究是为了能够参照法律和技术委员会所提任何建议，评估提议的勘探活动对环境的潜在影响，包括但不限于对生物多样性的影响；\n\n(c) 关于提议的勘探活动可能对海洋环境造成的影响的初步评估；\n\n(d) 关于为防止、减少和控制对海洋环境的污染和其他危害以及可能造成的影响而提议的措施的说明；\n\n(e) 理事会根据第 12 条第 1 款作出决定所需的数据；以及\n\n(f) 未来五年活动方案的预期年度支出表。第3节收费\n\n第19条申请费\n\n1.请求核准多金属结核勘探工作计划的申请的处理费应为 50 万美元或等值可自由兑换货币的固定规费，在提交申请书时全额缴付。\n\n2.如果管理局处理申请书的行政费用低于上文第 1 款所述固定规费，管理局应将余额退还申请者。如果管理局处理申请书的行政费用高于上文第 1 款所述固定规费，申请者应将差额付给管理局，但申请者缴付的额外规费不应超过第 1 款所述固定规费的 10%。\n\n3.考虑到财务委员会为此制定的标准，秘书长应确定上文第 2 款所述差额，并将此数额通知申请者。通知中应说明管理局的支出。在下文第 23 条所述合同签署后三个月内申请者应支付或管理局应退还所欠数额。\n\n4.理事会应定期审查上文第 1 款所述固定规费，以确保该数额足以支付处理申请书的预期行政费用，并避免申请者必须按照上文第 2 款支付额外规费。第4节申请书的处理\n\n第20条申请书的收受、确认和妥善保管\n\n1.秘书长应：\n\n(a) 在 30 天内书面确认收到根据本部分提交的每一份请求核准勘探工作计划的申请书，并注明收件日期；\n\n(b) 妥善保管申请书及其附文和附件，并确保申请书所载全部机密数据和资料的机密性；并\n\n(c) 通知管理局成员收到申请书，并向他们分发关于这项申请的一般性非机密资料。\n\n第21条法律和技术委员会的审议\n\n1.秘书长在收到请求核准勘探工作计划的申请书后，即应通知法律和技术委员会成员并将该申请书的审议作为一个项目列入委员会下一次会议议程。委员会应仅审议秘书长根据第 22 条(c)项的规定在委员会开会审议申请书至少 30 天前已就其发出通知和资料的申请书。\n\n2.委员会应按收件的先后次序审查申请书。\n\n3.委员会应确定申请者是否：\n\n(a) 遵守了本规章的规定；\n\n(b) 作出了第 15 条所规定的承诺和保证；\n\n(c) 具备执行提议的勘探工作计划的财务和技术能力，并提供了详细资料说明其迅速执行紧急命令的能力；并\n\n(d) 已令人满意地履行了以前同管理局订立的任何合同的有关义务。\n\n4.委员会应根据本规章及其程序所列的要求，确定提议的勘探工作计划是否将：\n\n(a) 有效地保护人体健康和安全；\n\n(b) 有效地保护和保全海洋环境，包括但不限于对生物多样性的影响；\n\n(c) 确保设施不坐落在可能干扰国际航行必经的公认航道的地点或坐落在捕鱼活动集中的区域。\n\n5.如果委员会根据第 3 款作出确定，并确定提议的勘探工作计划符合第 4 款的要求，委员会应建议理事会核准勘探工作计划。\n\n6.如果提议的勘探工作计划所涉区域的一部分或全部有下列情况，委员会不应建议核准该勘探工作计划：\n\n(a) 包括在一项理事会已核准的多金属结核勘探工作计划内；或\n\n(b) 包括在一项理事会已核准的其他资源勘探或开发工作计划内，如果提议的多金属结核勘探工作计划可能不当地干扰根据该项已核准的其他资源工作计划所进行的活动；或\n\n(c) 位于理事会因有实质证据显示存在对海洋环境造成严重损害的危险而不核准开发的一个区域内；或\n\n(d) 提出或担保提议的勘探工作计划的国家已经拥有：㈠在非保留区进行勘探和开发或仅进行开发的工作计划，而且这些区域连同所申请的区域两部分中任何一部分，面积超过在提议的工作计划所包括的区域两个部分中任何一部分的中心周围 40 万平方公里圆形面积的 30%；㈡在非保留区进行勘探和开发或仅进行开发的工作计划，而且这些区域合并计算占“区域”内按照《公约》第一六二条第 2 款(X)项未予保留供开发用或不许可开发的部分的 2%。\n\n7.除企业部为其本身或某一联合企业提出的申请，及根据第 17 条提出的申请外，如果提议的勘探工作计划所包含区域的一部分或全部位于一个保留区或位于理事会指定为保留区的区域以内，则委员会不得建议核准该勘探工作计划。\n\n8.如果委员会认为申请书不符合本规章规定，应通过秘书长书面通知申请者并说明其理由。申请者可以在这种通知发出后 45 天内修正其申请书。如果委员会在进一步审议后仍认为不应建议核准勘探工作计划，应将此意见通知申请者，并给予申请者另一次机会，在通知后 30 天内提出其意见。委员会在拟定提交理事会的报告和建议时应考虑申请者所提意见。\n\n9.委员会在审议提议的勘探工作计划时，应考虑到《公约》第十一部分和附件三以及《协定》所规定的有关“区域”内活动的原则、政策和目标。\n\n10. 委员会应从速审议申请书，并应考虑到管理局会议的时间表，利用第一个可能的机会向理事会提交关于区域的指定和勘探工作计划的报告和建议。\n\n11. 委员会在履行职责时，应无歧视地划一适用本规章及管理局的条例、规章和程序。\n\n第22条理事会对勘探工作计划的审议和核准理事会应按照《协定》附件第 3 节第 11 和第 12 段的规定审议委员会关于核准勘探工作计划的报告和建议。\n\n第四部分勘探合同\n\n第23条合同\n\n1.一项勘探工作计划经理事会核准后，应按本规章附件三规定写成管理局与申请者之间的合同。每一项合同都应包括附件四中所列，在合同生效之日具有效力的标准条款。\n\n2.合同应由秘书长代表管理局与申请者签署。秘书长应将每一项合同的缔结书面通知管理局所有成员。\n\n3.按照无歧视原则，同协定附件第 1 节第 6(a)㈠段所述的国家或实体或此种实体的任何组成部分订立的合同所包括的各种安排应类似于而且条件不差于同任何已登记的先驱投资者商定的安排。如果给予协定附件第 1 节第 6(a)㈠段中所述的国家、实体或此种实体的任何组成部分较有利的安排，理事会应对已登记的先驱投资者所承担的权利和义务作出类似和一样有利的安排，但这些安排须不影响或损害管理局的利益。\n\n第24条承包者的权利\n\n1.承包者对一项多金属结核勘探工作计划所涉区域享有专属勘探权。管理局应确保其他实体在同一区域就其他资源进行作业的方式不致干扰承包者的作业。\n\n2.持有一项已核准的勘探工作计划的承包者，只应在那些就同一区域和资源提出开发工作计划的各申请者中享有优惠和优先。在理事会对承包者发出书面通知，指出承包者未遵循经核准的勘探工作计划的具体要求后，如果承包者未能在通知规定的时限内依照要求行事，理事会可撤消这种优惠或优先。通知内规定的时限应当为合理的时限。在最后决定撤消这种优惠或优先以前，承包者应有合理机会提出意见。理事会应说明建议撤消优惠或优先的理由，并应考虑承包者的回应。理事会的决定应考虑承包者的回应并应以实质证据为基础。\n\n3.撤消优惠或优先的决定正式生效以前，承包者应有合理机会用尽《公约》第十一部分第五节所规定的司法救济。\n\n第25条区域面积和放弃\n\n1. 根据合同分配给承包者的区域总面积不应超过 15 万平方公里。承包者应按下列时间表，放弃所获分配区域的若干部分，将其恢复为“区域”。在合同签订之日起第三年结束前，承包者应已放弃所获分配区域的 20%；在合同签订之日起第五年结束前，承包者应已继续放弃所获分配区域的 10%；在合同签订之日起八年之后，承包者应已继续放弃所获分配区域的 20%或超出管理局决定开发的区域的更大面积，但如果分配给承包者的区域总面积不超过 75 000 平方公里，则承包者无需放弃此区域的任何部分。\n\n2.理事会经承包者请求，可根据委员会的建议，在特殊情况下，将放弃时间表延迟。这种特殊情况应由理事会断定，除其他外，包括考虑当时的经济情况或在承包者的作业活动中出现的其他突发特殊情况。\n\n第26条合同期限\n\n1.核准的勘探工作计划的期限应为 15 年。勘探工作计划期满时，承包者应申请开发工作计划，除非承包者已经提出申请，或已获准延长勘探工作计划，或决定放弃其在勘探工作计划所涉区域的权利。\n\n2.在勘探工作计划期限届满前六个月，承包者可申请延长勘探工作计划，每次延长期限不得超过五年。如果承包者已作出真诚努力遵守工作计划的各项要求，但由于承包者无法控制的原因而不能完成进入开发阶段的必要准备工作，或者在当时的经济环境下没有理由进入开发阶段，则理事会应根据委员会建议核准这种延长。\n\n第27条训练《公约》附件三第十五条规定，每一项合同都应以附件方式载有承包者与管理局和担保国合作拟订的训练管理局和发展中国家人员的实际方案。训练方案应着重有关进行勘探的训练，由上述人员充分参与合同包括的所有活动。这些训练方案可不时根据需要通过双方协议予以修改和制订。\n\n第28条对勘探工作计划执行情况的定期审查\n\n1.承包者和秘书长应每隔五年共同对勘探工作计划的执行情况进行定期审查。秘书长可请求承包者提交审查可能需要的进一步数据和资料。\n\n2.承包者应根据审查结果说明其下一个五年期的活动方案，对其上一个活动方案作出必要的调整。\n\n3.秘书长应向委员会和理事会报告审查结果。秘书长应在报告中说明，审查是否考虑到《公约》缔约国就承包者履行本规章在保护和保全海洋环境方面对其规定的义务的方式向他转递的任何意见。\n\n第29条担保的终止\n\n1.每一承包者在整个合同期间应有规定的担保。\n\n2.如果一个国家终止其担保，应立即书面通知秘书长。担保国也应将终止担保的理由告知秘书长。担保的终止应在秘书长收到通知之日起六个月后生效，除非通知中规定一个较后的日期。\n\n3.如果担保终止，承包者应在第 2 款所述期间内找到另一担保国。该另一担保国应按照第 11 条提交担保书。如果未能在规定期间内找到担保国，合同应予终止。\n\n4.担保国在作为担保国期间承担的任何义务，不因担保终止而免除，担保终止也不应影响在担保期间产生的任何法律权利和义务。\n\n5.秘书长应将担保的终止或改变通知管理局成员。\n\n第30条责任承包者和管理局应按照《公约》承担责任。在勘探阶段结束后，承包者应继续对其在作业过程中的不当行为所造成的任何损害，特别是对海洋环境造成的损害承担责任。\n\n第五部分保护和保全海洋环境\n\n第31条保护和保全海洋环境\n\n1.管理局应依照《公约》和协定制定并定期审查环境规则、规章和程序，以确保有效保护海洋环境，使其免受“区域”内活动可能造成的有害影响。\n\n2.为了确保有效保护海洋环境，使其免受“区域”内活动可能造成的有害影响，管理局和担保国对这种活动应采取《里约宣言》原则 15 所阐述的预防性办法和最佳环境做法。\n\n3.法律和技术委员会应就上文第 1 和第 2 款的执行向理事会提出建议。\n\n4.委员会应制订并执行有关程序，以便根据现有最佳科学和技术信息，包括依照第 20 条规定提供的信息，确定“区域”内的拟议勘探活动是否会对脆弱的海洋生态系统造成严重的有害影响，并确保，如果确定某些拟议的勘探活动会对脆弱海洋生态系统造成严重有害影响，则对这些活动加以管理以防出现此类影响或不核准从事这些活动。\n\n5.根据《公约》第一四五条和本条第 2 款，每一承包者应采用预防性做法和最佳环境做法，尽量在合理的可能范围内采取必要措施防止、减少和控制其“区域”内活动对海洋环境造成的污染和其他危害。\n\n6.承包者、担保国和其他有关国家或实体应同管理局合作，制定并实施监测和评价深海底采矿对海洋环境的影响的方案。如理事会提出要求，此种方案应包括划出区域专门用作影响参照区和保全参照区的提议。“影响参照区”是指反映“区域”环境特性，用于评估“区域”内活动对海洋环境的影响的区域。“保全参照区”是指不应进行采矿以确保海底的生物群具有代表性和保持稳定，以便评估海洋环境生物多样性的任何变化的区域。\n\n第32条环境基线和监测\n\n1.每一项合同应要求承包者参照法律和技术委员会根据第 41 条提出的建议，收集环境基线数据并确定环境基线，供对比评估其勘探工作计划所列的活动方案可能对海洋环境造成的影响，并要求承包者制订监测和报告这些影响的方案。委员会所提的建议除其他外，可列出据认为不具有对海洋环境造成有害影响的潜在可能的勘探活动。承包者应与管理局和担保国合作制定并执行这种监测方案。\n\n2.承包者应参照委员会根据第 39 条提出的建议，每年以书面方式向秘书长报告第 1 款所述监测方案的执行情况和结果，并提交数据和资料。秘书长应将上述报告转交委员会按照《公约》第一六五条加以审议。\n\n第33条紧急命令\n\n1.承包者应以最有效的手段，迅速向秘书长书面报告活动引发的任何已经、正在或可能对海洋环境造成严重损害的事故。\n\n2.如果秘书长接到承包者通知，或从其他来源获悉，承包者在“区域”内的活动引起或造成事故，已经对、正在或可能对海洋环境造成严重损害，秘书长应指示发出有关该事故的一般性通知，应书面通知承包者和担保国，并应立即向法律和技术委员会、理事会及管理局所有其他成员提出报告。报告应分送主管国际组织以及各有关次区域、区域及全球性组织和机构。秘书长应监测所有这种事故的发展情况，并酌情向委员会、理事会及管理局所有其他成员提出有关报告。\n\n3.在理事会未采取任何行动之前，秘书长应立即采取一切合乎情况需要的实际而合理的临时措施，以防止、控制和减轻对海洋环境的严重损害或可能的严重损害。上述临时措施应持续有效，但不超过 90 天，或者直到理事会在其下届常会或特别会议上根据本条第 6 款决定是否采取任何措施。\n\n4.委员会在接到秘书长的报告后，应根据所收到的证据，并考虑到承包者已采取的措施，确定需要采取什么措施来有效地应对事故，以防止、控制和减轻对海洋环境的严重损害或可能的严重损害，并应向理事会提出其建议。\n\n5.理事会应审议委员会的建议。\n\n6.理事会考虑到委员会的建议、秘书长的报告、承包者提交的任何资料及任何其他相关资料，可发布紧急命令，其中可包括暂停或调整作业的必要合理命令，以防止、控制和减轻“区域”内活动对海洋环境的严重损害或可能的严重损害。\n\n7.如果承包者不迅速遵从紧急命令，以防止、控制和减轻其“区域”内活动对海洋环境造成的严重损害或可能的严重损害，理事会应自行采取或同他方作出安排代表它采取必要的实际措施，以防止、控制和减轻这种对海洋环境的严重损害或可能的严重损害。\n\n8.为了使理事会可以在必要时立即采取第 7 款所述的实际措施，防止、控制或减轻对海洋环境的严重损害或可能的严重损害，承包者在开始测试采集系统和进行加工作业以前，须向理事会保证承包者具有财政和技术能力，可迅速遵从紧急命令，或确保理事会可以采取这种紧急措施。如果承包者不向理事会提供上述保证，担保国应在秘书长提出请求后，根据《公约》第一三九条和第二三五条采取必要措施，确保承包者提供上述保证，或应采取措施确保向管理局提供协助，以便管理局执行第 7 款规定的职责。\n\n第34条沿海国的权利\n\n1.本规章不影响沿海国根据《公约》第一四二条和其他有关条款所享有的权利。\n\n2.任何沿海国如有理由认为承包者的任何“区域”内活动有可能对其管辖范围内或主权范围内的海洋环境造成严重损害或可能的严重损害，可书面通知秘书长，说明其看法依据的理由。秘书长应向承包者及其担保国提供合理的机会，审查沿海国作为其看法的根据而提出的任何证据。承包者及其担保国可在合理时间内向秘书长提出其对此的意见。\n\n3.如果有明确理由相信可能对海洋环境造成严重损害，秘书长应依照第 33 条行事，或在必要时根据第 33 条第 3 款立即采取临时措施。\n\n4.承包者应采取一切必要措施，确保其进行的活动不会对沿海国管辖范围内或主权范围内的海洋环境造成严重损害，包括但不限于污染，并确保其勘探区内的事故或活动所引起的此类严重损害或污染不扩散至该区域之外。\n\n第35条具有考古或历史意义的遗骸、文物和遗址在勘探区内发现任何具有考古或历史意义的遗骸或任何类似性质的文物或遗址时，承包者应立即将此事及发现的地点以书面方式通知秘书长，包括报告已采取的保全和保护措施。秘书长应立即将这些资料转交联合国教育、科学及文化组织总干事以及任何其他主管国际组织。在勘探区发现这种遗骸、文物或遗址后，为了避免扰动此类遗骸、文物或遗址，在理事会考虑到联合国教育、科学及文化组织总干事或任何其他主管国际组织的意见后另有决定之前，不得在一个合理范围内继续进行探矿或勘探。\n\n第六部分机密性\n\n第36条数据和资料的机密性\n\n1. 按照本规章或按照根据本规章发给的合同提交或转交管理局或任何参与管理局的任何活动或方案的人的数据和资料，经承包者与秘书长协商指明属机密性质的，应视为机密，但下述数据和资料不在此列：\n\n(a) 众所周知或可从其他来源公开获取的；\n\n(b) 所有人以前曾向对其不负保密义务的其他人提供的；或\n\n(c) 管理局已掌握但无对其保密义务的。\n\n2. 管理局为制订关于保护和保全海洋环境及安全的规则、规章和程序而需要的数据和资料，除专有性设备设计数据外，不应视为具有机密性。\n\n3.唯有秘书长和经秘书长授权的秘书处工作人员，以及法律和技术委员会成员，可在有效行使权力和履行职能所必要和相关时利用机密数据和资料。秘书长批准取用这种机密数据和资料，仅限于为履行秘书处工作人员的职能和职责及法律和技术委员会的职能和职责有限度地使用这些数据和资料。\n\n4.在机密数据和资料提交管理局之日起十年后或于勘探合同期满之后，以较晚发生者为准，以及此后每隔五年，秘书长和承包者应审查这些数据和资料，以确定是否应保持其机密性。如果承包者确认公开数据和资料很可能造成重大和不公平的经济损害，则应继续保持这些数据和资料的机密性。在承包者有合理机会用尽根据《公约》第十一部分第五节可以使用的所有司法救济之前，任何此种数据和资料均不得公开。\n\n5.在勘探合同期满后的任何时候，如果承包者就勘探区域的任何部分订立开发合同，则与该部分地区有关的机密数据和资料应依照开发合同继续保密。\n\n6.承包者可随时放弃数据和资料的机密性。\n\n第37条确保机密性的程序\n\n1.秘书长应负责保持所有机密数据和资料的机密性，除事先征得承包者的书面同意外，不应向管理局外部任何人公布这些数据和资料。为确保这些数据和资料的机密性，秘书长应按照《公约》的规定制订程序，规范秘书处成员、法律和技术委员会成员以及参与管理局任何活动或方案的任何其他人对机密资料的处理。这种程序应包括：\n\n(a) 在安全的设施内保存机密数据和资料，并制订安全程序，防止未经许可使用或取走这些数据和资料；\n\n(b) 建立和维持一个分类、记录和编目系统，记录所收到的所有书面数据和资料，包括其类型和来源以及从收到直至最终处置的收发历程。\n\n2.根据本规章有权取用机密数据和资料的人，除《公约》和本规章准许的情况外，不得泄露这些数据和资料。秘书长应规定经授权可取用机密数据和资料的人需在秘书长或其指定代表见证下作出书面声明，表示获授权的人：\n\n(a) 确认其根据《公约》和本规章，承担不泄露机密数据和资料的法律义务；\n\n(b) 同意遵守为确保这些数据和资料的机密性而制定的适用规章和程序。\n\n3.法律和技术委员会应保护按照本规章或根据本规章发给的合同提交给它的数据和资料的机密性。《公约》第一六三条第 8 款规定，该委员会成员不应泄露工业秘密、按照《公约》附件三第十四条转交管理局的专有性数据，或因其在管理局任职而知悉的任何其他机密资料，即使在职务终止以后，也是如此。\n\n4.秘书长和管理局工作人员不应泄露任何工业秘密、按照《公约》附件三第十四条转交管理局的专有性数据，或因其在管理局所任职务而知悉的任何其他机密资料，即使在职务终止以后，也是如此。\n\n5.考虑到管理局根据《公约》附件三第二十二条所承担的责任，管理局可对任何因其在管理局所任职务而可接触任何机密数据和资料，但违反《公约》和本规章所规定保密义务的人采取适当的行动。\n\n第七部分一般程序\n\n第38条通知和一般程序\n\n1.与本规章有关的任何申请书、请求、通知、报告、同意书、批准书、放弃权利声明、指令或指示，应按情况由秘书长或由探矿者、申请者或承包者的指定代表以书面作出。应以专人手递、电报、传真、挂号航空邮件或带有经授权的电子签字的电子邮件送达管理局总部交秘书长或送达指定代表。\n\n2.专人手递的，于送达时生效。以电报传送的，于发送者电报机显示“回答”之日的下一个办公日视为生效。以传真传送的，于传真机收到“发送证实报告”证实已向收件者的公开传真号码发送传真时生效。以挂号航空信件发出的，于寄出 21 天之后视为生效。电子邮件，在其进入收件人为接收所发此类文件而指定或使用的信息系统，并可以由收件人取用和处理时，视为被收件人收到。\n\n3.就本规章的所有目的而言，向探矿者、申请者或承包者指定的代表发出的通知，构成为给探矿者、申请者或承包者的有效通知，而且在任何具有管辖权的法院或法庭的诉讼程序中，被指定的代表为探矿者、申请者或承包者接受司法文书或通知的代理人。\n\n4.就本规章的所有目的而言，发给秘书长的通知构成给管理局的有效通知，而且在任何具有管辖权的法院和法庭的诉讼程序中，秘书长为管理局接受司法文书或通知的代理人。\n\n第39条指导承包者的建议\n\n1.法律和技术委员会可以不时作出技术性或行政性建议指导承包者，协助承包者执行管理局的规则、规章和程序。\n\n2.上述建议全部内容应报告理事会。理事会认为某一建议不符本规章的用意和宗旨时，可要求修改或撤回建议。\n\n第八部分解决争端\n\n第40条争端\n\n1.关于本规章的解释或适用的争端应按照《公约》第十一部分第五节的规定解决。\n\n2.根据《公约》具有管辖权的法院或法庭就管理局和承包者的权利和义务作出的任何终局裁决，在《公约》每一缔约国境内均可执行。\n\n第九部分多金属结核以外的其他资源\n\n第41条多金属结核以外的其他资源如果探矿者或承包者在“区域”内发现多金属结核以外的其他资源，这些资源的探矿、勘探和开发应按照管理局根据《公约》和《协定》就这些资源制定的规则、规章和程序进行。探矿者或承包者应将其发现通知管理局。\n\n第十部分审查\n\n第42条审查\n\n1.大会核准本订正规章五年之后，或其后任何时间，理事会应对本规章的实际运作情况进行审查。\n\n2.如果在知识增加或技术改进的情况下，本规章显然不敷使用，则任何缔约国、法律和技术委员会或任何承包者通过其担保国随时可要求理事会考虑在理事会下届常会上修订本规章。\n\n3.理事会可根据审查结果，考虑到法律和技术委员会或其他有关附属机构的建议，在大会予以核准前，通过并临时适用对本规章条款的修正。任何修正均不得影响任何承包者按照本规章签订、修正时有效的合同条款所享受的权利。\n\n4.如果对本规章任何条款做出修正，承包者和管理局可按照附件四第 24 节修订合同。\n\n附件二从事探矿的意向通知\n\n1.探矿者名称：\n\n2.探矿者街道地址：\n\n3.邮政地址(如不同于上述地址)：\n\n4.电话号码：\n\n5.传真号码：\n\n6.电子邮件地址：\n\n7.探矿者国籍：\n\n8.如果探矿者是法人：\n\n(a) 写明探矿者的注册地点；\n\n(b) 写明探矿者的主要营业地点/住所；\n\n(c) 附上探矿者的注册证书副本。\n\n9.探矿者指定代表的名称：\n\n10. 探矿者指定代表的街道地址(如不同于上述地址)：\n\n11. 邮政地址(如不同于上述地址)：\n\n12. 电话号码：\n\n13. 传真号码：\n\n14. 电子邮件地址：\n\n15. 附上准备进行探矿的一个或多个大面积区域的坐标(以世界大地测量系统WGS 84 为基准)。\n\n16. 附上对探矿方案的一般说明，包括方案的开始日期和大致持续期间。\n\n17. 附上探矿者对下列事项的书面承诺：\n\n(a) 遵守《公约》和管理局有关下列事项的规则、规章和程序：㈠ 合作进行《公约》第一四三条和第一四四条所述的海洋科学研究和技术转让方面的训练方案；及㈡保护和保全海洋环境；并\n\n(b) 接受管理局对遵守承诺情况的核查。\n\n18. 在下面列出本通知的所有附录和附件(所有数据和资料应以硬拷贝和管理局指定的数字格式提交)。日期：探矿者指定代表签名证明：证明人签名证明人姓名证明人职衔\n\n附件三请求核准勘探工作计划以取得合同的申请书第一节申请者资料\n\n1.申请者名称：\n\n2.申请者街道地址：\n\n3.邮政地址(如不同于上述地址)：\n\n4.电话号码：\n\n5.传真号码：\n\n6.电子邮件地址：\n\n7.申请者指定代表的姓名：\n\n8.申请者指定代表的街道地址(如不同于上述地址)：\n\n9.邮政地址(如不同于上述地址)：\n\n10. 电话号码：\n\n11. 传真号码：\n\n12. 电子邮件地址：\n\n13. 如果申请者是法人：\n\n(a) 写明申请者的注册地点；\n\n(b) 写明申请者的主要营业地点/住所；\n\n(c) 附上申请者的注册证书副本。\n\n14. 列出担保国。\n\n15. 每一担保国须提供该国对 1982 年 12 月 10 日《联合国海洋法公约》的批准书、加入书或继承书的交存日期，及该国同意接受《关于执行〈公约〉第十一部分的协定》约束的日期。\n\n16. 申请书须附有担保国开具的担保书。如果申请者具有一个以上国籍，例如由一个以上国家的实体组成的合伙企业或联营企业，则须附有所涉每一国家开具的担保书。第二节关于所申请区域的资料\n\n17. 附上一份地理坐标表(以世界大地测量系统 WGS 84 为基准)，划定所申请区域的界限。\n\n18. 附上一张海图(比例尺和投影法由管理局具体规定)和一份将总区域分成估计商业价值相等的两个部分的坐标表。\n\n19. 以一个附件提供足够的资料，使理事会能根据所申请区域每一部分的估计商业价值指定一个保留区。附件中须包括申请者可以得到的关于所申请区域两个部分的数据，包括：\n\n(a) 关于区域内多金属结核的定位、勘查和评价数据，包括：㈠指定保留区所需的与多金属结核的回收和加工有关的技术说明；㈡一份显示海底地形、水深、底流等物理和地质特征的图件和关于这些数据的可靠性的资料；㈢以千克/平方米(kg/m2)为单位显示多金属结核平均密度(丰度)的数据和一张显示取样地点的相关丰度图；㈣根据化学分析得到的以(干)重量百分率为单位显示各种有经济意义的金属平均元素含量(品位)的数据和一张相关品位图；㈤多金属结核丰度和品位综合图；㈥按照标准程序，包括统计分析法，用所提交的数据和以下假设作出的计算：以可开采区域内的可回收金属表示，可以预期两个区域所含的多金属结核具有相等的估计商业价值。㈦关于申请者所用技术的说明。\n\n(b) 关于环境参数(季节性的和试验期间的)的资料，除其他外，包括风速和风向、盐度、温度以及生物群落。\n\n20. 如果所申请的区域包括一个保留区的任何部分，应附上一份显示构成保留区一部分的有关区域的坐标表，并说明申请者根据《规章》第 17 条具有的资格。第三节财政和技术资料a\n\n21. 附上足够的资料，使理事会能决定申请者是否有财政能力执行提议的勘探工作计划和履行其对管理局的财政义务：\n\n(a) 如果企业部提出申请，应附上由其主管机构开具的证明，证明企业部具有所需财政资源承付提议的勘探工作计划的估计费用；a以决议二第 1(a)⑵或⑶段所述并且在公约生效前已在“区域”内进行大量活动的国家或实体或此种实体的任何组成部分（但非已登记的先驱投资者）的名义，或以其利益继承者的名义提出的请求核准勘探工作计划的申请，如果经担保国证明，申请者至少已将相当于 3 000 万美元的数额用来进行研究和勘探活动，并且至少已将该数额的 10%用于定位、勘查和评价工作计划所指的区域，即应视为已符合核准工作计划所需具备的财政和技术条件。\n\n(b) 如果国家或国营企业提出申请，应附上该国或担保国的声明，证明申请者具有所需财政资源承付提议的勘探工作计划的估计费用；\n\n(c) 如果实体提出申请，应附上其最近三年符合国际公认会计原则并由合格的公共会计师事务所核证的经审计财务报表，包括资产负债表和损益表的副本；并且㈠ 如果申请者是新组成的实体，尚未有经核证的资产负债表，则应提交经申请者的适当职务人员认证的预计资产负债表；㈡ 如果申请者是另一个实体的子公司，则应提交该实体的上述财务报表副本以及该实体按照国际公认会计惯例所作，并由具有适当资格的公共会计师事务所核证的，关于申请者将有执行勘探工作计划的财政资源的说明；㈢ 如果申请者为一个国家或一家国营企业所控制，则应提交该国或国营企业证明申请者将有执行勘探工作计划的财政资源的说明。\n\n22. 如果打算以贷款方式筹措提议的勘探工作计划的经费，则应附上一份说明，写明贷款额、偿还期和利率。\n\n23. 附上足够的资料，使理事会能确定申请者是否有技术能力执行提议的勘探工作计划，包括：\n\n(a) 关于申请者与提议的勘探工作计划相关的经验、知识、技能、技术资格和专长的一般说明；\n\n(b) 关于预期将用于执行提议的勘探工作计划的设备和方法的一般说明，以及关于这些技术的特点的其他非专有性相关资料；以及\n\n(c) 关于申请者应对对海洋环境造成严重损害的事故或活动的财政和技术能力的一般说明。第四节勘探工作计划\n\n24. 附上与勘探工作计划有关的下列资料：\n\n(a) 关于拟议勘探方案的一般说明和时间表，包括未来五年的活动方案，例如针对勘探时必须考虑的环境、技术、经济和其他有关因素进行的研究；\n\n(b) 关于按照《规章》及管理局制定的任何环境规则、规章和程序进行的海洋学和环境基线研究方案的说明，这些研究是为了能够参照法律和技术委员会所提任何建议，评估拟议勘探活动对环境的潜在影响，包括但不限于对生物多样性的影响；\n\n(c) 关于拟议勘探活动可能对海洋环境造成的影响的初步评估；\n\n(d) 关于为防止、减少和控制对海洋环境的污染和其他危害以及可能造成的影响而提议的措施的说明；\n\n(e) 未来五年活动方案的预期年度支出表。第五节承诺\n\n25. 附上一份书面承诺，表示申请者将：\n\n(a) 同意因《公约》的规定，管理局的规则、规章和程序，管理局各有关机关的决定及申请者同管理局所订合同的条款而产生的适用义务是可执行的，并将予以履行；\n\n(b) 接受管理局根据《公约》授权对“区域”内活动进行控制；\n\n(c) 向管理局提出书面保证，表示将诚意履行合同规定的义务。第六节以前的合同\n\n26. 如果申请者，或当申请者是联合安排中由实体组成的合伙企业或联营企业时，该合伙企业或联营企业的任何成员，以前获得过管理局颁发的任何合同，则申请书中必须有：\n\n(a) 以前合同的日期；\n\n(b) 就有关合同向管理局提交的每一份报告的日期、编号和标题；以及\n\n(c) 已终止合同的合同终止日期。第七节\n\n附件\n\n27. 列出本申请书的所有附录和附件(所有数据和资料应以硬拷贝和管理局指定的数字格式提交)。日期：申请者指定代表签名证明：证明人签名证明人姓名证明人职衔\n\n附件四勘探合同本合同由国际海底管理局(以下称“管理局”)和__________________(以下称“承包者”)通过双方各自的代表，管理局秘书长和_____________于____年____月____日签订，兹协议如下：条款的并入\n\n1. 《“区域”内多金属结核探矿和勘探规章》附件四所载的标准条款应并入本合同内，并应具有相当于在本合同内详细载列的效力。勘探区域\n\n2. 为本合同的目的，“勘探区域”是指本合同附件 1 的坐标表所界定，分配给承包者勘探的那部分“区域”，该部分的范围按照标准条款和《规章》的规定分阶段予以缩小。权利的授予\n\n3. 考虑到：(a) 双方都有兴趣根据 1982 年 12 月 10 日《联合国海洋法公约》和《关于执行<公约>第十一部分的协定》在勘探区域进行勘探活动；(b) 管理局有责任组织和控制“区域”内活动，特别是为了依照《公约》第十一部分和《协定》及《公约》第十二部分的规定分别制定的法律制度管理“区域”的资源；(c)承包者有兴趣在勘探区域进行活动并为此作出财政承诺，以及双方在此订立的契约，管理局特此授予承包者专属权利，依照本合同的条款和条件对勘探区域内的多金属结核进行勘探。生效和合同期限\n\n4. 本合同应在双方签署后生效，并在不违反标准条款的情况下，应在签署后十五年内持续有效，除非：\n\n(a) 承包者获得在勘探区域进行开发的合同，而且该合同在上述十五年期限届满之前生效；或者\n\n(b) 合同在期限届满之前终止，但合同的期限可根据标准条款 3.2 和 17.2予以延长。\n\n附件\n\n5.\n\n标准条款第 4 节和第 8 节所述的附件在本合同中分别为附件 2 和附件 3。全部协定\n\n6. 本合同为当事方之间的全部协定，不得以任何口头谅解或前订文书修改其中的条款。下列签署人，经各自一方正式授权，于_____年_____月____日在_____签署本合同，以资证明。附件 1[勘探区域的坐标和示意图]附件 2[不时修订的现行五年活动方案]附件 3[管理局按照标准条款第 8 节核准训练方案后，训练方案应成为合同的一个附件。]\n\n附件五勘探合同的标准条款第1节定义\n\n1.1 在下列条款内：\n\n(a) “勘探区域”是指本合同附件 1 所述，分配给承包者勘探的那部分“区域”，该部分的范围可按照本合同和《规章》的规定分阶段予以缩小；\n\n(b) “活动方案”是指载于本合同附件 2 的工作方案，该工作方案可不时依照本合同第 4.3 和第 4.4 节予以调整；\n\n(c) “《规章》”是指管理局通过的《“区域”内多金属结核探矿和勘探规章》。\n\n1.2 《规章》界定的用语和短语在本标准条款内具有相同涵义。\n\n1.3 《关于执行 1982 年 12 月 10 日＜联合国海洋法公约＞第十一部分的协定》规定，其条款及《公约》第十一部分应作为一个单一文书来解释和适用；本合同和本合同中提及《公约》的条款应相应地加以解释和适用。\n\n1.4 本合同包括本合同各附件，这些附件为本合同的组成部分。第2节使用权的保障\n\n2.1 承包者应享有使用权的保障，而且除本合同第 20、21 和 24 节规定的情况外，不得暂停、终止或修改本合同。\n\n2.2 承包者应享有依照本合同的条款和条件，对勘探区域内的多金属结核进行勘探的专属权利。管理局应确保在勘探区域内勘探不同类别资源的任何其他实体在作业时不致不合理地干扰该承包者的作业。\n\n2.3 承包者向管理局发出通知后，有权随时放弃其在勘探区域的所有或部分权利而不受罚，但该承包者仍须对宣布放弃之日以前就所放弃区域所产生的所有义务承担责任。\n\n2.4 除本合同明确授予的权利以外，本合同未授予承包者任何其他权利。管理局保留在本合同所述区域内与第三方订立涉及多金属结核以外资源的合同的权利。第3节合同期限\n\n3.1 合同应在双方签署后生效，并且应在签署后十五年内持续有效，除非：\n\n(a) 承包者获得在勘探区域进行开发的合同，而且该合同在上述十五年期限届满之前生效；或\n\n(b) 合同在期限届满之前终止，但合同的期限可依照本合同第 3.2 节和第\n\n17.2 节予以延长。\n\n3.2 如果承包者至迟于本合同到期之前六个月提出申请，则本合同可予延长，每次延长期限不得超过五年，而且须以管理局和承包者届时根据《规章》商定的条款为准。如果承包者已作出真诚努力遵守本合同的各项要求，但由于承包者无法控制的原因而不能完成进入开发阶段的必要准备工作，或者在当时的经济环境下没有理由进入开发阶段，则此种延长应获核准。\n\n3.3 尽管根据本合同第 3.1 节规定本合同已到期，如果承包者在期满之日 90 天前申请开发合同，则本合同规定的承包者权利和义务应予继续，直至审议申请，颁发或拒发开发合同时为止。第4节勘探\n\n4.1 承包者应按照本合同附件 2 所列活动方案规定的时间表开始勘探，并应遵守本合同所规定的时限或对时限所作的任何修改。\n\n4.2 承包者应执行本合同附件 2 所述的活动方案。承包者进行这些活动时，每一合同年度内所花的实际和直接勘探费用应不少于该方案所规定的数额，或对方案进行审查后议定的数额。\n\n4.3 承包者经管理局同意，可不时根据采矿业的良好做法，并参考多金属结核所含金属的市场状况和其他有关的全球经济状况，对活动方案及其中所列支出数额作必要和谨慎的调整。管理局不应不合理地拒绝给予同意。\n\n4.4 承包者和秘书长至迟应在本合同根据合同第 3 节生效之日开始的每一个五年届满之前 90 天，共同对根据本合同执行勘探工作计划的情况进行审查。秘书长可视需要要求承包者提交此审查所需的进一步数据和资料。承包者应参照审查结果，对其工作计划作出必要的调整，并说明其下一个五年的活动方案，包括列出预计每年开支的订正表。本合同附件 2 应作相应调整。第5节环境监测\n\n5.1 承包者应在合理可能的范围内采取预防性办法和最佳环境做法，采取必要措施，防止、减少和控制其“区域”内活动对海洋环境造成的污染和其他危害。\n\n5.2 在开始勘探活动之前，承包者应向管理局提交：\n\n(a) 关于拟议活动对海洋环境潜在影响的评估；\n\n(b) 关于确定拟议活动对海洋环境潜在影响的监测方案的建议；\n\n(c) 可用于制定环境基线以评估拟议活动影响的数据。\n\n5.3 承包者应依照《规章》，随着勘探活动的不断深入和发展，收集环境基线数据，并确定各种环境基线，以此来对照评估承包者的活动可能对海洋环境造成的影响。\n\n5.4 承包者应根据《规章》，制订和执行关于监测和报告对海洋环境的影响的方案。承包者应与管理局合作实施此一监测。\n\n5.5 承包者应于每一日历年结束后 90 天内向秘书长报告本合同第 5.4 节所述监测方案的执行情况和结果，并应根据《规章》提交数据和资料。第6节应急计划和紧急情况\n\n6.1 承包者在按照本合同开始其活动方案之前，应向秘书长提交一份能有效应对因承包者在勘探区域的海上活动而可能对海洋环境造成严重损害或带来严重损害威胁的事故的应急计划。这种应急计划应确定特别程序，并应规定备有足够和适当的设备，以应对此类事故，特别是应包括下列安排：\n\n(a) 立即在勘探活动区域发出一般警报；\n\n(b) 立即通知秘书长；\n\n(c) 警告可能行将进入毗邻水域的船只；\n\n(d) 不断向秘书长充分通报已经采取的紧急措施的细节和所需的进一步行动；\n\n(e) 适当清除污染物质；\n\n(f) 减少并在合理范围内尽可能防止对海洋环境造成严重损害，以及减轻此类影响；\n\n(g) 在适当情况下，同管理局的其他承包者合作应付紧急情况；并\n\n(h) 定期举行紧急情况演习。\n\n6.2 承包者的活动如引起已经、正在或可能对海洋环境造成严重损害的事故，承包者应迅速向秘书长报告。每一份报告应载列事故的详情，其中除其他外，应包括：\n\n(a) 已受影响的或可以合理地预期会受影响的区域的坐标；\n\n(b) 说明承包者正在采取什么行动来防止、控制、减轻和弥补对海洋环境造成或可能造成严重损害的情况；\n\n(c) 说明承包者正在为监测事故对海洋环境的影响而采取的行动；以及\n\n(d) 秘书长在合理范围内可能要求提供的补充资料。\n\n6.3 承包者应遵从理事会和秘书长为了防止、控制、减轻或弥补对海洋环境造成或可能造成严重损害的情况而分别按照《规章》发布的紧急命令和指示立即采取的临时措施，包括可能要求承包者立即暂停或调整其在勘探区域内任何活动的命令。\n\n6.4 如果承包者不迅速遵从这种紧急命令或立即采取临时措施，理事会可采取必要的合理措施，以防止、控制、减轻或弥补对海洋环境造成或可能造成严重损害的情况，费用由承包者承担。承包者应迅速向管理局偿还这种费用。这种费用不包括在根据本合同或《规章》对承包者课处的任何罚款之内。第7节具有考古或历史意义的遗骸、文物和遗址在勘探区内发现任何具有考古或历史意义的遗骸或任何类似性质的文物或遗址时，承包者应立即将此事及发现的地点以书面方式通知秘书长，包括报告已采取的保全和保护措施。秘书长应将这些资料转交联合国教育、科学及文化组织总干事以及任何其他主管国际组织。在勘探区发现任何此类遗骸、文物或遗址后，为了避免扰动这些遗骸、文物或遗址，在理事会考虑到联合国教育、科学及文化组织总干事或任何其他主管国际组织的意见后另有决定之前，不得在一个合理范围内继续进行探矿或勘探。第8节训练\n\n8.1 根据《规章》，承包者在按照本合同开始勘探之前，应把关于训练管理局和发展中国家人员的拟议训练方案提交管理局核准，其中包括让这些人员参与承包者按照本合同所从事的所有活动。\n\n8.2 训练方案的范围和筹资办法应由承包者、管理局和担保国商订。\n\n8.3 承包者应依照本合同第 8.1 节所述的并经管理局根据《规章》核准的具体人员训练方案，实施训练方案。具体方案可不时加以修改和发展，并应作为附件 3成为本合同的一部分。第9节帐簿和记录承包者应按照国际公认会计原则保存完整和正确的帐簿、帐目和财务记录。保存的帐簿、帐目和财务记录应包括充分披露实际和直接支出的勘探费用的资料和有助于切实审计这些费用的其他资料。第 10 节年度报告\n\n10.1承包者应于每一日历年结束后 90 天内，按照法律和技术委员会不时建议的格式，向秘书长提交一份报告，说明其在勘探区域的活动方案，并在适用时提供关于下列方面的详尽资料：\n\n(a) 该日历年内进行勘探的工作，包括显示已进行工作和已取得结果的地图、海图和图表；\n\n(b) 进行勘探工作所使用的设备，包括对拟议采矿技术进行测试的结果，但不包括设备的设计数据；以及\n\n(c) 训练方案的执行情况，包括对这类方案的任何拟议的修订或发展。\n\n10.2这种报告也应载列：\n\n(a) 环境监测方案的结果，包括对各项环境参数的观察、测量、评价和分析：\n\n(b) 一份列有作为样品或为测试目的回收的多金属结核数量的报表；\n\n(c) 一份符合国际公认会计原则和经具有适当资格的公共会计师事务所核证的报表，或在承包者为国家和国营企业时经担保国核证的报表，其中载列承包者在其会计年度内为执行活动方案而实际和直接支出的勘探费用。承包者可将这些费用列为承包者在开始商业生产前承担的部分发展费用；以\n\n(d) 任何拟对活动方案作出调整的细节和作出这种调整的理由。\n\n10.3承包者还应按照秘书长不时提出的合理要求，提供更多资料以补充本合同第 10.1 节和第 10.2 节所述的报告，以便管理局根据《公约》、《规章》和本合同履行其职能。\n\n10.4对于在勘探期间取得的多金属结核样品，承包者应妥善保存一个具有代表性的部分，直至本合同期满为止。管理局可书面请求承包者将任何这种在勘探期间取得的样品的一部分送交管理局作分析之用。第 11 节合同期满时应提交的数据和资料\n\n11.1承包者应依照本节的规定，向管理局移交管理局对勘探区域有效行使权力和履行职能所必需和相关的一切数据和资料。\n\n11.2在本合同期满或终止时，尚未向秘书长提交下列数据和资料的承包者应向秘书长提交：\n\n(a) 承包者在执行活动方案期间获得的，并为管理局对勘探区域有效行使权力和履行职能所必需和相关的地质、环境、地球化学和地球物理数据的副本；\n\n(b) 确定可开采区域后对这些地区的估计，包括关于经证实的、概略的及可能的多金属结核储量的品位和数量以及预计开采条件的细节；\n\n(c) 承包者编写或为承包者编写，并为管理局对勘探区域有效行使权力和履行职能所必需和相关的地质、技术、财务和经济报告的副本；\n\n(d) 进行勘探工作所使用设备的充分详细资料，包括对拟议采矿技术进行测试的结果，但不包括设备的设计数据；\n\n(e) 一份列有作为样品或为测试目的回收的多金属结核数量的报表；以及\n\n(f) 一份关于样品的保存方式和地点及可供管理局使用的方式的说明。\n\n11.3如果在本合同期满之前，承包者申请核准一项开发工作计划，则应向秘书长提交本合同第 11.2 节所述的数据和资料；或如果承包者放弃其在勘探区域内的权利，则本合同第 11.2 节所述的与被放弃区域有关的数据和资料也应提交秘书长。第 12 节机密性依照本合同提交管理局的数据和资料应按照《规章》规定作为机密处理。第 13 节承诺\n\n13.1承包者应依照本合同的条款和条件、《规章》、《公约》第十一部分、《协定》以及符合《公约》规定的其他国际法规则进行勘探。\n\n13.2承包者承诺：\n\n(a) 同意本合同的条款是可执行的，并将予以遵守；\n\n(b) 遵守《公约》的规定，管理局的规则、规章和程序及管理局有关机关的决定所产生的适用义务；\n\n(c) 接受管理局根据《公约》授权对“区域”内活动进行控制；\n\n(d) 诚意履行本合同规定的义务；并\n\n(e) 在合理可行范围内遵从法律和技术委员会随时公布的建议。\n\n13.3承包者应以下述方式积极执行活动方案：\n\n(a) 认真、高效和节省；\n\n(b) 适当顾及其活动对海洋环境的影响；并\n\n(c) 合理顾及海洋环境中的其他活动。\n\n13.4管理局承诺按照《公约》第一五七条诚意履行《公约》和《协定》规定的职权和职能。第 14 节检查\n\n14.1承包者应准许管理局派其检查员登临承包者用以在勘探区域内进行活动的船舶和设施，以便\n\n(a) 监测承包者对本合同的条款及《规章》的遵守情况；并\n\n(b) 监测这些活动对海洋环境的影响。\n\n14.2秘书长应合理通知承包者，告知检查的预定时间和检查的时间长度、检查员的姓名以及检查员准备进行、而且可能需要特别设备或者需要承包者的人员提供特别协助的活动。\n\n14.3检查员应有权检查任何船只或设施，包括其航海日志、设备、记录、装备、所有其他已记录的数据以及为监测承包者的遵守情况而需要的任何相关文件。\n\n14.4承包者及其代理人和雇员应协助检查员履行其职务，并应：\n\n(a) 接受检查员并方便检查员迅速而安全地登临船只和设施；\n\n(b) 对按照这些程序检查任何船只或设施的活动给予合作和协助；\n\n(c) 在任何合理的时间为接触船只和设施上所有有关的设备、装备和人员提供便利；\n\n(d) 在检查员履行职务时不加阻挠、恫吓或干预；\n\n(e) 向检查员提供合理的便利，包括在适当情况下提供膳宿；并\n\n(f) 方便检查员安全离船。\n\n14.5检查员应避免干扰承包者用于在所检查区域进行活动的船只和设施上的安全和正常作业,并应依照《规章》和为保护数据和信息的机密性而采取的措施行事。\n\n14.6秘书长及经正式授权的秘书长代表为审计和检查目的，应可查阅承包者所有的任何必要的和直接相关的账簿、凭单、文件和记录，以核实第 10.2(c)节所提及的费用。\n\n14.7需要采取行动时，秘书长应向承包者及其担保国提供检查员报告内的相关资料。\n\n14.8如果承包者以任何原因不开展勘探，并且不要求颁发开发合同，则应在撤出勘探区域之前向秘书长提出书面通知，以使管理局如作出决定，可按照本节规定进行检查。第 15 节安全、劳动及健康标准\n\n15.1承包者应遵守主管国际组织或全体外交会议所制定的，关于海上人命安全和防止碰撞的公认国际规则和标准，以及管理局可能通过的关于海上安全的规则、规章和程序。用于在“区域”内进行活动的每一船只应持有按照这些国际规则和标准颁发的有效证件。\n\n15.2承包者在按照本合同进行勘探时，应奉行和遵守管理局可能通过的关于防止就业歧视、职业安全和健康、劳资关系、社会保障、就业保障和工作场所生活条件的规则、规章和程序。这些规则、规章和程序应考虑到国际劳工组织和其他主管国际组织的公约和建议。第 16 节责任\n\n16.1承包者应对其本身及其雇员、分包者、代理人及他们为根据本合同进行承包者的业务而雇用为他们工作或代他们行事的所有人员的不当行为或不作为所造成的任何损害，包括对海洋环境的损害的实际数额负赔偿责任，其中包括为防止或限制对海洋环境造成损害而采取的合理措施的费用，但应考虑到管理局的共同行为或不作为。\n\n16.2对于第三方因承包者及其雇员、代理人和分包者及他们为根据本合同进行承包者的业务而雇用为他们工作或代他们行事的所有人员的任何不当行为或不作为而提出的一切主张和赔偿要求，承包者应使管理局，其雇员、分包者和代理人免受损失。\n\n16.3管理局应对在履行其职权和职能时的不当行为,包括违反《公约》第一六八条第 2 款的行为所造成的任何损害的实际数额向承包者负赔偿责任，但应考虑到承包者，其雇员、代理人和分包者及他们为根据本合同进行承包者的业务而雇用为他们工作或代他们行事的所有人员的共同行为或不作为。\n\n16.4对于第三方因管理局在履行本合同规定的职权和职能时的任何不当行为或不作为，包括违反《公约》第一六八条第 2 款的行为而提出的一切主张和赔偿要求，管理局应使承包者，其雇员、分包者、代理人及他们为根据本合同进行承包者的业务而雇用为他们工作或代他们行事的所有人员免受损失。\n\n16.5承包者应按公认的国际海事惯例向国际公认的保险商适当投保。第 17 节不可抗力\n\n17.1承包者对因不可抗力而无法避免的延误或因而无法履行本合同所规定的任何义务不负赔偿责任。为本合同的目的，不可抗力指无法合理地要求承包者防止或控制的事件或情况；但这种事件或情况不应是疏忽或未遵守采矿业的良好做法所引起的。\n\n17.2本合同的履行如果因不可抗力受到延误，经承包者请求，承包者应获准延展时限，延展期相当于履行被延误的时间，而本合同的期限也应相应延长。\n\n17.3发生不可抗力时，承包者应采取一切合理措施，克服无法履行的情况，尽少延误地遵守本合同的条款和条件；但不应责成承包者解决或终止任何劳工纠纷或任何其他涉及第三方的争议，除非承包者对条件感到满意或者有权解决纠纷的机构作出最终决定。\n\n17.4承包者应合理地尽快将发生的不可抗力事件通知管理局，并应同样地将情况恢复正常的消息通知管理局。第 18 节免责条款承包者或任何有关联的公司或分包者不得以任何明示或暗示的方式声称或表示，管理局或其任何官员对勘探区域内多金属结核持有任何意见或已表示任何意见。承包者、任何有关联的公司或任何分包者印发的，直接或间接提及本合同的任何计划书、通知、通告、广告、新闻稿或类似文件均不应登载或认可此种内容的声明。为本节的目的，“有关联的公司”是指控制承包者，或由承包者控制，或与承包者共同控制的任何个人、商号或公司或国有实体。第 19 节放弃权利承包者向管理局发出通知后，有权放弃其权利和终止本合同而不受罚，但承包者仍须对宣布放弃之日以前产生的所有义务和按照《规章》须在合同终止后履行的义务承担责任。第 20 节担保的终止\n\n20.1如果承包者国籍或控制权发生变化或《规章》所界定的承包者担保国终止其担保，承包者应从速通知管理局。\n\n20.2在上述两种情况下，如果承包者未能找到另一符合《规章》所定要求的担保国，在《规章》规定的时限内以规定的格式为承包者向管理局提交担保书，则本合同应即予终止。第 21 节合同的中止和终止及罚则\n\n21.1如果发生以下情况之一，理事会可以中止或终止合同，但不妨害管理局可能具有的任何其他权利：\n\n(a) 虽经管理局书面警告，承包者仍然进行活动，以致造成一再故意严重违反本合同基本条款、《公约》第十一部分、《协定》及管理局的规则、规章和程序的结果；或\n\n(b) 承包者不遵守对其适用的争端解决机构作出的有约束力的终局裁判；或\n\n(c) 承包者失去偿付能力，或采取破产行动，或与债权人达成任何清偿协议，或进行清算或被接管，无论是强制性还是自愿的，或根据任何现行或此后生效的破产法、无力偿债法或债务调整法向任何法庭申请指派管理人或其自己的托管人或管理人或展开任何与自己有关的法律程序，但为了改组的除外。\n\n21.2如果由于 17.1 节所述的不可抗力事件或情况持续存在长达两年以上，尽管承包者已采取一切合理措施，以克服无法履行合同的情况，尽少延误地遵守本合同的条款和条件，但仍无法履行本合同为其规定的义务，则理事会在须遵循第\n\n17 节规定的情况下，同承包者协商后，可中止或终止合同，但不妨害管理局可能拥有的其他任何权利。\n\n21.3任何中止或终止应采用书面通知形式，通过秘书长发出，并应附上关于采取这一行动的理由的说明。中止或终止应于通知后 60 天生效，除非承包者在此段时间内按照《公约》第十一部分第五节对管理局中止或终止本合同的权利提出异议。\n\n21.4如果承包者采取上述行动，本合同只可根据按照《公约》第十一部分第五节作出的有约束力的终局裁决予以中止或终止。\n\n21.5如果理事会已中止本合同，理事会可发出通知，要求承包者在通知后 60天内恢复其作业并遵守本合同的条款和条件。\n\n21.6对于本合同第 21.1(a)节未予规定的任何违反本合同的行为，或作为本合同第 21.1 节所规定的中止或终止的代替做法，理事会可对承包者课以与违约行为的严重性相称的罚款。\n\n21.7在承包者已有合理机会用尽根据《公约》第十一部分第五节可以使用的司法救济之前，理事会不得执行涉及罚款的决定。\n\n21.8在本合同终止或到期时，承包者应遵守《规章》，从勘探区域撤出所有设施、工厂、设备和材料，使该区成为安全区域，不会对人员、航运或对海洋环境构成危险。第 22 节权利和义务的转让\n\n22.1本合同规定的承包者权利和义务，须经管理局同意，并按照《规章》的规定，才可全部或部分转让。\n\n22.2如果拟议的受让者根据《规章》的规定是在所有方面都合格的申请者，并且承担承包者的一切义务，在转让没有向受让者转让一项《公约》附件三第六条第 3 款(c)项规定不得核准的工作计划的情况下，管理局不应不合理地拒绝同意转让。\n\n22.3本合同的条款、承诺和条件应对合同各方及其各自的继承者和受让者生效，使他们从中受益并受其约束。第 23 节不放弃权利任何一方放弃因他方在履行本合同条款方面的一项违约行为而产生的权利，不应推定为该一方放弃权利，不追究他方随后在履行同一条款或任何其他条款方面的违约行为。第 24 节修改\n\n24.1如果已经发生或可能发生的情况使管理局或承包者认为将使本合同有失公允，或使本合同或《公约》第十一部分和《协定》所订的目标无法或不可能实现，双方应进行谈判，对合同作出相应的修改。\n\n24.2承包者和管理局也可以协议修改本合同，以便利执行管理局在本合同生效以后通过的任何规则、规章和程序。\n\n24.3本合同的变更、修正或改动，须得到承包者和管理局的同意，以经由双方授权的代表签署的适当文书为之。第 25 节争端\n\n25.1 双方关于本合同的解释或适用的争端应依照《公约》第十一部分第五节解决。\n\n25.2依照《公约》附件三第二十一条第 2 款，根据《公约》具有管辖权的法院或法庭就管理局和承包者的权利和义务作出的任何终局裁判，在《公约》任一受影响的缔约国境内均可执行。第 26 节通知\n\n26.1与本合同有关的任何申请书、请求、通知、报告、同意书、批准书、放弃权利声明、指令或指示，应按情况由秘书长或由承包者的指定代表以书面作出。应以专人手递、电报、传真、挂号航空邮件或带有经授权的签字的电子邮件方式送达管理局总部交秘书长或送达指定的代表。以带有数字签字的电子文件提供信息，可满足《规章》关于以书面形式提供一切信息的规定。\n\n26.2任何一方都有权将任何地址更改为任何其他地址，但应至少提前十天向他方发出通知。\n\n26.3专人手递的，于送达时生效。以电报传送的，于发送者电报机显示“回答”之日的下一个办公日视为生效。以传真传送的，于传真机收到“发送证实报告”证实已向收件者的公开传真号码发送传真时生效。以挂号航空信件发出的，于寄出 21 天之后视为生效。电子邮件，在其进入收件人为接收所发此类文件而指定或使用的信息系统，并可以由收件人取用和处理时，视为被收件人收到。\n\n26.4就本合同的所有目的而言，向承包者指定的代表发出的通知，构成为给承包者的有效通知，而且在任何具有管辖权的法院或法庭的任何程序中，被指定的代表应为接受送达的令状或通知的承包者代理人。\n\n26.5就本合同的所有目的而言，发给秘书长的通知构成给管理局的有效通知，而且在任何具有管辖权的法院和法庭的诉讼程序中，秘书长应为接受送达的令状或通知的管理局代理人。第 27 节适用的法律\n\n27.1本合同应按照本合同的条款、管理局的规则、规章和程序、《公约》第十一部分、《协定》以及与《公约》不相抵触的其他国际法规则确定。\n\n27.2承包者，其雇员、分包者、代理人及他们为根据本合同进行承包者的业务而雇用为他们工作或代他们行事的所有人员，应遵守本合同第 27.1 节所提到的适用的法律，并且不应直接或间接地从事适用的法律禁止的任何交易。\n\n27.3本合同任何条款不得被视为不必为按照本合同进行的任何活动申请和取得可能需要的任何执照或授权。第 28 节解释本合同分成若干节和分节，另加上标题，仅为了便于参考，不应影响对合同的解释。第 29 节其他文件为实施本合同的规定，本合同每一当事方同意签署和递送所有必要的进一步文书，并采取和履行所有必要的进一步行动和事务。\n", "n_chars": 30471}
{"corpus_id": "isa/regulation/sulphides-2010", "version_id": "2010-11-15", "title": "Regulations on Prospecting and Exploration for Polymetallic Sulphides in the Area", "short_title": "ISA Polymetallic Sulphides Exploration Regulations (2010)", "jurisdiction": "international", "document_type": "isa_regulation", "official_citation": "ISBA/16/A/12/Rev.1, annex — Regulations on Prospecting and Exploration for Polymetallic Sulphides in the Area", "authentic_languages": ["ar", "zh", "en", "fr", "ru", "es"], "language": "en", "adoption_date": "2010-05-07", "entry_into_force_date": null, "source_url": "https://isa.org.jm/wp-content/uploads/2022/06/isba-16a-12rev1_2_0.pdf", "source_publisher": "International Seabed Authority (ISA)", "source_is_official": true, "authoritative_status": "authentic_text", "text_fidelity": "extracted_verified", "content_hash": "sha256:82ae41a1d38b7a203d114cd902d7b95dd09a3ba5437610f2a317151c26db073c", "original_sha256": "sha256:82ae41a1d38b7a203d114cd902d7b95dd09a3ba5437610f2a317151c26db073c", "text_sha256": "sha256:82ae41a1d38b7a203d114cd902d7b95dd09a3ba5437610f2a317151c26db073c", "license": "isa-materials-terms", "rights_note": "Official ISA document (ISBA/16/A/12/Rev.1), attributed to the International Seabed Authority; UN document series, used with attribution; not relicensed.", "provenance_note": "English authentic text of the ISA Assembly decision ISBA/16/A/12/Rev.1 (corrected reissue dated 15 November 2010) and its annex, the Regulations on Prospecting and Exploration for Polymetallic Sulphides in the Area (adopted 7 May 2010; Regulations 1–45 across Parts I–VIII, plus annexed forms and the standard clauses for exploration contract). Note: regulation 21(1)(b) was suspended pending an LTC recommendation per ISBA/19/C/17, para. 5 (2013) — see related_documents. Captured 2026-07-03 from the official ISA PDF via the approved web-fetch tool; a deterministic cleaner removed PDF page artifacts and reconstructed provision boundaries — no wording altered. Text extraction, NOT byte-exact PDF; byte-exact download recommended as an upgrade. Other five authentic languages not yet stored (JC-003).", "text": "ISA Regulations on Prospecting and Exploration for Polymetallic Sulphides in the Area — ISBA/16/A/12/Rev.1, annex\n\n26 April-7 May 2010 Decision of the Assembly of the International Seabed Authority relating to the regulations on prospecting and exploration for polymetallic sulphides in the Area The Assembly of the International Seabed Authority, Having considered the Regulations on prospecting and exploration for polymetallic sulphides in the Area, as provisionally adopted by the Council at its 161st meeting, on 6 May 2010 (ISBA/16/C/L.5), Approves the Regulations on prospecting and exploration for polymetallic sulphides in the Area as contained in the annex to the present document. 130th meeting 2 10-63720 Annex Regulations on prospecting and exploration for polymetallic sulphides in the Area Preamble In accordance with the United Nations Convention on the Law of the Sea (“the Convention”), the seabed and ocean floor and the subsoil thereof beyond the limits of national jurisdiction, as well as its resources, are the common heritage of mankind, the exploration and exploitation of which shall be carried out for the benefit of mankind as a whole, on whose behalf the International Seabed Authority acts. The objective of this set of Regulations is to provide for prospecting and exploration for polymetallic sulphides.\n\nPart I. Introduction\n\nRegulation 1. Use of terms and scope\n\n1. Terms used in the Convention shall have the same meaning in these Regulations.\n\n2. In accordance with the Agreement relating to the Implementation of Part XI of the United Nations Convention on the Law of the Sea of 10 December 1982 (“the Agreement”), the provisions of the Agreement and Part XI of the United Nations Convention on the Law of the Sea of 10 December 1982 shall be interpreted and applied together as a single instrument. These Regulations and references in these Regulations to the Convention are to be interpreted and applied accordingly.\n\n3. For the purposes of these Regulations:\n\n(a) “exploitation” means the recovery for commercial purposes of polymetallic sulphides in the Area and the extraction of minerals therefrom, including the construction and operation of mining, processing and transportation systems, for the production and marketing of metals;\n\n(b) “exploration” means searching for deposits of polymetallic sulphides in the Area with exclusive rights, the analysis of such deposits, the use and testing of recovery systems and equipment, processing facilities and transportation systems, and the carrying out of studies of the environmental, technical, economic, commercial and other appropriate factors that must be taken into account in exploitation;\n\n(c) “marine environment” includes the physical, chemical, geological and biological components, conditions and factors which interact and determine the productivity, state, condition and quality of the marine ecosystem, the waters of the seas and oceans and the airspace above those waters, as well as the seabed and ocean floor and subsoil thereof;\n\n(d) “polymetallic sulphides” means hydrothermally formed deposits of sulphides and accompanying mineral resources in the Area which contain concentrations of metals including, inter alia, copper, lead, zinc, gold and silver;\n\n(e) “prospecting” means the search for deposits of polymetallic sulphides in the Area, including estimation of the composition, size and distribution of deposits of polymetallic sulphides and their economic values, without any exclusive rights;\n\n(f) “serious harm to the marine environment” means any effect from activities in the Area on the marine environment which represents a significant adverse change in the marine environment determined according to the rules, regulations and procedures adopted by the Authority on the basis of internationally recognized standards and practices.\n\n4. These Regulations shall not in any way affect the freedom of scientific research, pursuant to article 87 of the Convention, or the right to conduct marine scientific research in the Area pursuant to articles 143 and 256 of the Convention. Nothing in these Regulations shall be construed in such a way as to restrict the exercise by States of the freedom of the high seas as reflected in article 87 of the Convention.\n\n5. These Regulations may be supplemented by further rules, regulations and procedures, in particular on the protection and preservation of the marine environment. These Regulations shall be subject to the provisions of the Convention and the Agreement and other rules of international law not incompatible with the Convention.\n\nPart II. Prospecting\n\nRegulation 2. Prospecting\n\n1. Prospecting shall be conducted in accordance with the Convention and these Regulations and may commence only after the prospector has been informed by the Secretary-General that its notification has been recorded pursuant to regulation 4, paragraph 2.\n\n2. Prospectors and the Secretary-General shall apply a precautionary approach, as reflected in principle 15 of the Rio Declaration.1 Prospecting shall not be undertaken if substantial evidence indicates the risk of serious harm to the marine environment.\n\n3. Prospecting shall not be undertaken in an area covered by an approved plan of work for exploration for polymetallic sulphides or in a reserved area; nor may there be prospecting in an area which the Council has disapproved for exploitation because of the risk of serious harm to the marine environment. 1 Report of the United Nations Conference on Environment and Development, Rio de Janeiro, 3-14 June 1991 (United Nations publication, Sales No. E.91.1.8 and corrigenda), vol. 1: Resolutions adopted by the Conference, resolution 1, annex 1. 4 10-63720\n\n4. Prospecting shall not confer on the prospector any rights with respect to resources. A prospector may, however, recover a reasonable quantity of minerals, being the quantity necessary for testing and not for commercial use.\n\n5. There shall be no time limit on prospecting, except that prospecting in a particular area shall cease upon written notification to the prospector by the Secretary-General that a plan of work for exploration has been approved with regard to that area.\n\n6. Prospecting may be conducted simultaneously by more than one prospector in the same area or areas.\n\nRegulation 3. Notification of prospecting\n\n1. A proposed prospector shall notify the Authority of its intention to engage in prospecting.\n\n2. Each notification of prospecting shall be in the form prescribed in annex 1 to these Regulations, addressed to the Secretary-General, and shall conform to the requirements of these Regulations.\n\n3. Each notification shall be submitted:\n\n(a) In the case of a State, by the authority designated for that purpose by it;\n\n(b) In the case of an entity, by its designated representative;\n\n(c) In the case of the Enterprise, by its competent authority.\n\n4. Each notification shall be in one of the languages of the Authority and shall contain:\n\n(a) The name, nationality and address of the proposed prospector and its designated representative;\n\n(b) The coordinates of the broad area or areas within which prospecting is to be conducted, in accordance with the most recent generally accepted international standard used by the Authority;\n\n(c) A general description of the prospecting programme, including the proposed date of commencement and its approximate duration;\n\n(d) A satisfactory written undertaking that the proposed prospector will:\n\n(i) Comply with the Convention and the relevant rules, regulations and procedures of the Authority concerning: a. Cooperation in the training programmes in connection with marine scientific research and transfer of technology referred to in articles 143 and 144 of the Convention; and b. Protection and preservation of the marine environment;\n\n(ii) Accept verification by the Authority of compliance therewith; and\n\n(iii) Make available to the Authority, as far as practicable, such data as may be relevant to the protection and preservation of the marine environment.\n\nRegulation 4. Consideration of notifications\n\n1. The Secretary-General shall acknowledge in writing receipt of each notification submitted under regulation 3, specifying the date of receipt.\n\n2. The Secretary-General shall review and act on the notification within 45 days of its receipt. If the notification conforms with the requirements of the Convention and these Regulations, the Secretary-General shall record the particulars of the notification in a register maintained for that purpose and shall inform the prospector in writing that the notification has been so recorded.\n\n3. The Secretary-General shall, within 45 days of receipt of the notification, inform the proposed prospector in writing if the notification includes any part of an area included in an approved plan of work for exploration or exploitation of any category of resources, or any part of a reserved area, or any part of an area which has been disapproved by the Council for exploitation because of the risk of serious harm to the marine environment, or if the written undertaking is not satisfactory, and shall provide the proposed prospector with a written statement of reasons. In such cases, the proposed prospector may, within 90 days, submit an amended notification. The Secretary-General shall, within 45 days, review and act upon such amended notification.\n\n4. A prospector shall inform the Secretary-General in writing of any change in the information contained in the notification.\n\n5. The Secretary-General shall not release any particulars contained in the notification except with the written consent of the prospector. The Secretary\u0002General shall, however, from time to time inform all members of the Authority of the identity of prospectors and the general areas in which prospecting is being conducted.\n\nRegulation 5. Protection and preservation of the marine environment during prospecting\n\n1. Each prospector shall take necessary measures to prevent, reduce and control pollution and other hazards to the marine environment arising from prospecting, as far as reasonably possible, applying a precautionary approach and best environmental practices. In particular, each prospector shall minimize or eliminate:\n\n(a) Adverse environmental impacts from prospecting; and\n\n(b) Actual or potential conflicts or interference with existing or planned marine scientific research activities, in accordance with the relevant future guidelines in this regard.\n\n2. Prospectors shall cooperate with the Authority in the establishment and implementation of programmes for monitoring and evaluating the potential impacts of the exploration for and exploitation of polymetallic sulphides on the marine environment.\n\n3. A prospector shall immediately notify the Secretary-General in writing, using the most effective means, of any incident arising from prospecting which has caused, is causing or poses a threat of serious harm to the marine environment. 6 10-63720 Upon receipt of such notification the Secretary-General shall act in a manner consistent with regulation 35.\n\nRegulation 6. Annual report\n\n1. A prospector shall, within 90 days of the end of each calendar year, submit a report to the Authority on the status of prospecting. Such reports shall be submitted by the Secretary-General to the Legal and Technical Commission. Each such report shall contain:\n\n(a) A general description of the status of prospecting and of the results obtained;\n\n(b) Information on compliance with the undertakings referred to in\n\nregulation 3, paragraph 4 (d); and\n\n(c) Information on adherence to the relevant guidelines in this regard.\n\n2. If the prospector intends to claim expenditures for prospecting as part of the development costs incurred prior to the commencement of commercial production, the prospector shall submit an annual statement, in conformity with internationally accepted accounting principles and certified by a duly qualified firm of public accountants, of the actual and direct expenditures incurred by the prospector in carrying out prospecting.\n\nRegulation 7. Confidentiality of data and information from prospecting contained in the annual report\n\n1. The Secretary-General shall ensure the confidentiality of all data and information contained in the reports submitted under regulation 6 applying mutatis mutandis the provisions of regulations 38 and 39, provided that data and information relating to the protection and preservation of the marine environment, in particular those from environmental monitoring programmes, shall not be considered confidential. The prospector may request that such data not be disclosed for up to three years following the date of their submission.\n\n2. The Secretary-General may, at any time, with the consent of the prospector concerned, release data and information relating to prospecting in an area in respect of which a notification has been submitted. If, after having made reasonable efforts for at least two years, the Secretary-General determines that the prospector no longer exists or cannot be located, the Secretary-General may release such data and information.\n\nRegulation 8. Objects of an archaeological or historical nature A prospector shall immediately notify the Secretary-General in writing of any finding in the Area of an object of actual or potential archaeological or historical nature and its location. The Secretary-General shall transmit such information to the Director-General of the United Nations Educational, Scientific and Cultural Organization.\n\nPart III. Applications for approval of plans of work for exploration in the form of contracts\n\nSection 1. General provisions\n\nRegulation 9. General Subject to the provisions of the Convention, the following may apply to the Authority for approval of plans of work for exploration:\n\n(a) The Enterprise, on its own behalf or in a joint arrangement;\n\n(b) States Parties, State enterprises or natural or juridical persons which possess the nationality of States or are effectively controlled by them or their nationals, when sponsored by such States, or any group of the foregoing which meets the requirements of these Regulations.\n\nSection 2. Content of applications\n\nRegulation 10. Form of applications\n\n1. Each application for approval of a plan of work for exploration shall be in the form prescribed in annex 2 to these Regulations, shall be addressed to the Secretary\u0002General, and shall conform to the requirements of these Regulations.\n\n2. Each application shall be submitted:\n\n(a) In the case of a State, by the authority designated for that purpose by it;\n\n(b) In the case of an entity, by its designated representative or the authority designated for that purpose by the sponsoring State or States; and\n\n(c) In the case of the Enterprise, by its competent authority.\n\n3. Each application by a State enterprise or one of the entities referred to in subparagraph (b) of regulation 9 shall also contain:\n\n(a) Sufficient information to determine the nationality of the applicant or the identity of the State or States by which, or by whose nationals, the applicant is effectively controlled; and\n\n(b) The principal place of business or domicile and, if applicable, place of registration of the applicant.\n\n4. Each application submitted by a partnership or consortium of entities shall contain the required information in respect of each member of the partnership or consortium. 8 10-63720\n\nRegulation 11. Certificate of sponsorship\n\n1. Each application by a State enterprise or one of the entities referred to in subparagraph (b) of regulation 9 shall be accompanied by a certificate of sponsorship issued by the State of which it is a national or by which or by whose nationals it is effectively controlled. If the applicant has more than one nationality, as in the case of a partnership or consortium of entities from more than one State, each State involved shall issue a certificate of sponsorship.\n\n2. Where the applicant has the nationality of one State but is effectively controlled by another State or its nationals, each State involved shall issue a certificate of sponsorship.\n\n3. Each certificate of sponsorship shall be duly signed on behalf of the State by which it is submitted, and shall contain:\n\n(a) The name of the applicant;\n\n(b) The name of the sponsoring State;\n\n(c) A statement that the applicant is:\n\n(i) A national of the sponsoring State; or\n\n(ii) Subject to the effective control of the sponsoring State or its nationals;\n\n(d) A statement by the sponsoring State that it sponsors the applicant;\n\n(e) The date of deposit by the sponsoring State of its instrument of ratification of, or accession or succession to, the Convention;\n\n(f) A declaration that the sponsoring State assumes responsibility in accordance with article 139, article 153, paragraph 4, and annex III, article 4, paragraph 4, of the Convention.\n\n4. States or entities in a joint arrangement with the Enterprise shall also comply with this regulation.\n\nRegulation 12. Total area covered by the application\n\n1. For the purposes of these Regulations, a “polymetallic sulphide block” means a cell of a grid as provided by the Authority, which shall be approximately 10 kilometres by 10 kilometres and no greater than 100 square kilometres.\n\n2. The area covered by each application for approval of a plan of work for exploration for polymetallic sulphides shall be comprised of not more than 100 polymetallic sulphide blocks which shall be arranged by the applicant in at least five clusters, as set out in paragraph 3 below.\n\n3. Each cluster of polymetallic sulphide blocks shall contain at least five contiguous blocks. Two such blocks that touch at any point shall be considered to be contiguous. Clusters of polymetallic sulphide blocks need not be contiguous but shall be proximate and confined within a rectangular area not exceeding 300,000 square kilometres in size and where the longest side does not exceed 1,000 kilometres in length.\n\n4. Notwithstanding the provisions in paragraph 2 above, where an applicant has elected to contribute a reserved area to carry out activities pursuant to article 9 of\n\nannex III to the Convention, in accordance with regulation 17, the total area covered by an application shall not exceed 200 polymetallic sulphide blocks. Such blocks shall be arranged in two groups of equal estimated commercial value and each such group of polymetallic sulphide blocks shall be arranged by the applicant in clusters, as set out in paragraph 3 above.\n\nRegulation 13. Financial and technical capabilities\n\n1. Each application for approval of a plan of work for exploration shall contain specific and sufficient information to enable the Council to determine whether the applicant is financially and technically capable of carrying out the proposed plan of work for exploration and of fulfilling its financial obligations to the Authority.\n\n2. An application for approval of a plan of work for exploration by the Enterprise shall include a statement by its competent authority certifying that the Enterprise has the necessary financial resources to meet the estimated costs of the proposed plan of work for exploration.\n\n3. An application for approval of a plan of work for exploration by a State or a State enterprise shall include a statement by the State or the sponsoring State certifying that the applicant has the necessary financial resources to meet the estimated costs of the proposed plan of work for exploration.\n\n4. An application for approval of a plan of work for exploration by an entity shall include copies of its audited financial statements, including balance sheets and profit-and-loss statements, for the most recent three years, in conformity with internationally accepted accounting principles and certified by a duly qualified firm of public accountants; and\n\n(a) If the applicant is a newly organized entity and a certified balance sheet is not available, a pro forma balance sheet certified by an appropriate official of the applicant;\n\n(b) If the applicant is a subsidiary of another entity, copies of such financial statements of that entity and a statement from that entity, in conformity with internationally accepted accounting principles and certified by a duly qualified firm of public accountants, that the applicant will have the financial resources to carry out the plan of work for exploration;\n\n(c) If the applicant is controlled by a State or a State enterprise, a statement from the State or State enterprise certifying that the applicant will have the financial resources to carry out the plan of work for exploration.\n\n5. Where an applicant referred to in paragraph 4 intends to finance the proposed plan of work for exploration by borrowings, its application shall include the amount of such borrowings, the repayment period and the interest rate.\n\n6. Each application shall include:\n\n(a) A general description of the applicant’s previous experience, knowledge, skills, technical qualifications and expertise relevant to the proposed plan of work for exploration; 10 10-63720\n\n(b) A general description of the equipment and methods expected to be used in carrying out the proposed plan of work for exploration and other relevant non-proprietary information about the characteristics of such technology;\n\n(c) A general description of the applicant’s financial and technical capability to respond to any incident or activity which causes serious harm to the marine environment.\n\n7. Where the applicant is a partnership or consortium of entities in a joint arrangement, each member of the partnership or consortium shall provide the information required by this regulation.\n\nRegulation 14. Previous contracts with the Authority Where the applicant or, in the case of an application by a partnership or consortium of entities in a joint arrangement, any member of the partnership or consortium, has previously been awarded any contract with the Authority, the application shall include:\n\n(a) The date of the previous contract or contracts;\n\n(b) The date, reference number and title of each report submitted to the Authority in connection with the contract or contracts; and\n\n(c) The date of termination of the contract or contracts, if applicable.\n\nRegulation 15. Undertakings Each applicant, including the Enterprise, shall, as part of its application for approval of a plan of work for exploration, provide a written undertaking to the Authority that it will:\n\n(a) Accept as enforceable and comply with the applicable obligations created by the provisions of the Convention and the rules, regulations and procedures of the Authority, the decisions of the organs of the Authority and the terms of its contracts with the Authority;\n\n(b) Accept control by the Authority of activities in the Area, as authorized by the Convention; and\n\n(c) Provide the Authority with a written assurance that its obligations under the contract will be fulfilled in good faith.\n\nRegulation 16. Applicant’s election of a reserved area contribution or equity interest in a joint venture arrangement Each applicant shall, in the application, elect either to:\n\n(a) Contribute a reserved area to carry out activities pursuant to Annex III, article 9, of the Convention, in accordance with regulation 17; or\n\n(b) Offer an equity interest in a joint venture arrangement in accordance with\n\nregulation 19.\n\nRegulation 17. Data and information to be submitted before the designation of a reserved area\n\n1. Where the applicant elects to contribute a reserved area to carry out activities pursuant to article 9 of annex III to the Convention, the area covered by the application shall be sufficiently large and of sufficient estimated commercial value to allow two mining operations and shall be configured by the applicant in accordance with regulation 12, paragraph 4.\n\n2. Each such application shall contain sufficient data and information, as prescribed in section II of annex 2 to these Regulations, with respect to the area under application to enable the Council, on the recommendation of the Legal and Technical Commission, to designate a reserved area based on the estimated commercial value of each part. Such data and information shall consist of data available to the applicant with respect to both parts of the area under application, including the data used to determine their commercial value.\n\n3. The Council, on the basis of the data and information submitted by the applicant pursuant to section II of annex 2 to these Regulations, if found satisfactory, and taking into account the recommendation of the Legal and Technical Commission, shall designate the part of the area under application which is to be a reserved area. The area so designated shall become a reserved area as soon as the plan of work for exploration for the non-reserved area is approved and the contract is signed. If the Council determines that additional information, consistent with these Regulations and annex 2, is needed to designate the reserved area, it shall refer the matter back to the Commission for further consideration, specifying the additional information required.\n\n4. Once the plan of work for exploration is approved and a contract has been issued, the data and information transferred to the Authority by the applicant in respect of the reserved area may be disclosed by the Authority in accordance with article 14, paragraph 3, of annex III to the Convention.\n\nRegulation 18. Applications for approval of plans of work with respect to a reserved area\n\n1. Any State which is a developing State or any natural or juridical person sponsored by it and effectively controlled by it or by any other developing State, or any group of the foregoing, may notify the Authority that it wishes to submit a plan of work for exploration with respect to a reserved area. The Secretary-General shall forward such notification to the Enterprise, which shall inform the Secretary\u0002General in writing within six months whether or not it intends to carry out activities in that area. If the Enterprise intends to carry out activities in that area, it shall, pursuant to paragraph 4, also inform in writing the contractor whose application for approval of a plan of work for exploration originally included that area.\n\n2. An application for approval of a plan of work for exploration in respect of a reserved area may be submitted at any time after such an area becomes available following a decision by the Enterprise that it does not intend to carry out activities in that area or where the Enterprise has not, within six months of the notification by the Secretary-General, either taken a decision on whether it intends to carry out activities in that area or notified the Secretary-General in writing that it is engaged in discussions regarding a potential joint venture. In the latter instance, the 12 10-63720 Enterprise shall have one year from the date of such notification in which to decide whether to conduct activities in that area.\n\n3. If the Enterprise or a developing State or one of the entities referred to in paragraph 1 does not submit an application for approval of a plan of work for exploration for activities in a reserved area within 15 years of the commencement by the Enterprise 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 whose application for approval of a plan of work for exploration originally included that area shall be entitled to apply for a plan of work for exploration for that area provided it offers in good faith to include the Enterprise as a joint-venture partner.\n\n4. A contractor has the right of first refusal to enter into a joint venture arrangement with the Enterprise for exploration of the area which was included in its application for approval of a plan of work for exploration and which was designated by the Council as a reserved area.\n\nRegulation 19. Equity interest in a joint venture arrangement\n\n1. Where the applicant elects to offer an equity interest in a joint venture arrangement, it shall submit data and information in accordance with regulation 20. The area to be allocated to the applicant shall be subject to the provisions of\n\nregulation 27.\n\n2. The joint venture arrangement, which shall take effect at the time the applicant enters into a contract for exploitation, shall include the following:\n\n(a) The Enterprise shall obtain a minimum of 20 per cent of the equity participation in the joint venture arrangement on the following basis:\n\n(i) Half of such equity participation shall be obtained without payment, directly or indirectly, to the applicant and shall be treated pari passu for all purposes with the equity participation of the applicant;\n\n(ii) The remainder of such equity participation shall be treated pari passu for all purposes with the equity participation of the applicant except that the Enterprise shall not receive any profit distribution with respect to such participation until the applicant has recovered its total equity participation in the joint venture arrangement;\n\n(b) Notwithstanding subparagraph (a), the applicant shall nevertheless offer the Enterprise the opportunity to purchase a further thirty per cent of the equity in the joint venture arrangement, or such lesser percentage as the Enterprise may elect to purchase, on the basis of pari passu treatment with the applicant for all purposes;2\n\n(c) Except as specifically provided in the agreement between the applicant and the Enterprise, the Enterprise shall not by reason of its equity participation be otherwise obligated to provide funds or credits or issue guarantees or otherwise accept any financial liability whatsoever for or on behalf of the joint venture 2 The terms and conditions upon which such equality participation may be obtained would need to be further elaborated. arrangement, nor shall the Enterprise be required to subscribe for additional equity participation so as to maintain its proportionate participation in the joint venture arrangement.\n\nRegulation 20. Data and information to be submitted for approval of the plan of work for exploration\n\n1. Each applicant shall submit, with a view to receiving approval of the plan of work for exploration in the form of a contract, the following information:\n\n(a) A general description and a schedule of the proposed exploration programme, including the programme of activities for the immediate five-year period, such as studies to be undertaken in respect of the environmental, technical, economic and other appropriate factors that must be taken into account in exploration;\n\n(b) A description of the programme for oceanographic and environmental baseline studies in accordance with these Regulations and any environmental rules, regulations and procedures established by the Authority that would enable an assessment of the potential environmental impact including, but not restricted to, the impact on biodiversity, of the proposed exploration activities, taking into account any recommendations issued by the Legal and Technical Commission;\n\n(c) A preliminary assessment of the possible impact of the proposed exploration activities on the marine environment;\n\n(d) A description of proposed measures for the prevention, reduction and control of pollution and other hazards, as well as possible impacts, to the marine environment;\n\n(e) Data necessary for the Council to make the determination it is required to make in accordance with regulation 13, paragraph 1; and\n\n(f) A schedule of anticipated yearly expenditures in respect of the programme of activities for the immediate five-year period.\n\n2. Where the applicant elects to contribute a reserved area, the data and information relating to such area shall be transferred to the Authority by the applicant after the Council has designated the reserved area in accordance with\n\nregulation 17, paragraph 3.\n\n3. Where the applicant elects to offer an equity interest in a joint venture arrangement, the data and information relating to such area shall be transferred to the Authority by the applicant at the time of the election.\n\nSection 3. Fees\n\nRegulation 21. Fee for applications\n\n1. The fee for processing a plan of work for exploration for polymetallic sulphides shall be: 14 10-63720\n\n(a) A fixed fee of 500,000 United States dollars or its equivalent in a freely convertible currency, payable by the applicant at the time of submitting an application; or\n\n(b) At the election of the applicant, a fixed fee of 50,000 United States dollars or its equivalent in a freely convertible currency, payable by the applicant at the time of submitting an application, and an annual fee calculated as set out in paragraph 2.\n\n2. The annual fee shall be calculated as follows:\n\n(i) 5 United States dollars multiplied by the area factor from the date of the first anniversary of the contract;\n\n(ii) 10 United States dollars multiplied by the area factor from the date of the first relinquishment in accordance with regulation 27(2); and\n\n(iii) 20 United States dollars multiplied by the area factor from the date of the second relinquishment in accordance with regulation 27(3).\n\n3. The “Area Factor” means the number of square kilometres comprised in the exploration area at the date upon which the periodic payment in question becomes due.\n\n4. Upon notification by the Secretary-General that the amount of the fee has been insufficient to cover the administrative costs incurred by the Authority in processing an application, the fee set out in paragraph 1 (a) of this regulation shall be reviewed by the Council.\n\n5. If the administrative costs incurred by the Authority in processing an application are less than the fixed amount, the Authority shall refund the difference to the applicant.\n\nSection 4. Processing of applications\n\nRegulation 22. Receipt, acknowledgement and safe custody of applications The Secretary-General shall:\n\n(a) Acknowledge in writing within 30 days receipt of every application for approval of a plan of work for exploration submitted under this Part, specifying the date of receipt;\n\n(b) Place the application together with the attachments and annexes thereto in safe custody and ensure the confidentiality of all confidential data and information contained in the application; and\n\n(c) Notify the members of the Authority of the receipt of such application and circulate to them information of a general nature which is not confidential regarding the application.\n\nRegulation 23. Consideration by the Legal and Technical Commission\n\n1. Upon receipt of an application for approval of a plan of work for exploration, the Secretary-General shall notify the members of the Legal and Technical Commission and place consideration of the application as an item on the agenda for the next meeting of the Commission. The Commission shall only consider applications in respect of which notification and information has been circulated by the Secretary-General in accordance with regulation 22 (c) at least 30 days prior to the commencement of the meeting of the Commission at which they are to be considered.\n\n2. The Commission shall examine applications in the order in which they are received.\n\n3. The Commission shall determine if the applicant:\n\n(a) Has complied with the provisions of these Regulations;\n\n(b) Has given the undertakings and assurances specified in regulation 15;\n\n(c) Possesses the financial and technical capability to carry out the proposed plan of work for exploration and has provided details as to its ability to comply promptly with emergency orders; and\n\n(d) Has satisfactorily discharged its obligations in relation to any previous contract with the Authority.\n\n4. The Commission shall, in accordance with the requirements set forth in these Regulations and its procedures, determine whether the proposed plan of work for exploration will:\n\n(a) Provide for effective protection of human health and safety;\n\n(b) Provide for effective protection and preservation of the marine environment including, but not restricted to, the impact on biodiversity;\n\n(c) Ensure that installations are not established where interference may be caused to the use of recognized sea lanes essential to international navigation or in areas of intense fishing activity.\n\n5. If the Commission makes the determinations specified in paragraph 3 and determines that the proposed plan of work for exploration meets the requirements of paragraph 4, the Commission shall recommend approval of the plan of work for exploration to the Council.\n\n6. The Commission shall not recommend approval of the plan of work for exploration if part or all of the area covered by the proposed plan of work for exploration is included in:\n\n(a) A plan of work for exploration approved by the Council for polymetallic sulphides; or\n\n(b) A plan of work approved by the Council for exploration for or exploitation of other resources if the proposed plan of work for exploration for polymetallic sulphides might cause undue interference with activities under such approved plan of work for other resources; or 16 10-63720\n\n(c) An area disapproved for exploitation by the Council in cases where substantial evidence indicates the risk of serious harm to the marine environment.\n\n7. The Legal and Technical Commission may recommend approval of a plan of work if it determines that such approval would not permit a State Party or entities sponsored by it to monopolize the conduct of activities in the Area with regard to polymetallic sulphides or to preclude other States Parties from activities in the Area with regard to polymetallic sulphides.\n\n8. Except in the case of applications by the Enterprise, on its own behalf or in a joint venture, and applications under regulation 18, the Commission shall not recommend approval of the plan of work for exploration if part or all of the area covered by the proposed plan of work for exploration is included in a reserved area or an area designated by the Council to be a reserved area.\n\n9. If the Commission finds that an application does not comply with these Regulations, it shall notify the applicant in writing, through the Secretary-General, indicating the reasons. The applicant may, within 45 days of such notification, amend its application. If the Commission after further consideration is of the view that it should not recommend approval of the plan of work for exploration, it shall so inform the applicant and provide the applicant with a further opportunity to make representations within 30 days of such information. The Commission shall consider any such representations made by the applicant in preparing its report and recommendation to the Council.\n\n10. In considering a proposed plan of work for exploration, the Commission shall have regard to the principles, policies and objectives relating to activities in the Area as provided for in part XI and annex III of the Convention and the Agreement.\n\n11. The Commission shall consider applications expeditiously and shall submit its report and recommendations to the Council on the designation of the areas and on the plan of work for exploration at the first possible opportunity, taking into account the schedule of meetings of the Authority.\n\n12. In discharging its duties, the Commission shall apply these Regulations and the rules, regulations and procedures of the Authority in a uniform and non-discriminatory manner.\n\nRegulation 24. Consideration and approval of plans of work for exploration by the Council The Council shall consider the reports and recommendations of the Commission relating to approval of plans of work for exploration in accordance with paragraphs 11 and 12 of section 3 of the annex to the Agreement.\n\nPart IV. Contracts for exploration\n\nRegulation 25. The contract\n\n1. After a plan of work for exploration has been approved by the Council, it shall be prepared in the form of a contract between the Authority and the applicant as prescribed in annex 3 to these Regulations. Each contract shall incorporate the standard clauses set out in annex 4 in effect at the date of entry into force of the contract.\n\n2. The contract shall be signed by the Secretary-General on behalf of the Authority and by the applicant. The Secretary-General shall notify all members of the Authority in writing of the conclusion of each contract.\n\nRegulation 26. Rights of the contractor\n\n1. The contractor shall have the exclusive right to explore an area covered by a plan of work for exploration in respect of polymetallic sulphides. The Authority shall ensure that no other entity operates in the same area for other resources in a manner that might interfere with the operations of the contractor.\n\n2. A contractor who has an approved plan of work for exploration only shall have a preference and a priority among applicants submitting plans of work for exploitation of the same area and resources. Such preference or priority may be withdrawn by the Council if the contractor has failed to comply with the requirements of its approved plan of work for exploration within the time period specified in a written notice or notices from the Council to the contractor indicating which requirements have not been complied with by the contractor. The time period specified in any such notice shall not be unreasonable. The contractor shall be accorded a reasonable opportunity to be heard before the withdrawal of such preference or priority becomes final. The Council shall provide the reasons for its proposed withdrawal of preference or priority and shall consider any contractor’s response. The decision of the Council shall take account of that response and shall be based on substantial evidence.\n\n3. A withdrawal of preference or priority shall not become effective until the contractor has been accorded a reasonable opportunity to exhaust the judicial remedies available to it pursuant to part XI, section 5, of the Convention.\n\nRegulation 27. Size of area and relinquishment\n\n1. The contractor shall relinquish the area allocated to it in accordance with paragraph 2 of this regulation. Areas to be relinquished need not be contiguous and shall be defined by the contractor in the form of sub-blocks comprising one or more cells of a grid as provided by the Authority.\n\n2. The total area allocated to the contractor under the contract shall not exceed 10,000 square kilometres. The contractor shall relinquish parts of the area allocated to it in accordance with the following schedule:\n\n(a) By the end of the eighth year from the date of the contract, the contractor shall have relinquished at least 50 per cent of the original area allocated to it;\n\n(b) By the end of the tenth year from the date of the contract, the contractor shall have relinquished at least 75 per cent of the original area allocated to it; or\n\n3. The contractor may at any time relinquish parts of the area allocated to it in advance of the schedule set out in paragraph 2, provided that a contractor shall not be required to relinquish any additional part of such area when the remaining area allocated to it after relinquishment does not exceed 2,500 square kilometres. 18 10-63720\n\n4. Relinquished areas shall revert to the Area.\n\n5. At the end of the fifteenth year from the date of the contract, or when the contractor applies for exploitation rights, whichever is the earlier, the contractor shall nominate an area from the remaining area allocated to it to be retained for exploitation.\n\n6. The Council may, at the request of the contractor, and on the recommendation of the Commission, in exceptional circumstances, defer the schedule of relinquishment. Such exceptional circumstances shall be determined by the Council and shall include, inter alia, consideration of prevailing economic circumstances or other unforeseen exceptional circumstances arising in connection with the operational activities of the contractor.\n\nRegulation 28. Duration of contracts\n\n1. A plan of work for exploration shall be approved for a period of 15 years. Upon 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, has obtained an extension for the plan of work for exploration or decides to renounce its rights in the area covered by the plan of work for exploration.\n\n2. Not later than six months before the expiration of a plan of work for exploration, a contractor may apply for extensions for the plan of work for exploration for periods of not more than five years each. Such extensions shall be approved by the Council, on the recommendation of the Commission, 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.\n\nRegulation 29. Training Pursuant to article 15 of annex III to the Convention, each contract shall include as a schedule a practical programme for the training of personnel of the Authority and developing States and drawn up by the contractor in cooperation with the Authority and the sponsoring State or States. Training programmes shall focus on training in the conduct of exploration, and shall provide for full participation by such personnel in all activities covered by the contract. Such training programmes may be revised and developed from time to time as necessary by mutual agreement.\n\nRegulation 30. Periodic review of the implementation of the plan of work for exploration\n\n1. The contractor and the Secretary-General shall jointly undertake a periodic review of the implementation of the plan of work for exploration at intervals of five years. The Secretary-General may request the contractor to submit such additional data and information as may be necessary for the purposes of the review.\n\n2. In the light of the review, the contractor shall indicate its programme of activities for the following five-year period, making such adjustments to its previous programme of activities as are necessary.\n\n3. The Secretary-General shall report on the review to the Commission and to the Council. The Secretary-General shall indicate in the report whether any observations transmitted to him by States Parties to the Convention concerning the manner in which the contractor has discharged its obligations under these Regulations relating to the protection and preservation of the marine environment were taken into account in the review.\n\nRegulation 31. Termination of sponsorship\n\n1. Each contractor shall have the required sponsorship throughout the period of the contract.\n\n2. If a State terminates its sponsorship it shall promptly notify the Secretary\u0002General in writing. The sponsoring State should also inform the Secretary-General of the reasons for terminating its sponsorship. Termination of sponsorship shall take effect six months after the date of receipt of the notification by the Secretary\u0002General, unless the notification specifies a later date.\n\n3. In the event of termination of sponsorship the contractor shall, within the period referred to in paragraph 2, obtain another sponsor. Such sponsor shall submit a certificate of sponsorship in accordance with regulation 11. Failure to obtain a sponsor within the required period shall result in the termination of the contract.\n\n4. A sponsoring State shall not be discharged by reason of the termination of its sponsorship from any obligations accrued while it was a sponsoring State, nor shall such termination affect any legal rights and obligations created during such sponsorship.\n\n5. The Secretary-General shall notify the members of the Authority of the termination or change of sponsorship.\n\nRegulation 32. Responsibility and liability Responsibility and liability of the contractor and of the Authority shall be in accordance with the Convention. The contractor shall continue to have responsibility for any damage arising out of wrongful acts in the conduct of its operations, in particular damage to the marine environment, after the completion of the exploration phase.\n\nPart V. Protection and preservation of the marine environment\n\nRegulation 33. Protection and preservation of the marine environment\n\n1. The Authority shall, in accordance with the Convention and the Agreement, establish and keep under periodic review environmental rules, regulations and 20 10-63720 procedures to ensure effective protection for the marine environment from harmful effects which may arise from activities in the Area.\n\n2. In order to ensure effective protection for the marine environment from harmful effects which may arise from activities in the Area, the Authority and sponsoring States shall apply a precautionary approach, as reflected in principle 15 of the Rio Declaration, and best environmental practices.\n\n3. The Legal and Technical Commission shall make recommendations to the Council on the implementation of paragraphs 1 and 2 above.\n\n4. The Commission shall develop and implement procedures for determining, on the basis of the best available scientific and technical information, including information provided pursuant to regulation 20, whether proposed exploration activities in the Area would have serious harmful effects on vulnerable marine ecosystems, in particular hydrothermal vents, and ensure that, if it is determined that certain proposed exploration activities would have serious harmful effects on vulnerable marine ecosystems, those activities are managed to prevent such effects or not authorized to proceed.\n\n5. Pursuant to article 145 of the Convention and paragraph 2 of this regulation, each contractor shall take necessary measures to prevent, reduce and control pollution and other hazards to the marine environment arising from its activities in the Area as far as reasonably possible, applying a precautionary approach and best environmental practices.\n\n6. Contractors, sponsoring States and other interested States or entities shall cooperate with the Authority in the establishment and implementation of programmes for monitoring and evaluating the impacts of deep seabed mining on the marine environment. When required by the Council, such programmes shall include proposals for areas to be set aside and used exclusively as impact reference zones and preservation reference zones. “Impact reference zones” means areas to be used for assessing the effect of activities in the Area on the marine environment and which are representative of the environmental characteristics of the Area. “Preservation reference zones” means areas in which no mining shall occur to ensure representative and stable biota of the seabed in order to assess any changes in the biodiversity of the marine environment.\n\nRegulation 34. Environmental baselines and monitoring\n\n1. Each contract shall require the contractor to gather environmental baseline data and to establish environmental baselines, taking into account any recommendations issued by the Legal and Technical Commission pursuant to\n\nregulation 41, against which to assess the likely effects of its programme of activities under the plan of work for exploration on the marine environment and a programme to monitor and report on such effects. The recommendations issued by the Commission may, inter alia, list those exploration activities which may be considered to have no potential for causing harmful effects on the marine environment. The contractor shall cooperate with the Authority and the sponsoring State or States in the establishment and implementation of such monitoring programme.\n\n2. The contractor shall report annually in writing to the Secretary-General on the implementation and results of the monitoring programme referred to in paragraph 1 and shall submit data and information, taking into account any recommendations issued by the Commission pursuant to regulation 41. The Secretary-General shall transmit such reports to the Commission for its consideration pursuant to article 165 of the Convention.\n\nRegulation 35. Emergency orders\n\n1. A contractor shall promptly report to the Secretary-General in writing, using the most effective means, any incident arising from activities which have caused, are causing, or pose a threat of, serious harm to the marine environment.\n\n2. When the Secretary-General has been notified by a contractor or otherwise becomes aware of an incident resulting from or caused by a contractor’s activities in the Area that has caused, is causing or poses a threat of, serious harm to the marine environment, the Secretary-General shall cause a general notification of the incident to be issued, shall notify in writing the contractor and the sponsoring State or States, and shall report immediately to the Legal and Technical Commission, to the Council and to all other members of the Authority. A copy of the report shall be circulated to competent international organizations and to concerned subregional, regional and global organizations and bodies. The Secretary-General shall monitor developments with respect to all such incidents and shall report on them as appropriate to the Commission, the Council and all other members of the Authority.\n\n3. Pending any action by the Council, the Secretary-General shall take such immediate measures of a temporary nature as are practical and reasonable in the circumstances to prevent, contain and minimize serious harm or the threat of serious harm to the marine environment. Such temporary measures shall remain in effect for no longer than 90 days, or until the Council decides at its next regular session or a special session, what measures, if any, to take pursuant to paragraph 6 of this regulation.\n\n4. After having received the report of the Secretary-General, the Commission shall determine, based on the evidence provided to it and taking into account the measures already taken by the contractor, which measures are necessary to respond effectively to the incident in order to prevent, contain and minimize serious harm or the threat of serious harm to the marine environment, and shall make its recommendations to the Council.\n\n5. The Council shall consider the recommendations of the Commission.\n\n6. The Council, taking into account the recommendations of the Commission, the report of the Secretary-General, any information provided by the Contractor and any other relevant information, may issue emergency orders, which may include orders for the suspension or adjustment of operations, as may be reasonably necessary to prevent, contain and minimize serious harm or the threat of serious harm to the marine environment arising out of activities in the Area.\n\n7. If a contractor does not promptly comply with an emergency order to prevent, contain and minimize serious harm or the threat of serious harm to the marine environment arising out of its activities in the Area, the Council shall take by itself or through arrangements with others on its behalf, such practical measures as are 22 10-63720 necessary to prevent, contain and minimize any such serious harm or threat of serious harm to the marine environment.\n\n8. In order to enable the Council, when necessary, to take immediately the practical measures to prevent, contain and minimize the serious harm or threat of serious harm to the marine environment referred to in paragraph 7, the contractor, prior to the commencement of testing of collecting systems and processing operations, will provide the Council with a guarantee of its financial and technical capability to comply promptly with emergency orders or to assure that the Council can take such emergency measures. If the contractor does not provide the Council with such a guarantee, the sponsoring State or States shall, in response to a request by the Secretary-General and pursuant to articles 139 and 235 of the Convention, take necessary measures to ensure that the contractor provides such a guarantee or shall take measures to ensure that assistance is provided to the Authority in the discharge of its responsibilities under paragraph 7.\n\nRegulation 36. Rights of coastal States\n\n1. Nothing in these Regulations shall affect the rights of coastal States in accordance with article 142 and other relevant provisions of the Convention.\n\n2. Any coastal State which has grounds for believing that any activity in the Area by a contractor is likely to cause serious harm or a threat of serious harm to the marine environment under its jurisdiction or sovereignty may notify the Secretary\u0002General in writing of the grounds upon which such belief is based. The Secretary\u0002General shall provide the Contractor and its sponsoring State or States with a reasonable opportunity to examine the evidence, if any, provided by the coastal State as the basis for its belief. The contractor and its sponsoring State or States may submit their observations thereon to the Secretary-General within a reasonable time.\n\n3. If there are clear grounds for believing that serious harm to the marine environment is likely to occur, the Secretary-General shall act in accordance with\n\nregulation 35 and, if necessary, shall take immediate measures of a temporary nature as provided for in paragraph 3 of regulation 35.\n\n4. Contractors shall take all measures necessary to ensure that their activities are conducted so as not to cause serious harm to the marine environment, including, but not restricted to, pollution, under the jurisdiction or sovereignty of coastal States, and that such serious harm or pollution arising from incidents or activities in its exploration area does not spread beyond such area.\n\nRegulation 37. Human remains and objects and sites of an archaeological or historical nature The contractor shall immediately notify the Secretary-General in writing of any finding in the exploration area of any human remains of an archaeological or historical nature, or any object or site of a similar nature and its location, including the preservation and protection measures taken. The Secretary-General shall transmit such information to the Director-General of the United Nations Educational, Scientific and Cultural Organization and any other competent international organization. Following the finding of any such human remains, object or site in the exploration area, and in order to avoid disturbing such human remains, object or site, no further prospecting or exploration shall take place, within a reasonable radius, until such time as the Council decides otherwise after taking account of the views of the Director-General of the United Nations Educational, Scientific and Cultural Organization or any other competent international organization.\n\nPart VI. Confidentiality\n\nRegulation 38. Confidentiality of data and information\n\n1. Data and information submitted or transferred to the Authority or to any person participating in any activity or programme of the Authority pursuant to these Regulations or a contract issued under these Regulations, and designated by the contractor, in consultation with the Secretary-General, as being of a confidential nature, shall be considered confidential unless it is data and information which:\n\n(a) Is generally known or publicly available from other sources;\n\n(b) Has been previously made available by the owner to others without an obligation concerning its confidentiality; or\n\n(c) Is already in the possession of the Authority with no obligation concerning its confidentiality. Data and information that is necessary for the formulation by the Authority of rules, regulations and procedures concerning protection and preservation of the marine environment and safety, other than proprietary equipment design data, shall not be deemed confidential.\n\n2. Confidential data and information may only be used by the Secretary-General and staff of the Secretariat, as authorized by the Secretary-General, and by the members of the Legal and Technical Commission as necessary for and relevant to the effective exercise of their powers and functions. The Secretary-General shall authorize access to such data and information only for limited use in connection with the functions and duties of the staff of the Secretariat and the functions and duties of the Legal and Technical Commission.\n\n3. Ten years after the date of submission of confidential data and information to the Authority or the expiration of the contract for exploration, whichever is the later, and every five years thereafter, the Secretary-General and the contractor shall review such data and information to determine whether they should remain confidential. Such data and information shall remain confidential if the contractor establishes that there would be a substantial risk of serious and unfair economic prejudice if the data and information were to be released. No such data and information shall be released until the contractor has been accorded a reasonable opportunity to exhaust the judicial remedies available to it pursuant to Part XI,\n\nsection 5, of the Convention.\n\n4. If, at any time following the expiration of the contract for exploration, the contractor enters into a contract for exploitation in respect of any part of the exploration area, confidential data and information relating to that part of the area shall remain confidential in accordance with the contract for exploitation. 24 10-63720\n\n5. The contractor may at any time waive confidentiality of data and information.\n\nRegulation 39. Procedures to ensure confidentiality\n\n1. The Secretary-General shall be responsible for maintaining the confidentiality of all confidential data and information and shall not, except with the prior written consent of the contractor, release such data and information to any person external to the Authority. To ensure the confidentiality of such data and information, the Secretary-General shall establish procedures, consistent with the provisions of the Convention, governing the handling of confidential information by members of the Secretariat, members of the Legal and Technical Commission and any other person participating in any activity or programme of the Authority. Such procedures shall include:\n\n(a) Maintenance of confidential data and information in secure facilities and development of security procedures to prevent unauthorized access to or removal of such data and information;\n\n(b) Development and maintenance of a classification, log and inventory system of all written data and information received, including its type and source and routing from the time of receipt until final disposition.\n\n2. A person who is authorized pursuant to these Regulations to have access to confidential data and information shall not disclose such data and information except as permitted under the Convention and these Regulations. The Secretary\u0002General shall require any person who is authorized to have access to confidential data and information to make a written declaration witnessed by the Secretary\u0002General or his or her authorized representative to the effect that the person so authorized:\n\n(a) Acknowledges his or her legal obligation under the Convention and these Regulations with respect to the non-disclosure of confidential data and information;\n\n(b) Agrees to comply with the applicable regulations and procedures established to ensure the confidentiality of such data and information.\n\n3. The Legal and Technical Commission shall protect the confidentiality of confidential data and information submitted to it pursuant to these Regulations or a contract issued under these Regulations. In accordance with the provisions of article 163, paragraph 8, of the Convention, members of the Commission shall not disclose, even after the termination of their functions, any industrial secret, proprietary data which are transferred to the Authority in accordance with Annex III, article 14, of the Convention, or any other confidential information coming to their knowledge by reason of their duties for the Authority.\n\n4. The Secretary-General and staff of the Authority shall not disclose, even after the termination of their functions with the Authority, any industrial secret, proprietary data which are transferred to the Authority in accordance with Annex III, article 14, of the Convention, or any other confidential information coming to their knowledge by reason of their employment with the Authority.\n\n5. Taking into account the responsibility and liability of the Authority pursuant to\n\nAnnex III, article 22, of the Convention, the Authority may take such action as may be appropriate against any person who, by reason of his or her duties for the Authority, has access to any confidential data and information and who is in breach of the obligations relating to confidentiality contained in the Convention and these Regulations.\n\nPart VII. General procedures\n\nRegulation 40. Notice and general procedures\n\n1. Any application, request, notice, report, consent, approval, waiver, direction or instruction hereunder shall be made by the Secretary-General or by the designated representative of the prospector, applicant or contractor, as the case may be, in writing. Service shall be by hand, or by telex, facsimile, registered airmail or electronic mail containing an authorized electronic signature to the Secretary\u0002General at the headquarters of the Authority or to the designated representative.\n\n2. Delivery by hand shall be effective when made. Delivery by telex shall be deemed to be effective on the business day following the day when the “answer back” appears on the sender’s telex machine. Delivery by facsimile shall be effective when the “transmit confirmation report” confirming the transmission to the recipient’s published facsimile number is received by the transmitter. Delivery by registered airmail shall be deemed to be effective 21 days after posting. An electronic document is presumed to be received by the addressee when it enters an information system designated or used by the addressee for the purpose of receiving documents of the type sent and is capable of being retrieved and processed by the addressee.\n\n3. Notice to the designated representative of the prospector, applicant or contractor shall constitute effective notice to the prospector, applicant or contractor for all purposes under these Regulations, and the designated representative shall be the agent of the prospector, applicant or contractor for the service of process or notification in any proceeding of any court or tribunal having jurisdiction.\n\n4. Notice to the Secretary-General shall constitute effective notice to the Authority for all purposes under these Regulations, and the Secretary-General shall be the Authority’s agent for the service of process or notification in any proceeding of any court or tribunal having jurisdiction.\n\nRegulation 41. Recommendations for the guidance of contractors\n\n1. The Legal and Technical Commission may from time to time issue recommendations of a technical or administrative nature for the guidance of contractors to assist them in the implementation of the rules, regulations and procedures of the Authority.\n\n2. The full text of such recommendations shall be reported to the Council. Should the Council find that a recommendation is inconsistent with the intent and purpose of these Regulations, it may request that the recommendation be modified or withdrawn. 26 10-63720\n\nPart VIII. Settlement of disputes\n\nRegulation 42. Disputes\n\n1. Disputes concerning the interpretation or application of these Regulations shall be settled in accordance with Part XI, section 5, of the Convention.\n\n2. Any final decision rendered by a court or tribunal having jurisdiction under the Convention relating to the rights and obligations of the Authority and of the Contractor shall be enforceable in the territory of each State Party to the Convention.\n\nPart IX. Resources other than polymetallic sulphides\n\nRegulation 43. Resources other than polymetallic sulphides If a prospector or contractor finds resources in the Area other than polymetallic sulphides, the prospecting and exploration for and exploitation of such resources shall be subject to the rules, regulations and procedures of the Authority relating to such resources in accordance with the Convention and the Agreement. The prospector or contractor shall notify the Authority of its find.\n\nPart X. Review\n\nRegulation 44. Review\n\n1. Five years following the approval of these Regulations by the Assembly, or at any time thereafter, the Council shall undertake a review of the manner in which the Regulations have operated in practice.\n\n2. If, in the light of improved knowledge or technology, it becomes apparent that the Regulations are not adequate, any State Party, the Legal and Technical Commission, or any contractor through its sponsoring State may at any time request the Council to consider, at its next ordinary session, revisions to these Regulations.\n\n3. In the light of the review, the Council may adopt and apply provisionally, pending approval by the Assembly, amendments to the provisions of these Regulations, taking into account the recommendations of the Legal and Technical Commission or other subordinate organs concerned. Any such amendments shall be without prejudice to the rights conferred on any Contractor with the Authority under the provisions of a contract entered into pursuant to these Regulations in force at the time of any such amendment.\n\n4. In the event that any provisions of these Regulations are amended, the Contractor and the Authority may revise the contract in accordance with section 24 of annex 4.\n\nAnnex 1. Notification of intention to engage in prospecting\n\n1. Name of prospector:\n\n2. Street address of prospector:\n\n3. Postal address (if different from above):\n\n4. Telephone number:\n\n5. Facsimile number:\n\n6. Electronic mail address:\n\n7. Nationality of prospector:\n\n8. If prospector is a juridical person, identify prospector’s\n\n(a) Place of registration; and\n\n(b) Principal place of business/domicile. and attach a copy of the prospector’s certificate of registration.\n\n9. Name of prospector’s designated representative:\n\n10. Street address of prospector’s designated representative (if different from above):\n\n11. Postal address (if different from above):\n\n12. Telephone number:\n\n13. Facsimile number:\n\n14. Electronic mail address:\n\n15. Attach the coordinates of the broad area or areas in which prospecting is to be conducted (in accordance with the World Geodetic System WGS 84).\n\n16. Attach a general description of the prospecting programme, including the date of commencement and the approximate duration of the programme.\n\n17. Attach a written undertaking that the prospector will:\n\n(a) Comply with the Convention and the relevant rules, regulations and procedures of the Authority concerning:\n\n(i) Cooperation in the training programmes in connection with marine scientific research and transfer of technology referred to in articles 143 and 144 of the Convention; and\n\n(ii) Protection and preservation of the marine environment; and\n\n(b) Accept verification by the Authority of compliance therewith. 28 10-63720\n\n18. List hereunder all the attachments and annexes to this notification (all data and information should be submitted in hard copy and in a digital format specified by the Authority): Date:___________________ _________________________________________ Signature of prospector’s designated representative ATTESTATION: Signature of person attesting Name of person attesting Title of person attesting\n\nAnnex 2. Application for approval of a plan of work for exploration to obtain a contract\n\nSection I. Information concerning the applicant\n\n1. Name of applicant:\n\n2. Street address of applicant:\n\n3. Postal address (if different from above):\n\n4. Telephone number:\n\n5. Facsimile number:\n\n6. Electronic mail address:\n\n7. Name of applicant’s designated representative:\n\n8. Street address of applicant’s designated representative (if different from above):\n\n9. Postal address (if different from above):\n\n10. Telephone number:\n\n11. Facsimile number:\n\n12. Electronic mail address:\n\n13. If the applicant is a juridical person, identify applicant’s\n\n(a) Place of registration; and\n\n(b) Principal place of business/domicile. and attach a copy of the applicant’s certificate of registration.\n\n14. Identify the sponsoring State or States.\n\n15. In respect of each sponsoring State, provide the date of deposit of its instrument of ratification of, or accession or succession to, the 1982 United Nations Convention on the Law of the Sea and the date of its consent to be bound by the Agreement relating to the Implementation of Part XI of the United Nations Convention on the Law of the Sea of 10 December 1982.\n\n16. A certificate of sponsorship issued by the sponsoring State must be attached with this application. If the applicant has more than one nationality, as in the case of a partnership or consortium of entities from more than one State, certificates of sponsorship issued by each of the States involved must be attached.\n\nSection II. Information relating to the area under application\n\n17. Define the boundaries of the blocks under application by attaching a chart (on a scale and projection specified by the Authority) and a list of geographical coordinates (in accordance with the World Geodetic System WGS 84). 30 10-63720\n\n18. Indicate whether the applicant elects to contribute a reserved area in accordance with regulation 17 or offer an equity interest in a joint venture arrangement in accordance with regulation 19.\n\n19. If the applicant elects to contribute a reserved area:\n\n(a) Attach a chart (on a scale and projection specified by the Authority) and a list of the coordinates dividing the total area into two parts of equal estimated commercial value; and\n\n(b) Include in an attachment sufficient information to enable the Council to designate a reserved area based on the estimated commercial value of each part of the area under application. Such attachment must include the data available to the applicant with respect to both parts of the area under application, including:\n\n(i) Data on the location, survey and evaluation of the polymetallic sulphides in the areas, including: a. A description of the technology related to the recovery and processing of polymetallic sulphides that is necessary for making the designation of a reserved area; b. A map of the physical and geological characteristics, such as seabed topography, bathymetry and bottom currents and information on the reliability of such data; c. A map showing the remotely sensed data (such as electromagnetic surveys) and other survey data used to determine the lateral extent of each polymetallic sulphide bodies; d. Drill core and other data used to determine the third dimension of the deposits and therefore used to determine the grade and tonnage of the polymetallic sulphide bodies; e. Data showing the distribution of active and inactive polymetallic sulphide sites and the age that activity ceased in inactive sites and was initiated at active sites; f. Data showing the average tonnage (in metric tonnes) of each polymetallic sulphide body that will comprise the mine site and an associated tonnage map showing the location of sampling sites; g. Data showing the average elemental content of metals of economic interest (grade) based on chemical assays in (dry) weight per cent and an associated grade map for data among and within the polymetallic sulphide bodies; h. Combined maps of tonnage and grade of polymetallic sulphides; i. A calculation based on standard procedures, including statistical analysis, using the data submitted and assumptions made in the calculations that the two areas could be expected to contain polymetallic sulphides of equal estimated commercial value expressed as recoverable metals in mineable areas; j. A description of the techniques used by the applicant;\n\n(ii) Information concerning environmental parameters (seasonal and during test period) including, inter alia, wind speed and direction, water salinity, temperature and biological communities.\n\n20. If the area under application includes any part of a reserved area, attach a list of coordinates of the area which forms part of the reserved area and indicate the applicant’s qualifications in accordance with regulation 18 of the Regulations.\n\nSection III. Financial and technical information\n\n21. Attach sufficient information to enable the Council to determine whether the applicant is financially capable of carrying out the proposed plan of work for exploration and of fulfilling its financial obligations to the Authority:\n\n(a) If the application is made by the Enterprise, attach certification by its competent authority that the Enterprise has the necessary financial resources to meet the estimated costs of the proposed plan of work for exploration;\n\n(b) If the application is made by a State or a State enterprise, attach a statement by the State or the sponsoring State certifying that the applicant has the necessary financial resources to meet the estimated costs of the proposed plan of work for exploration;\n\n(c) If the application is made by an entity, attach copies of the applicant’s audited financial statements, including balance sheets and profit-and-loss statements, for the most recent three years in conformity with internationally accepted accounting principles and certified by a duly qualified firm of public accountants; and\n\n(i) If the applicant is a newly organized entity and a certified balance sheet is not available, a pro forma balance sheet certified by an appropriate official of the applicant;\n\n(ii) If the applicant is a subsidiary of another entity, copies of such financial statements of that entity and a statement from that entity in conformity with internationally accepted accounting practices and certified by a duly qualified firm of public accountants that the applicant will have the financial resources to carry out the plan of work for exploration;\n\n(iii) If the applicant is controlled by a State or a State enterprise, a statement from the State or State enterprise certifying that the applicant will have the financial resources to carry out the plan of work for exploration.\n\n22. If it is intended to finance the proposed plan of work for exploration by borrowings, attach a statement of the amount of such borrowings, the repayment period and the interest rate.\n\n23. Attach sufficient information to enable the Council to determine whether the applicant is technically capable of carrying out the proposed plan of work for exploration, including:\n\n(a) A general description of the applicant’s previous experience, knowledge, skills, technical qualifications and expertise relevant to the proposed plan of work for exploration; 32 10-63720\n\n(b) A general description of the equipment and methods expected to be used in carrying out the proposed plan of work for exploration and other relevant non-proprietary information about the characteristics of such technology;\n\n(c) A general description of the applicant’s financial and technical capability to respond to any incident or activity which causes serious harm to the marine environment.\n\nSection IV. The plan of work for exploration\n\n24. Attach the following information relating to the plan of work for exploration:\n\n(a) A general description and a schedule of the proposed exploration programme, including the programme of activities for the immediate five-year period, such as studies to be undertaken in respect of the environmental, technical, economic and other appropriate factors which must be taken into account in exploration;\n\n(b) A description of a programme for oceanographic and environmental baseline studies in accordance with the Regulations and any environmental rules, regulations and procedures established by the Authority that would enable an assessment of the potential environmental impact including, but not restricted to, the impact on biodiversity, of the proposed exploration activities, taking into account any recommendations issued by the Legal and Technical Commission;\n\n(c) A preliminary assessment of the possible impact of the proposed exploration activities on the marine environment;\n\n(d) A description of proposed measures for the prevention, reduction and control of pollution and other hazards, as well as possible impacts, to the marine environment;\n\n(e) A schedule of anticipated yearly expenditures in respect of the programme of activities for the immediate five-year period.\n\nSection V. Undertakings\n\n25. Attach a written undertaking that the applicant will:\n\n(a) Accept as enforceable and comply with the applicable obligations created by the provisions of the Convention and the rules, regulations and procedures of the Authority, the decisions of the relevant organs of the Authority and the terms of its contracts with the Authority;\n\n(b) Accept control by the Authority of activities in the Area as authorized by the Convention;\n\n(c) Provide the Authority with a written assurance that its obligations under the contract will be fulfilled in good faith.\n\nSection VI. Previous contracts\n\n26. Has the applicant or, in the case of an application by a partnership or consortium of entities in a joint arrangement, any member of the partnership or consortium previously been awarded any contract with the Authority?\n\n27. If the answer to 26 is “yes”, the application must include:\n\n(a) The date of the previous contract or contracts;\n\n(b) The date, reference number and title of each report submitted to the Authority in connection with the contact or contracts; and\n\n(c) The date of termination of the contract or contracts, if applicable.\n\nSection VII. Attachments\n\n28. List all the attachments and annexes to this application (all data and information should be submitted in hard copy and in a digital format specified by the Authority): Date:___________________ _________________________________________ Signature of applicant’s designated representative ATTESTATION: Signature of person attesting Name of person attesting Title of person attesting 34 10-63720\n\nAnnex 3. Contract for exploration THIS CONTRACT made the day of between the INTERNATIONAL SEABED AUTHORITY represented by its SECRETARY-GENERAL (hereinafter referred to as “the Authority”) and represented by (hereinafter referred to as “the Contractor”) WITNESSETH as follows: Incorporation of clauses A. The standard clauses set out in annex 4 to the Regulations on Prospecting and Exploration for Polymetallic Sulphides in the Area shall be incorporated herein and shall have effect as if herein set out at length. Exploration area B. For the purposes of this contract, the “exploration area” means that part of the Area allocated to the Contractor for exploration, defined by the coordinates listed in\n\nschedule 1 hereto, as reduced from time to time in accordance with the standard clauses and the Regulations. Grant of rights C. In consideration of:\n\n(1) Their mutual interest in the conduct of exploration activities in the exploration area pursuant to the Convention and the Agreement;\n\n(2) The responsibility of the Authority to organize and control activities in the Area, particularly with a view to administering the resources of the Area, in accordance with the legal regime established in Part XI of the Convention and the Agreement and Part XII of the Convention respectively; and\n\n(3) The interest and financial commitment of the Contractor in conducting activities in the exploration area and the mutual covenants made herein, the Authority hereby grants to the Contractor the exclusive right to explore for polymetallic sulphides in the exploration area in accordance with the terms and conditions of this contract. Entry into force and contract term D. This contract shall enter into force on signature by both parties and, subject to the standard clauses, shall remain in force for a period of fifteen years thereafter unless:\n\n(1) The Contractor obtains a contract for exploitation in the exploration area which enters into force before the expiration of such period of fifteen years; or\n\n(2) The contract is sooner terminated provided that the term of the contract may be extended in accordance with standard clauses 3.2 and 17.2. Schedules E. The schedules referred to in the standard clauses, namely section 4 and\n\nsection 8, are for the purposes of this contract schedules 2 and 3 respectively. Entire agreement F. This contract expresses the entire agreement between the parties, and no oral understanding or prior writing shall modify the terms hereof. IN WITNESS WHEREOF the undersigned, being duly authorized thereto by the respective parties, have signed this contract at …, this … day of …\n\nSchedule 1. [Coordinates and illustrative chart of the exploration area]\n\nSchedule 2. [The current five-year programme of activities as revised from time to time]\n\nSchedule 3. [The training programme shall become a schedule to the contract when approved by the Authority in accordance with section 8 of the standard clauses.] 36 10-63720\n\nAnnex 4. Standard clauses for exploration contract\n\nSection 1. Definitions 1.1 In the following clauses:\n\n(a) “exploration area” means that part of the Area allocated to the Contractor for exploration, described in schedule 1 hereto, as the same may be reduced from time to time in accordance with this contract and the Regulations;\n\n(b) “programme of activities” means the programme of activities which is set out in schedule 2 hereto as the same may be adjusted from time to time in accordance with sections 4.3 and 4.4 hereof;\n\n(c) “regulations” means the Regulations on Prospecting and Exploration for Polymetallic Sulphides in the Area, adopted by the Authority. 1.2 Terms and phrases defined in the Regulations shall have the same meaning in these standard clauses. 1.3 In accordance with the Agreement relating to the Implementation of Part XI of the United Nations Convention on the Law of the Sea of 10 December 1982, its provisions and Part XI of the Convention are to be interpreted and applied together as a single instrument; this contract and references in this contract to the Convention are to be interpreted and applied accordingly. 1.4 This contract includes the schedules to this contract, which shall be an integral part hereof.\n\nSection 2. Security of tenure 2.1 The Contractor shall have security of tenure and this contract shall not be suspended, terminated or revised except in accordance with sections 20, 21 and 24 hereof. 2.2 The Contractor shall have the exclusive right to explore for polymetallic sulphides in the exploration area in accordance with the terms and conditions of this contract. The Authority shall ensure that no other entity operates in the exploration area for a different category of resources in a manner that might unreasonably interfere with the operations of the Contractor. 2.3 The Contractor, by notice to the Authority, shall have the right at any time to renounce without penalty the whole or part of its rights in the exploration area, provided that the Contractor shall remain liable for all obligations accrued prior to the date of such renunciation in respect of the area renounced. 2.4 Nothing in this contract shall be deemed to confer any right on the Contractor other than those rights expressly granted herein. The Authority reserves the right to enter into contracts with respect to resources other than polymetallic sulphides with third parties in the area covered by this contract.\n\nSection 3. Contract term 3.1 This contract shall enter into force on signature by both parties and shall remain in force for a period of fifteen years thereafter unless:\n\n(a) The Contractor obtains a contract for exploitation in the exploration area which enters into force before the expiration of such period of fifteen years; or\n\n(b) The contract is sooner terminated, provided that the term of the contract may be extended in accordance with sections 3.2 and 17.2 hereof. 3.2 Upon application by the Contractor, not later than six months before the expiration of this contract, this contract may be extended for periods of not more than five years each on such terms and conditions as the Authority and the Contractor may then agree in accordance with the Regulations. Such extensions shall be approved if the Contractor has made efforts in good faith to comply with the requirements of this contract 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. 3.3 Notwithstanding the expiration of this contract in accordance with section 3.1 hereof, if the Contractor has, at least 90 days prior to the date of expiration, applied for a contract for exploitation, the Contractor’s rights and obligations under this contract shall continue until such time as the application has been considered and a contract for exploitation has been issued or refused.\n\nSection 4. Exploration 4.1 The Contractor shall commence exploration in accordance with the time schedule stipulated in the programme of activities set out in schedule 2 hereto and shall adhere to such time periods or any modification thereto as provided for by this contract. 4.2 The Contractor shall carry out the programme of activities set out in\n\nschedule 2 hereto. In carrying out such activities the Contractor shall spend in each contract year not less than the amount specified in such programme, or any agreed review thereof, in actual and direct exploration expenditures. 4.3 The Contractor, with the consent of the Authority, which consent shall not be unreasonably withheld, may from time to time make such changes in the programme of activities and the expenditures specified therein as may be necessary and prudent in accordance with good mining industry practice, and taking into account the market conditions for the metals contained in polymetallic sulphides and other relevant global economic conditions. 4.4 Not later than 90 days prior to the expiration of each five-year period from the date on which this contract enters into force in accordance with section 3 hereof, the Contractor and the Secretary-General shall jointly undertake a review of the implementation of the plan of work for exploration under this contract. The Secretary-General may require the Contractor to submit such additional data and 38 10-63720 information as may be necessary for the purposes of the review. In the light of the review, the Contractor shall make such adjustments to its plan of work as are necessary and shall indicate its programme of activities for the following five-year period, including a revised schedule of anticipated yearly expenditures. Schedule 2 hereto shall be adjusted accordingly.\n\nSection 5. Environmental monitoring 5.1 The Contractor shall take necessary measures to prevent, reduce and control pollution and other hazards to the marine environment arising from its activities in the Area as far as reasonably possible applying a precautionary approach and best environmental practices. 5.2 Prior to the commencement of exploration activities, the Contractor shall submit to the Authority:\n\n(a) An impact assessment of the potential effects on the marine environment of the proposed activities;\n\n(b) A proposal for a monitoring programme to determine the potential effect on the marine environment of the proposed activities; and\n\n(c) Data that could be used to establish an environmental baseline against which to assess the effect of the proposed activities. 5.3 The Contractor shall, in accordance with the Regulations, gather environmental baseline data as exploration activities progress and develop and shall establish environmental baselines against which to assess the likely effects of the Contractor’s activities on the marine environment. 5.4 The Contractor shall, in accordance with the Regulations, establish and carry out a programme to monitor and report on such effects on the marine environment. The Contractor shall cooperate with the Authority in the implementation of such monitoring. 5.5 The Contractor shall, within 90 days of the end of each calendar year, report to the Secretary-General on the implementation and results of the monitoring programme referred to in section 5.4 hereof and shall submit data and information in accordance with the Regulations.\n\nSection 6. Contingency plans and emergencies 6.1 The Contractor shall, prior to the commencement of its programme of activities under this contract, submit to the Secretary-General a contingency plan to respond effectively to incidents that are likely to cause serious harm or a threat of serious harm to the marine environment arising from the Contractor’s activities at sea in the exploration area. Such contingency plan shall establish special procedures and provide for adequate and appropriate equipment to deal with such incidents and, in particular, shall include arrangements for:\n\n(a) The immediate raising of a general alarm in the area of the exploration activities;\n\n(b) Immediate notification to the Secretary-General;\n\n(c) The warning of ships which might be about to enter the immediate vicinity;\n\n(d) A continuing flow of full information to the Secretary-General relating to particulars of the contingency measures already taken and further actions required;\n\n(e) The removal, as appropriate, of polluting substances;\n\n(f) The reduction and, so far as reasonably possible, prevention of serious harm to the marine environment, as well as mitigation of such effects;\n\n(g) As appropriate, cooperation with other contractors with the Authority to respond to an emergency; and\n\n(h) Periodic emergency response exercises. 6.2 The Contractor shall promptly report to the Secretary-General any incident arising from its activities that has caused, is causing or poses a threat of serious harm to the marine environment. Each such report shall contain the details of such incident, including, inter alia:\n\n(a) The coordinates of the area affected or which can reasonably be anticipated to be affected;\n\n(b) The description of the action being taken by the Contractor to prevent, contain, minimize and repair the serious harm or threat of serious harm to the marine environment;\n\n(c) A description of the action being taken by the Contractor to monitor the effects of the incident on the marine environment; and\n\n(d) Such supplementary information as may reasonably be required by the Secretary-General. 6.3 The Contractor shall comply with emergency orders issued by the Council and immediate measures of a temporary nature issued by the Secretary-General in accordance with the Regulations, to prevent, contain, minimize or repair serious harm or the threat of serious harm to the marine environment, which may include orders to the Contractor to immediately suspend or adjust any activities in the exploration area. 6.4 If the Contractor does not promptly comply with such emergency orders or immediate measures of a temporary nature, the Council may take such reasonable measures as are necessary to prevent, contain, minimize or repair any such serious harm or the threat of serious harm to the marine environment at the Contractor’s expense. The Contractor shall promptly reimburse the Authority the amount of such expenses. Such expenses shall be in addition to any monetary penalties which may be imposed on the Contractor pursuant to the terms of this contract or the Regulations.\n\nSection 7. Human remains and objects and sites of an archaeological or historical nature The Contractor shall immediately notify the Secretary-General in writing of any finding in the exploration area of any human remains of an archaeological or historical nature, or any object or site of a similar nature and its location, including the preservation and protection measures taken. The Secretary-General shall 40 10-63720 transmit such information to the Director-General of the United Nations Educational, Scientific and Cultural Organization and any other competent international organization. Following the finding of any such human remains, object or site in the exploration area, and in order to avoid disturbing such human remains, object or site, no further prospecting or exploration shall take place, within a reasonable radius, until such time as the Council decides otherwise after taking account of the views of the Director-General of the United Nations Educational, Scientific and Cultural Organization or any other competent international organization.\n\nSection 8. Training 8.1 In accordance with the Regulations, the Contractor shall, prior to the commencement of exploration under this contract, submit to the Authority for approval proposed training programmes for the training of personnel of the Authority and developing States, including the participation of such personnel in all of the Contractor’s activities under this contract. 8.2 The scope and financing of the training programme shall be subject to negotiation between the Contractor, the Authority and the sponsoring State or States. 8.3 The Contractor shall conduct training programmes in accordance with the specific programme for the training of personnel referred to in section 8.1 hereof approved by the Authority in accordance with the Regulations, which programme, as revised and developed from time to time, shall become a part of this contract as\n\nschedule 3.\n\nSection 9. Books and records The Contractor shall keep a complete and proper set of books, accounts and financial records, consistent with internationally accepted accounting principles. Such books, accounts and financial records shall include information which will fully disclose the actual and direct expenditures for exploration and such other information as will facilitate an effective audit of such expenditures.\n\nSection 10. Annual reports 10.1 The Contractor shall, within 90 days of the end of each calendar year, submit a report to the Secretary-General in such format as may be recommended from time to time by the Legal and Technical Commission covering its programme of activities in the exploration area and containing, as applicable, information in sufficient detail on:\n\n(a) The exploration work carried out during the calendar year, including maps, charts and graphs illustrating the work that has been done and the results obtained;\n\n(b) The equipment used to carry out the exploration work, including the results of tests conducted of proposed mining technologies, but not equipment design data; and\n\n(c) The implementation of training programmes, including any proposed revisions to or developments of such programmes. 10.2 Such reports shall also contain:\n\n(a) The results obtained from environmental monitoring programmes, including observations, measurements, evaluations and analyses of environmental parameters;\n\n(b) A statement of the quantity of polymetallic sulphides recovered as samples or for the purpose of testing;\n\n(c) A statement, in conformity with internationally accepted accounting principles and certified by a duly qualified firm of public accountants, or, where the Contractor is a State or a State enterprise, by the sponsoring State, of the actual and direct exploration expenditures of the Contractor in carrying out the programme of activities during the Contractor’s accounting year. Such expenditures may be claimed by the contractor as part of the contractor’s development costs incurred prior to the commencement of commercial production; and\n\n(d) Details of any proposed adjustments to the programme of activities and the reasons for such adjustments. 10.3 The Contractor shall also submit such additional information to supplement the reports referred to in section 10.1 and 10.2 hereof as the Secretary-General may from time to time reasonably require in order to carry out the Authority’s functions under the Convention, the Regulations and this contract. 10.4 The Contractor shall keep, in good condition, a representative portion of samples and cores of the polymetallic sulphides obtained in the course of exploration until the expiration of this contract. The Authority may request the Contractor in writing to deliver to it for analysis a portion of any such sample and cores obtained during the course of exploration.\n\nSection 11. Data and information to be submitted on expiration of the contract 11.1 The Contractor shall transfer to the Authority all data and information that are both necessary for and relevant to the effective exercise of the powers and functions of the Authority in respect of the exploration area in accordance with the provisions of this section. 11.2 Upon expiration or termination of this contract the Contractor, if it has not already done so, shall submit the following data and information to the Secretary\u0002General:\n\n(a) Copies of geological, environmental, geochemical and geophysical data acquired by the Contractor in the course of carrying out the programme of activities that are necessary for and relevant to the effective exercise of the powers and functions of the Authority in respect of the exploration area;\n\n(b) The estimation of mineable deposits, when such deposits have been identified, which shall include details of the grade and quantity of the proven, probable and possible polymetallic sulphide reserves and the anticipated mining conditions; 42 10-63720\n\n(c) Copies of geological, technical, financial and economic reports made by or for the Contractor that are necessary for and relevant to the effective exercise of the powers and functions of the Authority in respect of the exploration area;\n\n(d) Information in sufficient detail on the equipment used to carry out the exploration work, including the results of tests conducted of proposed mining technologies, but not equipment design data;\n\n(e) A statement of the quantity of polymetallic sulphides recovered as samples or for the purpose of testing; and\n\n(f) A statement on how and where samples of cores are archived and their availability to the Authority. 11.3 The data and information referred to in section 11.2 hereof shall also be submitted to the Secretary-General if, prior to the expiration of this contract, the Contractor applies for approval of a plan of work for exploitation or if the Contractor renounces its rights in the exploration area to the extent that such data and information relates to the renounced area.\n\nSection 12. Confidentiality Data and information transferred to the Authority in accordance with this contract shall be treated as confidential in accordance with the provisions of the Regulations.\n\nSection 13. Undertakings 13.1 The Contractor shall carry out exploration in accordance with the terms and conditions of this contract, the Regulations, Part XI of the Convention, the Agreement and other rules of international law not incompatible with the Convention. 13.2 The Contractor undertakes:\n\n(a) To accept as enforceable and comply with the terms of this contract;\n\n(b) To comply with the applicable obligations created by the provisions of the Convention, the rules, regulations and procedures of the Authority and the decisions of the relevant organs of the Authority;\n\n(c) To accept control by the Authority of activities in the Area as authorized by the Convention;\n\n(d) To fulfil its obligations under this contract in good faith; and\n\n(e) To observe, as far as reasonably practicable, any recommendations which may be issued from time to time by the Legal and Technical Commission. 13.3 The Contractor shall actively carry out the programme of activities:\n\n(a) With due diligence, efficiency and economy;\n\n(b) With due regard to the impact of its activities on the marine environment; and\n\n(c) With reasonable regard for other activities in the marine environment. 13.4 The Authority undertakes to fulfil in good faith its powers and functions under the Convention and the Agreement in accordance with article 157 of the Convention.\n\nSection 14. Inspection 14.1 The Contractor shall permit the Authority to send its inspectors on board vessels and installations used by the Contractor to carry out activities in the exploration area to:\n\n(a) Monitor the Contractor’s compliance with the terms and conditions of this contract and the Regulations; and\n\n(b) Monitor the effects of such activities on the marine environment. 14.2 The Secretary-General shall give reasonable notice to the Contractor of the projected time and duration of inspections, the name of the inspectors and any activities the inspectors are to perform that are likely to require the availability of special equipment or special assistance from personnel of the Contractor. 14.3 Such inspectors shall have the authority to inspect any vessel or installation, including its log, equipment, records, facilities, all other recorded data and any relevant documents which are necessary to monitor the Contractor’s compliance. 14.4 The Contractor, its agents and employees shall assist the inspectors in the performance of their duties and shall:\n\n(a) Accept and facilitate prompt and safe boarding of vessels and installations by inspectors;\n\n(b) Cooperate with and assist in the inspection of any vessel or installation conducted pursuant to these procedures;\n\n(c) Provide access to all relevant equipment, facilities and personnel on vessels and installations at all reasonable times;\n\n(d) Not obstruct, intimidate or interfere with inspectors in the performance of their duties;\n\n(e) Provide reasonable facilities, including, where appropriate, food and accommodation, to inspectors; and\n\n(f) Facilitate safe disembarkation by inspectors. 14.5 Inspectors shall avoid interference with the safe and normal operations on board vessels and installations used by the Contractor to carry out activities in the area visited and shall act in accordance with the Regulations and the measures adopted to protect confidentiality of data and information. 14.6 The Secretary-General and any duly authorized representatives of the Secretary-General, shall have access, for purposes of audit and examination, to any books, documents, papers and records of the Contractor which are necessary and directly pertinent to verify the expenditures referred to in section 10.2 (c). 44 10-63720 14.7 The Secretary-General shall provide relevant information contained in the reports of inspectors to the Contractor and its sponsoring State or States where action is necessary. 14.8 If for any reason the Contractor does not pursue exploration and does not request a contract for exploitation, it shall, before withdrawing from the exploration area, notify the Secretary-General in writing in order to permit the Authority, if it so decides, to carry out an inspection pursuant to this section.\n\nSection 15. Safety, labour and health standards 15.1 The Contractor shall comply with the generally accepted international rules and standards established by competent international organizations or general diplomatic conferences concerning the safety of life at sea, and the prevention of collisions and such rules, regulations and procedures as may be adopted by the Authority relating to safety at sea. Each vessel used for carrying out activities in the Area shall possess current valid certificates required by and issued pursuant to such international rules and standards. 15.2 The Contractor shall, in carrying out exploration under this contract, observe and comply with such rules, regulations and procedures as may be adopted by the Authority relating to protection against discrimination in employment, occupational safety and health, labour relations, social security, employment security and living conditions at the work site. Such rules, regulations and procedures shall take into account conventions and recommendations of the International Labour Organization and other competent international organizations.\n\nSection 16. Responsibility and liability 16.1 The Contractor shall be liable for the actual amount of any damage, including damage to the marine environment, arising out of its wrongful acts or omissions, and those of its employees, subcontractors, agents and all persons engaged in working or acting for them in the conduct of its operations under this contract, including the costs of reasonable measures to prevent or limit damage to the marine environment, account being taken of any contributory acts or omissions by the Authority. 16.2 The Contractor shall indemnify the Authority, its employees, subcontractors and agents against all claims and liabilities of any third party arising out of any wrongful acts or omissions of the Contractor and its employees, agents and subcontractors, and all persons engaged in working or acting for them in the conduct of its operations under this contract. 16.3 The Authority shall be liable for the actual amount of any damage to the Contractor arising out of its wrongful acts in the exercise of its powers and functions, including violations under article 168, paragraph 2, of the Convention, account being taken of contributory acts or omissions by the Contractor, its employees, agents and subcontractors, and all persons engaged in working or acting for them in the conduct of its operations under this contract. 16.4 The Authority shall indemnify the Contractor, its employees, subcontractors, agents and all persons engaged in working or acting for them in the conduct of its operations under this contract, against all claims and liabilities of any third party arising out of any wrongful acts or omissions in the exercise of its powers and functions hereunder, including violations under article 168, paragraph 2, of the Convention. 16.5 The Contractor shall maintain appropriate insurance policies with internationally recognized carriers, in accordance with generally accepted international maritime practice.\n\nSection 17. Force majeure 17.1 The Contractor shall not be liable for an unavoidable delay or failure to perform any of its obligations under this contract due to force majeure. For the purposes of this contract, force majeure shall mean an event or condition that the Contractor could not reasonably be expected to prevent or control; provided that the event or condition was not caused by negligence or by a failure to observe good mining industry practice. 17.2 The Contractor shall, upon request, be granted a time extension equal to the period by which performance was delayed hereunder by force majeure and the term of this contract shall be extended accordingly. 17.3 In the event of force majeure, the Contractor shall take all reasonable measures to remove its inability to perform and comply with the terms and conditions of this contract with a minimum of delay. 17.4 The Contractor shall give notice to the Authority of the occurrence of an event of force majeure as soon as reasonably possible, and similarly give notice to the Authority of the restoration of normal conditions.\n\nSection 18. Disclaimer Neither the Contractor nor any affiliated company or subcontractor shall in any manner claim or suggest, whether expressly or by implication, that the Authority or any official thereof has, or has expressed, any opinion with respect to polymetallic sulphides in the exploration area and a statement to that effect shall not be included in or endorsed on any prospectus, notice, circular, advertisement, press release or similar document issued by the Contractor, any affiliated company or any subcontractor that refers directly or indirectly to this contract. For the purposes of this section, an “affiliated company” means any person, firm or company or State\u0002owned entity controlling, controlled by, or under common control with, the Contractor.\n\nSection 19. Renunciation of rights The Contractor, by notice to the Authority, shall have the right to renounce its rights and terminate this contract without penalty, provided that the Contractor shall remain liable for all obligations accrued prior to the date of such renunciation and those obligations required to be fulfilled after termination in accordance with the Regulations. 46 10-63720\n\nSection 20. Termination of sponsorship 20.1 If the nationality or control of the Contractor changes or the Contractor’s sponsoring State, as defined in the Regulations, terminates its sponsorship, the Contractor shall promptly notify the Authority forthwith. 20.2 In either such event, if the Contractor does not obtain another sponsor meeting the requirements prescribed in the Regulations which submits to the Authority a certificate of sponsorship for the Contractor in the prescribed form within the time specified in the Regulations, this contract shall terminate forthwith.\n\nSection 21. Suspension and termination of contract and penalties 21.1 The Council may suspend or terminate this contract, without prejudice to any other rights that the Authority may have, if any of the following events should occur:\n\n(a) If, in spite of written warnings by the Authority, the Contractor has conducted its activities in such a way as to result in serious persistent and wilful violations of the fundamental terms of this contract, Part XI of the Convention, the Agreement and the rules, regulations and procedures of the Authority; or\n\n(b) If the Contractor has failed to comply with a final binding decision of the dispute settlement body applicable to it; or\n\n(c) If the Contractor becomes insolvent or commits an act of bankruptcy or enters into any agreement for composition with its creditors or goes into liquidation or receivership, whether compulsory or voluntary, or petitions or applies to any tribunal for the appointment of a receiver or a trustee or receiver for itself or commences any proceedings relating to itself under any bankruptcy, insolvency or readjustment of debt law, whether now or hereafter in effect, other than for the purpose of reconstruction. 21.2 The Council may, without prejudice to Section 17, after consultation with the contractor, suspend or terminate this contract, without prejudice to any other rights that the Authority may have, if the Contractor is prevented from performing its obligations under this contract by reason of an event or condition of force majeure, as described in Section 17.1, which has persisted for a continuous period exceeding two years, despite the Contractor having taken all reasonable measures to remove its inability to perform and comply with the terms and conditions of this contract with a minimum of delay. 21.3 Any suspension or termination shall be by notice, through the Secretary\u0002General, which shall include a statement of the reasons for taking such action. The suspension or termination shall be effective 60 days after such notice, unless the Contractor within such period disputes the Authority’s right to suspend or terminate this contract in accordance with Part XI, section 5, of the Convention. 21.4 If the Contractor takes such action, this contract shall only be suspended or terminated in accordance with a final binding decision in accordance with Part XI,\n\nsection 5, of the Convention. 21.5 If the Council has suspended this contract, the Council may by notice require the Contractor to resume its operations and comply with the terms and conditions of this contract, not later than 60 days after such notice. 21.6 In the case of any violation of this contract not covered by section 21.1 (a) hereof, or in lieu of suspension or termination under section 21.1 hereof, the Council may impose upon the Contractor monetary penalties proportionate to the seriousness of the violation. 21.7 The Council may not execute a decision involving monetary penalties until the Contractor has been accorded a reasonable opportunity to exhaust the judicial remedies available to it pursuant to Part XI, section 5, of the Convention. 21.8 In the event of termination or expiration of this contract, the Contractor shall comply with the Regulations and shall remove all installations, plant, equipment and materials in the exploration area and shall make the area safe so as not to constitute a danger to persons, shipping or to the marine environment.\n\nSection 22. Transfer of rights and obligations 22.1 The rights and obligations of the Contractor under this contract may be transferred in whole or in part only with the consent of the Authority and in accordance with the Regulations. 22.2 The Authority shall not unreasonably withhold consent to the transfer if the proposed transferee is in all respects a qualified applicant in accordance with the Regulations and assumes all of the obligations of the Contractor and if the transfer does not confer to the transferee a plan of work, the approval of which would be forbidden by Annex III, article 6, paragraph 3 (c), of the Convention. 22.3 The terms, undertakings and conditions of this contract shall inure to the benefit of and be binding upon the parties hereto and their respective successors and assigns.\n\nSection 23. No waiver No waiver by either party of any rights pursuant to a breach of the terms and conditions of this contract to be performed by the other party shall be construed as a waiver by the party of any succeeding breach of the same or any other term or condition to be performed by the other party.\n\nSection 24. Revision 24.1 When circumstances have arisen or are likely to arise which, in the opinion of the Authority or the Contractor, would render this contract inequitable or make it impracticable or impossible to achieve the objectives set out in this contract or in\n\nPart XI of the Convention or the Agreement, the parties shall enter into negotiations to revise it accordingly. 24.2 This contract may also be revised by agreement between the Contractor and the Authority to facilitate the application of any rules, regulations and procedures adopted by the Authority subsequent to the entry into force of this contract. 48 10-63720 24.3 This contract may be revised, amended or otherwise modified only with the consent of the Contractor and the Authority by an appropriate instrument signed by the authorized representatives of the parties.\n\nSection 25. Disputes 25.1 Any dispute between the parties concerning the interpretation or application of this contract shall be settled in accordance with Part XI, section 5, of the Convention. 25.2 In accordance with article 21, paragraph 2, of Annex III to the Convention, any final decision rendered by a court or tribunal having jurisdiction under the Convention relating to the rights and obligations of the Authority and of the Contractor shall be enforceable in the territory of any State Party to the Convention affected thereby.\n\nSection 26. Notice 26.1 Any application, request, notice, report, consent, approval, waiver, direction or instruction hereunder shall be made by the Secretary-General or by the designated representative of the Contractor, as the case may be, in writing. Service shall be by hand, or by telex, facsimile, registered airmail or electronic mail containing an authorized signature to the Secretary-General at the headquarters of the Authority or to the designated representative. The requirement to provide any information in writing under these Regulations is satisfied by the provision of the information in an electronic document containing a digital signature. 26.2 Either party shall be entitled to change any such address to any other address by not less than ten days’ notice to the other party. 26.3 Delivery by hand shall be effective when made. Delivery by telex shall be deemed to be effective on the business day following the day when the “answer back” appears on the sender’s telex machine. Delivery by facsimile shall be effective when the “transmit confirmation report” confirming the transmission to the recipient’s published facsimile number is received by the transmitter. Delivery by registered airmail shall be deemed to be effective 21 days after posting. An electronic document is presumed to have been received by the addressee when it enters an information system designated or used by the addressee for the purpose of receiving documents of the type sent and it is capable of being retrieved and processed by the addressee. 26.4 Notice to the designated representative of the Contractor shall constitute effective notice to the Contractor for all purposes under this contract, and the designated representative shall be the Contractor’s agent for the service of process or notification in any proceeding of any court or tribunal having jurisdiction. 26.5 Notice to the Secretary-General shall constitute effective notice to the Authority for all purposes under this contract, and the Secretary-General shall be the Authority’s agent for the service of process or notification in any proceeding of any court or tribunal having jurisdiction.\n\nSection 27. Applicable law 27.1 This contract shall be governed by the terms of this contract, the rules, regulations and procedures of the Authority, Part XI of the Convention, the Agreement and other rules of international law not incompatible with the Convention. 27.2 The Contractor, its employees, subcontractors, agents and all persons engaged in working or acting for them in the conduct of its operations under this contract shall observe the applicable law referred to in section 27.1 hereof and shall not engage in any transaction, directly or indirectly, prohibited by the applicable law. 27.3 Nothing contained in this contract shall be deemed an exemption from the necessity of applying for and obtaining any permit or authority that may be required for any activities under this contract.\n\nSection 28. Interpretation The division of this contract into sections and subsections and the insertion of headings are for convenience of reference only and shall not affect the construction or interpretation hereof.\n\nSection 29. Additional documents Each party hereto agrees to execute and deliver all such further instruments, and to do and perform all such further acts and things as may be necessary or expedient to give effect to the provisions of this contract.\n", "n_chars": 122535}
{"corpus_id": "isa/regulation/sulphides-2010-es", "version_id": "2010-11-15", "title": "Reglamento sobre Prospección y Exploración de Sulfuros Polimetálicos en la Zona", "short_title": "Reglamento ISA — exploración de sulfuros polimetálicos (2010) [ES]", "jurisdiction": "international", "document_type": "isa_regulation", "official_citation": "ISBA/16/A/12/Rev.1, anexo — Reglamento sobre Prospección y Exploración de Sulfuros Polimetálicos en la Zona", "authentic_languages": ["ar", "zh", "en", "fr", "ru", "es"], "language": "es", "adoption_date": "2010-05-07", "entry_into_force_date": null, "source_url": "https://isa.org.jm/wp-content/uploads/2022/04/isba-16a-12rev1_1_0.pdf", "source_publisher": "Autoridad Internacional de los Fondos Marinos (ISA)", "source_is_official": true, "authoritative_status": "authentic_text", "text_fidelity": "extracted_verified", "content_hash": "sha256:51c8b4f0d2360be63c756f7d847bbbc3c6ca05f29e32d7e51808ec6bc95c18bd", "original_sha256": "sha256:eb472100b8926d18374dcef46193ad264035031935fbfcef28478ba0f0f79cb8", "text_sha256": "sha256:51c8b4f0d2360be63c756f7d847bbbc3c6ca05f29e32d7e51808ec6bc95c18bd", "license": "isa-materials-terms", "rights_note": "Texto auténtico español; documento oficial, atribuido a la fuente; no relicenciado.", "provenance_note": "TEXTO AUTÉNTICO ESPAÑOL — sibling under JC-006 (English base record is isa/regulation/sulphides-2010). Authentic in the six UN languages, all equally authoritative; the Spanish text is stored here. Byte-exact official PDF (human download) stored as original.pdf; text extracted with pdftotext and cleaned by the committed scripts/extract.py, byte-exact reproducible; page furniture removed, no wording changed. An equally-authentic language version, NOT a translation.", "text": "Reglamento sobre Prospección y Exploración de Sulfuros Polimetálicos en la Zona — ISBA/16/A/12/Rev.1, anexo [ES]\n\nReglamento sobre prospección y exploración de sulfuros polimetálicos en la Zona\n\nPreámbulo De conformidad con la Convención de las Naciones Unidas sobre el Derecho del Mar (“la Convención”), los fondos marinos y oceánicos y su subsuelo fuera de los límites de la jurisdicción nacional, así como sus recursos, son patrimonio común de la humanidad, cuya exploración y explotación se realizarán en beneficio de toda la humanidad, en cuyo nombre actúa la Autoridad Internacional de los Fondos Marinos. Este reglamento obedece al propósito de regir la prospección y la exploración de los sulfuros polimetálicos.\n\nParte I\n\nIntroducción\n\nArtículo 1. Términos empleados y alcance\n\n1. Los términos utilizados en la Convención tendrán igual acepción en el presente reglamento.\n\n2. De conformidad con el Acuerdo relativo a la aplicación de la Parte XI de la Convención de las Naciones Unidas sobre el Derecho del Mar, de 10 de diciembre de 1982 (“el Acuerdo”), las disposiciones del Acuerdo y la Parte XI de la Convención de las Naciones Unidas sobre el Derecho del Mar, de 10 de diciembre de 1982, se interpretarán y aplicarán en forma conjunta como un solo instrumento. El presente reglamento y las referencias que en él se hagan a la Convención deberán interpretarse y aplicarse de la misma manera.\n\n3. A los efectos del presente reglamento: a) Por “explotación” se entiende la recuperación con fines comerciales de sulfuros polimetálicos y la extracción de minerales en la Zona, incluidas la construcción y utilización de sistemas de extracción minera, tratamiento y transporte para la producción y comercialización de minerales;\n\nb) Por “exploración” se entiende la búsqueda de yacimientos de sulfuros polimetálicos en la Zona en virtud de derechos exclusivos, el análisis de esos yacimientos, la utilización y el ensayo de sistemas y equipo de extracción, instalaciones de tratamiento y sistemas de transporte y la realización de estudios de los factores ambientales, técnicos, económicos y comerciales y otros factores apropiados que haya que tener en cuenta en la explotación; c) El “medio marino” incluye los componentes, las condiciones y los factores físicos, químicos, geológicos y biológicos cuya interacción determina la productividad, el estado, la condición y la calidad del ecosistema marino, las aguas de los mares y océanos y el espacio aéreo sobre esas aguas, así como los fondos marinos y oceánicos y su subsuelo;\n\nd) Por “sulfuros polimetálicos” se entienden los yacimientos de minerales sulfurosos y demás recursos minerales unidos a ellos que existen en la Zona que se han formado por acción hidrotermal y que contienen concentraciones de metales como cobre, plomo, zinc, oro y plata, entre otros; e) Por “prospección” se entiende la búsqueda de yacimientos de sulfuros polimetálicos en la Zona, incluida la estimación de la composición, el tamaño y la distribución de esos yacimientos y su valor económico, sin ningún derecho exclusivo; f) Por “daños graves al medio marino” se entienden los efectos causados por las actividades realizadas en la Zona en el medio marino que constituyan un cambio adverso importante del medio marino determinado con arreglo a las normas, los reglamentos y los procedimientos aprobados por la Autoridad sobre la base de normas y prácticas internacionalmente reconocidas.\n\n4. El presente reglamento no afectará de manera alguna a la libertad para realizar investigaciones científicas, de conformidad con el artículo 87 de la Convención, ni al derecho a realizar investigaciones científicas marinas en la Zona, de conformidad con los artículos 143 y 256 de la Convención. No se interpretará parte alguna del presente reglamento como una restricción al ejercicio por los Estados de la libertad de la alta mar con arreglo al artículo 87 de la Convención.\n\n5. El presente reglamento podrá complementarse con normas, reglamentos y procedimientos adicionales, en particular acerca de la protección y preservación del medio marino. Este reglamento estará sujeto a las disposiciones de la Convención y el Acuerdo y demás normas del derecho internacional que no sean incompatibles con la Convención.\n\nParte II. Prospección\n\nArtículo 2. Prospección\n\n1. La prospección se realizará de conformidad con la Convención y con el presente reglamento y únicamente podrá comenzar una vez que el Secretario General haya informado al prospector de que su notificación ha sido registrada de conformidad con el artículo 4, párrafo 2.\n\n2. Los prospectores y el Secretario General aplicarán el criterio de precaución, enunciado en el principio 15 de la Declaración de Río 1. La prospección no se iniciará cuando haya pruebas fehacientes de que existe riesgo de daños graves al medio marino.\n\n3. La prospección no podrá realizarse en un área comprendida en un plan de trabajo aprobado para la exploración de sulfuros polimetálicos o en un área reservada; tampoco podrá realizarse en un área en la cual el Consejo haya excluido la explotación por el riesgo de daños graves al medio marino.\n\n1 Informe de la Conferencia de las Naciones Unidas sobre el Medio Ambiente y el Desarrollo, Río de Janeiro, 3 a 14 de junio de 1992 (publicación de las Naciones Unidas, número de venta: S.91.I.8 y correcciones), vol. I: Resoluciones aprobadas por la Conferencia, resolución 1, anexo I.\n\n4. La prospección no conferirá al prospector derecho alguno sobre los recursos. No obstante, el prospector podrá extraer una cantidad razonable de minerales, la necesaria para las pruebas de ensayo, pero no con fines comerciales.\n\n5. La prospección no estará sujeta a plazo, pero la prospección en un área determinada cesará cuando el prospector reciba notificación por escrito del Secretario General de que se ha aprobado un plan de trabajo para la exploración respecto de esa área.\n\n6. La prospección podrá ser realizada simultáneamente por más de un prospector en la misma área o las mismas áreas.\n\nArtículo 3. Notificación de la prospección\n\n1. La persona o entidad que se proponga proceder a una prospección lo notificará a la Autoridad.\n\n2. Las notificaciones de prospección se harán en la forma prescrita en el anexo 1 del presente reglamento, serán dirigidas al Secretario General y se ajustarán a los requisitos enunciados en el presente reglamento.\n\n3. Las notificaciones serán presentadas: a) En el caso de los Estados, por la autoridad que designen a tal fin; b) En el caso de una entidad, por sus representantes designados; c) En el caso de la Empresa, por su autoridad competente.\n\n4. Las notificaciones se harán en uno de los idiomas de la Autoridad y contendrán: a) El nombre, la nacionalidad y el domicilio del interesado en la prospección y su representante designado;\n\nb) Las coordenadas del área o las áreas generales dentro de las cuales se realizará la prospección, de conformidad con la norma internacional más reciente e internacionalmente aceptada que aplique la Autoridad; c) Una descripción general del programa de prospección en que consten la fecha de comienzo de las actividades y su duración aproximada;\n\nd) Un compromiso escrito, contraído en forma satisfactoria, de que el interesado en la prospección: i) Cumplirá la Convención y las normas, reglamentos y procedimientos de la Autoridad relativos a: a. La cooperación en los programas de capacitación relacionados con la investigación científica marina y la transferencia de tecnología a que se hace referencia en los artículos 143 y 144 de la Convención; y b. ii) La protección y preservación del medio marino; Aceptará que la Autoridad verifique el cumplimiento de lo que antecede; y iii) Facilitará a la Autoridad, en la medida de lo posible, los datos que puedan ser pertinentes para la protección y preservación del medio marino.\n\nArtículo 4. Examen de las notificaciones\n\n1. El Secretario General acusará recibo por escrito de las notificaciones presentadas de conformidad con el artículo 3, especificando la fecha en que las recibió.\n\n2. El Secretario General examinará la notificación y tomará una decisión dentro de los 45 días siguientes a la fecha en que la haya recibido. Si la notificación cumple los requisitos previstos en la Convención y en el presente reglamento, el Secretario General inscribirá los pormenores de la notificación en el registro que llevará a esos efectos e informará de ello al prospector por escrito.\n\n3. El Secretario General, dentro de los 45 días siguientes a la fecha en que reciba la notificación, comunicará por escrito al interesado en la prospección si la notificación incluye una parte de un área comprendida en un plan de trabajo aprobado para la exploración o explotación de cualquier tipo de recursos, una parte de un área reservada o una parte de un área en la cual el Consejo haya excluido la explotación por entrañar riesgos de daños graves al medio marino o porque el compromiso escrito no era satisfactorio y remitirá al interesado en la prospección un informe escrito motivado. En tales casos, el interesado en la prospección podrá presentar una notificación enmendada en un plazo de 90 días. El Secretario General dispondrá de 45 días para examinar la notificación enmendada y tomar una decisión.\n\n4. El prospector deberá informar por escrito al Secretario General de cualquier cambio en la información contenida en la notificación.\n\n5. El Secretario General no revelará los pormenores que figuren en la notificación, salvo con el consentimiento escrito del prospector. Sin embargo, el Secretario General comunicará periódicamente a todos los miembros de la Autoridad la identidad del prospector y las áreas en que se estén realizando actividades de prospección sin especificarlas.\n\nArtículo 5. Protección y preservación del medio marino durante la prospección\n\n1. Los prospectores tomarán las medidas necesarias para evitar, reducir y controlar, en la medida de lo razonablemente posible, la contaminación y otros riesgos para el medio marino derivados de la prospección, aplicando un criterio de precaución y las mejores prácticas ambientales. En particular, los prospectores reducirán al mínimo o eliminarán: a) Los efectos ambientales adversos de la prospección; y\n\nb) Los conflictos o las interferencias reales o posibles con las actividades de investigación científica marina existentes o previstas, conforme a las futuras directrices que se establezcan al respecto.\n\n2. Los prospectores cooperarán con la Autoridad para preparar y aplicar programas de vigilancia y evaluación de los posibles efectos sobre el medio marino de la exploración y la explotación de los sulfuros polimetálicos.\n\n3. El prospector notificará inmediatamente por escrito al Secretario General, utilizando el medio más eficaz, todo incidente dimanado de la prospección que haya causado, esté causando o pueda causar daños graves al medio marino. Al recibir la notificación, el Secretario General actuará de conformidad con el artículo 35.\n\nArtículo 6. Informe anual\n\n1. El prospector presentará a la Autoridad, dentro de los 90 días siguientes al final de cada año civil, un informe sobre el estado de la prospección y el Secretario General lo presentará a la Comisión Jurídica y Técnica. El informe contendrá: a) Una descripción general del estado de la prospección y de los resultados obtenidos;\n\nb) Información sobre el cumplimiento del compromiso estipulado en el artículo 3, párrafo 4 d); y c) Información sobre la adhesión a las directrices pertinentes que se establezcan al respecto.\n\n2. El prospector, si se propone resarcirse de los gastos de la prospección como parte de los gastos de inversión que haya efectuado con anterioridad al inicio de la producción comercial, deberá presentar un estado financiero anual conforme a los principios contables internacionalmente aceptados y certificado por una empresa de contadores públicos debidamente acreditada sobre los gastos reales y directos que haya realizado con ocasión de la prospección.\n\nArtículo 7. Confidencialidad de los datos y la información contenidos en el informe anual\n\n1. El Secretario General protegerá el carácter confidencial de todos los datos y la información que consten en los informes que se presenten en cumplimiento del artículo 6, aplicando, mutatis mutandis, las disposiciones de los artículos 38 y 39, con la salvedad de que los datos y las informaciones relacionados con la protección y la preservación del medio marino, en particular los derivados de los programas de vigilancia ambiental, no se considerarán confidenciales. El prospector podrá solicitar que los datos no se divulguen por un período de hasta tres años contados a partir de la fecha de su presentación.\n\n2. El Secretario General podrá en cualquier momento, con el consentimiento del prospector de que se trate, revelar datos e información relativos a la prospección en un área con respecto a la cual se haya presentado la notificación correspondiente. Si el Secretario General, tras realizar esfuerzos razonables durante dos años como mínimo para comunicarse con el prospector, determina que este ha dejado de existir o que se desconoce su paradero, podrá revelar dichos datos e información.\n\nArtículo 8. Objetos de interés arqueológico o histórico El prospector notificará inmediatamente por escrito al Secretario General el hallazgo en la Zona de cualquier objeto de efectivo o posible interés arqueológico o histórico y su emplazamiento. El Secretario General transmitirá a su vez esa información al Director General de la Organización de las Naciones Unidas para la Educación, la Ciencia y la Cultura.\n\nParte III. Solicitudes de aprobación de planes de trabajo para la exploración en forma de contratos\n\nSección 1. Disposiciones generales\n\nArtículo 9. Disposición común Con sujeción a las disposiciones de la Convención, podrán solicitar de la Autoridad la aprobación de un plan de trabajo para la exploración: a) La Empresa, actuando en nombre propio o en virtud de un arreglo conjunto;\n\nb) Los Estados partes, las empresas estatales o las personas físicas o jurídicas que posean la nacionalidad de Estados partes o sean efectivamente controladas por ellos o por sus nacionales, cuando las patrocinen dichos Estados, o cualquier agrupación de los anteriores que reúna los requisitos previstos en el presente reglamento.\n\nSección 2. Contenido de la solicitud\n\nArtículo 10. Forma de la solicitud\n\n1. Las solicitudes de aprobación de un plan de trabajo para la exploración se presentarán en la forma indicada en el anexo 2 del presente reglamento, estarán dirigidas al Secretario General y se ajustarán a los requisitos del presente reglamento.\n\n2. Las solicitudes serán presentadas: a) En el caso de los Estados, por la autoridad que designen a tal fin;\n\nb) En el caso de una entidad, por sus representantes designados o por la autoridad designada con tal fin por el Estado o los Estados patrocinadores; y c) En el caso de la Empresa, por su autoridad competente.\n\n3. En las solicitudes presentadas por una empresa estatal o una de las entidades a que se refiere el apartado b) del artículo 9 figurará además: a) Información suficiente para determinar la nacionalidad del solicitante o la identidad del Estado o los Estados, o la de sus nacionales, que lo controlen efectivamente; y\n\nb) El establecimiento o domicilio principal del solicitante y, si procede, el lugar en donde está inscrito.\n\n4. Las solicitudes presentadas por una asociación o un consorcio de entidades incluirán la información requerida en relación con cada uno de sus integrantes.\n\nArtículo 11. Certificado de patrocinio\n\n1. La solicitud presentada por una empresa estatal o una de las entidades a que se refiere el artículo 9 b) irá acompañada de un certificado de patrocinio expedido por el Estado del cual sea nacional o a cuyo control o el de sus nacionales esté efectivamente sujeta. Si el solicitante tuviera más de una nacionalidad, como en el caso de las asociaciones o consorcios de entidades de más de un Estado, cada uno de ellos expedirá un certificado de patrocinio.\n\n2. Si el solicitante tuviera la nacionalidad de un Estado pero estuviera sujeto al control efectivo de otro Estado o sus nacionales, cada uno de ellos expedirá un certificado de patrocinio.\n\n3. Los certificados de patrocinio serán debidamente firmados en nombre del Estado que los presente y contendrán: a) El nombre del solicitante; b) El nombre del Estado patrocinador; c) Una declaración de que el solicitante: i) Es nacional del Estado patrocinador; o ii) Está sujeto al control efectivo del Estado patrocinador o sus nacionales; d) Una declaración de que el Estado patrocina al solicitante; e) La fecha en que el Estado patrocinador depositó el instrumento de ratificación, adhesión o sucesión con respecto a la Convención; f) Una declaración de que el Estado patrocinador asume la responsabilidad a que se hace referencia en el artículo 139, el artículo 153, párrafo 4 y el anexo III, artículo 4, párrafo 4 de la Convención.\n\n4. Los Estados o las entidades que hayan concertado un arreglo conjunto con la Empresa tendrán que cumplir también lo dispuesto en el presente artículo.\n\nArtículo 12. Superficie total a que se refiere la solicitud\n\n1. A los efectos del presente reglamento, por “bloque de sulfuros polimetálicos” se entiende una sección de la retícula establecida por la Autoridad, que será de aproximadamente 10 kilómetros por 10 kilómetros y no mayor de 100 kilómetros cuadrados.\n\n2. El área a que se refiere cada solicitud de aprobación de un plan de trabajo para la exploración de sulfuros polimetálicos estará compuesta por no más de 100 bloques de sulfuros polimetálicos, que el solicitante agrupará en un mínimo de cinco conjuntos, como se establece en el párrafo 3 infra.\n\n3. Cada conjunto de bloques de sulfuros polimetálicos comprenderá por lo menos cinco bloques contiguos. Se considerarán bloques contiguos los que tengan algún punto de contacto. No será necesario que los conjuntos de bloques de sulfuros polimetálicos sean contiguos, pero deberán estar próximos unos de otros y ubicados dentro de un área rectangular cuya superficie no exceda los 300.000 kilómetros cuadrados y cuyo lado más largo no supere los 1.000 kilómetros de longitud.\n\n4. Sin perjuicio de lo dispuesto en el párrafo 2 supra, cuando un solicitante haya optado por aportar un área reservada para realizar actividades en virtud de lo dispuesto en el artículo 9 del anexo III de la Convención, de conformidad con lo dispuesto en el artículo 17, el área total a que se refiere la solicitud no excederá de 200 bloques de sulfuros polimetálicos. Dichos bloques se unirán en dos grupos que posean el mismo valor comercial estimado, y el solicitante ordenará cada uno de esos grupos de bloques de sulfuros polimetálicos en conjuntos, como se establece en el párrafo 3 supra.\n\nArtículo 13. Capacidad financiera y técnica\n\n1. La solicitud de aprobación de un plan de trabajo para la exploración contendrá información concreta y suficiente que permita al Consejo comprobar si el solicitante tiene la capacidad financiera y técnica para realizar el plan de trabajo para la exploración propuesto y para cumplir sus obligaciones financieras con la Autoridad.\n\n2. La solicitud de aprobación de un plan de trabajo para la exploración presentada por la Empresa incluirá una declaración de su autoridad competente en que se certifique que la Empresa cuenta con los recursos financieros necesarios para sufragar los gastos estimados del plan de trabajo para la exploración propuesto.\n\n3. La solicitud de aprobación de un plan de trabajo para la exploración presentada por un Estado o una empresa estatal incluirá una declaración del Estado o del Estado patrocinador que certifique que el solicitante tiene los recursos financieros necesarios para sufragar los gastos estimados del plan de trabajo para la exploración propuesto.\n\n4. La solicitud de aprobación de un plan de trabajo para la exploración presentada por una entidad incluirá copias de sus estados financieros comprobados, junto con los balances y los estados de pérdidas y ganancias, correspondientes a los tres últimos años ajustados a los principios contables internacionalmente aceptados y certificados por una empresa de contadores públicos debidamente acreditada y: a) Si el solicitante fuera una entidad recientemente organizada y no tuviera balances certificados, un balance pro forma certificado por un funcionario competente del solicitante;\n\nb) Si el solicitante fuera una filial de otra entidad, copias de los estados financieros de esa entidad y declaración de esa entidad ajustada a los principios contables internacionalmente aceptados y certificada por una empresa de contadores públicos debidamente acreditada de que el solicitante contará con los recursos financieros para ejecutar el plan de trabajo para la exploración; c) Si el solicitante estuviese bajo el control de un Estado o una empresa estatal, la certificación del Estado o la empresa estatal de que el solicitante contará con los recursos financieros para realizar el plan de trabajo para la exploración.\n\n5. Si uno de los solicitantes a que se hace referencia en el párrafo 4 tuviese la intención de financiar el plan de trabajo para la exploración propuesto mediante empréstitos, su solicitud deberá hacer mención del importe de los empréstitos, el período de amortización y el tipo de interés.\n\n6. Todas las solicitudes incluirán: a) Una descripción general de la experiencia, los conocimientos, la pericia, la competencia técnica y la especialización del solicitante pertinentes al plan de trabajo para la exploración propuesto;\n\nb) Una descripción general del equipo y los métodos que se prevé utilizar en la realización del plan de trabajo para la exploración propuesto y otra información pertinente, que no sea objeto de derechos de propiedad intelectual, acerca de las características de esa tecnología; c) Una descripción general de la capacidad financiera y técnica del solicitante para actuar en caso de incidente o actividad que causen daños graves al medio marino.\n\n7. Si el solicitante fuera una asociación o un consorcio de entidades que hubieren concertado un arreglo conjunto, cada una de ellas proporcionará la información prevista en el presente reglamento.\n\nArtículo 14. Contratos anteriores con la Autoridad Si se hubiera adjudicado anteriormente un contrato con la Autoridad al solicitante o, en caso de que la solicitud hubiese sido presentada por una asociación o un consorcio de entidades que hubieran concertado un arreglo conjunto, a cualquiera de esas entidades, la solicitud incluirá: a) La fecha del contrato o los contratos anteriores;\n\nb) La fecha, el número de referencia y el título de cada informe presentado a la Autoridad en relación con el contrato o los contratos; y c) La fecha de terminación del contrato o los contratos, si procediere.\n\nArtículo 15. Obligaciones Como parte de su solicitud de aprobación de un plan de trabajo para la exploración, los solicitantes, incluida la Empresa, se comprometerán por escrito con la Autoridad a: a) Aceptar y cumplir las obligaciones aplicables que dimanen de las disposiciones de la Convención y las normas, los reglamentos y los procedimientos de la Autoridad, las decisiones de los órganos de la Autoridad y las cláusulas de los contratos celebrados con ella;\n\nb) Aceptar el control de la Autoridad sobre las actividades en la Zona en la forma autorizada por la Convención; y c) Dar a la Autoridad por escrito seguridades de que cumplirán de buena fe las obligaciones estipuladas en el contrato.\n\nArtículo 16. Elección por el solicitante de la aportación de un área reservada o de una participación en una empresa conjunta En la solicitud, el solicitante consignará si elige la opción de: a) Aportar un área reservada para realizar actividades en virtud de lo dispuesto en el anexo III, artículo 9 de la Convención, de conformidad con lo dispuesto en el artículo 17; o\n\nb) Ofrecer una participación en una empresa conjunta, de conformidad con lo dispuesto en el artículo 19.\n\nArtículo 17. Datos e información que deberán presentarse antes de la designación de un área reservada\n\n1. Cuando el solicitante opte por aportar un área reservada con el fin de realizar actividades en virtud de lo dispuesto en el anexo III, artículo 9 de la Convención, el área a que se refiere la solicitud deberá ser lo bastante extensa y tener el suficiente valor comercial estimado para permitir dos explotaciones mineras, y el solicitante la configurará de conformidad con lo dispuesto en el artículo 12, párrafo 4.\n\n2. Cada solicitud contendrá datos e información suficientes, con arreglo a lo dispuesto en la sección II del anexo 2 del presente reglamento, respecto del área solicitada para que el Consejo pueda, por recomendación de la Comisión Jurídica y Técnica, designar un área reservada sobre la base del valor comercial estimado de cada parte. Esos datos e información consistirán en los datos de que disponga el solicitante respecto de las dos partes del área solicitada, incluidos los datos empleados para determinar su valor comercial.\n\n3. El Consejo, sobre la base de los datos y la información presentados por el solicitante, con arreglo a la sección II del anexo 2 del presente reglamento, si los estima satisfactorios, y teniendo en cuenta la recomendación de la Comisión Jurídica y Técnica, designará la parte del área solicitada que será área reservada. El área así designada pasará a ser área reservada tan pronto como se apruebe el plan de trabajo para la exploración correspondiente al área no reservada y se firme el contrato. Si el Consejo determina que, de conformidad con el presente reglamento y su anexo 2, se necesita información adicional para designar el área reservada, devolverá la cuestión a la Comisión para su ulterior examen con especificación de la información adicional necesaria.\n\n4. Una vez aprobado el plan de trabajo para la exploración y expedido un contrato, la información y los datos transmitidos a la Autoridad por el solicitante respecto del área reservada podrán ser dados a conocer por la Autoridad de conformidad con el artículo 14, párrafo 3 del anexo III de la Convención.\n\nArtículo 18. Solicitudes de aprobación de planes de trabajo en relación con un área reservada\n\n1. Todo Estado en desarrollo o toda persona física o jurídica patrocinada por él y que esté bajo su control efectivo o bajo el de otro Estado en desarrollo, o toda agrupación de los anteriores, podrá notificar a la Autoridad su intención de presentar un plan de trabajo para la exploración respecto de un área reservada. El Secretario General transmitirá la notificación a la Empresa, la cual informará al Secretario General por escrito dentro del plazo de seis meses si tiene o no intención de realizar actividades en esa área reservada. Si la Empresa tiene el propósito de realizar actividades en el área reservada, en cumplimiento de lo dispuesto en el párrafo 4 informará por escrito al contratista cuya solicitud de aprobación de un plan de trabajo para la exploración incluía esa área.\n\n2. Se podrán presentar solicitudes de aprobación de un plan de trabajo para la exploración respecto de un área reservada en cualquier momento después de que esta quede disponible tras la decisión de la Empresa de no realizar actividades en ella o cuando, en el plazo de seis meses contados desde la notificación por el Secretario General, la Empresa no haya adoptado la decisión de realizar actividades en esa área o no haya notificado por escrito al Secretario General que está celebrando negociaciones relativas a una posible empresa conjunta. En este último caso, la Empresa tendrá un año a partir de la fecha de esa notificación para decidir si realizará actividades en el área mencionada.\n\n3. Si la Empresa, un Estado en desarrollo o una de las entidades a que se refiere el párrafo 1 no presentase una solicitud de aprobación de un plan de trabajo para la exploración para realizar actividades en un área reservada en el plazo de 15 años contados desde que la Empresa hubiera empezado a funcionar con independencia de la Secretaría de la Autoridad, o en el plazo de 15 años contados desde la fecha en que esa área se hubiera reservado para la Autoridad, si esta fecha fuere posterior, el contratista cuya solicitud de aprobación de un plan de trabajo para la exploración incluía esa área tendrá derecho a solicitar la aprobación de un plan de trabajo para la exploración respecto de ella siempre que ofrezca de buena fe incluir a la Empresa como socia en una empresa conjunta.\n\n4. Un contratista tendrá derecho de preferencia para concertar un arreglo de empresa conjunta con la Empresa para la exploración del área incluida en su solicitud de aprobación de un plan de trabajo para la exploración que el Consejo haya designado área reservada.\n\nArtículo 19. Participación en una empresa conjunta\n\n1. Cuando el solicitante opte por ofrecer una participación en una empresa conjunta, presentará los datos y la información correspondientes de conformidad con lo dispuesto en el artículo 20. El área que se asigne al solicitante estará sujeta a lo dispuesto en el artículo 27.\n\n2. El acuerdo de formación de la empresa conjunta, que entrará en vigor en el momento en que el solicitante celebre un contrato para la explotación, deberá incluir lo siguiente: a) La Empresa obtendrá una participación mínima del 20% en la empresa conjunta sobre la siguiente base: i) La mitad de esa participación se obtendrá sin el pago de ninguna contraprestación, directa o indirecta, al solicitante y se considerará pari passu con la participación del solicitante a todos los efectos; ii) El resto de esa participación se considerará pari passu con la participación del solicitante a todos los efectos, con la salvedad de que la Empresa no participará en la distribución de beneficios con respecto a esa participación hasta que el solicitante haya recuperado el total de su participación en la empresa conjunta;\n\nb) Sin perjuicio de lo dispuesto en el apartado a), el solicitante ofrecerá a la Empresa la posibilidad de adquirir una participación adicional del 30% en la empresa conjunta, o una participación menor si la Empresa así lo decide, sobre la base de una consideración pari passu con el solicitante a todos los efectos 2; c) Salvo que así se disponga expresamente en el acuerdo entre el solicitante y la Empresa, esta no estará obligada en virtud de su participación en el capital a proporcionar fondos o créditos o emitir garantías o aceptar ninguna otra responsabilidad financiera de cualquier tipo para la empresa conjunta o en nombre de esta, ni podrá exigirse a la Empresa que suscriba una participación adicional para mantener la proporción de su participación en la empresa conjunta.\n\nArtículo 20. Datos e información que deben presentarse para la aprobación del plan de trabajo para la exploración\n\n1. Cada solicitante presentará, a fin de que se apruebe el plan de trabajo para la exploración en forma de un contrato, la información siguiente: a) Una descripción general del programa de exploración propuesto y el período dentro del cual se propone terminarla, con inclusión de los detalles del programa de actividades para el período inmediato de cinco años, como los estudios que se han de realizar respecto de los factores ambientales, técnicos, económicos y otros factores apropiados que haya que tener en cuenta en la exploración;\n\nb) Una descripción de un programa de estudios de referencia oceanográficos y ambientales de conformidad con el presente reglamento y con las normas, reglamentos y procedimientos ambientales publicados por la Autoridad que permita hacer una evaluación de los posibles efectos sobre el medio ambiente de las actividades de exploración propuestas, entre ellos los efectos sobre la diversidad biológica, teniendo en cuenta las recomendaciones de la Comisión Jurídica y Técnica; c) Una evaluación preliminar de los posibles efectos sobre el medio marino de las actividades de exploración propuestas;\n\nd) Una descripción de las medidas propuestas para prevenir, reducir y controlar la contaminación y otros riesgos para el medio marino, así como los posibles efectos sobre este; e) Los datos necesarios para que el Consejo pueda adoptar la decisión que le incumbe con arreglo al artículo 13, párrafo 1; y f) Un plan de los gastos anuales previstos en relación con el programa de actividades para el período inmediato de cinco años.\n\n2 Será necesario regular con más detalle las condiciones en que pueda obtenerse esa participación.\n\n2. Cuando el solicitante opte por aportar un área reservada, este transferirá a la Autoridad los datos y la información correspondientes a dicha área una vez que el Consejo haya designado el área reservada de conformidad con lo dispuesto en el artículo 17, párrafo 3.\n\n3. Cuando el solicitante opte por ofrecer una participación en el capital de una empresa conjunta, transferirá en ese momento a la Autoridad los datos y la información correspondientes a dicha área.\n\nSección 3. Derechos de tramitación\n\nArtículo 21. Derechos aplicables a las solicitudes\n\n1. Los derechos de tramitación de un plan de trabajo para la exploración de sulfuros polimetálicos serán: a) Una cantidad fija de 500.000 dólares de los EE.UU., o su equivalente en moneda de libre convertibilidad, que el solicitante pagará al presentar la solicitud; o\n\nb) A elección del solicitante, una cantidad fija de 50.000 dólares de los EE.UU., o su equivalente en moneda de libre convertibilidad, que el solicitante pagará al presentar la solicitud, y una tasa anual que se calculará en la forma indicada en el párrafo 2.\n\n2. La tasa anual se calculará de la siguiente manera: i)\n\n5 dólares de los EE.UU. multiplicados por el factor área a partir de la fecha en que se cumpla un año de la firma del contrato; ii) 10 dólares de los EE.UU. multiplicados por el factor área a partir de la fecha de la primera cesión a la que se refiere el artículo 27 2); y iii) 20 dólares de los EE.UU. multiplicados por el factor área a partir de la fecha de la segunda cesión a la que se refiere el artículo 27 3).\n\n3. Por “factor área” se entiende la cantidad de kilómetros cuadrados comprendidos en la zona de exploración a la fecha de exigibilidad del pago periódico en cuestión.\n\n4. El Consejo revisará los derechos establecidos en el párrafo 1 a) del presente artículo, previa notificación del Secretario General de que el importe de los derechos ha sido insuficiente para cubrir los gastos administrativos hechos por la Autoridad al tramitar la solicitud.\n\n5. Si los gastos administrativos hechos por la Autoridad al tramitar la solicitud fueren inferiores al importe fijado, la Autoridad reembolsará la diferencia al solicitante.\n\nSección 4. Tramitación de las solicitudes\n\nArtículo 22. Recepción, acuse de recibo y custodia de las solicitudes El Secretario General: a) Acusará recibo por escrito, dentro de los 30 días siguientes a la fecha de recepción de cada solicitud de aprobación de un plan de trabajo para la exploración presentada conforme a lo dispuesto en esta Parte, especificando la fecha de recepción de la solicitud respectiva;\n\nb) Conservará a buen recaudo la solicitud y los documentos adjuntos y anexos, y asegurará el carácter confidencial de todos los datos y la información de esa naturaleza que se incluyan en la solicitud; y c) Notificará a los miembros de la Autoridad la recepción de la solicitud y les transmitirá la información general sobre ella que no tenga carácter confidencial.\n\nArtículo 23. Examen por la Comisión Jurídica y Técnica\n\n1. El Secretario General, al recibir una solicitud de aprobación de un plan de trabajo para la exploración, lo notificará a los miembros de la Comisión Jurídica y Técnica e incluirá su examen en el orden del día de la siguiente sesión de la Comisión. La Comisión solo examinará las solicitudes respecto de las cuales el Secretario General haya hecho distribuir la notificación e información correspondientes, de conformidad con el artículo 22 c), al menos treinta días antes del comienzo de la reunión de la Comisión en que hayan de examinarse.\n\n2. La Comisión examinará las solicitudes en el orden en que sean recibidas.\n\n3. La Comisión determinará si el solicitante: a) Ha cumplido las disposiciones del presente reglamento;\n\nb) Ha asumido los compromisos y dado las garantías indicados en el artículo 15; c) Tiene la capacidad financiera y técnica para llevar a cabo el plan de trabajo para la exploración propuesto y ha aportado información detallada sobre su capacidad de responder sin demora a órdenes de emergencia; y\n\nd) Ha cumplido debidamente sus obligaciones relativas a contratos anteriores con la Autoridad.\n\n4. La Comisión determinará, de conformidad con lo dispuesto en el presente reglamento y sus procedimientos, si el plan de trabajo para la exploración propuesto: a) Contiene disposiciones relativas a la protección efectiva de la salud y la seguridad humanas;\n\nb) Contiene disposiciones relativas a la protección y preservación del medio marino, que contemplen, entre otras cosas, los efectos sobre la diversidad biológica; c) Asegura que las instalaciones no se establecerán donde puedan causar interferencia a la utilización de vías marítimas esenciales para la navegación internacional ni en áreas de intensa actividad pesquera.\n\n5. Si la Comisión concluye que el solicitante cumple los requisitos del párrafo 3 y que el plan de trabajo para la exploración propuesto satisface los requisitos del párrafo 4, recomendará al Consejo que apruebe el plan de trabajo para la exploración.\n\n6. La Comisión no recomendará la aprobación de un plan de trabajo para la exploración propuesto si una parte o la totalidad del área abarcada por él está incluida en: a) Un plan de trabajo para la exploración de sulfuros polimetálicos aprobado por el Consejo; o\n\nb) Un plan de trabajo para la exploración o la explotación de otros recursos aprobado por el Consejo si el plan de trabajo para la exploración de sulfuros polimetálicos propuesto puede dificultar indebidamente las actividades del plan de trabajo aprobado para aquellos otros recursos; o c) Un área cuya explotación haya sido excluida por el Consejo en virtud de pruebas fehacientes del riesgo de causar daños graves al medio marino.\n\n7. La Comisión Jurídica y Técnica podrá recomendar la aprobación de un plan de trabajo si determina que esa aprobación no permitirá que un Estado parte o entidades patrocinadas por él monopolicen la realización de actividades relacionadas con los sulfuros polimetálicos en la Zona o impidan que otros Estados partes las realicen.\n\n8. Salvo las solicitudes presentadas por la Empresa, o en su nombre o en el de una empresa conjunta, y las solicitudes previstas en el artículo 18, la Comisión no recomendará la aprobación del plan de trabajo para la exploración si una parte o la totalidad del área abarcada por el plan de trabajo para la exploración propuesto está incluida en un área reservada o designada por el Consejo como reservada.\n\n9. Si la Comisión determina que una solicitud no cumple lo establecido en el presente reglamento, lo notificará al solicitante por escrito, por intermedio del Secretario General, indicando las razones. El solicitante podrá enmendar la solicitud dentro de los 45 días siguientes a esa notificación. Si la Comisión, tras un nuevo examen, entiende que no debe recomendar la aprobación del plan de trabajo para la exploración, lo comunicará al solicitante, dándole un plazo de 30 días, a contar desde la fecha de la comunicación, para presentar sus observaciones. La Comisión tomará en consideración las observaciones del solicitante al preparar su informe y la recomendación al Consejo.\n\n10. Al examinar el plan de trabajo para la exploración propuesto, la Comisión tendrá en cuenta los principios, normas y objetivos relacionados con las actividades en la Zona que se prevén en la Parte XI y el anexo III de la Convención y en el Acuerdo.\n\n11. La Comisión examinará las solicitudes sin dilación y presentará al Consejo un informe y recomendaciones sobre la designación de las áreas y sobre el plan de trabajo para la exploración en la primera oportunidad posible, teniendo en cuenta el programa de reuniones de la Autoridad.\n\n12. La Comisión, en el desempeño de sus funciones, aplicará el presente reglamento y las normas, reglamentos y procedimientos de la Autoridad de manera uniforme y no discriminatoria.\n\nArtículo 24. Examen y aprobación por el Consejo de los planes de trabajo para la exploración El Consejo examinará los informes y las recomendaciones de la Comisión relativos a la aprobación de planes de trabajo para la exploración de conformidad con los párrafos 11 y 12 de la sección 3 del anexo del Acuerdo.\n\nParte IV. Contratos de exploración\n\nArtículo 25. El contrato\n\n1. El plan de trabajo para la exploración, una vez aprobado por el Consejo, será preparado en la forma de un contrato entre la Autoridad y el solicitante como se prescribe en el anexo 3 del presente reglamento. Cada contrato de ese tipo incluirá las cláusulas uniformes mencionadas en el anexo 4 que estén vigentes en la fecha en que entre en vigor el contrato.\n\n2. El contrato será firmado por el Secretario General, en nombre de la Autoridad, y por el solicitante. El Secretario General notificará por escrito a todos los miembros de la Autoridad cada uno de los contratos que firme.\n\nArtículo 26. Derechos del contratista\n\n1. El contratista tendrá el derecho exclusivo de explorar un área abarcada por el plan de trabajo para la exploración respecto de los sulfuros polimetálicos. La Autoridad velará por que ninguna otra entidad realice en la misma área actividades relacionadas con otros recursos de forma tal que pueda dificultar las operaciones del contratista.\n\n2. El contratista cuyo plan de trabajo para realizar únicamente actividades de exploración haya sido aprobado tendrá preferencia y prioridad respecto de los demás solicitantes que hayan presentado un plan de trabajo para la explotación de la misma área o de los mismos recursos. El Consejo podrá retirar esa preferencia o prioridad si el contratista no cumple las condiciones del plan de trabajo para la exploración aprobado dentro del plazo fijado en uno o varios avisos dados por escrito por el Consejo al contratista en los que indique los requisitos que este no ha cumplido. El plazo fijado en este tipo de avisos será razonable. Deberá otorgarse al contratista una oportunidad razonable para hacerse oír antes de que la retirada de dicha preferencia o prioridad quede firme. El Consejo indicará las razones por las cuales se propone retirar la preferencia o prioridad y tomará en consideración las observaciones del contratista. La decisión del Consejo tendrá en cuenta tales observaciones y se adoptará sobre la base de pruebas fehacientes.\n\n3. La retirada de la preferencia o prioridad no será efectiva hasta que se haya dado al contratista oportunidad razonable de agotar los recursos judiciales de que dispone de conformidad con la Parte XI de la sección 5 de la Convención.\n\nArtículo 27. Dimensión del área y cesión de partes de ella\n\n1. El contratista cederá el área que se le haya asignado según lo dispuesto en el párrafo 2 del presente artículo. No es necesario que las áreas que se proyecta ceder sean contiguas, y el contratista las delimitará en forma de sub-bloques constituidos por una o más secciones de una retícula que le proporcionará la Autoridad.\n\n2. La superficie total del área asignada al contratista con arreglo al contrato no excederá de 10.000 kilómetros cuadrados. El contratista cederá partes del área que le haya sido asignada de conformidad con el siguiente plan: a) Al final del octavo año contado a partir de la fecha del contrato, el contratista deberá haber cedido al menos el 50% del área original que se le haya asignado;\n\nb) Al final del décimo año contado a partir de la fecha del contrato, el contratista deberá haber cedido al menos el 75% del área original que se le haya asignado.\n\n3. El contratista podrá en cualquier momento ceder partes del área que se le haya asignado antes de las fechas establecidas en el párrafo 2, en el entendimiento de que no tendrá que ceder una parte adicional de dicha área cuando el resto del área que le haya sido asignada no exceda de 2.500 kilómetros cuadrados.\n\n4. Las áreas cedidas revertirán a la Zona.\n\n5. Al final del decimoquinto año contado a partir de la fecha del contrato, o cuando el contratista solicite derechos de explotación, según cual ocurra primero, el contratista designará de entre el resto del área que se le haya asignado un área con el fin de retenerla y explotarla.\n\n6. El Consejo, a solicitud del contratista y por recomendación de la Comisión, podrá, en circunstancias excepcionales, diferir el calendario de cesión. La determinación de esas circunstancias excepcionales incumbirá al Consejo e incluirá, entre otras, la consideración de las circunstancias económicas imperantes u otras circunstancias excepcionales imprevistas que se hubieran presentado en conexión con las actividades operacionales del contratista.\n\nArtículo 28. Duración de los contratos\n\n1. Los planes de trabajo para la exploración serán aprobados por un período de 15 años. Cuando venza el plan de trabajo para la exploración, el contratista deberá solicitar uno para la explotación, a menos que lo haya hecho ya, haya obtenido una prórroga del plan de trabajo para la exploración o decida renunciar a sus derechos en el área a que se refiere este.\n\n2. A más tardar seis meses antes de la expiración de un plan de trabajo para la exploración, el contratista podrá solicitar que este se prorrogue por períodos no superiores a cinco años cada vez. Las prórrogas serán aprobadas por el Consejo, previa recomendación de la Comisión, siempre que el contratista se haya esforzado de buena fe por cumplir los requisitos del plan de trabajo pero, por razones ajenas a su voluntad, no haya podido completar el trabajo preparatorio necesario para pasar a la etapa de explotación o las circunstancias económicas imperantes no justifiquen que se pase a esa etapa.\n\nArtículo 29. Capacitación De conformidad con el artículo 15 del anexo III de la Convención, todos los contratos incluirán en un anexo un programa práctico para la capacitación del personal de la Autoridad y de los Estados en desarrollo, preparado por el contratista en cooperación con la Autoridad y el Estado o los Estados patrocinadores. El programa de capacitación se centrará en la realización de la exploración, y dispondrá la plena participación de dicho personal en todas las actividades previstas en el contrato. Este programa podrá ser revisado y ampliado de común acuerdo, según sea necesario.\n\nArtículo 30. Examen periódico de la ejecución del plan de trabajo para la exploración\n\n1. El contratista y el Secretario General procederán conjuntamente a un examen periódico de la ejecución del plan de trabajo para la exploración a intervalos de cinco años. El Secretario General podrá pedir al contratista que presente los datos y la información adicionales que sean necesarios para los fines del examen.\n\n2. El contratista, a la luz del examen, indicará su programa de actividades para el quinquenio siguiente e introducirá en el programa anterior los ajustes que sean necesarios.\n\n3. El Secretario General presentará un informe sobre el examen a la Comisión y al Consejo. En su informe el Secretario General indicará si en el examen se tuvieron en cuenta las observaciones que le hubiesen comunicado los Estados partes en la Convención acerca del cumplimiento por el contratista de sus obligaciones en virtud del presente reglamento en lo relativo a la protección y preservación del medio marino.\n\nArtículo 31. Terminación del patrocinio\n\n1. El contratista deberá tener el patrocinio necesario durante todo el período de vigencia del contrato.\n\n2. El Estado que ponga término al patrocinio lo notificará sin dilación y por escrito al Secretario General. El Estado patrocinador también comunicará al Secretario General las razones de la terminación del patrocinio. La terminación del patrocinio surtirá efecto seis meses después de la fecha en que el Secretario General reciba la notificación, a menos que en esta se especifique una fecha ulterior.\n\n3. En el caso de que termine el patrocinio, el contratista tendrá el plazo mencionado en el párrafo 2 para obtener otro patrocinador, el cual deberá presentar otro certificado de patrocinio de conformidad con lo dispuesto en el artículo 11 del presente reglamento. Si el contratista no consiguiere un patrocinador dentro del plazo prescrito, el contrato quedará resuelto.\n\n4. La terminación del patrocinio no eximirá al Estado de ninguna de las obligaciones contraídas cuando era Estado patrocinador ni afectará a los derechos y obligaciones surgidos durante el patrocinio.\n\n5. El Secretario General notificará a los miembros de la Autoridad la terminación o modificación del patrocinio.\n\nArtículo 32. Responsabilidad La responsabilidad del contratista y de la Autoridad se ajustará a la Convención. El contratista seguirá siendo responsable de todos los daños y perjuicios derivados de los actos ilícitos cometidos en la realización de sus operaciones, en particular los daños al medio marino, después de finalizada la etapa de exploración.\n\nParte V. Protección y preservación del medio marino\n\nArtículo 33. Protección y preservación del medio marino\n\n1. La Autoridad, con arreglo a la Convención y el Acuerdo, dictará normas, reglamentos y procedimientos ambientales y los examinará periódicamente para asegurar la protección eficaz del medio marino contra los efectos nocivos que puedan derivarse de las actividades en la Zona.\n\n2. Para asegurar la protección eficaz del medio marino contra los efectos nocivos que puedan derivarse de las actividades en la Zona, la Autoridad y los Estados patrocinadores aplicarán el criterio de precaución, enunciado en el principio 15 de la Declaración de Río, y las mejores prácticas ambientales.\n\n3. La Comisión Jurídica y Técnica hará recomendaciones al Consejo sobre la aplicación de los párrafos 1 y 2 supra.\n\n4. La Comisión elaborará y aplicará procedimientos para determinar, sobre la base de la mejor información científica y técnica disponible, incluida la información suministrada de conformidad con el artículo 20, si las actividades de exploración propuestas en la Zona podrían causar graves efectos nocivos en ecosistemas marinos vulnerables, en particular los respiradores hidrotermales, y velar por que, si se determina que ciertas actividades de exploración propuestas tendrán graves efectos nocivos en los ecosistemas marinos vulnerables, se administren dichas actividades de manera de prevenir esos efectos, o no se les autorice a continuar.\n\n5. Con arreglo al artículo 145 de la Convención y el párrafo 2 del presente artículo, el contratista tomará las medidas necesarias para prevenir, reducir y controlar la contaminación del medio marino y otros riesgos para este derivados de sus actividades en la Zona, aplicando para ello, en la medida que sea razonablemente posible, el criterio de precaución y las mejores prácticas ambientales.\n\n6. Los contratistas, los Estados patrocinadores y otros Estados o entidades interesados cooperarán con la Autoridad en la preparación y aplicación de los programas para la vigilancia y evaluación de los efectos sobre el medio marino de la extracción de minerales de los fondos marinos. Cuando así lo disponga el Consejo, dichos programas incluirán propuestas de zonas para que se utilicen exclusivamente como zonas de referencia para los efectos y para la preservación. Se entenderá por “zonas de referencia para los efectos” las que se utilicen para evaluar los efectos en el medio marino de las actividades en la Zona y que sean representativas de las características ambientales de la Zona. Se entenderá por “zonas de referencia para la preservación” aquellas en que no se efectuarán extracciones a fin de que la biota del fondo marino se mantenga representativa y estable y permita evaluar los cambios que tengan lugar en la diversidad biológica del medio marino.\n\nArtículo 34. Líneas de base ambientales y vigilancia\n\n1. En todo contrato se exigirá al contratista la obtención de datos ambientales de referencia y el establecimiento de líneas de base ambientales, teniendo en cuenta las recomendaciones que hubiese formulado la Comisión Jurídica y Técnica con arreglo al artículo 41, para evaluar los efectos probables en el medio marino de su programa de actividades en virtud del plan de trabajo para la exploración, así como un programa para vigilar esos efectos y presentar informes al respecto. Las recomendaciones de la Comisión podrán referirse, entre otras cosas, a las actividades de exploración que se considere que no tienen posibilidades de causar efectos nocivos en el medio marino. El contratista cooperará, según proceda, con la Autoridad y el Estado o los Estados patrocinadores en la formulación y ejecución del programa de vigilancia.\n\n2. El contratista informará por escrito anualmente al Secretario General de la aplicación y los resultados del programa de vigilancia mencionado en el párrafo 1 y le presentará datos e información teniendo en cuenta las recomendaciones formuladas por la Comisión con arreglo al artículo 41. De conformidad con el artículo 165 de la Convención, el Secretario General transmitirá dichos informes a la Comisión para que los examine.\n\nArtículo 35. Órdenes de emergencia\n\n1. El contratista informará prontamente por escrito al Secretario General, utilizando el medio más eficaz a su alcance, de cualquier incidente dimanado de actividades que hayan causado, estén causando o puedan causar daños graves al medio marino.\n\n2. El Secretario General, al ser notificado por un contratista o tomar conocimiento de otra manera de un incidente derivado de las actividades del contratista en la Zona u ocasionado por estas, que haya causado, esté causando o amenace causar daños graves al medio marino, hará que se publique una notificación general del incidente, notificará por escrito al contratista y al Estado o los Estados patrocinadores y presentará inmediatamente un informe a la Comisión Jurídica y Técnica, al Consejo y a todos los demás miembros de la Autoridad. Se distribuirá un ejemplar del informe a las organizaciones internacionales competentes y a las organizaciones e instituciones subregionales, regionales y mundiales interesadas. El Secretario General mantendrá en observación lo que ocurra en relación con dichos incidentes e informará de ellos, según proceda, a la Comisión, al Consejo y a todos los demás miembros de la Autoridad.\n\n3. Hasta que el Consejo adopte una decisión, el Secretario General tomará en forma inmediata medidas de carácter temporal, prácticas y razonables en las circunstancias del caso, para prevenir, contener y reducir al mínimo cualquier daño grave o el riesgo de que se ocasionen daños graves al medio marino. Esas medidas temporales tendrán vigencia por un período máximo de 90 días o hasta que el Consejo decida, en su siguiente período ordinario de sesiones o en un período extraordinario de sesiones, si se tomarán medidas con arreglo al párrafo 6 del presente artículo, y en caso afirmativo cuáles.\n\n4. Después de haber recibido el informe del Secretario General, la Comisión determinará, sobre la base de las pruebas presentadas y teniendo en cuenta las medidas que haya tomado el contratista, qué otras medidas son necesarias para hacer frente efectivamente al incidente con vistas a prevenir, contener y reducir al mínimo cualquier daño grave o el riesgo de que se ocasionen daños graves al medio marino, y formulará recomendaciones al Consejo.\n\n5. El Consejo examinará las recomendaciones de la Comisión.\n\n6. El Consejo, tomando en cuenta las recomendaciones de la Comisión, el informe del Secretario General, la información que proporcione el contratista y cualquier otra información pertinente, podrá expedir órdenes de emergencia que podrán incluir la suspensión o el reajuste de las operaciones según sea razonablemente necesario con el objeto de prevenir, contener o reducir al mínimo cualquier daño grave o el riesgo de que se ocasionen daños graves al medio marino derivados de actividades realizadas en la Zona.\n\n7. Si un contratista no cumple prontamente una orden de emergencia para prevenir, contener o reducir al mínimo cualquier daño grave o el riesgo de que se ocasionen daños graves al medio marino derivados de sus actividades en la Zona, el Consejo adoptará, por sí mismo o mediante mecanismos concertados en su nombre con terceros, las medidas prácticas necesarias para prevenir, contener y reducir al mínimo cualquier daño grave o el riesgo de que se ocasionen daños graves al medio marino.\n\n8. A fin de que el Consejo pueda, en caso necesario, adoptar inmediatamente las medidas prácticas para prevenir, contener y reducir al mínimo los daños graves o el riesgo de que se ocasionen daños graves al medio marino a que se hace referencia en el párrafo 7, el contratista, antes de comenzar el ensayo de los sistemas de recolección y las operaciones de procesamiento, dará al Consejo una garantía de su capacidad financiera y técnica de cumplir rápidamente las órdenes de emergencia o de asegurar que el Consejo pueda adoptar ese tipo de medidas de emergencia. Si el contratista no diese al Consejo una garantía de esa naturaleza, el Estado o los Estados patrocinadores deberán, en respuesta a un pedido hecho por el Secretario General y en virtud de los artículos 139 y 235 de la Convención, adoptar las medidas necesarias para asegurar que el contratista dé dicha garantía o adoptar medidas para asegurar que dicha asistencia se suministre a la Autoridad en el cumplimiento de las obligaciones que le incumben en virtud del párrafo 7.\n\nArtículo 36. Derechos de los Estados ribereños\n\n1. Nada de lo dispuesto en el presente reglamento afectará a los derechos que tienen los Estados ribereños en virtud del artículo 142 y otras disposiciones pertinentes de la Convención.\n\n2. El Estado ribereño que tuviera fundamentos para creer que alguna actividad de un contratista en la Zona causará probablemente un daño grave al medio marino bajo su jurisdicción o soberanía, o amenaza causar daños graves a ese medio marino, podrá notificar al Secretario General por escrito esos fundamentos. El Secretario General dará al contratista y al Estado o los Estados patrocinadores un plazo razonable para examinar las pruebas, si las hubiere, presentadas por el Estado ribereño para corroborar sus fundamentos. El contratista y el Estado o los Estados que lo patrocinen podrán presentar sus observaciones al respecto al Secretario General dentro de un plazo razonable.\n\n3. De haber razones claras para considerar que pueden producirse daños graves al medio marino, el Secretario General actuará con arreglo al artículo 35 y, de ser necesario, tomará medidas inmediatas de carácter temporal, de conformidad con lo dispuesto en el párrafo 3 de ese artículo.\n\n4. Los contratistas tomarán todas las medidas necesarias para garantizar que sus actividades se realicen de tal forma que no causen daños graves, entre ellos perjuicios por contaminación, al medio marino bajo jurisdicción o soberanía de Estados ribereños, y que esos daños graves o la contaminación causada por incidentes o actividades en su zona de exploración no se extiendan más allá de dicha zona.\n\nArtículo 37. Restos humanos y objetos y sitios de interés arqueológico o histórico El contratista que encuentre en la zona de exploración restos humanos de interés arqueológico o histórico, o cualquier objeto o sitio de índole similar, notificará inmediatamente al Secretario General por escrito el hallazgo y su ubicación, así como las medidas de protección y preservación que se hayan adoptado. El Secretario General transmitirá la información al Director General de la Organización de las Naciones Unidas para la Educación, la Ciencia y la Cultura y a cualquier otra organización internacional competente. Tras el hallazgo de tales restos humanos, objetos o sitios en la zona de exploración, y a los efectos de no alterar dichos restos, objetos o sitios, se suspenderán todas las actividades de prospección o exploración dentro de un radio razonable hasta que el Consejo decida que pueden continuar, tras considerar las opiniones del Director de la Organización de las Naciones Unidas para la Educación, la Ciencia y la Cultura o de cualquier otra organización internacional competente.\n\nParte VI. Confidencialidad\n\nArtículo 38. Confidencialidad de los datos y la información\n\n1. Los datos y la información presentados o transmitidos a la Autoridad o a cualquier persona que participe en una actividad o programa de la Autoridad en virtud del presente reglamento o un contrato expedido en virtud de él y calificados de confidenciales por el contratista, en consulta con el Secretario General, se considerarán confidenciales a menos que se trate de datos e información: a) fuentes; De dominio público o que se puedan conseguir públicamente de otras\n\nb) Dados a conocer previamente por el propietario a otros sin obligación alguna en materia de confidencialidad; o c) Que se encuentre ya en poder de la Autoridad sin obligación alguna en materia de confidencialidad. No se considerarán confidenciales los datos y la información necesarios para que la Autoridad formule normas, reglamentos y procedimientos sobre la protección y preservación del medio marino y su seguridad que no sean datos relativos al diseño del equipo que estén protegidos por derechos de propiedad intelectual.\n\n2. Los datos y la información confidenciales solo podrán ser utilizados por el Secretario General y el personal de la Secretaría que autorice el Secretario General y por los miembros de la Comisión Jurídica y Técnica en la medida en que sean necesarios y pertinentes para el eficaz desempeño de sus facultades y funciones. El Secretario General autorizará el acceso a esos datos y a esa información solo para una utilización limitada en relación con las funciones y obligaciones del personal de la Secretaría y las de la Comisión Jurídica y Técnica.\n\n3. Diez años después de la fecha de presentación de los datos y de la información confidenciales a la Autoridad o de la expiración del contrato de exploración, si esta última fecha es posterior, y posteriormente cada cinco años, el Secretario General y el contratista examinarán los datos y la información a fin de determinar si deberán seguir teniendo carácter confidencial. Esos datos e información seguirán siendo confidenciales si el contratista establece que podría existir un riesgo importante de sufrir un perjuicio económico grave e injusto en caso de que se dieran a conocer los datos y la información. No se darán a conocer dichos datos ni información a menos que se haya dado al contratista oportunidad razonable de agotar los recursos judiciales de que dispone de conformidad con la Parte XI, sección 5, de la Convención.\n\n4. Si, en cualquier momento posterior a la expiración del contrato de exploración, el contratista celebrara un contrato de explotación en relación con cualquier parte de la zona de exploración, los datos y la información confidenciales relativos a dicha parte de la zona seguirán siendo confidenciales, de conformidad con el contrato de exploración.\n\n5. En cualquier momento el contratista podrá renunciar a la confidencialidad de los datos y la información.\n\nArtículo 39. Procedimientos para velar por la confidencialidad\n\n1. El Secretario General será responsable del mantenimiento del carácter confidencial de todos los datos y la información confidenciales y en ningún caso, excepto con consentimiento previo por escrito del contratista, revelará esos datos y esa información a ninguna persona ajena a la Autoridad. El Secretario General establecerá procedimientos, en consonancia con las disposiciones de la Convención, para velar por el carácter confidencial de esos datos y esa información, en que se establecerá de qué manera los miembros de la Secretaría, los miembros de la Comisión Jurídica y Técnica y todas las demás personas que participen en cualquier actividad o programa de la Autoridad habrán de tramitar la información confidencial. Esos procedimientos incluirán: a) El mantenimiento de la información y los datos confidenciales en instalaciones seguras y la elaboración de procedimientos de seguridad para impedir el acceso a ellos o su retiro sin autorización;\n\nb) La preparación y el mantenimiento de una clasificación, un registro y un sistema de inventario de toda la información y los datos recibidos por escrito, incluido su tipo, su fuente y su recorrido desde el momento de la recepción hasta el de su destino final.\n\n2. Toda persona que en virtud del presente reglamento tenga acceso autorizado a datos e información confidenciales no los dará a conocer a menos que ello estuviese permitido en virtud de la Convención y del presente reglamento. El Secretario General exigirá a todos quienes tengan acceso autorizado a datos e información confidenciales que formulen una declaración por escrito, de la que será testigo el Secretario General o su representante autorizado, en el sentido de que: a) Reconoce su obligación en virtud de la Convención y del presente reglamento de no dar a conocer datos o información confidenciales;\n\nb) Acepta respetar los reglamentos y procedimientos aplicables establecidos para velar por la confidencialidad de dichos datos e información.\n\n3. La Comisión Jurídica y Técnica protegerá la confidencialidad de los datos y la información confidenciales que le hayan sido presentados en virtud del presente reglamento o de un contrato expedido en virtud del presente reglamento. De conformidad con el artículo 163 del párrafo 8 de la Convención, los miembros de la Comisión no revelarán, ni siquiera después de la terminación de sus funciones, ningún secreto industrial, ningún dato que sea objeto de derechos de propiedad intelectual y se transmita a la Autoridad con arreglo al anexo III, artículo 14, de la Convención ni ninguna otra información confidencial que llegue a su conocimiento como consecuencia del desempeño de sus funciones en la Autoridad.\n\n4. El Secretario General y el personal de la Autoridad no revelarán, ni siquiera después de la terminación de sus funciones, ningún secreto industrial, ningún dato que sea objeto de derechos de propiedad intelectual y se transmita a la Autoridad con arreglo al anexo III, artículo 14, de la Convención ni ninguna otra información confidencial que llegue a su conocimiento como consecuencia de su empleo con la Autoridad.\n\n5. Habida cuenta de la responsabilidad de la Autoridad en virtud del anexo III del artículo 22 de la Convención, la Autoridad adoptará todas las medidas que sean adecuadas contra las personas que, como consecuencia del desempeño de sus funciones en la Autoridad, tengan acceso a datos y a información confidenciales y que no cumplan sus obligaciones relativas a la confidencialidad estipuladas en la Convención y en el presente reglamento.\n\nParte VII. Procedimientos generales\n\nArtículo 40. Notificación y procedimientos generales\n\n1. El Secretario General o el representante designado del prospector, solicitante o contratista, según el caso, harán por escrito todo pedido, solicitud, aviso, informe, autorización, aprobación, exención, directiva o instrucción. La notificación se hará en mano o por télex, facsímile, correo aéreo certificado o correo electrónico con firma electrónica autorizada al Secretario General en la sede de la Autoridad o al representante designado.\n\n2. La notificación en mano surtirá efecto en el momento en que se haga. Se considerará que la notificación por télex surtirá efecto el día hábil siguiente a aquel en que aparezca en la máquina de télex del remitente la expresión “respuesta”. La notificación por facsímile surtirá efecto cuando quien lo envíe reciba el “informe de confirmación de la transmisión”, en el cual se confirme la transmisión al número de facsímile publicado por el receptor. La notificación por correo aéreo certificado se considerará hecha 21 días después del envío. Se entenderá que el destinatario de un documento electrónico lo ha recibido cuando dicho documento entre en un sistema de información diseñado o utilizado por el destinatario para recibir documentos del tipo enviado y pueda ser recuperado y procesado por él.\n\n3. La notificación al representante designado del prospector, solicitante o contratista servirá de notificación a estos para todos los efectos en relación con el presente reglamento, y el representante designado representará al prospector, solicitante o contratista a los efectos de la notificación de la demanda o de otra diligencia ante cualquier tribunal competente.\n\n4. La notificación al Secretario General servirá de notificación a la Autoridad para todos los efectos en relación con el presente reglamento, y el Secretario General representará a la Autoridad a los efectos de la notificación de la demanda o de otra diligencia ante cualquier tribunal competente.\n\nArtículo 41. Recomendaciones para información de los contratistas\n\n1. La Comisión Jurídica y Técnica podrá formular ocasionalmente recomendaciones de índole técnica o administrativa para que sirvan como directrices a los contratistas a fin de ayudarles en la aplicación de las normas, reglamentos y procedimientos de la Autoridad.\n\n2. El texto completo de estas recomendaciones será comunicado al Consejo. Si el Consejo considerara que una recomendación no es acorde con la intención y el propósito del presente reglamento, podrá solicitar que sea modificada o retirada.\n\nParte VIII. Solución de controversias\n\nArtículo 42. Controversias\n\n1. Las controversias relativas a la interpretación o aplicación del presente reglamento se dirimirán con arreglo a lo dispuesto en la Parte XI, sección 5, de la Convención.\n\n2. El fallo definitivo que dicte un tribunal competente en virtud de la Convención en lo relativo a los derechos y obligaciones de la Autoridad y del contratista será ejecutable en el territorio de cada uno de los Estados partes en la Convención.\n\nParte IX. Recursos distintos de los sulfuros polimetálicos\n\nArtículo 43. Recursos distintos de los sulfuros polimetálicos La prospección, exploración y explotación de los recursos distintos de los sulfuros polimetálicos y que hallen el prospector o el contratista en la Zona estarán sujetas a las normas, los reglamentos y los procedimientos relativos a esos recursos que dicte la Autoridad de conformidad con la Convención y con el Acuerdo. El prospector o el contratista notificarán sus hallazgos a la Autoridad.\n\nParte X. Examen\n\nArtículo 44. Examen\n\n1. Cuando se cumplan cinco años de la aprobación del presente reglamento por la Asamblea, o en cualquier fecha posterior, el Consejo examinará la forma en que funcionó este reglamento en la práctica.\n\n2. Si para entonces resulta evidente, a la luz de conocimientos o tecnologías más avanzados, que el reglamento ya no es aceptable, cualquier Estado parte, la Comisión Jurídica y Técnica o cualquier contratista por conducto de su Estado patrocinador podrá en cualquier momento pedir al Consejo que, en su siguiente período ordinario de sesiones, considere la posibilidad de modificarlo.\n\n3. Sobre la base de ese examen, el Consejo podrá adoptar y aplicar provisionalmente, a la espera de que la Asamblea las apruebe, las enmiendas a las disposiciones del presente reglamento, teniendo en cuenta las recomendaciones de la Comisión Jurídica y Técnica o de otros órganos subordinados interesados. Las enmiendas serán sin perjuicio de los derechos conferidos a cualquier contratista por la Autoridad en virtud de lo dispuesto en un contrato celebrado de conformidad con el presente reglamento que se encuentre vigente al momento de aprobarse la enmienda.\n\n4. En caso de enmienda de cualquiera de las disposiciones del presente reglamento, el contratista y la Autoridad podrán modificar el contrato con arreglo a lo dispuesto en la sección 24 del anexo 4.\n\nAnexo 1. Notificación de la intención de realizar actividades de prospección\n\n1. Nombre del prospector:\n\n2. Domicilio del prospector:\n\n3. Domicilio postal (si es diferente del anterior):\n\n4. Número de teléfono:\n\n5. Número de facsímile:\n\n6. Dirección de correo electrónico:\n\n7. Nacionalidad del prospector:\n\n8. Si el prospector es una persona jurídica, especificar: a) El lugar de inscripción; y b) La oficina principal o el domicilio comercial y adjuntar una copia de certificado de inscripción del prospector.\n\n9. Nombre del representante designado por el prospector:\n\n10. Domicilio del representante designado por el prospector (si es diferente del anterior):\n\n11. Domicilio postal (si es diferente del anterior):\n\n12. Número de teléfono:\n\n13. Número de facsímile:\n\n14. Dirección de correo electrónico:\n\n15. Adjuntar las coordenadas del área o las áreas generales en que se hará la prospección (de acuerdo con el Sistema Geodésico Mundial WGS 84).\n\n16. Adjuntar una descripción general del programa de prospección, con inclusión de la fecha de inicio y la duración aproximada del programa.\n\n17. Adjuntar una declaración por escrito en el sentido de que el prospector: a) Se ajustará a la Convención y a las normas, los reglamentos y los procedimientos pertinentes de la Autoridad respecto de: i) La cooperación en los programas de capacitación en relación con la investigación científica marina y la transferencia de tecnología indicadas en los artículos 143 y 144 de la Convención, y ii) La protección y preservación del medio marino; y b) Aceptará que la Autoridad verifique el cumplimiento a ese respecto.\n\n18. Enumérense a continuación todos los apéndices y anexos de esta notificación (todos los datos e información deben presentarse por escrito y en el formato digital especificado por la Autoridad): Fecha:______________________ Firma del representante designado por el solicitante Testigos: Firma del testigo Nombre del testigo Cargo del testigo\n\nAnexo 2. Solicitud de aprobación de un plan de trabajo para la exploración con el fin de obtener un contrato\n\nSección I. Información relativa al solicitante\n\n1. Nombre del solicitante:\n\n2. Domicilio del solicitante:\n\n3. Domicilio postal (si es diferente del anterior):\n\n4. Número de teléfono:\n\n5. Número de facsímile:\n\n6. Dirección de correo electrónico:\n\n7. Nombre del representante designado por el solicitante:\n\n8. Domicilio del representante designado por el solicitante (si es diferente del anterior):\n\n9. Domicilio postal (si es diferente del anterior):\n\n10. Número de teléfono:\n\n11. Número de facsímile:\n\n12. Dirección de correo electrónico:\n\n13. Si el solicitante es una persona jurídica, especificar: a) El lugar de inscripción; y b) La oficina principal o el domicilio comercial y adjuntar una copia del certificado de inscripción del solicitante.\n\n14. Especificación del Estado o de los Estados patrocinadores.\n\n15. Respecto de cada Estado patrocinador, indicar la fecha de depósito de su instrumento de ratificación de la Convención de las Naciones Unidas sobre el Derecho del Mar de 1982, o de adhesión a ella o de sucesión, y la fecha de su consentimiento para obligarse por el Acuerdo relativo a la aplicación de la Parte XI de la Convención de las Naciones Unidas sobre el Derecho del Mar de 10 de diciembre de 1982.\n\n16. Deberá adjuntarse a la presente solicitud un certificado de patrocinio expedido por el Estado patrocinador. Si el solicitante tiene más de una nacionalidad, como en el caso de una sociedad o consorcio de entidades de más de un Estado, deberán adjuntarse certificados de patrocinio expedidos por cada uno de los Estados participantes.\n\nSección II. Información relativa al área respecto de la cual se presenta la solicitud\n\n17. Definir los límites de los bloques a que se refiere la solicitud adjuntando un mapa (en la escala y la proyección especificadas por la Autoridad) y una lista de coordenadas geográficas (de acuerdo con el Sistema Geodésico Mundial WGS 84).\n\n18. Indicar si el solicitante opta por aportar un área reservada de conformidad con el artículo 17, o por ofrecer una participación en el capital de una empresa conjunta, de acuerdo con el artículo 19.\n\n19. Si el solicitante opta por aportar un área reservada: a) Adjuntar un mapa (en la escala y la proyección especificadas por la Autoridad) y una lista de las coordenadas que dividen la superficie total en dos partes de igual valor comercial estimado; y\n\nb) Incluir en un apéndice información suficiente para que el Consejo pueda designar un área reservada sobre la base del valor comercial estimado de cada una de las partes del área a que se refiera la solicitud. El apéndice deberá incluir los datos de que dispuso el solicitante respecto de ambas partes del área a que se refiere la solicitud, incluidos: i) Datos sobre la ubicación, los estudios y la evaluación de los sulfuros polimetálicos del área, en particular: a. Una descripción de la tecnología relacionada con la recuperación y el tratamiento de sulfuros polimetálicos necesaria para proceder a la designación de un área reservada; b. Un mapa de las características físicas y geológicas, como la topografía de los fondos marinos, la batimetría y las corrientes del fondo marino e información relativa a la fiabilidad de esos datos; c. Un mapa que muestre los datos obtenidos mediante teleobservación (como estudios electromagnéticos) y los datos de otros estudios utilizados para determinar la extensión lateral de cada una de las masas de sulfuros polimetálicos; d. Datos sobre las muestras extraídas de las perforaciones y otros datos utilizados para determinar la tercera dimensión de los depósitos y usados en consecuencia para determinar la ley y el tonelaje de las masas de sulfuros polimetálicos; e. Datos que muestren la distribución de los yacimientos activos e inactivos de sulfuros polimetálicos y la era en que la actividad cesó en los yacimientos inactivos y comenzó en los yacimientos activos; f. Datos que muestren el tonelaje medio (en toneladas métricas) de cada masa de sulfuros polimetálicos que abarcará el sitio minero y un mapa conexo del tonelaje en el que se señale la ubicación de los lugares de extracción de muestras; g. Datos que indiquen el contenido elemental medio de metales de interés económico (ley) basado en ensayos químicos sobre el porcentaje de peso en seco y un mapa conexo de la ley correspondiente a los datos obtenidos entre masas de sulfuros polimetálicos y dentro de ellas; h. Mapas combinados de tonelaje y ley de los sulfuros polimetálicos; i. Un cálculo basado en procedimientos estándar, incluidos análisis estadísticos, en que se utilicen los datos presentados y las hipótesis de los cálculos, de que cabe esperar que las dos áreas contengan sulfuros polimetálicos de igual valor comercial estimado expresado como metales extraíbles en áreas explotables; j. Una descripción de las técnicas utilizadas por el solicitante. ii) Información relativa a parámetros ambientales (estacionales y durante el período de ensayo), entre ellos, velocidad y dirección del viento, salinidad del agua, temperatura y comunidades biológicas.\n\n20. Si la zona a que se refiere la solicitud incluye alguna parte de un área reservada, adjuntar una lista de coordenadas del área que forme parte del área reservada e indicar las condiciones que reúne el solicitante de conformidad con el artículo 18 del reglamento.\n\nSección III. Información financiera y técnica\n\n21. Adjuntar información suficiente para que el Consejo pueda determinar si el solicitante tiene la capacidad financiera para realizar el plan de trabajo para la exploración propuesto y para cumplir sus obligaciones financieras respecto de la Autoridad: a) Si la solicitud es presentada por la Empresa, se adjuntarán certificados de su autoridad competente respecto de que la Empresa dispone de fondos para sufragar el costo estimado del plan del trabajo para la exploración propuesto;\n\nb) Si la solicitud es formulada por un Estado o una empresa estatal, se adjuntará una declaración del Estado, o del Estado patrocinador, en que se certifique que el solicitante cuenta con los recursos financieros necesarios para sufragar los gastos estimados del plan de trabajo para la exploración propuesto; c) Si la solicitud es formulada por una entidad, se adjuntarán copias de los estados financieros verificados de la entidad solicitante, incluidos balances consolidados y los estados de ganancias y pérdidas correspondientes a los últimos tres años, de conformidad con principios de contabilidad internacionalmente aceptados, y certificados por una empresa de contadores públicos debidamente reconocida; y i) Si el solicitante es una entidad recientemente organizada y no se cuenta con un balance certificado, se adjuntará una hoja de balance proforma, certificada por el funcionario competente de la entidad solicitante; ii) Si el solicitante es una empresa subsidiaria de otra entidad, se presentarán copias de los estados financieros de dicha entidad y una declaración de dicha entidad, conforme a las prácticas de contabilidad internacionalmente aceptadas y certificada por una empresa de contadores públicos debidamente reconocida, de que la empresa solicitante contará con los recursos financieros necesarios para cumplir con el plan de trabajo para la exploración; iii) Si el solicitante se encuentra bajo el control de un Estado o una empresa estatal, se presentará una declaración del Estado o de la empresa estatal en que se certifique que el solicitante cuenta con los recursos financieros necesarios para cumplir con el plan de trabajo para la exploración.\n\n22. Si el plan de trabajo para la exploración propuesto se ha de financiar mediante empréstitos, adjuntar un estado del monto de esos empréstitos, el plazo de amortización y el tipo de interés.\n\n23. Adjuntar información suficiente para que el Consejo pueda determinar si el solicitante está capacitado desde el punto de vista técnico para realizar el plan de trabajo para la exploración propuesto, con inclusión de: a) Una descripción general de la experiencia previa, los conocimientos, las aptitudes y las cualificaciones técnicas pertinentes al plan de trabajo propuesto para la exploración;\n\nb) Una descripción general del equipo y los métodos que se prevé utilizar en la realización del plan de trabajo propuesto para la exploración y otra información pertinente no protegida por derechos de propiedad intelectual acerca de las características de esa tecnología; c) Una descripción general de la capacidad financiera y técnica del solicitante para hacer frente a cualquier incidente o actividad que cause daños graves al medio marino.\n\nSección IV. El plan de trabajo para la exploración\n\n24. Adjuntar la información siguiente respecto del plan de trabajo para la exploración: a) Una descripción general y un cronograma del programa de exploración propuesto, incluido el programa de actividades para el siguiente período de cinco años, por ejemplo, los estudios que se han de hacer respecto de los factores ambientales, técnicos, económicos y de otro orden que deban tenerse en cuenta en la exploración;\n\nb) Una descripción de un programa de estudios de referencia oceanográficos y ambientales de conformidad con el presente reglamento y con las normas, reglamentos y procedimientos ambientales dictados por la Autoridad que permitan evaluar los posibles efectos sobre el medio ambiente de las actividades de exploración propuestas, entre ellos los efectos sobre la diversidad biológica, teniendo en cuenta las recomendaciones que imparta la Comisión Jurídica y Técnica; c) Una evaluación preliminar de los posibles efectos de las actividades de exploración propuestas sobre el medio marino;\n\nd) Una descripción de las medidas propuestas para prevenir, reducir y controlar la contaminación y otros peligros para el medio marino, así como los posibles efectos sobre este; e) Un calendario de los gastos anuales previstos por concepto del programa de actividades para el siguiente período de cinco años.\n\nSección V. Obligaciones\n\n25. Adjuntar una declaración por escrito en el sentido de que el solicitante: a) Acepta el carácter ejecutorio de las obligaciones aplicables que dimanen de las disposiciones de la Convención y las normas, los reglamentos y los procedimientos de la Autoridad, las decisiones de los órganos competentes de la Autoridad y las cláusulas de sus contratos con la Autoridad y los cumplirá;\n\nb) Acepta el control de la Autoridad sobre las actividades en la Zona en la forma autorizada en la Convención; c) Da a la Autoridad por escrito la seguridad de que cumplirá de buena fe las obligaciones estipuladas en el contrato.\n\nSección VI. Contratos anteriores\n\n26. ¿Ha adjudicado anteriormente la Autoridad algún contrato al solicitante o, en el caso de una solicitud conjunta de una asociación o consorcio de entidades, a algún miembro de la asociación o consorcio?\n\n27. Si la respuesta a la pregunta del párrafo 26 fuere afirmativa, la solicitud deberá incluir: a) La fecha del contrato o los contratos anteriores;\n\nb) La fecha, el número de referencia y el título de cada informe presentado a la Autoridad con respecto al contrato o los contratos; y c) La fecha de expiración del contrato o los contratos, si procede.\n\nSección VII. Apéndices\n\n28. Enumerar todos los apéndices y anexos de la presente solicitud (todos los datos e información deben presentarse por escrito y en el formato digital especificado por la Autoridad): Fecha:______________________ Firma del representante designado por el solicitante Testigos: Firma del testigo Nombre del testigo Cargo del testigo\n\nAnexo 3. Contrato de exploración CONTRATO celebrado el día ___ de ___________ entre LA AUTORIDAD INTERNACIONAL DE LOS FONDOS MARINOS representada por su SECRETARIO GENERAL (en adelante denominada “la Autoridad”) y _________ representado por _________ (en adelante denominado “el Contratista”): Incorporación de cláusulas A. Las cláusulas uniformes que figuran en el anexo 4 del reglamento sobre prospección y exploración de sulfuros polimetálicos en la Zona serán incorporadas al presente contrato y tendrán efecto como si estuvieran enunciadas en él expresamente. Zona de exploración B. A los efectos del presente contrato, por “zona de exploración” se entenderá la parte de la Zona asignada al Contratista para la exploración, según se define en las coordenadas enumeradas en el anexo 1 del presente, que se reducirá cada cierto tiempo de conformidad con las cláusulas uniformes y el reglamento. Concesión de derechos C. La Autoridad, teniendo en cuenta: 1) El interés mutuo de la Autoridad y el Contratista en la realización de actividades de exploración en la zona de exploración de conformidad con la Convención y el Acuerdo; 2) La función que le cabe de organizar y controlar las actividades en la Zona, especialmente con miras a administrar los recursos de esta de conformidad con el régimen jurídico establecido en la Parte XI de la Convención y el Acuerdo y en la Parte XII de la Convención, respectivamente; y 3) El compromiso financiero del Contratista de realizar actividades en la zona de exploración y su interés en ello y las obligaciones recíprocas que contraen en el presente contrato; confiere al Contratista el derecho exclusivo de explorar la zona de exploración de conformidad con las cláusulas del presente contrato para buscar sulfuros polimetálicos. Entrada en vigor y duración del contrato D. El presente contrato entrará en vigor una vez que haya sido firmado por ambas partes y, con sujeción a las cláusulas uniformes, seguirá en vigor por un período de quince años a menos que: 1) Se adjudique al Contratista un contrato de explotación en la zona de exploración que entre en vigor antes de que expire ese período de quince años; o 2) El contrato sea resuelto antes; en todo caso, la duración del contrato podrá prorrogarse de conformidad con las cláusulas uniformes 3.2 y 17.2. Anexos E. Los anexos mencionados en las cláusulas uniformes, concretamente en la cláusula 4 y la cláusula 8, son, a los efectos del presente contrato, los anexos 2 y 3 respectivamente. Integridad del acuerdo F. En el presente contrato se expresa en su integridad el acuerdo entre las partes y ninguna de sus cláusulas podrá ser modificada por un entendimiento verbal ni un entendimiento anterior expresado por escrito. EN TESTIMONIO DE LO CUAL, los infrascritos, debidamente autorizados para ello por las partes respectivas, han firmado el presente contrato en _________este día ___ de _________.\n\nAnexo 1. [Coordenadas y mapa ilustrativo de la zona de exploración.]\n\nAnexo 2. [Programa de actividades para el quinquenio en curso, revisado periódicamente.]\n\nAnexo 3. [El programa de capacitación pasará a constituir un anexo del contrato cuando la Autoridad lo apruebe de conformidad con la cláusula uniforme 8.]\n\nAnexo 4\n\nCláusulas uniformes del contrato de exploración\n\nCláusula 1. Definiciones\n\n1.1 En las cláusulas siguientes: a) Por “zona de exploración” se entenderá la parte de la Zona asignada al Contratista para la exploración, según se describe en el anexo 1 del presente, y que podrá ser reducida de conformidad con el presente contrato y con el reglamento;\n\nb) Por “programa de actividades” se entenderá el indicado en el anexo 2, que podrá modificarse de conformidad con las cláusulas 4.3 y 4.4 del presente contrato; c) Por “reglamento” se entenderá el reglamento sobre prospección y exploración de sulfuros polimetálicos en la Zona que apruebe la Autoridad.\n\n1.2 Los términos y frases que se definen en el reglamento tendrán igual sentido en estas cláusulas uniformes.\n\n1.3 De conformidad con el Acuerdo relativo a la aplicación de la Parte XI de la Convención de las Naciones Unidas sobre el Derecho del Mar de 10 de diciembre de 1982, sus disposiciones y la Parte XI de la Convención se interpretarán y aplicarán conjuntamente como un solo instrumento; el presente contrato y las referencias que en él se hacen a la Convención se interpretarán y aplicarán en consecuencia.\n\n1.4 El presente contrato incluye sus anexos, que formarán parte integrante de él.\n\nCláusula 2. Derechos del Contratista\n\n2.1 Los derechos del Contratista estarán garantizados, por lo que el presente contrato no será suspendido, rescindido ni modificado, excepto de conformidad con sus cláusulas 20, 21 y 24.\n\n2.2 El Contratista tendrá el derecho exclusivo de explorar la zona de exploración en busca de sulfuros polimetálicos de conformidad con las cláusulas del presente contrato. La Autoridad velará por que ninguna otra entidad realice actividades en la zona de exploración relacionadas con una categoría diferente de recursos que dificulten indebidamente las operaciones del Contratista.\n\n2.3 El Contratista, previa notificación a la Autoridad, podrá renunciar en cualquier momento sin sanción alguna a la totalidad o parte de sus derechos en la zona de exploración, pero seguirá siendo responsable del cumplimiento de las obligaciones que haya contraído antes de la fecha de la renuncia y respecto del área objeto de la renuncia.\n\n2.4 Nada de lo dispuesto en el presente contrato será interpretado en el sentido de que confiera al Contratista más derechos que los que le son conferidos expresamente en él. La Autoridad se reserva el derecho a concertar con terceros contratos relativos a recursos distintos de los sulfuros polimetálicos en la zona abarcada por el presente contrato.\n\nCláusula 3. Duración del contrato\n\n3.1 El presente contrato entrará en vigor una vez que haya sido firmado por ambas partes y seguirá en vigor por un período de 15 años a menos que: a) Se adjudique al Contratista un contrato de explotación en la zona de exploración que entre en vigor antes de que expire ese período de 15 años; o b) El contrato sea resuelto antes; en todo caso, la duración del contrato podrá prorrogarse de conformidad con las cláusulas 3.2 y 17.2.\n\n3.2 Si el Contratista lo solicitare, a más tardar seis meses antes de la expiración del presente contrato, este podrá ser prorrogado por períodos no superiores a cinco años cada uno, en las condiciones en que la Autoridad y el Contratista convengan de conformidad con el reglamento. La prórroga será aprobada si el Contratista se ha esforzado de buena fe por cumplir los requisitos del presente contrato pero, por razones ajenas a su voluntad, no ha podido completar el trabajo preparatorio necesario para pasar a la etapa de explotación o las circunstancias económicas imperantes no justifican que se pase a esa etapa.\n\n3.3 No obstante la expiración del presente contrato de conformidad con la cláusula 3.1, si el Contratista solicita, por lo menos 90 días antes de la fecha de expiración, un contrato de explotación, sus derechos y obligaciones con arreglo al presente contrato seguirán vigentes hasta el momento en que la solicitud haya sido examinada y aceptada o denegada.\n\nCláusula 4. Exploración\n\n4.1 El Contratista comenzará la exploración de conformidad con el calendario estipulado en el programa de actividades establecido en el anexo 2 del presente y cumplirá ese calendario con las modificaciones previstas en el presente contrato.\n\n4.2 El Contratista llevará a cabo el programa de actividades establecido en el anexo 2 del presente. Al realizar esas actividades, realizará cada año de vigencia del contrato gastos directos y efectivos por concepto de exploración de un monto no inferior al indicado en el programa o en una modificación del programa introducida de común acuerdo.\n\n4.3 El Contratista, previo consentimiento de la Autoridad, que no podrá denegarlo sin fundamento, podrá introducir en el programa de actividades y en los gastos indicados en él los cambios que sean necesarios y prudentes con arreglo a las buenas prácticas de la industria minera, y teniendo en cuenta las condiciones de mercado de los metales contenidos en los sulfuros polimetálicos y las demás condiciones económicas y mundiales que sean pertinentes.\n\n4.4 El Contratista y el Secretario General procederán, a más tardar 90 días antes de la expiración de cada quinquenio a partir de la fecha de entrada en vigor del presente contrato, según lo estipulado en la cláusula 3, a examinar conjuntamente los resultados de la ejecución del plan de trabajo para la exploración en virtud del presente contrato. El Secretario General podrá pedir al Contratista que le presente los datos y la información adicionales que fueren necesarios para los fines del examen. A la luz del examen, el Contratista hará en su plan de trabajo los ajustes que sean necesarios y dará a conocer su programa de actividades para el quinquenio siguiente, con inclusión de una lista revisada de los gastos anuales previstos. El anexo 2 del presente se ajustará en consecuencia.\n\nCláusula 5. Vigilancia ambiental\n\n5.1 El Contratista tomará las medidas necesarias para prevenir, reducir y controlar la contaminación del medio marino y otros riesgos para este derivados de sus actividades en la Zona en la medida en que sea razonablemente posible, aplicando un criterio de precaución y las mejores prácticas ambientales.\n\n5.2 Antes de iniciar las actividades de exploración, el Contratista presentará a la Autoridad: a) Una evaluación de los posibles efectos sobre el medio marino de las actividades propuestas;\n\nb) Una propuesta relativa a un programa de vigilancia para determinar los posibles efectos sobre el medio marino de las actividades propuestas; y c) Datos que puedan utilizarse para establecer una línea de base ambiental que permita evaluar los efectos de las actividades propuestas.\n\n5.3 El Contratista, de conformidad con el reglamento, obtendrá datos ambientales de referencia a medida que avancen y se desarrollen las actividades de exploración y establecerá líneas de base ambientales con respecto a las cuales se puedan evaluar los efectos probables sobre el medio marino de las actividades del Contratista.\n\n5.4 El Contratista elaborará y ejecutará, de conformidad con el reglamento, un programa de vigilancia e información respecto de esos efectos en el medio marino. El Contratista cooperará con la Autoridad a los efectos de esa vigilancia.\n\n5.5 El Contratista, dentro de los 90 días anteriores a la finalización de cada año civil, informará al Secretario General respecto de la aplicación y los resultados del programa de vigilancia mencionado en la cláusula 5.4 y presentará los datos y la información exigidos en el reglamento.\n\nCláusula 6. Planes de contingencia y casos de emergencia\n\n6.1 El Contratista, antes de comenzar su programa de actividades en virtud del presente contrato, presentará al Secretario General un plan de contingencia a fin de actuar eficazmente en caso de incidentes que entrañen una alta probabilidad o el riesgo de causar daños graves al medio marino como consecuencia de las actividades marítimas del Contratista en la zona de exploración. En ese plan de contingencia se establecerán procedimientos especiales y se preverá el suministro del equipo suficiente y adecuado para hacer frente a esos incidentes y, en particular, el plan comprenderá disposiciones relativas a: a) Una llamada de alarma general inmediata en la zona de las actividades de exploración; b) La inmediata notificación al Secretario General; c) Una llamada de alerta a los buques que estén a punto de entrar en las cercanías de la zona;\n\nd) El suministro constante de información cabal al Secretario General sobre los pormenores de las medidas de emergencia que se hayan tomado ya y las que haya que tomar; e) La eliminación, en caso necesario, de sustancias contaminantes; f) La reducción y, en la medida de lo razonablemente posible, la prevención de daños graves al medio marino, así como la mitigación de sus efectos;\n\ng) La cooperación, según proceda, con otros contratistas y con la Autoridad para actuar en caso de emergencia; y h) Simulacros periódicos de acción en casos de emergencia.\n\n6.2 El Contratista informará prontamente al Secretario General de cualquier incidente dimanado de sus actividades que haya causado, esté causando o amenace causar daños graves al medio marino. En cada informe se consignarán los detalles del incidente, entre otros: a) Las coordenadas de la zona real o previsiblemente afectada;\n\nb) La descripción de las medidas que esté adoptando el Contratista para prevenir, contener, reducir al mínimo o reparar los daños graves al medio marino o el riesgo de que estos se produzcan; c) La descripción de las medidas que esté tomando el Contratista para supervisar los efectos del incidente sobre el medio marino; y\n\nd) La información razonablemente necesite. complementaria que el Secretario General\n\n6.3 El Contratista cumplirá las órdenes de emergencia que dicte el Consejo y las medidas inmediatas de índole temporal que decrete el Secretario General de conformidad con el reglamento para prevenir, contener, reducir al mínimo o reparar los daños graves al medio marino o el riesgo de que estos se produzcan, las cuales podrán incluir órdenes al Contratista para que suspenda o modifique inmediatamente las actividades en la zona de exploración.\n\n6.4 Si el Contratista no cumple prontamente esas órdenes de emergencia o medidas inmediatas de índole temporal, el Consejo podrá tomar las medidas que sean razonablemente necesarias para prevenir, contener, reducir al mínimo o reparar los daños graves al medio marino o el riesgo de que estos se produzcan a costa del Contratista. El Contratista reembolsará prontamente a la Autoridad el monto de esos gastos, que será adicional a las sanciones pecuniarias que le sean impuestas de conformidad con las disposiciones del presente contrato o del reglamento.\n\nCláusula 7. Restos humanos y objetos de interés arqueológico o histórico El Contratista que encuentre en la zona de exploración restos humanos de interés arqueológico o histórico, o cualquier objeto o sitio de índole similar, notificará inmediatamente al Secretario General por escrito el hallazgo y su ubicación, así como las medidas de protección y preservación que se hayan adoptado. El Secretario General transmitirá la información al Director General de la Organización de las Naciones Unidas para la Educación, la Ciencia y la Cultura y a cualquier otra organización internacional competente. Tras el hallazgo de tales restos humanos, objetos o sitios en la zona de exploración, y a los efectos de no alterar dichos restos humanos, objetos o sitios, se suspenderán todas las actividades de prospección o exploración dentro de un radio razonable hasta que el Consejo decida que pueden continuar, tras considerar las opiniones del Director de la Organización de las Naciones Unidas para la Educación, la Ciencia y la Cultura o de cualquier otra organización internacional competente.\n\nCláusula 8. Capacitación\n\n8.1 De conformidad con el reglamento, el Contratista, antes de comenzar la exploración en virtud del presente contrato, presentará a la Autoridad, para su aprobación, propuestas de programas para la capacitación de personal de la Autoridad y de Estados en desarrollo, incluida la participación de ese personal en todas las actividades que realice el Contratista en virtud del presente contrato.\n\n8.2 El ámbito y la financiación del programa de capacitación serán objeto de negociaciones entre el Contratista, la Autoridad y el Estado o los Estados patrocinadores.\n\n8.3 El Contratista llevará a cabo los programas de esta índole de conformidad con el programa concreto de capacitación a que se hace referencia en la cláusula 8.1, aprobado por la Autoridad de conformidad con el reglamento, y que, con sus revisiones o adiciones, se convertirá en parte del presente contrato como anexo 3.\n\nCláusula 9. Libros y registros El Contratista llevará un juego completo y en debida forma de libros, cuentas y registros financieros compatibles con los principios contables internacionalmente aceptados. En esos libros, cuentas y registros financieros se dejará constancia clara de los gastos efectivos y directos de exploración y de los demás datos que faciliten la comprobación efectiva de esos gastos.\n\nCláusula 10. Informes anuales\n\n10.1 El Contratista, dentro de los 90 días siguientes a la finalización de cada año civil, presentará al Secretario General, en el formato que pueda recomendar la Comisión Jurídica y Técnica, un informe relativo a su programa de actividades en la zona de exploración que contendrá, en la medida en que proceda, información suficientemente detallada sobre: a) Las actividades de exploración realizadas durante el año civil, con la inclusión de mapas, cartas y gráficos que ilustren la labor realizada y los resultados obtenidos;\n\nb) El equipo utilizado para realizar las actividades de exploración, incluidos los resultados de los ensayos de tecnologías de explotación minera propuestas, aunque no sobre los datos relativos al diseño del equipo; y c) La ejecución de los programas de capacitación, incluidas las propuestas de revisiones o adiciones a esos programas.\n\n10.2 Los informes contendrán también: a) Los resultados de los programas de vigilancia ambiental, entre ellos las observaciones, mediciones, evaluaciones y análisis de los parámetros ambientales;\n\nb) Una relación de la cantidad de sulfuros polimetálicos obtenidos como muestra o para fines de ensayo; c) Un estado, conforme a los principios contables internacionalmente aceptados y certificado por una firma de contadores públicos debidamente acreditada o, en caso de que el Contratista sea un Estado o una empresa estatal, por el Estado patrocinador, de los gastos efectivos y directos de exploración que haya hecho el Contratista en la ejecución del programa de actividades durante el año contable del Contratista. El Contratista podrá reclamar esos gastos como parte de sus costos de inversión previos al comienzo de la producción comercial; y\n\nd) Las propuestas de ajustes del programa de actividades y las razones en que se fundan.\n\n10.3 El Contratista presentará además toda la información adicional necesaria para complementar los informes a que se hace referencia en las cláusulas 10.1 y 10.2 y que el Secretario General pida razonablemente a fin de que la Autoridad cumpla las funciones que le asignan la Convención, el reglamento y el presente contrato.\n\n10.4 El Contratista conservará, en buen estado, una parte representativa de las muestras y núcleos de sulfuros polimetálicos obtenidos en el curso de la exploración hasta que termine el presente contrato. La Autoridad podrá pedir por escrito al Contratista que le entregue, para analizarla, una parte de cualquier muestra y núcleo que haya obtenido en el curso de la exploración.\n\nCláusula 11. Datos e información que se proporcionarán al expirar el contrato\n\n11.1 El Contratista transferirá a la Autoridad todos los datos y la información que sean necesarios y pertinentes para el ejercicio efectivo de las facultades y las funciones de la Autoridad con respecto a la zona de exploración de conformidad con lo dispuesto en la presente cláusula.\n\n11.2 Al expirar o rescindirse el contrato, el Contratista, si no lo hubiese hecho ya, presentará los siguientes datos e información al Secretario General: a) Copias de los datos geológicos, ambientales, geoquímicos y geofísicos obtenidos por el Contratista durante la ejecución del programa de actividades que sean necesarios y pertinentes para el ejercicio efectivo de las facultades y funciones de la Autoridad con respecto a la zona de exploración;\n\nb) La estimación de los yacimientos explotables, cuando se hayan individualizado, lo que comprenderá detalles del grado y cantidad de reservas comprobadas, probables y posibles de sulfuros polimetálicos y las condiciones de explotación previstas; c) Copias de los informes geológicos, técnicos, financieros y económicos preparados por el Contratista o para él que sean necesarios y pertinentes para el ejercicio efectivo de las facultades y funciones de la Autoridad con respecto a la zona de exploración;\n\nd) Información suficientemente detallada sobre el equipo utilizado para llevar a cabo las actividades de exploración, incluidos los resultados de los ensayos de tecnologías de explotación minera propuestas, aunque no los datos relativos al diseño del equipo; e) Una relación de la cantidad de sulfuros polimetálicos extraídos como muestras o con fines de ensayo; y f) Una relación de la manera y el lugar en que se archivaron las muestras de los núcleos y su disponibilidad para la Autoridad.\n\n11.3 Los datos y la información mencionados en la cláusula 11.2 serán presentados también al Secretario General si, antes de que expire el presente contrato, el Contratista solicita la aprobación de un plan de trabajo para la explotación o si el Contratista renuncia a sus derechos en la zona de exploración, en la medida en que los datos y la información se refieran a la zona respecto de la cual ha renunciado a sus derechos.\n\nCláusula 12. Confidencialidad Los datos e informaciones que se hayan transmitido a la Autoridad de conformidad con el presente contrato se considerarán confidenciales con arreglo a las disposiciones de esta cláusula y del reglamento.\n\nCláusula 13. Obligaciones\n\n13.1 El Contratista procederá a la exploración de conformidad con las cláusulas y las condiciones del presente contrato, el reglamento, la Parte XI de la Convención, el Acuerdo y otras normas de derecho internacional que no sean incompatibles con la Convención.\n\n13.2 El Contratista se compromete a: a) Cumplir las disposiciones del presente contrato y aceptar su carácter ejecutorio;\n\nb) Cumplir las obligaciones aplicables que dimanen de las disposiciones de la Convención, las normas, los reglamentos y los procedimientos de la Autoridad y las decisiones de los órganos competentes de la Autoridad; c) Aceptar el control de la Autoridad sobre las actividades en la Zona en la forma autorizada por la Convención; d) Cumplir de buena fe las obligaciones estipuladas en el presente contrato; y e) Cumplir, en la medida en que sea razonablemente posible, las recomendaciones que imparta la Comisión Jurídica y Técnica.\n\n13.3 El Contratista llevará a cabo activamente el programa de actividades: a) Con la diligencia, eficiencia y economía debidas;\n\nb) Teniendo debidamente en cuenta los efectos de sus actividades sobre el medio marino; y c) Teniendo razonablemente en cuenta otras actividades en el medio marino.\n\n13.4 La Autoridad se compromete a ejercer de buena fe las facultades y las funciones que le corresponden en virtud de la Convención y del Acuerdo, de conformidad con el artículo 157 de la Convención.\n\nCláusula 14. Inspección\n\n14.1 El Contratista permitirá a la Autoridad el envío de inspectores a bordo de los buques y las instalaciones que utilice para realizar actividades en la zona de exploración con el objeto de: a) Vigilar el cumplimiento por el Contratista de las cláusulas del presente contrato y del reglamento; y b) Vigilar los efectos de esas actividades sobre el medio marino.\n\n14.2 El Secretario General notificará con una antelación razonable al Contratista la fecha y duración previstas de las inspecciones, el nombre de los inspectores y de todas las actividades que los inspectores habrán de realizar y que probablemente requieran la disponibilidad de equipo especial o de asistencia especial del personal del Contratista.\n\n14.3 Los inspectores estarán facultados para inspeccionar cualquier buque o instalación, incluidos sus registros, equipo, documentos, instalaciones, los demás datos registrados y los documentos pertinentes que sean necesarios para vigilar el cumplimiento del contrato por el Contratista.\n\n14.4 El Contratista, sus agentes y sus empleados prestarán asistencia a los inspectores en el desempeño de sus funciones y: a) Aceptarán y facilitarán el acceso pronto y seguro de los inspectores a las naves e instalaciones;\n\nb) Cooperarán en la inspección de un buque o instalación realizada con arreglo a estos procedimientos y prestarán asistencia en ella; c) Darán en todo momento razonable acceso al equipo, las instalaciones y el personal que correspondan y se encuentren en las naves e instalaciones;\n\nd) No obstruirán el ejercicio de las funciones de los inspectores, no los intimidarán ni se inmiscuirán en su labor; e) Proporcionarán a los inspectores servicios razonables, con inclusión, si procede, de alimentación y alojamiento; y f) Facilitarán el desembarco de los inspectores en condiciones de seguridad.\n\n14.5 Los inspectores se abstendrán de intervenir en las operaciones normales y seguras a bordo de las naves e instalaciones que utilice el Contratista para realizar actividades en el área visitada y actuarán de conformidad con el reglamento y las medidas adoptadas para proteger el carácter confidencial de los datos y la información.\n\n14.6 El Secretario General y cualquiera de sus representantes debidamente autorizados tendrán acceso, para los estudios y auditorías, a todos los libros, documentos, informes y registros del Contratista que sean necesarios y directamente pertinentes para verificar los gastos a que se hace referencia en la cláusula 10.2 c).\n\n14.7 Cuando sea necesaria la adopción de medidas, el Secretario General pondrá la información pertinente que figure en los informes de los inspectores a disposición del Contratista y del Estado o los Estados que lo patrocinan.\n\n14.8 El Contratista, si por cualquier razón no procede a la exploración y no solicita un contrato de explotación, lo notificará por escrito al Secretario General antes de abandonar la zona de exploración, a fin de que la Autoridad pueda, si así lo decide, llevar a cabo una inspección con arreglo a la presente cláusula.\n\nCláusula 15. Normas de seguridad, de trabajo y de salud\n\n15.1 El Contratista deberá cumplir las normas y los estándares internacionales generalmente aceptados, establecidos por las organizaciones internacionales competentes o las conferencias diplomáticas generales, en relación con la seguridad de la vida en el mar y la prevención de colisiones, y las normas, los reglamentos y los procedimientos que adopte la Autoridad en relación con la seguridad en el mar, y los buques que se utilicen para realizar actividades en la Zona deberán estar en posesión de certificados vigentes y válidos, exigidos y emitidos de conformidad con dichas normas y estándares internacionales.\n\n15.2 El Contratista, al realizar actividades de exploración con arreglo al presente contrato, deberá observar y cumplir las normas, los reglamentos y los procedimientos que adopte la Autoridad en materia de protección contra la discriminación en el empleo, salud y seguridad ocupacionales, relaciones laborales, seguridad social, seguridad en el empleo y condiciones de vida en el lugar de trabajo. En las normas, los reglamentos y los procedimientos se tendrán en cuenta los convenios y las recomendaciones de la Organización Internacional del Trabajo y otras organizaciones internacionales competentes.\n\nCláusula 16. Responsabilidad\n\n16.1 El Contratista será responsable del monto efectivo de los daños y perjuicios, incluidos los causados al medio marino, derivados de actos u omisiones ilícitos cometidos por él o por sus empleados, subcontratistas, agentes y todas las personas que trabajen para ellos o actúen en su nombre en la realización de sus operaciones con arreglo al presente contrato, con inclusión del costo de las medidas que sean razonables para prevenir o limitar los daños al medio marino, teniendo en cuenta los actos u omisiones de la Autoridad que hayan contribuido a ellos.\n\n16.2 El Contratista exonerará a la Autoridad, sus empleados, subcontratistas y agentes de las demandas y obligaciones que hagan valer terceros en razón de actos u omisiones ilícitos del Contratista y de sus empleados, agentes y subcontratistas y de todas las personas que trabajen para ellos o actúen en su nombre en la realización de sus operaciones con arreglo al presente contrato.\n\n16.3 La Autoridad será responsable del monto efectivo de los daños y perjuicios causados al Contratista como resultado de sus actos ilícitos en el ejercicio de sus facultades y funciones, con inclusión de las violaciones previstas en el párrafo 2 del artículo 168 de la Convención, y teniendo debidamente en cuenta los actos u omisiones del Contratista, sus empleados, agentes y subcontratistas y todas las personas que trabajan para ellos o actúen en su nombre en la realización de sus operaciones con arreglo al presente contrato que hayan contribuido a ellos.\n\n16.4 La Autoridad exonerará al Contratista, sus empleados, subcontratistas, agentes y a todas las personas que trabajen para ellos o actúen en su nombre en la realización de sus operaciones con arreglo al presente contrato de las demandas y obligaciones que hagan valer terceros derivadas de los actos u omisiones ilícitos en el ejercicio de sus facultades y funciones conforme al presente contrato, incluidas las violaciones previstas en el párrafo 2 del artículo 168 de la Convención.\n\n16.5 El Contratista contratará con empresas internacionalmente reconocidas pólizas de seguro adecuadas, de conformidad con las prácticas marítimas internacionales generalmente aceptadas.\n\nCláusula 17. Fuerza mayor\n\n17.1 El Contratista no será responsable de las demoras inevitables o del incumplimiento de alguna de sus obligaciones con arreglo al presente contrato ocurridos por razones de fuerza mayor. A los efectos del presente contrato, por fuerza mayor se entenderá un acontecimiento o una condición que no cabía razonablemente esperar que el Contratista impidiera o controlara, a condición de que no haya sido causado por negligencia o por inobservancia de las buenas prácticas de la industria minera.\n\n17.2 Se concederá al Contratista, a su pedido, una prórroga equivalente al período en el cual el cumplimiento del contrato quedó demorado por razones de fuerza mayor y se prorrogará en la forma correspondiente la duración del presente contrato.\n\n17.3 En caso de fuerza mayor, el Contratista tomará todas las medidas razonables para volver a ponerse en condiciones de cumplir las cláusulas y las condiciones del presente contrato con un mínimo de demora.\n\n17.4 El Contratista notificará a la Autoridad tan pronto como sea razonablemente posible que ha habido fuerza mayor e, igualmente, notificará a la Autoridad cuando se restablezcan las condiciones normales.\n\nCláusula 18. Descargo de responsabilidad El Contratista, sus empresas afiliadas o sus subcontratistas no podrán afirmar o sugerir de manera alguna, expresa ni tácitamente, que la Autoridad o cualquiera de sus funcionarios tiene o ha expresado una opinión con respecto a los sulfuros polimetálicos en la zona de exploración; no podrá incluirse una declaración en ese sentido en los prospectos, avisos, circulares, anuncios, comunicados de prensa o documentos similares que publique el Contratista, sus empresas afiliadas o sus subcontratistas y que se refieran directa o indirectamente al presente contrato. A los efectos de la presente cláusula, por “empresa afiliada” se entenderá cualquier persona, empresa o compañía o entidad estatal que tenga control sobre el Contratista, sea controlada por este o sea controlada junto con este por otra entidad.\n\nCláusula 19. Renuncia de derechos El Contratista, previa notificación a la Autoridad, estará facultado para renunciar a sus derechos y poner término al presente contrato sin sanción alguna, si bien no quedará exento del cumplimiento de todas las obligaciones contraídas antes de la fecha de la renuncia y de las que debe cumplir una vez terminado el contrato de conformidad con el reglamento.\n\nCláusula 20. Terminación del patrocinio\n\n20.1 El Contratista notificará prontamente a la Autoridad si cambia su nacionalidad o control o si el Estado que lo patrocina, tal como está definido en el reglamento, pone término a su patrocinio.\n\n20.2 En cualquiera de esos casos, y si el Contratista no obtuviere otro patrocinador que cumpla los requisitos fijados en el reglamento y que presente a la Autoridad un certificado de patrocinio en la forma y dentro del plazo estipulados en el reglamento, el presente contrato quedará resuelto de inmediato.\n\nCláusula 21. Suspensión y rescisión del contrato y sanciones\n\n21.1 El Consejo podrá suspender o rescindir el presente contrato, sin perjuicio de los demás derechos que pueda tener la Autoridad, de darse una de las siguientes circunstancias: a) Si, a pesar de las advertencias por escrito de la Autoridad, la forma en que el Contratista ha realizado sus actividades constituye un incumplimiento grave, persistente y doloso de las disposiciones fundamentales del presente contrato, la\n\nParte XI de la Convención, el Acuerdo o las normas, reglamentos y procedimientos de la Autoridad; o\n\nb) Si el Contratista no ha cumplido una decisión definitiva y obligatoria del órgano de solución de controversias que le sea aplicable; o c) Si el Contratista cae en insolvencia, comete un acto que entrañe la cesación de pagos, pacta un convenio con sus acreedores, queda sometido a liquidación o sindicatura voluntaria o forzada, pide a un tribunal que le sea nombrado un síndico o da comienzo a una actuación judicial relativa a sí mismo con arreglo a una ley sobre quiebras, insolvencia o ajuste de la deuda, esté o no en vigor en ese momento, para un fin distinto del de reorganizarse.\n\n21.2 El Consejo podrá, sin perjuicio de lo establecido en la cláusula 17, después de consultar con el Contratista, suspender o rescindir el presente contrato, sin perjuicio de los demás derechos que pueda tener la Autoridad, si el Contratista se ve imposibilitado de cumplir las obligaciones que le impone el presente contrato por razones de fuerza mayor, en los términos previstos en la cláusula 17.1, cuando la situación haya persistido por plazo ininterrumpido superior a dos años y a pesar de haber adoptado el Contratista todas las medidas razonables para remediar su incumplimiento y ajustarse a los términos y condiciones del presente contrato lo antes posible.\n\n21.3 La suspensión o rescisión se realizará por medio de una notificación, por intermedio del Secretario General, e incluirá una declaración acerca de los motivos que llevaron a tomar esa medida. La suspensión o rescisión entrará en vigor 60 días después de dicha notificación, a menos que el Contratista impugne el derecho de la Autoridad de suspender o rescindir este contrato de conformidad con la Parte XI, sección 5, de la Convención.\n\n21.4 Si el Contratista procede de esa manera, el presente contrato solo podrá ser suspendido o rescindido de conformidad con una decisión definitiva y con fuerza jurídica obligatoria adoptada de conformidad con la Parte XI, sección 5, de la Convención.\n\n21.5 El Consejo, en caso de que suspenda el presente contrato, podrá, previa notificación, exigir al Contratista que reanude sus operaciones y cumpla las cláusulas y las condiciones previstas en él a más tardar dentro de los 60 días siguientes a la fecha de la notificación.\n\n21.6 En caso de que se produzca un incumplimiento del contrato no previsto en la cláusula 21.1 a), o en lugar de la suspensión o rescisión con arreglo a esa disposición, el Consejo podrá imponer al Contratista sanciones pecuniarias proporcionales a la gravedad de la trasgresión.\n\n21.7 El Consejo no podrá ejecutar una decisión que implique sanciones pecuniarias hasta que el Contratista haya tenido oportunidad razonable de agotar los recursos judiciales de que dispone con arreglo a la Parte XI, sección 5, de la Convención.\n\n21.8 En caso de rescisión o expiración del presente contrato, el Contratista cumplirá el reglamento y sacará de la zona de exploración todas sus instalaciones, planta, equipo y materiales de manera de que esa zona no constituya un peligro para las personas, para el transporte marítimo ni para el medio marino.\n\nCláusula 22. Transferencia de derechos y obligaciones\n\n22.1 Los derechos y las obligaciones del Contratista en virtud del presente contrato podrán ser transferidos en todo o parte únicamente con el consentimiento de la Autoridad y con arreglo al reglamento.\n\n22.2 La Autoridad no negará sin causa bastante su consentimiento a la transferencia si el cesionario propuesto reúne todas las condiciones requeridas de un solicitante de conformidad con el reglamento y asume todas las obligaciones del Contratista y si la transferencia no confiere al cesionario un plan de trabajo cuya aprobación estaría prohibida por el anexo III, artículo 6, párrafo 3 c), de la Convención.\n\n22.3 Las cláusulas, las obligaciones y las condiciones del presente contrato se entenderán en beneficio de las partes en él y sus respectivos sucesores y cesionarios y serán obligatorias para ellos.\n\nCláusula 23. Exoneración El hecho de que una de las partes renuncie a los derechos que le correspondan por el incumplimiento por la otra parte de las cláusulas y condiciones del presente contrato no será interpretado en el sentido de que también la exonera de cualquier trasgresión ulterior de la misma cláusula o la misma condición o cualquier otra que haya de cumplir.\n\nCláusula 24. Revisión\n\n24.1 Cuando hayan surgido o sea probable que surjan circunstancias que, a juicio de la Autoridad o el Contratista, hagan inequitativo el presente contrato o hagan impracticable o imposible el logro de los objetivos previstos en él y en la Parte XI de la Convención o en el Acuerdo, las partes entablarán negociaciones para revisarlo en la forma correspondiente.\n\n24.2 El presente contrato podrá también ser revisado de común acuerdo entre el Contratista y la Autoridad para facilitar la aplicación de las normas, reglamentos y procedimientos que esta apruebe después de su entrada en vigor.\n\n24.3 El presente contrato podrá ser revisado, enmendado o modificado únicamente con el consentimiento del Contratista y la Autoridad y mediante instrumento en regla y firmado por los representantes autorizados de las partes.\n\nCláusula 25. Controversias\n\n25.1 Las controversias que surjan entre las partes acerca de la interpretación o aplicación del presente contrato se dirimirán con arreglo a lo dispuesto en la Parte XI, sección 5, de la Convención.\n\n25.2 De conformidad con el artículo 21, párrafo 2, del anexo III de la Convención, el fallo definitivo que dicte un tribunal competente con arreglo a la Convención en lo relativo a los derechos y obligaciones de la Autoridad y del Contratista será ejecutable en el territorio de cualquier Estado parte en la Convención afectado por él.\n\nCláusula 26. Notificación\n\n26.1 El Secretario General o el representante designado del Contratista, según el caso, harán por escrito todo pedido, solicitud, aviso, informe, autorización, aprobación, exención, directiva o instrucción en relación con el presente contrato. La notificación se hará en mano o por télex, facsímile, correo aéreo certificado o correo electrónico con firma electrónica autorizada al Secretario General en la sede de la Autoridad o al representante designado. La obligación de facilitar por escrito la información que establece el reglamento quedará satisfecha cuando se haga en un documento electrónico que contenga una firma digital.\n\n26.2 Cualquiera de las partes estará facultada para cambiar su domicilio por cualquier otro, previo aviso enviado a la otra parte con no menos de diez días de antelación.\n\n26.3 La notificación en mano surtirá efecto en el momento en que se haga. Se considerará que la notificación por télex surtirá efecto el día hábil siguiente a aquel en que aparezca en la máquina de télex del remitente la expresión “respuesta”. La notificación por facsímile surtirá efecto cuando quien lo envíe reciba el “informe de confirmación de la transmisión”, en el cual se confirme la transmisión al número de facsímile publicado por el receptor. La notificación por correo aéreo certificado se considerará hecha 21 días después del envío. Se entenderá que el destinatario de un documento electrónico lo ha recibido cuando dicho documento entre en un sistema de información diseñado o utilizado por el destinatario para recibir documentos del tipo enviado y pueda ser recuperado y procesado por él.\n\n26.4 La notificación al representante designado del Contratista servirá de notificación a este para todos los efectos en relación con el presente contrato y el representante designado representará al Contratista a los efectos de la notificación de la demanda o de otra diligencia ante un tribunal competente.\n\n26.5 La notificación al Secretario General servirá de notificación a la Autoridad para todos los efectos en relación con el presente contrato y el Secretario General representará a la Autoridad a los efectos de la notificación de la demanda o de otra diligencia ante cualquier tribunal competente.\n\nCláusula 27. Derecho aplicable\n\n27.1 El presente contrato se regirá por sus propias disposiciones, por las normas, los reglamentos y los procedimientos de la Autoridad, por la Parte XI de la Convención, por el Acuerdo y por las demás normas de derecho internacional que no sean incompatibles con la Convención.\n\n27.2 El Contratista, sus empleados, subcontratistas, agentes y todas las personas que trabajen para ellos o actúen en su nombre en la realización de operaciones en virtud del presente contrato cumplirán las normas aplicables a que se hace referencia en la cláusula 27.1 y no participarán directa o indirectamente en una transacción prohibida por esas normas.\n\n27.3 Ninguna de las disposiciones del presente contrato será interpretada en el sentido de que exima de la necesidad de solicitar y obtener los permisos o autorizaciones necesarios para realizar actividades en virtud de él.\n\nCláusula 28. Interpretación La división del contrato en cláusulas y párrafos y los epígrafes que figuran en él obedecen únicamente al propósito de facilitar la referencia y no afectarán a su interpretación.\n\nCláusula 29. Documentos adicionales Cada una de las partes en el presente contrato acepta otorgar y entregar los demás instrumentos y realizar o dar los demás actos o cosas que sean necesarios o convenientes para poner en vigor sus disposiciones.\n", "n_chars": 127893}
{"corpus_id": "isa/regulation/sulphides-2010-fr", "version_id": "2010-11-15", "title": "Règlement relatif à la prospection et à l’exploration des sulfures polymétalliques dans la Zone", "short_title": "Règlement ISA — exploration des sulfures polymétalliques (2010) [FR]", "jurisdiction": "international", "document_type": "isa_regulation", "official_citation": "ISBA/16/A/12/Rev.1, annexe — Règlement relatif à la prospection et à l’exploration des sulfures polymétalliques dans la Zone", "authentic_languages": ["ar", "zh", "en", "fr", "ru", "es"], "language": "fr", "adoption_date": "2010-05-07", "entry_into_force_date": null, "source_url": "https://isa.org.jm/wp-content/uploads/2022/04/isba-16a-12rev1_2.pdf", "source_publisher": "Autorité internationale des fonds marins (ISA)", "source_is_official": true, "authoritative_status": "authentic_text", "text_fidelity": "extracted_verified", "content_hash": "sha256:627a0c4cc438c5693acaca7992c3a3d564971d5297ab1b3762d7cc201e46a21d", "original_sha256": "sha256:2b6a292d2d45827a8a614315582067556b8877d8b25e93dd023c979da42dacba", "text_sha256": "sha256:627a0c4cc438c5693acaca7992c3a3d564971d5297ab1b3762d7cc201e46a21d", "license": "isa-materials-terms", "rights_note": "Texte authentique français ; document officiel, attribué à la source ; non re-licencié.", "provenance_note": "TEXTE AUTHENTIQUE FRANÇAIS — sibling under JC-006 (language-suffixed corpus_id; English base record is isa/regulation/sulphides-2010). Authentic in the six UN languages, all equally authoritative; the French text is stored here. Byte-exact official PDF (human download) stored as original.pdf (original_sha256 = the PDF hash); text extracted with pdftotext and cleaned by the committed scripts/extract.py, byte-exact reproducible; page furniture removed, no wording changed. This is an equally-authentic language version, NOT a translation of the English (translations, if any, live in the derived layer).", "text": "Règlement relatif à la prospection et à l’exploration des sulfures polymétalliques dans la Zone — ISBA/16/A/12/Rev.1, annexe [FR]\n\nRèglement relatif à la prospection et à l’exploration des sulfures polymétalliques dans la Zone\n\nPréambule Aux termes de la Convention des Nations Unies sur le droit de la mer (« la Convention »), les fonds marins et leur sous-sol au-delà des limites de la juridiction nationale ainsi que les ressources qu’ils recèlent sont le patrimoine commun de l’humanité, dont l’exploration et l’exploitation se feront dans l’intérêt de l’humanité tout entière, au nom de laquelle agit l’Autorité internationale des fonds marins. Le présent Règlement a pour objet d’organiser la prospection et l’exploration des sulfures polymétalliques.\n\nPartie I\n\nIntroduction\n\nArticle 1. Emploi des termes et champ d’application\n\n1. Les termes utilisés dans le présent Règlement s’entendent dans le sens qui leur est donné dans la Convention.\n\n2. Conformément à l’Accord relatif à l’application de la partie XI de la Convention des Nations Unies sur le droit de la mer du 10 décembre 1982 (« l’Accord »), les dispositions de l’Accord et la partie XI de la Convention doivent être interprétées et appliquées ensemble comme un seul et même instrument; le présent Règlement et les références à la Convention qui y sont faites doivent être interprétés et appliqués en conséquence.\n\n3. Aux fins du présent Règlement : a) On entend par « exploitation » la collecte à des fins commerciales de sulfures polymétalliques dans la Zone et l’extraction des minéraux qu’ils contiennent, notamment la construction et l’exploitation de systèmes d’extraction minière, de traitement et de transport pour la production et la vente de minéraux;\n\nb) On entend par « exploration » la recherche, faisant l’objet de droits exclusifs, de gisements de sulfures polymétalliques dans la Zone, l’analyse de ces gisements, l’utilisation et l’essai des procédés et du matériel d’extraction, des installations de traitement et des systèmes de transport, et l’établissement d’études des facteurs environnementaux, techniques, économiques, commerciaux et autres à prendre en considération dans l’exploitation; c) On entend par « milieu marin » les éléments et facteurs physiques, chimiques, géologiques et biologiques, entre autres, qui agissent les uns sur les autres et déterminent la productivité, l’état, la condition et la qualité de l’écosystème marin, les eaux des mers et des océans et l’espace aérien surjacent ainsi que les fonds marins et leur sous-sol;\n\nd) On entend par « sulfures polymétalliques » des gisements de minéraux sulfurés d’origine hydrothermale et les ressources minérales qui leur sont associées dans la Zone, qui contiennent des concentrations de métaux, notamment de cuivre, de plomb, de zinc, d’or et d’argent; e) On entend par « prospection » la recherche, sans droits exclusifs, de gisements de sulfures polymétalliques dans la Zone, notamment l’évaluation de la composition, de la taille et de la répartition des gisements de sulfures polymétalliques et de leur valeur économique; f) On entend par « dommage grave au milieu marin » tout effet sur le milieu marin d’activités menées dans la Zone se traduisant par une modification défavorable considérable du milieu marin déterminée conformément aux règles, règlements, procédures et directives adoptés par l’Autorité, sur la base des normes et des pratiques internationalement reconnues.\n\n4. Le présent Règlement n’affecte d’aucune façon ni la liberté de la recherche scientifique, conformément à l’article 87 de la Convention, ni le droit de faire de la recherche scientifique marine dans la Zone conformément aux articles 143 et 256 de la Convention. Aucune disposition du présent Règlement ne peut être interprétée comme restreignant l’exercice par les États de la liberté de la haute mer au sens de l’article 87 de la Convention.\n\n5. Le présent Règlement pourra être complété par d’autres règles, règlements et procédures, notamment en ce qui concerne la protection et la préservation du milieu marin. Il est assujetti à la Convention des Nations Unies sur le droit de la mer, à l’Accord relatif à l’application de la partie XI de ladite Convention et à toute autre norme de droit international qui n’est pas incompatible avec la Convention.\n\nPartie II. Prospection\n\nArticle 2. Prospection\n\n1. La prospection est réalisée conformément à la Convention et au présent Règlement et ne peut démarrer qu’après que le prospecteur a été informé par le Secrétaire général de l’enregistrement de sa notification conformément à l’article 4, paragraphe 2.\n\n2. Les prospecteurs et le Secrétaire général appliquent le principe de précaution posé par le principe 15 de la Déclaration de Rio1. Il ne doit pas être entrepris de prospection s’il y a de bonnes raisons de craindre un dommage grave au milieu marin.\n\n3. Il ne doit pas être entrepris de prospection dans une zone visée par un plan de travail relatif à l’exploration de sulfures polymétalliques approuvé ni dans un secteur réservé et il ne peut non plus en être entrepris dans une zone dont le Conseil a exclu la mise en exploitation en raison d’un risque de dommage grave au milieu marin. 1 Rapport de la Conférence des Nations Unies sur l’environnement et le développement, Rio de Janeiro, 3-14 juin 1992 (publication des Nations Unies, numéro de vente : F.91.1.8 et rectificatifs), vol. I : Résolutions adoptées par la Conférence, résolution 1, annexe 1.\n\n4. La prospection ne confère au prospecteur aucun droit sur les ressources. Le prospecteur peut toutefois extraire une quantité raisonnable de minéraux, à savoir la quantité nécessaire aux fins d’expérimentation et non à des fins commerciales.\n\n5. La prospection n’est pas limitée dans le temps; toutefois, il y est mis un terme lorsque le Secrétaire général notifie par écrit au prospecteur qu’un plan de travail relatif à l’exploration portant sur la zone prospectée a été approuvé.\n\n6. La prospection peut être réalisée simultanément par plusieurs prospecteurs dans la même zone ou les mêmes zones.\n\nArticle 3. Notification de prospection\n\n1. Le futur prospecteur doit notifier à l’Autorité son intention d’entreprendre des activités de prospection.\n\n2. Chaque notification de prospection est présentée dans les formes prescrites à l’annexe 1 du présent Règlement, est adressée au Secrétaire général et doit satisfaire aux conditions énoncées dans le présent Règlement.\n\n3. Chaque notification est présentée : a) Dans le cas d’un État, par l’autorité désignée à cet effet par ledit État; b) Dans le cas d’une entité, par les représentants désignés de celle-ci; c) Dans le cas de l’Entreprise, par l’autorité compétente de celle-ci.\n\n4. Chaque notification est présentée dans l’une des langues de l’Autorité et doit comporter : a) Le nom, la nationalité et l’adresse du futur prospecteur et de son représentant désigné;\n\nb) Les coordonnées de la ou des grandes zones devant être prospectées, conformément aux normes internationales généralement acceptées les plus récentes utilisées par l’Autorité; c) Une description générale du programme de prospection, notamment la date de démarrage prévue et la durée approximative du programme; d) Un engagement écrit satisfaisant du futur prospecteur indiquant : i) Qu’il respectera la Convention et les règles, règlements et procédures de l’Autorité concernant : a. La coopération aux programmes de formation en matière de recherche scientifique marine et de transfert des techniques visés aux articles 143 et 144 de la Convention; et b. La protection et la préservation du milieu marin; ii) Qu’il acceptera la vérification par l’Autorité du respect dudit engagement; et iii) Qu’il mettra à la disposition de l’Autorité, dans la mesure du possible, les données pouvant être utiles à la protection et à la préservation du milieu marin.\n\nArticle 4. Examen des notifications\n\n1. Le Secrétaire général accuse par écrit réception de chaque notification donnée en vertu de l’article 3, en spécifiant la date de réception.\n\n2. Le Secrétaire général examine la notification dans un délai de 45 jours à compter de sa réception. Si la notification satisfait aux conditions de la Convention et du présent Règlement, il inscrit les renseignements qu’elle contient dans le registre tenu à cet effet et informe par écrit le prospecteur que la notification a été dûment enregistrée.\n\n3. Le Secrétaire général fait savoir par écrit au futur prospecteur, dans un délai de 45 jours à compter de la réception de la notification, si celle-ci porte sur une partie d’une zone visée par un plan de travail approuvé relatif à l’exploration ou à l’exploitation de l’une quelconque des catégories de ressources, ou sur une partie quelconque d’un secteur réservé, ou sur toute partie d’une zone dont le Conseil a exclu la mise en exploitation en raison d’un risque de dommage grave au milieu marin, ou si l’engagement écrit n’est pas satisfaisant, et en fait connaître les raisons par écrit au futur prospecteur. Ce dernier peut alors modifier sa notification dans un délai de 90 jours. Le Secrétaire général examine à nouveau la notification et statue sur elle dans un délai de 45 jours.\n\n4. Le prospecteur informe le Secrétaire général par écrit de toute modification des informations figurant dans la notification.\n\n5. Le Secrétaire général s’abstient de divulguer les informations contenues dans la notification, si ce n’est avec le consentement écrit du prospecteur. Toutefois, il informe de temps à autre tous les membres de l’Autorité de l’identité des prospecteurs et des zones prospectées.\n\nArticle 5. Protection et préservation du milieu marin pendant la prospection\n\n1. Chaque prospecteur prend les mesures nécessaires pour prévenir, réduire et maîtriser autant que raisonnablement possible la pollution du milieu marin et les autres risques découlant de la prospection, en appliquant le principe de précaution ainsi que les meilleures pratiques écologiques. En particulier, chaque prospecteur réduit au minimum ou élimine : a) Les effets néfastes de la prospection sur l’environnement; et\n\nb) Les conflits effectifs ou potentiels avec des activités de recherche scientifique marine déjà engagées ou prévues, ou la perturbation de ces activités, conformément aux futures directives pertinentes.\n\n2. Les prospecteurs coopèrent avec l’Autorité à la mise en place et à l’exécution de programmes de surveillance et d’évaluation des effets potentiels sur le milieu marin de l’exploration et de l’exploitation de sulfures polymétalliques.\n\n3. Le prospecteur notifie immédiatement par écrit au Secrétaire général, en utilisant les recours aux moyens les plus efficaces, tout incident résultant de la prospection qui a causé, qui cause ou qui menace de causer un dommage grave au milieu marin. Dès réception d’une telle notification, le Secrétaire général agit conformément à l’article 35.\n\nArticle 6. Rapport annuel\n\n1. Le prospecteur doit présenter à l’Autorité, dans les 90 jours qui suivent la fin de l’année civile, un rapport sur l’état d’avancement de la prospection. Ces rapports sont soumis à la Commission juridique et technique par le Secrétaire général. Chaque rapport doit comporter : a) Une description générale de l’état d’avancement de la prospection et des résultats obtenus;\n\nb) Des informations sur la façon dont le prospecteur remplit l’engagement visé à l’article 3, paragraphe 4 d); et c) Des informations sur la façon dont le prospecteur se conforme aux futures directives pertinentes à cet égard.\n\n2. S’il entend inclure les dépenses de prospection dans les dépenses de mise en valeur encourues avant le démarrage de la production commerciale, le prospecteur soumet un état annuel, établi conformément aux principes comptables internationalement reconnus et certifié par un cabinet d’experts comptables dûment agréé, des dépenses directes et effectives qu’il a encourues dans le cadre de la prospection.\n\nArticle 7. Confidentialité des données et informations contenues dans le rapport annuel\n\n1. Le Secrétaire général garantit la confidentialité de toutes les données et informations figurant dans les rapports soumis en vertu de l’article 6, en appliquant mutatis mutandis les dispositions des articles 38 et 39, étant entendu que les données et informations relatives à la protection et la préservation du milieu marin, en particulier celles qui émanent de programmes de surveillance de l’environnement, ne sont pas considérées comme confidentielles. Le prospecteur peut demander que ces données ne soient pas divulguées pendant un délai pouvant aller jusqu’à trois ans à compter de la date où le rapport les contenant a été soumis.\n\n2. Le Secrétaire général peut, à tout moment, avec le consentement du prospecteur concerné, divulguer les données et informations concernant la prospection dans la zone pour laquelle il a reçu une notification. Si après avoir fait pendant au moins deux ans tous les efforts raisonnablement possibles pour communiquer avec le prospecteur, le Secrétaire général constate que celui-ci n’existe plus ou ne peut être localisé, il peut divulguer ces données et informations.\n\nArticle 8. Objets ayant un caractère archéologique ou historique Le prospecteur notifie immédiatement par écrit au Secrétaire général toute découverte dans la Zone d’objets ayant ou susceptibles d’avoir un caractère archéologique ou historique et leur emplacement. Le Secrétaire général en avise le Directeur général de l’Organisation des Nations Unies pour l’éducation, la science et la culture.\n\nPartie III. Demandes d’approbation de plans de travail relatifs à l’exploration revêtant la forme de contrats\n\nSection 1. Dispositions générales\n\nArticle 9. Dispositions générales Sous réserve des dispositions de la Convention, les entités ci-après peuvent présenter à l’Autorité des demandes d’approbation de plans de travail relatifs à l’exploration : a) L’Entreprise, en son nom propre, ou dans le cadre d’un accord de coentreprise;\n\nb) Les États Parties, les entreprises d’État ou les personnes physiques ou morales possédant la nationalité d’États Parties ou effectivement contrôlées par eux ou leurs ressortissants, lorsqu’elles sont patronnées par ces États, ou tout groupe des catégories précitées qui satisfait aux conditions stipulées dans le présent Règlement.\n\nSection 2. Teneur des demandes\n\nArticle 10. Forme des demandes\n\n1. Toute demande d’approbation d’un plan de travail relatif à l’exploration est présentée dans les formes prescrites à l’annexe 2 du présent Règlement, est adressée au Secrétaire général et doit satisfaire aux conditions énoncées dans le présent Règlement.\n\n2. Toute demande est présentée : a) Lorsqu’elle émane d’un État Partie, par l’autorité désignée à cet effet par ledit État;\n\nb) Lorsqu’elle émane d’une entité, par le représentant désigné par celle-ci ou l’autorité désignée à cet effet par l’État ou les États patronnant la demande; et c) Lorsqu’elle émane de l’Entreprise, par l’autorité compétente de celle-ci.\n\n3. Toute demande émanant d’une entreprise d’État ou de l’une des entités visées à l’article 9, alinéa b), doit comporter également : a) Des renseignements permettant de déterminer la nationalité du demandeur ou l’identité de l’État ou des États, ou de leurs ressortissants, qui contrôlent effectivement le demandeur; et\n\nb) L’établissement principal ou le domicile et, le cas échéant, le lieu d’immatriculation du demandeur.\n\n4. Toute demande émanant d’une association ou d’un consortium d’entités doit comporter les renseignements requis concernant chaque membre de l’association ou du consortium.\n\nArticle 11. Certificat de patronage\n\n1. Toute demande émanant d’une entreprise d’État ou de l’une des entités visées à l’article 9, alinéa b), doit être accompagnée d’un certificat de patronage délivré par l’État dont le demandeur est ressortissant ou par lequel ou les ressortissants duquel il est effectivement contrôlé. Si le demandeur a plus d’une nationalité, ce qui est le cas d’une association ou d’un consortium d’entités relevant de plusieurs États, chacun de ces États délivre un certificat de patronage.\n\n2. Si le demandeur a la nationalité d’un État mais est effectivement contrôlé par un autre État ou par ses ressortissants, chacun de ces États délivre un certificat de patronage.\n\n3. Tout certificat de patronage doit être dûment signé au nom de l’État qui le présente et doit comporter les éléments ci-après : a) Le nom du demandeur; b) Le nom de l’État patronnant la demande; c) Une attestation indiquant que le demandeur est : i) Ressortissant de l’État patronnant la demande; ou ii) Sous le contrôle effectif de l’État patronnant la demande ou de ses ressortissants; d) Une déclaration indiquant que l’État patronne le demandeur; e) La date du dépôt de son instrument de ratification de la Convention, ou d’adhésion ou de succession à celle-ci, par l’État patronnant la demande; f) Une déclaration indiquant que l’État patronnant la demande assume les responsabilités prévues à l’article 139, à l’article 153, paragraphe 4, et à l’annexe III, article 4, paragraphe 4, de la Convention.\n\n4. Les États ou entités ayant passé un accord de coentreprise avec l’Entreprise sont également tenus de se conformer aux dispositions du présent article.\n\nArticle 12. Zone visée par la demande\n\n1. Aux fins du présent Règlement, on entend par « bloc de sulfures polymétalliques » une maille d’une grille définie par l’Autorité, d’environ 10 kilomètres sur 10 kilomètres et d’une superficie de 100 kilomètres carrés au maximum.\n\n2. La zone visée par chaque demande d’approbation d’un plan de travail relatif à l’exploration des sulfures polymétalliques comprend 100 blocs de sulfures polymétalliques au maximum, qui sont répartis par le demandeur en au moins cinq grappes comme indiqué au paragraphe 3 ci-après.\n\n3. Chaque grappe de blocs de sulfures polymétalliques comprend au moins cinq blocs contigus. Deux blocs qui se touchent en un point quelconque sont considérés comme contigus. Les grappes de blocs de sulfures polymétalliques ne doivent pas nécessairement être contiguës, mais elles doivent être proches les unes des autres et situées à l’intérieur d’une zone rectangulaire dont la superficie ne dépasse pas 300 000 kilomètres carrés et dont le côté le plus long ne dépasse pas 1 000 kilomètres.\n\n4. Nonobstant les dispositions du paragraphe 2 ci-dessus, lorsque le demandeur a choisi de remettre un secteur réservé pour les activités devant être menées au titre de l’annexe III, article 9 de la Convention, conformément à l’article 17 du présent Règlement, la superficie totale de la zone visée par sa demande est limitée à 200 blocs de sulfures polymétalliques. Ces blocs sont répartis en deux groupes de même valeur commerciale estimative, et chacun de ces deux groupes de blocs de sulfures polymétalliques est réparti en grappes par le demandeur comme indiqué au paragraphe 3 ci-dessus.\n\nArticle 13. Capacité financière et technique\n\n1. Toute demande d’approbation d’un plan de travail relatif à l’exploration doit comporter des informations précises et suffisantes pour permettre au Conseil de s’assurer que le demandeur est financièrement et techniquement capable d’exécuter le plan de travail proposé et de s’acquitter de ses obligations financières vis-à-vis de l’Autorité.\n\n2. Toute demande d’approbation d’un plan de travail relatif à l’exploration émanant de l’Entreprise doit être accompagnée d’une déclaration de l’autorité compétente de celle-ci certifiant que l’Entreprise a les ressources financières nécessaires pour couvrir le coût estimatif du plan de travail proposé.\n\n3. Toute demande d’approbation d’un plan de travail relatif à l’exploration émanant d’un État ou d’une entreprise d’État doit être accompagnée d’une déclaration par laquelle ledit État ou l’État patronnant la demande certifie que le demandeur dispose des ressources financières nécessaires pour couvrir le coût estimatif du plan de travail proposé.\n\n4. Toute demande d’approbation d’un plan de travail relatif à l’exploration émanant d’une entité doit être accompagnée de copies des états financiers vérifiés de l’entité, y compris les bilans et les comptes de profits et pertes correspondant aux trois années précédentes, établis conformément aux principes comptables internationalement reconnus et certifiés par un cabinet d’experts comptables dûment agréé; et a) Si le demandeur est une entité nouvellement créée et qu’un bilan vérifié n’est pas disponible, d’un bilan pro forma certifié par un représentant compétent du demandeur;\n\nb) Si le demandeur est une filiale d’une autre entité, de copies de ces mêmes états financiers concernant cette entité et d’une déclaration de cette entité, établie conformément aux principes comptables internationalement reconnus et certifiée par un cabinet d’experts comptables dûment agréé, attestant que le demandeur disposera des ressources financières nécessaires pour exécuter le plan de travail relatif à l’exploration; c) Si le demandeur est placé sous le contrôle d’un État ou d’une entreprise d’État, d’une déclaration de l’État ou de l’entreprise d’État attestant que le demandeur disposera des ressources financières nécessaires pour exécuter le plan de travail proposé.\n\n5. Si un demandeur visé au paragraphe 4 a l’intention de financer le plan de travail proposé grâce à des emprunts, sa demande doit comporter une déclaration indiquant le montant, l’échéancier et le taux d’intérêt de ces emprunts.\n\n6. Toute demande doit comprendre : a) Une description générale de l’expérience, des connaissances, des compétences et du savoir-faire techniques utiles pour l’exécution du plan de travail proposé acquis antérieurement par le demandeur;\n\nb) Une description générale du matériel et des méthodes qu’il est prévu d’utiliser pour exécuter le plan de travail proposé et d’autres informations utiles, qui ne sont pas propriété industrielle, portant sur les caractéristiques des techniques envisagées; et c) Une description générale de la capacité financière et technique dont dispose le demandeur pour faire face à tout incident ou activité causant un dommage grave au milieu marin.\n\n7. Si le demandeur est une association ou un consortium d’entités liées entre elles par un accord de coentreprise, chaque membre de l’association ou du consortium doit fournir les renseignements exigés dans le présent article.\n\nArticle 14. Précédents contrats avec l’Autorité Si le demandeur ou, lorsque la demande émane d’une association ou d’un consortium d’entités liées entre elles par un accord de coentreprise, si un membre de l’association ou du consortium a précédemment obtenu un contrat de l’Autorité, sont indiqués dans la demande : a) La date du contrat ou des contrats précédents;\n\nb) La date, le numéro de référence et le titre de tout rapport relatif au(x) contrat(s) soumis à l’Autorité; et c) La date de résiliation du contrat ou des contrats, le cas échéant.\n\nArticle 15. Engagements Dans sa demande d’approbation d’un plan de travail relatif à l’exploration, tout demandeur, y compris l’Entreprise, s’engage par écrit vis-à-vis de l’Autorité à : a) Accepter comme exécutoires et respecter les obligations qui lui incombent en vertu de la Convention et des règles, règlements et procédures de l’Autorité, des décisions des organes de l’Autorité et des clauses des contrats qu’il a conclus avec celle-ci;\n\nb) Accepter que l’Autorité exerce sur les activités menées dans la Zone le contrôle autorisé par la Convention; et c) Fournir à l’Autorité l’assurance écrite qu’il s’acquittera de bonne foi des obligations qui lui incombent en vertu du contrat.\n\nArticle 16. Choix du demandeur entre la remise d’un secteur réservé ou une offre de participation à une entreprise conjointe Dans sa demande, le demandeur choisit entre les options suivantes : a) Remettre un secteur réservé pour les activités devant être menées au titre de l’annexe III, article 9, de la Convention, conformément à l’article 17 du présent Règlement; ou\n\nb) Offrir une participation au capital conformément à l’article 19 du présent Règlement. d’une entreprise conjointe\n\nArticle 17. Données et informations à fournir avant la désignation d’un secteur réservé\n\n1. Lorsque le demandeur choisit de remettre un secteur réservé pour les activités devant être menées au titre de l’annexe III, article 9 de la Convention, la zone couverte par sa demande doit être suffisamment étendue et avoir une valeur commerciale estimative suffisante pour permettre deux opérations d’extraction minière et est configurée par le demandeur conformément au paragraphe 4 de l’article 12.\n\n2. Une telle demande doit contenir suffisamment de données et informations prescrites à l’annexe 2, section II, du présent Règlement relatives à la zone qu’elle couvre pour permettre au Conseil de désigner, sur la recommandation de la Commission juridique et technique, un secteur réservé en se fondant sur la valeur commerciale estimative de chaque partie. Ces données et informations sont celles dont dispose le demandeur sur les deux parties de la zone couverte par la demande, notamment les données utilisées pour déterminer la valeur commerciale de celles-ci.\n\n3. Le Conseil, se fondant sur les données et informations fournies par le demandeur conformément à l’annexe 2, section II, du présent Règlement, s’il les juge satisfaisantes, et compte tenu de la recommandation de la Commission juridique et technique, désigne la partie de la zone couverte par la demande qui sera réservée. La partie ainsi désignée devient le secteur réservé dès que le plan de travail relatif à l’exploration du secteur non réservé est approuvé et le contrat signé. Si le Conseil estime devoir disposer d’informations supplémentaires, en conformité avec le présent Règlement et l’annexe 2, pour désigner le secteur réservé, il renvoie la question à la Commission pour qu’elle la réexamine, en indiquant les informations supplémentaires requises.\n\n4. Une fois le plan de travail relatif à l’exploration approuvé et un contrat passé, les informations fournies à l’Autorité par le demandeur au sujet du secteur réservé peuvent être communiquées par celle-ci conformément à l’annexe III, article 14, paragraphe 3, de la Convention.\n\nArticle 18. Demandes d’approbation de plans de travail concernant un secteur réservé\n\n1. Tout État en développement ou toute personne physique ou morale patronnée par lui et effectivement contrôlée par lui ou par un autre État en développement, ou tout groupe des catégories précitées, peut notifier à l’Autorité son désir de soumettre un plan de travail relatif à l’exploration d’un secteur réservé. Le Secrétaire général transmet ladite notification à l’Entreprise qui, dans les six mois, fait savoir par écrit au Secrétaire général si elle a l’intention ou non de mener des activités dans le secteur; si elle a l’intention de mener des activités dans le secteur, elle en informe aussi par écrit, en application du paragraphe 4, le contractant dont la demande d’approbation d’un plan de travail relatif à l’exploration couvrait initialement ce secteur.\n\n2. Toute demande d’approbation d’un plan de travail relatif à l’exploration d’un secteur réservé peut être présentée à tout moment après qu’un tel secteur devient disponible à la suite d’une décision de l’Entreprise de ne pas y mener d’activités ou lorsque l’Entreprise, dans les six mois de la notification par le Secrétaire général, n’a ni décidé si elle entend mener des activités dans le secteur ni notifié par écrit au Secrétaire général qu’elle est en pourparlers au sujet d’une entreprise conjointe potentielle. Dans ce dernier cas, l’Entreprise dispose d’un an à compter de la date de la notification pour décider si elle entend mener des activités dans le secteur.\n\n3. Lorsque ni l’Entreprise ni aucun État en développement ou aucune des entités visées au paragraphe 1 ne présente une demande d’approbation d’un plan de travail relatif à l’exploration d’un secteur réservé dans un délai de 15 ans après que l’Entreprise a commencé d’exercer ses fonctions indépendamment du Secrétariat de l’Autorité ou dans un délai de 15 ans à compter de la date à laquelle ledit secteur a été réservé à l’Autorité, si cette date est postérieure, le contractant dont la demande d’approbation d’un plan de travail relatif à l’exploration couvrait initialement ce secteur a le droit de présenter une demande d’approbation d’un plan de travail relatif à l’exploration de celui-ci, à charge pour lui d’offrir de bonne foi d’associer l’Entreprise à ses activités dans le cadre d’une entreprise conjointe.\n\n4. Le contractant a un droit de priorité pour conclure avec l’Entreprise un accord d’entreprise conjointe en vue de l’exploration du secteur compris dans sa demande d’approbation d’un plan de travail relatif à l’exploration et désigné par le Conseil comme secteur réservé.\n\nArticle 19. Participation à une entreprise conjointe\n\n1. Un demandeur qui opte pour une offre de participation au capital d’une entreprise conjointe doit soumettre les données et informations spécifiées à l’article 20 du présent Règlement. Le secteur devant lui être attribué sera régi par les dispositions de l’article 27 ci-dessous.\n\n2. L’accord d’entreprise conjointe, qui prend effet au moment où le demandeur conclut un contrat d’exploitation, doit comporter les éléments ci-après : a) L’Entreprise obtiendra au minimum une participation de 20 % du capital de l’entreprise conjointe dans les conditions suivantes : i) La moitié de cette participation sera obtenue sans aucun paiement, direct ou indirect, au demandeur et sera traitée à toutes fins sur un pied d’égalité avec la participation de celui-ci; ii) Le reste de la participation sera traité à toutes fins sur un pied d’égalité avec la participation du demandeur, si ce n’est que l’Entreprise ne touchera aucun dividende pour cette partie de sa participation tant que le demandeur n’aura pas recouvré la totalité de son apport au capital de l’entreprise conjointe;\n\nb) Nonobstant l’alinéa a) ci-dessus, le demandeur offrira à l’Entreprise la possibilité d’acquérir une nouvelle tranche de 30 % du capital de l’entreprise conjointe ou toute nouvelle tranche d’un montant inférieur à 30 % du capital qu’elle souhaiterait acquérir, à toutes fins sur un pied d’égalité avec le demandeur2; c) Sauf disposition expresse de l’accord entre le demandeur et l’Entreprise, le fait que celle-ci participe au capital de l’entreprise conjointe ne lui impose aucunement l’obligation de fournir des fonds ou des crédits, de se porter garante ou d’accepter aucune autre obligation financière pour l’entreprise conjointe ou en son nom, ni de souscrire des parts supplémentaires du capital de cette entreprise pour conserver le même pourcentage de ce capital.\n\nArticle 20. Données et informations à fournir pour l’approbation du plan de travail relatif à l’exploration\n\n1. Tout demandeur soumet, en vue d’obtenir l’approbation de son plan de travail relatif à l’exploration sous la forme d’un contrat, les informations suivantes : a) La description générale et le calendrier du programme d’exploration proposé, y compris le programme d’activités pour les cinq années à venir, telles que les études à réaliser concernant les facteurs écologiques, techniques, économiques et autres facteurs appropriés à prendre en compte pour l’exploration;\n\nb) La description du programme d’études océanographiques et écologiques prescrite par le présent Règlement et les règles, règlements et procédures d’ordre environnemental établis par l’Autorité, qui permettraient d’évaluer l’impact environnemental potentiel – y compris, sans y être limité, l’impact sur la diversité biologique – des activités d’exploration proposées, compte tenu de toutes recommandations formulées par la Commission juridique et technique; c) L’évaluation préliminaire de l’impact que les activités d’exploration proposées sont susceptibles d’avoir sur le milieu marin; 2 Il y aura lieu d’élaborer plus avant les conditions à prévoir pour l’obtention d’une telle participation au capital.\n\nd) La description des mesures proposées pour la prévention, la réduction et la maîtrise de la pollution et autres risques ainsi que de l’impact possible sur le milieu marin; e) Les données nécessaires pour permettre au Conseil de procéder aux vérifications visées à l’article 13, paragraphe 1; et f) Le calendrier des dépenses annuelles prévues pour le programme d’activités des cinq premières années.\n\n2. Lorsque le demandeur choisit de remettre un secteur réservé, il communique à l’Autorité les données et informations relatives à ce secteur une fois que le Conseil a désigné ce secteur conformément à l’article 17, paragraphe 3.\n\n3. Lorsque le demandeur choisit d’offrir une participation au capital d’une entreprise conjointe, il communique à l’Autorité les données et informations relatives au secteur considéré au moment où il fait son choix.\n\nSection 3. Droits\n\nArticle 21. Droits afférents aux demandes\n\n1. Le droit à acquitter pour l’étude des demandes d’approbation d’un plan de travail relatif à l’exploration de sulfures polymétalliques est : a) Un droit fixe de 500 000 dollars des États-Unis, ou l’équivalent dans une monnaie librement convertible, payable par le demandeur au moment où il présente sa demande; ou\n\nb) Au choix du demandeur, un droit fixe de 50 000 dollars des États-Unis, ou l’équivalent dans une monnaie librement convertible, payable par le demandeur au moment où il présente sa demande, et un droit annuel calculé comme indiqué au paragraphe 2.\n\n2. Le droit annuel est calculé comme suit : a) 5 dollars des États-Unis, multipliés par le facteur superficie, à compter du premier anniversaire du contrat;\n\nb) 10 dollars des États-Unis, multipliés par le facteur superficie, à compter de la date de la première restitution effectuée conformément au paragraphe 2 de l’article 27; et c) 20 dollars des États-Unis, multipliés par le facteur superficie, à compter de la date de la deuxième restitution effectuée conformément au paragraphe 3 de l’article 27.\n\n3. On entend par « facteur superficie » le nombre de kilomètres carrés compris dans la zone d’exploration à la date à laquelle le versement périodique en question arrive à échéance.\n\n4. Lorsque le Secrétaire général signale que les droits acquittés sont insuffisants pour couvrir les dépenses d’administration engagées par l’Autorité pour traiter une demande, le Conseil revoit le montant des droits fixé à l’alinéa a) du paragraphe 1 du présent article.\n\n5. Si les dépenses d’administration engagées par l’Autorité pour traiter une demande sont inférieures au montant fixé, l’Autorité rembourse la différence au demandeur.\n\nSection 4. Traitement des demandes\n\nArticle 22. Réception, accusé de réception et garde des demandes Le Secrétaire général : a) Accuse réception par écrit, dans les 30 jours de sa réception, toute demande d’approbation d’un plan de travail relatif à l’exploration soumis conformément à la présente Partie, en spécifiant la date de la réception;\n\nb) Dépose la demande avec ses pièces jointes et annexes en lieu sûr et veille à ce que la confidentialité de toutes les données et informations confidentielles fournies dans la demande soit protégée; et c) Avise les membres de l’Autorité de la réception de la demande et leur communique les renseignements non confidentiels d’ordre général y relatifs.\n\nArticle 23. Examen des demandes par la Commission juridique et technique\n\n1. Dès réception d’une demande d’approbation d’un plan de travail relatif à l’exploration, le Secrétaire général en avise les membres de la Commission juridique et technique et en inscrit l’examen à l’ordre du jour de la réunion suivante de la Commission. La Commission n’examine que les demandes dont le Secrétaire général l’a avisée et au sujet desquelles il lui a communiqué des renseignements, conformément à l’alinéa c) de l’article 22, au moins 30 jours avant le début de la réunion au cours de laquelle elles doivent être examinées.\n\n2. La Commission examine les demandes dans l’ordre de leur réception.\n\n3. La Commission s’assure que le demandeur : a) S’est conformé aux dispositions du présent Règlement; b) A pris les engagements et donné les assurances visés à l’article 15; c) Dispose de la capacité financière et technique nécessaire pour exécuter le plan de travail relatif à l’exploration proposé et lui a communiqué des informations détaillées attestant sa capacité à exécuter rapidement des ordres émis en cas d’urgence; et\n\nd) S’est dûment acquitté des obligations qui lui incombaient en vertu de tout contrat conclu antérieurement avec l’Autorité.\n\n4. Conformément aux dispositions du Règlement et à ses procédures, la Commission détermine si le plan de travail relatif à l’exploration proposé : a) Assure une protection effective de la santé et de la sécurité des êtres humains;\n\nb) Assure une protection et une préservation effectives du milieu marin, y compris mais sans s’y limiter, du point de vue de son impact sur la diversité biologique; c) Apporte la garantie que des installations ne seront pas mises en place là où elles risqueraient d’entraver l’utilisation de voies de circulation reconnues essentielles à la navigation internationale ni dans des zones où se pratique une pêche intensive.\n\n5. Si elle conclut que les conditions énoncées au paragraphe 3 sont remplies et que le plan de travail relatif à l’exploration proposé satisfait à celles posées au paragraphe 4, la Commission recommande au Conseil d’approuver le plan de travail relatif à l’exploration.\n\n6. La Commission ne recommande pas l’approbation du plan de travail relatif à l’exploration si une partie ou la totalité de la zone visée par le plan proposé est comprise : a) Dans un plan de travail relatif à l’exploration de sulfures polymétalliques approuvé par le Conseil;\n\nb) Dans un plan de travail relatif à l’exploration ou l’exploitation d’autres ressources approuvé par le Conseil, si le plan de travail proposé pour l’exploration de sulfures polymétalliques risque d’entraver indûment les activités menées dans le cadre du plan approuvé pour d’autres ressources; ou c) Dans une zone dont le Conseil a exclu l’exploitation parce que des éléments substantiels attestent qu’il existe un risque de causer un dommage grave au milieu marin.\n\n7. La Commission juridique et technique peut recommander l’approbation d’un plan de travail si elle estime que cette approbation n’autorisera pas un État partie ou d’autres entités parrainées par lui à exercer un monopole sur la conduite d’activités en rapport avec des sulfures polymétalliques dans la Zone ou à empêcher d’autres États parties de se livrer à des activités du même type dans la Zone.\n\n8. Sauf dans le cas de demandes présentées par l’Entreprise en son nom propre ou au nom d’une entreprise conjointe et de demandes relevant de l’article 18, la Commission ne recommande pas l’approbation du plan de travail relatif à l’exploration proposé si une partie ou la totalité de la zone sur laquelle il porte est comprise dans un secteur réservé ou un secteur désigné par le Conseil comme devant être réservé.\n\n9. Si elle conclut qu’une demande n’est pas conforme au présent Règlement, la Commission adresse au demandeur, par l’intermédiaire du Secrétaire général, une notification écrite motivée. Le demandeur peut modifier sa demande dans un délai de 45 jours à compter de ladite notification. Si la Commission estime, après examen de la demande modifiée, qu’elle ne doit pas recommander l’approbation du plan de travail relatif à l’exploration, elle en informe le demandeur, lequel dispose alors d’un délai de 30 jours pour présenter des observations. La Commission tient compte de ces observations dans son rapport et sa recommandation au Conseil.\n\n10. Lorsqu’elle examine un plan de travail relatif à l’exploration, la Commission tient compte des principes, politiques et objectifs concernant les activités menées dans la Zone énoncés dans la partie XI et l’annexe III de la Convention et dans l’Accord.\n\n11. La Commission examine les demandes avec diligence et soumet dès que possible, compte tenu du calendrier des réunions de l’Autorité, au Conseil son rapport et ses recommandations concernant la désignation des secteurs et le plan de travail relatif à l’exploration.\n\n12. Dans l’exercice de ses attributions, la Commission applique le présent Règlement et les règles, règlements et procédures de l’Autorité de façon uniforme et non discriminatoire.\n\nArticle 24. Examen et approbation par le Conseil des plans de travail relatifs à l’exploration Le Conseil examine les rapports et recommandations de la Commission concernant l’approbation des plans de travail relatifs à l’exploration, conformément aux paragraphes 11 et 12 de la section 3 de l’annexe de l’Accord.\n\nPartie IV. Contrats relatifs à l’exploration\n\nArticle 25. Le contrat\n\n1. Une fois approuvé par le Conseil, le plan de travail relatif à l’exploration est consigné dans un contrat conclu entre l’Autorité et le demandeur conformément à l’annexe 3 du présent Règlement. Chaque contrat doit contenir les clauses types énoncées à l’annexe 4, en vigueur à la date de prise d’effet du contrat.\n\n2. Le contrat est signé par le Secrétaire général agissant au nom de l’Autorité et par le demandeur. Le Secrétaire général avise par écrit tous les membres de l’Autorité de la conclusion de chaque contrat.\n\nArticle 26. Droits du contractant\n\n1. Le contractant a le droit exclusif d’explorer le secteur visé par le plan de travail relatif à l’exploration de sulfures polymétalliques. L’Autorité garantit qu’aucune autre entité n’exerce dans le même secteur des activités portant sur d’autres ressources d’une façon qui puisse gêner les activités du contractant.\n\n2. Un contractant qui a fait approuver un plan de travail portant uniquement sur l’exploration a préférence et priorité sur les demandeurs qui soumettent un plan de travail portant sur l’exploitation du même secteur et des mêmes ressources. Cette préférence et ce rang de priorité peuvent toutefois lui être retirés par le Conseil s’il ne s’est pas conformé aux stipulations du plan de travail relatif à l’exploration approuvé dans le délai fixé dans la ou les notifications que le Conseil lui a adressées par écrit pour lui signaler les stipulations non respectées. Le délai prescrit dans une telle notification ne doit pas être déraisonnable. La possibilité raisonnable de faire valoir ses arguments est donnée au contractant avant que la décision de retirer à celui-ci la préférence ou le rang de priorité ne devienne définitive. Le Conseil motive sa décision de retrait et examine toute réponse du contractant. La décision du Conseil tient compte de cette réponse et est fondée sur des preuves suffisantes.\n\n3. Le retrait d’une préférence ou d’un rang de priorité ne peut devenir effectif tant que le contractant n’a pas eu raisonnablement la possibilité d’épuiser les recours judiciaires dont il dispose conformément à la section 5 de la partie XI de la Convention.\n\nArticle 27. Superficie du secteur et restitution\n\n1. Le contractant restitue conformément au paragraphe 2 du présent article le secteur qui lui a été attribué. Les zones à restituer ne sont pas nécessairement contiguës et sont délimitées par le contractant sous forme de sous-blocs comprenant une ou plusieurs mailles d’une grille définie par l’Autorité.\n\n2. La superficie totale du secteur attribué au contractant en vertu du contrat ne peut dépasser 10 000 kilomètres carrés. Le contractant restitue des parties de la zone qui lui a été attribuée, selon le calendrier suivant : a) À la fin de la huitième année suivant la date du contrat, le contractant doit avoir restitué 50 % au moins du secteur initial qui lui a été attribué;\n\nb) À la fin de la dixième année suivant la date du contrat, le contractant doit avoir restitué 75 % au moins du secteur initial qui lui a été attribué; ou\n\n3. Avant les dates prévues dans le calendrier défini au paragraphe 2, le contractant peut à tout moment restituer des parties du secteur qui lui a été attribué, à condition qu’il ne soit pas tenu de restituer d’autres parties de ce secteur lorsque la superficie de la partie restant après la restitution ne dépasse pas 2 500 kilomètres carrés.\n\n4. Les secteurs restitués retournent à la Zone.\n\n5. À la fin de la quinzième année suivant la date du contrat, ou à la date à laquelle il présente une demande de droit d’exploitation, si cette date est antérieure, le contractant désigne dans le secteur restant qui lui a été attribué un secteur qu’il conservera aux fins d’exploitation.\n\n6. Dans des circonstances exceptionnelles, le Conseil peut, à la demande du contractant et sur recommandation de la Commission, suspendre le calendrier des restitutions. Ces circonstances exceptionnelles sont déterminées par le Conseil et incluent notamment les circonstances économiques du moment ou d’autres circonstances exceptionnelles imprévues liées aux activités opérationnelles du contractant.\n\nArticle 28. Durée des contrats\n\n1. Les plans de travail relatifs à l’exploration sont approuvés pour 15 ans. Lorsqu’un plan de travail relatif à l’exploration arrive à expiration, le contractant doit, à moins qu’il ne l’ait déjà fait, que le plan n’ait été prorogé ou qu’il ne décide de renoncer à ses droits dans la zone visée par le plan, présenter une demande d’approbation d’un plan de travail relatif à l’exploitation.\n\n2. Au plus tard six mois avant l’expiration d’un plan de travail relatif à l’exploration, le contractant peut en demander la prorogation pour des périodes ne dépassant pas cinq ans chacune. Ces prorogations sont approuvées par le Conseil, sur recommandation de la Commission, si le contractant s’est efforcé de bonne foi de se conformer aux stipulations du plan de travail mais n’a pas pu, pour des raisons indépendantes de sa volonté, achever les travaux préparatoires nécessaires pour passer à la phase d’exploitation ou si les circonstances économiques du moment ne justifient pas le passage à cette phase.\n\nArticle 29. Formation En application de l’article 15 de l’annexe III de la Convention, chaque contrat comporte en annexe un programme de formation pratique du personnel de l’Autorité et d’États en développement, établi par le contractant en coopération avec l’Autorité et le ou les États patronnant la demande. Les programmes sont axés sur la formation à l’exploration et doivent permettre la pleine participation de ce personnel à toutes les activités sur lesquelles porte le contrat. Les programmes de formation peuvent être modifiés et développés de temps à autre, selon que de besoin, par consentement mutuel.\n\nArticle 30. Examen périodique de l’exécution du plan de travail relatif à l’exploration\n\n1. Le contractant et le Secrétaire général procèdent en commun tous les cinq ans à un examen de l’exécution du plan de travail relatif à l’exploration. Le Secrétaire général peut demander au contractant de lui communiquer toutes données et informations supplémentaires qui peuvent être nécessaires aux fins de cet examen.\n\n2. À la lumière de l’examen, le contractant indique son programme d’activités pour les cinq années suivantes en ajustant son programme d’activités antérieur comme nécessaire.\n\n3. Le Secrétaire général rend compte de cet examen à la Commission et au Conseil. Il indique dans son rapport s’il a été tenu compte, aux fins de l’examen, des observations qui auront pu lui être communiquées par des États Parties à la Convention sur la manière dont le contractant s’est acquitté des obligations qui lui incombent en vertu du présent Règlement concernant la protection et la préservation du milieu marin.\n\nArticle 31. Cessation du patronage\n\n1. Tout contractant doit être dûment patronné pendant toute la durée du contrat.\n\n2. Si un État met fin à son patronage, il adresse sans retard au Secrétaire général une notification écrite et motivée. La cessation du patronage prend effet six mois après la date de réception de la notification par le Secrétaire général, à moins que la notification ne spécifie une date plus tardive.\n\n3. S’il est mis fin à un patronage, le contractant doit, dans le délai prévu au paragraphe 2, trouver un nouvel État pour le patronner. Celui-ci doit présenter un certificat de patronage conformément à l’article 11. Si le contractant n’obtient pas de patronage dans le délai prescrit, il est mis fin à son contrat.\n\n4. Un État ayant patronné une demande n’est libéré en raison de la cessation de son patronage d’aucune des obligations mises à sa charge pendant qu’il avait la qualité d’État patronnant, et la cessation du patronage est sans effet sur les droits et obligations créés en cours de patronage.\n\n5. Le Secrétaire général notifie aux membres de l’Autorité toute cessation ou tout changement de patronage.\n\nArticle 32. Responsabilité La responsabilité du contractant et celle de l’Autorité sont régies par la Convention. Le contractant demeure responsable de tout dommage résultant d’actes illicites commis dans la conduite de ses opérations, en particulier de tout dommage au milieu marin, après l’achèvement de la phase d’exploration.\n\nPartie V. Protection et préservation du milieu marin\n\nArticle 33. Protection et préservation du milieu marin\n\n1. L’Autorité, conformément à la Convention et à l’Accord, établit et revoit périodiquement des règles, règlements et procédures en matière d’environnement afin de protéger efficacement le milieu marin des effets nocifs pouvant résulter d’activités menées dans la Zone.\n\n2. Afin de protéger efficacement le milieu marin contre les effets nocifs pouvant résulter d’activités menées dans la Zone, l’Autorité et les États qui patronnent ces activités leur appliquent le principe de précaution posé dans le principe 15 de la Déclaration de Rio et les meilleures pratiques écologiques.\n\n3. La Commission juridique et technique fait des recommandations au Conseil concernant l’application des paragraphes 1 et 2 ci-dessus.\n\n4. La Commission formule et applique les procédures voulues pour déterminer, à partir des informations scientifiques et techniques disponibles les plus sûres, notamment les informations communiquées en application de l’article 20 du présent Règlement, si des activités d’exploration qu’il est proposé de mener dans la Zone risquent d’entraîner des effets nocifs importants sur des écosystèmes marins vulnérables, en particulier des sources hydrothermales, et pour garantir que les activités d’exploration proposées dont il aura été ainsi déterminé qu’elles risquent d’entraîner des effets nocifs importants sur des écosystèmes marins vulnérables ou bien soient menées de telle façon que ces effets nocifs soient évités ou bien ne reçoivent pas l’autorisation nécessaire.\n\n5. Conformément à l’article 145 de la Convention et au paragraphe 2 du présent article, chaque contractant prend les mesures nécessaires pour prévenir, réduire et maîtriser autant qu’il est raisonnablement possible la pollution du milieu marin et faire face aux autres risques qui menacent celui-ci du fait des activités qu’il mène dans la Zone, en appliquant le principe de précaution ainsi que les meilleures pratiques écologiques.\n\n6. Les contractants, les États qui les patronnent et les autres États ou entités intéressés coopèrent avec l’Autorité à l’élaboration et à l’exécution de programmes de surveillance et d’évaluation de l’impact sur le milieu marin de l’extraction minière dans les grands fonds marins. Lorsqu’ils sont demandés par le Conseil, ces programmes comprennent des propositions concernant des zones à mettre en réserve et à utiliser exclusivement comme zones témoins d’impact et de préservation. Le terme « zone témoin d’impact » s’entend d’une zone qui doit être utilisée pour évaluer les effets sur le milieu marin des activités menées dans la Zone et qui est représentative des caractéristiques environnementales de la Zone. Le terme « zone témoin de préservation » s’entend d’une zone dans laquelle toute activité d’extraction minière est exclue afin de préserver des biotes stables et représentatifs des fonds marins et d’évaluer tous changements de la diversité biologique du milieu marin.\n\nArticle 34. Profils écologiques témoins et surveillance du milieu marin\n\n1. Tout contrat requiert du contractant qu’il collecte des données écologiques de base et établisse, en tenant compte de toute recommandation que pourrait formuler la Commission juridique et technique en application de l’article 41, des profils écologiques témoins par rapport auxquels seront évalués les effets que les activités menées au titre de son plan de travail relatif à l’exploration sont susceptibles d’avoir sur le milieu marin, ainsi qu’un programme destiné à surveiller ces effets et à en rendre compte. Dans ses recommandations, la Commission peut notamment énumérer les activités d’exploration qui ne sont pas susceptibles d’avoir des effets nocifs sur le milieu marin. Le contractant coopère avec l’Autorité et l’État ou les États qui le patronnent pour élaborer et appliquer ce programme de surveillance.\n\n2. Le contractant rend compte chaque année par écrit au Secrétaire général de l’application et des résultats du programme de surveillance visé au paragraphe 1 et soumet des données et informations, compte tenu de toutes recommandations formulées par la Commission en application de l’article 41. Le Secrétaire général transmet ces rapports des contractants à la Commission pour examen en application de l’article 165 de la Convention.\n\nArticle 35. Ordres en cas d’urgence\n\n1. Le contractant notifie promptement par écrit au Secrétaire général, en utilisant les moyens les plus efficaces, tout incident résultant de ses activités qui a causé, qui cause ou qui menace de causer un dommage grave au milieu marin.\n\n2. Lorsqu’un incident résultant des activités d’un contractant dans la Zone ou occasionné par celles-ci, qui a causé, cause ou menace de causer un dommage grave au milieu marin, lui est notifié par un contractant ou vient autrement à sa connaissance, le Secrétaire général fait donner notification générale de l’incident, en avise par écrit le contractant et l’État ou les États qui le patronnent, et fait immédiatement rapport à la Commission juridique et technique, au Conseil et à tous les autres membres de l’Autorité. Copie du rapport est communiquée à tous les membres de l’Autorité, aux organisations internationales compétentes et aux organisations et organes sous-régionaux, régionaux et mondiaux concernés. Dans tous les cas d’incident de ce type, le Secrétaire général suit l’évolution de la situation et, s’il le juge nécessaire, fait rapport à la Commission, au Conseil et à tous les autres membres de l’Autorité.\n\n3. En attendant que le Conseil statue, le Secrétaire général prend immédiatement toutes les mesures conservatoires d’ordre pratique qui peuvent raisonnablement être prises en l’espèce pour prévenir, maîtriser et réduire au minimum tout dommage ou menace de dommage grave au milieu marin. Ces mesures restent en vigueur pendant au maximum 90 jours ou jusqu’à ce que le Conseil décide, à sa prochaine session ordinaire ou à une session extraordinaire, des éventuelles dispositions à prendre en application du paragraphe 6 du présent article.\n\n4. Après avoir reçu le rapport du Secrétaire général, la Commission détermine, sur la base des éléments qui lui sont communiqués et compte tenu des mesures déjà prises par le contractant, les dispositions nécessaires pour faire face efficacement audit incident et prévenir, maîtriser et réduire au minimum tout dommage ou menace de dommage grave au milieu marin, et fait ses recommandations au Conseil.\n\n5. Le Conseil examine les recommandations de la Commission.\n\n6. Le Conseil, compte tenu des recommandations de la Commission, du rapport du Secrétaire général, de toute information fournie par le contractant et de toute autre information pertinente, peut émettre les ordres en cas d’urgence – y compris, le cas échéant, l’ordre de suspendre ou de modifier les opérations – raisonnablement nécessaires pour prévenir, maîtriser et réduire au minimum tout dommage ou menace de dommage grave au milieu marin résultant d’activités menées dans la Zone.\n\n7. Si un contractant ne se conforme pas rapidement à un ordre en cas d’urgence donné par le Conseil visant à prévenir, maîtriser et réduire au minimum un dommage ou une menace de dommage grave au milieu marin résultant de ses activités dans la Zone, le Conseil prend, lui-même ou par l’intermédiaire de tiers agissant en son nom, les mesures concrètes nécessaires pour prévenir, maîtriser ou réduire au minimum ce dommage ou cette menace de dommage grave au milieu marin.\n\n8. Afin de permettre au Conseil, si nécessaire, de prendre immédiatement les mesures concrètes visées au paragraphe 7 pour prévenir, maîtriser et réduire au minimum un dommage ou une menace de dommage grave au milieu marin, le contractant, avant de commencer l’expérimentation des procédés de collecte et de traitement, fournit au Conseil une garantie de son aptitude financière et technique à se conformer rapidement aux ordres donnés en cas d’urgence ou à faire en sorte que le Conseil puisse prendre des mesures d’urgence. Si le contractant ne donne pas au Conseil une telle garantie, l’État ou les États qui le patronnent, en réponse à une demande du Secrétaire général et en application des articles 139 et 235 de la Convention, prennent les dispositions requises pour que le contractant fournisse ladite garantie ou pour qu’une aide soit apportée à l’Autorité dans l’exercice des responsabilités qui lui incombent en vertu du paragraphe 7.\n\nArticle 36. Droits des États côtiers\n\n1. Aucune disposition du présent Règlement ne porte atteinte aux droits des États côtiers tels que définis à l’article 142 et dans les autres dispositions pertinentes de la Convention.\n\n2. Tout État côtier qui a des raisons de penser qu’une activité menée dans la Zone par un contractant est susceptible de causer ou de menacer de causer un dommage grave au milieu marin dans des zones maritimes sur lesquelles il exerce sa juridiction ou sa souveraineté peut en aviser par écrit le Secrétaire général pour lui exposer ces raisons. Le Secrétaire général donne au contractant et à l’État ou aux États qui le patronnent la possibilité raisonnable d’examiner les preuves fournies, le cas échéant, par l’État côtier à l’appui de ses dires. Le contractant et l’État ou les États qui le patronnent peuvent présenter leurs observations sur la question au Secrétaire général dans un délai raisonnable.\n\n3. S’il existe des raisons sérieuses de croire que le milieu marin risque de subir un dommage grave, le Secrétaire général prend les dispositions décrites à l’article 35 et, si nécessaire, prend immédiatement des mesures conservatoires comme prévu au paragraphe 3 de l’article 35.\n\n4. Les contractants prennent toutes les mesures nécessaires pour que leurs activités soient menées de manière à ne pas causer de dommage grave – y compris, mais sans s’y limiter, de pollution – au milieu marin se trouvant sous la juridiction ou la souveraineté d’États côtiers et pour que les dommages graves ou les pollutions résultant d’incidents survenus ou d’activités menées dans leur zone d’exploration ne s’étendent pas au-delà de cette zone.\n\nArticle 37. Restes humains, objets et sites présentant un caractère archéologique ou historique Le contractant notifie immédiatement par écrit au Secrétaire général toute découverte, dans son secteur d’exploration, de tous restes humains, objets ou sites présentant un caractère archéologique ou historique, ainsi que leur emplacement et les mesures de protection et de préservation prises. Le Secrétaire général transmet ces informations au Directeur général de l’Organisation des Nations Unies pour l’éducation, la science et la culture et à toute autre organisation internationale compétente. Lorsque de tels restes humains, objets ou sites sont découverts dans un secteur d’exploration, et pour éviter d’en altérer l’état, il ne sera mené aucune nouvelle activité de prospection ou d’exploration dans un rayon de dimension raisonnable tant que le Conseil n’en aura pas décidé autrement en tenant compte des avis du Directeur général de l’Organisation des Nations Unies pour l’éducation, la science et la culture ou de toute autre organisation internationale compétente.\n\nPartie VI. Confidentialité\n\nArticle 38. Confidentialité des données et informations\n\n1. Sont réputées confidentielles les données et informations présentées ou communiquées à l’Autorité, ou à toute personne participant à un programme ou une activité de l’Autorité en application du présent Règlement ou d’un contrat émis en vertu du présent Règlement, que le contractant, en consultation avec le Secrétaire général, a désignées comme telles, à moins qu’il ne s’agisse de données et informations : a) sources; Qui sont de notoriété publique ou facilement accessibles auprès d’autres\n\nb) Que leur propriétaire a antérieurement rendues accessibles sans obligation de confidentialité; ou c) Dont l’Autorité est déjà en possession sans obligation de confidentialité. Les données et informations qui sont nécessaires à l’élaboration par l’Autorité des règles, règlements et procédures relatifs à la protection et à la préservation du milieu marin et à la sécurité, autres que les données relatives à la conception de l’équipement qui sont de propriété industrielle, ne sont pas considérées comme confidentielles.\n\n2. Le Secrétaire général, le personnel du Secrétariat, autorisé par le Secrétaire général, et les membres de la Commission juridique et technique ne peuvent utiliser les données et informations confidentielles que dans la mesure nécessaire à l’exercice effectif de leurs attributions et fonctions. Le Secrétaire général n’en autorise l’accès aux membres du personnel du Secrétariat et de la Commission juridique et technique que dans le cadre de leurs fonctions et attributions et pour un usage précis.\n\n3. Dix ans après la date à laquelle les données et informations confidentielles ont été communiquées à l’Autorité ou la date d’expiration du contrat d’exploration si celle-ci est postérieure, et tous les cinq ans par la suite, le Secrétaire général et le contractant passent en revue ces données et informations pour déterminer si elles doivent demeurer confidentielles. Demeurent confidentielles celles dont le contractant considère que la divulgation serait susceptible de lui causer injustement un grave préjudice économique. Aucune donnée ou information n’est divulguée avant que le contractant n’ait raisonnablement eu la possibilité d’épuiser les recours judiciaires dont il dispose conformément à la section 5 de la partie XI de la Convention.\n\n4. Si, à tout moment après l’expiration du contrat d’exploration, le contractant conclut un contrat d’exploitation relatif à un secteur de la zone d’exploration, les données et informations confidentielles se rapportant à ce secteur restent confidentielles, conformément au contrat d’exploitation.\n\n5. Le contractant peut, à tout moment, lever la confidentialité des données et informations.\n\nArticle 39. Protection de la confidentialité\n\n1. Le Secrétaire général veille au respect du caractère confidentiel de toutes les données et informations et ne les divulgue pas à des personnes extérieures à l’Autorité, sauf autorisation écrite préalable du contractant. Pour garantir la confidentialité des données et informations, il met au point des procédures, conformément aux dispositions de la Convention, qui régissent l’utilisation d’informations confidentielles par le Secrétariat, les membres de la Commission juridique et technique et toute autre personne participant à une activité ou un programme de l’Autorité. Ces procédures consistent notamment : a) À conserver en lieu sûr les données et informations confidentielles et à prévoir des mesures de sécurité pour prévenir tout accès non autorisé à ces données et informations ou leur saisie;\n\nb) À mettre au point un système de classement, d’enregistrement et d’inventaire de toutes les données et informations écrites reçues, y compris le type, l’origine et le cheminement de ces données et informations depuis leur réception jusqu’à leur dernière utilisation.\n\n2. Les personnes autorisées à accéder à des données et informations confidentielles en vertu du présent Règlement ne les divulguent pas, sauf dans les cas prévus par la Convention et le présent Règlement. Le Secrétaire général demande à toute personne ayant accès à des données et informations confidentielles de faire une déclaration écrite en sa présence ou en présence de son représentant accrédité, aux termes de laquelle cette personne : a) Reconnaît qu’elle est juridiquement tenue, en vertu de la Convention et du présent Règlement, de ne pas divulguer les données et informations confidentielles;\n\nb) S’engage à respecter les règles et procédures établies pour garantir le caractère confidentiel de ces données et informations.\n\n3. La Commission juridique et technique protège la confidentialité de toutes les données et informations qui lui sont communiquées conformément au présent Règlement ou à un contrat émis en vertu du présent Règlement. En application de l’article 163, paragraphe 8, de la Convention, les membres de la Commission ne doivent divulguer, même après la cessation de leurs fonctions, aucun secret industriel, aucune donnée qui est propriété industrielle et qui a été communiquée à l’Autorité en application de l’article 14 de l’annexe III de la Convention, ni aucun autre renseignement confidentiel dont ils ont connaissance à raison de leurs fonctions au service de l’Autorité.\n\n4. Le Secrétaire général et le personnel de l’Autorité ne doivent divulguer, même après la cessation de leurs fonctions, aucun secret industriel, aucune donnée qui est propriété industrielle et qui a été communiquée à l’Autorité en application de l’article 14 de l’annexe III de la Convention, ni aucun autre renseignement confidentiel dont ils ont connaissance à raison de leurs fonctions au service de l’Autorité.\n\n5. Compte tenu de sa responsabilité visée à l’article 22 de l’annexe III de la Convention, l’Autorité peut prendre des mesures appropriées contre toute personne qui, à raison de fonctions au service de l’Autorité, a accès à des données et informations confidentielles et n’a pas observé les obligations de confidentialité énoncées dans la Convention et dans le présent Règlement.\n\nPartie VII. Procédures de caractère général\n\nArticle 40. Notification et procédures de caractère général\n\n1. Toute demande, requête, notification, approbation, renonciation, directive ou instruction ou tout rapport ou consentement aux fins du présent Règlement sont formulés par écrit par le Secrétaire général ou par le représentant désigné du prospecteur, du demandeur ou du contractant, selon le cas. Les notifications sont faites à personne ou par télex, télécopie, lettre recommandée expédiée par avion ou courrier électronique authentifié par une signature électronique autorisée adressés au Secrétaire général au siège de l’Autorité ou au représentant désigné.\n\n2. La notification à personne prend effet au moment où elle est faite. La notification par télex est réputée effectuée le jour ouvrable suivant le jour où la mention « réponse » apparaît sur l’appareil de télex de l’expéditeur. La notification par télécopie prend effet lorsque l’expéditeur reçoit « l’accusé de réception » confirmant la transmission au numéro de télécopie publié du destinataire. La notification par lettre recommandée expédiée par avion est réputée effectuée 21 jours après que la lettre a été postée. Un document électronique est réputé reçu par son destinataire lorsqu’il entre dans un système informatique conçu ou utilisé par le destinataire pour recevoir des documents du type de celui qui lui est adressé et qu’il peut être récupéré et traité par ce destinataire.\n\n3. La notification au représentant désigné du prospecteur, du demandeur ou du contractant vaut notification au prospecteur, demandeur ou contractant aux fins du présent Règlement, et le représentant désigné est le représentant du prospecteur, du demandeur ou du contractant aux fins de signification ou de notification à l’occasion de toute instance devant toute juridiction compétente.\n\n4. La notification au Secrétaire général vaut notification à l’Autorité aux fins du présent Règlement, et le Secrétaire général est le représentant de celle-ci aux fins de signification ou de notification à l’occasion de toute instance devant toute juridiction compétente.\n\nArticle 41. Recommandations à l’intention des contractants\n\n1. La Commission juridique et technique peut formuler de temps à autre des recommandations de caractère technique ou administratif à l’intention des contractants pour aider ceux-ci à appliquer les règles, règlements et procédures de l’Autorité.\n\n2. Le texte intégral de ces recommandations est communiqué au Conseil. S’il estime qu’une recommandation est incompatible avec le but et l’objet du présent Règlement, le Conseil peut en demander la modification ou le retrait.\n\nPartie VIII. Règlement des différends\n\nArticle 42. Différends\n\n1. Tout différend relatif à l’interprétation ou à l’application du présent Règlement est réglé conformément à la section 5 de la partie XI de la Convention.\n\n2. Toute décision définitive rendue par une cour ou un tribunal ayant compétence en vertu de la Convention au sujet des droits et obligations de l’Autorité et du contractant est exécutoire sur le territoire de tout État partie à la Convention.\n\nPartie IX. Ressources autres que les sulfures polymétalliques\n\nArticle 43. Ressources autres que les sulfures polymétalliques Si un prospecteur ou un contractant trouve dans la Zone des ressources autres que des sulfures polymétalliques, la prospection, l’exploration et l’exploitation de ces ressources sont soumises aux règles, règlements et procédures de l’Autorité concernant ces ressources, conformément à la Convention et à l’Accord. Le prospecteur ou le contractant notifie sa découverte à l’Autorité.\n\nPartie X. Révision\n\nArticle 44. Révision\n\n1. Cinq ans après l’approbation du présent Règlement par l’Assemblée ou à tout autre moment par la suite, le Conseil procède à un examen de la manière dont le Règlement a fonctionné dans la pratique.\n\n2. Si le progrès des connaissances ou des techniques fait apparaître que le Règlement n’est pas adéquat, tout État partie ainsi que la Commission juridique et technique et tout contractant agissant sous couvert de l’État qui le patronne ont, à tout moment, la faculté de demander au Conseil d’examiner, à sa prochaine session ordinaire, des projets de révision du Règlement.\n\n3. À la lumière de cet examen, le Conseil peut adopter des amendements au Règlement et les appliquer à titre provisoire en attendant leur approbation par l’Assemblée, en tenant compte des recommandations de la Commission juridique et technique ou des organes subsidiaires intéressés. Les amendements éventuels du Règlement ne portent pas atteinte aux droits acquis par un contractant de l’Autorité en vertu d’un contrat conclu conformément au Règlement en vigueur à la date où lesdits amendements ont été adoptés.\n\n4. Au cas où l’une quelconque des dispositions du présent Règlement serait modifiée, le contractant et l’Autorité peuvent réviser le contrat conformément à l’article 24 de l’annexe 4.\n\nAnnexe 1. Notification d’intention de prospecter\n\n1. Nom ou raison sociale du prospecteur :\n\n2. Adresse civique :\n\n3. Adresse postale (si elle est différente de l’adresse civique) :\n\n4. Numéro de téléphone :\n\n5. Numéro de télécopie :\n\n6. Adresse électronique :\n\n7. Nationalité du prospecteur :\n\n8. Si le prospecteur est une personne morale, indiquer a) Son lieu d’immatriculation; et b) Son établissement principal/domicile; et joindre copie de son certificat d’immatriculation.\n\n9. Nom du représentant désigné du prospecteur :\n\n10. Adresse civique du représentant désigné du prospecteur (si elle est différente de l’adresse indiquée plus haut) :\n\n11. Adresse postale (si elle est différente de l’adresse civique) :\n\n12. Numéro de téléphone :\n\n13. Numéro de télécopie :\n\n14. Adresse électronique :\n\n15. Joindre les coordonnées de la ou des grandes zones devant être prospectées par référence au Système géodésique mondial WGS 84.\n\n16. Joindre une description générale du programme de prospection, notamment la date à laquelle il doit démarrer et sa durée approximative.\n\n17. Joindre une lettre dans laquelle le prospecteur s’engage à : a) Respecter les dispositions de la Convention et des règles, règlements et procédures de l’Autorité concernant : i) La coopération aux programmes de formation en matière de recherche scientifique marine et les transferts de techniques visées aux articles 143 et 144 de la Convention; et ii) b) La protection et la préservation du milieu marin; et à Accepter que l’Autorité vérifie effectivement des ces obligations. que le contractant s’acquitte\n\n18. Fournir la liste de toutes les pièces jointes et annexes à la présente notification (toutes les données et informations doivent être présentées sur support papier et sous la forme numérique prescrite par l’Autorité) : Date : Signature du représentant désigné du prospecteur Attestation Signature de l’auteur de l’attestation Nom de l’auteur de l’attestation Qualité de l’auteur de l’attestation\n\nAnnexe 2. Demande d’approbation d’un plan de travail relatif à l’exploration aux fins de l’obtention d’un contrat\n\nSection I. Renseignements concernant le demandeur\n\n1. Nom ou raison sociale du demandeur :\n\n2. Adresse civique :\n\n3. Adresse postale (si elle est différente de l’adresse civique) :\n\n4. Numéro de téléphone :\n\n5. Numéro de télécopie :\n\n6. Adresse électronique :\n\n7. Nom du représentant désigné du demandeur :\n\n8. Adresse civique du représentant désigné du demandeur (si elle est différente de l’adresse civique du prospecteur) :\n\n9. Adresse postale (si elle est différente de l’adresse civique) :\n\n10. Numéro de téléphone :\n\n11. Numéro de télécopie :\n\n12. Adresse électronique :\n\n13. Si le demandeur est une personne morale, indiquer : a) Son lieu d’immatriculation; et b) Son établissement principal/domicile; et joindre copie de son certificat d’immatriculation.\n\n14. Indiquer l’État ou les États patronnant la demande.\n\n15. Pour chaque État patronnant la demande, préciser la date à laquelle il a déposé son instrument de ratification de la Convention des Nations Unies sur le droit de la mer de 1982 ou son instrument d’adhésion ou de succession à cette convention, ainsi que la date à laquelle il a consenti à être lié par l’Accord relatif à l’application de la partie XI de la Convention des Nations Unies sur le droit de la mer en date du 10 décembre 1982.\n\n16. Joindre un certificat de patronage délivré par l’État patronnant la demande. Si le demandeur a plus d’une nationalité, comme dans le cas d’une association ou d’un consortium composé d’entités relevant de plus d’un État, joindre les certificats de patronage délivrés par chacun des États concernés.\n\nSection II. Informations relatives à la zone visée par la demande\n\n17. Délimiter les blocs visés par la demande en joignant une carte à l’échelle et selon la projection prescrites par l’Autorité ainsi qu’une liste des coordonnées géographiques par référence au Système géodésique mondial WGS 84.\n\n18. Indiquer si le demandeur choisit de remettre un secteur réservé conformément à l’article 17 du Règlement ou d’offrir de participer au capital d’une entreprise conjointe conformément à l’article 19.\n\n19. Si le demandeur choisit de remettre un secteur réservé : a) Joindre une carte (à l’échelle et selon la projection prescrites par l’Autorité) et une liste des coordonnées permettant de diviser la zone visée par la demande en deux parties de valeur commerciale estimative égale; et b) Fournir dans une pièce jointe suffisamment d’informations pour permettre au Conseil de désigner un secteur réservé en se fondant sur la valeur estimative commerciale de chaque partie de la zone visée par la demande. Dans cette pièce doivent figurer les données dont dispose le demandeur sur les deux parties de ladite zone, notamment : i) Des données sur l’emplacement, le relevé et l’évaluation des sulfures polymétalliques dans les secteurs, y compris : a. La description des techniques de collecte et de traitement des sulfures polymétalliques, qui est nécessaire pour désigner un secteur réservé; b. Une carte indiquant les caractéristiques physiques et géologiques de la zone telles que la topographie des fonds marins, les données bathymétriques et les courants de fond, ainsi que des informations sur la fiabilité de ces données; c. Une carte indiquant les données obtenues par télédétection (par analyse électromagnétique par exemple) et autres informations de terrain utilisées pour déterminer l’extension latérale de chaque dépôt de sulfures polymétalliques; d. Des données obtenues par prélèvement d’échantillons (carottes) et autres données utilisées pour déterminer la troisième dimension des dépôts et par conséquent la teneur et le volume exprimé en tonnes des dépôts de sulfures polymétalliques; e. Des données montrant la distribution des sites de sulfures polymétalliques actifs et inactifs, l’époque à laquelle l’activité des sites inactifs a cessé et l’époque à laquelle l’activité des sites actifs a commencé; f. Des données indiquant le volume moyen (en tonnes métriques) de chaque dépôt de sulfures polymétalliques qui fera partie du site minier, auxquelles sera jointe une carte montrant l’emplacement des sites d’échantillonnage et les volumes correspondants; g. Des données montrant la composition élémentaire des métaux présentant un intérêt économique (teneur) obtenues à partir d’analyses chimiques en poids (sec) pour cent parties, auxquelles sera jointe une carte des teneurs à l’intérieur des différents dépôts de sulfures polymétalliques; h. Des cartes combinant le volume et la teneur des sulfures polymétalliques; i. Les calculs effectués par des méthodes généralement acceptées, notamment l’analyse statistique, sur la base des données présentées et des hypothèses de calcul, qui autorisent à penser que les deux secteurs contiennent des sulfures polymétalliques d’une valeur commerciale estimative égale, exprimée en fonction des métaux qu’il est possible d’extraire de ces secteurs; j. Une description des techniques utilisées par le demandeur; ii) Des données sur l’environnement (tant saisonnières que relevées au cours de la période d’expérimentation), notamment la vitesse et la direction des vents, la salinité et la température de l’eau et la biocénose.\n\n20. Si la zone visée par la demande comprend une partie quelconque d’un secteur réservé, joindre la liste des coordonnées de la zone comprise dans le secteur réservé et indiquer les qualifications du demandeur conformément à l’article 18 du Règlement.\n\nSection III. Informations financières et techniques\n\n21. Fournir suffisamment d’informations pour permettre au Conseil de déterminer si le demandeur est financièrement capable d’exécuter le plan de travail relatif à l’exploration proposé et de s’acquitter de ses obligations financières vis-à-vis de l’Autorité : a) Si la demande émane de l’Entreprise, joindre une attestation de l’autorité compétente certifiant que l’Entreprise dispose des ressources financières nécessaires pour couvrir le coût estimatif du plan de travail relatif à l’exploration proposé; b) Si la demande émane d’un État ou d’une entreprise d’État, joindre une attestation de l’État demandeur ou de l’État qui patronne la demande certifiant que le demandeur dispose des ressources financières nécessaires pour couvrir le coût estimatif du plan de travail relatif à l’exploration proposé; c) Si la demande émane d’une entité, joindre une copie des états financiers vérifiés du demandeur, y compris les bilans et les comptes de profits et pertes correspondant aux trois années précédentes, établis conformément aux principes comptables internationalement reconnus et certifiés par un cabinet d’experts-comptables dûment agréé; et i) Si le demandeur est une entité nouvellement créée et si l’on ne dispose pas d’un bilan vérifié, un bilan pro forma certifié par un représentant autorisé du demandeur; ii) Si le demandeur est une filiale d’une autre entité, copie des mêmes états financiers concernant cette entité et une déclaration de la part de celle-ci, établie conformément aux principes comptables internationalement acceptés et certifiée par un cabinet d’expertscomptables dûment agréé, attestant que le demandeur disposera des ressources financières nécessaires pour exécuter le plan de travail relatif à l’exploration; iii) Si le demandeur est sous le contrôle d’un État ou d’une entreprise d’État, une déclaration de l’État ou de l’entreprise d’État attestant que le demandeur disposera des ressources financières nécessaires pour exécuter le plan de travail relatif à l’exploration.\n\n22. Si le demandeur a l’intention de financer le plan de travail relatif à l’exploration proposé au moyen d’emprunts, joindre une déclaration indiquant le montant, l’échéancier et le taux d’intérêt de ces emprunts.\n\n23. Fournir suffisamment d’informations pour permettre au Conseil de déterminer si le demandeur possède la capacité technique nécessaire pour exécuter le plan de travail relatif à l’exploration proposé, notamment : a) Une description générale de l’expérience, des connaissances, des compétences, du savoir-faire et des qualifications techniques du demandeur intéressant l’exécution du plan de travail relatif à l’exploration proposé; b) Une description générale du matériel et des méthodes qu’il est prévu d’utiliser pour exécuter le plan de travail relatif à l’exploration proposé et d’autres informations utiles, qui ne sont pas propriété industrielle, portant sur les caractéristiques des techniques envisagées; c) Une description générale de la capacité de réaction financière et technique du demandeur au cas où un incident ou une activité causerait un dommage grave au milieu marin.\n\nSection IV. Plan de travail relatif à l’exploration\n\n24. Fournir les informations ci-après concernant le plan de travail relatif à l’exploration : a) La description générale et le calendrier du programme d’exploration proposé, y compris le programme d’activités des cinq prochaines années, notamment les études à mener sur les facteurs écologiques, techniques et économiques et les autres facteurs à prendre en considération pour l’exploration; b) La description d’un programme d’études océanographiques et environnementales visant à établir des profils océanographiques et écologiques témoins, conformément au Règlement et aux règles, règlements et procédures de l’Autorité concernant l’environnement, qui permette d’évaluer l’impact potentiel sur l’environnement – y compris, mais sans s’y limiter, l’impact sur la diversité biologique – des activités d’exploration proposées, compte tenu de toutes recommandations de la Commission juridique et technique; c) Une évaluation préliminaire de l’impact d’exploration proposées sur le milieu marin; possible des activités d) La description des mesures proposées pour prévenir, réduire et maîtriser la pollution et autres risques, ainsi que de leur impact possible sur le milieu marin; e) Le calendrier des dépenses annuelles prévues au titre du programme d’activités des cinq prochaines années.\n\nSection V. Engagements\n\n25. Joindre une déclaration par laquelle le demandeur s’engage par écrit à : a) Accepter comme exécutoires et respecter les obligations qui lui incombent en vertu de la Convention, des règles, règlements et procédures de l’Autorité, des décisions des organes compétents de celleci et des clauses des contrats qu’il a conclus avec l’Autorité; b) Accepter que l’Autorité exerce sur les activités menées dans la Zone le contrôle autorisé par la Convention; c) Fournir à l’Autorité l’assurance écrite qu’il s’acquittera de bonne foi de ses obligations contractuelles.\n\nSection VI. Contrats antérieurs\n\n26. Le demandeur ou, si la demande émane d’une association ou d’un consortium d’entités liées entre elles par un accord de coentreprise, un membre de l’association ou du consortium ou une entité apparentée, ont-ils précédemment conclu un contrat avec l’Autorité?\n\n27. Dans l’affirmative, indiquer : a) La date du contrat ou des contrats antérieurs; b) La date, la cote et l’intitulé de chacun des rapports relatifs à ce(s) contrat(s) présentés à l’Autorité; et c) La date de résiliation de ce(s) contrat(s), le cas échéant.\n\nSection VII. Pièces jointes\n\n28. Fournir la liste de toutes les pièces et annexes jointes à la présente demande (toutes les données et informations doivent être présentées sur support papier et sous la forme numérique spécifiée par l’Autorité). Date : Signature du représentant désigné du demandeur Attestation Signature de l’auteur de l’attestation Nom de l’auteur de l’attestation Qualité de l’auteur de l’attestation\n\nAnnexe 3. Contrat d’exploration LE PRÉSENT CONTRAT conclu le ____________________ entre l’AUTORITÉ INTERNATIONALE DES FONDS MARINS (ci-après dénommée « l’Autorité »), représentée par son SECRÉTAIRE GÉNÉRAL, et ___________________ (ci-après dénommé(e) « le Contractant »), représenté(e) par ____________________, STIPULE ce qui suit : Incorporation des clauses types A. Les clauses types énoncées à l’annexe 4 du Règlement relatif à la prospection et à l’exploration des sulfures polymétalliques dans la Zone (ci-après dénommé le « Règlement ») font partie du présent contrat et produisent le même effet que si elles y étaient intégralement reproduites. Zone d’exploration B. Aux fins du présent contrat, on entend par « zone d’exploration » la partie de la Zone attribuée au Contractant aux fins d’exploration, qui est délimitée par les coordonnées indiquées à l’annexe 1 du présent contrat, telle qu’elle peut être réduite de temps à autre en application des clauses types et du Règlement. Cession de droits C. Eu égard à : 1) Leur intérêt mutuel dans la conduite d’activités d’exploration dans la zone d’exploration conformément à la Convention et à l’Accord; 2) La responsabilité qui incombe à l’Autorité d’organiser et de contrôler les activités menées dans la Zone, en particulier en vue d’en administrer les ressources, conformément au régime juridique institué dans la partie XI de la Convention et dans l’Accord et dans la partie XII de la Convention; et 3) L’intérêt que présente pour le Contractant la conduite d’activités dans la zone d’exploration et son engagement financier à cette fin, et les conventions réciproques souscrites dans le présent contrat; l’Autorité accorde au Contractant le droit exclusif d’explorer les sulfures polymétalliques dans la zone d’exploration conformément aux clauses du présent contrat. Entrée en vigueur et durée du contrat D. Le présent contrat prendra effet dès qu’il aura été signé par les deux parties et, sous réserve des clauses types, restera en vigueur pendant une période de 15 ans à compter de cette date à moins que : 1) Le Contractant n’obtienne un contrat d’exploitation dans la zone d’exploration prenant effet avant l’expiration de ladite période de 15 ans; ou que 2) Le contrat ne soit résilié plus tôt, étant entendu que sa durée pourra être prolongée conformément aux articles 3.2 et 17.2 des clauses types. Annexes E. Aux fins du présent contrat, les annexes visées dans les clauses types, à savoir les articles 4 et 8, sont les annexes 2 et 3, respectivement. Intégralité de l’accord F. Le présent contrat exprime l’intégralité de l’accord entre les parties et aucune convention orale ni aucun écrit antérieur n’en modifient les termes. En foi de quoi les soussignés, à ce dûment autorisés par les parties respectives, ont signé le présent contrat à ____________________, le ____________________.\n\nAnnexe 1. [Coordonnées et carte du secteur d’exploration]\n\nAnnexe 2. [Programme d’activité quinquennal en cours, tel que révisé périodiquement]\n\nAnnexe 3. [Le programme de formation deviendra une annexe au contrat lorsqu’il aura été approuvé par l’Autorité conformément à l’article 8 des clauses types.]\n\nAnnexe 4\n\nClauses types de contrat d’exploration\n\nArticle 1. Définitions 1.1 Dans les clauses ci-après : a) On entend par « zone d’exploration » la partie de la Zone attribuée au Contractant pour exploration, décrite à l’annexe 1 du présent contrat, telle qu’elle peut être réduite de temps à autre en application du présent contrat et du Règlement;\n\nb) On entend par « programme d’activités » le programme défini à l’annexe 2 du présent contrat; il peut être modifié de temps à autre conformément aux articles 4.3 et 4.4 ci-après; c) On entend par « Règlement » le Règlement relatif à la prospection et à l’exploration des sulfures polymétalliques dans la Zone adopté par l’Autorité. 1.2 Les termes et expressions définis dans le Règlement sont utilisés dans le même sens dans les présentes clauses types. 1.3 L’Accord relatif à l’application de la partie XI de la Convention des Nations Unies sur le droit de la mer du 10 décembre 1982 stipule que ses dispositions et la partie XI de la Convention doivent être interprétées et appliquées ensemble comme un seul et même instrument; le présent contrat et les références à la Convention qui y sont faites doivent être interprétés et appliqués en conséquence. 1.4 Le présent contrat inclut ses annexes, qui en font partie intégrante.\n\nArticle 2. Sécurité contractuelle (garantie du titre) 2.1 Le Contractant jouit de la sécurité contractuelle (garantie du titre) et le présent contrat ne peut être suspendu, résilié ou révisé que conformément à ses articles 20, 21 et 24. 2.2 Le Contractant a le droit exclusif d’explorer les sulfures polymétalliques dans la zone d’exploration conformément aux clauses du présent contrat. L’Autorité veille à ce qu’aucune autre entité n’exerce dans la même zone des activités portant sur une catégorie différente de ressources d’une façon qui puisse gêner outre mesure celles que mène le Contractant. 2.3 Le Contractant a le droit, moyennant notification à l’Autorité, de renoncer à tout moment à tout ou partie de ses droits sur la zone d’exploration sans encourir de pénalité étant entendu qu’il demeure tenu de toutes les obligations qu’il a contractées avant la date de cette renonciation en ce qui concerne la zone à laquelle il renonce. 2.4 Aucune disposition du présent contrat ne peut être considérée comme conférant au Contractant d’autres droits que ceux qui y sont expressément prévus. L’Autorité se réserve le droit de conclure avec des tiers des contrats concernant les ressources autres que les sulfures polymétalliques de la zone visée par le présent contrat.\n\nArticle 3. Durée du contrat 3.1 Le présent contrat entrera en vigueur à la date de sa signature par les deux parties et restera en vigueur pendant une période de quinze ans à compter de cette date à moins : a) Que le Contractant n’obtienne un contrat d’exploitation dans la zone d’exploration entrant en vigueur avant l’expiration de la période de quinze ans; ou b) Qu’il ne soit résilié plus tôt, étant entendu que sa durée pourra être prolongée conformément aux articles 3.2 et 17.2 ci-après. 3.2 Si le Contractant en fait la demande au plus tard six mois avant qu’il vienne à expiration, le présent contrat pourra être prorogé pour des périodes ne dépassant pas cinq ans chacune, aux clauses et conditions dont l’Autorité et le Contractant pourront convenir alors conformément au Règlement. Ces prorogations sont accordées si le Contractant s’est efforcé de bonne foi de se conformer aux stipulations du présent contrat mais n’a pas pu, pour des raisons indépendantes de sa volonté, mener à bien les travaux préparatoires nécessaires pour passer à la phase d’exploitation ou si les circonstances économiques du moment ne justifient pas le passage à la phase d’exploitation. 3.3 Nonobstant l’expiration du présent contrat conformément à son article 3.1, si le Contractant a, 90 jours au moins avant la date d’expiration, sollicité un contrat d’exploitation, ses droits et obligations sont maintenus jusqu’à ce que sa demande ait été examinée et qu’un contrat d’exploitation ait été émis ou refusé.\n\nArticle 4. Exploration 4.1 Le Contractant entreprend l’exploration conformément au calendrier arrêté dans le programme d’activités figurant à l’annexe 2 du présent contrat et respecte ce calendrier ou toute modification y afférente comme il est prévu par le présent contrat. 4.2 Le Contractant exécute le programme d’activités figurant à l’annexe 2 du présent contrat. Ce faisant, pour chaque année du contrat, il consacre aux dépenses effectives et directes d’exploration un montant au moins équivalant à celui qui est prévu dans le programme considéré ou dans toute modification y afférente. 4.3 Le Contractant peut, avec le consentement de l’Autorité, que celle-ci ne peut refuser sans motif raisonnable, apporter de temps à autre au programme d’activités et aux dépenses qui y sont prévues les modifications pouvant être nécessaires et prudentes selon la bonne pratique de l’industrie minière et compte tenu de la situation sur le marché des métaux que renferment les sulfures polymétalliques et de la situation économique générale. 4.4 Le Contractant et le Secrétaire général procèdent conjointement à l’examen des résultats des activités d’exploration menées en vertu du présent contrat, au plus tard 90 jours avant l’expiration de chaque période de cinq ans à compter de la date d’entrée en vigueur prévue à l’article 3. Le Secrétaire général peut exiger du Contractant qu’il lui communique les données et informations supplémentaires pouvant être nécessaires pour cet examen. À l’issue de cet examen, le Contractant apporte à son plan de travail les ajustements nécessaires, indique son programme d’activités pour la période de cinq ans suivante, y compris un calendrier révisé des dépenses annuelles qu’il prévoit. L’annexe 2 est modifiée en conséquence.\n\nArticle 5. Surveillance de l’environnement 5.1 Le Contractant prend les mesures nécessaires pour prévenir, réduire et maîtriser la pollution du milieu marin et les autres dangers découlant pour ce milieu de ses activités dans la Zone en appliquant le principe de précaution ainsi que les meilleures pratiques écologiques. 5.2 Avant de commencer les activités d’exploration, le Contractant soumet à l’Autorité : a) Une étude d’impact indiquant les effets potentiels des activités proposées sur le milieu marin;\n\nb) Une proposition pour un programme de surveillance en vue de déterminer l’effet potentiel des activités proposées sur le milieu marin; et c) Des données pouvant être utilisées pour établir un profil écologique témoin par rapport auquel l’effet des activités proposées pourra être évalué. 5.3 Le Contractant réunit, conformément au Règlement, des données environnementales au fur et à mesure des activités d’exploration et établit des profils écologiques témoins par rapport auxquels seront évalués les effets probables de ses activités sur le milieu marin. 5.4 Le Contractant, conformément au Règlement, conçoit et exécute un programme de surveillance des effets de ses activités sur le milieu marin. Il coopère avec l’Autorité pour assurer cette surveillance. 5.5 Le Contractant rend compte au Secrétaire général, au plus tard 90 jours après la fin de chaque année civile, de l’exécution et des résultats du programme de surveillance visé à l’article 5.4 du présent contrat et communique les données et informations prescrites par le Règlement.\n\nArticle 6. Plans et interventions d’urgence 6.1 Avant d’entamer son programme d’activités en vertu du présent contrat, le Contractant soumet au Secrétaire général un plan d’urgence, qui permet de faire face efficacement aux incidents pouvant résulter des activités qu’il entend mener dans la zone d’exploration et qui sont susceptibles de causer ou de menacer de causer un dommage grave au milieu marin. Ledit plan d’urgence établit des procédures spéciales et prévoit les équipements appropriés pour faire face à de tels incidents, et comprend en particulier des dispositions assurant que : a) L’alerte générale soit immédiatement donnée dans le secteur d’activités; b) Le Secrétaire général soit immédiatement avisé; c) Les navires qui seraient sur le point d’entrer dans le voisinage immédiat soient avertis;\n\nd) Le Secrétaire général soit en permanence tenu informé de toutes les circonstances de l’incident, des mesures déjà prises et des nouvelles mesures nécessaires; e) Les substances polluantes soient enlevées, s’il y a lieu; f) Tout dommage grave au milieu marin soit réduit au minimum et, dans la mesure du possible, prévenu, et que ses effets soient atténués;\n\ng) S’il y a lieu, le Contractant coopère avec d’autres contractants et avec l’Autorité pour faire face à la situation d’urgence; et que h) Des exercices d’intervention d’urgence soient organisés périodiquement. 6.2 Le Contractant signale sans délai au Secrétaire général tout incident résultant de ses activités qui a causé, qui cause ou qui menace de causer un dommage grave au milieu marin. Il donne dans son rapport des renseignements détaillés sur cet incident, notamment : a) Les coordonnées de la zone affectée ou dont on peut raisonnablement craindre qu’elle sera affectée;\n\nb) Une description des mesures qu’il a prises pour prévenir, maîtriser, réduire au minimum ou réparer le dommage ou la menace de dommage grave au milieu marin; c) Une description des mesures qu’il a prises pour surveiller les effets de l’incident sur le milieu marin; et\n\nd) Toute autre information que le Secrétaire général peut raisonnablement lui demander. 6.3 Le Contractant exécute les ordres émis en cas d’urgence par le Conseil et les mesures temporaires d’exécution immédiate arrêtées par le Secrétaire général conformément au Règlement, qui peuvent comprendre l’ordre de suspendre ou de modifier immédiatement toutes activités dans la zone d’exploration, afin de prévenir, maîtriser, réduire au minimum ou réparer un dommage ou une menace de dommage grave au milieu marin. 6.4 Si le Contractant n’exécute pas rapidement ces ordres ou ces mesures temporaires d’exécution immédiate, le Conseil peut prendre les mesures raisonnables pouvant être nécessaires pour prévenir, maîtriser, réduire au minimum ou réparer, aux frais du Contractant, un dommage ou une menace de dommage grave au milieu marin. Le Contractant rembourse sans délai à l’Autorité le montant des dépenses ainsi encourues, qui vient en sus de toutes pénalités pécuniaires qui pourraient lui être imposées en vertu des clauses du présent contrat ou du Règlement.\n\nArticle 7. Restes humains, objets et sites présentant un caractère archéologique ou historique Le Contractant notifie immédiatement par écrit au Secrétaire général toute découverte, dans son secteur d’exploration, de tous restes humains, objets ou sites présentant un caractère archéologique ou historique, ainsi que leur emplacement et les mesures de protection et de préservation prises. Le Secrétaire général transmet ces informations au Directeur général de l’Organisation des Nations Unies pour l’éducation, la science et la culture et à toute autre organisation internationale compétente. Lorsque de tels restes humains, objets ou sites sont découverts dans un secteur d’exploration, et pour éviter d’en altérer l’état, il ne sera mené aucune nouvelle activité de prospection ou d’exploration dans un rayon de dimension raisonnable tant que le Conseil n’en aura pas décidé autrement en tenant compte des avis du Directeur général de l’Organisation des Nations Unies pour l’éducation, la science et la culture ou de toute autre organisation internationale compétente.\n\nArticle 8. Formation 8.1 Conformément au Règlement, avant de commencer l’exploration en vertu du présent contrat, le Contractant soumet pour approbation à l’Autorité des projets de programme de formation du personnel de l’Autorité et d’États en développement, prévoyant notamment la participation dudit personnel à toutes les activités qu’il mène en vertu du présent contrat. 8.2 La portée et le financement du programme de formation sont sujets à négociation entre le Contractant, l’Autorité et l’État ou les États patronnant le Contractant. 8.3 Le Contractant assure la formation conformément au programme de formation du personnel visé expressément à l’article 8.1 du présent contrat approuvé par l’Autorité en application du Règlement; ce programme, qui est révisé et étoffé de temps à autre, devient partie intégrante du présent contrat en tant qu’annexe 3.\n\nArticle 9. Livres et pièces comptables Le Contractant tient une série complète et appropriée de livres, comptes et états financiers conformes aux principes comptables internationalement reconnus. Ces livres, comptes et états financiers doivent contenir des informations renseignant pleinement sur les dépenses engagées effectivement et directement pour l’exploration et tous autres renseignements susceptibles de faciliter un audit effectif de ces dépenses.\n\nArticle 10. Rapports annuels 10.1 Le Contractant soumet au Secrétaire général, au plus tard 90 jours après la fin de chaque année civile, un rapport, sous la forme recommandée de temps à autre par la Commission juridique et technique, sur les activités qu’il a menées dans la zone d’exploration comportant, le cas échéant, des renseignements suffisamment détaillés sur : a) Les activités d’exploration menées au cours de l’année civile, y compris les cartes, diagrammes et graphiques illustrant les travaux effectués et les résultats obtenus;\n\nb) Le matériel utilisé pour les activités d’exploration, y compris les résultats de l’expérimentation des techniques d’extraction proposées, mais à l’exclusion des spécifications techniques relatives aux équipements; et c) L’exécution des programmes de formation, y compris les révisions et extensions proposées. 10.2 Ce rapport comprend également : a) Les résultats des programmes de surveillance de l’environnement, y compris les observations, mesures, évaluations et analyses des paramètres environnementaux;\n\nb) Un état de la quantité de sulfures polymétalliques prélevés à titre d’échantillons ou à des fins d’expérimentation; c) Un état, établi conformément aux principes comptables internationalement reconnus et certifié par un cabinet d’experts comptables dûment agréé ou, lorsque le Contractant est un État ou une entreprise d’État, par l’État qui le patronne, des dépenses directes et effectives d’exploration encourues par le Contractant dans l’exécution du programme d’activités au cours de son année comptable – dépenses que le Contractant peut présenter comme faisant partie des dépenses de mise en valeur encourues avant le démarrage de la production commerciale; et\n\nd) Des renseignements détaillés sur les aménagements qu’il est envisagé d’apporter au programme d’activités et les motifs de ces aménagements. 10.3 Le Contractant soumet également, en complément des rapports mentionnés aux paragraphes 10.1 et 10.2 du présent article, tous renseignements complémentaires que le Secrétaire général peut, de temps à autre, raisonnablement demander pour permettre à l’Autorité de s’acquitter de ses fonctions en vertu de la Convention, du Règlement et du présent contrat. 10.4 Le Contractant conserve en bon état une fraction représentative des échantillons et des carottes de sulfures polymétalliques prélevés au cours de l’exploration jusqu’à l’expiration du présent contrat. L’Autorité peut demander par écrit au Contractant de lui remettre, aux fins d’analyse, une fraction de ces échantillons et carottes prélevés au cours de l’exploration.\n\nArticle 11. Données et informations à présenter à l’expiration du contrat 11.1 Le Contractant communique à l’Autorité toutes données et informations pertinentes qui lui sont nécessaires pour exercer efficacement ses pouvoirs et fonctions en ce qui concerne la zone d’exploration, conformément aux dispositions du présent article. 11.2 À l’expiration ou à la résiliation du présent contrat, le Contractant, s’il ne l’a pas encore fait, présente au Secrétaire général les données et informations ci-après : a) Copie de toutes les données géologiques, environnementales, géochimiques et géophysiques pertinentes qu’il a acquises au cours de l’exécution du programme d’activités et qui sont nécessaires à l’Autorité pour exercer efficacement ses pouvoirs et fonctions en ce qui concerne la zone d’exploration;\n\nb) Une estimation des gisements exploitables, quand ces gisements ont été identifiés, comprenant des renseignements détaillés sur la teneur et la quantité des réserves de sulfures polymétalliques avérées, probables et possibles, et des prévisions concernant les conditions d’extraction; c) Copie de tous les rapports géologiques, techniques, financiers et économiques pertinents qu’il a établis ou fait établir et qui sont nécessaires à l’Autorité pour exercer efficacement ses pouvoirs et fonctions en ce qui concerne la zone d’exploration;\n\nd) Des renseignements suffisamment détaillés sur le matériel utilisé lors des activités d’exploration, y compris les résultats de l’expérimentation des techniques extractives proposées, mais à l’exclusion des spécifications techniques de ce matériel; e) Un état de la quantité de sulfures polymétalliques prélevés à titre d’échantillons ou aux fins d’expérimentation; et f) Une déclaration indiquant comment et où les échantillons sont conservés et comment l’Autorité peut y avoir accès. 11.3 Les données et informations visées à l’article 11.2 ci-dessus sont également communiquées au Secrétaire général si, avant l’expiration du présent contrat, le Contractant demande l’approbation d’un plan de travail relatif à l’exploitation ou renonce à ses droits dans la zone d’exploration, dans la mesure où ces données et informations ont trait au secteur auquel il a renoncé.\n\nArticle 12. Confidentialité Les données et informations qui sont communiquées à l’Autorité en vertu du présent contrat sont considérées comme confidentielles conformément aux dispositions du Règlement.\n\nArticle 13. Engagements 13.1 Le Contractant procède à l’exploration conformément aux termes du présent contrat, au Règlement, à la partie XI de la Convention, à l’Accord et aux autres règles de droit international qui ne sont pas incompatibles avec la Convention. 13.2 Le Contractant s’engage à : a) Accepter les clauses du présent contrat comme exécutoires et à les respecter;\n\nb) Exécuter les obligations qui lui incombent en vertu des dispositions de la Convention, des règles, règlements et procédures de l’Autorité et des décisions des organes compétents de l’Autorité; c) Accepter que l’Autorité exerce sur les activités menées dans la Zone le contrôle autorisé par la Convention;\n\nd) Exécuter de bonne foi des obligations qui lui incombent en vertu du présent contrat; et e) Respecter, dans la mesure où cela lui est raisonnablement possible, toutes recommandations que la Commission juridique et technique peut formuler de temps à autre. 13.3 Le Contractant s’efforce d’exécuter le programme d’activités : a) Avec la diligence et l’efficacité voulues et économiquement; b) En tenant dûment compte des effets de ses activités sur le milieu marin; et c) En tenant raisonnablement compte des autres activités menées dans le milieu marin. 13.4 L’Autorité s’engage à exercer de bonne foi les pouvoirs et les fonctions que lui confèrent la Convention et l’Accord, conformément à l’article 157 de la Convention.\n\nArticle 14. Inspection 14.1 Le Contractant autorise l’Autorité à envoyer ses inspecteurs à bord des navires et installations qu’il utilise pour ses activités dans la zone d’exploration pour : a) S’assurer qu’il respecte les termes du présent contrat et les dispositions du Règlement; et b) Surveiller les effets desdites activités sur le milieu marin. 14.2 Le Secrétaire général notifie au Contractant, suffisamment à l’avance, la date et la durée probables des inspections, le nom des inspecteurs et toutes activités pour lesquelles ceux-ci auront probablement besoin de matériel spécialisé ou d’une assistance spéciale du personnel du Contractant. 14.3 Les inspecteurs sont habilités à inspecter tout navire ou toute installation, y compris le journal de bord, les équipements, les registres, les installations, toutes les autres données enregistrées et tous documents nécessaires pour déterminer si le Contractant exécute ses obligations. 14.4 Le Contractant, ses agents et ses employés aident les inspecteurs à s’acquitter de leurs fonctions et : a) Acceptent que ceux-ci embarquent sans délai et en toute sécurité à bord des navires et installations et leur en facilitent l’accès;\n\nb) Coopèrent et concourent à l’inspection de tout navire et de toute installation effectuée conformément aux présentes procédures; c) Donnent aux inspecteurs accès, à toute heure raisonnable, à tous les matériels, équipements et personnels se trouvant à bord des navires et installations;\n\nd) S’abstiennent de gêner les inspecteurs dans l’exercice de leurs fonctions, d’y faire obstacle ou de les intimider; e) Fournissent aux inspecteurs des services convenables, et notamment pourvoient, le cas échéant, à leur restauration et à leur hébergement; et f) Facilitent le débarquement des inspecteurs en toute sécurité. 14.5 Les inspecteurs évitent d’entraver le déroulement normal, dans des conditions de sécurité, des opérations à bord des navires et installations utilisés par le Contractant pour mener ses activités dans la zone inspectée et agissent conformément au Règlement et aux dispositions adoptées pour protéger la confidentialité des données et informations. 14.6 Le Secrétaire général et tout représentant dûment autorisé de celui-ci ont accès, aux fins d’audit et d’examen, à tous les livres, documents, pièces et écritures du Contractant, nécessaires pour vérifier les dépenses visées à l’article 10.2 c) et concernant directement ces dépenses. 14.7 Le Secrétaire général communique au Contractant et à l’État ou aux États qui le patronnent toute information pertinente provenant des rapports des inspecteurs au cas où des mesures s’imposent. 14.8 Si, pour une raison ou une autre, le Contractant ne poursuit pas l’exploration et ne présente pas une demande de contrat d’exploitation, il doit, avant de se retirer de la zone d’exploration, en informer par écrit le Secrétaire général afin que l’Autorité puisse, si elle le décide, procéder à une inspection conformément aux dispositions du présent article.\n\nArticle 15. Normes de sécurité, d’emploi et de santé 15.1 Le Contractant agit conformément aux règles et normes internationales généralement acceptées qui ont été établies par les organisations internationales compétentes ou par des conférences diplomatiques générales, concernant la protection de la vie humaine en mer et la prévention des abordages, ainsi qu’aux règles, règlements, procédures et directives que l’Autorité pourrait adopter touchant la sécurité en mer. Tout navire utilisé pour mener des activités dans la Zone doit être en possession des certificats valides requis par lesdites règles et normes internationales et délivrés conformément en application de celles-ci. 15.2 Tout Contractant qui se livre à des activités d’exploration en vertu du présent contrat doit observer et respecter les règles, règlements, procédures et directives que l’Autorité pourrait adopter en matière de protection contre la discrimination dans l’emploi, de prévention des accidents du travail et des maladies professionnelles, de relations professionnelles, de sécurité sociale, de sécurité de l’emploi et en ce qui concerne les conditions de vie sur le lieu de travail. Ces règles, règlements et procédures doivent tenir compte des conventions et recommandations de l’Organisation internationale du Travail et des autres organisations internationales compétentes.\n\nArticle 16. Responsabilité 16.1 Le Contractant est responsable du dommage effectif, y compris les dommages causés au milieu marin, imputable à ses actes ou omissions illicites et à ceux de ses employés, sous-traitants et agents et de toutes autres personnes travaillant ou agissant pour le compte de ceux-ci dans la conduite des opérations effectuées en vertu du présent contrat, y compris le coût des mesures raisonnables prises pour prévenir ou limiter les dommages au milieu marin, compte tenu le cas échéant des actes ou omissions de l’Autorité ayant contribué au dommage. 16.2 Le Contractant met l’Autorité, ses employés, sous-traitants et agents hors de cause en cas de réclamations ou actions en responsabilité de tiers fondées sur un acte ou une omission illicite du Contractant ou de ses employés, agents et soustraitants et de toutes autres personnes travaillant ou agissant pour le compte de ceux-ci dans la conduite des opérations effectuées en vertu du présent contrat. 16.3 L’Autorité est responsable du dommage effectif causé au Contractant par les actes illicites qu’elle commet dans l’exercice de ses pouvoirs et fonctions, y compris les violations de l’article 168, paragraphe 2, de la Convention, compte tenu de la part de responsabilité imputable au Contractant, à ses employés, agents et soustraitants et toutes personnes travaillant ou agissant pour le compte de ceux-ci, dans la conduite des opérations effectuées en vertu du présent contrat, à raison de leurs actes ou omissions. 16.4 L’Autorité met le Contractant, ses employés, sous-traitants et agents et toutes autres personnes travaillant ou agissant pour le compte de ceux-ci dans la conduite des opérations effectuées en vertu du présent contrat hors de cause en cas de réclamations ou actions en responsabilité de tiers fondées sur un acte ou une omission illicite commis par l’Autorité dans l’exercice de ses pouvoirs et fonctions dans le cadre du présent contrat, y compris les violations de l’article 168, paragraphe 2, de la Convention. 16.5 Le Contractant souscrit auprès de compagnies d’assurance de renommée internationale les polices d’assurance appropriées, conformément à la pratique internationale généralement acceptée en matières maritimes.\n\nArticle 17. Force majeure 17.1 Le Contractant n’est responsable d’aucun retard inévitable dans l’exécution ni de l’inexécution de l’une quelconque des obligations qui lui incombent en vertu du présent contrat imputables à la force majeure. Aux fins du présent contrat, on entend par « force majeure » un événement ou une situation que le Contractant ne saurait raisonnablement pas être censé prévenir ou maîtriser, à condition que l’événement ou la situation en question ne résulte pas d’une négligence ou de l’inobservation des bonnes pratiques en matière d’extraction minière. 17.2 S’il le demande, le Contractant se verra accorder un délai supplémentaire égal à la durée du retard dans l’exécution imputable à la force majeure, la durée du présent contrat étant prolongée en conséquence. 17.3 En cas de force majeure, le Contractant prend toutes les mesures pouvant raisonnablement être prises pour rétablir sa capacité d’exécution et se conformer aux clauses du présent contrat avec le minimum de retard. 17.4 Le Contractant notifie, aussitôt qu’il peut raisonnablement le faire, à l’Autorité la survenue d’un cas de force majeure et lui notifie pareillement le retour à la normale.\n\nArticle 18. Démenti Ni le Contractant ni une entreprise apparentée ni un sous-traitant ne peuvent d’aucune manière faire valoir ou déclarer expressément ou indirectement que l’Autorité ou l’un de ses fonctionnaires a, ou a exprimé, telle ou telle opinion concernant les sulfures polymétalliques se trouvant dans la zone d’exploration, et aucune déclaration en ce sens se référant directement ou indirectement au présent contrat ne pourra figurer dans un prospectus, un avis, une circulaire, une annonce publicitaire, un communiqué de presse ou un document similaire émanant du Contractant, d’une entreprise apparentée ou d’un sous-traitant. Aux fins du présent article, on entend par « entreprise apparentée » toute personne, firme, société ou entreprise publique qui contrôle le Contractant, est contrôlée par lui ou est assujettie au même contrôle que lui.\n\nArticle 19. Renonciation Le Contractant peut, moyennant notification à l’Autorité, renoncer à ses droits et résilier le présent contrat sans encourir de pénalité, étant toutefois entendu qu’il reste en ce cas tenu par toutes les obligations qu’il aura pu contracter avant la date de cette renonciation et par celles qui lui incombent après la résiliation en application du Règlement.\n\nArticle 20. Cessation du patronage 20.1 Si la nationalité du Contractant ou l’entité qui le contrôle change ou si l’État qui le patronne, tel qu’il est défini dans le Règlement, met fin à son patronage, le Contractant en informe l’Autorité sans délai. 20.2 Dans l’un et l’autre cas, si le Contractant n’obtient pas d’un autre patron réunissant les conditions prescrites par le Règlement qu’il présente à l’Autorité un certificat de patronage sous la forme prescrite et dans les délais fixés par le Règlement, le présent contrat prend immédiatement fin.\n\nArticle 21. Suspension et résiliation du contrat et pénalités 21.1 Le Conseil peut suspendre le présent contrat ou y mettre fin, sans préjudice de tous autres droits que l’Autorité peut avoir, dans l’un quelconque des cas ci-après : a) Lorsque, en dépit de ses avertissements écrits, le Contractant a mené ses activités de telle manière qu’elles se traduisent par des infractions graves, réitérées et délibérées aux clauses fondamentales du présent contrat, à la partie XI de la Convention, à l’Accord et aux règles, règlements et procédures de l’Autorité; ou\n\nb) Lorsque le Contractant ne s’est pas conformé à une décision définitive et obligatoire prise à son égard par l’organe de règlement des différends; ou c) Lorsque le Contractant devient insolvable, est déclaré en cessation de paiements ou conclut un concordat avec ses créanciers, ou est mis en liquidation ou placé sous administration judiciaire à sa demande ou obligatoirement, ou encore requiert ou sollicite d’un tribunal la désignation d’un administrateur ou d’un syndic, ou engage une instance le concernant en vertu d’une loi sur la faillite, l’insolvabilité ou l’aménagement de la dette alors en vigueur, à des fins autres que le redressement. 21.2 Sans préjudice de l’article 17, le Conseil peut, après avoir consulté le Contractant, suspendre le présent contrat ou y mettre fin, sans préjudice de tous autres droits que l’Autorité peut avoir, lorsque le Contractant ne peut s’acquitter des obligations que lui impose le présent contrat en raison d’un événement ou d’une situation constituant une force majeure, au sens de l’article 17.1, et se prolongeant sans interruption pendant plus de deux ans alors que le Contractant a pris toutes les mesures pouvant raisonnablement être prises pour rétablir sa capacité d’exécution et se conformer aux clauses du présent contrat avec le minimum de retard. 21.3 Toute suspension ou résiliation s’effectue par l’intermédiaire du Secrétaire général sous forme d’une notification qui doit indiquer les motifs de sa décision. La suspension ou la résiliation prend effet 60 jours après ladite notification, à moins que durant cette période le Contractant ne conteste le droit de l’Autorité de suspendre ou de résilier le présent contrat conformément à la partie XI, section 5, de la Convention. 21.4 Si le Contractant prend une telle initiative, le présent contrat ne sera suspendu ou résilié que conformément à une décision définitive et obligatoire prise conformément à la partie XI, section 5, de la Convention. 21.5 Si le Conseil suspend le présent contrat, il peut, moyennant notification, exiger du Contractant qu’il reprenne ses opérations et se conforme aux clauses du présent contrat, au plus tard 60 jours après cette notification. 21.6 Le Conseil peut, en cas d’infraction au présent contrat non visée au paragraphe 21.1 a) du présent article, ou au lieu de suspendre ou de résilier le présent contrat en vertu de ce paragraphe 21.1, imposer au Contractant des pénalités pécuniaires proportionnelles à la gravité de l’infraction. 21.7 Le Conseil ne peut donner effet à une décision imposant des pénalités d’amende au Contractant tant qu’une possibilité raisonnable n’a pas été donnée à celui-ci d’épuiser les voies de recours judiciaire dont il dispose en vertu de la partie XI, section 5, de la Convention. 21.8 Si le présent contrat est résilié ou vient à expiration, le Contractant se conforme aux dispositions du Règlement et retire l’ensemble des installations, équipements et matériels de la zone d’exploration et laisse celle-ci dans des conditions de sécurité telles qu’elle ne présente aucun danger pour les personnes, le transport maritime ou le milieu marin.\n\nArticle 22. Cession des droits et obligations 22.1 Les droits et obligations du Contractant au titre du présent contrat ne peuvent être cédés en tout ou partie qu’avec le consentement de l’Autorité et conformément au Règlement. 22.2 L’Autorité ne refuse pas sans motifs suffisants son consentement à la cession si le cessionnaire proposé est, à tous égards, un demandeur qualifié au regard du Règlement et assume toutes les obligations du Contractant, et si le transfert n’a pas pour résultat de lui faire attribuer un plan de travail dont l’approbation serait interdite en vertu de l’annexe III, article 6, paragraphe 3 c) de la Convention. 22.3 Les clauses, engagements et conditions prévus par le présent contrat sont à l’avantage des parties et de leurs ayants droit et cessionnaires respectifs, et ont force obligatoire envers eux.\n\nArticle 23. Clause de non-exonération Aucune décision prise par l’une des parties d’exonérer l’autre partie d’un quelconque manquement aux clauses et conditions du présent contrat dont l’exécution lui incombe ne peut être interprétée comme impliquant de sa part exonération de tout manquement subséquent à la même clause ou à toute autre clause ou condition à la charge de l’autre partie.\n\nArticle 24. Révision 24.1 Lorsqu’il se présente ou qu’il pourrait se présenter des circonstances qui, de l’avis de l’Autorité ou du Contractant, auraient pour effet de rendre le présent contrat inéquitable ou de compromettre ou d’empêcher la réalisation des objectifs prévus par celui-ci ou par la partie XI de la Convention ou par l’Accord, les parties engagent des négociations en vue de réviser ledit contrat en conséquence. 24.2 Le présent contrat peut également être révisé par accord entre le Contractant et l’Autorité afin de faciliter l’application de règles, règlements et procédures adoptés par l’Autorité après l’entrée en vigueur du présent contrat. 24.3 Le présent contrat ne peut être révisé, amendé ou autrement modifié qu’avec le consentement du Contractant et de l’Autorité exprimé dans un instrument approprié signé par les représentants autorisés des parties.\n\nArticle 25. Différends 25.1 Tout différend entre les parties relatif à l’interprétation ou à l’application du présent contrat est réglé conformément à la partie XI, section 5, de la Convention. 25.2 Conformément au paragraphe 2 de l’article 21 de l’annexe III de la Convention, toute décision définitive rendue par une cour ou un tribunal ayant compétence en vertu de la Convention au sujet des droits et obligations de l’Autorité et du Contractant est exécutoire sur le territoire de tout État Partie à la Convention visé par la décision.\n\nArticle 26. Notification 26.1 Toute demande, requête, notification, approbation, renonciation, directive ou instruction et tout rapport ou consentement prévus dans le présent contrat sont formulés par écrit par le Secrétaire général ou le représentant désigné du Contractant, selon le cas. Les notifications sont faites à personne ou par télex, télécopie, lettre recommandée expédiée par avion ou courrier électronique authentifié par une signature électronique autorisée adressés au Secrétaire général au siège de l’Autorité ou au représentant désigné. L’obligation de fournir des informations par écrit en application du présent Règlement est satisfaite si ces informations sont fournies dans un document électronique comportant une signature numérique. 26.2 L’une et l’autre partie ont le droit de changer d’adresse en en informant l’autre partie au moins 10 jours à l’avance. 26.3 La notification à personne prend effet au moment où elle est faite. La notification par télex est réputée effectuée le jour ouvrable suivant le jour où la mention « réponse » apparaît sur l’appareil de télex de l’expéditeur. La notification par télécopie prend effet lorsque l’expéditeur reçoit « l’accusé de réception » confirmant la transmission au numéro de télécopie publié du destinataire. La notification par lettre recommandée expédiée par avion est réputée effectuée vingt et un jours après que la lettre a été postée. Un document électronique est réputé reçu par son destinataire lorsqu’il entre dans un système informatique conçu ou utilisé par le destinataire pour recevoir des documents du type de celui qui lui est adressé et qu’il peut être récupéré et traité par ce destinataire. 26.4 La notification au représentant désigné du Contractant vaut notification au Contractant aux fins du présent contrat, et le représentant désigné est le représentant du Contractant aux fins de signification ou de notification à l’occasion de toute instance devant toute juridiction compétente. 26.5 La notification au Secrétaire général vaut notification à l’Autorité aux fins du présent contrat, et le Secrétaire général est le représentant de celle-ci aux fins de signification ou de notification à l’occasion de toute instance devant toute juridiction compétente.\n\nArticle 27. Droit applicable 27.1 Le présent contrat est régi par ses dispositions, les règles, règlements et procédures de l’Autorité, la partie XI de la Convention, l’Accord et les autres règles de droit international qui ne sont pas incompatibles avec la Convention. 27.2 Le Contractant, ses employés, sous-traitants et agents et toutes les personnes travaillant ou agissant pour eux dans la conduite des opérations effectuées en vertu du présent contrat observent le droit applicable visé à l’article 27.1 ci-dessus et ne se livrent directement ou indirectement à aucune transaction interdite par ce droit. 27.3 Aucune disposition du présent contrat ne peut être interprétée comme dispensant de la nécessité de demander et d’obtenir le permis ou l’autorisation pouvant être requis pour l’une quelconque des activités prévues par le présent contrat.\n\nArticle 28. Interprétation La subdivision du présent contrat en articles et paragraphes de même que les intitulés qui y figurent sont dictés uniquement par un souci de commodité et n’en affectent pas l’interprétation.\n\nArticle 29. Documents supplémentaires Chacune des parties accepte de signer et de communiquer tous autres instruments et d’accomplir tous autres actes et formalités qui pourraient être nécessaires ou opportuns pour donner effet aux dispositions du présent contrat.\n", "n_chars": 126865}
{"corpus_id": "isa/regulation/sulphides-2010-ru", "version_id": "2010-11-15", "title": "Правила поиска и разведки полиметаллических сульфидов в Районе", "short_title": "Правила МОМД — разведка полиметаллических сульфидов (2010 г.) [RU]", "jurisdiction": "international", "document_type": "isa_regulation", "official_citation": "ISBA/16/A/12/Rev.1, приложение — Правила поиска и разведки полиметаллических сульфидов в Районе", "authentic_languages": ["ar", "zh", "en", "fr", "ru", "es"], "language": "ru", "adoption_date": "2010-05-07", "entry_into_force_date": null, "source_url": "https://isa.org.jm/wp-content/uploads/2022/04/isba-16a-12rev1_1_1.pdf", "source_publisher": "Международный орган по морскому дну (ISA)", "source_is_official": true, "authoritative_status": "authentic_text", "text_fidelity": "extracted_verified", "content_hash": "sha256:b4f9e6adf5044907bd8a7b061a01b86802bb97ec8f1a0bf3cba340416f53cb91", "original_sha256": "sha256:3cc9d9f5dc23a8c03361ffb26bbba89383c3d42d0b7057bfe2a21626ebc9f2a9", "text_sha256": "sha256:b4f9e6adf5044907bd8a7b061a01b86802bb97ec8f1a0bf3cba340416f53cb91", "license": "isa-materials-terms", "rights_note": "Аутентичный русский текст; официальный документ, атрибутирован источнику; не перелицензирован.", "provenance_note": "AUTHENTIC RUSSIAN TEXT — sibling under JC-006 (language-suffixed corpus_id; English base record is isa/regulation/sulphides-2010). Authentic in the six UN languages, all equally authoritative; the RU text is stored here. Byte-exact official PDF (human download) stored as original.pdf (original_sha256 = the PDF hash); text extracted with pdftotext and cleaned by the committed scripts/extract.py, byte-exact reproducible; page furniture removed, no wording changed. This is an equally-authentic language version, NOT a translation of the English (translations, if any, live in the derived layer).", "text": "Правила поиска и разведки полиметаллических сульфидов в Районе — ISBA/16/A/12/Rev.1, приложение [RU]\n\nПравила поиска и разведки полиметаллических сульфидов в Районе\n\nПреамбула Согласно Конвенции Организации Объединенных Наций по морскому праву («Конвенция»), дно морей и океанов и его недра за пределами национальной юрисдикции, а также его ресурсы являются общим наследием человечества, и их разведка и разработка осуществляются на благо человечества в целом, от имени которого действует Международный орган по морскому дну. Задача настоящего свода Правил состоит в том, чтобы предусмотреть порядок ведения поиска и разведки полиметаллических сульфидов.\n\nЧасть I\n\nВведение\n\nПравило 1. Употребление терминов и сфера применения\n\n1. Термины, употребляемые в Конвенции, имеют то же значение и в настоящих Правилах.\n\n2. В соответствии с Соглашением об осуществлении Части XI Конвенции Организации Объединенных Наций по морскому праву от 10 декабря 1982 года («Соглашение»), положения Соглашения и Части XI Конвенции Организации Объединенных Наций по морскому праву от 10 декабря 1982 года толкуются и применяются совместно, как единый акт. Настоящие Правила и содержащиеся в них ссылки на Конвенцию толкуются и применяются соответствующим же образом.\n\n3. Для целей настоящих Правил: a) «разработка» означает промышленный сбор полиметаллических сульфидов в Районе и извлечение из них полезных ископаемых, в том числе изготовление и эксплуатацию систем добычи, обработки и транспортировки для производства полезных ископаемых;\n\nb) «разведка» означает изыскание залежей полиметаллических сульфидов в Районе на исключительных правах, анализ таких залежей, использование и испытание систем и оборудования для добычи, обрабатывающих установок и систем транспортировки, а также проведение исследований в отношении экологических, технических, экономических, коммерческих и прочих соответствующих факторов, которые должны учитываться при разработке; c) «морская среда» означает физические, химические, геологические и биологические компоненты, условия и факторы, которые взаимодействуют и определяют продуктивность, положение, состояние и качество морской экосистемы, воды морей и океанов и воздушное пространство над ними, а также дно морей и океанов и его недра;\n\nd) «полиметаллические сульфиды» означает сформировавшиеся под воздействием гидротермальных процессов залежи сульфидов и сопутствующих минеральных ресурсов в Районе, содержащие скопления металлов, включая, в частности, медь, свинец, цинк, золото и серебро; e) «поиск» означает изыскание залежей полиметаллических сульфидов в Районе — включая оценку состава, размера, и распределения залежей полиметаллических сульфидов и их экономической ценности, — не предполагающие каких-либо исключительных прав; f) «серьезный ущерб морской среде» означает любое воздействие деятельности в Районе на морскую среду, которое представляет собой значительное негативное изменение в морской среде, определяемое в соответствии с нормами, правилами и процедурами, принятыми Органом на основе международно признанных стандартов и практики.\n\n4. Настоящие Правила никоим образом не затрагивают свободу научных исследований, предусмотренную статьей 87 Конвенции, или право на проведение морских научных исследований в Районе, предусмотренное статьями 143 и 256 Конвенции. Ничто в настоящих Правилах не должно пониматься как ограничивающее осуществление государствами свобод открытого моря, нашедших отражение в статье 87 Конвенции.\n\n5. Настоящие Правила могут дополняться новыми правилами, положениями и процедурами, в частности касающимися защиты и сохранения морской среды. Настоящие Правила подчиняются положениям Конвенции и Соглашения и другим нормам международного права, не расходящимся с Конвенцией.\n\nЧасть II. Поиск\n\nПравило 2. Поиск\n\n1. Поиск производится в соответствии с Конвенцией и настоящими Правилами и может начаться лишь после того, как Генеральный секретарь информирует изыскателя о том, что его уведомление зарегистрировано в соответствии с пунктом 2 правила 4.\n\n2. Изыскатели и Генеральный секретарь применяют к такой деятельности осторожный подход, нашедший отражение в принципе 15 Рио-де-Жанейрской декларации 1. Поиск не производится при наличии существенных доказательств, указывающих на риск причинения серьезного ущерба морской среде.\n\n3. Поиск не производится в районе, охваченном утвержденным планом работы по разведке полиметаллических сульфидов, или в зарезервированном районе; поиск не может производиться также в районе, в котором разработка не была разрешена Советом ввиду риска причинения серьезного ущерба морской среде.\n\n1 Доклад Конференции Организации Объединенных Наций по окружающей среде и развитию, Рио-де-Жанейро, 3–14 июня 1991 года (издание Организации Объединенных Наций, в продаже под № R.91.I.8, и исправления), том I: Резолюции, принятые на Конференции, резолюция 1, приложение 1.\n\n4. Поиск не предоставляет изыскателю каких-либо прав на ресурсы. Однако изыскатель может извлекать разумное количество полезных ископаемых, т.е. количество, необходимое для испытаний, но не для коммерческого использования.\n\n5. Поиск ведется без каких-либо временных ограничений, за исключением тех случаев, когда поиск в каком-либо конкретном районе прекращается по получении изыскателем от Генерального секретаря письменного уведомления о том, что в отношении этого района утвержден план работы по разведке.\n\n6. Поиск в одном и том же районе (районах) может проводиться одновременно более чем одним изыскателем.\n\nПравило 3. Уведомление о поиске\n\n1. Предполагаемый изыскатель уведомляет Орган о своем намерении заняться поиском.\n\n2. Каждое уведомление о поиске представляется по установленной в приложении 1 к настоящим Правилам форме на имя Генерального секретаря и должно отвечать требованиям настоящих Правил.\n\n3. Каждое уведомление представляется: a) в случае государства — органом, назначенным для этой цели; b) в случае субъекта права — назначенным им представителем; c) в случае Предприятия — его компетентным органом.\n\n4. Каждое уведомление представляется на одном из языков Органа и содержит: a) наименование, национальную принадлежность и адрес предполагаемого изыскателя и назначенного им представителя;\n\nb) координаты ориентировочного района (районов) проведения поиска, указанные в соответствии с наиболее свежим общепринятым международным стандартом, используемым Органом; c) общее описание программы поиска, включая предлагаемую дату начала и ее примерную продолжительность;\n\nd) удовлетворительное письменное обязательство о том, что предполагаемый изыскатель будет: i) соблюдать Конвенцию и соответствующие нормы, правила и процедуры Органа, касающиеся: a. сотрудничества в программах подготовки кадров в связи с морскими научными исследованиями и передачей технологии, о которых говорится в статьях 143 и 144 Конвенции, и b. ii) защиты и сохранения морской среды; давать согласие на проведение Органом проверки их соблюдения; iii) предоставлять Органу, насколько это практически возможно, такие данные, которые могут иметь отношение к защите и сохранению морской среды.\n\nПравило 4. Рассмотрение уведомлений\n\n1. Генеральный секретарь письменно подтверждает получение каждого уведомления, представляемого согласно правилу 3, с указанием даты получения.\n\n2. В 45-дневный срок с момента получения уведомления Генеральный секретарь рассматривает его и принимает решение. Если уведомление соответствует требованиям Конвенции и настоящих Правил, Генеральный секретарь заносит указанные в уведомлении данные в регистр, который ведется для этой цели, и в письменном виде информирует изыскателя о том, что уведомление зарегистрировано.\n\n3. В 45-дневный срок с момента получения уведомления Генеральный секретарь в письменном виде информирует предполагаемого изыскателя о том, охватывает ли его уведомление какую-либо часть района, включенного в утвержденный план работы по разведке либо разработке какой-либо категории ресурсов, или какую-либо часть зарезервированного района, или какую-либо часть района, в котором разработка не была разрешена Советом ввиду риска причинения серьезного ущерба морской среде, или же о том, что его письменное обязательство является неудовлетворительным, и представляет предлагаемому изыскателю в письменном виде изложение причин. В таких случаях предлагаемый изыскатель может в 90-дневный срок представить измененное уведомление. Генеральный секретарь в 45-дневный срок рассматривает такое измененное уведомление и принимает по нему решение.\n\n4. Изыскатель в письменном виде информирует Генерального секретаря о любом изменении в информации, содержащейся в уведомлении.\n\n5. Генеральный секретарь предает содержащиеся в уведомлении данные огласке лишь с письменного согласия изыскателя. Однако Генеральный секретарь периодически информирует всех членов Органа о личности изыскателей и о том, где в принципе ведется ими поиск.\n\nПравило 5. Защита и сохранение морской среды в ходе поиска\n\n1. Каждый изыскатель принимает необходимые меры к предотвращению, сокращению и сохранению под контролем загрязнения морской среды и других опасностей для нее, вытекающих из поиска, насколько это реально возможно, используя осторожный подход и передовую природоохранную практику. В частности, каждый изыскатель сводит к минимуму или устраняет: а) негативное экологическое воздействие поиска; и\n\nb) фактические или потенциальные коллизии или помехи в отношении осуществляемой или планируемой деятельности по проведению морских научных исследований согласно соответствующим будущим руководящим принципам по этому вопросу.\n\n2. Изыскатели сотрудничают с Органом в учреждении и осуществлении программ мониторинга и оценки потенциального воздействия разведки и разработки полиметаллических сульфидов на морскую среду.\n\n3. Изыскатель незамедлительно уведомляет Генерального секретаря в письменном виде, используя наиболее эффективные средства, о любом происшедшем в результате поиска инциденте, причинившем, причиняющем или угрожающем причинить серьезный вред морской среде. По получении такого уведомления Генеральный секретарь действует сообразно с правилом 35.\n\nПравило 6. Годовой отчет\n\n1. В 90-дневный срок после окончания каждого календарного года изыскатель представляет Органу отчет о ходе поиска. Такие отчеты препровождаются Генеральным секретарем Юридической и технической комиссии. В каждом таком отчете содержатся: a) общее описание состояния поиска и полученных результатов;\n\nb) информация о соблюдении обязательств, указанных в пункте 4(d) правила 3; и c) информация о соблюдении соответствующих будущих руководящих принципов по этому вопросу.\n\n2. Если изыскатель намеревается провести расходы по поиску как часть расходов по освоению, произведенных до начала промышленного производства, то он представляет составленную в соответствии с международно принятыми принципами учета и заверенную надлежащим образом квалифицированной аудиторской фирмой годовую ведомость фактических прямых затрат, произведенных изыскателем в ходе поиска.\n\nПравило 7. Конфиденциальность содержащихся в годовом отчете данных и информации, полученных в результате поиска\n\n1. Генеральный секретарь обеспечивает конфиденциальность всех данных и информации, содержащихся в отчетности, представляемой согласно правилу 6, применяя mutatis mutandis положения правил 38 и 39, при том условии, что данные и информация, касающиеся защиты и сохранения морской среды, в частности данные и информация программ экологического мониторинга, не считаются конфиденциальными. Изыскатель может запросить неразглашение такой информации до истечения трех лет после даты ее представления.\n\n2. С согласия соответствующего изыскателя Генеральный секретарь может в любой момент предать огласке данные и информацию, касающиеся поиска в районе, в отношении которого представлено уведомление. Если, приложив разумные усилия по меньшей мере в течение двух лет, Генеральный секретарь определяет, что изыскателя уже нет в наличии или что его местонахождение установить невозможно, то Генеральный секретарь может предать такие данные и информацию огласке.\n\nПравило 8. Объекты, имеющие археологическое или историческое значение Изыскатель незамедлительно уведомляет Генерального секретаря в письменном виде об обнаружении в Районе любого объекта, имеющего фактическое или потенциальное археологическое или историческое значение, и о его местонахождении. Генеральный секретарь препровождает такую информацию Генеральному директору Организации Объединенных Наций по вопросам образования, науки и культуры.\n\nЧасть III. Заявки на утверждение планов работы по разведке в форме контракта\n\nРаздел 1. Общие положения\n\nПравило 9. Общие положения При условии соблюдения положений Конвенции право подавать в Орган заявки на утверждение планов работы на разведку имеют: a) ности; Предприятие от своего имени или как участник совместной деятель-\n\nb) государства-участники, государственные предприятия либо физические или юридические лица, имеющие национальность этих государствучастников либо находящиеся под эффективным контролем этих государств или их граждан, когда такие государства поручились за них, или любая группа вышеуказанных субъектов, которые отвечают требованиям, предусмотренным в настоящих Правилах.\n\nРаздел 2. Содержание заявок\n\nПравило 10. Форма заявок\n\n1. Каждая заявка на утверждение плана работы по разведке представляется по установленной в приложении 2 к настоящим Правилам форме на имя Генерального секретаря и должна отвечать требованиям настоящих Правил.\n\n2. Каждая заявка представляется: a) в случае государства — органом, назначенным им для этой цели;\n\nb) в случае субъекта права — назначенным им представителем или органом, назначенным для этой цели поручившимся государством (государствами); c) в случае Предприятия — его компетентным органом.\n\n3. В каждой заявке государственного предприятия или одного из субъектов, упомянутых в подпункте (b) правила 9, указывается также: a) достаточная информация для установления национальной принадлежности заявителя или наименование государства (государств), под эффективным контролем которого (или граждан которого) находится заявитель;\n\nb) местонахождение главной конторы или домициль, а в соответствующих случаях — место регистрации заявителя.\n\n4. Каждая заявка, представленная партнерством или консорциумом субъектов, содержит необходимую информацию о каждом участнике партнерства или консорциума.\n\nПравило 11. Удостоверение о поручительстве\n\n1. Каждая заявка государственного предприятия или одного из субъектов, упомянутых в подпункте (b) правила 9, сопровождается удостоверением о поручительстве, выданном государством, национальность которого он имеет или под эффективным контролем которого (или граждан которого) он находится. Если заявитель имеет более чем одну национальность, как в случае партнерства или консорциума субъектов из нескольких государств, каждое такое государство выдает удостоверение о поручительстве.\n\n2. Если заявитель имеет национальность одного государства, но находится под эффективным контролем другого государства или его граждан, каждое такое государство выдает удостоверение о поручительстве.\n\n3. Каждое удостоверение о поручительстве должно быть должным образом подписано от имени государства, которое его представляет, и содержать: a) наименование заявителя; b) наименование поручившегося государства; c) указание о том, что заявитель: i) имеет национальность поручившегося государства или ii) является субъектом, находящимся под эффективным контролем поручившегося государства или его граждан;\n\nd) заявление поручившегося государства о том, что оно поручается за заявителя; e) дату сдачи на хранение поручившимся государством своего документа о ратификации Конвенции, присоединении к ней или о правопреемстве в ее отношении; f) заявление о том, что поручившееся государство берет на себя ответственность согласно статье 139, пункту 4 статьи 153 Конвенции и пункту 4 статьи 4 приложения III к ней.\n\n4. Государства или субъект, осуществляющие деятельность совместно с Предприятием, также соблюдают настоящее правило.\n\nПравило 12. Целый район, указанный в заявке\n\n1. Для целей настоящих Правил «блок полиметаллических сульфидов» означает клетку координатной сетки, указанной Органом, размером приблизительно 10 на 10 км и площадью не свыше 100 кв. км;\n\n2. Район, указанный в каждой заявке на утверждение плана работы по разведке полиметаллических сульфидов, состоит из не более 100 блоков полиметаллических сульфидов, которые компонуются заявителем по меньшей мере в пять групп, как указано в пункте 3 ниже.\n\n3. В каждую группу блоков полиметаллических сульфидов входят по меньшей мере пять прилегающих блоков. Прилегающими блоками считаются два блока, соприкасающихся в какой бы то ни было точке. Группы блоков полиметаллических сульфидов могут не быть прилегающими, но должны находиться поблизости друг от друга в пределах прямоугольного района площадью не более 300 000 кв. км, длинная сторона которого не превышает 1000 км в длину.\n\n4. Независимо от положений пункта 2 выше, когда заявитель выбирает передачу зарезервированного района для осуществления деятельности согласно статье 9 приложения III к Конвенции, в соответствии с правилом 17, общая площадь, указанная в заявке, не должна превышать 200 блоков полиметаллических сульфидов. Такие блоки компонуются в два комплекта равной предположительной коммерческой ценности, и каждый из этих комплектов блоков полиметаллических сульфидов разбивается заявителем на группы, как указано в пункте 3 выше.\n\nПравило 13. Финансовые и технические возможности\n\n1. Каждая заявка на утверждение плана работы по разведке содержит достаточный объем конкретной информации, позволяющей Совету определить, располагает ли заявитель финансовыми и техническими возможностями для осуществления предлагаемого плана работы по разведке и выполнения своих финансовых обязательств перед Органом.\n\n2. Заявка на утверждение плана работы по разведке Предприятия содержит заявление его компетентного органа, удостоверяющее, что Предприятие располагает необходимыми финансовыми ресурсами на покрытие сметных расходов по предлагаемому плану работы по разведке.\n\n3. Заявка на утверждение плана работы по разведке государства или государственного предприятия содержит заявление государства или поручившегося государства, удостоверяющее, что заявитель располагает необходимыми финансовыми ресурсами на покрытие сметных расходов по предлагаемому плану работы по разведке.\n\n4. Заявка субъекта на утверждение плана работы по разведке содержит копии его проверенных финансовых ведомостей (включая балансовые ведомости и отчеты о прибылях и убытках) за последние три года, составленные в соответствии с международно принятыми принципами учета и заверенные надлежащим образом квалифицированной аудиторской фирмой, а также: a) если заявителем является недавно созданный субъект и заверенной балансовой ведомости не имеется, — условную балансовую ведомость, заверенную соответствующим должностным лицом заявителя;\n\nb) если заявителем является дочерняя компания другого субъекта, — копии таких финансовых ведомостей этого субъекта и заявление последнего о том, что заявитель будет располагать финансовыми ресурсами на осуществление плана работы по разведке, каковое заявление составляется в соответствии с международно принятыми принципами учета и заверяется надлежащим образом квалифицированной аудиторской фирмой; c) если заявитель находится под контролем государства или государственного предприятия, — заявление этого государства или государственного предприятия, удостоверяющее, что заявитель будет располагать финансовыми ресурсами на осуществление плана работы по разведке. Если заявитель, упомянутый в пункте 4, намеревается финансировать\n\n5. предлагаемый план работы по разведке за счет займов, в его заявке указывается сумма таких займов, сроки их погашения и процентная ставка.\n\n6. Все заявки должны включать: a) общее описание имеющихся у заявителя опыта, знаний, навыков, технической квалификации и специальной подготовки для осуществления предлагаемого плана работы по разведке;\n\nb) общее описание оборудования и методов, которые намечается использовать при осуществлении предлагаемого плана работы по разведке, и другую не имеющую характера собственности информацию о характеристиках такой технологии; c) общее описание имеющихся у заявителя финансовых и технических возможностей реагировать на любые инциденты или действия, причиняющие серьезный ущерб морской среде.\n\n7. Если заявителем является партнерство или консорциум субъектов, осуществляющих совместную деятельность, каждый участник этого партнерства или консорциума предоставляет информацию, предусмотренную настоящим правилом.\n\nПравило 14. Предыдущие контракты с Органом Если заявитель или — в случае представления заявки партнерством или консорциумом субъектов, осуществляющих деятельность совместно, — любой участник партнерства или консорциума ранее заключал какой-либо контракт с Органом, в заявке указывается: a) дата предыдущего контракта (контрактов);\n\nb) дата представления, условное обозначение и название каждого отчета, представленного Органу в связи с контрактом (контрактами); c) в соответствующих случаях — дата прекращения контракта (контрактов).\n\nПравило 15. Обязательства Каждый заявитель, включая Предприятие, в рамках своей заявки на утверждение плана работы по разведке берет перед Органом следующие письменные обязательства: a) признать в качестве подлежащих исполнению и соблюдать применимые обязательства, возникающие в силу положений Конвенции, норм, правил и процедур Органа, решений соответствующих органов Органа и условий его контрактов с Органом;\n\nb) признать предусмотренный Конвенцией контроль со стороны Органа за деятельностью в Районе; c) представить Органу письменное заверение в том, что его обязательства по контракту будут добросовестно выполняться.\n\nПравило 16. Право заявителя на выбор между передачей зарезервированного района или долей в акционерном капитале в рамках механизма совместного предприятия Каждый заявитель в своей заявке выбирает либо: a) передать зарезервированный район для проведения деятельности согласно статье 9 приложения III к Конвенции в соответствии с правилом 17, либо;\n\nb) предложить долю в акционерном капитале в рамках механизма совместного предприятия в соответствии с правилом 19.\n\nПравило 17. Данные и информация, предоставляемые до обозначения зарезервированного района\n\n1. Если заявитель выбирает передачу зарезервированного района для осуществления деятельности согласно статье 9 приложения III к Конвенции, район, указанный в заявке, должен быть достаточно большим и иметь достаточную предполагаемую коммерческую ценность, чтобы в нем можно было вести две добычных операции, и должен быть скомпонован заявителем в соответствии с пунктом 4 правила 12.\n\n2. Каждая такая заявка содержит достаточный объем предписываемых в разделе II приложения 2 к настоящим Правилам данных и информации о заявочном районе, позволяющих Совету по рекомендации Юридической и технической комиссии обозначить зарезервированный район с учетом предположительной коммерческой ценности каждой части. Такие данные и информация включают имеющиеся у заявителя данные об обеих частях заявочного района, в том числе данные, использованные для определения их коммерческой ценности.\n\n3. На основе данных и информации, представленных заявителем согласно разделу II приложения 2 к настоящим Правилам (если таковые сочтены удовлетворительными), и с учетом рекомендаций Юридической и технической комис- сии Совет обозначает ту часть заявочного района, которая станет зарезервированным районом. Обозначенный таким образом район становится зарезервированным районом, как только утверждается план работы по разведке в отношении незарезервированного района и подписывается контракт. Если Совет определит, что для обозначения зарезервированного района необходима дополнительная информация, соответствующая настоящим Правилам и приложению 2, он возвращает этот вопрос в Комиссию для дальнейшего рассмотрения с указанием требуемой дополнительной информации.\n\n4. После утверждения плана работы по разведке и заключения контракта данные и информация о зарезервированном районе, переданные заявителем Органу, могут быть преданы Органом огласке в соответствии с пунктом 3 статьи 14 приложения III к Конвенции.\n\nПравило 18. Заявки на утверждение планов работы в отношении зарезервированного района\n\n1. Любое государство, являющееся развивающимся государством, или любое физическое либо юридическое лицо, за которое это государство поручилось или которое находится под эффективным контролем этого государства либо другого развивающегося государства, или любая группа вышеуказанных субъектов может уведомить Орган о своем намерении представить план работы по разведке в отношении зарезервированного района. Генеральный секретарь препровождает такое уведомление Предприятию, которое в течение шести месяцев в письменном виде информирует Генерального секретаря о том, намерено ли оно осуществлять деятельность в этом районе. Если Предприятие намерено осуществлять деятельность в этом районе, оно в соответствии с пунктом 4 в письменном виде информирует также контрактора, чья заявка на утверждение плана работы по разведке первоначально включала этот район.\n\n2. Заявка на утверждение плана работы по разведке в отношении зарезервированного района может подаваться в любой момент после того, как этот район станет свободным вследствие принятия Предприятием решения о том, что оно не намеревается осуществлять деятельность в этом районе, или если в течение шести месяцев после получения уведомления от Генерального секретаря Предприятие не примет решение о том, намеревается ли оно осуществлять деятельность в этом районе, и не уведомит Генерального секретаря в письменном виде о том, что оно ведет переговоры о потенциальном совместном предприятии. В последнем случае Предприятию предоставляется один год с момента подачи такой заявки, в течение которого оно должно решить, будет ли оно осуществлять деятельность в указанном районе.\n\n3. Если Предприятие, или развивающееся государство, или один из субъектов, упомянутых в пункте 1, не подает заявку на утверждение плана работы по разведке в рамках деятельности в зарезервированном районе в течение 15 лет с момента начала своего независимого от Секретариата Органа функционирования или же в течение 15 лет с даты, когда этот район резервируется за Органом, — в зависимости от того, что наступит позднее, — контрактор, чья заявка на утверждение плана работы по разведке первоначально включала этот район, вправе подать заявку на утверждение плана работы по разведке в этом районе, при условии что он добросовестно предлагает Предприятию участвовать в совместном предприятии.\n\n4. Контрактор обладает преимущественным правом на организацию с Предприятием совместного предприятия для разведки района, который был включен в его заявку на утверждение плана работы по разведке и который был обозначен Советом в качестве зарезервированного района.\n\nПравило 19. Доля в акционерном капитале в рамках механизма совместного предприятия\n\n1. Если заявитель решает предложить долю в акционерном капитале в рамках совместного предприятия, он предоставляет данные и информацию в соответствии с правилом 20. Выделение района заявителю регулируется положениями правила 27.\n\n2. Механизм совместного предприятия, вступающий в силу в момент заключения заявителем контракта на эксплуатацию, включает следующее: a) Предприятие получает не менее 20 процентов участия в акционерном капитале совместного предприятия на следующей основе: i) половина такого долевого участия предоставляется без выплаты заявителю каких-либо платежей, прямых или косвенных, и для всех целей имеет такой же режим, как и долевое участие заявителя; ii) остальная часть такого долевого участия для всех целей имеет такой же режим, как и долевое участие заявителя, за исключением того, что Предприятие не получает никаких дивидендов в отношении этой части, пока заявитель не возместит в полном объеме сумму своего долевого участия в совместном предприятии;\n\nb) независимо от подпункта (a) выше заявитель, тем не менее, предлагает Предприятию возможность приобрести еще 30 процентов долевого участия в механизме совместного предприятия или такую меньшую долю, которую Предприятие решит приобрести, на основе режима, во всех отношениях равноправного с заявителем 2; с) за исключением случаев, когда это прямо предусмотрено в соглашении между заявителем и Предприятием, Предприятие не обязано в силу своего долевого участия каким-либо иным способом предоставлять фонды или кредиты или обеспечивать гарантии или признавать какую бы то ни было финансовую ответственность за механизм совместного предприятия или от его имени, равно как и не обязано подписываться на дополнительное долевое участие для поддержания своей доли в механизме совместного предприятия.\n\n2 Условия возможного приобретения такого долевого участия нужно будет проработать более подробно.\n\nПравило 20. Данные и информация, подлежащие представлению для утверждения плана работы по разведке\n\n1. Каждый заявитель в целях утверждения плана работы по разведке в форме контракта представляет следующую информацию: a) общее описание и график предлагаемой программы разведки, включая программу деятельности на ближайший пятилетний период, как-то: запланированные исследования в отношении экологических, технических, экономических и прочих соответствующих факторов, которые должны учитываться при разведке;\n\nb) описание программы океанографических и фоновых экологических исследований в соответствии с настоящими Правилами и любыми установленными Органом природоохранными нормами, правилами и процедурами, которая позволила бы произвести оценку потенциального экологического воздействия предлагаемой разведочной деятельности, включая воздействие на биоразнообразие, но не ограничиваясь таковым, с учетом любых рекомендаций, вынесенных Юридической и технической комиссией; c) предварительную оценку возможного воздействия предлагаемой деятельности по разведке на морскую среду;\n\nd) описание предлагаемых мер по предотвращению, сокращению и сохранению под контролем загрязнения морской среды и других опасностей для нее, а также возможного воздействия на морскую среду; e) данные, необходимые Совету для определения, которое он должен вынести в соответствии с пунктом 1 правила 13; и f) калькуляцию предполагаемых годовых расходов по программе деятельности на ближайший пятилетний период.\n\n2. Если заявитель выбирает вариант зарезервированного района, данные и информация в отношении такого района передаются заявителем Органу после обозначения Советом зарезервированного района в соответствии с пунктом 3 правила 17.\n\n3. Если заявитель выбирает вариант долевого участия в механизме совместного предприятия, данные и информация о таком районе передаются заявителем Органу в момент принятия такого решения.\n\nРаздел 3. Сборы\n\nПравило 21. Сбор за заявку\n\n1. Сбор за рассмотрение плана работы по разведке полиметаллических сульфидов составляет: а) фиксированный сбор в размере 500 000 долл. США или эквивалент этой суммы в свободно конвертируемой валюте, выплачиваемый заявителем в момент подачи заявки; или\n\nb) по выбору заявителя фиксированный сбор в размере 50 000 долл. США или эквивалент этой суммы в свободно конвертируемой валюте, выплачиваемый заявителем в момент подачи заявки, и ежегодный сбор, рассчитываемый, как указано в пункте 2.\n\n2. Размер ежегодного сбора рассчитывается следующим образом: a)\n\n5 долл. США, помноженные на коэффициент района, начиная с даты истечения первого года контракта;\n\nb) 10 долл. США, помноженные на коэффициент района, начиная с даты первого отказа в соответствии с правилом 27(2); и c)\n\n20 долл. США, помноженные на коэффициент района, начиная с даты второго отказа в соответствии с правилом 27(3).\n\n3. «Коэффициент района» означает число квадратных километров в разведочном районе по состоянию на дату, по истечении которой наступает срок соответствующего периодического платежа.\n\n4. После уведомления со стороны Генерального секретаря о том, что размер сбора недостаточен для покрытия административных издержек, которые Орган несет при рассмотрении заявки, сбор, указанный в пункте 1(а) настоящего правила, пересматривается Советом.\n\n5. Если административные издержки, которые Орган несет при рассмотрении заявки, оказываются меньше установленного размера, Орган возмещает разницу заявителю.\n\nРаздел 4. Рассмотрение заявок\n\nПравило 22. Получение, подтверждение и хранение заявок Генеральный секретарь: a) в течение 30 дней в письменном виде подтверждает получение каждой заявки на утверждение плана работы по разведке, представленной согласно настоящей части, с указанием даты получения;\n\nb) обеспечивает сохранность заявки с сопроводительными документами и приложениями к ней, а также конфиденциальность всех содержащихся в заявке конфиденциальных данных и информации; c) уведомляет членов Органа о получении такой заявки и рассылает им информацию о заявке, имеющую общий и неконфиденциальный характер.\n\nПравило 23. Рассмотрение заявок Юридической и технической комиссией\n\n1. По получении заявки на утверждение плана работы по разведке Генеральный секретарь уведомляет членов Юридической и технической комиссии и вносит вопрос о рассмотрении заявки в повестку дня следующего заседания Комиссии. Комиссия рассматривает только заявки, в отношении которых уведомление и информация были распространены Генеральным секретарем в со- ответствии с правилом 22(с) по меньшей мере за 30 дней до открытия заседания Комиссии, на котором они должны рассматриваться.\n\n2. Комиссия рассматривает заявки в порядке их поступления.\n\n3. Комиссия определяет следующее: a) выполнил ли заявитель положения настоящих Правил;\n\nb) взял ли заявитель на себя обязательства и представил ли заверения, указанные в правиле 15; c) располагает ли заявитель финансовыми и техническими возможностями для осуществления предлагаемого плана работы по разведке и представил ли он подробные сведения на предмет своей способности выполнять чрезвычайные распоряжения;\n\nd) выполнил ли заявитель надлежащим образом свои обязательства в связи с любым предыдущим контрактом с Органом.\n\n4. В соответствии с требованиями, установленными в настоящих Правилах, и своими процедурами Комиссия определяет, будет ли предлагаемый план работы по разведке: a) обеспечивать эффективную охрану здоровья и безопасности людей;\n\nb) обеспечивать эффективную защиту и сохранение морской среды, включая воздействие на биоразнообразие, но не ограничиваясь таковым; c) обеспечивать, чтобы установки не сооружались там, где это может создать помехи для использования признанных морских путей, имеющих существенное значение для международного судоходства, или в районах ведения интенсивной рыбопромысловой деятельности.\n\n5. Если Комиссия определяет, что заявитель выполнил требования пункта 3 и что предлагаемый план работы по разведке удовлетворяет требованиям пункта 4, она рекомендует Совету утвердить план работы по разведке.\n\n6. Комиссия не рекомендует план работы по разведке к утверждению, если указанный в предлагаемом плане работы по разведке район или его часть включены в: a) какой-либо утвержденный Советом план работы по разведке полиметаллических сульфидов;\n\nb) какой-либо утвержденный Советом план работы по разведке или разработке других ресурсов, если предлагаемый план работы по разведке полиметаллических сульфидов может повлечь за собой ненужные помехи в отношении деятельности по такому утвержденному плану работы по другим ресурсам; c) какой-либо район, разработка которого запрещена Советом, поскольку имеются существенные доказательства, указывающие на риск причинения серьезного ущерба морской среде.\n\n7. Юридическая и техническая комиссия может рекомендовать одобрить план работы, если она решит, что такое одобрение не позволит государствуучастнику или спонсируемым им организациям монополизировать проведение деятельности в Районе в отношении полиметаллических сульфидов или помешать другим государствам-участникам проводить в Районе деятельность в отношении полиметаллических сульфидов.\n\n8. За исключением случаев подачи заявок Предприятием — от его собственного имени или в рамках совместного предприятия — и заявок согласно правилу 18, Комиссия не рекомендует план работы к утверждению, если указанный в предлагаемом плане работы по разведке район или его часть включены в какой-либо зарезервированный район или район, обозначенный Советом в качестве будущего зарезервированного района.\n\n9. Если Комиссия считает, что заявка не соответствует настоящим Правилам, то Комиссия через Генерального секретаря уведомляет об этом заявителя в письменном виде, указывая причины. Заявитель может в течение 45 дней с момента такого уведомления исправить свою заявку. Если после дальнейшего рассмотрения Комиссия приходит к мнению о том, что ей не следует рекомендовать план работы по разведке к утверждению, то она сообщает об этом заявителю и предоставляет ему еще одну возможность сделать представления в течение 30 дней с момента получения такой информации. Комиссия рассматривает любые такие представления, сделанные заявителем, при подготовке своего доклада и рекомендации Совету.\n\n10. При рассмотрении предлагаемого плана работы по разведке Комиссия принимает во внимание принципы, политику и цели в отношении деятельности в Районе, как это предусмотрено в части XI и приложении III к Конвенции и в Соглашении.\n\n11. Комиссия рассматривает заявки оперативно и представляет Совету доклад и рекомендации относительно обозначения районов и о плане работы по разведке при первой же возможности с учетом графика заседаний Органа.\n\n12. При выполнении своих обязанностей Комиссия применяет настоящие Правила, а также нормы, правила и процедуры Органа на единообразной и недискриминационной основе.\n\nПравило 24. Рассмотрение и утверждение Советом планов работы по разведке Совет рассматривает доклады и рекомендации Комиссии, касающиеся утверждения планов работы по разведке, в соответствии с пунктами 11 и 12 раздела 3 приложения к Соглашению.\n\nЧасть IV. Контракты на разведку\n\nПравило 25. Контракт\n\n1. После утверждения Советом плана работы по разведке он оформляется в виде контракта между Органом и заявителем, как предписано в приложении 3 к настоящим Правилам. Каждый контракт включает изложенные в приложении 4 стандартные условия, действующие на дату вступления контракта в силу.\n\n2. Контракт подписывается Генеральным секретарем от имени Органа и заявителем. Генеральный секретарь в письменном виде уведомляет всех членов Органа о заключении каждого контракта.\n\nПравило 26. Права контрактора\n\n1. Контрактор имеет исключительное право на разведку в районе, указанном в плане работы, в отношении полиметаллических сульфидов. Орган обеспечивает, чтобы никакой другой субъект не осуществлял в этом же районе деятельность в отношении других ресурсов помимо полиметаллических сульфидов таким образом, чтобы это создавало помехи для деятельности контрактора.\n\n2. Контрактор, который имеет утвержденный план работы только на разведку, имеет предпочтение и пользуется приоритетом среди заявителей, представивших планы работы на разработку того же района или тех же ресурсов. Совет может лишить контрактора такого предпочтения или приоритета, если он не выполнит требований своего утвержденного плана работы в течение периода времени, предписанного в письменном уведомлении или уведомлениях, направленных Советом контрактору с указанием требований, не выполненных контрактором. Период времени, указываемый в любом таком уведомлении, должен быть разумным. Контрактору предоставляется разумная возможность быть заслушанным, прежде чем лишение его такого предпочтения или приоритета становится окончательным. Совет разъясняет мотивы предлагаемого лишения предпочтения или приоритета и рассматривает любой ответ контрактора. При принятии решения Совет учитывает этот ответ и основывается на существенных сведениях.\n\n3. Лишение предпочтения или приоритета становится действительным лишь после того, как контрактору предоставляется разумная возможность исчерпать средства судебной защиты, имеющиеся в его распоряжении согласно разделу 5 части XI Конвенции.\n\nПравило 27. Размеры района и отказ от его участков\n\n1. Контрактор производит отказ от участков выделенного ему района в соответствии с пунктом 2 настоящего правила. Участки, от которых производится отказ, могут не быть прилегающими и определяются контрактором в форме подблоков, составляющих один или более квадратов координатной сетки, как предусмотрено Органом.\n\n2. Общая площадь района, выделяемого контрактору по контракту, не превышает 10 000 кв. километров. Контрактор отказывается от участков выделенного ему района в соответствии со следующим графиком: a) к концу восьмого года с даты контракта контрактор отказывается не менее чем от 50 процентов изначально выделенного ему района;\n\nb) к концу десятого года с даты контракта контрактор отказывается не менее чем от 75 процентов изначально выделенного ему района; или\n\n3. Контрактор может в любое время отказываться от участков выделенного ему района, опережая график, установленный в пункте 2, при условии что кон- трактору не требуется отказываться от любой дополнительной части такого района, когда остающаяся площадь выделенного ему района после отказа не превышает 2500 кв. километров.\n\n4. Участки, от которых производится отказ, вновь поступают в Район.\n\n5. В конце пятнадцатого года с даты контракта или когда контрактор подает заявку на права на эксплуатацию, в зависимости от того, что произойдет раньше, контрактор обозначает район в рамках оставшихся участков выделенного ему района, который будет сохранен за ним для целей добычи.\n\n6. По просьбе контрактора и рекомендации Комиссии Совет в исключительных обстоятельствах может продлить сроки отказа. Такие исключительные обстоятельства определяются Советом и включают, в частности, преобладающие экономические условия или иные непредвиденные исключительные обстоятельства, возникающие в связи с оперативной деятельностью контрактора.\n\nПравило 28. Срок действия контрактов\n\n1. План работы по разведке утверждается на 15-летний срок. По истечении плана работы по разведке контрактор подает заявку на план работы по разработке, за исключением случаев, когда контрактор уже сделал это, добился продления плана работы по разведке или решил отказаться от своих прав в районе, охваченном планом работы по разведке.\n\n2. Не позднее шести месяцев после истечения плана работы по разведке контрактор может ходатайствовать о продлениях плана работы по разведке на сроки не более чем по пять лет. Такие продления утверждаются Советом по рекомендации Комиссии, если контрактор добросовестно пытался соблюсти требования плана работы, однако в силу неподвластных ему обстоятельств не смог завершить необходимую подготовительную работу для перехода к этапу разработки, либо если такой переход не оправдывается сложившейся экономической конъюнктурой.\n\nПравило 29. Подготовка кадров Во исполнение статьи 15 приложения III к Конвенции к каждому контракту прилагается практическая программа подготовки персонала Органа и развивающихся государств, составленная контрактором в сотрудничестве с Органом и поручившимся государством (государствами). Программы подготовки ориентированы на обучение навыкам разведки и предусматривают всестороннее участие такого персонала во всех мероприятиях, охватываемых контрактом. По взаимному согласию такие программы подготовки могут при необходимости периодически пересматриваться и дорабатываться.\n\nПравило 30. Периодический обзор осуществления плана работы по разведке\n\n1. Каждые пять лет контрактор и Генеральный секретарь совместно производят периодический обзор осуществления плана работы по разработке. Генеральный секретарь может запросить у контрактора дополнительные данные и информацию, которые могут оказаться необходимыми для целей обзора.\n\n2. В свете этого обзора Контрактор знакомит со своей программой деятельности на следующий пятилетний период, внося необходимые коррективы в свою предшествующую программу деятельности.\n\n3. Генеральный секретарь докладывает о результатах обзора Комиссии и Совету. Генеральный секретарь указывает в докладе, были ли учтены в ходе обзора какие-либо замечания, препровожденные ему государствами — участниками Конвенции относительно того, каким образом контрактор осуществляет свои обязательства по настоящим правилам касательно защиты и сохранения морской среды.\n\nПравило 31. Прекращение поручительства\n\n1. На протяжении всего срока действия контракта каждому контрактору необходимо иметь поручительство.\n\n2. Если государство прекращает свое поручительство, оно в письменном виде оперативно уведомляет об этом Генерального секретаря. Поручившееся государство должно также сообщить Генеральному секретарю мотивы прекращения им своего поручительства. Поручительство прекращает действовать через шесть месяцев после даты получения Генеральным секретарем уведомления, если только в уведомлении не указывается более поздний срок.\n\n3. В случае прекращения поручительства контрактор находит другого поручителя в срок, указанный в пункте 2. Такой поручитель выдает удостоверение о поручительстве в соответствии с правилом 11. Если контрактор не находит поручителя в требуемый срок, действие контракта прекращается. Прекращение поручительства не освобождает поручившееся государство\n\n4. от каких-либо обязательств, возникших в период, когда оно являлось поручившимся государство, и не затрагивает никаких юридических прав и обязанностей, появившихся в период такого поручительства.\n\n5. Генеральный секретарь уведомляет членов Органа о прекращении или изменении поручительства.\n\nПравило 32. Ответственность Материальная и иная ответственность контрактора и Органа регулируется Конвенцией. Контрактор продолжает нести ответственность за любой ущерб, причиненный в результате неправомерных действий, допущенных им при осуществлении своей деятельности, в частности ущерб морской среде, по окончании этапа разведки.\n\nЧасть V. Защита и сохранение морской среды\n\nПравило 33. Защита и сохранение морской среды\n\n1. В соответствии с Конвенцией и Соглашением Орган устанавливает и подвергает периодическому обзору природоохранные нормы, правила и процедуры, необходимые для обеспечения эффективной защиты морской среды от вредных для нее последствий, которые могут возникнуть в результате деятельности в Районе.\n\n2. Чтобы обеспечить эффективную защиту морской среды от вредных последствий, которые могут возникнуть в результате осуществления деятельности в Районе, Орган и поручившиеся государства применяют к такой деятельности осторожный подход, нашедший отражение в принципе 15 Рио-де-Жанейрской декларации, и передовую природоохранную практику.\n\n3. Юридическая и техническая комиссия формулирует рекомендации Совету относительно осуществления пунктов 1 и 2 выше.\n\n4. Комиссия разрабатывает и осуществляет процедуры с целью определить на основе наилучшей имеющейся научно-технической информации, включая информацию, представляемую во исполнение правила 20, будет ли предлагаемая разведочная деятельность в Районе иметь серьезные пагубные последствия для уязвимых морских экосистем, включая гидротермальные источники, и обеспечивает, чтобы в случае определения, что некоторые предлагаемые виды разведочной деятельности будут иметь серьезные пагубные последствия для уязвимых морских экосистем, такая деятельность регулировалась во избежание подобных последствий или ее проведение не санкционировалось.\n\n5. Во исполнение статьи 145 Конвенции и пункта 2 настоящего правила каждый контрактор принимает необходимые меры в целях предотвращения, сокращения и сохранения под контролем загрязнения и других опасностей для морской среды, вытекающих из его деятельности в Районе, насколько это реально возможно, используя осторожный подход и передовую природоохранную практику.\n\n6. Контракторы, поручившиеся государства и другие заинтересованные государства или субъекты сотрудничают с Органом в разработке и осуществлении программ мониторинга и оценки воздействия разработки глубоководных районов морского дна на морскую среду. Когда об этом попросит Совет, такие программы включают предложения об обозначении участков, предназначенных для обособления и исключительного использования в качестве рабочих эталонных полигонов и заповедных эталонных полигонов. Термин «рабочие эталонные полигоны» означает участки, используемые для оценки последствий деятельности в Районе для морской среды и имеющие типичные для Района экологические характеристики. Термин «заповедные эталонные полигоны» означает участки, в которых добыча не производится, с тем чтобы обеспечить типичность и ненарушенность биоты морского дна для целей оценки любых изменений в биоразнообразии морской среды.\n\nПравило 34. Экологический фон и мониторинг\n\n1. В каждом контракте предусматривается требование о том, чтобы, учитывая любые рекомендации, выносимые Юридической и технической комиссией на основании правила 42, контрактор собирал фоновые экологические данные и устанавливал экологический фон, используемый для оценки вероятного воздействия его программы деятельности в рамках плана работы по разведке на морскую среду, а также программу мониторинга такого воздействия и сообщения о нем. В рекомендациях, выносимых Комиссией, могут, в частности, перечисляться те разведочные мероприятия, которые могут рассматриваться в качестве потенциально неспособных оказать вредное воздействие на морскую среду. В надлежащих случаях контрактор сотрудничает с Органом и поручившимся государством (государствами) в разработке и осуществлении такой программы мониторинга.\n\n2. Контрактор ежегодно докладывает в письменном виде Генеральному секретарю об осуществлении и результатах программы мониторинга, упомянутой в пункте 1, и представляет данные и информацию, учитывая при этом любые рекомендации, выносимые Комиссией на основании правила 42. Генеральный секретарь направляет такие доклады Комиссии, которая рассматривает их согласно статье 165 Конвенции.\n\nПравило 35. Чрезвычайные распоряжения\n\n1. Контрактор незамедлительно сообщает Генеральному секретарю в письменном виде, используя наиболее эффективные средства, о любом инциденте, вытекающем из деятельности, причинившей, причиняющей или угрожающей причинить серьезный ущерб морской среде.\n\n2. Когда Генеральный секретарь уведомляется контрактором или иным образом осведомляется об инциденте, который произошел вследствие деятельности контрактора в Районе или вызван этой деятельностью и который причинил, причиняет или угрожает причинить серьезный ущерб морской среде, Генеральный секретарь обеспечивает общее оповещение об инциденте, в письменном виде уведомляет контрактора и поручившееся государство (государства) и немедленно сообщает об этом Юридической и технической комиссии, Совету и всем другим членам Органа. Копия этого сообщения распространяется среди всех членов Органа, компетентных международных организаций и соответствующих субрегиональных, региональных и глобальных организаций и органов. Генеральный секретарь следит за событиями в связи со всеми такими инцидентами и сообщает о них по мере необходимости Комиссии, Совету и всем другим членам Органа.\n\n3. Впредь до того, как Совет предпримет какие-либо действия, Генеральный секретарь принимает экстренные меры временного характера, которые являются практичными и разумными в сложившихся обстоятельствах с точки зрения предотвращения, сдерживания и максимального сокращения серьезного ущерба или угрозы серьезного ущерба морской среде. Такие временные меры остаются в силе в течение не более чем 90 дней или же до того момента, когда Совет постановит на своей следующей очередной сессии, какие меры должны (и должны ли) быть приняты во исполнение пункта 6 настоящего правила.\n\n4. Получив доклад Генерального секретаря, Комиссия, опираясь на представленные ей сведения и учитывая уже принятые контрактором меры, определяет, какие меры необходимо принять для эффективного преодоления инцидента, с тем чтобы предотвратить, сдержать и максимально сократить серьезный ущерб или угрозу серьезного ущерба морской среде, и выносит Совету свои рекомендации.\n\n5. Совет рассматривает рекомендации Комиссии.\n\n6. Учитывая рекомендации Комиссии, доклад Генерального секретаря, любую информацию, представленную контрактором, и любую иную соответствующую информацию, Совет может издавать чрезвычайные распоряжения, в число которых могут входить распоряжения о приостановке или корректировке операций, разумно необходимой для предотвращения, сдерживания и максимального сокращения серьезного ущерба или угрозы серьезного ущерба морской среде в результате деятельности в Районе.\n\n7. Если контрактор не обеспечивает оперативного выполнения чрезвычайного распоряжения о предотвращении, сдерживании и максимальном сокращении серьезного ущерба или угрозы серьезного ущерба морской среде в результате его деятельности в Районе, сам Совет или по договоренности с ним кто-либо иной от его имени принимает такие практические меры, которые необходимы для предотвращения, сдерживания и максимального сокращения любого такого серьезного ущерба или угрозы серьезного ущерба морской среде.\n\n8. Для того чтобы Совет, при необходимости, мог немедленно принять практические меры для предотвращения, сдерживания и максимального сокращения серьезного ущерба или угрозы серьезного ущерба морской среде, о которых говорится в пункте 6, контрактор до начала испытаний коллекторных систем и операций по переработке должен будет представить Совету гарантию своих финансовых и технических возможностей для оперативного выполнения чрезвычайных распоряжений или заверить Совет в том, что такие меры может принять он сам. Если контрактор не предоставляет Совету такой гарантии, то поручившееся государство или государства в ответ на просьбу Генерального секретаря и во исполнение статей 139 и 235 Конвенции принимают меры с целью обеспечить оказание Органу содействия в осуществлении им своих обязанностей по пункту 7.\n\nПравило 36. Права прибрежных государств\n\n1. Сообразно со статьей 142 и другими соответствующими положениями Конвенции ничто в настоящих Правилах не затрагивает прав прибрежных государств.\n\n2. Любое прибрежное государство, которое имеет основания полагать, что та или иная деятельность контрактора в Районе может серьезный ущерб или создать угрозу серьезного ущерба морской среде в акваториях, находящихся под его юрисдикцией и/или суверенитетом, может в письменном виде уведомить Генерального секретаря о таких основаниях. Генеральный секретарь предоставляет контрактору и его поручившемуся государству (государствам) разумную возможность изучить доказательства (если таковые имеются), представленные прибрежным государством в качестве упомянутых оснований. Контрактор и его поручившееся государство (государства) могут представить Генеральному секретарю свои замечания по ним в течение разумного периода времени.\n\n3. Если имеются явные основания заключить, что серьезный ущерб морской среде вероятен, то Генеральный секретарь действует в соответствии с правилом 35, а в случае необходимости принимает экстренные меры временного характера, предусмотренные пунктом 3 правила 35.\n\n4. Контракторы принимают все необходимые меры с целью обеспечить, чтобы их деятельность проводилась без нанесения серьезного ущерба морской среде, включая загрязнение, но не ограничиваясь таковым, в акваториях, находящихся под юрисдикцией или суверенитетом прибрежных государств, и чтобы такой серьезный ущерб или загрязнение, являющееся результатом инцидентов или деятельности в их разведочных районах, не распространялись за пределы таких районов.\n\nПравило 37. Человеческие останки и объекты и участки, имеющие археологическое или историческое значение Контрактор незамедлительно уведомляет Генерального секретаря в письменном виде об обнаружении в разведочном районе каких бы то ни было человеческих останков, имеющих археологическое или историческое значение, или каких-либо объектов или участков аналогичного характера и об их местонахождении, включая принятые меры по сохранению и защите. Генеральный секретарь препровождает такую информацию Генеральному директору Организации Объединенных Наций по вопросам образования, науки и культуры и любой иной компетентной международной организации. При обнаружении в разведочном районе любых таких человеческих останков, объектов или участков и во избежание причинения ущерба таким человеческим останкам, объектам или участкам в разумном радиусе не проводится никаких дальнейших поисковоразведочных работ, пока Совет не примет иного решения с учетом мнения Генерального директора Организации Объединенных Наций по вопросам образования, науки и культуры или любой иной компетентной международной организации.\n\nЧасть VI. Конфиденциальность\n\nПравило 38. Данные и информация, имеющие характер собственности, и конфиденциальность\n\n1. Данные и информация, представленные или переданные Органу или любому лицу, участвующему в какой бы то ни было деятельности или программе Органа, во исполнение настоящих Правил или контракта, заключенного согласно настоящим Правилам, и обозначенные контрактором в консультации с Генеральным секретарем в качестве имеющих конфиденциальный характер, считаются конфиденциальными, если речь не идет о данных и информации, которые: a) общеизвестны или доступны из других источников;\n\nb) были ранее представлены их собственником другим лицам без обязательства соблюдать их конфиденциальность; или c) уже находятся во владении Органа без обязательства соблюдать их конфиденциальность. Данные и информация, которые необходимы для выработки Органом норм, правил и процедур, касающихся защиты и сохранения морской среды и техники безопасности, и которые не относятся при этом к имеющим характер собственности данным о конструкции оборудования, не рассматриваются в качестве конфиденциальных.\n\n2. Конфиденциальные данные и информация могут использоваться Генеральным секретарем и персоналом Секретариата, с санкции Генерального секретаря, и членами Юридической и технической комиссии только при необходимости и только для эффективного осуществления ими своих полномочий и функций. Генеральный секретарь санкционирует доступ к таким данным и информации только для ограниченного пользования в связи с осуществлением сотрудниками Секретариата и Юридической и технической комиссией своих функций и обязанностей.\n\n3. Через десять лет после даты представления конфиденциальных данных и информации Органу или после истечения контракта на разведку (в зависимости от того, что наступает позднее) и через каждые пять лет после этого Генеральный секретарь и контрактор производят обзор таких данных и информации с целью определить, должны ли они оставаться конфиденциальными. Такие данные и информация остаются конфиденциальными, если контрактор определяет, что в случае опубликования таких данных и информации возникнет существенный риск серьезного и несправедливого экономического ущерба. Такие данные и информация не публикуются до тех пор, пока контрактору не будет предоставлена разумная возможность исчерпания средств судебной защиты, имеющихся в его распоряжении согласно разделу 5 части XI Конвенции.\n\n4. Если в какой-либо момент времени после истечения контракта на разведку контрактор заключает контракт на разработку в отношении любой части разведочного района, конфиденциальные данные и информация, касающиеся этой части района, сохраняют конфиденциальность в соответствии с контрактом на разработку.\n\n5. Контрактор может в любое время отказаться от конфиденциальности данных и информации.\n\nПравило 39. Процедуры обеспечения конфиденциальности\n\n1. Генеральный секретарь отвечает за сохранение конфиденциальности всех конфиденциальных данных и информации и без предварительного письменного согласия контрактора не разглашает такие данные и информацию какомулибо лицу, постороннему для Органа. Для обеспечения конфиденциальности таких данных и информации Генеральный секретарь устанавливает в соответствии с положениями Конвенции процедуры обращения с конфиденциальной информацией для членов Секретариата, членов Юридической и технической комиссии и любых других лиц, участвующих в какой бы то ни было деятельности или программе Органа. Такие процедуры включают: a) хранение конфиденциальных данных и информации в надежных местах и разработку процедур безопасности для предотвращения несанкционированного доступа к таким данным и информации или их изъятия;\n\nb) составление и ведение классификации, перечня или описи всех полученных письменных данных и информации с указанием их типа, источника и схемы прохождения с момента получения до момента окончательного распоряжения ими.\n\n2. Лицо, уполномоченное согласно настоящим Правилам иметь доступ к конфиденциальным данным и информации, не разглашает таких данных и информации, за исключением тех случаев, когда это разрешается Конвенцией или настоящими Правилами. Генеральный секретарь предписывает любому лицу, уполномоченному иметь доступ к конфиденциальным данным и информации, делать в присутствии Генерального секретаря или назначенного им представителя письменное заявление о том, что имеющее такой допуск лицо: a) признает свои юридические обязательства согласно Конвенции и настоящим Правилам относительно неразглашения конфиденциальных данных и информации;\n\nb) соглашается соблюдать применимые правила и процедуры, установленные для обеспечения конфиденциальности таких данных и информации.\n\n3. Юридическая и техническая комиссия ограждает конфиденциальность конфиденциальных данных и информации, представленных ей в соответствии с настоящими Правилами или контрактом, заключенным согласно настоящим Правилам. В соответствии с положениями пункта 8 статьи 163 Конвенции члены Комиссии не должны разглашать даже после прекращения осуществления своих функций никакие промышленные секреты, имеющие характер собственности данные, которые передаются Органу в соответствии со статьей 14 приложения III к Конвенции, и никакую другую конфиденциальную информацию, которая стала им известна в силу их обязанностей, выполняемых в Органе.\n\n4. Генеральный секретарь и персонал Органа не должны разглашать даже после прекращения осуществления своих функций в Органе никакие промышленные секреты, имеющие характер собственности данные, которые передаются Органу в соответствии со статьей 14 приложения III к Конвенции, и никакую другую конфиденциальную информацию, которая стала им известна в силу их службы в Органе.\n\n5. Принимая во внимание ответственность Органа согласно статье 22 приложения III к Конвенции, Орган может принимать какие бы то ни было надлежащие меры в отношении любого лица, которое в силу своих обязанностей, выполняемых в Органе, имеет доступ к каким-либо конфиденциальным данным и информации и которое нарушает обязательства в отношении конфиденциальности, содержащиеся в Конвенции и настоящих Правилах.\n\nЧасть VII. Общие процедуры\n\nПравило 40. Уведомления и общие процедуры\n\n1. Любое заявление, просьба, уведомление, сообщение, согласие, одобрение, освобождение от обязательств, распоряжение или инструкция, предусмотренные настоящими Правилами, направляются Генеральным секретарем или же назначенным представителем изыскателя, заявителя либо контрактора в письменном виде. Требование о представлении какой-либо информации в письменном виде согласно настоящим Правилам удовлетворяется представлением информации в электронном документе, содержащем цифровую подпись. Они доставляются с посыльным либо по телексу, факсу, заказной авиапочтой или электронной почтой с авторизованной электронной подписью Генеральному секретарю в штаб-квартиру Органа или же назначенному представителю.\n\n2. Доставка с посыльным считается состоявшейся в момент вручения. Доставка по телексу считается состоявшейся на следующий рабочий день после того, как на телексном аппарате отправителя появляется автоответ. Доставка по факсу считается состоявшейся, когда отправитель получает сигнал «сообщение передано», подтверждающий, что сообщение прошло на обнародованный номер факса получателя. Доставка заказной авиапочтой считается состоявшейся через 21 день после отправки. Предполагается, что электронный документ получен адресатом, когда он попадает в информационную систему, обозначенную или используемую адресатом для цели получения документов, аналогичных отправленному, и он может быть извлечен и обработан адресатом.\n\n3. Уведомление в адрес назначенного представителя изыскателя, заявителя или контрактора представляет собой действительное уведомление изыскателя, заявителя или контрактора для всех целей по настоящим Правилам, а назначенный представитель является представителем изыскателя, заявителя или контрактора для целей вручения повесток или извещений по любому производству в каком-либо компетентном судебном или арбитражном органе.\n\n4. Уведомление в адрес Генерального секретаря представляет собой действительное уведомление Органа для всех целей по настоящим Правилам, а Генеральный секретарь является представителем Органа для целей вручения повесток или извещений по любому производству в каком-либо компетентном судебном или арбитражном органе.\n\nПравило 41. Рекомендации, призванные сориентировать контракторов\n\n1. Юридическая и техническая комиссия может периодически выносить рекомендации технического или административного характера, призванные сориентировать контракторов, помогая им в толковании норм, правил и процедур Органа.\n\n2. Полный текст таких рекомендаций сообщается Совету. Если Совет находит, что та или иная рекомендация не соответствует предназначению и цели настоящих Правил, он может потребовать изменения или изъятия этой рекомендации.\n\nЧасть VIII. Урегулирование споров\n\nПравило 42. Споры\n\n1. Споры относительно толкования или применения настоящих Правил урегулируются в соответствии с разделом 5 части XI Конвенции.\n\n2. Любое окончательное решение относительно прав и обязанностей Органа и контрактора, вынесенное каким-либо судебным или арбитражным органом, имеющим юрисдикцию в соответствии с Конвенцией, подлежит исполнению на территории каждого государства — участника Конвенции.\n\nЧасть IX. Ресурсы помимо полиметаллических сульфидов или кобальтовых корок\n\nПравило 43. Ресурсы помимо полиметаллических сульфидов Если изыскатель или контрактор обнаруживает в Районе ресурсы помимо полиметаллических сульфидов, поиск, разведка и разработка таких ресурсов регламентируются в соответствии с Конвенцией и Соглашением нормами, правилами и процедурами Органа, касающимися таких ресурсов. Изыскатель или контрактор уведомляет орган о том, что он обнаружил.\n\nЧасть X. Обзор\n\nПравило 44. Обзор\n\n1. Через пять лет после утверждения настоящих Правил Ассамблеей или в любой последующий момент времени Совет проводит обзор того, как Правила функционируют на практике.\n\n2. Если в свете обновленных знаний или технологии становится очевидным, что Правила не адекватны, любое государство-участник, Юридическая и техническая комиссия или любой контрактор через посредство своего удостоверяющего государства может в любой момент времени просить Совет провести на своей следующей очередной сессии пересмотр настоящих Правил.\n\n3. В свете обзора Совет может принимать и в предварительном порядке применять (впредь до утверждения Ассамблеей) поправки к положениям настоящих Правил, принимая во внимание рекомендации Юридической и технической комиссии или других соответствующих подчиненных органов. Любые такие поправки не наносят ущерба правам, присваиваемым какому-либо контрактору в соответствии с положениями контракта с Органом, заключенного в соответствии с настоящими Правилами, действующего на момент внесения любой такой поправки.\n\n4. Если в какие-либо положения настоящих Правил вносятся поправки, то контрактор и Орган могут пересмотреть контракт в соответствии с разделом 24 приложения 4.\n\nПриложение 1. Уведомление о намерении заняться поиском\n\n1. Наименование изыскателя:\n\n2. Местонахождение изыскателя:\n\n3. Почтовый адрес (если отличается от вышеуказанного):\n\n4. Телефон:\n\n5. Факс:\n\n6. Адрес электронной почты:\n\n7. Национальная принадлежность изыскателя:\n\n8. Если изыскатель является юридическим лицом, указать: a) место его регистрации и\n\nb) местонахождение его главной конторы/его домициль — и приложить копию регистрационного свидетельства изыскателя.\n\n9. Наименование назначенного изыскателем представителя:\n\n10. Местонахождение (адрес) назначенного изыскателем представителя (если отличается от вышеуказанного):\n\n11. Почтовый адрес (если отличается от вышеуказанного):\n\n12. Телефон:\n\n13. Факс:\n\n14. Адрес электронной почты:\n\n15. Приложить координаты ориентировочного района (районов) проведения поиска в соответствии с мировой геодезической системой WGS.\n\n16. Приложить общее описание программы поиска, включая дату начала и примерную продолжительность программы.\n\n17. Приложить письменное обязательство о том, что изыскатель будет: a) соблюдать Конвенцию и соответствующие нормы, правила и процедуры Органа, касающиеся: i) сотрудничества в программах подготовки кадров в связи с морскими научными исследованиями и передачей технологии, о которых говорится в статьях 143 и 144 Конвенции, и ii) защиты и сохранения морской среды, и b) давать согласие на проведение Органом проверки их соблюдения.\n\n18. Перечислить в данном пункте все добавления и приложения к настоящему уведомлению (все данные и информация должны представляться в печатном виде и в указанном Органом цифровом формате): Дата: _________________________ Подпись назначенного изыскателем представителя ЗАВЕРЕНО: Подпись заверяющего лица Имя заверяющего лица Должность заверяющего лица\n\nПриложение 2. Заявка на утверждение плана работы по разведке для получения контракта\n\nРаздел I. Информация о заявителе\n\n1. Наименование заявителя:\n\n2. Местонахождение заявителя:\n\n3. Почтовый адрес (если отличается от вышеуказанного):\n\n4. Телефон:\n\n5. Факс:\n\n6. Адрес электронной почты:\n\n7. Наименование назначенного заявителем представителя:\n\n8. Местонахождение назначенного заявителем представителя (если отличается от вышеуказанного):\n\n9. Почтовый адрес (если отличается от вышеуказанного):\n\n10. Телефон:\n\n11. Факс:\n\n12. Адрес электронной почты:\n\n13. Если заявитель является юридическим лицом, указать: a) место его регистрации и\n\nb) местонахождение его главной конторы/его домициль — и приложить копию регистрационного свидетельства заявителя.\n\n14. Указать поручившееся государство (государства).\n\n15. По каждому поручившемуся государству указать дату сдачи на хранение им своего документа о ратификации Конвенции Организации Объединенных Наций по морскому праву 1982 года, о присоединении к ней или о правопреемстве в ее отношении и дату выражения согласия на обязательность для него Соглашения об осуществлении Части XI Конвенции Организации Объединенных Наций по морскому праву от 10 декабря 1982 года.\n\n16. К настоящей заявке должно прилагаться удостоверение о поручительстве, выданное поручившимся государством. Если заявитель имеет более чем одну национальность, как в случае партнерства или консорциума субъектов из более чем одного государства, должны прилагаться удостоверения о поручительстве, выданные каждым из таких государств.\n\nРаздел II. Информация о заявочном районе\n\n17. Определить границы заявочных блоков, приложив карту (в указанных Органом масштабе и проекции) и перечень географических координат (в соответствии с мировой геодезической системой WGS 84).\n\n18. Указать, что выбирает заявитель: передать зарезервированный район в соответствии с правилом 17 или предложить долю в акционерном капитале в рамках механизма совместного предприятия в соответствии с правилом 19.\n\n19. Если заявитель выбирает передать зарезервированный район: а) приложить карту (в указанных Органом масштабе и проекции) и перечень координат, разделяющих общий район на две части одинаковой предположительной коммерческой ценности, и\n\nb) включить в приложение достаточную информацию, позволяющую Совету обозначить зарезервированный район с учетом предположительной коммерческой ценности каждой части заявочного района. Такое приложение должно включать имеющиеся у заявителя данные по обеим частям заявочного района, в том числе: i) данные о местоположении, съемке и оценке полиметаллических сульфидов в районах, включая: a. описание технологий, связанных с извлечением и обработкой полиметаллических сульфидов, которое необходимо для обозначения зарезервированного района; b. карту с указанием таких физических и геологических характеристик, как топография морского дна, батиметрия и донные течения, и информацию о степени надежности соответствующих данных; c. карту, на которую нанесены данные дистанционного зондирования (как-то электромагнитная съемка) и прочие исследовательские данные, использованные для определения пространственной протяженности каждого рудного тела полиметаллических сульфидов; d. характеристики керна и другие данные, использованные для определения параметров третьего измерения залежей, а соответственно и для определения сортности и тоннажа рудного тела полиметаллических сульфидов; e. данные, демонстрирующие распределение активных и неактивных участков полиметаллических сульфидов, и сроки, когда активность прекратилась в неактивных участках или началась в активных участках; f. данные, указывающие на средний тоннаж (в метрических тоннах) каждого рудного тела полиметаллических сульфидов, которое станет участком добычи, и соответствующую карту тоннажа с указанием мест пробоотбора; g. данные о среднем содержании металлов, представляющих экономический интерес, (сортность) на основе химических проб в процентах (сухого) веса и соответствующую карту сортности с указанием различий между рудными телами полиметаллических сульфидов и параметров конкретных рудных тел; h. фидов; сводные карты тоннажа и сортности полиметаллических суль- i. произведенный на основе стандартных процедур (включая статистический анализ) расчет с использованием представленных данных и выкладок, дающий основания полагать, что оба района содержат полиметаллические сульфиды одинаковой предположительной коммерческой ценности, которая выражается в виде объема металлов, извлекаемого на поддающихся разработке участках; j. описание методов, использованных заявителем; ii) информацию об экологических параметрах (в сезонной разбивке и за весь период испытаний), в том числе о скорости и направлении ветра, солености и температуре воды и биологических сообществах.\n\n20. Если заявочный район включает какую-либо часть зарезервированного района, приложить перечень координат района, являющегося частью зарезервированного района, и указать соответствующие характеристики заявителя сообразно с правилом 18 Правил.\n\nРаздел III. Финансовая и техническая информация\n\n21. Приложить достаточную информацию, позволяющую Совету определить, располагает ли заявитель финансовыми возможностями для осуществления предлагаемого плана работы по разведке и выполнения своих финансовых обязательств перед Органом: a) если заявка представляется Предприятием, приложить выданное его компетентным органом удостоверение о том, что Предприятие располагает необходимыми финансовыми ресурсами на покрытие сметных расходов по предлагаемому плану работы по разведке;\n\nb) если заявка представляется государством или государственным предприятием, приложить заявление государства или поручившегося государства, удостоверяющее, что заявитель располагает необходимыми финансовыми ресурсами на покрытие сметных расходов по предлагаемому плану работы по разведке; c) если заявка представляется субъектом, приложить проверенные финансовые ведомости заявителя (включая балансовые ведомости и отчеты о прибылях и убытках) за последние три года, составленные в соответствии с международно принятыми принципами учета и заверенные надлежащим образом квалифицированной аудиторской фирмой, а также: i) если заявителем является недавно созданный субъект и заверенной балансовой ведомости не имеется, — условную балансовую ведомость, заверенную соответствующим должностным лицом заявителя; ii) если заявителем является дочерняя компания другого субъекта, — копии таких финансовых ведомостей этого субъекта и заявление последнего о том, что заявитель будет располагать финансовыми ресурсами на осуществление плана работы по разведке, каковое заявление составляется в соответствии с международно принятыми принципами учета и заверяется надлежащим образом квалифицированной аудиторской фирмой; iii) если заявитель находится под контролем государства или государственного предприятия, — заявление этого государства или государственного предприятия, удостоверяющее, что заявитель будет располагать финансовыми ресурсами на осуществление плана работы по разведке.\n\n22. Если предлагаемый план работы по разведке намечается финансировать за счет займов, приложить заявление о сумме таких займов, сроках их погашения и процентной ставке.\n\n23. Приложить достаточную информацию, позволяющую Совету определить, в состоянии ли заявитель осуществить предлагаемый план работы по разведке в техническом отношении, включая: a) общее описание имеющихся у заявителя опыта, знаний, навыков, технической квалификации и специальной подготовки для осуществления предлагаемого плана работы по разведке;\n\nb) общее описание оборудования и методов, которые намечается использовать при осуществлении предлагаемого плана работы по разведке, и другую не имеющую характера собственности информацию о характеристиках такой технологии; c) общее описание имеющихся у заявителя финансовых и технических возможностей реагировать на любые инциденты или действия, причиняющие серьезный ущерб морской среде.\n\nРаздел IV. План работы по разведке\n\n24. Приложить следующую информацию о программе работы по разведке: a) общее описание и график предлагаемой программы разведки, включая программу деятельности на ближайший пятилетний период, как-то запланированные исследования в отношении экологических, технических, экономических и прочих соответствующих факторов, которые должны учитываться при разведке;\n\nb) описание программы океанографических и фоновых экологических исследований в соответствии с настоящими Правилами и любыми установленными Органом природоохранными нормами, правилами и процедурами, которая позволила бы произвести оценку потенциального экологического воздействия предлагаемой разведочной деятельности, включая воздействие на биоразнообразие, но не ограничиваясь таковым, с учетом любых рекомендаций, выносимых Юридической и технической комиссией; c) предварительная оценка возможного воздействия предлагаемой разведочной деятельности на морскую среду;\n\nd) описание предлагаемых мер по предупреждению, уменьшению и сохранению под контролем загрязнения и другого опасного воздействия на морскую среду, а также возможных последствий для нее; e) калькуляция предполагаемых годовых расходов по программе деятельности на ближайший пятилетний период.\n\nРаздел V. Обязательства\n\n25. Приложить письменное обязательство заявителя: a) признать в качестве подлежащих исполнению и соблюдать применимые обязательства, возникающие в силу положений Конвенции, норм, правил и процедур Органа, решений соответствующих органов Органа и условий его контрактов с Органом;\n\nb) признать предусмотренный Конвенцией контроль со стороны Органа за деятельностью в Районе; c) представить Органу письменное заверение в том, что его обязательства по контракту будут добросовестно выполняться.\n\nРаздел VI. Предыдущие контракты\n\n26. Заключал ли ранее заявитель, или — в случае представления заявки партнерством или консорциумом субъектов, осуществляющих деятельность совместно, — любой участник партнерства либо консорциума, или любой ассоциированный с ними субъект какой-либо контракт с Органом?\n\n27. Если ответ на вопрос 27 утвердительный, то заявка должна включать: a) дату предыдущего контракта (контрактов);\n\nb) дату представления, условное обозначение и название каждого отчета, представленного Органу в связи с контрактом (контрактами); c) в соответствующих случаях — дату прекращения контракта (контрактов).\n\nРаздел VII. Добавления\n\n28. Перечислить все добавления и приложения к настоящей заявке (все данные и информация должны представляться в печатном виде и в указанном Органом цифровом формате): Дата: _________________________ ЗАВЕРЕНО: Подпись назначенного заявителем представителя Подпись заверяющего лица Имя заверяющего лица Должность заверяющего лица\n\nПриложение 3. Контракт на разведку НАСТОЯЩИЙ КОНТРАКТ, заключенный « » _____ года между МЕЖДУНАРОДНЫМ ОРГАНОМ ПО МОРСКОМУ ДНУ (именуемым далее «Орган»), представленным его ГЕНЕРАЛЬНЫМ СЕКРЕТАРЕМ, и ____________________ (именуемым далее «Контрактор»), представленным _____________________, УДОСТОВЕРЯЕТ нижеследующее: Инкорпорация условий A. Стандартные условия, приводимые в приложении 2 к Правилам поиска и разведки полиметаллических сульфидов в Районе, включаются в настоящий контракт и имеют такую же силу, как если бы они развернуто приводились в самом контракте. Разведочный район B. Для целей настоящего контракта «разведочный район» означает ту часть Района, которая выделена Контрактору для разведки; она определяется перечисленными в добавлении 1 к контракту координатами и может периодически сокращаться в соответствии со стандартными условиями и Правилами. Предоставление прав C. С учетом: 1) их взаимной заинтересованности в осуществлении деятельности по разведке в разведочном районе в соответствии с Конвенцией и Соглашением, 2) ответственность Органа за организацию и контроль деятельности в Районе, особенно в целях управления ресурсами Района, в соответствии с правовым режимом, установленным, соответственно, в части XI Конвенции и Соглашении и в части XII Конвенции, и 3) интересов и финансовых обязательств Контрактора в осуществлении деятельности в разведочном районе и взаимных договоренностей, закрепленных в настоящем контракте, Орган настоящим предоставляет Контрактору исключительное право на разведку полиметаллических сульфидов в разведочном районе в соответствии с условиями настоящего контракта. Вступление в силу и срок действия контракта D. Настоящий контракт вступает в силу по его подписании обеими сторонами и с соблюдением стандартных условий остается в силе в течение последующих пятнадцати лет, если только: 1) Контрактор не получит контракт на разработку в разведочном районе, вступающий в силу до истечения такого пятнадцатилетнего периода, или 2) контракт не будет прекращен ранее, при условии что срок действия контракта может быть продлен в соответствии со стандартными условиями 3.2 и 17.2. Добавления E. Добавления, упоминаемые в стандартных условиях, а именно в разделе 4 и разделе 8, являются для целей настоящего контракта, соответственно, добавлениями 2 и 3. Содержание соглашения F. Настоящий контракт заключает в себе все содержание соглашения между сторонами, и никакие устные договоренности или предшествующие документы не меняют его условий. В УДОСТОВЕРЕНИЕ ЧЕГО нижеподписавшиеся, должным образом на то уполномоченные соответствующими сторонами, подписали « » ______ года в __________ настоящий контракт.\n\nДобавление 1. [Координаты и иллюстративная карта разведочного района]\n\nДобавление 2. [Периодически пересматриваемая программа деятельности на текущий пятилетний период]\n\nДобавление 3 [Программа подготовки кадров становится добавлением к контракту после утверждения Органом в соответствии с разделом 8 стандартных условий.]\n\nПриложение 4\n\nСтандартные условия контракта на разведку\n\nРаздел 1. Определения\n\n1.1 В нижеследующих условиях: a) «разведочный район» означает ту часть Района, которая выделена Контрактору для разведки; она описывается в добавлении 1 к настоящему контракту и может периодически сокращаться в соответствии с настоящим контрактом и Правилами;\n\nb) «программа деятельности» означает программу деятельности, которая изложена в добавлении 2 к контракту и может периодически корректироваться в соответствии с разделами 4.3 и 4.4 стандартных условий; c) «Правила» означает Правила поиска и разведки полиметаллических сульфидов в Районе, принимаемые Органом.\n\n1.2 Термины и выражения, которым дано определение в Правилах, имеют то же значение и в настоящих стандартных условиях.\n\n1.3 В соответствии с Соглашением об осуществлении Части XI Конвенции Организации Объединенных Наций по морскому праву от 10 декабря 1982 года его положения и часть XI Конвенции толкуются и применяются совместно, как единый акт; настоящий контракт и содержащиеся в нем ссылки на Конвенцию толкуются и применяются соответствующим же образом.\n\n1.4 Настоящий контракт включает добавления к нему, которые являются его неотъемлемой частью.\n\nРаздел 2. Гарантия обладания контрактом\n\n2.1 Контрактору гарантируется обладание контрактом, и настоящий контракт не может быть приостановлен, прекращен или пересмотрен иначе как в соответствии с разделами 20, 21 и 24 стандартных условий.\n\n2.2 Контрактор имеет исключительное право на разведку полиметаллических сульфидов в разведочном районе в соответствии с положениями настоящего контракта. Орган обеспечивает, чтобы никакой иной субъект не осуществлял в разведочном районе деятельность, связанную с иной категорией ресурсов, таким образом, чтобы это создавало необоснованные помехи для деятельности Контрактора.\n\n2.3 Контрактор вправе, уведомив Орган, в любой момент полностью или частично отказаться, не подвергаясь каким-либо санкциям, от своих прав в разведочном районе, при том что он не освобождается ни от каких обязательств, возникших в отношении района, от которого он отказывается, до даты такого отказа.\n\n2.4 Ничто в настоящем контракте не может рассматриваться как наделяющее Контрактора какими-либо правами помимо тех, которые прямо ему предоставлены контрактом. Орган оставляет за собой право заключать с третьими сторонами контракты в отношении ресурсов помимо полиметаллических сульфидов в районе, охватываемом настоящим контрактом.\n\nРаздел 3. Срок действия контракта\n\n3.1 Настоящий контракт вступает в силу по его подписании обеими сторонами и остается в силе в течение последующих пятнадцати лет, если только: a) Контрактор не получит контракт на разработку в разведочном районе, вступающий в силу до истечения такого пятнадцатилетнего срока, или b) контракт не будет прекращен ранее, при условии что срок действия контракта может быть продлен в соответствии с разделами 3.2 и 17.2 стандартных условий.\n\n3.2 По заявлению Контрактора не позднее чем за шесть месяцев до истечения настоящего контракта контракт может быть продлен на сроки, не превышающие пяти лет каждый, на таких условиях, которые Орган и Контрактор могут в тот момент согласовать в соответствии с Правилами. Такие продления утверждаются, если Контрактор добросовестно пытался соблюсти требования настоящего контракта, однако в силу неподвластных ему обстоятельств не смог завершить необходимую подготовительную работу для перехода к этапу разработки, либо если такой переход не оправдывается сложившейся экономической конъюнктурой.\n\n3.3 Независимо от истечения срока действия настоящего контракта в соответствии с разделом 3.1 стандартных условий, если Контрактор не позднее чем за\n\n90 дней до истечения срока действия подаст заявку на контракт на разработку, права и обязательства Контрактора по настоящему контракту остаются в силе до тех пор, пока эта заявка не будет рассмотрена и не будет заключен или же отклонен контракт на разработку.\n\nРаздел 4. Разведка\n\n4.1 Контрактор начинает разведку в соответствии с графиком, предусмотренным в программе деятельности, изложенной в добавлении 2 к контракту, и придерживается таких сроков или любых их изменений, которые предусмотрены в настоящем контракте.\n\n4.2 Контрактор выполняет программу деятельности, изложенную в добавлении 2 к контракту. В каждом контрактном году Контрактор расходует в качестве фактических прямых затрат на разведку сумму, не меньшую указанной в такой программе или любом согласованном пересмотренном ее варианте.\n\n4.3 Контрактор с согласия Органа, который не может необоснованно отказать в таком согласии, может периодически вносить в программу деятельности и указанные в ней расходы такие изменения, которые могут быть необходимы и разумны в соответствии с принятой в добывающей промышленности надлежащей практикой и с учетом конъюнктуры на рынке металлов, содержащихся в полиметаллических сульфидах, и иных условий мировой экономической конъюнктуры.\n\n4.4 Не позднее чем за 90 дней до истечения каждого пятилетнего срока, отсчитываемого с даты, когда настоящий контракт вступает в силу в соответствии с разделом 3 стандартных условий, Контрактор и Генеральный секретарь совместно производят обзор осуществления плана работы по разведке в соответствии с настоящим контрактом. Генеральный секретарь может затребовать у Контрактора дополнительные данные и информацию, которые могут оказаться необходимы для целей обзора. В свете этого обзора Контрактор вносит в свой план работы необходимые коррективы и формулирует свою программу деятельности на последующий пятилетний период, включая пересмотренную смету ожидаемых ежегодных расходов. В добавление 2 к контракту вносятся соответствующие коррективы.\n\nРаздел 5. Экологический мониторинг\n\n5.1 Контрактор принимает необходимые меры для предотвращения, сокращения и сохранения под контролем загрязнения и других опасностей для морской среды, вызываемых его деятельностью в Районе, насколько это реально возможно, используя осторожный подход и передовую природоохранную практику.\n\n5.2 До начала разведочной деятельности Контрактор представляет Органу: a) оценку возможного воздействия предлагаемой деятельности на морскую среду;\n\nb) предложение по программе мониторинга, позволяющей определить возможное воздействие предлагаемой деятельности на морскую среду, и c) данные, могущие применяться для установления экологического фона, в сопоставлении с которым оценивается воздействие предлагаемой деятельности.\n\n5.3 По ходу разведочной деятельности Контрактор производит в соответствии с Правилами сбор фоновых экологических данных и устанавливает экологический фон, в сопоставлении с которым оценивается возможное воздействие деятельности Контрактора на морскую среду.\n\n5.4 Контрактор организует и осуществляет в соответствии с Правилами программу мониторинга такого воздействия на морскую среду и сообщения о нем. Контрактор сотрудничает с Органом в осуществлении такого мониторинга.\n\n5.5 В течение 90 дней после окончания каждого календарного года Контрактор сообщает Генеральному секретарю об осуществлении и результатах программы мониторинга, о которой говорится в разделе 5.4 стандартных условий, и представляет данные и информацию в соответствии с Правилами.\n\nРаздел 6. Планы чрезвычайных мер и чрезвычайные ситуации\n\n6.1 До начала осуществления своей программы деятельности по настоящему контракту Контрактор представляет Генеральному секретарю план чрезвычайных мер с целью эффективного реагирования на вызванные деятельностью Контрактора на море в разведочном районе инциденты, которые могут причинить серьезный ущерб морской среде или вызвать угрозу серьезного ущерба. В таком плане чрезвычайных мер устанавливаются специальные процедуры и предусматривается надлежащее и подходящее оборудование для борьбы с такими инцидентами и, в частности, оговаривается: a) немедленное объявление общей тревоги в районе разведочной деятельности; b) немедленное извещение Генерального секретаря; c) предупреждение судов, которые могут вскоре оказаться в непосредственной близости;\n\nd) непрерывное снабжение Генерального секретаря полной информацией, касающейся подробностей уже принятых чрезвычайных мер и требуемых дальнейших действий; e) устранение в надлежащих случаях загрязняющих веществ; f) сокращение и, насколько это реально возможно, предотвращение серьезного ущерба морской среде, а также смягчение соответствующих последствий;\n\ng) сотрудничество при необходимости с другими контракторами Органа в целях устранения чрезвычайной ситуации; h) проведение периодических учебных тревог.\n\n6.2 Контрактор оперативно сообщает Генеральному секретарю о любом вызванном деятельностью Контрактора инциденте, который причинил, причиняет или угрожает причинить серьезный ущерб морской среде. Каждое такое сообщение содержит подробное изложение такого инцидента, включая, в частности: a) координаты района, который был затронут или который вполне может быть затронут;\n\nb) описание действий, предпринимаемых Контрактором в целях предотвращения, сдерживания, максимального сокращения и устранения серьезного ущерба морской среде; c) описание действий, предпринимаемых Контрактором в целях мониторинга последствий инцидента для морской среды;\n\nd) такую другую информацию, которая может разумно потребоваться Генеральному секретарю.\n\n6.3 Контрактор выполняет издаваемые Советом чрезвычайные распоряжения и принимаемые Генеральным секретарем в соответствии с Правилами экстренные меры временного характера, которые направлены на предотвращение, сдерживание, максимальное сокращение или устранение серьезного ущерба или угрозы серьезного ущерба морской среде и которые могут включать распоряжения о том, чтобы Контрактор немедленно приостановил или скорректировал любую деятельность в разведочном районе.\n\n6.4 Если Контрактор не выполняет оперативно такие чрезвычайные распоряжения или экстренные меры временного характера, то Совет может принимать за счет Контрактора такие разумные меры, которые необходимы для предотвращения, сдерживания, максимального сокращения или устранения любого такого серьезного ущерба или угрозы серьезного ущерба морской среде. Контрактор оперативно возмещает Органу такие расходы. Такие расходы не включают любые денежные штрафы, которые могут быть наложены на Контрактора в соответствии с условиями настоящего контракта или Правилами.\n\nРаздел 7. Человеческие останки и объекты и участки, имеющие археологическое или историческое значение Контрактор незамедлительно уведомляет Генерального секретаря в письменном виде об обнаружении в разведочном районе каких бы то ни было человеческих останков, имеющих археологическое или историческое значение, или каких-либо объектов или участков аналогичного характера и об их местонахождении, включая принятые меры по сохранению и защите. Генеральный секретарь препровождает такую информацию Генеральному директору Организации Объединенных Наций по вопросам образования, науки и культуры и любой иной компетентной международной организации. При обнаружении в разведочном районе любых таких человеческих останков, объектов или участков и во избежание причинения ущерба таким человеческим останкам, объектам или участкам в разумном радиусе не проводится никаких дальнейших поисковоразведочных работ, пока Совет не примет иного решения с учетом мнения Генерального директора Организации Объединенных Наций по вопросам образования, науки и культуры или любой иной компетентной международной организации.\n\nРаздел 8. Подготовка кадров\n\n8.1 В соответствии с Правилами Контрактор до начала разведки по настоящему контракту представляет Органу на утверждение предлагаемые программы подготовки персонала Органа и развивающихся государств, включая участие такого персонала во всех мероприятиях Контрактора по настоящему контракту.\n\n8.2 Сфера охвата и порядок финансирования программы подготовки кадров подлежат согласованию между Контрактором, Органом и поручившимся государством (государствами).\n\n8.3 Контрактор осуществляет программы подготовки кадров согласно утвержденной Органом в соответствии с Правилами конкретной программе подготовки персонала, о которой говорится в разделе 8.1 стандартных условий и ко- торая с вносимыми в нее периодически изменениями становится частью контракта в качестве добавления 3.\n\nРаздел 9. Книги и записи Контрактор содержит в соответствии с международно принятыми принципами учета полный и надлежащий комплект книг, счетов и финансовых записей. Такие книги, счета и финансовые записи включают информацию, которая дает полный отчет о фактических прямых затратах на разведку, и такую другую информацию, которая позволяет произвести эффективную ревизию таких расходов.\n\nРаздел 10. Годовые отчеты\n\n10.1 В течение 90 дней после окончания каждого календарного года Контрактор представляет Генеральному секретарю в таком формате, который может периодически рекомендовать Юридическая и техническая комиссия, отчет о своей программе деятельности в разведочном районе, содержащий, насколько это применимо, достаточно подробную информацию: a) о разведочных работах, выполненных за календарный год, включая карты, диаграммы и графики, иллюстрирующие проделанную работу и полученные результаты;\n\nb) об оборудовании, использовавшемся при выполнении разведочных работ, включая результаты проведенных испытаний предлагаемых добычных технологий, без данных о конструкции оборудования; и c) об осуществлении программ подготовки кадров, включая любые предлагаемые изменения или дополнения к таким программам.\n\n10.2 В таких отчетах содержатся также: a) результаты, полученные в ходе программ экологического мониторинга, включая наблюдения, измерения, оценки и анализы экологических параметров;\n\nb) заявление о количестве полиметаллических сульфидов, извлеченных в виде проб или для испытаний; c) подготовленная в соответствии с международно принятыми принципами учета и заверенная надлежащим образом уполномоченной аудиторской фирмой или — когда Контрактором является государство или государственное предприятие — поручившимся государством ведомость фактических прямых затрат на разведку, понесенных Контрактором при осуществлении программы деятельности за учетный год Контрактора (такие затраты могут проводиться Контрактором как часть его расходов по освоению, понесенных до начала промышленного производства), и\n\nd) подробное изложение предлагаемых корректировок программы деятельности и оснований для таких корректировок.\n\n10.3 Контрактор представляет также информацию, которая дополняет отчеты, упомянутые в разделах 10.1 и 10.2 стандартных условий и которую периодически может обоснованно затребовать Генеральный секретарь в целях осуществления функций Органа по Конвенции, Правилам и настоящему контракту.\n\n10.4 До истечения срока действия настоящего контракта Контрактор сохраняет в хорошем состоянии показательную часть проб и кернов полиметаллических сульфидов, собранных в ходе разведки. Орган может в письменном виде запросить у Контрактора для анализа часть любой такой пробы и кернов, полученных в ходе разведки.\n\nРаздел 11. Данные и информация, представляемые по истечении срока действия контракта\n\n11.1 Контрактор передает Органу все данные и информацию, которые необходимы и имеют значение для эффективного осуществления полномочий и функций Органа в отношении разведочного района в соответствии с положениями настоящего раздела.\n\n11.2 По истечении срока действия настоящего контракта Контрактор представляет Генеральному секретарю, если он еще этого не сделал, следующие данные и информацию: a) копии геологических, экологических, геохимических и геофизических данных, которые получены Контрактором в ходе выполнения программы деятельности и которые необходимы и имеют значение для эффективного осуществления полномочий и функций Органа в отношении разведочного района;\n\nb) оценка эксплуатабельных залежей (если такие залежи были определены), которая включает подробные сведения о сортности и количестве доказанных, вероятных и возможных запасов полиметаллических сульфидов и предполагаемых условиях добычи; c) копии геологических, технических, финансовых и экономических отчетов, которые составлены Контрактором или для него и которые необходимы и имеют значение для эффективного осуществления полномочий и функций Органа в отношении разведочного района;\n\nd) достаточно подробная информация об оборудовании, использовавшемся при выполнении разведочных работ, включая результаты проведенных испытаний предлагаемых добычных технологий, без данных о конструкции оборудования; e) заявление о количестве полиметаллических сульфидов, извлеченных в виде проб или для испытаний; и f) заявление о том, каким образом и где пробы и керны были получены, и об их доступности Органу.\n\n11.3 Указанные в разделе 11.2 стандартных условий данные и информация представляются Генеральному секретарю также в том случае, если до истечения срока действия настоящего контракта Контрактор подает заявку на утверждение плана работы по разработке или если Контрактор отказывается от сво- их прав в разведочном районе, — в том объеме, в каком такие данные и информация относятся к району, от которого он отказывается.\n\nРаздел 12. Конфиденциальность Переданные Органу в соответствии с настоящим контрактом данные и информация рассматриваются как конфиденциальные в соответствии с положениями настоящего раздела и Правилами.\n\nРаздел 13. Обязательства\n\n13.1 Контрактор ведет разведку в соответствии с условиями настоящего контракта, Правилами, частью XI Конвенции, Соглашением и другими нормами международного права, согласующимися с Конвенцией.\n\n13.2 Контрактор обязуется: a) признать в качестве подлежащих исполнению и соблюдать условия настоящего контракта;\n\nb) выполнять применимые обязательства, возникающие в силу положений Конвенции, норм, правил и процедур Органа и решений соответствующих органов Органа; c) признать предусмотренный Конвенцией контроль со стороны Органа за деятельностью в Районе;\n\nd) добросовестно выполнять свои обязательства по настоящему контракту; и e) соблюдать, насколько это реально возможно, любые рекомендации, которые может периодически выносить Юридическая и техническая комиссия.\n\n13.3 Контрактор активно осуществляет программу работы и при этом: a) проявляет должное старание, действенность и экономию; b) разумно учитывает воздействие своей деятельности на морскую сре- c) разумно учитывает другую деятельность в морской среде. ду; и\n\n13.4 В соответствии со статьей 157 Конвенции Орган обязуется добросовестно выполнять свои полномочия и функции по Конвенции и Соглашению.\n\nРаздел 14. Инспектирование\n\n14.1 Контрактор разрешает Органу направлять своих инспекторов на борт судов и установок, используемых Контрактором для осуществления деятельности в разведочном районе, в целях: a) проверки соблюдения Контрактором условий настоящего контракта и Правил; и b) мониторинга воздействия такой деятельности на морскую среду.\n\n14.2 Генеральный секретарь за разумный срок сообщает Контрактору сведения о предполагаемом времени и продолжительности инспекций, имена инспекторов и сведения о любой их деятельности, для которой может потребоваться наличие специального оборудования или особое содействие персонала Контрактора.\n\n14.3 Такие инспекторы полномочны производить осмотр любого судна или установки, включая их судовой журнал, оборудование, отчеты, оснащение, все прочие регистрируемые данные и любые соответствующие документы, необходимые для проверки соблюдения Контрактором своих обязательств.\n\n14.4 Контрактор, его агенты и работники оказывают инспекторам содействие в выполнении их обязанностей и: a) допускают и облегчают быструю и безопасную высадку инспекторов на суда и установки;\n\nb) оказывают содействие в осмотре любого судна или установки, производимом в соответствии с этими процедурами; c) обеспечивают доступ ко всему соответствующему оборудованию, оснащению и персоналу на судах и установках в любое разумное время;\n\nd) не чинят препятствий, не допускают угроз и не мешают инспекторам в выполнении ими своих обязанностей; e) обеспечивают инспекторам разумные условия, включая, когда необходимо, продовольствие и жилые помещения; и f) способствуют безопасному убытию инспекторов.\n\n14.5 Инспекторы избегают вмешательства в нормальные и безопасные операции на борту судов и установок, используемых Контрактором для осуществления деятельности в посещаемом районе, и действуют сообразно Правилам и мерам, принятым в целях охраны конфиденциальности данных и информации.\n\n14.6 Генеральный секретарь и любой из должным образом уполномоченных его представителей имеют доступ — на предмет ревизии и изучения — к любым книгам, документам, бумагам и записям Контрактора, которые необходимы для проверки расходов, упомянутых в разделе 10.2(c), и имеют непосредственное отношение к такой проверке.\n\n14.7 В тех случаях, когда требуется принятие мер, Генеральный секретарь направляет соответствующую информацию, содержащуюся в докладах инспекторов, Контрактору и поручившемуся за него государству (государствам).\n\n14.8 Если по какой-либо причине Контрактор не производит разведку и не запрашивает контракт на разработку, до ухода из разведочного района он уведомляет Генерального секретаря в письменном виде, с тем чтобы Орган мог осуществить инспектирование согласно настоящему разделу, если он примет такое решение.\n\nРаздел 15. Нормы техники безопасности, охраны труда и производственной гигиены\n\n15.1 Контрактор соблюдает установленные компетентными международными организациями или общими дипломатическими конференциями общепризнанные международные нормы и стандарты, касающиеся охраны человеческой жизни на море и предупреждения столкновений судов, и такие нормы, правила и процедуры, которые могут быть приняты Органом в отношении безопасности на море. Каждое судно, используемое для осуществления деятельности в Районе, имеет действительные на текущий момент свидетельства, требуемые и выдаваемые на основании таких международных норм и стандартов.\n\n15.2 При ведении разведки по настоящему контракту Контрактор соблюдает и выполняет такие нормы, правила и процедуры, которые могут быть приняты Органом в отношении защиты от дискриминации в области занятости, техники безопасности, производственной гигиены, производственных отношений, социального обеспечения, гарантий занятости и жилищно-бытовых условий на месте работы. В таких нормах, правилах и процедурах учитываются конвенции и рекомендации Международной организации труда и других компетентных международных организаций.\n\nРаздел 16. Ответственность\n\n16.1 Контрактор несет ответственность за любой фактический ущерб, в том числе ущерб морской среде, причиненный в результате неправомерных действий или бездействия самого Контрактора или его работников, субподрядчиков, агентов и всех лиц, выполняющих для них работы или действующих от их имени при осуществлении Контрактором деятельности по настоящему контракту, включая затраты на разумные меры по предотвращению или ограничению ущерба морской среде; при этом учитываются действия или бездействие Органа, способствовавшие причинению такого ущерба.\n\n16.2 Контрактор возмещает Органу, его работникам, субподрядчикам и агентам издержки по всем претензиям и требованиям, предъявленным любой третьей стороной в результате каких-либо неправомерных действий или бездействия Контрактора и его работников, агентов и субподрядчиков, а также всех лиц, выполняющих для них работы или действующих от их имени при осуществлении Контрактором деятельности по настоящему контракту.\n\n16.3 Орган несет ответственность за любой фактический ущерб Контрактору, причиненный в результате его неправомерных действий при исполнении им своих полномочий и функций, включая нарушения, предусмотренные пунктом 2 статьи 168 Конвенции; при этом учитываются способствовавшие причинению такого ущерба действия или бездействие Контрактора или его работников, агентов и субподрядчиков, а также всех лиц, выполняющих для них работы или действующих от их имени при осуществлении Контрактором деятельности по настоящему контракту.\n\n16.4 Орган возмещает Контрактору, его работникам, субподрядчикам, агентам и всем лицам, выполняющим для них работы или действующим от их имени при осуществлении Контрактором деятельности по настоящему контракту, издержки по всем претензиям и требованиям, предъявленным любой третьей стороной в результате каких-либо неправомерных действий или бездействия при осуществлении им своих полномочий и функций по настоящему контракту, включая нарушения, предусмотренные в пункте 2 статьи 168 Конвенции.\n\n16.5 Контрактор заключает с международно признанными страховыми компаниями надлежащие договоры страхования в соответствии с общепринятой международной морской практикой.\n\nРаздел 17. Форс-мажорные обстоятельства\n\n17.1 Контрактор не несет ответственности за неизбежную задержку с исполнением или неисполнение какого-либо из своих обязательств по настоящему контракту в силу форс-мажорных обстоятельств. Для целей настоящего контракта выражение «форс-мажорные обстоятельства» означает событие или состояние, предотвратить или сохранить под контролем которое Контрактор реально не мог, при условии что это событие или состояние не было вызвано небрежностью или нарушением принятой в добывающей промышленности надлежащей практики.\n\n17.2 Предоставленный Контрактору срок продлевается по его просьбе на период, равный по продолжительности вызванной форс-мажорными обстоятельствами задержке; соответственно продлевается и срок действия контракта.\n\n17.3 В случае форс-мажорных обстоятельств Контрактор принимает все разумные меры с целью устранить свою неспособность исполнить обязательство и соблюдать условия настоящего контракта с минимальной задержкой.\n\n17.4 Контрактор в разумно возможные сроки уведомляет Орган о сложившихся форс-мажорных обстоятельствах и аналогичным же образом уведомляет Орган о восстановлении нормальных условий.\n\nРаздел 18. Оговорка Ни Контрактор, ни какие-либо ассоциированные компании или субподрядчики никоим образом — ни прямо, ни опосредованно — не заявляют и не дают оснований предположить, что Орган или какое-либо его должностное лицо имеет или выразило какое-либо мнение относительно полиметаллических сульфидов в разведочном районе, причем ни в каких проспектах, уведомлениях, циркулярах, рекламных материалах, пресс-релизах или аналогичных документах, прямо или косвенно затрагивающих настоящий контракт и публикуемых Контрактором, какими-либо ассоциированными компаниями или субподрядчиками, не фигурируют и не поддерживаются заявления на этот счет. Для целей настоящего раздела выражение «ассоциированная компания» означает любое лицо, фирму или компанию либо принадлежащий государству субъект, контролирующие Контрактора, контролируемые им или находящиеся под общим с ним контролем.\n\nРаздел 19. Отказ от прав Контрактор вправе, уведомив Орган, отказаться от своих прав и прекратить действие настоящего контракта, не подвергаясь каким-либо санкциям, при том что он не освобождается ни от каких обязательств, возникших до даты такого отказа, и от тех обязательств, которые требуется выполнить после прекращения действия контракта в соответствии с Правилами.\n\nРаздел 20. Прекращение поручительства\n\n20.1 Если изменяется национальная принадлежность Контрактора или контроль над ним либо если поручившееся за Контрактора государство, как оно определяется в Правилах, прекращает свое поручительство, Контрактор оперативно уведомляет об этом Орган.\n\n20.2 В любом подобном случае действие контракта немедленно прекращается, если Контрактор не находит другого поручителя, который отвечает предписываемым Правилами требованиям и представляет Органу в оговоренный в Правилах срок удостоверение о поручительстве за Контрактора по установленной форме.\n\nРаздел 21. Приостановление и прекращение действия контракта и санкции\n\n21.1 Совет может приостановить или прекратить действие настоящего контракта, что не наносит ущерба каким-либо другим правам, которые может иметь Орган, в случае наступления любого из следующих событий: a) если, несмотря на письменные предупреждения Органа, Контрактор осуществлял свою деятельность таким образом, что это приводило к серьезным, постоянным и умышленным нарушениям основных условий настоящего контракта, части XI Конвенции, Соглашения и норм, правил и процедур, установленных Органом;\n\nb) если Контрактор не выполнил применимого к нему окончательного обязательного решения органа по урегулированию споров; c) если Контрактор становится неплатежеспособным, либо объявляет себя банкротом, либо заключает со своими кредиторами мировое соглашение, либо подвергается ликвидации или конкурсному управлению, будь то в принудительном или добровольном порядке, либо обращается в какой-либо судебный орган с просьбой назначить управляющего или же поручителя или управляющего для него самого, либо начинает в отношении себя производство по любому действующему сейчас или в будущем закону о банкротстве, несостоя- тельности или реструктуризации долгов, за исключением случаев, когда это делается в целях реорганизации.\n\n21.2 При условии соблюдения раздела 17 Совет может после консультаций с Контрактором приостановить или прекратить действие настоящего контракта (что не наносит ущерба каким-либо другим правам, которые может иметь Орган), если Контрактор оказывается не в состоянии исполнять свои обязательства по настоящему контракту в силу события или состояния, которое относится к форс-мажорным обстоятельствам по смыслу раздела 17.1 и которое продолжается в течение непрерывного промежутка времени, превышающего два года, несмотря на принятие Контрактором всех разумных мер с целью устранить свою неспособность исполнить обязательство и соблюдать условия настоящего контракта с минимальной задержкой.\n\n21.3 Любое приостановление или прекращение действия контракта осуществляется путем делаемого через Генерального секретаря уведомления, которое включает изложение причин этой меры. Приостановление или прекращение действия контракта вступает в силу через 60 дней после такого уведомления, если только Контрактор за этот срок не оспорит право Органа приостанавливать или прекращать действие контракта в соответствии с разделом 5 части XI Конвенции.\n\n21.4 Если Контрактор предпринимает такой шаг, действие настоящего контракта приостанавливается или прекращается только на основании окончательного обязательного решения в соответствии с разделом 5 части XI Конвенции.\n\n21.5 Если Совет приостанавливает действие настоящего контракта, он может путем уведомления потребовать, чтобы Контрактор не позднее чем через\n\n60 дней после такого уведомления возобновил свои операции и стал выполнять условия настоящего контракта.\n\n21.6 В случае какого-либо нарушения настоящего контракта, не охватываемого его разделом 21.1(a), либо вместо приостановления или прекращения действия контракта в соответствии с его разделом 21.1 Совет может наложить на Контрактора денежный штраф, соразмерный серьезности нарушения.\n\n21.7 Совет не может исполнить решение, предусматривающее наложение денежных штрафов, до тех пор пока Контрактору не будет предоставлена разумная возможность исчерпать средства судебной защиты, которыми он обладает в соответствии с разделом 5 части XI Конвенции.\n\n21.8 В случае прекращения или истечения срока действия настоящего контракта Контрактор выполняет требования Правил и удаляет из разведочного района все установки, механизмы, оборудование и материалы, обезопасив этот район для людей, судоходства и морской среды.\n\nРаздел 22. Передача прав и обязательств\n\n22.1 Права и обязательства Контрактора по настоящему контракту могут передаваться полностью или частично только с согласия Органа и в соответствии с Правилами.\n\n22.2 Орган без разумных оснований не отказывает в таком согласии, если субъект, которому предлагается передать права и обязательства, отвечает всем требованиям Правил и принимает на себя все обязательства Контрактора и если при этой передаче он не приобретает план работы, утверждение которого запрещалось бы пунктом 3(c) статьи 6 Приложения III к Конвенции.\n\n22.3 Условия, обязательства и положения настоящего контракта вступают в силу и являются обязательными для его сторон и их соответствующих правопреемников и правоприобретателей.\n\nРаздел 23. Неосвобождение от обязательств Никакой отказ одной из сторон от каких-либо прав в связи с нарушением условий настоящего контракта, которые должна выполнять другая сторона, не рассматривается как предоставление стороной освобождения от обязательств при любом последующем нарушении тех же или каких-либо других условий, подлежащих выполнению другой стороной.\n\nРаздел 24. Пересмотр\n\n24.1 Когда возникают или могут возникнуть обстоятельства, которые, по мнению Органа или Контрактора, приводят к тому, что настоящий контракт становится несправедливым или практически неосуществимым, или при которых невозможно достичь целей, изложенных в настоящем контракте либо в части XI Конвенции или в Соглашении, стороны вступают в переговоры с целью соответствующего его пересмотра.\n\n24.2 Настоящий контракт может также быть пересмотрен по договоренности между Контрактором и Органом с тем, чтобы облегчить применение любых норм, правил и процедур, принятых Органом после вступления в силу настоящего контракта.\n\n24.3 Настоящий контракт может быть подвергнут пересмотру, внесению поправок или иных изменений лишь с согласия Контрактора и Органа посредством соответствующего документа, подписанного уполномоченными представителями сторон.\n\nРаздел 25. Споры\n\n25.1 Любой спор между сторонами относительно толкования или применения настоящего контракта урегулируется в соответствии с разделом 5 части XI Конвенции.\n\n25.2 В соответствии с пунктом 2 статьи 21 приложения III к Конвенции окончательные решения суда или арбитража, имеющего компетенцию согласно Конвенции, относительно прав и обязанностей Органа и Контрактора подлежат исполнению на территории любого государства — участника Конвенции, затрагиваемого этими решениями.\n\nРаздел 26. Уведомление\n\n26.1 Любое заявление, просьба, уведомление, сообщение, согласие, одобрение, освобождение от обязательств, распоряжение или инструкция на основании настоящего контракта направляются Генеральным секретарем или же назначенным представителем Контрактора в письменном виде. Они доставляются с посыльным либо по телексу, по факсу, заказной авиапочтой или электронной почтой с авторизованной электронной подписью Генеральному секретарю в штаб-квартиру Органа или же назначенному представителю. Требование о представлении какой-либо информации в письменном виде согласно настоящим Правилам удовлетворяется представлением информации в электронном документе, содержащем цифровую подпись.\n\n26.2 Любая из сторон вправе изменить всякий такой адрес на любой другой, уведомив об этом не менее чем за десять дней другую сторону.\n\n26.3 Доставка с посыльным считается состоявшейся в момент вручения. Доставка по телексу считается состоявшейся на следующий рабочий день после того, как на телексном аппарате отправителя появляется автоответ. Доставка по факсу считается состоявшейся, когда отправитель получает сигнал «сообщение передано», подтверждающий, что сообщение прошло на обнародованный номер факса получателя. Доставка заказной авиапочтой считается состоявшейся через 21 день после отправки. Предполагается, что электронный документ получен адресатом, когда он попадает в информационную систему, обозначенную или используемую адресатом для цели получения документов, аналогичных отправленному, и он может быть извлечен и обработан адресатом.\n\n26.4 Уведомление в адрес назначенного представителя Контрактора представляет собой действительное уведомление Контрактора для всех целей по настоящему контракту, а назначенный представитель является представителем Контрактора для целей вручения повесток или извещений по любому производству в каком-либо компетентном судебном или арбитражном органе.\n\n26.5 Уведомление в адрес Генерального секретаря представляет собой действительное уведомление Органа для всех целей по настоящему контракту, а Генеральный секретарь является представителем Органа для целей вручения повесток или извещений по любому производству в каком-либо компетентном судебном или арбитражном органе.\n\nРаздел 27. Применимые правовые нормы\n\n27.1 Настоящий контракт регулируется положениями контракта, нормами, правилами и процедурами Органа, частью XI Конвенции, Соглашением и другими нормами международного права, согласующимися с Конвенцией.\n\n27.2 Контрактор, его работники, субподрядчики, агенты и все лица, выполняющие для них работы или действующие от их имени при осуществлении деятельности по настоящему контракту, соблюдают применимые правовые нормы, указанные в разделе 27.1 стандартных условий, и не участвуют ни прямым, ни косвенным образом в каких бы то ни было сделках, запрещенных этими нормами.\n\n27.3 Ничто в настоящем контракте не рассматривается как освобождение от необходимости запрашивать и получать те или иные разрешения или санкции, которые могут требоваться для той или иной деятельности по настоящему контракту.\n\nРаздел 28. Толкование Разбивка настоящего контракта на разделы и подразделы и их рубрикация предназначены только для удобства пользования и не влияют на его трактовку и толкование.\n\nРаздел 29. Дополнительные документы Каждая из сторон настоящего контракта соглашается оформлять и передавать все дальнейшие документы и делать и принимать все дальнейшие шаги и меры, которые могут оказаться необходимыми или целесообразными для выполнения положений настоящего контракта.\n", "n_chars": 119949}
{"corpus_id": "isa/regulation/sulphides-2010-zh", "version_id": "2010-11-15", "title": "“区域”内多金属硫化物探矿和勘探规章", "short_title": "国际海底管理局规章 — 多金属硫化物探矿和勘探（2010年）[ZH]", "jurisdiction": "international", "document_type": "isa_regulation", "official_citation": "ISBA/16/A/12/Rev.1，附件 — “区域”内多金属硫化物探矿和勘探规章", "authentic_languages": ["ar", "zh", "en", "fr", "ru", "es"], "language": "zh", "adoption_date": "2010-05-07", "entry_into_force_date": null, "source_url": "https://isa.org.jm/wp-content/uploads/2022/04/isba-16a-12rev1_1.pdf", "source_publisher": "国际海底管理局（ISA）", "source_is_official": true, "authoritative_status": "authentic_text", "text_fidelity": "extracted_verified", "content_hash": "sha256:28e0b0e6770e438e5357361cffce66ee3772c7cfddd2b1bc633265ee9664c157", "original_sha256": "sha256:f36690cd64d9bacdfc84495bf40b5fc4a37447a28fd4194267587571ec399317", "text_sha256": "sha256:28e0b0e6770e438e5357361cffce66ee3772c7cfddd2b1bc633265ee9664c157", "license": "isa-materials-terms", "rights_note": "中文作准文本；官方文件，归属于来源；未重新许可。", "provenance_note": "AUTHENTIC CHINESE TEXT — sibling under JC-006 (language-suffixed corpus_id; English base record is isa/regulation/sulphides-2010). Authentic in the six UN languages, all equally authoritative; the ZH text is stored here. Byte-exact official PDF (human download) stored as original.pdf (original_sha256 = the PDF hash); text extracted with pdftotext and cleaned by the committed scripts/extract.py, byte-exact reproducible; page furniture removed, no wording changed. This is an equally-authentic language version, NOT a translation of the English (translations, if any, live in the derived layer).", "text": "“区域”内多金属硫化物探矿和勘探规章 — ISBA/16/A/12/Rev.1，附件 [ZH]\n\n序言《联合国海洋法公约》(《公约》)规定，国家管辖范围以外的海床和洋底及其底土以及该区域的资源为人类的共同继承财产，其勘探与开发应为全人类的利益而进行。国际海底管理局代表全人类行事。本套规章旨在规定多金属硫化物的探矿和勘探活动。\n\n第一部分\n\n导言\n\n第1条用语和范围\n\n1.《公约》所用用语在本规章内涵义相同。\n\n2.《关于执行 1982 年 12 月 10 日<联合国海洋法公约>第十一部分的协定》《协(定》)规定，《协定》的条款及 1982 年 12 月 10 日《联合国海洋法公约》第十一部分应作为一个单一文书来解释和适用。本规章和本规章中提及《公约》的条款应相应地加以解释和适用。\n\n3.为本规章的目的：\n\n(a) “开发”是指在“区域”内为商业目的回收多金属硫化物和从中选取矿物，包括建设和运行供生产和销售金属之用的采矿、加工和运输系统；\n\n(b) “勘探”是指以专属权利在“区域”内探寻多金属硫化物矿床，分析这些矿床，使用并测试采集系统和设备、加工设施及运输系统，以及对开发时必须考虑的环境、技术、经济、商业和其他有关因素进行研究；\n\n(c) “海洋环境”包括影响和决定海洋生态系统、海洋水域及这些水域的上空，以及海床和洋底及其底土的生产力、状态、状况和素质的物理、化学、地质和生物的组成部分、条件和因素；\n\n(d) “多金属硫化物”是指“区域”内热液作用形成的硫化物矿床及伴生的矿物资源，其富含的金属除其他外包括铜、铅、锌、金和银；\n\n(e) “探矿”是指在不享有任何专属权利的情况下，在“区域”内探寻多金属硫化物矿床，包括估计多金属硫化物矿床的成分、规模和分布情况及其经济价值；\n\n(f)“对海洋环境造成严重损害”是指“区域”内活动对海洋环境所造成的任何使海洋环境出现显著不良变化的影响，这种影响是按照管理局根据国际公认标准和惯例所制定的规则、规章和程序断定的。\n\n4.本规章不影响按照《公约》第八十七条进行科学研究的自由，或是按照《公约》第一四三条和第二五六条在“区域”内进行海洋科学研究的权利。本规章的任何条款不应理解为限制各国行使《公约》第八十七条所述的公海自由。\n\n5.本规章可以由其他的，特别是关于保护和保全海洋环境的规则、规章和程序补充。本规章应符合《公约》和《协定》的规定及与《公约》无抵触的其他国际法规则。\n\n第二部分探矿\n\n第2条探矿\n\n1.探矿应按照《公约》和本规章进行，并须经秘书长告知探矿者，其通知已按照第 4 条第 2 款记录在案后方可开始。\n\n2.探矿者和秘书长应采用《里约宣言》原则 15 所反映的预防做法。1 实质证据显示可能对海洋环境造成严重损害时，不得进行探矿。\n\n3.不得在一项核准的多金属硫化物勘探工作计划所包括的区域或在保留区内进行探矿；亦不得在理事会因有对海洋环境造成严重损害的危险而不核准开发的区域内进行探矿。\n\n4. 探矿不应使探矿者取得对资源的任何权利。但是，探矿者可回收试验所需的合理数量的矿物，但不得用于商业用途。\n\n5. 探矿没有时间限制，但是探矿者如收到秘书长的书面通知，表示已就某一特定区域核准勘探工作计划，则应停止在该区域的探矿活动。\n\n6.一个以上的探矿者可在同一个或几个区域内同时进行探矿。\n\n第3条探矿通知\n\n1.申请探矿者应将其进行探矿的意向通知管理局。\n\n1 《联合国环境与发展会议的报告，1991 年 6 月 3 日至 14 日，里约热内卢》（联合国出版物，出售品编号 C.91.1.8 和更正），第 1 卷：《环发会议通过的决议》，决议 1，附件一。\n\n2. 每份探矿通知应以本规章附件 1 规定的格式提交秘书长，并应符合本规章的要求。\n\n3.每份通知的提交方式如下：\n\n(a) 国家的通知，由其为此目的指定的机构提交；\n\n(b) 实体的通知，由其指定代表提交；\n\n(c) 企业部的通知，由其主管机构提交。\n\n4.每份通知应以管理局的一种语文提出，并应载有：\n\n(a) 申请探矿者及其指定代表的名称、国籍和地址；\n\n(b) 符合管理局采用的最新公认国际标准，关于准备进行探矿的一个或多个大致区域的坐标；\n\n(c) 对探矿方案的一般说明，包括拟议的开始日期和估计所需时间；\n\n(d) 令人满意的书面承诺，表示申请探矿者将：㈠遵守《公约》和管理局有关下列事项的相关规则、规章和程序：a. 合作进行《公约》第一四三条和第一四四条所述的海洋科学研究和技术转让方面的训练方案；和b.㈡保护和保全海洋环境；接受管理局对遵守承诺情况的查核；和㈢ 在实际可行的情况下，尽量向管理局提供保护和保全海洋环境的相关数据。\n\n第4条对通知的审理\n\n1.秘书长应书面确认收到根据第 3 条提交的每份通知，并注明收件日期。\n\n2.秘书长应在收到通知后 45 天内对通知进行审查并采取行动。如果通知符合《公约》和本规章的要求，秘书长应将通知的细节记入为此目的置备的登记册，并书面告知探矿者，通知已记录在案。\n\n3.如果通知包括某一已核准的勘探或开发任一资源的工作计划所包括区域的任何部分，或某一保留区的任何部分，或理事会因有对海洋环境造成严重损害的危险而不核准开发的区域的任何部分，或者书面承诺不能令人满意，秘书长应在收到通知后 45 天内书面告知申请探矿者，并应书面向申请探矿者说明理由。在这种情况下，申请探矿者可以在 90 天内提交修正的通知。秘书长应在 45 天内对修正的通知进行审查并采取行动。\n\n4.通知内的任何资料有变，探矿者应书面通知秘书长。\n\n5.秘书长不应披露通知中的任何细节，除非探矿者书面表示同意。但秘书长应不时将探矿者的身份和正在进行探矿的大概区域位置告知管理局所有成员。\n\n第5条在探矿过程中保护和保全海洋环境\n\n1.各探矿者应采用预防做法和最佳环境做法，在合理的可能范围内采取必要措施，防止、减少和控制探矿活动对海洋环境的污染及其他危害。各探矿者尤应尽量减少或消除：\n\n(a) 探矿活动对环境的不良影响；和\n\n(b) 对正在进行或计划进行的海洋科学研究活动造成的实际或潜在冲突或干扰，并在这方面依照今后的相关准则行事。\n\n2.探矿者应同管理局合作，制订并实施方案，监测和评价多金属硫化物的勘探和开发可能对海洋环境造成的影响。\n\n3.探矿活动引发的任何事故如已经、正在或可能对海洋环境造成严重损害，探矿者应采用最有效的手段，立即以书面形式通知秘书长。接到这一通知后，秘书长即应依照第 35 条的规定行事。\n\n第6条年度报告\n\n1. 探矿者应在每一日历年结束后 90 天内，向管理局提出有关探矿情况的报告。秘书长应将报告提交法律和技术委员会。每份报告应载列：\n\n(a) 关于探矿情况和所获得结果的一般性说明；\n\n(b) 关于第 3 条第 4 款(d)项所述承诺遵守情况的资料；和\n\n(c) 关于这方面的相关准则的遵守情况的资料。\n\n2. 如果探矿者打算把探矿所涉费用申报为开始商业生产前的部分开发成本，探矿者应就探矿者在进行探矿期间所支付的实际和直接费用，提交符合国际公认会计原则并由合格的公共会计师事务所核证的年度报表。\n\n第7条年度报告内的探矿数据和资料的机密性\n\n1. 秘书长应比照适用第 38 条和第 39 条的规定，确保根据第 6 条所提交报告内的所有数据和资料的机密性，但有关海洋环境保护和保全的数据和资料，特别是源自环境监测方案的数据和资料不具机密性。探矿者可要求此类数据自提交之日起最多三年内不予披露。\n\n2. 秘书长可以在有关的探矿者同意下，随时公布关于某一已提交通知的区域的探矿数据和资料。如果秘书长经过至少两年的合理努力后断定探矿者不复存在或下落不明，秘书长可以公布这种数据和资料。\n\n第8条考古或历史文物在“区域”内发现任何实际或可能的考古或历史文物，探矿者应立即将该事及发现的地点以书面方式通知秘书长。秘书长应将这些资料转交联合国教育、科学及文化组织总干事。\n\n第三部分请求核准合同形式的勘探工作计划的申请书第1节一般规定\n\n第9条通则在符合《公约》各项规定的情况下，下列各方可向管理局申请核准勘探工作计划：\n\n(a) 企业部以自己的名义，或作为一项联合安排的参与方；\n\n(b) 缔约国、国营企业，或具有缔约国国籍或在这些国家或其国民有效控制下并由这些国家担保的自然人或法人，或符合本规章规定的上述各方的任何组合。第2节申请书的内容\n\n第10条申请书的格式\n\n1.每一份请求核准勘探工作计划的申请书，应以本规章附件 2 规定的格式提交秘书长，并应符合本规章的要求。\n\n2.每一份申请书的提交方式如下：\n\n(a) 缔约国的申请书，由其为此目的指定的机构提交；\n\n(b) 实体的申请书，由其指定代表或担保国为此目的指定的机构提交；和\n\n(c) 企业部的申请书，由其主管机构提交。\n\n3.国营企业或第 9 条(b)项所述实体的每一份申请书还应包括：\n\n(a) 足以确定申请者国籍，或有效控制申请者的国家或其国民的身份的资料；和\n\n(b) 申请者的主要营业地点或住所和在适当时其注册地点。\n\n4.由实体组成的合伙企业或联营企业所提交的每一份申请书应载有关于每一个合伙者或联营者的所需资料。\n\n第11条担保书\n\n1.国营企业或第 9 条(b)项所述实体的每一份申请书，应附有企业为其国民或受该国或该国国民有效控制的国家开具的担保书。如果申请者具有一个以上国籍，例如由多个国家的实体组成的合伙企业或联营企业，则所涉每一国家均应出具担保书。\n\n2.如果申请者具有一国国籍，但受另一国或其国民的有效控制，则所涉每一国家均应出具担保书。\n\n3.每一份担保书应以提交该担保书的国家名义正式签署，并应载有：\n\n(a) 申请者名称；\n\n(b) 担保国国名；\n\n(c) 一份陈述，声明申请者是：㈠担保国国民；或㈡受担保国或其国民的有效控制；\n\n(d) 担保国的陈述，表示该国担保该申请者；\n\n(e) 担保国交存《公约》批准书、加入书或继承书的日期；\n\n(f)担保国按照《公约》第一三九条、第一五三条第 4 款和附件三第四条第\n\n4 款承担责任的声明。\n\n4.与企业部订立联合安排的国家或实体也应遵守本条的规定。\n\n第12条申请书包括的总区域\n\n1.为本规章的目的，“多金属硫化物区块”是指管理局规定的一个网格单元，面积约 10 公里乘 10 公里，但不超过 100 平方公里。\n\n2.每一份请求核准勘探多金属硫化物工作计划的申请书所包括的区域，由不超过 100 个多金属硫化物区块组成，这些区块将由申请者按照下文第 3 款所述排列为至少 5 个组群。\n\n3.每个多金属硫化物区块组群须至少包含 5 个毗连区块。在任何一点相接触的两个多金属硫化物区块应视为毗连区块。多金属硫化物区块组群不一定毗连但须邻近，且局限在一个不超过 300 000 平方公里的长方形区域内，最长一边的边长不超过 1 000 公里。\n\n4.虽有上文第 2 款的规定，如果申请者选择依照第 17 条的规定提供一个保留区，以根据《公约》附件三第九条开展活动，则申请书包括的总区域不应超过 200个多金属硫化物区块。应将这些区块排列成两组，每组具有相等估计商业价值，每组多金属硫化物区块均应由申请者按照上文第 3 款所述按组群排列。\n\n第13条财政和技术能力\n\n1.每一份请求核准勘探工作计划的申请书，应载有足够的具体资料，使理事会能够确定申请者是否有财政和技术能力执行提议的勘探工作计划和履行其对管理局的财政义务。\n\n2.企业部提出的请求核准勘探工作计划的申请书应附有其主管机构的声明，证明企业部拥有所需财政资源承付提议的勘探工作计划的估计费用。\n\n3.国家或国营企业提出的请求核准勘探工作计划的申请书应附有该国或担保国的声明，证明申请者拥有所需的财政资源承付提议的勘探工作计划的估计费用。\n\n4.实体提出的请求核准勘探工作计划的申请书应附有其最近三年符合国际公认会计原则并由合格的公共会计师事务所核证的经审计的财务报表，包括资产负债表和损益表的副本；以及\n\n(a) 如果申请者是新组成的实体，尚未有经核证的资产负债表，则应提交经申请者的适当职务人员认证的预计资产负债表；\n\n(b) 如果申请者是另一个实体的子公司，则应提交该实体符合国际公认会计原则并由合格的公共会计师事务所核证的上述财务报表副本，及该实体证明申请者将有执行勘探工作计划的财政资源的声明；\n\n(c) 如果申请者受一个国家或国营企业控制，则应提交该国或国营企业证明申请者将有执行勘探工作计划的财政资源的声明。\n\n5.如果第 4 款所述的申请者打算以贷款筹措提议的勘探工作计划的经费，其申请书应写明贷款的数额、偿还期和利率。\n\n6.每一份申请书应附有：\n\n(a) 关于申请者与提议的勘探工作计划相关的先前经验、知识、技能、技术资格和专长的一般说明；\n\n(b) 关于预期用来执行提议的勘探工作计划的设备和方法的一般说明，以及关于这些技术的特点的其他非专有性相关资料；和\n\n(c) 关于申请者处理对海洋环境造成严重损害的事件或活动的财政和技术能力的一般说明。\n\n7.如果申请者是联合安排中由实体组成的合伙企业或联营企业，则各合伙者或联营者均应提供本条所要求的资料。\n\n第14条以前同管理局订立的合同如果申请者，或在申请是联合安排中由实体组成的合伙企业或联营企业提出时，任何合伙者或联营者，以前曾同管理局订立任何合同，则申请书应包括：\n\n(a) 以前订立合同的日期；\n\n(b) 就有关合同向管理局提交的每一份报告的日期、编号和标题；和\n\n(c) 已终止合同的合同终止日期。\n\n第15条承诺作为请求核准勘探工作计划的申请书的一部分，各申请者，包括企业部在内，应向管理局作出下列书面承诺：\n\n(a) 同意因《公约》的规定，管理局的规则、规章和程序，管理局各有关机关的决定及申请者同管理局所订合同的条款而产生的适用义务是可以执行的，并将予以履行；\n\n(b) 接受管理局根据《公约》授权对“区域”内的活动进行控制；和\n\n(c) 向管理局提出书面保证，表示将诚意履行合同规定的义务。\n\n第16条申请者选择提供保留区或在一个联合企业安排中的股份每一申请者在申请书中应选择：\n\n(a) 依照第 17 条的规定提供一个保留区，以根据《公约》附件三第九条开展活动；或\n\n(b) 依照第 19 条的规定提供一个联合企业安排中的股份。\n\n第17条在指定保留区以前应提交的数据和资料\n\n1.申请者如果选择提供一个保留区，以根据《公约》附件三第九条开展活动，申请书包括的区域应当足够大，有足够的估计商业价值，可供从事两起采矿作业，并应由申请者依照第 12 条第 4 款的规定予以组合。\n\n2.每一份上述的申请书应载有本规章附件 2 第二节所规定的关于申请所涉区域的足够数据和资料，使理事会能根据法律和技术委员会的建议，基于每一部分的估计商业价值指定一个保留区。这些数据和资料应包括申请者可以得到的关于申请所涉区域两个部分的数据，包括用以确定其商业价值的数据。\n\n3.理事会根据申请者按照本规章附件２第二节的规定所提交，经断定为令人满意的数据和资料，并考虑到法律和技术委员会的建议，应指定申请区域中将来作为保留区的那一部分。一旦非保留区的勘探工作计划获得核准并签订合同，该指定区域即成为保留区。理事会如果断定需要其他符合本规章和附件 2 的资料来指定保留区，则应将此事退回委员会作进一步审议，并说明所需的进一步资料。\n\n4.在核准勘探工作计划并发给合同后，管理局可按照《公约》附件三第十四条第 3 款的规定，公布申请者就保留区移交管理局的数据和资料。\n\n第18条请求核准保留区的工作计划的申请书\n\n1.任何发展中国家，或该国所担保并受该国或任何其他发展中国家有效控制的任何自然人或法人，或上述各方的任何组合，可通知管理局它希望就某一保留区提出勘探工作计划。秘书长应将该通知转交企业部，企业部应在六个月内书面通知秘书长企业部是否打算在该区域进行活动。企业部如果打算在该区域进行活动，还应按照第 4 款书面通知原来在其请求核准勘探工作计划的申请书中包括该区域的承包者。\n\n2.如果企业部决定无意在某一保留区进行活动，或者企业部在秘书长发出通知后六个月内既未决定是否打算在该区域进行活动，也未书面通知秘书长，说明企业部正在进行有关可能成立联合企业的谈判，即可随时提出请求核准关于该保留区的勘探工作计划的申请。就联合企业进行谈判时，自通知秘书长之日起企业部应有一年时间决定是否在该区域进行活动。\n\n3.如果企业部或某一发展中国家或第 1 款所述的一个实体，在企业部独立于管理局秘书处开始执行其职务后的 15 年内，或在将某一区域保留给管理局之日起的 15 年内(以较晚者为准)，没有提交请求核准在该保留区进行活动的勘探工作计划的申请，则其请求核准勘探工作计划的申请书原来包括该区域的承包者应有权申请关于该区域的勘探工作计划，但须诚意提供机会让企业部参加为联合企业的合伙者。\n\n4.对于承包者的请求核准勘探工作计划的申请书所包括并经理事会指定为保留区的区域，承包者应有与企业部订立勘探该区域的联合企业安排的第一取舍权。\n\n第19条在一个联合企业安排中的股份\n\n1.申请者如果选择提供在一个联合企业安排中的股份，应依照第 20 条的规定提交数据和资料。分配给申请者的区域受第 27 条的规定限制。\n\n2.联合企业安排在申请者签订开采合同之时生效，其中应规定：\n\n(a) 企业部根据下列规定，在联合企业安排中应获得至少 20%的参股权：㈠参股所得的一半股份应无偿获得，无须向申请者作出任何直接或间接支付，并在一切方面同申请者所持股份享有平等待遇；㈡参股所得余下部分在一切方面同申请者所持股份享有平等待遇，但在申请者收回其对联合企业安排投入的全部股本之前，企业部不得就这部分分享任何利润；\n\n(b) 虽有(a)项的规定，申请者应向企业部提供机会，使其可以在同申请者在一切方面享有平等待遇的基础上增加股份参与，增购 30%联合企业安排的股份，或企业部可能选择的较小份额；2\n\n(c) 除申请者和企业部的协定中另有具体规定外，企业部不因参股而有责任为联合企业安排或代表联合企业安排提供资金或信贷或作出担保或承担任何财务责任，也不得要求企业部增购股份，以维持企业部在联合企业安排中的参与比例。\n\n第20条须为核准勘探工作计划提交的数据和资料\n\n1.为了使合同形式的勘探工作计划获得核准，每一申请者应提交下列资料：\n\n2 获取参股权的条款与条件应予进一步阐明。\n\n(a) 关于提议的勘探方案的一般说明和时间表，包括在未来五年的活动方案，例如对勘探时必须考虑的环境、技术、经济和其他有关因素进行的研究；\n\n(b) 关于按照本规章及管理局制定的任何环境方面的规则、规章和程序进行的海洋学和环境基线研究方案的说明，以便能够根据法律和技术委员会提出的建议，评估提议的勘探活动对环境的潜在影响，包括但不限于对生物多样性的影响；\n\n(c) 关于提议的勘探活动可能对海洋环境造成的影响的初步评估；\n\n(d) 关于为防止、减少和控制对海洋环境的污染和其他危害，以及可能造成的影响而提议的措施的说明；\n\n(e) 理事会根据第 13 条第 1 款作出决定所需的数据；和\n\n(f)\n\n2.未来五年活动方案的预期年度支出表。申请者如果选择提供一个保留区，则应当在理事会根据第 17 条第 3 段指定保留区后，向管理局移交与这些区域有关的数据和资料。\n\n3.申请者如果选择提供在一个联合企业安排中的股份，则应当在作出这一选择之时，向管理局移交与这些区域有关的数据和资料。第3节费用\n\n第21条申请费\n\n1.处理勘探多金属硫化物工作计划的收费如下：\n\n(a) 一笔 50 万美元或等值的可自由兑换货币的固定收费，由申请者在提交申请书时缴付；或\n\n(b) 申请者可以选择在提交申请书时缴付一笔 5 万美元或等值的可自由兑换货币的固定收费，并按第 2 款所列计算方法缴付年费。\n\n2.\n\n3.年费计算方法如下：㈠合同第一周年期满起缴付 5 美元乘以面积系数；㈡依照第 27 条第 2 款规定作出第一次放弃时缴付 10 美元乘以面积系数；和㈢依照第 27 条第 3 款规定作出第二次放弃时缴付 20 美元乘以面积系数。“面积系数”是指在有关定期支付款项到期日勘探区的平方公里数。\n\n4.如果秘书长通知说，收费不足以支付管理局处理申请书的行政费用，理事会应审查本条第 1 款(a)项规定的收费额。\n\n5.如果管理局处理申请书的行政费用低于固定收费额，管理局就应向申请者退还差额。第4节申请书的处理\n\n第22条申请书的收受、确认和妥善保管秘书长应：\n\n(a) 在 30 天内书面确认收到根据本部分提交的每一份请求核准勘探工作计划的申请书，并注明收件日期；\n\n(b) 妥善保管申请书及其附文和附件，并确保申请书所载全部机密数据和资料的机密性；和\n\n(c) 通知管理局成员收到申请书，并向他们分发关于这项申请的一般性非机密资料。\n\n第23条法律和技术委员会的审议\n\n1.秘书长在收到请求核准勘探工作计划的申请书后，即应通知法律和技术委员会成员并在委员会下一次会议议程上列入有关审议该申请书的项目。委员会应仅审议秘书长依照第 22 条(c)项的规定在委员会审议会议开始至少 30 天前已分发通知和资料的申请书。\n\n2.委员会应按收件的先后次序审查申请书。\n\n3.委员会应确定申请者是否：\n\n(a) 遵守本规章的规定；\n\n(b) 作出第 15 条所规定的承诺和保证；\n\n(c) 具备执行提议的勘探工作计划的财务和技术能力，并提供了详细资料说明其迅速执行紧急命令的能力；和\n\n(d) 已令人满意地履行了以前同管理局订立的任何合同的有关义务。\n\n4.委员会应根据本规章及其程序所列的要求，确定提议的勘探工作计划是否将：\n\n(a) 有效地保护人体健康和安全；\n\n(b) 有效地保护和保全海洋环境，包括但不限于对生物多样性的影响；\n\n(c) 确保设施不坐落在可能干扰国际航行必经的公认航道的地点或坐落在捕鱼活动集中的区域。\n\n5.如果委员会根据第 3 款作出确定，并确定提议的勘探工作计划符合第 4 款的要求，委员会应建议理事会核准勘探工作计划。\n\n6.如果提议的勘探工作计划所涉区域的一部或全部有下列情况，委员会不应建议核准该勘探工作计划：\n\n(a) 该区域的一部或全部包括在一项理事会核准的多金属硫化物勘探工作计划内；或\n\n(b) 该区域的一部或全部包括在一项理事会已核准的其他资源勘探或开发工作计划内，如果提议的多金属硫化物勘探工作计划可能不当地干扰根据这一项已核准的其他资源工作计划所进行的活动；或\n\n(c) 该区域的一部或全部位于理事会因有实质证据显示存在对海洋环境造成严重损害的危险而不核准开发的一个区域内。\n\n7.法律和技术委员会可建议核准某一工作计划，如果委员会确定核准该计划不会使缔约国或缔约国支持的实体垄断“区域”内有关多金属硫化物的活动或排除其他缔约国在“区域”内开展有关多金属硫化物的活动。\n\n8. 除企业部为其本身或某一联合企业提出的申请，及根据第 18 条提出的申请外，如果提议的勘探工作计划所包含区域的一部或全部位于一个保留区或位于理事会指定为保留区的区域以内，则委员会不得建议核准该勘探工作计划。\n\n9.如果委员会认为申请书不符合本规章规定，委员会应通过秘书长书面通知申请者并说明其理由。申请者可以在这种通知发出后 45 天内修正其申请书。如果委员会在进一步审议后认为委员会不应建议核准勘探工作计划，委员会应将此意见通知申请者，并给予申请者另一次机会，在上述通知发出后 30 天内提出其意见。委员会在拟定提交理事会的报告和建议时应考虑申请者所提意见。\n\n10. 委员会在审议提议的勘探工作计划时，应考虑到《公约》第十一部分和附件三以及《协定》就“区域”内活动规定的原则、政策和目标。\n\n11. 委员会应从速审议申请书，并应考虑到管理局会议的时间表，利用第一个可能的机会向理事会提交关于区域的指定和勘探工作计划的报告和建议。\n\n12. 委员会在履行职责时，应无歧视地划一适用本规章及管理局的规则、规章和程序。\n\n第24条理事会对勘探工作计划的审议和核准理事会应按照《协定》附件第 3 节第 11 和第 12 段的规定审议委员会关于核准勘探工作计划的报告和建议。\n\n第四部分勘探合同\n\n第25条合同\n\n1.一项勘探工作计划经理事会核准后，应按本规章附件 3 规定写成管理局与申请者之间的合同。每一项合同都应包括附件 4 中所列，自合同生效之日具有效力的标准条款。\n\n2.合同应由秘书长代表管理局与申请者签署。秘书长应将每一项合同的缔结书面通知管理局所有成员。\n\n第26条承包者的权利\n\n1.承包者对一项多金属硫化物勘探工作计划所涉区域享有专属勘探权。管理局应确保其他实体在同一区域就多金属硫化物以外的其他资源进行作业的方式不致干扰承包者的作业。\n\n2.持有一项已核准的勘探工作计划的承包者，只应在那些就同一区域和资源提出开发工作计划的各申请者中享有优惠和优先。在理事会对承包者发出书面通知，指出承包者未遵循的要求后，如果承包者未能在通知规定的时限内依照核准的勘探工作计划的要求行事，理事会可撤销这种优惠或优先。通知内规定的时限应当为合理的时限。在最后决定撤销这种优惠或优先以前，承包者应有合理机会提出意见。理事会应说明建议撤销优惠或优先的理由，并应考虑承包者的回应。理事会的决定应考虑承包者的回应并应以实质证据为基础。\n\n3.在撤销优惠或优先的决定正式生效以前，承包者应有合理机会用尽《公约》第十一部分第五节所规定的司法救济。\n\n第27条区域面积和放弃\n\n1.承包者应依照本条第 2 款的规定放弃已获分配的多金属硫化物区域。拟放弃的区域不一定毗连，承包者应以小区块的形式界定此区域；小区块由管理局规定的一个或多个网格单元组成。\n\n2.根据合同分配给承包者的区域总面积不得超过 10 000 平方公里。承包者应按下列时间表放弃部分原获分配的区域：\n\n(a) 在合同签订之日起第八年结束时，承包者应当已经放弃至少 50%原获分配区域；\n\n(b) 在合同签订之日起第十年结束时，承包者应当已经放弃至少 75%原获分配区域。\n\n3.承包者在任何时候都可以在第 2 款所列的时间表之前放弃部分原获分配的区域，但如果放弃部分区域后剩余的已获分配区域面积不超过 2 500 平方公里，则不得要求承包者放弃更多区域。\n\n4.被放弃的区域将恢复为“区域”。\n\n5.在合同签订之日起第十五年结束时，或在承包者申请开发权时(以较早者为准)，承包者应在剩余的已获分配区域中指定一个区域，保留作开发之用。\n\n6.理事会应承包者请求，可根据委员会的建议，在特殊情况下，将放弃时间表延迟。这种特殊情况应由理事会断定，除其他外，包括考虑当时的经济情况或在承包者的作业活动中出现的其他突发特殊情况。\n\n第28条合同期限\n\n1.核准的勘探工作计划的期限应为 15 年。勘探工作计划期满时，承包者应申请开发工作计划，除非承包者已经提出申请，或已获准延长勘探工作计划，或决定放弃其在勘探工作计划所涉区域的权利。\n\n2.在勘探工作计划期限届满前六个月，承包者可申请延长勘探工作计划，每次延长期限不得超过五年。如果承包者已作出真诚努力遵守工作计划的各项要求，但由于承包者无法控制的原因而不能完成进入开发阶段的必要准备工作，或者在当时的经济环境下没有理由进入开发阶段，则理事会应根据委员会建议核准这种延长。\n\n第29条训练《公约》附件三第十五条规定，每一项合同都应以附件方式载有承包者与管理局和担保国合作拟订的训练管理局和发展中国家人员的实际方案。训练方案应着重有关进行勘探的训练，由上述人员充分参与合同包括的所有活动。这些训练方案可不时根据需要通过双方协议予以修改和制订。\n\n第30条对勘探工作计划执行情况的定期审查\n\n1. 承包者和秘书长应每隔五年共同对勘探工作计划的执行情况进行定期审查。秘书长可要求承包者提交审查可能需要的进一步数据和资料。\n\n2. 承包者应根据审查结果说明其下一个五年的活动方案，对其上一个活动方案作出必要的调整。\n\n3. 秘书长应向委员会和理事会报告审查结果。秘书长应在报告中说明，审查是否考虑到《公约》缔约国就承包者履行本规章在保护和保全海洋环境方面对其规定的义务的方式向他转递的任何意见。\n\n第31条担保的终止\n\n1.每一承包者在整个合同期间应有规定的担保。\n\n2.如果一个国家终止其担保，应立即书面通知秘书长。担保国也应将终止担保的理由告知秘书长。担保的终止应在秘书长收到通知之日起六个月后生效，除非通知中订明一个较后的日期。\n\n3.如果担保终止，承包者应在第 2 款所述期间内找到另一担保国。该另一担保国应按照第 11 条提交担保书。如果未能在规定期间内找到担保国，合同应予终止。\n\n4.担保国在作为担保国期间承担的任何义务，不因担保终止而免除；担保终止也不应影响在担保期间产生的任何法律权利和义务。\n\n5.秘书长应将担保的终止或改变通知管理局成员。\n\n第32条责任承包者和管理局应按照《公约》承担责任。在勘探阶段结束后，承包者应继续对其在作业过程中的不当行为所造成的任何损害，特别是对海洋环境造成的损害承担责任。\n\n第五部分保护和保全海洋环境\n\n第33条保护和保全海洋环境\n\n1.管理局应依照《公约》和《协定》的规定制订并定期审查环境规则、规章和程序，以确保有效保护海洋环境，使其免受“区域”内活动可能造成的有害影响。\n\n2.为了确保有效保护海洋环境，使其免受“区域”内活动可能造成的有害影响，管理局和担保国对这种活动应采取《里约宣言》 原则 15 所反映的预防做法和最佳环境做法。\n\n3.法律和技术委员会应就上文第 1 和第 2 款的执行向理事会提出建议。\n\n4.委员会应制订并执行程序，以便根据现有最可靠的科学和技术信息，包括依照第 20 条规定提供的信息，确定拟议的“区域”内勘探活动是否会对脆弱的海洋生态系统，尤其是对热液喷口造成严重的有害影响，并确保，如果确定某些拟议的勘探活动将对脆弱海洋生态系统造成严重有害影响，则对这些活动加以管理以防出现此类影响或不核准从事这些活动。\n\n5.根据《公约》第一四五条和本条第 2 款，每一承包者应采用预防做法和最佳环境做法，尽量在合理的可能范围内采取必要措施防止、减少和控制其“区域”内活动对海洋环境造成的污染和其他危害。\n\n6.承包者、担保国和其他有关国家或实体应同管理局合作，制订并实施方案，监测和评价深海底采矿对海洋环境的影响。如理事会提出要求，此种方案应包括划出地区专门用作影响参照区和保全参照区的提议。“影响参照区”是指反映“区域”环境特性，用作评估“区域”内活动对海洋环境的影响的区域。“保全参照区”是指不应进行采矿以确保海底的生物群具有代表性和保持稳定，以便评估海洋环境生物多样性的任何变化的区域。\n\n第34条环境基线和监测\n\n1.每一合同应要求承包者参照法律和技术委员会根据第 41 条提出的建议，收集环境基线数据并确定环境基线，供对比评估其勘探工作计划所列的活动方案可能对海洋环境造成的影响，及要求承包者制订监测和报告这些影响的方案。委员会所提的建议除其他外，可列出据认为不具有对海洋环境造成有害影响的潜在可能的勘探活动。承包者应与管理局和担保国合作制订和执行这种监测方案。\n\n2.承包者应每年以书面方式向秘书长报告第 1 款所述监测方案的执行情况和结果，并应参照委员会根据第 41 条提出的建议提交数据和资料。秘书长应将上述报告送交委员会按照《公约》第一六五条加以审议。\n\n第35条紧急命令\n\n1.承包者应以最有效的手段，迅速向秘书长书面报告任何已经、正在或可能对海洋环境造成严重损害的活动引发的事故。\n\n2.如果秘书长接到承包者通知，或从其他来源获悉，承包者在“区域”内的活动引起或造成事故，已经、正在或可能对海洋环境造成严重损害，秘书长应指示发出有关该事故的一般性通知，应书面通知承包者和担保国，并应立即向法律和技术委员会、理事会及管理局所有其他成员提出报告。报告应分送主管国际组织以及各有关的分区域、区域及全球性组织和机构。秘书长应监测所有这种事故的发展，并视情况向委员会、理事会及管理局所有其他成员提出有关报告。\n\n3.在理事会未采取任何行动之前，秘书长应立即采取一切合乎情况需要的实际而合理的暂时性措施，以防止、控制和减轻对海洋环境的严重损害或可能的严重损害。在理事会在其下届常会或特别会议上根据本条第 6 款决定是否采取任何措施前，上述暂时性措施继续有效，但以 90 天为限。\n\n4.委员会在接到秘书长的报告后，应根据所收到的证据，并考虑到承包者已采取的措施，确定需要采取什么措施来有效地应付事故，以防止、控制和减轻对海洋环境的严重损害或可能的严重损害，并应向理事会提出其建议。\n\n5.理事会应审议委员会的建议。\n\n6.理事会考虑到委员会的建议、秘书长的报告、承包者提交的任何资料及任何其他相关资料，可发布紧急命令，其中可包括暂停或调整作业的必要合理命令，以防止、控制和减轻“区域”内活动对海洋环境的严重损害或可能的严重损害。\n\n7.如果承包者不迅速遵从紧急命令，防止、控制和减轻其“区域”内活动对海洋环境造成的严重损害或可能的严重损害，理事会应自行采取或同他方作出安排代表它采取必要的实际措施，以防止、控制和减轻这种对海洋环境的严重损害或可能的严重损害的情况。\n\n8.为了使理事会可以在必要时立即采取第 7 款所述的实际措施，防止、控制或减轻对海洋环境的严重损害或可能的严重损害，承包者在开始测试采集系统和进行加工作业以前，须向理事会保证承包者具有财政和技术能力，可迅速遵从紧急命令，或确保理事会可以采取这种紧急措施。如果承包者不向理事会提供上述保证，担保国应在秘书长提出请求后，根据《公约》第一三九条和第二三五条采取必要措施，确保承包者提供上述保证，或应采取措施确保向管理局提供协助，以便管理局执行第 7 款规定的职责。\n\n第36条沿海国的权利\n\n1.本规章不影响沿海国根据《公约》第一四二条和其他相关规定所享有的权利。\n\n2.任何沿海国如有理由认为承包者的任何“区域”内活动有可能对其管辖范围内或主权范围内的海洋环境造成严重损害或可能的严重损害，可书面通知秘书长，说明其看法依据的理由。秘书长应向承包者及其担保国提供合理的机会，审查沿海国作为其看法的根据而提出的任何证据。承包者及其担保国可在合理时间内向秘书长提出其对此的意见。\n\n3.如果有明确理由相信可能对海洋环境造成严重损害，秘书长应依照第 35 条的规定行事，或在必要时根据第 35 条第 3 款立即采取暂时性措施。\n\n4.承包者应采取一切必要措施，确保其进行的活动不会对沿海国家管辖范围内或主权范围内的海洋环境造成严重损害，包括但不限于污染，并确保其勘探区内的事故或活动所引起的此类严重损害或污染不扩散至该区域之外。\n\n第37条具有考古或历史意义的遗骸、文物和遗址在勘探区内发现任何具有考古或历史意义的遗骸或任何类似性质的文物或遗址时，承包者应立即将该事及发现的地点以书面方式通知秘书长，包括报告已采取的保全和保护措施。秘书长应将这些资料转交联合国教育、科学及文化组织总干事以及任何其他主管国际组织。在勘探区发现这种考古或历史意义的遗骸、文物或遗址后，为了避免扰动此类遗骸、文物或遗址，不得在一个合理范围内继续进行探矿或勘探，直至理事会在考虑联合国教育、科学及文化组织总干事以及任何其他主管国际组织的意见后做出决定。\n\n第六部分机密性\n\n第38条数据和资料的机密性\n\n1.按照本规章或按照根据本规章发给的合同提交或移交管理局或参与管理局任何活动或方案的任何人的数据和资料，经承包者与秘书长协商指明属机密性质的，应视为机密，但下述数据和资料不在此列：\n\n(a) 众所周知或可从其他来源公开获取的；\n\n(b) 所有人以前曾向对其不负保密义务的其他人提供的；或\n\n(c) 管理局已掌握但对其无保密义务的。管理局为制订关于保护和保全海洋环境及安全的规则、规章和程序而需要的数据和资料，除专利设备的设计数据外，不应视为具有机密性。\n\n2.唯有秘书长和经秘书长授权的秘书处工作人员，以及法律和技术委员会成员，可以在有效履行职权和职能的必要和相关范围内使用机密数据和资料。秘书长批准取用机密数据和资料，仅限于为履行秘书处工作人员职能和职责及法律和技术委员会职能和职责作有限度的使用。\n\n3.在机密数据和资料提交管理局之日起十年后或于勘探合同期满之后，并以后发生者为准，以及此后每隔五年，秘书长和承包者应审查这些数据和资料，以确定是否应保持其机密性。如果承包者确认公开数据和资料很可能造成重大和不公平的经济损害，则应继续保持这些数据和资料的机密性。在承包者有合理机会用尽根据《公约》第十一部分第五节可以使用的所有司法救济之前，任何此种数据和资料均不得公开。\n\n4.在勘探合同期满后的任何时候，如果承包者就勘探区的任何部分订立开发合同，则与该部分地区有关的机密数据和资料应依照开发合同规定继续保密。\n\n5.承包者可随时放弃数据和资料的机密性。\n\n第39条确保机密性的程序\n\n1.秘书长应负责保持所有机密数据和资料的机密性，除事先征得承包者的书面同意外，不应向管理局外部任何人公布这些数据和资料。为确保这些数据和资料的机密性，秘书长应按照《公约》的规定制订程序，规范秘书处成员、法律和技术委员会成员以及参与管理局任何活动或方案的任何其他人对机密资料的处理。这种程序应包括：\n\n(a) 在安全的设施内保存机密数据和资料，并制订安全程序，防止未经许可取用或移走这些数据和资料；\n\n(b) 建立和维护一个分类、登记和编目系统，以记录所收到的所有书面数据和资料，包括其类型和来源以及从收到直至最终处置的收发日志。\n\n2.根据本规章有权取用机密数据和资料的人，除《公约》和本规章准许的情况外，不得泄露这些数据和资料。秘书长应规定，经授权可取用机密数据和资料的人须在秘书长或其指定代表见证下作出书面声明，表示获授权的人：\n\n(a) 确认其根据《公约》和本规章，承担不泄露机密数据和资料的法律义务；\n\n(b) 同意遵守为确保这些数据和资料的机密性而制定的适用规章和程序。\n\n3.法律和技术委员会应保护按照本规章或根据本规章发给的合同提交给委员会的数据和资料的机密性。《公约》第一六三条第 8 款规定，该委员会成员不应泄露工业秘密、按照《公约》附件三第十四条移交管理局的专有性数据，或因其在管理局任职而知悉的任何其他机密资料，即使在职务终止以后，也是如此。\n\n4.秘书长和管理局工作人员不应泄露任何工业秘密、按照《公约》附件三第十四条转交管理局的专有性数据，或因其在管理局所任职务而知悉的任何其他机密资料，即使在职务终止以后，也是如此。\n\n5.考虑到管理局根据《公约》附件三第二十二条所承担的责任，管理局得对任何因其在管理局所任职务而可接触任何机密数据和资料，但违反《公约》和本规章所规定保密义务的人采取适当的行动。\n\n第七部分一般程序\n\n第40条通知和一般程序\n\n1.与本规章有关的任何申请书、请求、通知、报告、同意书、批准书、放弃权利声明、指令或指示，应按情况由秘书长或由探矿者、申请者或承包者的指定代表以书面作出。应以专人手递、电报、传真或挂号航空邮件或带有经授权的电子签字的电子邮件送达管理局总部交秘书长或送达指定代表。\n\n2.专人手递的，于送达时生效。以电报传送的，于发送者电报机显示“回答”之日的下一个办公日视为生效。以传真传送的，于传真机收到“发送证实报告”证实已向收件者的公开传真号码发送传真时生效。以挂号航空信件发出的，于寄出 21天之后视为生效。电子文件，在其进入收件人为接收所发此类文件而指定或使用的信息系统，并可以由收件人取用和处理时，视为被收件人收到。\n\n3.就本规章的所有目的而言，向探矿者、申请者或承包者的指定代表发出的通知，构成给探矿者、申请者或承包者的有效通知，而且在任何具有管辖权的法院或法庭的诉讼程序中，被指定代表为接收送达的传票或通知的探矿者、申请者或承包者代理人。\n\n4.就本规章的所有目的而言，发给秘书长的通知构成给管理局的有效通知，而且在任何具有管辖权的法院和法庭的诉讼程序中，秘书长为接收送达传票或通知的管理局代理人。\n\n第41条指导承包者的建议\n\n1.法律和技术委员会可以不时作出技术性或行政性建议指导承包者，协助承包者执行管理局的规则、规章和程序。\n\n2.上述建议的全部内容应报告理事会。理事会认为某一建议不符本规章的用意和宗旨时，可要求修改或撤回建议。\n\n第八部分解决争端\n\n第42条争端\n\n1.关于本规章的解释或适用的争端应按照《公约》第十一部分第五节的规定解决。\n\n2.根据《公约》具有管辖权的法院或法庭就管理局和承包者的权利和义务作出的任何终局裁判，在《公约》每一缔约国境内均可执行。\n\n第九部分多金属硫化物以外的其他资源\n\n第43条多金属硫化物以外的其他资源如果探矿者或承包者在“区域”内发现多金属硫化物以外的其他资源，这些资源的探矿、勘探和开发应按照管理局根据《公约》和《协定》就这些资源制定的规则、规章和程序进行。探矿者或承包者应将其发现通知管理局。\n\n第十部分审查\n\n第44条审查\n\n1.大会核准《规章》五年后,或其后任何时间，理事会应对《规章》的实际运作情况进行审查。\n\n2.如果在知识增加或技术改进的情况下，《规章》显然不敷使用，则任何缔约国、法律和技术委员会或任何承包者通过其担保国随时可要求理事会考虑在理事会下届常会上修订《规章》。\n\n3.在经大会核准前，理事会可根据审查结果，考虑到法律和技术委员会的或其他相关附属机关的建议，通过并暂时适用对《规章》规定的修正。任何修正均不得影响任何承包者按照这种修正时有效的《规章》签订的合同条款所享受的权利。\n\n4.如果对《规章》任何条款做出修正，承包者和管理局可按照附件 4 第 24 节修订合同。附件 1从事探矿的意向通知\n\n1.探矿者名称：\n\n2.探矿者街道地址：\n\n3.邮政地址(如不同于上述地址)：\n\n4.电话号码：\n\n5.传真号码：\n\n6.电子邮件地址：\n\n7.探矿者国籍：\n\n8.如果探矿者是法人，写明探矿者的：\n\n(a) 注册地点；和\n\n(b) 主要营业地点/住所并附上探矿者的注册证书副本。\n\n9.探矿者指定代表的姓名：\n\n10. 探矿者指定代表的街道地址(如不同于上述地址)：\n\n11. 邮政地址(如不同于上述地址)：\n\n12. 电话号码：\n\n13. 传真号码：\n\n14. 电子邮件地址：\n\n15. 附上准备进行探矿的一个或多个大致区域的坐标(以世界大地测量系统WGS 84 为基准)。\n\n16. 附上对探矿方案的一般说明，包括方案的开始日期和大致持续时间。\n\n17. 附上探矿者对下列事项的书面承诺：\n\n(a) 遵守《公约》和管理局关于下列事项的相关规则、规章和程序：㈠合作进行《公约》第一四三条和第一四四条所述的海洋科学研究和技术转让方面的训练方案；和㈡保护和保全海洋环境；和\n\n(b) 接受管理局对遵守承诺情况的核查。\n\n18. 在下面列出本通知的所有附录和附件(所有数据和资料应以硬拷贝和管理局指定的数字格式提交)：日期：_______________探矿者指定代表签名证明：证明人签名证明人姓名证明人职衔附件 2请求核准勘探工作计划以取得合同的申请书第一节申请者资料\n\n1.申请者名称：\n\n2.申请者街道地址：\n\n3.邮政地址(如不同于上述地址)：\n\n4.电话号码：\n\n5.传真号码：\n\n6.电子邮件地址：\n\n7.申请者指定代表的姓名：\n\n8.申请者指定代表的街道地址(如不同于上述地址)：\n\n9.邮政地址(如不同于上述地址)：\n\n10. 电话号码：\n\n11. 传真号码：\n\n12. 电子邮件地址：\n\n13. 如果申请者是法人，写明申请者的：\n\n(a) 注册地点；和\n\n(b) 主要营业地点/住所并附上申请者的注册证书副本。\n\n14. 列出担保国。\n\n15. 每一担保国须提供该国对 1982 年《联合国海洋法公约》的批准书、加入书或继承书的交存日期，及该国同意接受《关于执行 1982 年 12 月 10 日〈联合国海洋法公约〉第十一部分的协定》约束的日期。\n\n16. 申请书须附有担保国开具的担保书。如果申请者具有一个以上国籍，例如由一个以上国家的实体组成的合伙企业或联营企业，则须附有所涉每一国家开具的担保书。第二节关于所申请区域的资料\n\n17. 附上一张海图(比例尺和投影法由管理局具体规定)和一份(以世界大地测量系统 WGS 84 为基准的)地理坐标表，划定所申请区块的界限。\n\n18. 说明申请者是选择依照《规章》第 17 条的规定提供一个保留区域还是选择依照《规章》第 19 条的规定提供联合企业安排中的股份。\n\n19. 如果申请者选择提供一个保留区域：\n\n(a) 附上一张海图(比例尺和投影法由管理局具体规定)和一份坐标表，将总区域分成估计商业价值相等的两个部分；和\n\n(b) 以一个附件提供足够的资料，使理事会能根据所申请区域每一部分的估计商业价值指定一个保留区域。附件中须包括申请者可以得到的关于所申请区域两个部分的数据，包括：㈠关于区域内多金属硫化物的定位、调查和评价的数据，包括：a.指定保留区域所需的与多金属硫化物的回收和加工有关的技术说明；b.一份显示海底地形、水深和底层流等物理和地质特征的图件和关于这些数据的可靠性的资料；c.一份显示用于确定每个多金属硫化物矿体横向范围的遥感数据(如电磁调查)和其他调查数据的图件；d.用于确定多金属硫化物矿床第三维、并由此用于确定多金属硫化物矿体品位和吨位的钻探岩心和其他数据；e.显示活动和非活动多金属硫化物产地分布情况以及非活动产地停止活动时间和活动产地开始活动时间的数据；f.显示构成矿址的每个多金属硫化物矿体的平均吨位(公吨)数据及相关的显示取样地点位置的吨位图；g.根据化学分析得到的以(干)重量百分比为单位显示各种有经济意义的金属平均元素含量(品位)的数据和一张显示各个多金属硫化物矿体之间和之内的数据的相关品位图；h.多金属硫化物吨位和品位综合图；i.按照标准程序，包括统计分析法，用所提交的数据和以下假设作出的计算：以可开采区域内的可回收金属表示，可以预期区域的两个部分所含多金属硫化物具有相等估计商业价值；j.关于申请者所用技术的说明；㈡关于环境参数的资料(季节性的和试验期间的)，除其他外，包括风速和风向、盐度、温度以及生物群落。\n\n20. 如果所申请的区域包括一个保留区域的任何部分，应附上一份显示构成保留区域一部分的有关区域的坐标表，并说明申请者根据《规章》第 18 条具有的资格。第三节财政和技术资料\n\n21. 附上足够的资料，使理事会能确定申请者是否有财政能力执行提议的勘探工作计划和履行其对管理局的财政义务：\n\n(a) 如果企业部提出申请，应附上由其主管机构开具的证明，证明企业部具有所需财政资源承付提议的勘探工作计划的估计费用；\n\n(b) 如果国家或国营企业提出申请，应附上该国或担保国的声明，证明申请者具有所需财政资源承付提议的勘探工作计划的估计费用；\n\n(c) 如果实体提出申请，应附上其最近三年符合国际公认会计原则并由合格的公共会计师事务所核证的经审计的财务报表，包括资产负债表和损益表的副本；㈠如果申请者是新组成的实体，尚没有经核证的资产负债表，则应提交经申请者的适当职务人员认证的预计资产负债表；㈡如果申请者是另一个实体的子公司，则应提交该实体的上述财务报表副本以及该实体按照国际公认会计惯例所作，并由具有适当资格的公共会计师事务所核证的，关于申请者将有执行勘探工作计划的财政资源的说明；㈢如果申请者为一个国家或一家国营企业所控制，则应提交该国或国营企业证明申请者将有执行勘探工作计划的财政资源的说明。\n\n22. 如果打算以贷款方式筹措提议的勘探工作计划的经费，则应附上一份说明，写明贷款额、偿还期和利率。\n\n23. 附上足够的资料，使理事会能确定申请者是否有技术能力执行提议的勘探工作计划，包括：\n\n(a) 关于申请者与提议的勘探工作计划相关的经验、知识、技能、技术资格和专长的一般说明；\n\n(b) 关于预期将用于执行提议的勘探工作计划的设备和方法的一般说明，以及关于这些技术的特点的其他非专有性相关资料；\n\n(c) 关于申请者应付对海洋环境造成严重损害的事故或活动的财政和技术能力的一般说明。第四节勘探工作计划\n\n24. 附上下列与勘探工作计划有关的资料：\n\n(a) 关于提议的勘探方案的一般说明和时间表，包括未来五年的活动方案，例如对勘探时必须考虑的环境、技术、经济和其他有关因素进行的研究；\n\n(b) 关于按照本规章及管理局制定的任何环境规则、规章和程序进行的海洋学和环境基线研究方案的说明，这些研究是为了能够根据法律和技术委员会提出的建议，评估提议的勘探活动对环境的潜在影响，包括但不限于对生物多样性的影响；\n\n(c) 关于提议的勘探活动可能对海洋环境造成的影响的初步评估；\n\n(d) 关于为防止、减少和控制对海洋环境的污染和其他危害，以及可能造成的影响而提议的措施的说明；\n\n(e) 未来五年活动方案的预期年度支出表。第五节承诺\n\n25. 附上一份书面承诺，表示申请者将：\n\n(a) 同意因《公约》的规定，管理局的规则、规章和程序，管理局各相关机关的决定及申请者同管理局所订合同的条款而产生的适用义务是可执行的，并将予以履行；\n\n(b) 接受管理局根据《公约》授权对“区域”内活动进行控制；\n\n(c) 向管理局提出书面保证，表示将诚意履行合同规定的义务。第六节以前订立的合同\n\n26. 申请者以前是否获得过管理局颁发任何合同？如果申请者是联合安排中由实体组成的合伙企业或联营企业，合伙者或联营者以前是否获得过管理局颁发任何合同？\n\n27. 如果对第 26 项回答“是”，申请书必须包括：\n\n(a) 以前订立合同的日期；\n\n(b) 就有关合同向管理局提交的每一份报告的日期、编号和标题；和\n\n(c) 已终止合同的合同终止日期。第七节\n\n附件\n\n28. 列出本申请书的所有附录和附件(所有数据和资料应以硬拷贝和管理局指定的数字格式提交)：日期：________________申请者指定代表签名证明：证明人签名证明人姓名证明人职衔附件 3勘探合同本合同由国际海底管理局(以下称“管理局”)和________________(以下称“承包者”)通过双方各自的代表，管理局秘书长和________于______年____月____日签订，兹协议如下：条款的并入A.《“区域”内多金属硫化物探矿和勘探规章》附件 4 所载的标准条款应并入本合同内，并应具有相当于在本合同内详细载列的效力。勘探区域B.为本合同的目的，“勘探区域”是指本合同附件 1 的坐标表所界定，分配给承包者勘探的那部分“区域”，该部分的范围按照标准条款和《规章》的规定分阶段予以缩小。权利的授予C.考虑到：⑴双方都有兴趣根据《公约》和《协定》在勘探区域进行勘探活动；⑵管理局有责任组织和控制“区域”内活动，特别是为了依照《公约》第十一部分和《协定》及《公约》第十二部分的规定分别制定的法律制度管理“区域”的资源；和⑶承包者有兴趣在勘探区域进行活动并为此作出财政承诺，以及双方在此订立的契约，管理局特此授予承包者专属权利，依照本合同的条款和条件对勘探区域内的多金属硫化物进行勘探。生效和合同期限D.本合同应在双方签署后生效，并在不违反标准条款的情况下，应在签署后连续生效十五年，除非：⑴承包者获得在勘探区域进行开发的合同，而且该合同在上述十五年期限届满之前生效；或⑵合同在期限届满之前终止，但合同的期限可根据标准条款第 3.2 节和第 17.2 节的规定予以延长。\n\n附件E.\n\n标准条款第 4 节和第 8 节所述的附件在本合同中分别为附件 2 和附件 3。全部协定F.本合同为当事方之间的全部协定，不得以任何口头谅解或前订文书修改其中的条款。下列签署人，经各自一方正式授权，于_______年____月____日在______签署本合同，以资证明。附件 1[勘探区域的坐标和示意图]附件 2[不时修订的现行五年活动方案]附件 3[管理局按照标准条款第 8 节核准训练方案后，训练方案应成为合同的一个附件。]附件 4勘探合同的标准条款第1节定义\n\n1.1 在下列条款内：\n\n(a) “勘探区域”是指本合同附件 1 所述，分配给承包者勘探的那部分“区域”，该部分的范围可按照本合同和《规章》的规定分阶段予以缩小；\n\n(b) “活动方案”是指载于本合同附件 2 的工作方案，该工作方案可不时依照本合同第 4.3 和第 4.4 节的规定予以调整；\n\n(c) 《规章》“”是指管理局通过的《“区域”内多金属硫化物探矿和勘探规章》。\n\n1.2 《规章》界定的用语和短语在本标准条款内具有相同涵义。\n\n1.3 《关于执行 1982 年 12 月 10 日<联合国海洋法公约>第十一部分的协定》规定，其条款及《公约》第十一部分应作为一个单一文书来解释和适用；本合同和本合同中提及《公约》的条款应相应地加以解释和适用。\n\n1.4 本合同包括本合同各附件，这些附件为本合同的组成部分。第2节使用权的保障\n\n2.1 承包者应享有使用权的保障，而且除本合同第 20、21 和 24 节规定的情况外，不得中止、终止或修改本合同。\n\n2.2 承包者应享有依照本合同的条款和条件，对勘探区域内的多金属硫化物进行勘探的专属权利。管理局应确保在勘探区域内勘探不同类别资源的任何其他实体在作业时不致不合理地干扰该承包者的作业。\n\n2.3 承包者向管理局发出通知后，有权随时放弃其在勘探区域的所有或部分权利而不受罚，但该承包者仍须对宣布放弃之日以前就所放弃区域所产生的所有义务承担责任。\n\n2.4 除本合同明确授予的权利以外，本合同未授予承包者任何其他权利。管理局保留在本合同所述区域内与第三方订立涉及多金属硫化物以外资源的合同的权利。第3节合同期限\n\n3.1 本合同应在双方签署后生效，并且应在签署后连续生效十五年，除非：\n\n(a) 承包者获得在勘探区域进行开发的合同，而且该合同在上述十五年期限届满之前生效；或\n\n(b) 合同在期限届满之前终止，但合同的期限可依照本合同第 3.2 节和第 17.2 节的规定予以延长。\n\n3.2 如果承包者至迟于本合同到期之前六个月提出申请，则本合同可予延长，每次延长期限不得超过五年，而且须以管理局和承包者届时根据《规章》商定的条款为准。如果承包者已作出真诚努力遵守本合同的各项要求，但由于承包者无法控制的原因而不能完成进入开发阶段的必要准备工作，或者在当时的经济环境下没有理由进入开发阶段，则此种延长应获核准。\n\n3.3 尽管根据本合同第 3.1 节规定本合同已到期，如承包者在期满之日 90 天前申请开发合同，则本合同规定的承包者权利和义务应予继续，直至审议申请，颁发或拒发开发合同时为止。第4节勘探\n\n4.1 承包者应按照本合同附件 2 所列活动方案规定的时间表开始勘探，并应遵守本合同所规定的时限或对时限所作的任何修改。\n\n4.2 承包者应执行本合同附件 2 所述的活动方案。承包者进行这些活动时，每一合同年度内所花的实际和直接勘探费用应不少于该方案所规定的数额，或对方案进行审查后议定的数额。\n\n4.3 承包者经管理局同意，可不时根据采矿业的良好做法，并参考多金属硫化物所含金属的市场状况和其他相关的全球经济状况，对活动方案及其中所列支出数额作必要和谨慎的调整。管理局不应不合理地拒绝给予同意。\n\n4.4 承包者和秘书长至迟应在本合同根据合同第 3 节生效之日开始的每一个五年届满之前 90 天，共同对根据本合同执行勘探工作计划的情况进行审查。秘书长可视需要要求承包者提交此审查所需的进一步数据和资料。承包者应参照审查结果，说明其下一个五年的活动方案，包括列出预计每年开支的订正表，对其上一个活动方案作出必要的调整。本合同附件 2 应作相应调整。第5节环境监测\n\n5.1 承包者应在合理可能的范围内采取预防做法和最佳环境做法，采取必要措施，防止、减少和控制其“区域”内活动对海洋环境造成的污染和其他危害。\n\n5.2 在开始勘探活动之前，承包者应向管理局提交：\n\n(a) 一份关于拟议活动对海洋环境潜在影响的评估书；\n\n(b) 一份用于确定拟议活动对海洋环境潜在影响的监测方案建议书；和\n\n(c) 可用于制订环境基线，以评估拟议活动影响的数据。\n\n5.3 承包者应依照《规章》的规定，随着勘探活动的不断深入和发展，收集环境基线数据，并确定环境基线，供对比评估承包者的活动可能对海洋环境造成的影响。\n\n5.4 承包者应依照《规章》的规定，制订和执行关于监测和报告对海洋环境的影响的方案。承包者应与管理局合作实施此监测。\n\n5.5 承包者应于每一日历年结束后 90 天内向秘书长报告本合同第 5.4 节所述监测方案的执行情况和结果，并应根据《规章》提交数据和资料。第6节应急计划和紧急情况\n\n6.1 承包者在按照本合同开始其活动方案之前，应向秘书长提交一份能有效应付因承包者在勘探区域的海上活动而可能对海洋环境造成严重损害或带来严重损害威胁的事故的应急计划。这种应急计划应确定特别程序，并应规定备有足够和适当的设备，以应付此类事故，特别是应包括下列安排：\n\n(a) 立即在勘探活动区域发出一般警报；\n\n(b) 立即通知秘书长；\n\n(c) 警告可能行将进入毗邻水域的船只；\n\n(d) 不断向秘书长充分通报已经采取的紧急措施的细节和所需的进一步行动；\n\n(e) 适当清除污染物质；\n\n(f)减少并在合理范围内尽可能防止对海洋环境造成严重损害，以及减轻此类影响；\n\n(g) 在适当情况下，同管理局的其他承包者合作应付紧急情况；并\n\n(h) 定期举行紧急情况演习。\n\n6.2 承包者的活动如引起已经、正在或可能对海洋环境造成严重损害的事故，承包者应迅速向秘书长报告。每一报告应载列事故的详情，其中除其他外，应包括：\n\n(a) 已受影响的或可以合理地预期会受影响的区域的坐标；\n\n(b) 说明承包者正在采取什么行动来防止、控制、减轻和弥补对海洋环境造成或可能造成严重损害的情况；\n\n(c) 说明承包者正在为监测事故对海洋环境的影响而采取的行动；和\n\n(d) 秘书长在合理范围内可能要求提供的补充资料。\n\n6.3 承包者应遵从理事会和秘书长为了防止、控制、减轻或弥补对海洋环境造成或可能造成严重损害的情况而分别按照《规章》发布的紧急命令和指示立即采取的暂时性措施，包括可能要求承包者立即暂停或调整其在勘探区域内任何活动的命令。\n\n6.4 如果承包者不迅速遵从这种紧急命令或立即采取暂时性措施，理事会可采取必要的合理措施，以防止、控制、减轻或弥补对海洋环境造成或可能造成严重损害的情况，费用由承包者承担。承包者应迅速向管理局偿还这种费用。这种费用不包括在根据本合同或《规章》对承包者课处的任何罚款之内。第7节具有考古或历史意义的遗骸、文物和遗址在勘探区内发现任何具有考古或历史意义的遗骸或任何类似性质的文物或遗址时，承包者应立即将该事及发现的地点以书面方式通知秘书长，包括报告已采取的保全和保护措施。秘书长应将这些资料转交联合国教育、科学及文化组织总干事以及任何其他主管国际组织。在勘探区发现这种考古或历史意义的遗骸、文物或遗址后，为了避免扰动此类遗骸、文物或遗址，不得在一个合理范围内继续进行探矿或勘探，直至理事会在考虑联合国教育、科学及文化组织总干事以及任何其他主管国际组织的意见后做出决定。第8节训练\n\n8.1 根据《规章》，承包者在按照本合同开始勘探之前，应把关于训练管理局和发展中国家人员的拟议训练方案提交管理局核准，其中包括让这些人员参与承包者按照本合同所从事的所有活动。\n\n8.2 训练方案的范围和筹资办法应由承包者、管理局和担保国商订。\n\n8.3 承包者应依照本合同第 8.1 节所述并经管理局根据《规章》核准的具体人员训练方案，实施训练方案。具体方案可不时加以修改和发展，并应作为附件 3 成为本合同的一部分。第9节账簿和记录承包者应按照国际公认会计原则保存完整和正确的账簿、账目和财务记录。保存的账簿、账目和财务记录应包括充分披露实际和直接支出的勘探费用的资料和有助于切实审计这些费用的其他资料。第 10 节年度报告\n\n10.1承包者应于每一日历年结束后 90 天内，按照法律和技术委员会不时建议的格式，向秘书长提交一份报告，说明其在勘探区域的活动方案，并在适用时提供关于下列方面的详尽资料：\n\n(a) 该日历年内进行勘探的工作，包括显示已进行工作和已取得结果的地图、海图和图表；\n\n(b) 进行勘探工作所使用的设备，包括对拟议采矿技术进行测试的结果，但不包括设备的设计数据；和\n\n(c) 训练方案的执行情况，包括对这类方案的任何拟议的修订或发展。\n\n10.2 这种报告也应载列：\n\n(a) 环境监测方案的结果，包括对各项环境参数的观察、测量、评价和分析；\n\n(b) 一份列有作为样品或为测试目的回收的多金属硫化物数量的报表；\n\n(c) 一份符合国际公认会计原则和经具有适当资格的公共会计师事务所核证的报表，或在承包者为国家和国营企业时经担保国核证的报表，其中载列承包者在其会计年度内为执行活动方案而实际和直接支出的勘探费用。承包者可将这些费用申报为承包者在开始商业生产前的部分开发成本；和\n\n(d) 任何拟对活动方案作出调整的细节和作出这种调整的理由。\n\n10.3承包者还应按照秘书长不时提出的合理要求，提供更多资料以补充本合同第 10.1 节和第 10.2 节所述的报告，以便管理局根据《公约》、《规章》和本合同履行其职能。\n\n10.4对于在勘探期间取得的多金属硫化物样品和岩心，承包者应妥善保存一个具有代表性的部分，直至本合同期满为止。管理局可书面请求承包者将任何这种在勘探期间取得的样品和岩心的一部分送交管理局作分析之用。第 11 节合同期满时应提交的数据和资料\n\n11.1承包者应依照本节的规定，向管理局移交管理局对勘探区域有效行使权力和履行职能所必需和相关的一切数据和资料。\n\n11.2在本合同期满或终止时，尚未向秘书长提交下列数据和资料的承包者应向秘书长提交：\n\n(a) 承包者在执行活动方案期间获得的，并为管理局对勘探区域有效行使权力和履行职能所必需和相关的地质、环境、地球化学和地球物理数据的副本；\n\n(b) 确定可开采矿床后对这些矿床的估计，包括关于经证实的、推定的及可能的多金属硫化物储量的品位和数量以及预计采矿条件的细节；\n\n(c) 承包者编写或为承包者编写，并为管理局对勘探区域有效行使权力和履行职能所必需和相关的地质、技术、财务和经济报告的副本；\n\n(d) 进行勘探工作所使用设备的充分详细资料，包括对拟议采矿技术进行测试的结果，但不包括设备的设计数据；\n\n(e) 一份列有作为样品或为测试目的回收的多金属硫化物数量的报表；和\n\n(f)\n\n11.3一份关于岩心样品的保存方式和地点及可供管理局使用的方式的说明。如果在本合同期满之前，承包者申请核准一项开发工作计划，则应向秘书长提交本合同第 11.2 节所述的数据和资料；或如果承包者放弃其在勘探区域内的权利，则本合同第 11.2 节所述的与被放弃区域有关的数据和资料也应提交秘书长。第 12 节机密性依照本合同的规定提交管理局的数据和资料应按照《规章》规定视为机密处理。第 13 节承诺\n\n13.1承包者应依照本合同的条款和条件、《规章》、《公约》第十一部分、《协定》以及符合《公约》规定的其他国际法规则进行勘探。\n\n13.2承包者承诺：\n\n(a) 同意本合同的条款是可执行的，并将予以遵守；\n\n(b) 遵守《公约》的规定、管理局的规则、规章和程序及管理局相关机关的决定所产生的适用义务；\n\n(c) 接受管理局根据《公约》授权对“区域”内活动进行控制；\n\n(d) 诚意履行本合同规定的义务；和\n\n(e) 在合理可行范围内遵从法律和技术委员会随时公布的建议。\n\n13.3承包者应以下述方式积极执行活动方案：\n\n(a) 认真、高效和节省；\n\n(b) 适当顾及其活动对海洋环境的影响；和\n\n(c) 合理顾及海洋环境中的其他活动。\n\n13.4管理局承诺按照《公约》第一五七条诚意履行《公约》和《协定》规定的职权和职能。第 14 节检查\n\n14.1承包者应准许管理局派其检查员登临承包者用以在勘探区域内进行活动的船舶和设施，以便：\n\n(a) 监测承包者对本合同的条款及《规章》的遵守情况；和\n\n(b) 监测这些活动对海洋环境的影响。\n\n14.2秘书长应合理通知承包者，告知检查的预定时间和检查的时间长度，检查员的姓名，以及检查员准备进行、而且可能需要特别设备或者需要承包者的人员提供特别协助的活动。\n\n14.3检查员应有权检查任何船舶或设施，包括其航海日志、设备、记录、装备、所有其他已记录的数据以及为监测承包者的遵守情况而需要的任何相关文件。\n\n14.4承包者及其代理人和雇员应协助检查员履行其职务，并应：\n\n(a) 接受检查员并方便检查员迅速而安全地登临船舶和设施；\n\n(b) 对按照这些程序检查任何船舶或设施的活动给予合作和协助；\n\n(c) 在任何合理的时间为接触船舶和设施上所有相关的设备、装备和人员提供便利；\n\n(d) 在检查员履行职务时不加阻挠、恫吓或干预；\n\n(e) 向检查员提供合理的便利，包括在适当情况下提供膳宿；和\n\n(f)方便检查员安全离船。\n\n14.5检查员应避免干扰承包者在所检查区域进行活动的船舶和设施上的安全和正常作业，并应按照《规章》和为保护数据和信息的机密性而采取的措施行事。\n\n14.6秘书长及经正式授权的秘书长代表为审计和检查目的，应可查阅承包者所有的任何必要和直接有关的账薄、凭单、文件和记录，以核实第 10.2(c)节所提及的费用。\n\n14.7需要采取行动时，秘书长应将检查员报告内的相关资料提供承包者及其担保国。\n\n14.8如果承包者以任何原因不开展勘探，并且不要求颁发开发合同，则应在撤出勘探区域之前向秘书长提出书面通知，以使管理局如作出决定，可按照本节规定进行检查。第 15 节安全、劳动及健康标准\n\n15.1承包者应遵守主管国际组织或外交大会所制定的关于海上人命安全和防止碰撞的公认国际规则和标准以及管理局可能通过的关于海上安全的规则、规章和程序。用于在“区域”内进行活动的每一船舶应持有按照这些国际规则和标准颁发的有效证件。\n\n15.2承包者在按照本合同进行勘探时，应奉行和遵守管理局可能通过的关于防止就业歧视、职业安全和健康、劳资关系、社会保障、就业保障和工作场所生活条件的规则、规章和程序。这些规则、规章和程序应考虑到国际劳工组织和其他主管国际组织的公约和建议。第 16 节责任\n\n16.1承包者应对其本身及其雇员、分包者、代理人及他们为根据本合同进行承包者的业务而雇用为他们工作或代他们行事的所有人员的不当作为或不作为所造成的任何损害，包括对海洋环境的损害的实际数额负赔偿责任，其中包括为防止或限制对海洋环境造成损害而采取的合理措施的费用，但应考虑到管理局的共同作为或不作为。\n\n16.2对于第三方因承包者及其雇员、代理人和分包者及他们为根据本合同进行承包者的业务而雇用为他们工作或代他们行事的所有人员的任何不当作为或不作为而提出的一切主张和赔偿要求，承包者应使管理局及承包者的雇员、分包者和代理人免受损失。\n\n16.3管理局应对在履行其职权和职能时的不当作为，包括违反《公约》第一六八条第 2 款的行为所造成的任何损害的实际数额向承包者负赔偿责任，但应考虑到承包者、其雇员、代理人和分包者及他们为根据本合同进行承包者的业务而雇用为他们工作或代他们行事的所有人员的共同作为或不作为。\n\n16.4对于第三方因管理局在履行本合同规定的职权和职能时的任何不当作为或不作为，包括违反《公约》第一六八条第 2 款的行为而提出的一切主张和赔偿要求，管理局应使承包者、其雇员、分包者、代理人及他们为根据本合同进行承包者的业务而雇用为他们工作或代他们行事的所有人员免受损失。\n\n16.5承包者应按公认的国际海事惯例向国际公认的保险商适当投保。第 17 节不可抗力\n\n17.1 承包者对因不可抗力而无法避免的延误或因而无法履行本合同所规定的任何义务不负赔偿责任。为本合同的目的，不可抗力指无法合理地要求承包者防止或控制的事件或情况；但这种事件或情况不应是疏忽或未遵守采矿业的良好做法所引起的。\n\n17.2 本合同的履行如果因不可抗力受到延误，经承包者请求，承包者应获准展期，延展期间相当于履行被延误的时间，而本合同的期限也应相应延长。\n\n17.3 发生不可抗力时，承包者应采取一切合理措施，克服无法履行的情况，尽少延误地遵守本合同的条款和条件。\n\n17.4 承包者应合理地尽快将发生的不可抗力事件通知管理局，并应同样地将情况恢复正常的消息通知管理局。第 18 节免责条款承包者或任何关联公司或分包者不得以任何明示或暗示的方式声称或表示，管理局或其任何官员对勘探区域内多金属硫化物持有任何意见或已表示任何意见。承包者、任何关联公司或任何分包者印发的，直接或间接提及本合同的任何计划书、通知、通告、广告、新闻稿或类似文件均不应登载或认可类似内容的声明。为本节的目的，“关联公司”是指控制承包者，或由承包者控制，或与承包者受共同控制的任何个人、商号或公司或国有实体。第 19 节放弃权利承包者向管理局发出通知后，有权放弃其权利和终止本合同而不受罚，但承包者仍须对宣布放弃之日以前产生的所有义务和按照《规章》须在合同终止后履行的义务承担责任。第 20 节担保的终止\n\n20.1如果承包者国籍或控制权发生变化或《规章》所界定的承包者担保国终止其担保，承包者应从速通知管理局。\n\n20.2在上述任何一种情况下，如果承包者未能找到另一符合《规章》所定要求的担保国，在《规章》规定的时限内以规定的格式为承包者向管理局提交担保书，则本合同应即予终止。第 21 节合同的中止和终止及罚则\n\n21.1如果发生以下情况之一，理事会可以中止或终止合同，但不妨害管理局可能具有的任何其他权利：\n\n(a) 虽经管理局书面警告，承包者仍然进行活动，以致造成一再故意严重违反本合同基本条款、《公约》第十一部分、《协定》和管理局的规则、规章和程序的结果；或\n\n(b) 承包者不遵守对其适用的争端解决机构作出的有拘束力的终局裁判；或\n\n(c) 承包者失去偿付能力，或采取破产行动，或与债权人达成任何清偿协议，或进行清算或被接管，无论是强制性还是自愿的，或根据任何现行或此后生效的破产法、无力偿债法或债务调整法向任何法庭申请指派管理人或其自己的托管人或管理人或展开任何与自己有关的法律程序，但为了改组的除外。\n\n21.2如第 17.1 节所述，由于不可抗力持续两年以上，承包者尽管已采取一切合理措施，克服无法履行的情况，尽少延误地履行和遵守本合同条款和条件，但仍无法履行本合同规定的义务，在这种情况下，理事会在须遵循第 17 节规定的条件下，与承包者协商后，可中止或终止合同，同时不妨害管理局可能具有的任何其他权利。\n\n21.3任何中止或终止应采用书面通知形式，通过秘书长发出，并应附上关于采取这一行动的理由的说明。中止或终止应于通知后的 60 天生效，除非承包者在此段时间内按照《公约》第十一部分第五节对管理局中止或终止本合同的权利提出异议。\n\n21.4如果承包者采取上述行动，本合同只可根据按照《公约》第十一部分第五节作出的有拘束力的终局裁判予以中止或终止。\n\n21.5如果理事会已经中止本合同，理事会可发出通知，要求承包者在通知后的\n\n60 天内恢复其作业并遵守本合同的条款和条件。\n\n21.6对于本合同第 21.1(a)节未予规定的任何违反本合同的行为，或作为本合同第 21.1 节所规定的中止或终止的代替做法，理事会可对承包者课以与违约行为的严重性相称的罚款。\n\n21.7理事会不得执行涉及罚款的决定，除非承包者已有合理机会用尽根据《公约》第十一部分第五节可以使用的司法救济。\n\n21.8在本合同被终止或到期时，承包者应遵守《规章》，从勘探区域撤出所有设施、工厂、设备和材料，使该区成为安全区域，不会对人员、航运或对海洋环境构成危险。第 22 节权利和义务的转让\n\n22.1本合同规定的承包者权利和义务，须经管理局同意，并按照《规章》的规定，才可全部或部分转让。\n\n22.2如果拟议的受让者根据《规章》的规定是在所有方面都合格的申请者，并且承担承包者的一切义务，在转让没有向受让人让与一项《公约》附件三第六条第 3 款(c)项规定不得核准的工作计划的情况下，管理局不应不合理地拒绝同意转让。\n\n22.3本合同的条款、承诺和条件应对合同各方，及其各自的继承者和受让者生效，使他们从中受益并受其拘束。第 23 节不放弃权利任何一方放弃因他方在履行本合同条款方面的一项违约行为而产生的权利，不应推定为该一方放弃权利，不追究他方随后在履行同一条款或任何其他条款方面的违约行为。第 24 节修改\n\n24.1如果已经发生或可能发生的情况使管理局或承包者认为将使本合同有失公允，或使本合同或《公约》第十一部分和《协定》所订的目标无法或不可能实现，双方应进行谈判，对合同作出相应的修改。\n\n24.2承包者和管理局也可以协议修改本合同，以便利执行管理局在本合同生效以后通过的任何规则、规章和程序。\n\n24.3本合同的变更、修正或改动，须得到承包者和管理局的同意，以经由双方授权的代表签署的适当文书为之。第 25 节争端\n\n25.1双方关于本合同的解释或适用的争端应依照《公约》第十一部分第五节的规定解决。\n\n25.2依照《公约》附件三第二十一条第二款的规定，根据《公约》具有管辖权的法院或法庭就管理局和承包者的权利和义务作出的任何终局裁判，在《公约》任一受影响的缔约国境内均应予以执行。第 26 节通知\n\n26.1与本合同有关的任何申请书、请求、通知、报告、同意书、批准书、放弃权利声明、指令或指示应按情况由秘书长或由承包者的指定代表以书面作出。应以专人手递、电报、传真、挂号航空邮件或带有授权签字的电子邮件方式送达管理局总部交秘书长或送达指定的代表。以带有数字签字的电子文件提供信息，可满足本规章关于以书面形式提供一切信息的规定。\n\n26.2任何一方都有权将任何地址更改为任何其他地址，但应至少提前十天向他方发出通知。\n\n26.3专人手递的，于送达时生效。以电报传送的，于发送者电报机显示“回答”之日的下一个办公日视为生效。以传真传送的，于传真机收到“发送证实报告”证实已向收件者的公开传真号码发送传真时生效。以挂号航空信件发出的，于寄出\n\n21 天之后视为生效。电子文件，在其进入收件人为接收所发此类文件而指定或使用的信息系统，并可以由收件人取用和处理时，视为被收件人收到。\n\n26.4就本合同的所有目的而言，向承包者的指定代表发出的通知，构成给承包者的有效通知，而且在任何具有管辖权的法院或法庭的任何程序中，被指定代表为接收送达的传票或通知的承包者代理人。\n\n26.5就本合同的所有目的而言，发给秘书长的通知构成给管理局的有效通知，而且在任何具有管辖权的法院和法庭的诉讼程序中，秘书长为接收送达的传票或通知的管理局代理人。第 27 节适用的法律\n\n27.1本合同应按照本合同的条款、管理局的规则、规章和程序、《公约》第十一部分、《协定》以及与《公约》不相抵触的其他国际法规则确定。\n\n27.2承包者、其雇员、分包者、代理人及他们为根据本合同进行承包者的业务而雇用为他们工作或代他们行事的所有人员，应遵守本合同第 27.1 节所提到的适用的法律，并且不应直接或间接地从事适用的法律禁止的任何交易。\n\n27.3本合同任何条款不得被视为不必为按照本合同进行的任何活动申请和取得可能需要的任何执照或授权。第 28 节解释本合同分成若干节和分节，另加上标题，仅为了便于参考，不应影响对合同的解释。第 29 节其他文件为实施本合同的规定，本合同每一当事方同意签署和递送所有必要的进一步文书，并采取和履行所有必要或恰当的进一步行动和事务。\n", "n_chars": 31283}
{"corpus_id": "itlos/advisory-opinion/sdc-area-2011", "version_id": "2011-02-01", "title": "Responsibilities and obligations of States sponsoring persons and entities with respect to activities in the Area (Request for Advisory Opinion submitted to the Seabed Disputes Chamber), Advisory Opinion of 1 February 2011", "short_title": "2011 Seabed Disputes Chamber Advisory Opinion (Case No. 17)", "jurisdiction": "international", "document_type": "advisory_opinion", "official_citation": "Responsibilities and obligations of States with respect to activities in the Area, Advisory Opinion, 1 February 2011, ITLOS Reports 2011, p. 10", "authentic_languages": ["en", "fr"], "language": "en", "adoption_date": "2011-02-01", "entry_into_force_date": null, "source_url": "https://www.itlos.org/fileadmin/itlos/documents/cases/case_no_17/17_adv_op_010211_en.pdf", "source_publisher": "International Tribunal for the Law of the Sea (ITLOS)", "source_is_official": true, "authoritative_status": "authentic_text", "text_fidelity": "extracted_verified", "content_hash": "sha256:d31eca6c87f6f4db60b47f90c449d4eab03c8e90d75aa0ac9b5cdd8e4f00d1eb", "original_sha256": "sha256:5786f6e279d29ecaa7e7bb4a468e961df9a98fe1f94e5cc82056e03cf000cfcf", "text_sha256": "sha256:d31eca6c87f6f4db60b47f90c449d4eab03c8e90d75aa0ac9b5cdd8e4f00d1eb", "license": "itlos-materials-terms", "rights_note": "Official ITLOS materials, attributed to the International Tribunal for the Law of the Sea; not relicensed.", "provenance_note": "GAP CLOSED. This record supersedes the earlier authoritative_missing placeholder for the same version (2011-02-01), which remains in Git history. The complete authentic English text was obtained from the byte-exact official ITLOS English PDF (human download, 719 KB, 72 pages), now stored as original.pdf — a genuine provenance upgrade over the earlier truncated text-only web-fetch capture: original_sha256 is the hash of the official PDF itself. Text extracted with pdftotext and cleaned deterministically: running headers and page numbers removed, font ligatures (fi/fl/…) normalised to their letters, line wraps rejoined — NO wording changed. JC-004 RESOLVED: the opinion closes \"Done in English and French, both texts being authoritative\", so English and French are equally authentic; the French authentic text is a recorded coverage gap (JC-003). Complete through the operative reply (Replies to Questions 1–3) and the signatures of President Treves and Registrar Gautier.", "text": "Responsibilities and obligations of States sponsoring persons and entities with respect to activities in the Area — Advisory Opinion of 1 February 2011 (ITLOS Seabed Disputes Chamber, Case No. 17)\n\nADVISORY OPINION Present: President TREVES; Judges MAROTTA RANGEL, NELSON, CHANDRASEKHARA RAO, WOLFRUM, YANAI, KATEKA, H O F F M A N N , G A O , B O U G UE T A I A , G O L I T S Y N ; Registrar GAUTIER. On Responsibilities and Obligations of States sponsoring persons and entities with respect to activities in the Area, THE SEABED DISPUTES CHAMBER, composed as above, gives the following Advisory Opinion: Introduction I. The Request 1. The questions on which the advisory opinion of the Seabed Disputes Chamber of the International Tribunal for the Law of the Sea (hereinafter “the Chamber”) has been requested are set forth in decision ISBA/16/C/13 adopted by the Council of the International Seabed Authority (hereinafter “the Council”) on 6 May 2010 at its sixteenth session. By letter dated 11 May 2010, transmitted electronically to the Registry of the Tribunal on 14 May 2010, the Secretary-General of the International Seabed Authority (hereinafter “the Secretary-General”) officially communicated to the Chamber the decision taken by the Council. The original of that letter was received in the Registry on 17 May 2010. Certified true copies of the English and French versions of the Council’s decision were forwarded by the Legal Counsel of the International Seabed Authority (hereinafter “the Legal Counsel”) on 8 June 2010 and received in the Registry on the same date. The decision of the Council reads: The Council of the International Seabed Authority, Considering the fact that developmental activities in the Area have already commenced, Bearing in mind the exchange of views on legal questions arising within the scope of activities of the Council, Decides, in accordance with Article 191 of the United Nations Convention on the Law of the Sea (“the Convention”), to request the Seabed Disputes Chamber of the International Tribunal for the Law of the Sea, pursuant to Article 131 of the Rules of the Tribunal, to render an advisory opinion on the following questions:\n\n1. What are the legal responsibilities and obligations of States Parties to the Convention with respect to the sponsorship of activities in the Area in accordance with the Convention, in particular Part XI, and the 1994 Agreement relating to the Implementation of Part XI of the United Nations Convention on the Law of the Sea of 10 December 1982? 2. What is the extent of liability of a State Party for any failure to comply with the provisions of the Convention, in particular Part XI, and the 1994 Agreement, by an entity whom it has sponsored under Article 153, paragraph 2 (b), of the Convention? 3. What are the necessary and appropriate measures that a sponsoring State must take in order to fulfil its responsibility under the Convention, in particular Article 139 and Annex III, and the 1994 Agreement? 2. The Request was entered in the List of cases as No. 17 and the case was named “Responsibilities and Obligations of States sponsoring persons and entities with respect to activities in the Area”.\n\n3. In his letter of 11 May 2010, the Secretary-General informed the Chamber of the appointment of the Legal Counsel as the representative of the International Seabed Authority (hereinafter “the Authority”) for the proceedings. II. Events leading to the Request 4. The Chamber considers it necessary to describe the events that led to the request for an advisory opinion: – On 10 April 2008, the Authority received two applications for approval of a plan of work for exploration in the areas reserved for the conduct of activities by the Authority through the Enterprise or in association with developing States pursuant to Annex III, article 8, of the United Nations Convention on the Law of the Sea (hereinafter “the Convention”). These applications were submitted by Nauru Ocean Resources Inc. (sponsored by the Republic of Nauru) and Tonga Offshore Mining Ltd. (sponsored by the Kingdom of Tonga); – These applications were submitted to the Legal and Technical Commission of the Authority. On 5 May 2009, the applicants submitted to the Authority a request that consideration of the applications should be postponed. At the fifteenth session of the Authority, held from 25 May to 5 June 2009, the Legal and Technical Commission decided to defer further consideration of the item; – On 1 March 2010, the Republic of Nauru transmitted to the SecretaryGeneral a proposal, set out in document ISBA/16/C/6, to seek an advisory opinion from the Chamber on a number of specific questions regarding the responsibility and liability of sponsoring States; – In support of its proposal, Nauru submitted, inter alia, the following considerations: In 2008 the Republic of Nauru sponsored an application by Nauru Ocean Resources Inc. for a plan of work to explore for polymetallic nodules in the Area. Nauru, like many other developing States, does not yet possess the technical and financial capacity to undertake seafloor mining in international waters. To participate effectively in activities in the Area, these States must engage entities in the global private sector (in much the same way as some developing countries require foreign direct investment). Not only do some developing States lack the financial capacity to execute a seafloor mining project in international waters, but some also cannot afford exposure to the legal risks potentially associated with such a project. Recognizing this, Nauru’s sponsorship of Nauru Ocean Resources Inc. was originally premised on the assumption that Nauru could effectively mitigate (with a high degree of certainty) the potential liabilities or costs arising from its sponsorship. This was important, as these liabilities or costs could, in some circumstances, far exceed the financial capacities of Nauru (as well as those of many other developing States). Unlike terrestrial mining, in which a State generally only risks losing that which it already has (for example, its natural environment), if a developing State can be held liable for activities in the Area, the State may potentially face losing more than it actually has. (ISBA/16/C/6, paragraph 1); Ultimately, if sponsoring States are exposed to potential significant liabilities, Nauru, as well as other developing States, may be precluded from effectively participating in activities in the Area, which is one of the purposes and principles of Part XI of the Convention, in particular as provided for in article 148; article 150, subparagraph (c); and article 152, paragraph 2. As a result, Nauru considers it crucial that guidance be provided on the interpretation of the relevant sections of Part XI pertaining to responsibility and liability, so that developing States can assess whether it is within their capabilities to effectively mitigate such risks and in turn make an informed decision on whether or not to participate in activities in the Area. (ISBA/16/C/6, paragraph 5); – Nauru’s proposal was included in the agenda for the sixteenth session of the Council of the Authority, during which intensive discussions on this agenda item were held at the 155th, 160th and 161st meetings; – The Council decided not to adopt the proposal as formulated by Nauru. In view of the wishes of many participants in the debate, it decided to request an advisory opinion on three more abstract but concise questions; – These questions were formulated in decision ISBA/16/C/13, adopted by the Council at its 161st meeting on 6 May 2010. As indicated by the Authority in its written statement and at the hearing, the decision adopted by the Council on 6 May 2010 was taken “without a vote” and “without objection” (written statement of the Authority, paragraph 2.4; ITLOS/PV.2010/1/Rev.1, p. 10, lines 16-21). III. Chronology of the procedure 5. Pursuant to article 133, paragraph 1, of the Rules of the Tribunal (hereinafter “the Rules”), the Registrar, by Note Verbale dated 17 May 2010, notified all States Parties to the United Nations Convention on the Law of the Sea (hereinafter “States Parties”) of the request for an advisory opinion.\n\n6. By letter dated 18 May 2010, pursuant to article 4 of the Agreement on Cooperation and Relationship between the United Nations and the International Tribunal for the Law of the Sea of 18 December 1997, the Registrar notified the Secretary-General of the United Nations of the request for an advisory opinion.\n\n7. By Order dated 18 May 2010, pursuant to article 133, paragraph 2, of the Rules, the President decided that the Authority and the organizations invited as intergovernmental organizations to participate as observers in the Assembly of the Authority (hereinafter “the Assembly”) were considered likely to be able to furnish information on the questions submitted to the Chamber for an advisory opinion. Accordingly, the President invited the States Parties, the Authority and the aforementioned intergovernmental organizations to present written statements on those questions. By the same Order, in accordance with article 133, paragraph 3, of the Rules, the President fixed 9 August 2010 as the time-limit within which written statements on those questions might be submitted to the Chamber. In the Order, in accordance with article 133, paragraph 4, of the Rules, the President further decided that oral proceedings would be held and fixed 14 September 2010 as the date for the opening of the hearing. States Parties, the Authority and the aforementioned intergovernmental organizations were invited to participate in the hearing and to indicate to the Registrar, not later than 3 September 2010, their intention to make oral statements.\n\n8. Article 191 of the Convention requires the Chamber to give advisory opinions “as a matter of urgency”. In the present case, the time-limits for the submission of written statements and the date of the opening of the hearing, as set out in the Orders of the President, were fixed with a view to meeting this requirement.\n\n9. By Order dated 28 July 2010, in light of a request submitted to the Chamber, the President extended the time-limit for the submission of written statements to 19 August 2010.\n\n10. By letter dated 30 July 2010, pursuant to article 131 of the Rules, the Legal Counsel transmitted to the Chamber a dossier containing documents in support of the Request. The dossier was posted on the Tribunal’s website.\n\n11. Within the time-limit fixed by the President, written statements were submitted by the following 12 States Parties, which are listed in the order in which their statements were received: the United Kingdom, Nauru, the Republic of Korea, Romania, the Netherlands, the Russian Federation, Mexico, Germany, China, Australia, Chile, and the Philippines. Within the same timelimit, written statements were also submitted by the Authority and two organizations, namely, the Interoceanmetal Joint Organization and the International Union for Conservation of Nature and Natural Resources.\n\n12. Upon receipt of those statements, in accordance with article 133, paragraph 3, of the Rules, the Registrar transmitted copies thereof to the States Parties, the Authority and the organizations that had submitted written statements. On 19 August 2010, pursuant to article 134 of the Rules, the written statements submitted to the Chamber were made accessible to the public on the Tribunal’s website.\n\n13. On 17 August 2010, the Registry received a statement submitted jointly by Stichting Greenpeace Council (Greenpeace International) and the World Wide Fund for Nature. The statement was accompanied by a petition from these two non-governmental organizations in which they requested permission to participate in the advisory proceedings as amici curiae. At the request of the President, by separate letters dated 27 August 2010, the Registrar informed those organizations that their statement would not be included in the case file since it had not been submitted under article 133 of the Rules; it would, however, be transmitted to the States Parties, the Authority and the intergovernmental organizations that had submitted written statements, which would be informed that the document was not part of the case file and that it would be posted on a separate section of the Tribunal’s website. By communication dated 27 August 2010, the States Parties, the Authority and the intergovernmental organizations in question were so informed.\n\n14. On 10 September 2010, the Chamber, having considered a petition from Stichting Greenpeace Council (Greenpeace International) and the World Wide Fund for Nature requesting permission to participate in the advisory proceedings as amici curiae, decided not to grant that request. The decision was communicated to the two organizations on the same day by a letter from the President.\n\n15. By e-mail dated 26 August 2010, the Legal Counsel transmitted to the Registrar, at the latter’s request, a note containing a summary of potential environmental impacts of seabed mining. This document was posted on the Tribunal’s website.\n\n16. By letter dated 1 September 2010, after the expiry of the time-limit for the submission of written statements, the United Nations Environment Programme submitted a written statement that was received by the Registry on 2 September 2010. The President nevertheless decided that the statement should be included in the case file. Accordingly, on 3 September 2010, the Registrar transmitted an electronic copy of that document to the States Parties, the Authority and the intergovernmental organizations that had submitted written statements. The document was also posted on the Tribunal’s website.\n\n17. Within the time-limit fixed in the Order of the President of 18 May 2010, nine States Parties expressed their intention to participate in the oral proceedings, namely, Argentina, Chile, Fiji, Germany, Mexico, Nauru, the Netherlands, the Russian Federation and the United Kingdom. Within the same time-limit, the Authority and two organizations, namely, the Intergovernmental Oceanographic Commission (IOC) of the United Nations Educational, Scientific and Cultural Organization (UNESCO) and the International Union for Conservation of Nature and Natural Resources also expressed their intention to participate in the oral proceedings.\n\n18. Prior to the opening of the oral proceedings, the Chamber held initial deliberations on 10, 13 and 14 September 2010.\n\n19. At four public sittings held on 14, 15 and 16 September 2010, the Chamber heard oral statements, in the following order, by: For the International Seabed Authority: Mr Nii Odunton, Secretary-General, Mr Michael Lodge, Legal Counsel, Mr Kening Zhang, Senior Legal Officer, and Ms Gwenaëlle Le Gurun, Legal Officer; For the Federal Republic of Germany: Ms Susanne Wasum-Rainer, Legal Adviser, Director-General for Legal Affairs, Federal Foreign Office; For the Kingdom of the Netherlands: Ms Liesbeth Lijnzaad, Legal Adviser, Ministry of Foreign Affairs; For the Argentine Republic: Ms Susana Ruiz Cerutti, Ambassador, Legal Adviser, Ministry of Foreign Affairs International Trade and Worship; For the Republic of Chile: Mr Roberto Plaza, Minister Counsellor, Consul General of Chile in Hamburg; For the Republic of Fiji: Mr Pio Bosco Tikoisuva, High Commissioner of Fiji to the United Kingdom of Great Britain and Northern Ireland; For the United Mexican States: Mr Joel Hernández G., Ambassador, Legal Adviser, Ministry of Foreign Affairs; For the Republic of Nauru: Mr Peter Jacob, First Secretary, Nauru High Commission in Suva (Fiji), and Mr Robert Haydon, Advisor; For the United Kingdom of Great Britain and Northern Ireland: Sir Michael Wood KCMG, Member of the English Bar and Member of the International Law Commission; For the Russian Federation: Mr Vasiliy Titushkin, Deputy Director, Legal Department, Ministry of Foreign Affairs; For the Intergovernmental Oceanographic Commission (IOC) of the United Nations Educational, Scientific and Cultural Organization (UNESCO): Mr Ehrlich Desa, Deputy Executive Secretary; For the International Union for Conservation of Nature and Natural Resources: Ms Cymie R. Payne, Member of the Bar of the State of California, the Commonwealth of Massachusetts, and the Supreme Court of the United States of America, Counsel, Mr Robert A. Makgill, Barrister and Solicitor of the High Court of New Zealand, Counsel, and Mr Donald K. Anton, Barrister and Solicitor of the Supreme Court of Victoria, the Supreme Court of New South Wales and the High Court of Australia; Member of the Bar of the State of Missouri, the State of Idaho, and the Supreme Court of he United States; and Senior Lecturer in International Law at the Australian National University College of Law, Counsel.\n\n20. The hearing was broadcast over the internet as a webcast.\n\n21. By letter dated 13 September 2010, pursuant to article 76, paragraph 1, of the Rules, the Registrar transmitted to the Authority, prior to the hearing, a list of the following points that the Chamber wished the Authority to address:\n\n1. With reference to article 153, paragraph 4, of the Convention, how has the Authority been exercising control over activities in the Area for the purpose of securing compliance with the relevant provisions of the Convention and what experience has the Authority accumulated over the years in this regard? 2. In what form has assistance been provided so far to the Authority by sponsoring States, including the case of various States sponsoring one contractor, for the purpose of securing compliance with provisions referred to in article 153, paragraph 4, and what experience has the Authority accumulated over the years in this regard? 3. What are the activities in the Area, including activities associated with exploration and exploitation, which so far have been controlled by the Authority? 4. Would it be possible for the Authority to provide the certificates of sponsorship regarding the contracts it has concluded with contractors, as well as copies of the sponsorship agreements if available? 22. Responses to points 1 to 3 of this list were provided in the oral statements made on behalf of the Authority during the sitting held on 14 September 2010. By letter dated 17 September 2010, the Legal Counsel communicated information on point 4 of the list. This letter was posted on the Tribunal’s website.\n\n23. At the request of the President, by letter dated 13 October 2010, the Registrar asked the Legal Counsel to provide the Chamber with information on the various phases of the process of exploration and exploitation of resources in the Area (collection, transportation to the surface, initial treatment, etc.), as well as information on the technology available. The Legal Counsel provided this information by letter dated 15 November 2010. The information was posted on the Tribunal’s website.\n\n24. As indicated by the President at the opening of the oral proceedings, one Member of the Chamber, Judge Chandrasekhara Rao, was prevented by illness from sitting on the bench during the hearing. However, with the approval of the Chamber, he participated in the subsequent deliberations on the advisory opinion. IV. Role of the Chamber in advisory proceedings 25. The Chamber is a separate judicial body within the Tribunal entrusted, through its advisory and contentious jurisdiction, with the exclusive function of interpreting Part XI of the Convention and the relevant annexes and regulations that are the legal basis for the organization and management of activities in the Area.\n\n26. The advisory jurisdiction is connected with the activities of the Assembly and the Council, the two principal organs of the Authority. The Authority is the international organization established by the Convention in order to “organize and control activities in the Area” (article 157, paragraph 1, of the Convention and section 1, paragraph 1, of the Annex to the 1994 Agreement relating to the Implementation of Part XI of the United Nations Convention on the Law of the Sea (hereinafter “the 1994 Agreement”)). In order to exercise its functions properly in accordance with the Convention, the Authority may require the assistance of an independent and impartial judicial body. This is the underlying reason for the advisory jurisdiction of the Chamber. In the exercise of that jurisdiction, the Chamber is part of the system in which the Authority’s organs operate, but its task within that system is to act as an independent and impartial body.\n\n27. According to article 159, paragraph 10, and article 191 of the Convention, the advisory function of the Chamber concerns legal questions submitted by the Assembly and by the Council. Advisory opinions requested under article 159, paragraph 10, of the Convention serve to assist the Assembly during its decision-making process. The Chamber’s advisory jurisdiction under article 191 of the Convention concerns “legal questions arising within the scope” of the activities of either the Assembly or the Council.\n\n28. As provided in article 187 of the Convention, the Chamber also has contentious jurisdiction to settle different categories of disputes referred to in that article with respect to activities in the Area.\n\n29. The functions of the Chamber, set out in Part XI of the Convention, are relevant for the good governance of the Area. The Secretary-General made this point at the hearing: “The Chamber has a high responsibility to ensure that the provisions of Part XI of the Convention and the 1994 Agreement are implemented properly and the regime for deep seabed mining as a whole is properly interpreted and applied” (ITLOS/PV.2010/1/Rev.1, p. 5, lines 16-19).\n\n30. The Chamber is mindful of the fact that by answering the questions it will assist the Council in the performance of its activities and contribute to the implementation of the Convention’s regime. V. Jurisdiction 31. The Chamber will first determine whether it has jurisdiction to give the advisory opinion requested by the Council. The conditions to be met in order to establish the jurisdiction of the Chamber are set out in article 191 of the Convention which reads as follows: The Seabed Disputes Chamber shall give advisory opinions at the request of the Assembly or the Council on legal questions arising within the scope of their activities. Such opinions shall be given as a matter of urgency.\n\n32. As regards the present proceedings, the conditions to be met are: (a) that there is a request from the Council; (b) that the request concerns legal questions; and (c) that these legal questions have arisen within the scope of the Council’s activities.\n\n33. As to the first condition, the Chamber observes that article 191 of the Convention confers on the Assembly and the Council the power to request advisory opinions from the Chamber. In the present case, the decision to request an advisory opinion from the Chamber was adopted by the Council.\n\n34. Rule 56, paragraph 1, of the Rules of Procedure of the Council provides that, as a general rule, decision-making in the Council should be by consensus. Section 3, paragraph 2, of the Annex to the 1994 Agreement states that “[a]s a general rule, decision-making in the organs of the Authority should be by consensus”. According to article 161, paragraph 8 (e), of the Convention and rule 59 of the Rules of Procedure of the Council, “consensus” means the absence of any formal objection.\n\n35. In its written statement, the Authority declared that “[t]he decision of the Council to request the Chamber for an advisory opinion was taken without objection and can thus be regarded as having been taken by consensus”. The information provided by the Authority also shows that the Council’s decision was taken in accordance with the internal rules of procedure of the Authority.\n\n36. The Chamber thus concludes that there is a valid request by the Council.\n\n37. With respect to the second condition, the Chamber must satisfy itself that the advisory opinion requested by the Council concerns “legal questions” within the meaning of article 191 of the Convention.\n\n38. In examining this requirement, the Chamber observes that the three questions before it relate, inter alia, to “the legal responsibilities and obligations of States Parties to the Convention with respect to the sponsorship of activities in the Area”; “the extent of liability of a State Party for any failure to comply with the provisions of the Convention . . . by an entity whom it has sponsored”; and the “measures that a sponsoring State must take in order to fulfil its responsibility under the Convention”.\n\n39. The questions put to the Chamber concern the interpretation of provisions of the Convention and raise issues of general international law. The Chamber recalls that the International Court of Justice (hereinafter “the ICJ”) has stated that “questions ‘framed in terms of law and rais[ing] problems of international law . . . are by their very nature susceptible of a reply based on law’” (Accordance with International Law of the Unilateral Declaration of Independence in Respect of Kosovo, Advisory Opinion, 22 July 2010, paragraph 25; Western Sahara, Advisory Opinion, I.C.J. Report 1975, p. 12, at paragraph 15).\n\n40. For these reasons, the Chamber concludes that the questions raised by the Council are of a legal nature.\n\n41. As to the third condition, article 191 of the Convention also requires that an advisory opinion must concern legal questions “arising within the scope of [the] activities” of the Assembly or the Council. In the present case, it is for the Chamber to determine whether the legal questions submitted to it arose within the scope of the activities of the Council. Therefore, it is pertinent to examine the provisions of the Convention and of the 1994 Agreement that define the Council’s competence.\n\n42. The powers and functions of the Council are set out in Part XI, section 4, of the Convention and, in particular, article 162 thereof, read together with the 1994 Agreement. Article 162, paragraphs 1 and 2 (a), of the Convention reads as follows:\n\n1. The Council is the executive organ of the Authority. The Council shall have the power to establish, in conformity with this Convention and the general policies established by the Assembly, the specific policies to be pursued by the Authority on any question or matter within the competence of the Authority.\n\n2. In addition, the Council shall: (a) supervise and coordinate the implementation of the provisions of this Part on all questions and matters within the competence of the Authority and invite the attention of the Assembly to cases of noncompliance.\n\n43. Section 3, paragraph 11 (a), read together with section 1, paragraphs 6 to 11, of the 1994 Agreement, entrusts the Council with the function of approving plans of work in accordance with Annex III, article 6, of the Convention. Article 162, paragraph 2 (l), of the Convention confers on the Council the power to “exercise control over activities in the Area in accordance with article 153, paragraph 4, and the rules, regulations and procedures of the Authority”.\n\n44. In light of these provisions, the Chamber concludes that the legal questions before it fall within the scope of the activities of the Council, since they relate to the exercise of its powers and functions, including its power to approve plans of work.\n\n45. For the aforementioned reasons, the Chamber finds that it has jurisdiction to entertain the request for an advisory opinion submitted to it by the Council. VI. Admissibility 46. The Chamber now turns to questions of admissibility.\n\n47. Some of the participants in the proceedings have drawn attention to the wording of article 191 of the Convention, which states that the Chamber “shall give” advisory opinions, and have compared it to article 65, paragraph 1, of the Statute of the ICJ, which states that the Court “may give” an advisory opinion. In light of this difference, they have argued that, contrary to the discretionary powers of the ICJ, the Chamber, once it has established its jurisdiction, has no discretion to decline a request for an advisory opinion.\n\n48. While noting the difference between the wording of article 191 of the Convention and article 65 of the Statute of the ICJ, the Chamber does not consider it necessary to pronounce on the consequences of that difference with respect to admissibility in the present case.\n\n49. The Chamber deems it appropriate to render the advisory opinion requested by the Council and will proceed accordingly. VII. Applicable law and procedural rules 50. The Chamber will now proceed to indicate the applicable law.\n\n51. Article 293, paragraph 1, of the Convention and article 38 of the Statute of the Tribunal (hereinafter “the Statute”) set out the law to be applied by the Chamber.\n\n52. Article 293, paragraph 1, of the Convention, reads: A court or tribunal having jurisdiction under this section [section II of Part XV of the Convention] shall apply this Convention and other rules of international law not incompatible with this Convention.\n\n53. Article 38 of the Statute reads: In addition to the provisions of article 293, the Chamber shall apply: a) the rules, regulations and procedures of the Authority adopted in accordance with the Convention; and b) the terms of contracts concerning activities in the Area in matters relating to those contracts.\n\n54. It should be noted that, in accordance with article 2, paragraph 1, of the 1994 Agreement, the provisions of that Agreement and Part XI of the Convention “shall be interpreted and applied together as a single instrument. In the event of any inconsistency between this Agreement and Part XI, the provisions of this Agreement shall prevail”.\n\n55. The procedural rules applicable during advisory proceedings before the Chamber are set out in article 40, paragraph 2, of the Statute and section H (“Advisory proceedings”) of the Rules, in particular article 130, paragraph 1, thereof.\n\n56. Article 40, paragraph 2, of the Statute reads: In the exercise of its functions relating to advisory opinions, the Chamber shall be guided by the provisions of this Annex relating to procedure before the Tribunal to the extent to which it recognizes them to be applicable. Article 130, paragraph 1, of the Rules reads: In the exercise of its functions relating to advisory opinions, the Seabed Disputes Chamber shall apply this section and be guided, to the extent to which it recognizes them to be applicable, by the provisions of the Statute and of these Rules applicable in contentious cases. VIII. Interpretation In general 57. Among the rules of international law that the Chamber is bound to apply, those concerning the interpretation of treaties play a particularly important role. The applicable rules are set out in Part III, Section 3 entitled “Interpretation of Treaties” and comprising articles 31 to 33 of the 1969 Vienna Convention on the Law of Treaties (hereinafter “the Vienna Convention”). These rules are to be considered as reflecting customary international law. Although the Tribunal has never stated this view explicitly, it has done so implicitly by borrowing the terminology and approach of the Vienna Convention’s articles on interpretation (see the Tribunal’s Judgment of 23 December 2002 in the “Volga” Case (ITLOS Reports 2002, p. 10, at paragraph 77). The ICJ and other international courts and tribunals have stated this view on a number of occasions (see, for example, Territorial Dispute (Libyan Arab Jamahiriya/Chad), Judgment, I.C.J. Reports 1994, p. 6, at paragraph 41; Oil Platforms (Islamic Republic of Iran v. United States of America), Preliminary Objection, Judgment, I.C.J. Reports 1996, p. 803, at paragraph 23; Avena and Other Mexican Nationals (Mexico v. United States of America), Judgment, I.C.J. Reports 2004, p. 12, at paragraph 83; Pulp Mills on the River Uruguay (Argentina v. Uruguay), Judgment of 20 April 2010, paragraphs 64-65; Delimitation of the Maritime Boundary between Guinea and GuineaBissau, Arbitral Tribunal, Award of 14 February 1985, UNRIAA, vol. XIX, pp. 149-196, 25 ILM (1986), p. 252, at paragraph 41; United States-Standards for Reformulated and Conventional Gasoline, Report of the Appellate Body (WT/DS2/AB/R), adopted by the Dispute Settlement Body of the World Trade Organization on 20 May 1996, DSR 1996:I, p. 3, at pp. 15-16).\n\n58. In light of the foregoing, the rules of the Vienna Convention on the interpretation of treaties apply to the interpretation of provisions of the Convention and the 1994 Agreement.\n\n59. The Chamber is also required to interpret instruments that are not treaties and, in particular, the Regulations adopted by the Authority, namely, the Regulations on Prospecting and Exploration for Polymetallic Nodules in the Area of 2000 (hereinafter “the Nodules Regulations”), and the Regulations on Prospecting and Exploration for Polymetallic Sulphides in the Area of 2010 (hereinafter “the Sulphides Regulations”).\n\n60. The fact that these instruments are binding texts negotiated by States and adopted through a procedure similar to that used in multilateral conferences permits the Chamber to consider that the interpretation rules set out in the Vienna Convention may, by analogy, provide guidance as to their interpretation. In the specific case before the Chamber, the analogy is strengthened because of the close connection between these texts and the Convention. The ICJ seems to have adopted a similar approach when it states in its advisory opinion on Accordance with International Law of the Unilateral Declaration of Independence in Respect of Kosovo, that the rules on interpretation of the Vienna Convention “may provide guidance” as regards the interpretation of resolutions of the United Nations Security Council (ICJ, 22 July 2010, paragraph 94). Multilingual international instruments 61. In interpreting the provisions of the Convention, it should be borne in mind that it is a multilingual treaty: the Arabic, Chinese, English, French, Russian and Spanish texts are equally authentic (article 320 of the Convention). It should also be noted that these six languages are also official languages of the Council and that the Regulations of the Authority, as well as the decision of the Council containing the questions submitted to the Chamber, were adopted in those languages with the original in English.\n\n62. The relevant provision to be considered in the present context is article 33, paragraph 4, of the Vienna Convention. According to this provision, where no particular text prevails according to the treaty and where “a comparison of the authentic texts discloses a difference of meaning which the application of articles 31 and 32 does not remove, the meaning which best reconciles the texts, having regard to the object and purpose of the treaty, shall be adopted”.\n\n63. An examination of the relevant provisions of the Convention reveals that the terminology used in the different language versions corresponds to the objective stated by the Drafting Committee of the Third United Nations Conference on the Law of the Sea, namely, “to improve linguistic concordance, to the extent possible, and to achieve juridical concordance in all cases” (Report of the Chairman of the Drafting Committee, 2 March 1981, A/CONF.62/L.67/Rev.1, in Third United Nations Conference on the Law of the Sea, Official Records, vol. XV, p.145, at paragraph 8). There are certain inconsistencies in the terminology used within the same language version and as between language versions. In the view of the Chamber, there is, however, no difference of meaning between the authentic texts of the relevant provisions of the Convention. A comparison between the terms used in these provisions of the Convention is nonetheless useful in clarifying their meaning. Meaning of key terms 64. The meaning of the term “responsibility” as used in the English text of article 139, paragraphs 1 and 2; article 235, paragraph 1; and Annex III, article 4, paragraph 4, of the Convention (“States Parties shall have the responsibility to ensure”; “States are responsible for the fulfilment”; “States shall . . . have the responsibility to ensure”) does not correspond to the meaning of the same term in article 304 of the Convention (“responsibility and liability for damage”) and Annex III, article 22, of the Convention (“responsibility or liability for any damage”).\n\n65. In article 139, article 235, paragraph 1, and Annex III, article 4, paragraph 4, of the Convention, the term “responsibility” means “obligation”. This emerges not only from the context of the aforementioned articles, but also from a comparison with other linguistic versions. The Spanish text uses the expression “estarán obligados” and the French text uses the more indirect but equally explicit expression “il incombe de”. Similarly, the Arabic text uses the expression “‫”تكون ملزمة‬. The Chinese text uses the term “义务” and the Russian text the term “обязательство”.\n\n66. In the view of the Chamber, in the provisions cited in the previous paragraph, the term “responsibility” refers to the primary obligation whereas the term “liability” refers to the secondary obligation, namely, the consequences of a breach of the primary obligation. Notwithstanding their apparent similarity to the English term “responsibility”, the French term “responsabilité” and the Spanish term “responsabilidad”, respectively, indicate also the consequences of the breach of the primary obligation. The same applies to the Arabic term “‫”مسؤولية‬, the Chinese term “责任” and the Russian term “ответственность”. The fact that the International Law Commission’s Articles on Responsibility of States for Internationally Wrongful Acts (hereinafter “the ILC Articles on State Responsibility”), adopted in 2001, give the term “responsibility” a meaning corresponding to “responsabilité”, “responsabilidad”, “‫”مسؤولية‬, “责任” and “ответственность” may create confusion, which can be avoided by comparing the English text of article 139, article 235, and Annex III, article 4, paragraph 4, of the Convention with the other language versions.\n\n67. It should be further observed that in article 235, paragraph 3, and Annex III, article 22, of the Convention, the English version of which uses the terms “responsibility and liability” together, the term “responsibility” has the same meaning as in the ILC Articles on State Responsibility. This is clear from a comparison of the English version with the French and Spanish versions, which use only the term “responsabilité” and “responsabilidad”. Similarly, the Arabic, Chinese and Russian versions use the term “‫”مسؤولية‬, “责任” and “ответственность”, respectively.\n\n68. This analysis of the terms used in the provisions of the Convention provides a basis for determining their meaning as used in the three Questions.\n\n69. Thus, in Question 1, the expression “legal responsibilities and obligations” refers to primary obligations, that is, to what sponsoring States are obliged to do under the Convention.\n\n70. In Question 2, the English term “liability” refers to the consequences of a breach of the sponsoring State’s obligations.\n\n71. In Question 3, as in Question 1, “responsibility” means “obligation”. The terms “responsabilité” and “responsabilidad”, used, respectively, in the French and Spanish versions of Question 3, are translations of the English term “responsibility” and were apparently introduced for the sake of uniformity. However, in light of the English version and of the terminology used in the French and Spanish versions of article 139 of the Convention, the meaning intended is that of “obligation”. Similarly, the Arabic, Chinese and Russian versions of Question 3 use the term “‫”مسؤولية‬, “义务” and “обязательство”, respectively. Question 1 72. The first question submitted to the Chamber is as follows: What are the legal responsibilities and obligations of States Parties to the Convention with respect to the sponsorship of activities in the Area in accordance with the Convention, in particular Part XI, and the 1994 Agreement relating to the Implementation of Part XI of the United Nations Convention on the Law of the Sea of 10 December 1982? 73. This question concerns the obligations of sponsoring States. Before examining the provisions of the Convention, the 1994 Agreement as well as the Nodules Regulations and the Sulphides Regulations (hereinafter “the Convention and related instruments”), the Chamber must determine the meaning of two of the terms used in the Question, namely: “sponsorship” and “activities in the Area”. I. Sponsorship 74. The notion of “sponsorship” is a key element in the system for the exploration and exploitation of the resources of the Area set out in the Convention. Article 153, paragraph 2, of the Convention describes the “parallel system” of exploration and exploitation activities indicating that such activities shall be carried out by the Enterprise, and, in association with the Authority, by States Parties or state enterprises or natural or juridical persons. It further states that, in order to be eligible to carry out such activities, natural and juridical persons must satisfy two requirements. First, they must be either nationals of a State Party or effectively controlled by it or its nationals. Second, they must be “sponsored by such States”. Article 153, paragraph 2(b), of the Convention makes the requirement of sponsorship applicable also to state enterprises.\n\n75. The purpose of requiring the sponsorship of applicants for contracts for the exploration and exploitation of the resources of the Area is to achieve the result that the obligations set out in the Convention, a treaty under international law which binds only States Parties thereto, are complied with by entities that are subjects of domestic legal systems. This result is obtained through the provisions of the Authority’s Regulations that apply to such entities and through the implementation by the sponsoring States of their obligations under the Convention and related instruments.\n\n76. The role of the sponsoring State, as set out in the Convention, contributes to the realization of the common interest of all States in the proper application of the principle of the common heritage of mankind which requires faithful compliance with the obligations set out in Part XI. The commoninterest role of the sponsoring State is further confirmed by its obligation, set out in article 153, paragraph 4, of the Convention, to “assist” the Authority, which, as stated in article 137, paragraph 2, of the Convention, acts on behalf of mankind.\n\n77. The connection between States Parties and domestic law entities required by the Convention is twofold, namely, that of nationality and that of effective control. All contractors and applicants for contracts must secure and maintain the sponsorship of the State or States of which they are nationals. If another State or its nationals exercises effective control, the sponsorship of that State is also necessary. This is provided for in Annex III, article 4, paragraph 3, of the Convention and confirmed in regulation 11, paragraph 2, of the Nodules Regulations and of the Sulphides Regulations.\n\n78. No provision of the Convention imposes an obligation on a State Party to sponsor an entity that holds its nationality or is controlled by it or by its nationals. As the Convention does not consider the links of nationality and effective control sufficient to obtain the result that the contractor conforms with the Convention and related instruments, it requires a specific act emanating from the will of the State or States of nationality and of effective control. Such act consists in the decision to sponsor.\n\n79. As subjects of international law, States Parties engaged in deep seabed mining under the Convention are directly bound by the obligations set out therein. Consequently, there is no reason to apply to them the requirement of sponsorship. Article 153, paragraph 2(b), of the Convention as well as the identical regulation 11, paragraph 1, of the Nodules Regulations and the Sulphides Regulations confirm that the requirement of sponsorship does not apply to States. This point is further supported by Annex III, article 4, paragraph 5, of the Convention which reads as follows: “The procedures for assessing the qualifications of States Parties which are applicants shall take into account their character as States”.\n\n80. The practice of the Authority, however, indicates that at least two contractor States, when applying for a contract, considered it necessary to submit to the Authority documents of sponsorship.\n\n81. It may also be noted that all but one of the existing contractors, as “registered pioneer investors” under the provisional system set out in Resolution II of the Third United Nations Conference on the Law of the Sea, obtained their contracts for exploration through the simplified procedure set out in section 1, paragraph 6(a)(ii) of the Annex to the 1994 Agreement. As “certifying States” under paragraph 1(c) of Resolution II, they stand in the same relationship to a pioneer investor as would a sponsoring State stand to a contractor pursuant to Annex III, article 4, of the Convention. II. “Activities in the Area”\n\n82. Question 1 concerns the responsibilities and obligations of sponsoring States in respect of “activities in the Area”. This expression is defined in article 1, paragraph 1 (3), of the Convention as “all activities of exploration for, and exploitation of, the resources of the Area”. According to article 133 (a) of the Convention, for the purposes of Part XI, the term “resources” means “all solid, liquid or gaseous mineral resources in situ in the Area at or beneath the seabed, including polymetallic nodules”. The two definitions, however, do not indicate what is meant by “exploration” and “exploitation”. It is important to note that according to article 133 (b), “resources, when recovered from the Area, are referred to as ‘minerals’”.\n\n83. Some indication of the meaning of the term “activities in the Area” may be found in Annex IV, article 1, paragraph 1, of the Convention. It reads as follows: The Enterprise is the organ of the Authority which shall carry out activities in the Area directly, pursuant to article 153, paragraph 2(a), as well as the transporting, processing and marketing of minerals recovered from the Area.\n\n84. This provision distinguishes “activities in the Area” which the Enterprise carries out directly pursuant to article 153, paragraph 2(a), of the Convention, from other activities with which the Enterprise is entrusted, namely, the transporting, processing and marketing of minerals recovered from the Area. Consequently, the latter activities are not included in the notion of “activities in the Area” referred to in Annex IV, article 1, paragraph 1, of the Convention.\n\n85. Article 145 of the Convention, which prescribes the taking of “[n]ecessary measures . . . with respect to activities in the Area to ensure effective protection for the marine environment from harmful effects which may arise from such activities”, indicates the activities in respect of which the Authority should adopt rules, regulations and procedures. These activities include: “drilling, dredging, excavation, disposal of waste, construction and operation or maintenance of installations, pipelines and other devices related to such activities”. In the view of the Chamber, these activities are included in the notion of “activities in the Area”.\n\n86. Annex III, article 17, paragraph 2(f ), of the Convention, which sets out the criteria for the rules, regulations and procedures concerning protection of the marine environment to be drawn up by the Authority gives further useful indications of what is included in the notion of “activities in the Area”. The provision reads as follows: Rules, regulations and procedures shall be drawn up in order to secure effective protection of the marine environment from harmful effects directly resulting from activities in the Area or from shipboard processing immediately above a mine site of minerals derived from that mine site, taking into account the extent to which such harmful effects may directly result from drilling, dredging, coring and excavation and from disposal, dumping and discharge into the marine environment of sediment, wastes or other effluents.\n\n87. The provisions considered in the preceding paragraphs confirm that processing and transporting as mentioned in Annex IV, article 1, paragraph 1, of the Convention are excluded from the notion of “activities in the Area”. They set out lists of activities whose harmful effects are indicated as directly resulting from such activities. These lists may be seen as an indication of what the Convention considers as included in the notion of “activities in the Area”. These activities include: drilling, dredging, coring, and excavation; disposal, dumping and discharge into the marine environment of sediment, wastes or other effluents; and construction and operation or maintenance of installations, pipelines and other devices related to such activities.\n\n88. Under Annex III, article 17, paragraph 2(f ), of the Convention, “shipboard processing immediately above a mine site of minerals derived from that mine site” is to be considered as included in “activities in the Area”. As the aforementioned list of activities refers without distinction to the harmful effects resulting directly from “activities in the Area” and from “shipboard processing”, the two are to be seen as part of the same kind of activities.\n\n89. The Nodules Regulations and the Sulphides Regulations define “exploration” and “exploitation” in the context of polymetallic nodules and polymetallic sulphides, respectively. According to regulation 1, paragraph 3(b) and (a), of the Nodules Regulations: “Exploration” means searching for deposits of polymetallic nodules in the Area with exclusive rights, the analysis of such deposits, the testing of collecting systems and equipment, processing facilities and transportation systems, and the carrying out of studies of the environmental, technical, economic, commercial and other appropriate factors that must be taken into account in exploitation. “Exploitation” means the recovery for commercial purposes of polymetallic nodules in the Area and the extraction of minerals therefrom, including the construction and operation of mining, processing and transportation systems for the production and marketing of metals.\n\n90. The same definitions are set out in regulation 1, paragraph 3(b) and (a), of the Sulphides Regulations.\n\n91. These provisions of the Nodules Regulations and the Sulphides Regulations include in the notion of exploration the testing of processing facilities and transportation systems and in that of exploitation the construction and operation of processing and transportation systems.\n\n92. The scope of “exploration” and “exploitation” as defined in the Regulations seems broader than the “activities in the Area” envisaged in Annex IV, article 1, paragraph 1, and in article 145 and Annex III, article 17, paragraph 2 (f), of the Convention. Processing and transportation are included in the notion of exploration and exploitation of the Regulations, but not in that of “activities in the Area” in the provision of Annex IV of the Convention, which has just been cited.\n\n93. The difference in scope of “activities in the Area” in the provisions of the Convention and in the Nodules Regulations and the Sulphides Regulations makes it necessary to examine the relevant provisions within the broader framework of the Convention. It would seem preferable to consider that the meaning of “activities in the Area” in articles 139 and Annex III, article 4, paragraph 4, of the Convention is consistent with that of article 145 and Annex III, article 17, paragraph 2(f), and Annex IV, article 1, paragraph 1, rather than with that of “exploration” and “exploitation” in the two Regulations. The aforementioned articles of the Convention and of Annexes III and IV, all belong to the same legal instrument. They were negotiated by the same parties and adopted at the same time. It therefore seems reasonable to assume that the meaning of an expression (or the exclusion of certain activities from the scope of that expression) in one provision also applies to the others. The Regulations are instruments subordinate to the Convention, which, if not in conformity with it, should be interpreted so as to ensure consistency with its provisions. They may, nevertheless be used to clarify and supplement certain aspects of the relevant provisions of the Convention.\n\n94. In light of the above, the expression “activities in the Area”, in the context of both exploration and exploitation, includes, first of all, the recovery of minerals from the seabed and their lifting to the water surface.\n\n95. Activities directly connected with those mentioned in the previous paragraph such as the evacuation of water from the minerals and the preliminary separation of materials of no commercial interest, including their disposal at sea, are deemed to be covered by the expression “activities in the Area”. “Processing”, namely, the process through which metals are extracted from the minerals and which is normally conducted at a plant situated on land, is excluded from the expression “activities in the Area”. This is confirmed by the wording of Annex IV, article 1, paragraph 1, of the Convention as well as by information provided by the Authority at the request of the Chamber.\n\n96. Transportation to points on land from the part of the high seas superjacent to the part of the Area in which the contractor operates cannot be included in the notion of “activities in the Area”, as it would be incompatible with the exclusion of transportation from “activities in the Area” in Annex IV, article 1, paragraph 1, of the Convention. However, transportation within that part of the high seas, when directly connected with extraction and lifting, should be included in activities in the Area. In the case of polymetallic nodules, this applies, for instance, to transportation between the ship or installation where the lifting process ends and another ship or installation where the evacuation of water and the preliminary separation and disposal of material to be discarded take place. The inclusion of transportation to points on land could create an unnecessary conflict with provisions of the Convention such as those that concern navigation on the high seas.\n\n97. One consequence of the exclusion of water evacuation and disposal of material from “activities in the Area” would be that the activities conducted by the contractor which are among the most hazardous to the environment would be excluded from those to which the responsibilities of the sponsoring State apply. This would be contrary to the general obligation of States Parties, under article 192 of the Convention, “to protect and preserve the marine environment”. III. Prospecting 98. “Prospecting”, although mentioned in Annex III, article 2, of the Convention and in the Nodules Regulations and the Sulphides Regulations, is not included in the Convention’s definition of “activities in the Area” because the Convention and the two Regulations distinguish it from “exploration” and from “exploitation”. Moreover, under the Convention and related instruments, prospecting does not require sponsorship. In conformity with the questions submitted to it, which relate to “activities in the Area” and to sponsoring States, the Chamber will not address prospecting activities. However, considering that prospecting is often treated as the preliminary phase of exploration in mining practice and legislation, the Chamber considers it appropriate to observe that some aspects of the present Advisory Opinion may also apply to prospecting. IV. Responsibilities and obligations Key provisions 99. The key provisions concerning the obligations of the sponsoring States are: article 139, paragraph 1; article 153, paragraph 4 (especially the last sentence); and Annex III, article 4, paragraph 4, of the Convention (especially the first sentence).\n\n100. These provisions read: Article 139, paragraph 1 States Parties shall have the responsibility to ensure that activities in the Area, whether carried out by States Parties, or state enterprises or natural or juridical persons which possess the nationality of States Parties or are effectively controlled by them or their nationals, shall be carried out in conformity with this Part. The same responsibility applies to international organizations for activities in the Area carried out by such organizations. Article 153, paragraph 4 The Authority shall exercise such control over activities in the Area as is necessary for the purpose of securing compliance with the relevant provisions of this Part and the Annexes relating thereto, and the rules, regulations and procedures of the Authority, and the plans of work approved in accordance with paragraph 3. States Parties shall assist the Authority by taking all measures necessary to ensure such compliance in accordance with article 139. Annex III, article 4, paragraph 4 The sponsoring State or States shall, pursuant to article 139, have the responsibility to ensure, within their legal systems, that a contractor so sponsored shall carry out activities in the Area in conformity with the terms of its contract and its obligations under this Convention. A sponsoring State shall not, however, be liable for damage caused by any failure of a contractor sponsored by it to comply with its obligations if that State Party has adopted laws and regulations and taken administrative measures which are, within the framework of its legal system, reasonably appropriate for securing compliance by persons under its jurisdiction.\n\n101. A perusal of these three provisions reveals that article 139 plays a central role, as it is referred to both in article 153, paragraph 4, and in Annex III, article 4, paragraph 4, of the Convention. While Annex III, article 4, paragraph 4, of the Convention refers to sponsoring States, articles 139, paragraph 1, and 153, paragraph 4, of the Convention do not do so explicitly. However, since the entities which conduct activities in the Area mentioned in article 139, paragraph 1, of the Convention can do so only when there is a State Party sponsoring them, all three provisions must be read as referring to sponsoring States.\n\n102. It is important to note that the last sentence of article 153, paragraph 4, of the Convention places the obligation of the sponsoring State in relationship with the obligations of the Authority by stating that the former has the obligation to “assist” the latter. As will be seen in the reply to Question 2, the subordinate role of the sponsoring State is reflected in Annex III, article 22, of the Convention, in which the liability of the contractor and of the Authority is mentioned while that of the sponsoring State is not (see paragraph 199). Obligations of the contractor whose compliance the sponsoring State must ensure 103. The three provisions mentioned in paragraph 100 specify that the obligation (responsibility) of the sponsoring State is “to ensure” that the “activities in the Area” conducted by the sponsored contractor are “in conformity” or in “compliance” with the rules to which they refer.\n\n104. These rules are referred to as “this Part” (Part XI) in article 139 of the Convention, as “the relevant provisions of this Part and the Annexes relating thereto, and the rules, regulations and procedures of the Authority, and the plans of work approved in accordance with paragraph 3” in article 153, paragraph 4, of the Convention, and as “the terms of its contract and its obligations under this Convention” in Annex III, article 4, paragraph 4, of the Convention.\n\n105. The difference between the references contained in articles 139 and 153 of the Convention, cited in the previous paragraphs, is only one of drafting. The reference to Part XI in article 139 of the Convention includes Annexes III and IV. In the view of the Chamber, this reference also includes the rules, regulations and procedures of the Authority and the contracts (or plans of work) for exploration and exploitation, which are based on Part XI and the relevant Annexes thereto.\n\n106. The reference to the contractor’s “obligations under this Convention” in Annex III, article 4, paragraph 4, would seem to be broader than the references in articles 139 and 153 of the Convention. This difference would be relevant if there were obligations of sponsored contractors set out in parts of the Convention other than Part XI and the annexes thereto, the rules, regulations and procedures of the Authority, or the relevant contracts. As this is not the case, it would appear that the scope of the obligations of sponsored contractors, although indicated differently in the three key provisions of the Convention referred to in paragraph 100, is in fact substantially the same. “Responsibility to ensure”\n\n107. The central issue in relation to Question 1 concerns the meaning of the expression “responsibility to ensure” in article 139, paragraph 1, and Annex III, article 4, paragraph 4, of the Convention.\n\n108. “Responsibility to ensure” points to an obligation of the sponsoring State under international law. It establishes a mechanism through which the rules of the Convention concerning activities in the Area, although being treaty law and thus binding only on the subjects of international law that have accepted them, become effective for sponsored contractors which find their legal basis in domestic law. This mechanism consists in the creation of obligations which States Parties must fulfil by exercising their power over entities of their nationality and under their control.\n\n109. As will be seen in greater detail in the reply to Question 2, a violation of this obligation entails “liability”. However, not every violation of an obligation by a sponsored contractor automatically gives rise to the liability of the sponsoring State. Such liability is limited to the State’s failure to meet its obligation to “ensure” compliance by the sponsored contractor.\n\n110. The sponsoring State’s obligation “to ensure” is not an obligation to achieve, in each and every case, the result that the sponsored contractor complies with the aforementioned obligations. Rather, it is an obligation to deploy adequate means, to exercise best possible efforts, to do the utmost, to obtain this result. To utilize the terminology current in international law, this obligation may be characterized as an obligation “of conduct” and not “of result”, and as an obligation of “due diligence”.\n\n111. The notions of obligations “of due diligence” and obligations “of conduct” are connected. This emerges clearly from the Judgment of the ICJ in the Pulp Mills on the River Uruguay: “An obligation to adopt regulatory or administrative measures . . . and to enforce them is an obligation of conduct. Both parties are therefore called upon, under article 36 [of the Statute of the River Uruguay], to exercise due diligence in acting through the [Uruguay River] Commission for the necessary measures to preserve the ecological balance of the river” (paragraph 187 of the Judgment).\n\n112. The expression “to ensure” is often used in international legal instruments to refer to obligations in respect of which, while it is not considered reasonable to make a State liable for each and every violation committed by persons under its jurisdiction, it is equally not considered satisfactory to rely on mere application of the principle that the conduct of private persons or entities is not attributable to the State under international law (see ILC Articles on State Responsibility, Commentary to article 8, paragraph 1).\n\n113. An example may be found in article 194, paragraph 2, of the Convention which reads: “States shall take all measures necessary to ensure that activities under their jurisdiction or control are so conducted as not to cause damage by pollution to other States and their environment . . .”.\n\n114. The nature of the obligation to “ensure” in article 139 of the Convention and in the other provisions mentioned in paragraph 100 appears even more clearly in light of the French and Spanish texts of article 139 of the Convention. They use respectively the expression “il incombe aux Etats Parties de veiller à . . .” and “los Estados Partes estarán obligados a velar”. “Veiller à” and “velar” point out, even more clearly than “ensure”, the idea of exercising diligence. The Arabic text uses the expression “ ‫” بضمان تكون الدول األطراف ملزمة‬, the Chinese text uses the expression “缔约 国应有责任确保” and the Russian text uses the expression “Государстваучастники обязуются обеспечивать”, which point in the same direction.\n\n115. In its Judgment in the Pulp Mills on the River Uruguay case, the ICJ illustrates the meaning of a specific treaty obligation that it had qualified as “an obligation to act with due diligence” as follows: It is an obligation which entails not only the adoption of appropriate rules and measures, but also a certain level of vigilance in their enforcement and the exercise of administrative control applicable to public and private operators, such as the monitoring of activities undertaken by such operators . . . (Paragraph 197)\n\n116. Similar indications are given by the International Law Commission in its Commentary to article 3 of its Articles on Prevention of Transboundary Harm from Hazardous Activities, adopted in 2001. According to article 3, the State of origin of the activities involving a risk of causing transboundary harm “shall take all appropriate measures to prevent significant transboundary harm or at any event to minimize the risk thereof”. The Commentary states: The obligation of the State of origin to take preventive or minimization measures is one of due diligence. It is the conduct of the State of origin that will determine whether the State has complied with its obligation under the present articles. The duty of due diligence involved, however, is not intended to guarantee that significant harm be totally prevented, if it is not possible to do so. In that eventuality, the State of origin is required . . . to exert its best possible efforts to minimize the risk. In this sense, it does not guarantee that the harm would not occur. (Paragraph 7) The content of the “due diligence” obligation to ensure 117. The content of “due diligence” obligations may not easily be described in precise terms. Among the factors that make such a description difficult is the fact that “due diligence” is a variable concept. It may change over time as measures considered sufficiently diligent at a certain moment may become not diligent enough in light, for instance, of new scientific or technological knowledge. It may also change in relation to the risks involved in the activity. As regards activities in the Area, it seems reasonable to state that prospecting is, generally speaking, less risky than exploration activities which, in turn, entail less risk than exploitation. Moreover, activities in the Area concerning different kinds of minerals, for example, polymetallic nodules on the one hand and polymetallic sulphides or cobalt rich ferromanganese crusts on the other, may require different standards of diligence. The standard of due diligence has to be more severe for the riskier activities.\n\n118. Article 153, paragraph 4, last sentence, of the Convention states that the obligation of the sponsoring State in accordance with article 139 of the Convention entails “taking all measures necessary to ensure” compliance by the sponsored contractor. Annex III, article 4, paragraph 4, of the Convention makes it clear that sponsoring States’ “responsibility to ensure” applies “within their legal systems”. With these indications the Convention provides some elements concerning the content of the “due diligence” obligation to ensure. Necessary measures are required and these must be adopted within the legal system of the sponsoring State.\n\n119. Further light on the expression “measures necessary to ensure” is shed by the Convention if one considers article 139, paragraph 2, last sentence, and Annex III, article 4, paragraph 4, last sentence, of the Convention. The main purpose of these provisions is to exempt sponsoring States that have taken certain measures from liability for damage. The description of the measures to be taken by that State may also be used to clarify its “due diligence” obligation. This description remains in general terms in article 139, paragraph 2, of the Convention which mentions “all necessary and appropriate measures to secure effective compliance under article 153, paragraph 4, and Annex III, article 4, paragraph 4”. The latter provision is more specific as it requires the sponsoring State to adopt “laws and regulations” and to take “administrative measures which are, within the framework of its legal system, reasonably appropriate for securing compliance by persons under its jurisdiction”.\n\n120. More specific indications concerning the content of these measures, including aspects relating to their enforcement, with respect to the contents of these measures will be provided in the reply to Question 3. As regards Question 1, it has been established that the “due diligence” obligation “to ensure” requires the sponsoring State to take measures within its legal system and that the measures must be “reasonably appropriate”. V. Direct obligations of sponsoring States 121. The obligations of sponsoring States are not limited to the due diligence “obligation to ensure”. Under the Convention and related instruments, sponsoring States also have obligations with which they have to comply independently of their obligation to ensure a certain behaviour by the sponsored contractor. These obligations may be characterized as “direct obligations”.\n\n122. Among the most important of these direct obligations incumbent on sponsoring States are: the obligation to assist the Authority in the exercise of control over activities in the Area; the obligation to apply a precautionary approach; the obligation to apply best environmental practices; the obligation to take measures to ensure the provision of guarantees in the event of an emergency order by the Authority for protection of the marine environment; the obligation to ensure the availability of recourse for compensation in respect of damage caused by pollution; and the obligation to conduct environmental impact assessments. These obligations will be examined in paragraphs 124-150.\n\n123. It must nevertheless be stated, at the outset, that compliance with these obligations can also be seen as a relevant factor in meeting the due diligence “obligation to ensure” and that the said obligations are in most cases couched as obligations to ensure compliance with a specific rule. The obligation to assist the Authority 124. Pursuant to the last sentence of article 153, paragraph 4, of the Convention, sponsoring States have the obligation to assist the Authority in its task of controlling activities in the Area for the purpose of ensuring compliance with the relevant provisions of Part XI of the Convention and related instruments. This obligation is to be met “by taking all measures necessary to ensure such compliance in accordance with article 139”. The obligation of the sponsoring States is a direct one, but it is to be met through compliance with the “due diligence obligation” set out in article 139 of the Convention. Precautionary approach 125. The Nodules Regulations and the Sulphides Regulations contain provisions that establish a direct obligation for sponsoring States. This obligation is relevant for implementing the “responsibility to ensure” that sponsored contractors meet the obligations set out in Part XI of the Convention and related instruments. These are regulation 31, paragraph 2, of the Nodules Regulations and regulation 33, paragraph 2, of the Sulphides Regulations, both of which state that sponsoring States (as well as the Authority) “shall apply a precautionary approach, as reflected in Principle 15 of the Rio Declaration” in order “to ensure effective protection for the marine environment from harmful effects which may arise from activities in the Area”.\n\n126. Principle 15 of the 1992 Rio Declaration on Environment and Development (hereinafter “the Rio Declaration”) reads: In order to protect the environment, the precautionary approach shall be widely applied by States according to their capabilities. Where there are threats of serious or irreversible damage, lack of full scientific certainty shall not be used as a reason for postponing cost-effective measures to prevent environmental degradation.\n\n127. The provisions of the aforementioned Regulations transform this non-binding statement of the precautionary approach in the Rio Declaration into a binding obligation. The implementation of the precautionary approach as defined in these Regulations is one of the obligations of sponsoring States.\n\n128. It should be noted that while the first sentence of Principle 15 seems to refer in general terms to the “precautionary approach”, the second sentence limits its scope to threats of “serious or irreversible damage” and to “cost-effective” measures adopted in order to prevent “environmental degradation”.\n\n129. Moreover, by stating that the precautionary approach shall be applied by States “according to their capabilities”, the first sentence of Principle 15 introduces the possibility of differences in application of the precautionary approach in light of the different capabilities of each State (see paragraphs 151-163).\n\n130. The reference to the precautionary approach as set out in the two Regulations applies specifically to the activities envisaged therein, namely, prospecting and exploration for polymetallic nodules and polymetallic sulphides. It is to be expected that the Authority will either repeat or further develop this approach when it regulates exploitation activities and activities concerning other types of minerals.\n\n131. Having established that under the Nodules Regulations and the Sulphides Regulations, both sponsoring States and the Authority are under an obligation to apply the precautionary approach in respect of activities in the Area, it is appropriate to point out that the precautionary approach is also an integral part of the general obligation of due diligence of sponsoring States, which is applicable even outside the scope of the Regulations. The due diligence obligation of the sponsoring States requires them to take all appropriate measures to prevent damage that might result from the activities of contractors that they sponsor. This obligation applies in situations where scientific evidence concerning the scope and potential negative impact of the activity in question is insufficient but where there are plausible indications of potential risks. A sponsoring State would not meet its obligation of due diligence if it disregarded those risks. Such disregard would amount to a failure to comply with the precautionary approach.\n\n132. The link between an obligation of due diligence and the precautionary approach is implicit in the Tribunal’s Order of 27 August 1999 in the Southern Bluefin Tuna Cases (New Zealand v. Japan; Australia v. Japan). This emerges from the declaration of the Tribunal that the parties “should in the circumstances act with prudence and caution to ensure that conservation measures are taken . . .” (ITLOS Reports 1999, p. 274, at paragraph 77), and is confirmed by the further statements that “there is scientific uncertainty regarding measures to be taken to conserve the stock of southern bluefin tuna” (paragraph 79) and that “although the Tribunal cannot conclusively assess the scientific evidence presented by the parties, it finds that measures should be taken as a matter of urgency” (paragraph 80).\n\n133. It should be further noted that the Sulphides Regulations, Annex 4, section 5.1, in setting out a “standard clause” for exploration contracts, provides that: The Contractor shall take necessary measures to prevent, reduce and control pollution and other hazards to the marine environment arising from its activities in the Area as far as reasonably possible applying a precautionary approach and best environmental practices. Thus, the precautionary approach (called “principle” in the French text of the standard clause just mentioned) is a contractual obligation of the sponsored contractors whose compliance the sponsoring State has the responsibility to ensure.\n\n134. In the parallel provision of the corresponding standard clauses for exploration contracts in the Nodules Regulations, Annex 4, section 5.1, no reference is made to the precautionary approach. However, under the general obligation illustrated in paragraph 131, the sponsoring State has to take measures within the framework of its own legal system in order to oblige sponsored entities to adopt such an approach.\n\n135. The Chamber observes that the precautionary approach has been incorporated into a growing number of international treaties and other instruments, many of which reflect the formulation of Principle 15 of the Rio Declaration. In the view of the Chamber, this has initiated a trend towards making this approach part of customary international law. This trend is clearly reinforced by the inclusion of the precautionary approach in the Regulations and in the “standard clause” contained in Annex 4, section 5.1, of the Sulphides Regulations. So does the following statement in paragraph 164 of the ICJ Judgment in Pulp Mills on the River Uruguay that “a precautionary approach may be relevant in the interpretation and application of the provisions of the Statute” (i.e., the environmental bilateral treaty whose interpretation was the main bone of contention between the parties). This statement may be read in light of article 31, paragraph 3(c), of the Vienna Convention, according to which the interpretation of a treaty should take into account not only the context but “any relevant rules of international law applicable in the relations between the parties”. Best environmental practices 136. Moreover, regulation 33, paragraph 2, of the Sulphides Regulations supplements the sponsoring State’s obligation to apply the precautionary approach with an obligation to apply “best environmental practices”. The same obligation is established as a contractual obligation in section 5.1 of Annex 4 (Standard Clauses for exploration contracts) of the Sulphides Regulations. There is no reference to “best environmental practices” in the Nodules Regulations; their standard contract clause (Annex 4, section 5.1), merely refers to the “best technology” available to the contractor. The adoption of higher standards in the more recent Sulphides Regulations would seem to indicate that, in light of the advancement in scientific knowledge, member States of the Authority have become convinced of the need for sponsoring States to apply “best environmental practices” in general terms so that they may be seen to have become enshrined in the sponsoring States’ obligation of due diligence.\n\n137. In the absence of a specific reason to the contrary, it may be held that the Nodules Regulations should be interpreted in light of the development of the law, as evidenced by the subsequent adoption of the Sulphides Regulations. Guarantees in the event of an emergency order by the Authority for protection of the marine environment 138. Another obligation which is directly incumbent on the sponsoring State is set out in regulation 32, paragraph 7, of the Nodules Regulations and in regulation 35, paragraph 8, of the Sulphides Regulations. This obligation arises where the contractor has not provided the Council “with a guarantee of its financial and technical capability to comply promptly with emergency orders or to assure that the Council can take such emergency measures”. In such a case, under regulation 32, paragraph 7, of the Nodules Regulations: the sponsoring State or States shall, in response to a request by the Secretary-General and pursuant to articles 139 and 235 of the Convention, take necessary measures to ensure that the contractor provides such a guarantee or shall take measures to ensure that assistance is provided to the Authority in the discharge of its responsibilities under paragraph 6. Regulation 35, paragraph 8, of the Sulphides Regulations contains an identical provision. Availability of recourse for compensation 139. Another direct obligation that gives substance to the sponsoring State’s obligation to adopt laws and regulations within the framework of its legal system is set out in article 235, paragraph 2, of the Convention. This provision reads as follows: States shall ensure that recourse is available in accordance with their legal systems for prompt and adequate compensation or other relief in respect of damage caused by pollution of the marine environment by natural or juridical persons under their jurisdiction.\n\n140. This provision applies to the sponsoring State as the State with jurisdiction over the persons that caused the damage. By requiring the sponsoring State to establish procedures, and, if necessary, substantive rules governing claims for damages before its domestic courts, this provision serves the purpose of ensuring that the sponsored contractor meets its obligation under Annex III, article 22, of the Convention to provide reparation for damages caused by wrongful acts committed in the course of its activities in the Area. VI. Environmental impact assessment 141. The obligation of the contractor to conduct an environmental impact assessment is explicitly set out in section 1, paragraph 7, of the Annex to the 1994 Agreement as follows: “An application for approval of a plan of work shall be accompanied by an assessment of the potential environmental impacts of the proposed activities . . . ”. The sponsoring State is under a due diligence obligation to ensure compliance by the sponsored contractor with this obligation.\n\n142. Regulation 31, paragraph 6, of the Nodules Regulations and regulation 33, paragraph 6, of the Sulphides Regulations establish a direct obligation of the sponsoring State concerning environmental impact assessment, which can also be read as a relevant factor for meeting the sponsoring State’s due diligence obligation. This obligation is linked to the direct obligation of assisting the Authority considered at paragraph 124. The abovementioned provisions of the two Regulations read as follows: “[c]ontractors, sponsoring States and other interested States or entities shall cooperate with the Authority in the establishment and implementation of programmes for monitoring and evaluating the impacts of deep seabed mining on the marine environment”. This provision is designed to clarify and ensure compliance with the sponsoring State’s obligation to cooperate with the Authority in the exercise of the latter’s control over activities in the Area under article 153, paragraph 4, of the Convention, and of its general obligation of due diligence under article 139 thereof. The sponsoring State is obliged not only to cooperate with the Authority in the establishment and implementation of impact assessments, but also to use appropriate means to ensure that the contractor complies with its obligation to conduct an environmental impact assessment.\n\n143. Contractors and sponsoring States must cooperate with the Authority in the establishment of monitoring programmes to evaluate the impact of deep seabed mining on the marine environment, particularly through the creation of “impact reference zones” and “preservation reference zones” (regulation 31, paragraphs 6 and 7, of the Nodules Regulations and regulation 33, paragraph 6, of the Sulphides Regulations). A comparison between environmental conditions in the “impact reference zone” and in the “preservation reference zone” makes it possible to assess the impact of activities in the Area.\n\n144. As clarified in paragraph 10 of the Recommendations for the Guidance of the Contractors for the Assessment of the Possible Environmental Impacts Arising from Exploration for Polymetallic Nodules in the Area, issued by the Authority’s Legal and Technical Commission in 2002 pursuant to regulation 38 of the Nodules Regulations (ISBA/7/LTC/1/Rev.1 of 13 February 2002), certain activities require “prior environmental impact assessment, as well as an environmental monitoring programme”. These activities are listed in paragraph 10 (a) to (c) of the Recommendations.\n\n145. It should be stressed that the obligation to conduct an environmental impact assessment is a direct obligation under the Convention and a general obligation under customary international law.\n\n146. As regards the Convention, article 206 states the following: When States have reasonable grounds for believing that planned activities under their jurisdiction or control may cause substantial pollution of or significant and harmful changes to the marine environment, they shall, as far as practicable, assess the potential effects of such activities on the marine environment and shall communicate reports of the results of such assessments in the manner provided in article 205. [Article 205 refers to an obligation to publish reports.]\n\n147. With respect to customary international law, the ICJ, in its Judgment in Pulp Mills on the River Uruguay, speaks of: a practice, which in recent years has gained so much acceptance among States that it may now be considered a requirement under general international law to undertake an environmental impact assessment where there is a risk that the proposed industrial activity may have a significant adverse impact in a transboundary context, in particular, on a shared resource. Moreover, due diligence, and the duty of vigilance and prevention which it implies, would not be considered to have been exercised, if a party planning works liable to affect the régime of the river or the quality of its waters did not undertake an environmental impact assessment on the potential effects of such works. (Paragraph 204)\n\n148. Although aimed at the specific situation under discussion by the Court, the language used seems broad enough to cover activities in the Area even beyond the scope of the Regulations. The Court’s reasoning in a transboundary context may also apply to activities with an impact on the environment in an area beyond the limits of national jurisdiction; and the Court’s references to “shared resources” may also apply to resources that are the common heritage of mankind. Thus, in light of the customary rule mentioned by the ICJ, it may be considered that environmental impact assessments should be included in the system of consultations and prior notifications set out in article 142 of the Convention with respect to “resource deposits in the Area which lie across limits of national jurisdiction”.\n\n149. It must, however, be observed that, in the view of the ICJ, general international law does not “specify the scope and content of an environmental impact assessment” (paragraph 205 of the Judgment in Pulp Mills on the River Uruguay). While article 206 of the Convention gives only few indications of this scope and content, the indications in the Regulations, and especially in the Recommendations referred to in paragraph 144, add precision and specificity to the obligation as it applies in the context of activities in the Area.\n\n150. In light of the above, the Chamber is of the view that the obligations of the contractors and of the sponsoring States concerning environmental impact assessments extend beyond the scope of application of specific provisions of the Regulations. VII. Interests and needs of developing States 151. With respect to activities in the Area, the fifth preambular paragraph of the Convention states that the achievement of the goals set out in previous preambular paragraphs: will contribute to the realization of a just and equitable international economic order which takes into account the interests and needs of mankind as a whole and, in particular, the special interests and needs of developing countries, whether coastal or land-locked.\n\n152. Accordingly, it is necessary to examine whether developing sponsoring States enjoy preferential treatment as compared with that granted to developed sponsoring States under the Convention and related instruments.\n\n153. Under article 140, paragraph 1, of the Convention: Activities in the Area shall, as specifically provided for in this Part, be carried out for the benefit of mankind as a whole, irrespective of the geographical location of States, whether coastal or land-locked, and taking into particular consideration the interests and needs of developing States . . .\n\n154. According to article 148 of the Convention: The effective participation of developing States in activities in the Area shall be promoted as specifically provided for in this Part, having due regard to their special interests and needs, and in particular to the special needs of the land-locked and geographically disadvantaged among them to overcome obstacles arising from their disadvantaged location, including remoteness from the Area and difficulty of access to and from it.\n\n155. These provisions develop, with respect to activities in the Area, the statement in the fifth preambular paragraph of the Convention.\n\n156. For the purposes of the present Advisory Opinion, and in particular of Question 1, it is important to determine the meaning of article 148 of the Convention. According to this provision, the general purpose of promoting the participation of developing States in activities in the Area taking into account their special interests and needs is to be achieved “as specifically provided for” in Part XI (an expression also found in article 140 of the Convention). This means that there is no general clause for the consideration of such interests and needs beyond what is provided for in specific provisions of Part XI of the Convention. A perusal of Part XI shows immediately that there are several provisions designed to ensure the participation of developing States in activities in the Area and to take into particular consideration their interests and needs.\n\n157. The approach of the Convention to this is particularly evident in the provisions granting a preference to developing States that wish to engage in mining in areas of the deep seabed reserved for the Authority (Annex III, articles 8 and 9, of the Convention); in the obligation of States to promote international cooperation in marine scientific research in the Area in order to ensure that programmes are developed “for the benefit of developing States” (article 143, paragraph 3, of the Convention); and in the obligation of the Authority and of States Parties to promote the transfer of technology to developing States (article 144, paragraph 1, of the Convention and section 5 of the Annex to the 1994 Agreement), and to provide training opportunities for personnel from developing States (article 144, paragraph 2, of the Convention and section 5 of the Annex to the 1994 Agreement); in the permission granted to the Authority in the exercise of its powers and functions to give special consideration to developing States, notwithstanding the rule against discrimination (article 152 of the Convention); and in the obligation of the Council to take “into particular consideration the interests and needs of developing States” in recommending, and approving, respectively, rules regulations and procedures on the equitable sharing of financial and other benefits derived from activities in the Area (articles 160, paragraph 2(f)(i), and 162, paragraph 2(o)(i), of the Convention).\n\n158. However, none of the general provisions of the Convention concerning the responsibilities (or the liability) of the sponsoring State “specifically provides” for according preferential treatment to sponsoring States that are developing States. As observed above, there is no provision requiring the consideration of such interests and needs beyond what is specifically stated in Part XI. It may therefore be concluded that the general provisions concerning the responsibilities and liability of the sponsoring State apply equally to all sponsoring States, whether developing or developed.\n\n159. Equality of treatment between developing and developed sponsoring States is consistent with the need to prevent commercial enterprises based in developed States from setting up companies in developing States, acquiring their nationality and obtaining their sponsorship in the hope of being subjected to less burdensome regulations and controls. The spread of sponsoring States “of convenience” would jeopardize uniform application of the highest standards of protection of the marine environment, the safe development of activities in the Area and protection of the common heritage of mankind.\n\n160. These observations do not exclude that rules setting out direct obligations of the sponsoring State could provide for different treatment for developed and developing sponsoring States.\n\n161. As pointed out in paragraph 125, the provisions of the Nodules Regulations and the Sulphides Regulations that set out the obligation for the sponsoring State to apply a precautionary approach in ensuring effective protection of the marine environment refer to Principle 15 of the Rio Declaration. As mentioned earlier, Principle 15 provides that the precautionary approach shall be applied by States “according to their capabilities”. It follows that the requirements for complying with the obligation to apply the precautionary approach may be stricter for the developed than for the developing sponsoring States. The reference to different capabilities in the Rio Declaration does not, however, apply to the obligation to follow “best environmental practices” set out, as mentioned above, in regulation 33, paragraph 2, of the Sulphides Regulations.\n\n162. Furthermore, the reference to “capabilities” is only a broad and imprecise reference to the differences in developed and developing States. What counts in a specific situation is the level of scientific knowledge and technical capability available to a given State in the relevant scientific and technical fields.\n\n163. It should be pointed out that the fifth preambular paragraph of the Convention emphasizes that the achievement of the goals of the Convention will “contribute to the realization of a just and equitable international economic order which takes into account the interests and needs of mankind as a whole and, in particular, the special interests and needs of developing countries, whether coastal or landlocked”. As noted above, article 148 of the Convention speaks about the promotion of the effective participation of developing States in activities in the Area. What is more important is that Annex III, article 9, paragraph 4, of the Convention specifically refers to the right of a developing State or any natural or juridical person sponsored by it and effectively controlled by it, to inform the Authority that it wishes to submit a plan of work with respect to a reserved area. These provisions have the effect of reserving half of the proposed contract areas in favour of the Authority and developing States. Together with those provisions mentioned in paragraph 157, they require effective implementation with a view to enabling the developing States to participate in deep seabed mining on an equal footing with developed States. Developing States should receive necessary assistance including training. Question 2 164. The second question submitted to the Chamber is as follows: What is the extent of liability of a State Party for any failure to comply with the provisions of the Convention in particular Part XI, and the 1994 Agreement, by an entity whom it has sponsored under Article 153, paragraph 2(b), of the Convention? I. Applicable provisions 165. In replying to this question, the Chamber will proceed from article 139, paragraph 2, of the Convention, read in conjunction with the second sentence of Annex III, article 4, paragraph 4, of the Convention.\n\n166. Article 139, paragraph 2, of the Convention reads: Without prejudice to the rules of international law and Annex III, article 22, damage caused by the failure of a State Party or international organization to carry out its responsibilities under this Part shall entail liability; States Parties or international organizations acting together shall bear joint and several liability. A State Party shall not however be liable for damage caused by any failure to comply with this Part by a person whom it has sponsored under article 153, paragraph 2(b), if the State Party has taken all necessary and appropriate measures to secure effective compliance under article 153, paragraph 4, and Annex III, article 4, paragraph 4.\n\n167. Annex III, article 4, paragraph 4, second sentence, of the Convention states: A sponsoring State shall not, however, be liable for damage caused by any failure of a contractor sponsored by it to comply with its obligations if that State Party has adopted laws and regulations and taken administrative measures which are, within the framework of its legal system, reasonably appropriate for securing compliance by persons under its jurisdiction.\n\n168. The Chamber will further take into account articles 235 and 304 as well as Annex III, article 22, of the Convention. Lastly, it will consider, as appropriate, the relevant rules on liability set out in the Nodules Regulations and the Sulphides Regulations. In this context, the Chamber notes that the Regulations issued to date by the Authority deal only with prospecting and exploration. Considering that the potential for damage, particularly to the marine environment, may increase during the exploitation phase, it is to be expected that member States of the Authority will further deal with the issue of liability in future regulations on exploitation. The Chamber would like to emphasize that it does not consider itself to be called upon to lay down such future rules on liability. The member States of the Authority may, however, take some guidance from the interpretation in this Advisory Opinion of the pertinent rules on the liability of sponsoring States in the Convention.\n\n169. Since article 139, paragraph 2, and article 304 of the Convention refer, respectively, to the “rules of international law” and to “the application of existing rules and the development of further rules regarding responsibility and liability under international law”, account will have to be taken of such rules under customary law, especially in light of the ILC Articles on State Responsibility. Several of these articles are considered to reflect customary international law. Some of them, even in earlier versions, have been invoked as such by the Tribunal (The M/V “SAIGA” (No. 2) Case (Saint Vincent and the Grenadines v. Guinea), Judgment, ITLOS Reports 1999, p. 10, at paragraph 171) as well as by the ICJ (for example, Armed Activities on the Territory of the Congo (Democratic Republic of Congo v. Uganda), Judgment, I.C.J. Reports 2005, p. 168, at paragraph 160). II. Liability in general 170. At the outset, the Chamber would like to state its understanding of the system of liability in regard to sponsoring States as set out in the Convention and related instruments.\n\n171. Article 139, paragraph 2, of the Convention and the related provisions referred to above, prescribe or refer to different sources of liability, namely, rules concerning the liability of States Parties (article 139, paragraph 2, first sentence, of the Convention), rules concerning sponsoring State liability (article 139, paragraph 2, second sentence, of the Convention), and rules concerning the liability of the contractor and the Authority (referred to in Annex III, article 22, of the Convention). The “without prejudice” clause in the first sentence of article 139, paragraph 2, of the Convention refers to the rules of international law concerning the liability of States Parties and international organizations. A reference to the international law rules on liability is also contained in article 304 of the Convention. The Chamber considers that these rules supplement the rules concerning the liability of the sponsoring State set out in the Convention.\n\n172. From the wording of article 139, paragraph 2, of the Convention, it is evident that liability arises from the failure of the sponsoring State to carry out its own responsibilities. The sponsoring State is not, however, liable for the failure of the sponsored contractor to meet its obligations (see paragraph 182).\n\n173. There is, however, a link between the liability of the sponsoring State and the failure of the sponsored contractor to comply with its obligations, thereby causing damage. An examination of article 139 of the Convention and Annex III, article 4, paragraph 4, second sentence, of the Convention will establish more precisely the link between the damage caused by the contractor and the sponsoring State’s liability (see paragraph 181).\n\n174. Whereas the first sentence of article 139, paragraph 2, of the Convention covers the failure of States Parties, including sponsoring States, to carry out their responsibilities in general, the second sentence deals only with the liability of sponsoring States. III. Failure to carry out responsibilities 175. The Chamber will now turn to the interpretation of the elements constituting liability as set out in article 139, paragraph 2, of the Convention, read in conjunction with Annex III, article 4, paragraph 4, of the Convention.\n\n176. The wording of article 139, paragraph 2, of the Convention clearly establishes two conditions for liability to arise: the failure of the sponsoring State to carry out its responsibilities (see paragraphs 64 to 71 on the meaning of key terms); and the occurrence of damage.\n\n177. The failure of a sponsoring State to carry out its responsibilities, referred to in article 139, paragraph 2, of the Convention, may consist in an act or an omission that is contrary to that State’s responsibilities under the deep seabed mining regime. Whether a sponsoring State has carried out its responsibilities depends primarily on the requirements of the obligation which the sponsoring State is said to have breached. As stated above in the reply to Question 1 (see paragraph 121), sponsoring States have both direct obligations of their own and obligations in relation to the activities carried out by sponsored contractors. The nature of these obligations also determines the scope of liability. Whereas the liability of the sponsoring State for failure to meet its direct obligations is governed exclusively by the first sentence of article 139, paragraph 2, of the Convention, its liability for failure to meet its obligations in relation to damage caused by a sponsored contractor is covered by both the first and second sentences of the same paragraph. IV. Damage 178. As stated above, according to the first sentence of article 139, paragraph 2, of the Convention, the failure of a sponsoring State to carry out its responsibilities entails liability only if there is damage. This provision covers neither the situation in which the sponsoring State has failed to carry out its responsibilities but there has been no damage, nor the situation in which there has been damage but the sponsoring State has met its obligations. This constitutes an exception to the customary international law rule on liability since, as stated in the Rainbow Warrior Arbitration (Case concerning the difference between New Zealand and France concerning the interpretation or application of two agreements, concluded on 9 July 1986 between the two States and which related to the problems arising from the Rainbow Warrior Affair, UNRIAA, 1990, vol. XX, p. 215, at paragraph 110), and in paragraph 9 of the Commentary to article 2 of the ILC Articles on State Responsibility, a State may be held liable under customary international law even if no material damage results from its failure to meet its international obligations.\n\n179. Neither the Convention nor the relevant Regulations (regulation 30 of the Nodules Regulations and regulation 32 of the Sulphides Regulations) specifies what constitutes compensable damage, or which subjects may be entitled to claim compensation. It may be envisaged that the damage in question would include damage to the Area and its resources constituting the common heritage of mankind, and damage to the marine environment. Subjects entitled to claim compensation may include the Authority, entities engaged in deep seabed mining, other users of the sea, and coastal States.\n\n180. No provision of the Convention can be read as explicitly entitling the Authority to make such a claim. It may, however, be argued that such entitlement is implicit in article 137, paragraph 2, of the Convention, which states that the Authority shall act “on behalf” of mankind. Each State Party may also be entitled to claim compensation in light of the erga omnes character of the obligations relating to preservation of the environment of the high seas and in the Area. In support of this view, reference may be made to article 48 of the ILC Articles on State Responsibility, which provides: Any State other than an injured State is entitled to invoke the responsibility of another State . . . if: (a) the obligation breached is owed to a group of States including that State, and is established for the protection of a collective interest of the group; or (b) the obligation breached is owed to the international community as a whole. Causal link between failure and damage 181. Article 139, paragraph 2, first sentence, of the Convention refers to “damage caused”, which clearly indicates the necessity of a causal link between the damage and the failure of the sponsoring State to meet its responsibilities. The second sentence of article 139, paragraph 2, of the Convention does not mention this causal link. It refers only to a causal link between the activity of the sponsored contractor and the consequent damage. Nevertheless, the Chamber is of the view that, in order for the sponsoring State’s liability to arise, there must be a causal link between the failure of that State and the damage caused by the sponsored contractor.\n\n182. Article 139, paragraph 2, of the Convention establishes that sponsoring States are responsible for ensuring that activities in the Area are carried out in conformity with Part XI of the Convention (see paragraph 108). This means that the sponsoring State’s liability arises not from a failure of a private entity but rather from its own failure to carry out its own responsibilities. In order for the sponsoring State’s liability to arise, it is necessary to establish that there is damage and that the damage was a result of the sponsoring State’s failure to carry out its responsibilities. Such a causal link cannot be presumed and must be proven. The rules on the liability of sponsoring States set out in article 139, paragraph 2, of the Convention and in the related instruments are in line with the rules of customary international law on this issue. Under international law, the acts of private entities are not directly attributable to States except where the entity in question is empowered to act as a State organ (article 5 of the ILC Articles on State Responsibility) or where its conduct is acknowledged and adopted by a State as its own (article 11 of the ILC Articles on State Responsibility). As explained in the present paragraph, the liability regime established in Annex III to the Convention and related instruments does not provide for the attribution of activities of sponsored contractors to sponsoring States.\n\n183. In the event that no causal link pertaining to the failure of the sponsoring States to carry out their responsibilities and the damage caused can be established, the question arises whether they may nevertheless be held liable under the customary international law rules on State responsibility. This issue is dealt with in paragraphs 208 to 211.\n\n184. For these reasons, the Chamber concludes that the liability of sponsoring States arises from their failure to carry out their own responsibilities and is triggered by the damage caused by sponsored contractors. There must be a causal link between the sponsoring State’s failure and the damage, and such a link cannot be presumed. V. Exemption from liability 185. The Chamber will now direct its attention to the meaning of the clause “shall not however be liable for damage” in article 139, paragraph 2, second sentence, and in Annex III, article 4, paragraph 4, second sentence, of the Convention.\n\n186. This clause provides for the exemption of the sponsoring State from liability. Its effect is that, in the event that the sponsored contractor fails to comply with the Convention, the Regulations or its contract, and such failure results in damage, the sponsoring State cannot be held liable. The condition for exemption of the sponsoring State from liability is that, as specified in article 139, paragraph 2, of the Convention, it has taken “all necessary and appropriate measures to secure effective compliance” under article 153, paragraph 4, and Annex III, article 4, paragraph 4, of the Convention.\n\n187. It may be pointed out that Annex III, article 4, paragraph 4, of the Convention does not give sponsoring States unlimited discretionary powers concerning the measures to be taken in order to avoid liability. This matter is dealt with in detail in the reply to Question 3. VI. Scope of liability under the Convention 188. The Chamber will now deal with the scope of liability under article 139, paragraph 2, second sentence, of the Convention. This requires addressing several issues, namely, the standard of liability, multiple sponsorship, the amount and form of compensation and the relationship between the liability of the contractor and of the sponsoring State. Standard of liability 189. With regard to the standard of liability, it was argued in the proceedings that the sponsoring State has strict liability, i.e., liability without fault. The Chamber, however, would like to point out that liability for damage of the sponsoring State arises only from its failure to meet its obligation of due diligence. This rules out the application of strict liability. Multiple sponsorship 190. According to Annex III, article 4, paragraph 3, of the Convention, in certain situations, applicants for contracts of exploration or exploitation may require the sponsorship of more than one State Party. This occurs when the applicant holds more than one nationality or where it holds the nationality of one State and is controlled by another State or by nationals of another State.\n\n191. Neither article 139, paragraph 2, nor Annex III, article 4, paragraph 4, of the Convention, indicates how sponsoring States are to share their liability. The Nodules Regulations and the Sulphides Regulations also do not provide guidance in this respect, with an exception as far as the certification of financial viability of the contractor is concerned. Such certification as required under regulation 12, paragraph 5(c), of the Nodules Regulations and under regulation 13, paragraph 4(c), of the Sulphides Regulations must be provided by the State that controls the applicant. Consequently, in this case, a failure of that State to comply with its obligations entails liability.\n\n192. Apart from the exception mentioned in paragraph 191, the provisions of article 139, paragraph 2, of the Convention and related instruments dealing with sponsorship do not differentiate between single and multiple sponsorship. Accordingly, the Chamber takes the position that, in the event of multiple sponsorship, liability is joint and several unless otherwise provided in the Regulations issued by the Authority. Amount and form of compensation 193. As regards the amount of compensation payable, it is pertinent to refer again to Annex III, article 22, of the Convention, which states, with respect to the Authority and the sponsored contractor, that “[l]iability in every case shall be for the actual amount of damage.” In this context, note should be taken of regulation 30 of the Nodules Regulations, the identical regulation 32 of the Sulphides Regulations, and the identical section 16.1 of the Standard Clauses for exploration contracts (Annex 4 to the said Regulations).\n\n194. The obligation for a State to provide for a full compensation or restituto in integrum is currently part of customary international law. This conclusion was first reached by the Permanent Court of International Justice in the Factory of Chorzów case (P.C.I.J. Series A, No. 17, p. 47). This obligation was further reiterated by the International Law Commission. According to article 31, paragraph 1, of the ILC Articles on State Responsibility: “The responsible State is under an obligation to make full reparation for the injury caused by the internationally wrongful act”. The Chamber notes in this context that treaties on specific topics, such as nuclear energy or oil pollution, provide for limitations on liability together with strict liability.\n\n195. In the light of the foregoing, it is the view of the Chamber that the provisions concerning liability of the contractor for the actual amount of damage, referred to in paragraph 193, are equally valid with regard to the liability of the sponsoring State.\n\n196. As far as the form of the reparation is concerned, the Chamber wishes to refer to article 34 of the ILC Articles on State Responsibility. It reads: Full reparation for the injury caused by the internationally wrongful act shall take the form of restitution, compensation and satisfaction, either singly or in combination, in accordance with the provisions of this chapter.\n\n197. It is the view of the Chamber that the form of reparation will depend on both the actual damage and the technical feasibility of restoring the situation to the status quo ante.\n\n198. It should be noted that, according to regulation 30 of the Nodules Regulations and regulation 32 of the Sulphides Regulations, the contractor remains liable for damage even after the completion of the exploration phase. In the view of the Chamber, this is equally valid for the liability of the sponsoring State. Relationship between the liability of the contractor and of the sponsoring State 199. Concerning the relationship between the contractor’s liability and that of the sponsoring State, attention may be drawn to Annex III, article 22, of the Convention. This provision reads as follows: The contractor shall have responsibility or liability for any damage arising out of wrongful acts in the conduct of its operations, account being taken of contributory acts or omissions by the Authority. Similarly, the Authority shall have responsibility or liability for any damage arising out of wrongful acts in the exercise of its powers and functions, including violations under article 168, paragraph 2, account being taken of contributory acts or omissions by the contractor. Liability in every case shall be for the actual amount of damage. (Emphasis added)\n\n200. No reference is made in this provision to the liability of sponsoring States. It may therefore be deduced that the main liability for a wrongful act committed in the conduct of the contractor’s operations or in the exercise of the Authority’s powers and functions rests with the contractor and the Authority, respectively, rather than with the sponsoring State. In the view of the Chamber, this reflects the distribution of responsibilities for deep seabed mining activities between the contractor, the Authority and the sponsoring State.\n\n201. In this context, the question of whether the contractor and the sponsoring State bear joint and several liability was raised in the proceedings. Nothing in the Convention and related instruments indicates that this is the case. Joint and several liability arises where different entities have contributed to the same damage so that full reparation can be claimed from all or any of them. This is not the case under the liability regime established in article 139, paragraph 2, of the Convention. As noted above, the liability of the sponsoring State arises from its own failure to carry out its responsibilities, whereas the contractor’s liability arises from its own non-compliance. Both forms of liability exist in parallel. There is only one point of connection, namely, that the liability of the sponsoring State depends upon the damage resulting from activities or omissions of the sponsored contractor (see paragraph 181). But, in the view of the Chamber, this is merely a trigger mechanism. Such damage is not, however, automatically attributable to the sponsoring State.\n\n202. If the contractor has paid the actual amount of damage, as required under Annex III, article 22, of the Convention, in the view of the Chamber, there is no room for reparation by the sponsoring State.\n\n203. The situation becomes more complex if the contractor has not covered the damage fully. It was pointed out in the proceedings that a gap in liability may occur if, notwithstanding the fact that the sponsoring State has taken all necessary and appropriate measures, the sponsored contractor has caused damage and is unable to meet its liability in full. It was further pointed out that a gap in liability may also occur if the sponsoring State failed to meet its obligations but that failure is not causally linked to the damage. In their written and oral statements, States Parties have expressed different views on this issue. Some have argued that the sponsoring State has a residual liability, that is, the liability to cover the damage not covered by the sponsored contractor although the conditions for a liability of the sponsoring State under article 139, paragraph 2, of the Convention are not met. Other States Parties have taken the opposite position.\n\n204. In the view of the Chamber, the liability regime established by article 139 of the Convention and in related instruments leaves no room for residual liability. As outlined in paragraph 201, the liability of the sponsoring State and the liability of the sponsored contractor exist in parallel. The liability of the sponsoring State arises from its own failure to comply with its responsibilities under the Convention and related instruments. The liability of the sponsored contractor arises from its failure to comply with its obligations under its contract and its undertakings thereunder. As has been established, the liability of the sponsoring State depends on the occurrence of damage resulting from the failure of the sponsored contractor. However, as noted in paragraph 182, this does not make the sponsoring State responsible for the damage caused by the sponsored contractor.\n\n205. Taking into account that, as shown above in paragraph 203, situations may arise where a contractor does not meet its liability in full while the sponsoring State is not liable under article 139, paragraph 2, of the Convention, the Authority may wish to consider the establishment of a trust fund to compensate for the damage not covered. The Chamber draws attention to article 235, paragraph 3, of the Convention which refers to such possibility. VII. Liability of sponsoring States for violation of their direct obligations 206. As stated in paragraph 121, the Convention and related instruments provide for direct obligations of sponsoring States. Liability for violation of such obligations is covered by article 139, paragraph 2, first sentence, of the Convention.\n\n207. In the event of failure to comply with direct obligations, it is not possible for the sponsoring State to claim exemption from liability as article 139, paragraph 2, second sentence, of the Convention does not apply. VIII. “Without prejudice” clause 208. The Chamber will now consider the impact of international law on the deep seabed liability regime. Articles 139, paragraph 2, first sentence, and 304 of the Convention, state that their provisions are “without prejudice” to the rules of international law (see paragraph 169). It remains to be considered whether such statement may be used to fill a gap in the liability regime established in Part XI of the Convention and related instruments.\n\n209. As already indicated, if the sponsoring State has not failed to meet its obligations, there is no room for its liability under article 139, paragraph 2, of the Convention even if activities of the sponsored contractor have resulted in damage. A gap in liability which might occur in such a situation cannot be closed by having recourse to liability of the sponsoring State under customary international law. The Chamber is aware of the efforts made by the International Law Commission to address the issue of damages resulting from acts not prohibited under international law. However, such efforts have not yet resulted in provisions entailing State liability for lawful acts. Here again (see paragraph 205) the Chamber draws the attention of the Authority to the option of establishing a trust fund to cover such damages not covered otherwise.\n\n210. The failure by a sponsoring State to meet its obligations not resulting in material damage is covered by customary international law which does not make damage a requirement for the liability of States. As already stated in paragraph 178, this is confirmed by the ILC Articles on State Responsibility.\n\n211. Lastly, the Chamber would like to point out that article 304 of the Convention refers not only to existing international law rules on responsibility and liability, but also to the development of further rules. The regime of international law on responsibility and liability is not considered to be static. Article 304 of the Convention thus opens the liability regime for deep seabed mining to new developments in international law. Such rules may either be developed in the context of the deep seabed mining regime or in conventional or customary international law. Question 3 212. The third question submitted to the Chamber is as follows: What are the necessary and appropriate measures that a sponsoring State must take in order to fulfil its responsibility under the Convention, in particular Article 139 and Annex III, and the 1994 Agreement? I. General aspects 213. The focus of Question 3, as of Questions 1 and 2, is on sponsoring States. The Question seeks to find out the “necessary and appropriate measures” that the sponsoring State “must” take in order to fulfil its responsibility under the Convention, in particular article 139 and Annex III, and the 1994 Agreement. The starting point for this inquiry is article 153 of the Convention, since it introduces for the first time the concept of the sponsoring State and the measures that it must take. Article 153 does not specify the measures to be taken by the sponsoring State. It makes a cross-reference to article 139 of the Convention for guidance in the matter.\n\n214. Article 139, paragraph 2, of the Convention provides that the sponsoring State shall not be liable for damage caused by any failure to comply with Part XI of the Convention by an entity sponsored by it under article 153, paragraph 2(b), of the Convention, “if the State Party has taken all necessary and appropriate measures to secure effective compliance under article 153, paragraph 4, and Annex III, article 4, paragraph 4”.\n\n215. Article 139, paragraph 2, of the Convention does not specify the measures that are “necessary and appropriate”. It simply draws attention to article 153, paragraph 4, and Annex III, article 4, paragraph 4, of the Convention. The relevant part of Annex III, article 4, paragraph 4, reads as follows: A sponsoring State shall not, however, be liable for damage caused by any failure of a contractor sponsored by it to comply with its obligations if that State Party has adopted laws and regulations and taken administrative measures which are, within the framework of its legal system, reasonably appropriate for securing compliance by persons under its jurisdiction.\n\n216. Although the terminology used in these provisions varies slightly, they deal in essence with the same subject matter and convey the same meaning. Annex III, article 4, paragraph 4, of the Convention contains an explanation of the words “necessary and appropriate measures” in article 139, paragraph 2, of the Convention.\n\n217. Under these provisions, in the system of the responsibilities and liability of the sponsoring State, the “necessary and appropriate measures” have two distinct, although interconnected, functions as set out in the Convention. On the one hand, these measures have the function of ensuring compliance by the contractor with its obligations under the Convention and related instruments as well as under the relevant contract. On the other hand, they also have the function of exempting the sponsoring State from liability for damage caused by the sponsored contractor, as provided in article 139, paragraph 2, as well as in Annex III, article 4, paragraph 4, of the Convention. The first of these functions has been illustrated in the reply to Question 1, in connection with the due diligence obligation of the sponsoring State to ensure compliance by the sponsored contractor, while the second has been partially addressed in the reply to Question 2 and will be further addressed in the following paragraphs. II. Laws and regulations and administrative measures 218. Annex III, article 4, paragraph 4, of the Convention requires the sponsoring State to adopt laws and regulations and to take administrative measures. Thus, there is here a stipulation that the adoption of laws and regulations and the taking of administrative measures are necessary. The scope and extent of the laws and regulations and administrative measures required depend upon the legal system of the sponsoring State. The adoption of laws and regulations is prescribed because not all the obligations of a contractor may be enforced through administrative measures or contractual arrangements alone, as specified in paragraphs 223 to 226. Support for the enforcement of contractor’s obligations under the domestic law of the sponsoring State is an essential requirement in a number of national jurisdictions. But laws and regulations by themselves may not provide a complete answer in this regard. Administrative measures aimed at securing compliance with them may also be needed. Laws, regulations and administrative measures may include the establishment of enforcement mechanisms for active supervision of the activities of the sponsored contractor. They may also provide for the co-ordination between the various activities of the sponsoring State and those of the Authority with a view to eliminating avoidable duplication of work.\n\n219. Since the sponsoring State is responsible for ensuring that the contractor acts in accordance with the terms of the contract and with its obligations under the Convention, that State’s laws, regulations and administrative measures should be in force at all times that a contract with the Authority is in force. While the existence of such laws, regulations and administrative measures is not a condition precedent for concluding a contract with the Authority, it is a necessary requirement for compliance with the obligation of due diligence of the sponsoring State and for its exemption from liability.\n\n220. It may be observed in this regard that the Nodules Regulations were approved after the pioneer investors had been registered. In view of this, certifying States are required, if necessary, to bring their laws, regulations and administrative measures in keeping with the provisions of the Regulations.\n\n221. The national measures to be taken by the sponsoring State should also cover the obligations of the contractor even after the completion of the exploration phase, as provided for in regulation 30 of the Nodules Regulations and regulation 32 of the Sulphides Regulations.\n\n222. As already indicated, the national measures, once adopted, may not be appropriate in perpetuity. It is the view of the Chamber that such measures should be kept under review so as to ensure that they meet current standards and that the contractor meets its obligations effectively without detriment to the common heritage of mankind. III. Compliance by means of a contract? 223. It is the requirement in Annex III, article 4, paragraph 4, of the Convention, that the measures to be taken by the sponsoring State should be in the form of laws and regulations and administrative measures. This means that a sponsoring State could not be considered as complying with its obligations only by entering into a contractual arrangement, such as a sponsoring agreement, with the contractor. Not only would this be incompatible with the provision referred to above but also with the Convention in general and Part XI thereof in particular.\n\n224. Mere contractual obligations between the sponsoring State and the sponsored contractor may not serve as an effective substitute for the laws and regulations and administrative measures referred to in Annex III, article 4, paragraph 4, of the Convention. Nor would they establish legal obligations that could be invoked against the sponsoring State by entities other than the sponsored contractor.\n\n225. The “contractual” approach would, moreover, lack transparency. It will be difficult to verify, through publicly available measures, that the sponsoring State had met its obligations. A sponsorship agreement may not be publicly available and, in fact, may not be required at all. Annex III of the Convention, and the Nodules Regulations and the Sulphides Regulations contain no requirement that a sponsorship agreement, if any, between the sponsoring States and the contractor should be submitted to the Authority or made publicly available. The only requirement is the submission of a certificate of sponsorship issued by the sponsoring State (regulation 11, paragraph 3(f), of the Nodules Regulations and of the Sulphides Regulations), in which the sponsoring State declares that it “assumes responsibility in accordance with article 139, article 153, paragraph 4, and Annex III, article 4, paragraph 4, of the Convention”.\n\n226. As stated above, the role of the sponsoring State is to contribute to the common interest of all States in the proper implementation of the principle of the common heritage of mankind by assisting the Authority and by acting on its own with a view to ensuring that entities under its jurisdiction conform to the rules on deep seabed mining. Contractual arrangements alone cannot satisfy the obligation undertaken by the sponsoring State. The sponsoring State could not claim to be assisting the Authority under article 153, paragraph 4, of the Convention by the mere fact that it had concluded a contract under its domestic law. IV. Content of the measures 227. The Convention leaves it to the sponsoring State to determine what measures will enable it to discharge its responsibilities. Policy choices on such matters must be made by the sponsoring State. In view of this, the Chamber considers that it is not called upon to render specific advice as to the necessary and appropriate measures that the sponsoring State must take in order to fulfil its responsibilities under the Convention. Judicial bodies may not perform functions that are not in keeping with their judicial character. Nevertheless, without encroaching on the policy choices a sponsoring State may make, the Chamber deems it appropriate to indicate some general considerations that a sponsoring State may find useful in its choice of measures under articles 139, paragraph 2, 153, paragraph 4, and Annex III, article 4, paragraph 4, of the Convention.\n\n228. What is expected with regard to the responsibility of the sponsoring State in terms of Annex III, article 4, paragraph 4, of the Convention is made clear in the second sentence of the same paragraph. It requires the sponsoring State to adopt laws and regulations and to take administrative measures which are, within the framework of its legal system, “reasonably appropriate” for securing compliance by persons under its jurisdiction. The standard for determining what is appropriate is not open-ended. The measures taken must be “reasonably appropriate”. The appropriateness of the measures taken may be justified only if they are agreeable to reason and not arbitrary.\n\n229. The measures to be taken by the sponsoring State must be determined by that State itself within the framework of its legal system. This determination is, therefore, left to the discretion of the sponsoring State. Annex III, article 4, paragraph 4, of the Convention requires the sponsoring State to put in place laws and regulations and to take administrative measures that are “reasonably appropriate” so that it may be absolved from liability for damage caused by any failure of a contractor sponsored by it to comply with its obligations. The obligation is to act within its own legal system, taking into account, among other things, the particular characteristics of that system.\n\n230. In view of the above, it may be relevant to deal with some general considerations pertaining to the measures to be taken by the sponsoring State. The sponsoring State does not have an absolute discretion with respect to the action it is required to take under Annex III, article 4, paragraph 4, of the Convention. In the sphere of the obligation to assist the Authority acting on behalf of mankind as a whole, while deciding what measures are reasonably appropriate, the sponsoring State must take into account, objectively, the relevant options in a manner that is reasonable, relevant and conducive to the benefit of mankind as a whole. It must act in good faith, especially when its action is likely to affect prejudicially the interests of mankind as a whole. The need to act in good faith is also underlined in articles 157, paragraph 4, and 300 of the Convention. Reasonableness and non-arbitrariness must remain the hallmarks of any action taken by the sponsoring State. Any failure on the part of the sponsoring State to act reasonably may be challenged before this Chamber under article 187 (b) (i) of the Convention.\n\n231. It may be pertinent to inquire whether there are any restrictions on what a sponsoring State may provide for in its laws and regulations applicable in this regard. Attention may be drawn to Annex III, article 21, paragraph 3, of the Convention. This paragraph reads as follows: No State Party may impose conditions on a contractor that are inconsistent with Part XI. However, the application by a State Party to contractors sponsored by it, or to ships flying its flag, of environmental or other laws and regulations more stringent than those in the rules, regulations and procedures of the Authority adopted pursuant to article 17, paragraph 2(f), of this Annex shall not be deemed inconsistent with Part XI.\n\n232. This provision imposes a general obligation on the sponsoring State not to impose on a contractor conditions that are “inconsistent” with Part XI of the Convention. At the same time, however, it establishes an exception thereto. The exception provides the sponsoring State with the option to apply to contractors sponsored by it, or to ships flying its flag, environmental or other laws and regulations more stringent than those in the rules, regulations and procedures of the Authority adopted pursuant to Annex III, article 17, paragraph 2(f ), of the Convention (dealing with protection of the marine environment).\n\n233. While dealing with the obligation of the sponsoring State contained in Annex III, article 21, paragraph 3, of the Convention, account has to be taken of the obligation of the contractor under the legal regime for deep seabed mining and the corresponding obligations of the sponsoring State. According to Annex III, article 4, paragraph 4, of the Convention the contractor shall carry out its activities in the Area “in conformity with” the terms of its contract with the Authority and its obligations under the Convention. The same provision states that it is the responsibility of the sponsoring State to ensure that the contractor carries out this obligation (see paragraph 75).\n\n234. The sponsoring State may find it necessary, depending upon its legal system, to include in its domestic law provisions that are necessary for implementing its obligations under the Convention. These provisions may concern, inter alia, financial viability and technical capacity of sponsored contractors, conditions for issuing a certificate of sponsorship and penalties for non-compliance by such contractors.\n\n235. Additionally, the Convention itself specifies in various provisions the issues that should be covered by the sponsoring State’s laws and regulations. In particular, article 39 of the Statute dealing with enforcement of decisions of the Chamber provides: The decisions of the Chamber shall be enforceable in the territories of the States Parties in the same manner as judgments or orders of the highest court of the State Party in whose territory the enforcement is sought. Reference may also be made to Annex III, article 21, paragraph 2, of the Convention which provides: “Any final decision rendered by a court or tribunal having jurisdiction under this Convention relating to the rights and obligations of the Authority and of the contractor shall be enforceable in the territory of each State Party”. In a number of national jurisdictions, these provisions may require specific legislation for implementation.\n\n236. Other indications may be found in the provisions that establish direct obligations of the sponsoring States (see paragraph 121). These include: the obligations to assist the Authority in the exercise of control over activities in the Area; the obligation to apply a precautionary approach; the obligation to apply best environmental practices; the obligation to take measures to ensure the provision of guarantees in the event of an emergency order by the Authority for protection of the marine environment; the obligation to ensure the availability of recourse for compensation in respect of damage caused by pollution; and the obligation to conduct environmental impact assessments. It is important to stress that these obligations are mentioned only as examples.\n\n237. In this context, the Chamber takes note of the Deep Seabed Mining Law adopted by Germany and of similar legislation adopted by the Czech Republic.\n\n238. While the applicable contract is a contract between the Authority and the contractor only and as such does not bind the sponsoring State, the sponsoring State is nevertheless under an obligation to ensure that the contractor complies with its contract. This means that the sponsoring State must adopt laws and regulations and take administrative measures which do not hinder the contractor in the effective fulfilment of its contractual obligations but rather assist the contractor in that respect.\n\n239. It is inherent in the “due diligence” obligation of the sponsoring State to ensure that the obligations of a sponsored contractor are made enforceable.\n\n240. Under Annex III, article 21, paragraph 3, of the Convention, the rules, regulations and procedures concerning environmental protection adopted by the Authority are used as a minimum standard of stringency for the environmental or other laws and regulations that the sponsoring State may apply to the sponsored contractor. It is implicit in this provision that sponsoring States may apply to the contractors they sponsor more stringent standards as far as the protection of the marine environment is concerned.\n\n241. Article 209, paragraph 2, of the Convention is based on the same approach. According to this provision, the requirements contained in the laws and regulations that States adopt concerning pollution of the marine environment from activities in the Area “undertaken by vessels, installations, structures and other devices flying their flag or of their registry or operating under their authority . . . shall be no less effective than the international rules, regulations, and procedures” established under Part XI, which consist primarily of the international rules, regulations and procedures adopted by the Authority.\n\n242. For these reasons, THE CHAMBER, 1. Unanimously, Decides that it has jurisdiction to give the advisory opinion requested.\n\n2. Unanimously, Decides to respond to the request for an advisory opinion.\n\n3. Unanimously, Replies to Question 1 submitted by the Council as follows: Sponsoring States have two kinds of obligations under the Convention and related instruments: A. The obligation to ensure compliance by sponsored contractors with the terms of the contract and the obligations set out in the Convention and related instruments. This is an obligation of “due diligence”. The sponsoring State is bound to make best possible efforts to secure compliance by the sponsored contractors. The standard of due diligence may vary over time and depends on the level of risk and on the activities involved. This “due diligence” obligation requires the sponsoring State to take measures within its legal system. These measures must consist of laws and regulations and administrative measures. The applicable standard is that the measures must be “reasonably appropriate”. B. Direct obligations with which sponsoring States must comply independently of their obligation to ensure a certain conduct on the part of the sponsored contractors. Compliance with these obligations may also be seen as a relevant factor in meeting the “due diligence” obligation of the sponsoring State. The most important direct obligations of the sponsoring State are: (a) the obligation to assist the Authority set out in article 153, paragraph 4, of the Convention; (b) the obligation to apply a precautionary approach as reflected in Principle 15 of the Rio Declaration and set out in the Nodules Regulations and the Sulphides Regulations; this obligation is also to be considered an integral part of the “due diligence” obligation of the sponsoring State and applicable beyond the scope of the two Regulations; (c) the obligation to apply the “best environmental practices” set out in the Sulphides Regulations but equally applicable in the context of the Nodules Regulations; (d) the obligation to adopt measures to ensure the provision of guarantees in the event of an emergency order by the Authority for protection of the marine environment; and (e) the obligation to provide recourse for compensation. The sponsoring State is under a due diligence obligation to ensure compliance by the sponsored contractor with its obligation to conduct an environmental impact assessment set out in section 1, paragraph 7, of the Annex to the 1994 Agreement. The obligation to conduct an environmental impact assessment is also a general obligation under customary law and is set out as a direct obligation for all States in article 206 of the Convention and as an aspect of the sponsoring State’s obligation to assist the Authority under article 153, paragraph 4, of the Convention. Obligations of both kinds apply equally to developed and developing States, unless specifically provided otherwise in the applicable provisions, such as Principle 15 of the Rio Declaration, referred to in the Nodules Regulations and the Sulphides Regulations, according to which States shall apply the precautionary approach “according to their capabilities”. The provisions of the Convention which take into consideration the special interests and needs of developing States should be effectively implemented with a view to enabling the developing States to participate in deep seabed mining on an equal footing with developed States.\n\n4. Unanimously, Replies to Question 2 submitted by the Council as follows: The liability of the sponsoring State arises from its failure to fulfil its obligations under the Convention and related instruments. Failure of the sponsored contractor to comply with its obligations does not in itself give rise to liability on the part of the sponsoring State. The conditions for the liability of the sponsoring State to arise are: (a) failure to carry out its responsibilities under the Convention; and (b) occurrence of damage. The liability of the sponsoring State for failure to comply with its due diligence obligations requires that a causal link be established between such failure and damage. Such liability is triggered by a damage caused by a failure of the sponsored contractor to comply with its obligations. The existence of a causal link between the sponsoring State’s failure and the damage is required and cannot be presumed. The sponsoring State is absolved from liability if it has taken “all necessary and appropriate measures to secure effective compliance” by the sponsored contractor with its obligations. This exemption from liability does not apply to the failure of the sponsoring State to carry out its direct obligations. The liability of the sponsoring State and that of the sponsored contractor exist in parallel and are not joint and several. The sponsoring State has no residual liability. Multiple sponsors incur joint and several liability, unless otherwise provided in the Regulations of the Authority. The liability of the sponsoring State shall be for the actual amount of the damage. Under the Nodules Regulations and the Sulphides Regulations, the contractor remains liable for damage even after the completion of the exploration phase. This is equally valid for the liability of the sponsoring State. The rules on liability set out in the Convention and related instruments are without prejudice to the rules of international law. Where the sponsoring State has met its obligations, damage caused by the sponsored contractor does not give rise to the sponsoring State’s liability. If the sponsoring State has failed to fulfil its obligation but no damage has occurred, the consequences of such wrongful act are determined by customary international law. The establishment of a trust fund to cover the damage not covered under the Convention could be considered.\n\n5. Unanimously, Replies to Question 3 submitted by the Council as follows: The Convention requires the sponsoring State to adopt, within its legal system, laws and regulations and to take administrative measures that have two distinct functions, namely, to ensure compliance by the contractor with its obligations and to exempt the sponsoring State from liability. The scope and extent of these laws and regulations and administrative measures depends on the legal system of the sponsoring State. Such laws and regulations and administrative measures may include the establishment of enforcement mechanisms for active supervision of the activities of the sponsored contractor and for co-ordination between the activities of the sponsoring State and those of the Authority. Laws and regulations and administrative measures should be in force at all times that a contract with the Authority is in force. The existence of such laws and regulations, and administrative measures is not a condition for concluding the contract with the Authority; it is, however, a necessary requirement for carrying out the obligation of due diligence of the sponsoring State and for seeking exemption from liability. These national measures should also cover the obligations of the contractor after the completion of the exploration phase, as provided for in regulation 30 of the Nodules Regulations and regulation 32 of the Sulphides Regulations. In light of the requirement that measures by the sponsoring States must consist of laws and regulations and administrative measures, the sponsoring State cannot be considered as complying with its obligations only by entering into a contractual arrangement with the contractor. The sponsoring State does not have absolute discretion with respect to the adoption of laws and regulations and the taking of administrative measures. It must act in good faith, taking the various options into account in a manner that is reasonable, relevant and conducive to the benefit of mankind as a whole. As regards the protection of the marine environment, the laws and regulations and administrative measures of the sponsoring State cannot be less stringent than those adopted by the Authority, or less effective than international rules, regulations and procedures. The provisions that the sponsoring State may find necessary to include in its national laws may concern, inter alia, financial viability and technical capacity of sponsored contractors, conditions for issuing a certificate of sponsorship and penalties for non-compliance by such contractors. It is inherent in the “due diligence” obligation of the sponsoring State to ensure that the obligations of a sponsored contractor are made enforceable. Specific indications as to the contents of the domestic measures to be taken by the sponsoring State are given in various provisions of the Convention and related instruments. This applies, in particular, to the provision in article 39 of the Statute prescribing that decisions of the Chamber shall be enforceable in the territories of the States Parties, in the same manner as judgments and orders of the highest court of the State Party in whose territory the enforcement is sought. Done in English and French, both texts being authoritative, in the Free and Hanseatic City of Hamburg, this first day of February, two thousand and eleven, in three copies, one of which will be placed in the archives of the Tribunal and the others will be sent to the Secretary-General of the International Seabed Authority and to the Secretary-General of the United Nations. (signed) (signed) Tullio Treves President Philippe Gautier Registrar\n", "n_chars": 150748}
{"corpus_id": "itlos/advisory-opinion/sdc-area-2011-fr", "version_id": "2011-02-01", "title": "Responsabilités et obligations des Etats qui patronnent des Personnes et des entités dans le cadre d’activités menées dans la Zone (Demande d’avis consultatif soumise à la Chambre pour le règlement des différends relatifs aux fonds marins), Avis consultatif du 1er février 2011", "short_title": "Avis consultatif de la Chambre pour le règlement des différends relatifs aux fonds marins (2011, affaire n° 17) [FR]", "jurisdiction": "international", "document_type": "advisory_opinion", "official_citation": "Responsabilités et obligations des Etats dans le cadre d’activités menées dans la Zone, avis consultatif, 1er février 2011, TIDM Recueil 2011, p. 10", "authentic_languages": ["en", "fr"], "language": "fr", "adoption_date": "2011-02-01", "entry_into_force_date": null, "source_url": "https://www.itlos.org/fileadmin/itlos/documents/cases/case_no_17/17_adv_op_010211_fr.pdf", "source_publisher": "Tribunal international du droit de la mer (TIDM / ITLOS)", "source_is_official": true, "authoritative_status": "authentic_text", "text_fidelity": "extracted_verified", "content_hash": "sha256:e59004a43582a299b5c1bdc2093c56b7304325a8960e1e2a1aa2a63e1916c962", "original_sha256": "sha256:07b0ed819aa2c5a5183435494edf78f521e2024515a12a45f1ec67beeb42dc83", "text_sha256": "sha256:e59004a43582a299b5c1bdc2093c56b7304325a8960e1e2a1aa2a63e1916c962", "license": "itlos-materials-terms", "rights_note": "Official ITLOS materials (French authentic version), attributed to the International Tribunal for the Law of the Sea; not relicensed.", "provenance_note": "FRENCH AUTHENTIC TEXT — first sibling under JC-006 (language-suffixed corpus_id; the English base record is itlos/advisory-opinion/sdc-area-2011). The opinion is authentic in English and French, both equally authoritative: it closes «Fait en anglais et en français, les deux textes faisant également foi». Byte-exact official ITLOS French PDF (human download, 72 pp.) stored as original.pdf (original_sha256 = the PDF hash); text extracted with pdftotext and cleaned by the committed scripts/extract.py (clean_ao_fr): running headers and page numbers removed, font ligatures normalised, line wraps rejoined — no wording changed. Complete through the operative reply («Répond … à la Question 3») and the signatures of the President (Treves) and Registrar (Gautier). This is an equally-authentic language version, NOT a translation of the English (translations, if any, live in the derived layer).", "text": "Responsabilités et obligations des Etats qui patronnent des Personnes et des entités dans le cadre d’activités menées dans la Zone — Avis consultatif du 1er février 2011 (TIDM, Chambre pour le règlement des différends relatifs aux fonds marins, affaire n° 17)\n\nAVIS CONSULTATIF Présents : M. TREVES, Président; MM. MAROTTA RANGEL, NELSON, CHANDRASEKHARA RAO, WOLFRUM, YANAI, KATEKA, HOFFMANN, GAO, BOUGUETAIA, GOLITSYN, juges; M. GAUTIER, Greffier. Sur les Responsabilités et obligations des Etats qui patronnent des personnes et entités dans le cadre d’activités menées dans la Zone LA CHAMBRE POUR LE RÈGLEMENT DES DIFFÉRENDS RELATIFS AUX FONDS MARINS, ainsi composée, donne l’avis consultatif ci-après : Introduction I. La demande 1. Les questions au sujet desquelles il a été demandé à la Chambre pour le règlement des différends relatifs aux fonds marins du Tribunal international du droit de la mer (ci-après dénommée « la Chambre ») de donner un avis consultatif sont énoncées dans la décision ISBA/16/C/13, adoptée le 6 mai 2010 par le Conseil de l’Autorité internationale des fonds marins (ci-après dénommé « le Conseil »), lors de sa seizième session. Par une lettre datée du 11 mai 2010 et transmise au Greffe du Tribunal international du droit de la mer par courrier électronique le 14 mai 2010, le Secrétaire général de l’Autorité internationale des fonds marins (ci-après dénommé « le Secrétaire général ») a officiellement communiqué à la Chambre la décision prise par le Conseil. L’original de cette lettre est parvenu au Greffe le 17 mai 2010. Des copies certifiées conformes des versions anglaise et française de la décision du Conseil ont été transmises par le Conseiller juridique de l’Autorité internationale des fonds marins (ci après dénommé « le Conseiller juridique ») le 8 juin 2010 et reçues par le Greffe à la même date. La décision du Conseil se lit comme suit : Le Conseil de l’Autorité internationale des fonds marins, Considérant que les activités de développement dans la Zone ont déjà commencé, Ayant à l’esprit l’échange de vues sur les points de droit entrant dans le cadre de ses activités, Décide, conformément à l’article 191 de la Convention des Nations Unies sur le droit de la mer (« la Convention »), de demander à la Chambre pour le règlement des différends relatifs aux fonds marins du Tribunal international du droit de la mer, en application de l’article 131 du Règlement dudit Tribunal, de rendre un avis consultatif sur les questions suivantes :\n\n1. Quelles sont les responsabilités et obligations juridiques des Etats parties à la Convention qui patronnent des activités menées dans la Zone en application de la Convention, en particulier de la partie XI et de l’Accord de 1994 relatif à l’application de la partie XI de la Convention des Nations Unies sur le droit de la mer du 10 décembre 1982 ? 2. Dans quelle mesure la responsabilité d’un Etat Partie est-elle engagée à raison de tout manquement aux dispositions de la Convention, en particulier de la partie XI, et de l’Accord de 1994, de la part d’une entité qu’il a patronnée en vertu de l’article 153, paragraphe 2, lettre b), de la Convention ? 3. Quelles sont les mesures nécessaires et appropriées qu’un Etat qui patronne la demande doit prendre pour s’acquitter de la responsabilité qui lui incombe en application de la Convention, en particulier de l’article 139 et de l’annexe III ainsi que de l’Accord de 1994 ? 2. La demande d’avis consultatif a été inscrite au rôle des affaires sous le No 17 et l’affaire a été intitulée « Responsabilités et obligations des Etats qui patronnent des personnes et entités dans le cadre d’activités menées dans la Zone ».\n\n3. Dans sa lettre datée du 11 mai 2010, le Secrétaire général a informé la Chambre que le Conseiller juridique avait été nommé représentant de l’Autorité internationale des fonds marins (ci-après dénommée « l’Autorité ») aux fins de la procédure. II. Evénements ayant conduit à la demande 4. La Chambre juge nécessaire de rappeler les événements ayant conduit à la demande d’avis consultatif : – Le 10 avril 2008, l’Autorité a reçu deux demandes d’approbation d’un plan de travail relatif à l’exploration dans des secteurs réservés aux activités menées par l’Autorité par l’intermédiaire de l’Entreprise ou en association avec des Etats en développement, conformément à l’article 8 de l’annexe III à la Convention des Nations Unies sur le droit de la mer (ci-après dénommée « la Convention »). Ces demandes ont été présentées par la Nauru Ocean Resources Inc. (patronnée par la République de Nauru) et par la Tonga Offshore Mining Ltd. (patronnée par le Royaume de Tonga); – Ces demandes ont été soumises à la Commission juridique et technique de l’Autorité. Le 5 mai 2009, les auteurs des demandes ont présenté à l’Autorité une requête sollicitant le report de l’examen de ces demandes. Lors de la quinzième session de l’Autorité, tenue du 25 mai au 5 juin 2009, cette Commission a décidé de reporter l’examen de cette question; – Le 1er mars 2010, la République de Nauru a communiqué au Secrétaire général une proposition énoncée dans le document ISBA/16/C/6 visant à solliciter l’avis consultatif de la Chambre sur un certain nombre de questions spécifiques concernant la responsabilité et les obligations des Etats qui patronnent une demande; – A l’appui de sa demande, Nauru a présenté, entre autres, les considérations ci-après : En 2008, la République de Nauru a patronné une demande d’approbation d’un plan de travail présenté par Nauru Ocean Resources Inc. en vue de l’exploration de nodules polymétalliques dans la Zone. Nauru, comme beaucoup d’autres pays en développement, ne possède pas encore les moyens techniques et financiers nécessaires pour mener des opérations d’extraction minière sous-marine dans les eaux internationales. Pour participer effectivement aux activités menées dans la Zone, ces Etats doivent faire appel à des contractants du secteur privé mondial (de la même manière que certains pays en développement ont besoin d’investissements directs étrangers). Non seulement ils n’ont pas les moyens financiers d’exécuter un projet d’extraction minière sous-marine dans les eaux internationales, mais certains n’ont pas non plus les moyens de faire face aux risques juridiques que peut comporter un tel projet. N’ignorant pas cela, lorsqu’il a initialement patronné la société Nauru Ocean Resources Inc., Nauru est parti de l’hypothèse qu’il pourrait effectivement atténuer (avec un degré de certitude élevé) les obligations financières ou coûts pouvant découler de son patronage. Ceci était important car ces obligations ou coûts pourraient dans certaines circonstances excéder de beaucoup les capacités financières de Nauru (comme celles de nombreux autres pays en développement). Si dans le cas d’opérations d’extraction minière terrestre, un Etat ne risque de perdre que ce qu’il a déjà (par exemple, son environnement naturel), un Etat en développement qui verrait sa responsabilité engagée à raison d’activités menées dans la Zone risquerait de perdre plus que ce qu’il a effectivement. (ISBA/16/C/6, paragraphe 1); Finalement, si un Etat qui patronne une demande est exposé à d’importants risques financiers, Nauru, comme d’autres pays en développement, risque de ne pas pouvoir participer effectivement aux activités menées dans la Zone, alors que cette participation est l’un des buts et principes de la partie XI de la Convention, et qu’elle est en particulier prévue à l’article 148, à l’alinéa c) de l’article 150 et au paragraphe 2 de l’article 152. Nauru considère donc qu’il est crucial de disposer d’indications sur l’interprétation des dispositions pertinentes de la partie XI relatives à la responsabilité, afin que les Etats en développement puissent déterminer s’ils sont en mesure de réduire effectivement les risques encourus et décider en connaissance de cause de participer ou non aux activités dans la Zone. (ISBA/16/C/6, paragraphe 5) ; – La proposition de Nauru a été inscrite à l’ordre du jour de la seizième session du Conseil de l’Autorité et ce point de l’ordre du jour a fait l’objet de débats approfondis au cours des 155ème, 160ème et 161ème séances; – Le Conseil a décidé de ne pas adopter la proposition telle que formulée par Nauru. Conformément aux vœux exprimés par de nombreux participants au débat, il a décidé de demander un avis consultatif sur trois questions de portée générale mais succinctes; – Ces questions ont été formulées dans la décision ISBA/16/C/13, adoptée par le Conseil à sa 161ème séance le 6 mai 2010. Comme indiqué par l’Autorité dans son exposé écrit et au cours de la procédure orale, la décision du Conseil a été adoptée le 6 mai 2010 « sans vote » et « sans objection » (exposé écrit paragraphe 2.4; Compte rendu du 14 septembre 2010, ITLOS/PV.2010/1/Rev.1, p. 11, lignes 23 à 29). III. Chronologie de la procédure 5. Conformément à l’article 133, paragraphe 1, du Règlement du Tribunal (ci-après dénommé « le Règlement »), le Greffier, par une note verbale datée du 17 mai 2010, a notifié la demande d’avis consultatif à tous les Etats Parties à la Convention des Nations Unies sur le droit de la mer (ci-après dénommés « les Etats Parties »).\n\n6. Par une lettre datée du 18 mai 2010, conformément l’article 4 de l’Accord sur la coopération et les relations entre l’Organisation des Nations Unies et le Tribunal international du droit de la mer du 18 décembre 1997, le Greffier a notifié la demande d’avis consultatif au Secrétaire général de l’Organisation des Nations Unies.\n\n7. Par ordonnance en date du 18 mai 2010, conformément à l’article 133, paragraphe 2, du Règlement, le Président a décidé que l’Autorité et les organisations invitées en qualité d’organisations intergouvernementales à participer à titre d’observateurs à l’Assemblée de l’Autorité (ci-après dénommée « l’Assemblée ») étaient susceptibles de fournir des informations sur les questions soumises à la Chambre pour avis consultatif. En conséquence, il a invité les Etats Parties, l’Autorité et les organisations intergouvernementales précitées à présenter des exposés écrits sur ces questions. Par la même ordonnance, conformément à l’article 133, paragraphe 3, du Règlement, le Président a fixé au 9 août 2010 la date d’expiration du délai dans lequel les exposés écrits sur ces questions pourraient être présentés à la Chambre. Dans cette ordonnance, conformément à l’article 133, paragraphe 4 du Règlement, le Président a, en outre, décidé la tenue d’une procédure orale et fixé au 14 septembre 2010 la date d’ouverture de l’audience. Les Etats Parties, l’Autorité et les organisations intergouvernementales précitées ont été invités à participer à l’audience et à indiquer au Greffier, au plus tard le 3 septembre 2010, leur intention de présenter des exposés oraux.\n\n8. Aux termes de l’article 191 de la Convention, la Chambre doit donner des avis consultatifs « dans les plus brefs délais ». En l’espèce, les délais prescrits pour la présentation des exposés écrits et la date d’ouverture de l’audience, tels qu’indiqués dans les ordonnances du Président, ont été fixés de manière à répondre à cette exigence.\n\n9. Par une ordonnance datée du 28 juillet 2010, au vu d’une demande adressée à la Chambre, le Président a reporté la date d’expiration du délai de présentation des exposés écrits au 19 août 2010.\n\n10. Par une lettre datée du 30 juillet 2010, le Conseiller juridique, conformément à l’article 131 du Règlement, a communiqué à la Chambre un dossier contenant des pièces à l’appui de la demande. Ce dossier a été publié sur le site internet du Tribunal.\n\n11. Douze Etats Parties ont déposé des exposés écrits dans les délais fixés par le Président. Il s’agit des Etats Parties suivants, dans l’ordre de réception des exposés : Royaume-Uni de Grande-Bretagne et d’Irlande du Nord, Nauru, République de Corée, Roumanie, Pays-Bas, Fédération de Russie, Mexique, Allemagne, République populaire de Chine, Australie, Chili et Philippines. L’Autorité internationale des fonds marins et deux organisations, l’Organisation mixte Interoceanmetal et l’Union internationale pour la conservation de la nature et de ses ressources, ont aussi déposé des exposés écrits dans les mêmes délais.\n\n12. Conformément à l’article 133, paragraphe 3, du Règlement, dès leur réception, ces exposés écrits ont été communiqués aux autres Etats Parties, à l’Autorité et aux organisations ayant présenté des exposés écrits. Le 19 août 2010, conformément à l’article 134 du Règlement, les exposés écrits présentés à la Chambre ont été rendus accessibles au public par publication sur le site internet du Tribunal.\n\n13. Le 17 août 2010, le Greffe a reçu un exposé présenté conjointement par le Stichting Greenpeace Council (Greenpeace International) et par le Fonds Mondial pour la Nature. Cet exposé était assorti d’une requête présentée par ces deux organisations non-gouvernementales sollicitant l’autorisation de participer à la procédure consultative en qualité d’amici curiae. A la demande du Président, le Greffier a fait savoir à chacune de ces organisations, par des lettres séparées datées du 27 août 2010, que leur exposé ne constituerait pas une pièce du dossier puisqu’il n’avait pas été soumis en vertu de l’article 133 du Règlement. En revanche, ces exposés seraient toutefois communiqués aux Etats Parties, à l’Autorité et aux organisations internationales ayant présenté des exposés écrits. Ces derniers seraient avisés que ces exposés ne constituaient pas une pièce du dossier et seraient publiés dans une section séparée du site internet du Tribunal. Les Etats, l’Autorité et les organisations internationales visés ont été informés par une communication datée du 27 août 2010.\n\n14. Le 10 septembre 2010, la Chambre, après examen, a décidé de ne pas faire droit à la requête du Stichting Greenpeace Council (Greenpeace International) et du Fonds Mondial pour la Nature par laquelle ces deux organisations sollicitaient l’autorisation de participer à la procédure consultative en qualité d’amici curiae. Cette décision a été communiquée à ces deux organisations ce même jour par une lettre du Président.\n\n15. Le 26 août 2010, par courrier électronique, le Conseiller juridique a adressé au Greffier, à la demande de celui-ci, une note contenant un résumé des effets possibles de l’exploitation des ressources minérales des fonds marins sur le milieu marin. Ce document a été publié sur le site internet du Tribunal.\n\n16. Par lettre datée du 1er septembre 2010, après l’expiration du délai prévu pour la présentation des exposés écrits, le Programme des Nations Unies pour l’environnement a présenté un exposé écrit supplémentaire reçu au Greffe le 2 septembre 2010. Le Président a néanmoins décidé d’inclure cet exposé dans les pièces du dossier. En conséquence, le 3 septembre 2010, le Greffier a communiqué cet exposé par courrier électronique aux Etats Parties, à l’Autorité et aux organisations internationales ayant présenté des exposés écrits. Cet exposé a de même été publié sur le site internet du Tribunal.\n\n17. Dans les délais fixés dans l’ordonnance du Président du 18 mai 2010, neuf Etats Parties ont exprimé leur intention de participer à la procédure orale, à savoir, Allemagne, Argentine, Chili, Fidji, Mexique, Nauru, Pays-Bas, Royaume-Uni et Fédération de Russie. L’Autorité internationale des fonds marins et deux organisations, la Commission océanographique intergouvernementale (COI) de l’Organisation des Nations Unies pour l’éducation, la science et la culture (UNESCO) et l’Union internationale pour la conservation de la nature et de ses ressources ont elles aussi, dans les mêmes délais, exprimé leur intention de participer à la procédure orale.\n\n18. Avant l’ouverture de la procédure orale, la Chambre a tenu des délibérations initiales les 10, 13 et 14 septembre 2010.\n\n19. Lors de quatre audiences publiques tenues les 14, 15 et 16 septembre 2010, la Chambre a entendu les exposés oraux présentés dans l’ordre ci-après par : pour l’Autorité internationale des fonds marins : M. Nii Odunton, Secrétaire général, M. Michael Lodge, conseiller juridique, M. Kening Zhang, juriste (hors classe), et Mme Gwenaëlle Le Gurun, juriste; pour la République fédérale d’Allemagne : Mme Susanne Wasum-Rainer, conseillère juridique, directrice générale des affaires juridiques au Ministère fédéral des affaires étrangères; pour le Royaume des Pays Bas : Mme Liesbeth Lijnzaad, conseillère juridique au Ministère des affaires étrangères; pour la République Argentine : Mme Susana Ruiz Cerutti, ambassadeur, conseillère juridique au Ministère des affaires étrangères, du commerce international et du culte; pour la République du Chili : M. Roberto Plaza, Ministre conseiller, consul général du Chili à Hambourg; pour la République des Fidji : M. Pio Bosco Tikoisuva, hautcommissaire des Fidji auprès du Royaume-Uni de Grande-Bretagne et d’Irlande du Nord; pour les Etats-Unis du Mexique : M. Joel Hernandez G., ambassadeur, Conseiller juridique au Ministère des affaires étrangères; pour la République de Nauru : M. Peter Jacob, premier secrétaire, Hautcommissariat de Nauru à Suva (Fidji), l’Autorité et M. Robert Heydon, conseiller; pour le Royaume-Uni de Grande Bretagne et d’Irlande du Nord : Sir Michael Wood, K.C.M.G., membre du barreau anglais et membre de la Commission du droit international; pour la Fédération de Russie : M. Vasiliy Titushkin, directeur adjoint du département juridique du Ministère des affaires étrangères; pour la Commission océanographique intergouvernementale (COI) de l’Organisation des Nations Unies pour l’éducation, la science et la culture (UNESCO) : M. Ehrlich Desa, secrétaire exécutif adjoint; pour l’Union internationale pour la conservation de la nature et des ressources naturelles : Mme Cymie R. Payne, membre du barreau de l’Etat de Californie, de l’Etat du Massachusetts et avocate auprès de la Cour suprême des Etats-Unis d’Amérique, conseil, M. Robert A. Makgill, avocat auprès de la Haute Cour de Nouvelle-Zélande, conseil, et M. Donald K. Anton, avocat à la Cour suprême de Victoria, à la Cour suprême de la Nouvelle-Galles du Sud et auprès de la Haute Cour d’Australie; membre du barreau de l’Etat du Missouri, de l’Etat de l’Idaho, et avocat auprès de la Cour suprême des Etats-Unis d’Amérique; maître de conférences en droit international à la Faculté de droit de l’Université nationale d’Australie, conseil.\n\n20. L’audience a été diffusée sur internet en tant que webémission.\n\n21. Par lettre datée du 13 septembre 2010 et conformément à l’article 76, paragraphe 1, du Règlement, le Greffier a communiqué à l’Autorité, avant l’audience, une liste des points que la Chambre aurait souhaité voir étudiés par l’Autorité :\n\n1. S’agissant de l’article 153, paragraphe 4, de la Convention, comment l’Autorité a-t-elle exercé un contrôle sur les activités menées dans la Zone aux fins d’assurer le respect des dispositions pertinentes de la Convention et quelle expérience a-t-elle acquise à cet égard au cours des années ? 2. Sous quelle forme les Etats qui patronnent une demande ont-ils fourni jusqu’à présent à l’Autorité une assistance, y compris dans le cas où divers Etats patronnent un seul contractant, aux fins d’assurer le respect des dispositions visées à l’article 153, paragraphe 4, et quelle expérience l’Autorité a-t-elle acquise au cours des années à cet égard ? 3. Quelles sont les activités menées dans la Zone, y compris les activités liées à l’exploration et à l’exploitation, que l’Autorité a contrôlées jusqu’à présent ? 4. L’Autorité pourrait-elle fournir copies des certificats de patronage concernant les contrats qu’elle a passés avec les contractants ainsi que des copies des accords de patronage, si ces documents sont disponibles ? 22. Des réponses aux points 1 à 3 de cette liste ont été fournies dans les exposés oraux présentés au nom de l’Autorité lors de l’audience du 14 septembre 2010. Par une lettre datée du 17 septembre 2010, le Conseiller juridique a communiqué des renseignements sur le point 4 de la liste. Cette lettre a été publiée sur le site internet du Tribunal.\n\n23. A la demande du Président, par une lettre datée du 13 octobre 2010, le Greffier a demandé au Conseiller juridique de fournir à la Chambre des renseignements sur les diverses phases de la procédure d’exploration et d’exploitation des ressources dans la Zone (enlèvement, transport en surface, traitement initial, etc.) ainsi que des renseignements sur la technologie disponible. Le Conseiller juridique a fourni ces renseignements par une lettre datée du 15 novembre 2010. Ils ont été publiés sur le site internet du Tribunal.\n\n24. Comme l’a indiqué le Président à l’ouverture de la procédure orale, l’un des membres de la Chambre, M. le juge Chandrasekhara Rao, n’a pu siéger à l’audience pour cause de maladie. Toutefois, avec l’approbation de la Chambre, celui-ci a participé aux délibérations ultérieures concernant l’avis consultatif. IV. Rôle de la Chambre dans les procédures consultatives 25. La Chambre est un organe judiciaire distinct du Tribunal et, par sa compétence contentieuse et consultative, a la tâche exclusive d’interpréter la partie XI de la Convention et les annexes et règles pertinentes qui constituent le fondement juridique de l’organisation et de la gestion des activités menées dans la Zone.\n\n26. La compétence consultative est liée à l’activité de l’Assemblée et du Conseil, qui sont les deux principaux organes de l’Autorité, organisation internationale créée par la Convention pour « organis[er] et contrôl[er] les activités menées dans la Zone » (article 157, paragraphe 1, de la Convention et section 1, paragraphe 1, de l’annexe à l’Accord de 1994 relatif à l’application de la partie XI de la Convention des Nations Unies sur le droit de la mer (ci-après dénommé l’« Accord de 1994 »)). Aux fins d’accomplir correctement sa mission conformément aux instruments pertinents, l’Autorité peut faire appel à la coopération d’un organe judiciaire impartial et indépendant. Telle est la raison qui justifie la compétence consultative de la Chambre. Dans l’exercice de cette compétence, la Chambre s’inscrit au sein d’un système dans lequel fonctionnent les organes de l’Autorité, mais son rôle dans ce système est d’agir en tant qu’instance indépendante et impartiale.\n\n27. Conformément à l’article 159, paragraphe 10, et à l’article 191 de la Convention, la compétence consultative de la Chambre concerne les questions juridiques qui lui sont soumises par l’Assemblée et par le Conseil. Les avis consultatifs demandés conformément à l’article 159, paragraphe 10, de la Convention, ont pour fonction d’aider l’Assemblée dans le cadre de sa procédure de prise de décision. La compétence consultative de la Chambre, aux termes de l’article 191 de la Convention, concerne « les questions juridiques qui se posent » soit « dans le cadre des activités » de l’Assemblée, soit « dans le cadre des activités » du Conseil.\n\n28. Conformément à l’article 187 de la Convention, la Chambre a aussi compétence pour régler diverses catégories de procédures contentieuses, telles qu’énoncées dans cet article, relatives aux activités menées dans la Zone.\n\n29. Le rôle de la Chambre, décrit dans la partie XI de la Convention est de contribuer à la bonne « gouvernance » de la Zone. Le Secrétaire général a souligné ce point au cours de l’audience : « La Chambre a une haute responsabilité qui consiste à assurer que les dispositions de la Convention figurant dans la partie XI et dans l’Accord de 1994, ainsi que le régime général de l’extraction minière dans les grands fonds marins soient correctement interprétés et appliqués. » (ITLOS/PV.2010/1, p. 8, lignes 28 à 30).\n\n30. La Chambre est consciente du fait que, en répondant aux questions, elle aidera le Conseil à s’acquitter de ses activités et contribuera à la mise en œuvre du régime établi par la Convention V. Compétence 31. La Chambre déterminera tout d’abord si elle a compétence pour donner l’avis consultatif demandé par le Conseil. Les conditions à satisfaire pour établir la compétence de la Chambre sont énoncées à l’article 191 de la Convention, qui est conçu comme suit : La Chambre pour le règlement des différends relatifs aux fonds marins donne des avis consultatifs, à la demande de l’Assemblée ou du Conseil, sur les questions juridiques qui se posent dans le cadre de leur activité. Ces avis sont donnés dans les plus brefs délais.\n\n32. S’agissant de la présente procédure, les conditions à satisfaire sont les suivantes : a) la présentation d’une demande par le Conseil; b) cette demande porte sur des questions juridiques; c) ces questions juridiques relèvent des activités du Conseil.\n\n33. En ce qui concerne la première condition, la Chambre remarque que l’article 191 de la Convention confère à l’Assemblée et au Conseil le pouvoir de demander à la Chambre des avis consultatifs. En l’espèce, la décision de demande d’avis consultatif à la Chambre a été adoptée par le Conseil.\n\n34. L’article 56, paragraphe 1, du Règlement intérieur du Conseil dispose, qu’en règle générale, les organes de l’Autorité s’efforcent de prendre les décisions par consensus. La section 3, paragraphe 2, de l’annexe à l’Accord de 1994 stipule qu’« en règle générale, les organes de l’Autorité s’efforcent de prendre les décisions par consensus ». Conformément à l’article 161, paragraphe 8, lettre e), de la Convention, et à l’article 59 du Règlement intérieur du Conseil, on entend par « consensus » l’absence de toute objection formelle.\n\n35. Dans son exposé écrit, l’Autorité a déclaré que « la décision du Conseil de demander à la Chambre de rendre un avis consultatif a été prise sans objection et peut donc être considérée comme ayant fait l’objet d’un consensus ». Cette information fournie par l’Autorité montre également que la décision du Conseil a été prise conformément au Règlement intérieur de l’Autorité.\n\n36. En conséquence, la Chambre conclut que la demande du Conseil est valide.\n\n37. S’agissant de la deuxième condition, il appartient également à la Chambre de s’assurer que l’avis consultatif demandé par le Conseil a trait à des « questions juridiques » au sens de l’article 191 de la Convention.\n\n38. Dans l’examen de cette condition, la Chambre note que les trois questions dont elle est saisie portent, notamment, sur « les responsabilités et obligations juridiques des Etats Parties à la Convention qui patronnent des activités menées dans la Zone », « la mesure dans laquelle la responsabilité d’un Etat Partie est engagée à raison de tout manquement aux dispositions de la Convention . . . de la part d’une entité qu’il a patronnée » et « les mesures qu’un Etat qui patronne la demande doit prendre pour s’acquitter de la responsabilité qui lui incombe en application de la Convention ».\n\n39. Ces questions posées à la Chambre visent l’interprétation des dispositions de la Convention et soulèvent des points de droit international général. La Chambre rappelle que la Cour internationale de Justice (ci-après dénommée « la CIJ ») a souligné que des « questions . . . libellées en termes juridiques et soul[evant] des problèmes de droit international . . . sont, par leur nature même, susceptibles de recevoir une réponse fondée en droit » (C.I.J., Conformité au droit international de la déclaration unilatérale d’indépendance relative au Kosovo, Avis consultatif du 22 juillet 2010, paragraphe 25; Sahara occidental, Avis consultatif du 16 octobre 1975, C.I.J. Recueil 1975, p.12, au paragraphe 15).\n\n40. Au vu de ce qui précède, la Chambre conclut que les questions posées par le Conseil revêtent un caractère juridique.\n\n41. S’agissant de la troisième condition, l’article 191 de la Convention requiert également qu’un avis consultatif porte sur des questions juridiques « qui se posent dans le cadre [de] l’activité » de l’Assemblée ou du Conseil. En l’espèce, il appartient à la Chambre de déterminer si les questions juridiques dont elle est saisie relèvent des activités du Conseil. Il est donc utile d’examiner les dispositions de la Convention et de l’Accord de 1994 qui définissent la compétence du Conseil.\n\n42. Les pouvoirs et fonctions du Conseil sont énoncés dans la partie XI, section 4, de la Convention, et notamment à l’article 162, lu conjointement avec l’Accord de 1994. Le paragraphe 1 et le paragraphe 2, lettre a), de l’article 162 de la Convention, sont libellés comme suit :\n\n1. Le Conseil est l’organe exécutif de l’Autorité. Il a le pouvoir d’arrêter, en conformité avec la Convention et avec la politique générale définie par l’Assemblée, les politiques spécifiques à suivre par l’Autorité sur toute question ou tout sujet relevant de sa compétence.\n\n2. En outre, le Conseil : a) surveille et coordonne l’application de la présente partie pour toutes les questions et tous les sujets relevant de la compétence de l’Autorité et appelle l’attention de l’Assemblée sur les cas d’inobservation.\n\n43. La section 3, paragraphe 11, lettre a), lue conjointement avec la section 1, paragraphes 6 à 11, de l’Accord de 1994, confie au Conseil, la fonction d’approuver les plans de travail conformément à l’article 6 de l’annexe III à la Convention. En outre, l’article 162, paragraphe 2, lettre l), de la Convention, confère au Conseil le pouvoir d’« exerce[r] un contrôle sur les activités menées dans la Zone, conformément à l’article 153, paragraphe 4, et aux règles, règlements et procédures de l’Autorité ».\n\n44. Au vu de ces dispositions, la Chambre conclut que les questions juridiques dont elle est saisie relèvent des activités du Conseil du fait qu’elles se rapportent aux pouvoirs et aux fonctions du Conseil, y compris à son pouvoir d’approuver les plans de travail.\n\n45. Pour les raisons qui précèdent, la Chambre conclut qu’elle a compétence pour connaître de la demande d’avis consultatif soumise par le Conseil. VI. Recevabilité 46. La Chambre examinera à présent les questions de recevabilité.\n\n47. Certains des participants à la procédure ont attiré l’attention sur le libellé de l’article 191 de la Convention qui stipule que la Chambre « donne » des avis consultatifs et l’ont comparé à l’article 65, paragraphe 1, du Statut de la C.I.J., qui énonce que la Cour « peut donner un avis consultatif ». Au regard de cette différence, ils ont fait valoir que, contrairement au pouvoir discrétionnaire de la CIJ, la Chambre, dès lors qu’elle a établi sa compétence, n’a aucun pouvoir discrétionnaire pour refuser de donner un avis consultatif.\n\n48. Tout en prenant note de la différence entre le libellé de l’article 191 de la Convention et de l’article 65 du Statut de la C.I.J., la Chambre ne considère pas nécessaire, en l’espèce, de se prononcer sur les conséquences d’une telle différence en matière de recevabilité.\n\n49. La Chambre estime qu’il est opportun de rendre l’avis consultatif demandé par le Conseil et elle agira en conséquence. VII. Droit applicable et règles procédurales 50. La Chambre va à présent se consacrer à définir le droit applicable.\n\n51. L’article 293, paragraphe 1, de la Convention et l’article 38 du Statut du Tribunal (ci-après dénommé « le Statut »), définissent le droit applicable par la Chambre.\n\n52. L’article 293, paragraphe 1, de la Convention, est ainsi libellé : Une cour ou un tribunal ayant compétence en vertu de la présente section [section II de la partie XV de la Convention] applique les dispositions de la Convention et les autres règles du droit international qui ne sont pas incompatibles avec celle-ci.\n\n53. L’article 38 du Statut se lit comme suit : Outre l’article 293, la Chambre applique : a) les règles, règlements et procédures de l’Autorité adoptés conformément à la Convention; et b) les clauses de tout contrat relatif à des activités menées dans la Zone à propos de toutes questions se rapportant à ce contrat.\n\n54. Il convient de noter que les dispositions de l’Accord de 1994 et de la partie XI, doivent, conformément à l’article 2, paragraphe 1, dudit Accord, « être interprétées et appliquées ensemble comme un seul et même instrument. En cas d’incompatibilité entre l’Accord et la partie XI, les dispositions du présent Accord l’emportent ».\n\n55. Les règles de procédure applicables à la procédure consultative devant la Chambre sont énoncées à l’article 40, paragraphe 2, du Statut et à la section H (« Procédure consultative ») du Règlement, en particulier à l’article 130, paragraphe 1, du Règlement.\n\n56. L’article 40, paragraphe 2, du Statut, se lit comme suit : Dans l’exercice de ses attributions consultatives, la Chambre s’inspire des dispositions de la présente annexe relatives à la procédure suivie devant le Tribunal, dans la mesure où elle les reconnaît applicables. L’article 130, paragraphe 1, du Règlement, est libellé comme suit : Dans l’exercice de ses attributions consultatives, la Chambre pour le règlement des différends relatifs aux fonds marins applique les dispositions de la présente section et s’inspire, dans la mesure où elle les reconnaît applicables, des dispositions du Statut et du présent Règlement qui s’appliquent en matière contentieuse. VIII. Interprétation Approche générale 57. Parmi les règles de droit international que la Chambre est tenue d’appliquer, les règles en matière d’interprétation des traités revêtent une importance particulière. Celles-ci sont énoncées à la Section 3 de la Partie III intitulée « Interprétation des Traités » comprenant les articles 31 à 33 de la Convention de Vienne sur le droit des traités de 1969 (ci-après dénommée « la Convention de Vienne »). Ces règles doivent être considérées comme reflétant le droit international coutumier. Bien que le Tribunal n’ait jamais exprimé cette opinion explicitement, il l’a faite implicitement sienne en empruntant la terminologie et la méthodologie des articles de la Convention de Vienne relatifs à l’interprétation (voir l’arrêt concernant l’Affaire du « Volga » (TIDM Recueil 2002, p. 10, au paragraphe 77). La CIJ, ainsi que d’autres cours et tribunaux internationaux, ont énoncé cette position à plusieurs reprises (voir par exemple : Différend territorial (Jamahiriya arabe libyenne c. Tchad), arrêt, C.I.J. Recueil 1994, p. 6, paragraphe 41; Plates-formes pétrolières (République islamique d’Iran c. Etats-Unis d’Amérique); exception préliminaire, arrêt, C.I.J. Recueil 1996, p. 803, au paragraphe 23; Avena et autres ressortissants mexicains (Mexique c. Etats-Unis d’Amérique), arrêt, C.I.J. Recueil 2004, p. 12, au paragraphe 83; Usines de pâte à papier sur le fleuve Uruguay (Argentine c. Uruguay), arrêt, C.I.J. du 20 avril 2010, paragraphes 64 et 65; Délimitation de la frontière maritime entre la Guinée et la Guinée-Bissau, sentence arbitrale du 14 février 1985, Nations Unies, Recueil des sentences arbitrales, vol. XIX, pp. 149 à 196, 25 ILM (1986), p. 252, au paragraphe 41; Etats-Unis – Normes concernant l’essence, nouvelle et ancienne formules – Rapport de l’Organe d’appel (WT/DS2/AB/R), adopté par l’Organe de règlement des différends de l’Organisation mondiale du commerce le 20 mai 1996, DSR 1996 : I, p. 3, aux pp. 16 et 17).\n\n58. Au vu de ce qui précède, les règles d’interprétation de la Convention de Vienne s’appliquent à l’interprétation des dispositions de la Convention et de l’Accord de 1994.\n\n59. La Chambre est également tenue d’interpréter des instruments qui ne sont pas des traités et, en particulier, les règlements adoptés par l’Autorité, à savoir, le Règlement relatif à la prospection et l’exploration des nodules polymétalliques dans la Zone de 2000 (ci-après dénommé « le Règlement relatif aux nodules ») et le Règlement relatif à la prospection et l’exploration des sulfures polymétalliques dans la Zone de 2010 (ci-après dénommé « le Règlement relatif aux sulfures »).\n\n60. Le fait que ces instruments sont des textes à caractère obligatoire, négociés par des Etats et adoptés suivant une procédure similaire à celle utilisée dans les conférences multilatérales, permet à la Chambre de considérer que les règles d’interprétation de la Convention de Vienne peuvent, par analogie, fournir certaines indications quant à leur interprétation. Dans l’affaire dont la Chambre est saisie, cette analogie est accentuée en raison du rapport étroit qui existe entre ces textes et la Convention. La CIJ semble avoir adopté une approche similaire lorsqu’elle déclare, dans son avis consultatif sur la Conformité au droit international de la déclaration unilatérale d’indépendance relative au Kosovo que les règles relatives à l’interprétation des traités consacrées par la Convention de Vienne « peuvent fournir certaines indications » quant à l’interprétation des résolutions du Conseil de sécurité de l’Organisation des Nations Unies (C.I.J., 22 juillet 2010, paragraphe 94). Instruments internationaux multilingues 61. Lorsqu’il s’agit d’interpréter les dispositions de la Convention, il convient de garder à l’esprit que la Convention est un traité multilingue : les textes anglais, arabe, chinois, espagnol, français et russe font également foi (article 320 de la Convention). De plus, il convient de noter que ces six langues sont également les langues officielles du Conseil et que les règlements de l’Autorité ainsi que les décisions du Conseil relatives aux questions soumises à la Chambre ont été adoptées dans ces six langues, la version anglaise étant la version originale.\n\n62. La disposition pertinente qu’il importe d’examiner dans le contexte actuel est l’article 33, paragraphe 4, de la Convention de Vienne. Selon cette disposition, lorsque, conformément au traité, aucun texte déterminé ne l’emporte et lorsque « la comparaison des textes authentiques fait apparaître une différence de sens que l’application des articles 31 et 32 ne permet pas d’éliminer, on adoptera le sens qui, compte tenu de l’objet et du but du traité, concilie le mieux ces textes ».\n\n63. L’analyse des dispositions pertinentes de la Convention fait apparaître que la terminologie utilisée par les différentes versions linguistiques répond aux objectifs énoncés par le Comité de rédaction de la Troisième conférence des Nations Unies sur le droit de la mer, qui étaient d’« améliorer la concordance formelle entre les différentes langues, dans la mesure du possible, et d’assurer la concordance sur le plan juridique dans tous les cas. » (Rapport du Président du Comité de rédaction, 2 mars 1981, A/CONF.62/L.67/Rev.1, dans Troisième Conférence des Nations Unies sur le droit de la mer, Documents officiels, vol. XV, p.155, au paragraphe 8). Il existe bien certaines différences de terminologie dans un même texte ou entre différentes versions linguistiques. Toutefois, la Chambre est d’avis qu’il n’y a pas de différence de signification entre les textes authentiques des dispositions pertinentes de la Convention. Une comparaison entre les termes utilisés dans ces dispositions de la Convention est cependant utile pour préciser le sens desdites dispositions. Sens des termes essentiels 64. Le sens du terme « responsibility » utilisé dans la version anglaise de l’article 139, paragraphes 1 et 2, de la Convention, de l’article 235, paragraphe 1, de la Convention, et de l’article 4, paragraphe 4, de l’annexe III à la Convention (« States shall have the responsibility to ensure ») (« il incombe aux Etats de veiller à »), « States are responsible for the fulfilment ») (« il incombe aux Etats de veiller à l’accomplissement ») ne correspond pas au sens de l’expression identique utilisée dans l’article 304 de la Convention (« responsibility and liability for damage » « responsabilité encourue en cas de dommages ») et à l’article 22 de l’annexe III à la Convention (« responsibility or liability for any damage » « tout dommage causé par un acte illicite engage sa responsabilité »).\n\n65. Dans les articles 139 et 235, paragraphe 1, de la Convention et dans l’article 4, paragraphe 4, de l’annexe III à la Convention, le terme « responsibility » signifie « obligation ». Ceci transparaît non seulement du contexte des articles pertinents susvisés, mais aussi d’une comparaison avec les autres versions linguistiques. La version espagnole utilise l’expression « estarán obligados » et la version française l’expression plus indirecte mais tout aussi explicite « il incombe de ». De la même façon, la version arabe utilise l’expression « ‫» تكون ملزمة‬, la version chinoise le terme « 义务 » et la version russe le terme « обязательство ».\n\n66. La Chambre considère que dans les dispositions citées au paragraphe précédent, le terme « responsibility » se réfère à l’obligation primaire alors que le terme « liability » se réfère à l’obligation secondaire, à savoir aux conséquences de la violation d’une obligation primaire. Malgré leur similarité apparente avec le terme anglais « responsibility », le terme français « responsabilité » et le terme espagnol « responsabilidad » respectivement, indiquent aussi les conséquences d’un manquement à l’obligation primaire. Il en va de même avec le terme arabe « ‫» مسؤولية‬, le terme chinois « 责任 » et le terme russe « ответственность ». Le fait que les articles sur la responsabilité de l’Etat pour faits internationalement illicites (ci-après dénommés « les Articles de la C.D.I. sur la responsabilité de l’Etat »), adoptés en 2001 par la Commission du droit international, aient donné au terme de « responsibility » un sens correspondant à celui de « responsabilité », « responsabilidad », « ‫» مسؤولية‬, « 责任 » et « ответственность » pourrait créer une certaine confusion, qui peut être évitée si l’on compare le texte anglais de l’article 139, de l’article 235 et de l’article 4, paragraphe 4, de l’annexe III à la Convention avec les autres versions linguistiques.\n\n67. Il convient également de noter que, à l’article 235, paragraphe 3, de la Convention, et à l’article 22 de l’annexe III à la Convention, où la version anglaise utilise conjointement les termes « responsibility and liability », le terme « responsibility » a le même sens que dans les Articles de la C.D.I. sur la responsabilité de l’Etat. Ceci devient évident si l’on compare la version anglaise avec les versions française et espagnole qui utilisent uniquement le terme « responsabilité » et « responsabilidad ». De même, les versions arabe, chinoise et russe utilisent le terme « ‫» تكون ملزمة‬, « 责任 » et « ответственность » respectivement.\n\n68. L’analyse des termes utilisés dans les dispositions susmentionnées de la Convention constitue la base permettant de déterminer leur sens, lorsqu’ils sont employés dans les trois Questions.\n\n69. En conséquence, dans la Question 1, l’expression anglaise « legal responsibilities and obligations » se réfère aux obligations primaires, c’est-àdire aux obligations qui, en vertu de la Convention, incombent aux Etats qui patronnent.\n\n70. Dans la Question 2, le terme anglais « liability » fait référence aux conséquences d’un manquement de l’Etat qui patronne à ses obligations.\n\n71. Dans la Question 3, comme dans la Question 1, le terme anglais « responsibility » est utilisé dans le sens de « obligation ». Les termes « responsabilité » et « responsabilidad », utilisés respectivement dans les versions française et espagnole de la Question 3, sont des traductions du terme « responsibility » et ont, semble-t-il, été introduits aux fins d’uniformité. Toutefois, au vu de la version anglaise et de la terminologie utilisée dans les versions française et espagnole de l’article 139 de la Convention, le sens recherché est bien celui d’« obligation ». De même, les versions arabe, chinoise et russe de la Question 3 emploient le terme « ‫» مسؤولية‬, « 义务 » et « обязательство » respectivement. Question 1 72. La première question soumise à la Chambre est la suivante : Quelles sont les responsabilités et obligations juridiques des Etats Parties à la Convention qui patronnent des activités menées dans la Zone en application de la Convention, en particulier de la partie XI et de l’Accord de 1994 relatif à l’application de la partie XI de la Convention des Nations Unies sur le droit de la mer du 10 décembre 1982 ? 73. Cette question concerne les obligations des Etats qui patronnent. Avant d’examiner les dispositions de la Convention, de l’Accord de 1994, ainsi que du Règlement relatif aux nodules et du Règlement relatif aux sulfures (ci-après dénommés « la Convention et les instruments qui s’y rapportent »). La Chambre doit déterminer le sens de deux des termes employés dans la Question, à savoir « qui patronnent » et « activités menées dans la Zone ». I. Patronage 74. La notion de « patronage » est un élément essentiel du système d’exploration et d’exploitation des ressources de la Zone établi dans la Convention. L’article 153, paragraphe 2, de la Convention, décrit un système parallèle d’activités d’exploration et d’exploitation, qui indique que ces activités sont menées par l’Entreprise et, en association avec l’Autorité, par des Etats Parties ou des entreprises d’Etat ou par des personnes physiques ou morales. Il mentionne, par ailleurs, que pour être autorisées à mener de telles activités, les personnes physiques ou morales doivent remplir deux conditions. En premier lieu, elles doivent posséder la nationalité d’un Etat Partie ou être effectivement contrôlées par un Etat Partie ou par ses ressortissants. En deuxième lieu, elles doivent être « patronnées par ces Etats ». L’article 153, paragraphe 2, lettre b), de la Convention, dispose en outre que ce dernier critère s’applique également aux entreprises d’Etat.\n\n75. La disposition imposant aux demandeurs de contrats d’exploration et d’exploitation des ressources de la Zone d’être patronnés par des Etats Parties a pour objet de garantir que les obligations énoncées dans la Convention, traité de droit international qui lie uniquement les Etats qui y sont Parties, seront respectées par des contractants sujets de droit interne. Ce résultat est obtenu par les dispositions contenues dans les règlements de l’Autorité qui s’appliquent aux contractants, et par la mise en œuvre, par les Etats qui patronnent, des obligations qui leur incombent aux termes de la Convention et des instruments qui s’y rapportent.\n\n76. Le rôle de l’Etat qui patronne, tel qu’énoncé dans la Convention, est de contribuer à la réalisation de l’intérêt commun de tous les Etats par l’application correcte du principe du patrimoine commun de l’humanité, ce qui nécessite d’honorer fidèlement les obligations énoncées dans la partie XI. De plus, le rôle de l’Etat qui patronne consistant à défendre l’intérêt commun est confirmé par l’obligation qui lui est faite à l’article 153, paragraphe 4, de la Convention, d’aider l’Autorité qui, ainsi que le précise l’article 137, paragraphe 2, de la Convention, agit pour le compte de l’humanité tout entière.\n\n77. Le lien que la Convention requiert entre les Etats Parties et les contractants relevant du droit interne est double, à savoir celui de la nationalité et celui du contrôle effectif. Tous les contractants et demandeurs de contrats doivent obtenir et conserver le patronage de l’Etat ou des Etats dont ils sont ressortissants. Si un autre Etat ou ses ressortissants exerce un contrôle effectif, alors le patronage de cet Etat est également nécessaire. Ceci est stipulé à l’article 4, paragraphe 3, de l’annexe III à la Convention, et confirmé à l’article 11, paragraphe 2, des Règlements relatifs aux nodules et aux sulfures.\n\n78. Aucune disposition de la Convention n’impose à un Etat Partie de patronner une entité qui possède sa nationalité ou est contrôlée par celui-ci ou ses ressortissants. Comme la Convention ne considère pas que les seuls liens de nationalité et de contrôle effectif suffisent à garantir que le contractant se conforme aux dispositions de la Convention et des instruments qui s’y rapportent, elle prévoit qu’un acte spécifique émanant de la volonté de l’Etat ou des Etats de nationalité et de contrôle effectif est nécessaire. Cet acte est la décision de patronner un contractant.\n\n79. En tant que sujets de droit international, les Etats Parties, lorsqu’ils mènent des activités d’extraction minière dans les grands fonds marins au titre de la Convention sont directement liés par les obligations qui y sont énoncées. En conséquence, il n’existe pas de raison de leur appliquer l’obligation de patronage. L’article 153, paragraphe 2, lettre b), de la Convention, ainsi que l’article 11, paragraphe 1, du Règlement relatif aux nodules et du Règlement relatif aux sulfures, confirment que l’obligation de patronage ne s’applique pas aux Etats. L’article 4, paragraphe 5, de l’annexe III à la Convention peut également être invoqué, qui précise que « les procédures pour apprécier les demandes présentées par des Etats Parties doivent tenir compte de leur qualité d’Etats ».\n\n80. La pratique de l’Autorité indique cependant que, lorsqu’ils ont introduit une demande de contrat, au moins deux Etats ont considéré nécessaire de déposer auprès de cette dernière les documents de patronage.\n\n81. On peut aussi observer que tous les contractants existants, sauf un, ont été enregistrés en tant qu’« investisseurs pionniers » dans le cadre du régime provisoire énoncé dans la résolution II de la Troisième Conférence des Nations Unies sur le droit de la mer et ont obtenu leur contrat d’exploration en vertu de la procédure simplifiée énoncée au paragraphe 6, lettre a), alinéa ii), de la section 1, de l’annexe à l’Accord de 1994. En tant qu’« Etat ou Etats certificateurs », au sens du paragraphe 1, lettre c), de la résolution II de la Troisième Conférence des Nations Unies sur le droit de la mer, ils entretiennent la même relation avec un investisseur pionnier qu’un Etat qui patronne entretient avec un contractant aux termes de l’article 4 de l’annexe III à la Convention. II. « Activités menées dans la Zone »\n\n82. La Question 1 porte sur les responsabilités et obligations des Etats qui patronnent dans le cadre des « activités menées dans la Zone ». Cette expression est définie à l’article premier, paragraphe 1, alinéa 3, de la Convention comme visant « toutes les activités d’exploration et d’exploitation des ressources de la Zone ». Selon l’article 133, lettre a), de la Convention, aux fins de la partie XI, on entend par « ressources » « toutes les ressources minérales solides, liquides ou gazeuses in situ qui, dans la Zone, se trouvent sur les fonds marins ou dans leur sous-sol, y compris les nodules polymétalliques ». Toutefois, ces deux définitions ne précisent pas ce que l’on entend par « exploration » et « exploitation ». Il importe de noter que, conformément à l’article 133, lettre b), de la Convention, « les ressources, une fois extraites de la Zone, sont dénommées minéraux ».\n\n83. Certaines indications concernant le sens des termes « activités menées dans la Zone » peuvent être trouvées à l’article premier, paragraphe 1, de l’annexe IV à la Convention, qui se lit comme suit : L’Entreprise est l’organe de l’Autorité qui mène des activités dans la Zone directement en application de l’article 153, paragraphe 2, lettre a), ainsi que des activités de transport, de traitement et de commercialisation des minéraux tirés de la Zone.\n\n84. Cette expression établit une distinction entre les « activités . . . dans la Zone » menée par l’Entreprise conformément à l’article 153, paragraphe 2, lettre a), de la Convention, et les autres activités confiées à l’Entreprise, à savoir le transport, le traitement et la commercialisation des minéraux tirés de la Zone. Par conséquent, ces dernières activités ne sont pas incluses dans la notion d’« activités [menées] dans la Zone » visée à l’article premier, paragraphe 1, de l’annexe IV à la Convention.\n\n85. L’article 145 de la Convention, qui prescrit de prendre, « [e]n ce qui concerne les activités menées dans la Zone, les mesures nécessaires . . . pour protéger efficacement le milieu marin des effets nocifs que pourraient avoir ces activités », indique les activités au sujet desquelles l’Autorité devrait adopter des règles, règlements et procédures. Ces activités comprennent les « forages, dragages, excavations, éliminations de déchets, construction et exploitation ou entretien d’installations, de pipelines et d’autres engins utilisés pour ces activités ». De l’avis de la Chambre, ces activités sont incluses dans l’expression « activités menées dans la Zone ».\n\n86. L’article 17, paragraphe 2, lettre f ), de l’annexe III à la Convention, qui énonce les critères relatifs aux règles, règlements et procédures concernant la protection du milieu marin que l’Autorité devra établir, donne en outre d’autres indications utiles sur ce qu’inclut la notion d’« activités menées dans la Zone ». Cette disposition est libellée comme suit : Il est établi des règles, règlements et procédures afin de protéger efficacement le milieu marin des effets nocifs résultant directement d’activités menées dans la Zone ou du traitement de minéraux extraits d’un site minier à bord d’un navire se trouvant juste au-dessus de celui-ci, en tenant compte de la mesure dans laquelle de tels effets nocifs peuvent résulter directement d’activités de forage, de dragage, de carottage et d’excavation ainsi que du déversement, de l’immersion et du rejet dans le milieu marin de sédiments, de déchets ou d’autres effluents.\n\n87. Les dispositions mentionnées dans les précédents paragraphes confirment que les activités de traitement et de transport mentionnées à l’article premier, paragraphe 1, de l’annexe IV à la Convention sont exclues de la notion « d’activités menées dans la Zone ». Elles énumèrent des activités dont les effets nocifs sont présentés comme résultant directement des activités menées dans la Zone. Ces énumérations peuvent être considérées comme une indication de ce que la Convention considère comme faisant partie de la notion d’« activités menées dans la Zone ». Ces activités comprennent le forage, le dragage, le carottage et l’excavation; le déversement, l’immersion et le rejet dans le milieu marin de sédiments, de déchets ou d’autres effluents et la construction et exploitation ou entretien d’installations, de pipelines et d’autres engins utilisés pour ces activités.\n\n88. Aux termes de l’article 17, paragraphe 2, lettre f ), de l’annexe III à la Convention, « le traitement de minéraux extraits d’un site minier à bord d’un navire se trouvant juste au dessus de celui-ci » constitue des « activités menées dans la Zone ». Etant donné que la liste précitée d’activités se réfère sans distinction aux effets nocifs résultant directement d’« activités menées dans la Zone » et du « traitement de minéraux extraits d’un site minier à bord d’un navire », ces deux activités doivent être interprétées comme relevant de la même sorte d’activités.\n\n89. Le Règlement relatif aux nodules et le Règlement relatif aux sulfures définissent l’« exploration » et l’« exploitation » dans le contexte respectif des nodules polymétalliques et des sulfures polymétalliques. Conformément à l’article premier, paragraphe 3, lettres b) et a), du Règlement relatif aux nodules, on entend par : « Exploration » la recherche, faisant l’objet de droits exclusifs de gisements de nodules polymétalliques dans la Zone, l’analyse de ces gisements, la conception, la fabrication et l’essai des procédés et du matériel de collecte, des installations de traitement et des systèmes de transport, et l’établissement d’études des facteurs environnementaux, techniques, économiques, commerciaux et autres à prendre en considération dans l’exploitation. « Exploitation » la collecte à des fins commerciales de nodules polymétalliques dans la Zone et l’extraction des minéraux qu’ils contiennent, notamment la construction et l’exploitation de systèmes d’extraction minière, de traitement et de transport pour la production et la vente de minéraux.\n\n90. Les mêmes définitions sont retenues pour les sulfures polymétalliques à l’article 1, paragraphe 3, lettres b) et a), du Règlement relatif aux sulfures.\n\n91. Ces dispositions du Règlement relatif aux nodules et du Règlement relatif aux sulfures incluent, dans la notion d’exploration, l’essai des installations de traitement et de systèmes de transport et, dans celle d’exploitation, la construction et l’exploitation de systèmes de traitement et de transport.\n\n92. Les termes « exploration » et « exploitation » définis dans les deux Règlements semblent avoir une portée plus large que les « activités [menées] dans la Zone » envisagées à l’article premier, paragraphe 1, de l’annexe IV à la Convention, à l’article 145 et à l’article 17, paragraphe 2, lettre f ), de l’annexe III à la Convention. Le traitement et le transport sont inclus dans la notion d’exploration et d’exploitation aux termes des Règlements, mais pas dans celle d’« activités [menées] dans la Zone » qui figure dans la disposition de l’annexe IV à la Convention que l’on vient de citer.\n\n93. La portée différente des« activités menées dans la Zone » dans les dispositions de la Convention et du Règlement relatif aux nodules et du Règlement relatif aux sulfures rend nécessaire un examen des dispositions pertinentes dans le cadre plus général de la Convention. Aussi semblerait-il préférable de considérer que le sens de l’expression « activités menées dans la Zone » mentionnée à l’article 139 de la Convention et à l’article 4, paragraphe 4, de l’annexe III à la Convention, est compatible avec celui de l’article 145, de l’article 17, paragraphe 2, lettre f), de l’annexe III à la Convention, et de l’article premier, paragraphe 1, de l’annexe IV à la Convention, plutôt qu’avec le sens des termes « exploration » et « exploitation » qui figurent dans les deux Règlements. Les articles susvisés de la Convention et des annexes III et IV appartiennent tous au même instrument juridique. Ils ont été négociés par les mêmes parties et adoptés simultanément. Il semble donc raisonnable de présumer que le sens donné à une expression (ou l’exclusion de certaines activités du champ d’application de cette expression) dans une disposition s’applique également aux autres dispositions. Les Règlements sont des instruments qui dérivent de la Convention et qui, s’ils ne sont pas conformes à celle-ci, doivent être interprétés de manière à assurer leur cohérence avec ses dispositions. Ils peuvent toutefois être utilisés pour clarifier et compléter certains aspects des dispositions pertinentes de la Convention.\n\n94. Au vu de ce qui précède, l’expression « activités menées dans la Zone », dans le cadre de l’exploration et de l’exploitation, comprend en premier lieu la collecte des minéraux sur le fond des océans et leur remontée en surface.\n\n95. Les activités directement liées à celles mentionnées au paragraphe précédent, telles que l’évacuation de l’eau contenue dans les minéraux et la séparation préliminaire des matériaux sans intérêt commercial, y compris leur rejet en mer, sont réputées couvertes par l’expression « activités menées dans la Zone ». Le « traitement », à savoir la procédure d’extraction des métaux à partir des minéraux, normalement pratiquée dans une usine située à terre, est exclu de l’expression « activités menées dans la Zone ». Ceci est confirmé par le libellé de l’article premier, de l’annexe IV à la Convention et par les renseignements fournis par l’Autorité à la demande de la Chambre.\n\n96. Les activités de transport vers des destinations terrestres effectuées depuis une partie de haute mer située au dessus de la partie de la Zone dans laquelle opère le contractant ne peuvent pas être incluses dans la notion d’« activités menées dans la Zone », car cela serait incompatible avec l’exclusion des activités de transport des « activités menées dans la Zone » à l’article premier de l’annexe IV à la Convention. Toutefois, les transports effectués dans cette partie de haute mer et qui sont directement liés à l’extraction et à la remontée devraient être inclus dans « les activités menées dans la Zone ». S’agissant des nodules polymétalliques, ceci s’applique, par exemple, aux activités de transport entre le navire ou l’installation où le processus de remontée se termine et un autre navire ou installation où se déroulent l’évacuation de l’eau et la séparation préliminaire et l’évacuation des matériaux à rejeter. Inclure les activités de transport vers des destinations terrestres pourrait créer des conflits inutiles avec les dispositions de la Convention, telles celles qui concernent la navigation en haute mer.\n\n97. Une conséquence de l’exclusion de l’évacuation de l’eau et du rejet de matériaux des « activités menées dans la Zone » serait que les activités menées par le contractant, qui sont au nombre des plus dangereuses pour l’environnement, seraient exclues de celles auxquelles s’appliquent les obligations de l’Etat qui patronne. Ceci serait contraire à l’obligation générale qui incombe aux Etats Parties, au titre de l’article 192 de la Convention, « de protéger et de préserver le milieu marin ». III. Prospection 98. Bien que mentionnée à l’article 2 de l’annexe III à la Convention et dans le Règlement relatif aux nodules et le Règlement relatif aux sulfures, la prospection n’est pas incluse dans les « activités menées dans la Zone », telles que définies par la Convention, parce que celle-ci et les deux Règlements établissent une distinction entre la prospection, d’une part, et « l’exploration » et « l’exploitation », de l’autre. De plus, conformément à la Convention et aux instruments qui s’y rapportent, la prospection ne nécessite pas de patronage. Puisque les questions qui lui ont été posées visent les activités menées dans la Zone et le patronage des Etats, la Chambre ne traitera pas de la prospection. Cependant, étant donné que, dans la pratique minière et dans la législation, la prospection est souvent traitée comme la phase préliminaire de l’exploration, la Chambre considère approprié d’observer que certains aspects du présent avis consultatif pourraient aussi s’appliquer à la prospection. IV. Responsabilités et obligations Dispositions essentielles 99. Les dispositions essentielles relatives aux obligations des Etats qui patronnent sont : l’article 139, paragraphe 1; l’article 153, paragraphe 4, (notamment la dernière phrase); et l’article 4, paragraphe 4, de l’annexe III à la Convention, (notamment la première phrase).\n\n100. Le texte de ces dispositions est le suivant : Article 139, paragraphe 1 Il incombe aux Etats Parties de veiller à ce que les activités menées dans la Zone, que ce soit par eux-mêmes, par leurs entreprises d’Etat ou par des personnes physiques ou morales possédant leur nationalité ou effectivement contrôlées par eux ou leurs ressortissants, le soient conformément à la présente partie. La même obligation incombe aux organisations internationales pour les activités menées dans la Zone par elles. Article 153, paragraphe 4 L’Autorité exerce sur les activités menées dans la Zone le contrôle nécessaire pour assurer le respect des dispositions pertinentes de la présente partie et des annexes qui s’y rapportent, des règles, règlements et procédures de l’Autorité ainsi que des plans de travail approuvés conformément au paragraphe 3. Les Etats Parties aident l’Autorité en prenant toutes les mesures nécessaires pour assurer le respect de ces textes conformément à l’article 139. Article 4, paragraphe 4, de l’annexe III Il incombe à l’Etat Partie ou aux Etats Parties qui patronnent de veiller, en application de l’article 139 et au regard de leurs systèmes juridiques, à ce que les activités menées dans la Zone par un contractant que cet Etat ou ces Etats patronnent le soient conformément aux obligations qui lui incombent en vertu du contrat et à la Convention. Toutefois, un Etat Partie n’est pas responsable des dommages résultant du manquement de la part d’un contractant patronné par lui à ses obligations s’il a adopté les lois et règlements et pris les mesures administratives qui, au regard de son système juridique, sont raisonnablement appropriées pour assurer le respect effectif de ces obligations par les personnes relevant de sa juridiction.\n\n101. L’examen de ces trois dispositions révèle que l’article 139 joue un rôle central, car aussi bien l’article 153, paragraphe 4, que l’article 4, paragraphe 4, de l’annexe III à la Convention font référence à cet article. Bien que l’article 4, paragraphe 4, de l’annexe III à la Convention se réfère aux Etats qui patronnent, l’article 139, paragraphe 1, et l’article 153, paragraphe 4, de la Convention, ne le font pas explicitement. Toutefois, puisque les entités qui mènent des activités dans la Zone, mentionnées à l’article 139, paragraphe 1, de la Convention, peuvent le faire uniquement lorsqu’elles sont patronnées par un Etat Partie, ces trois dispositions doivent s’entendre comme faisant référence aux Etats qui patronnent.\n\n102. Il importe de noter que la dernière phrase de l’article 153, paragraphe 4, de la Convention, définit l’obligation de l’Etat qui patronne en relation avec les obligations de l’Autorité, en stipulant que celui-ci a l’obligation d’« aider » cette dernière. Comme on le verra dans la réponse à la Question 2, le rôle subordonné de l’Etat qui patronne est reflété à l’article 22 de l’annexe III à la Convention, qui fait état de la responsabilité du contractant et de l’Autorité, sans mentionner celle de l’Etat qui patronne (voir paragraphe 199). Obligations du contractant dont l’Etat qui patronne doit assurer le respect 103. Les trois dispositions mentionnées au paragraphe 99 précisent que l’obligation (« responsibility ») de l’Etat qui patronne est de « veiller » à ce que les « activités menées dans la Zone » par le contractant patronné soient « conformes » ou « respectent » les règles auxquelles elles se réfèrent.\n\n104. Il est fait référence à ces règles dans l’expression « la présente Partie » (la partie XI) à l’article 139 de la Convention, dans le membre de phrase « des dispositions pertinentes de la présente partie et des annexes qui s’y rapportent, des règles, règlements et procédures de l’Autorité ainsi que des plans de travail approuvés conformément au paragraphe 3 », à l’article 153, paragraphe 4, de la Convention, et dans le membre de phrase « aux obligations qui lui incombent en vertu du contrat et à la Convention » à l’article 4, paragraphe 4, de l’annexe III à la Convention.\n\n105. La différence entre les références contenues dans les articles 139 et 153 de la Convention, citée dans les paragraphes ci-dessus, est de pure forme. La référence à la partie XI dans l’article 139 de la Convention inclut les annexes III et IV. De l’avis de la Chambre, cette référence inclut également les règles, règlements et procédures de l’Autorité et les contrats (ou plans de travail) pour l’exploration et l’exploitation, qui sont fondés sur la partie XI et les annexes pertinentes qui s’y rapportent.\n\n106. La référence aux obligations du contractant « conformément . . . à la Convention » qui figure à l’article 4, paragraphe 4, de l’annexe III à la Convention, semble plus générale que les références faites aux articles 139 et 153 de la Convention. Cette différence serait pertinente si des obligations incombant aux contractants patronnés, autres que celles énoncées dans la partie XI et dans les annexes qui s’y rapportent, dans les règles, règlements et procédures de l’Autorité ou dans les contrats pertinents, étaient énoncées dans la Convention. Comme tel n’est pas le cas, il semblerait par conséquent que la portée des obligations des contractants patronnés soit, de fait, analogue pour l’essentiel, bien que décrite différemment dans les trois dispositions essentielles de la Convention mentionnées au paragraphe 100. « Obligation de veiller à »\n\n107. L’interrogation essentielle que suscite la Question 1 concerne le sens de l’expression « obligation de veiller à », qui figure à l’article 139, paragraphe 1, de la Convention et à l’article 4, paragraphe 4, de l’annexe III à la Convention.\n\n108. L’expression « il incombe aux Etats Parties de veiller à » se réfère à une obligation qui incombe à l’Etat qui patronne en vertu du droit international. Elle établit un mécanisme par lequel les règles de la Convention relatives aux activités menées dans la Zone, bien que faisant partie du droit conventionnel et, en tant que telles, étant contraignantes uniquement pour les sujets de droit international qui les ont acceptées, produisent leur effet à l’égard des contractants patronnés dont le statut juridique relève du droit interne. Ce mécanisme consiste à imposer aux Etats Parties des obligations que ceux-ci doivent remplir en exerçant les pouvoirs dont ils disposent sur les entités qui ont leur nationalité ou qui sont soumises à leur contrôle.\n\n109. Comme on le verra plus en détail dans la réponse à la Question 2, la violation de cette obligation entraîne une « responsabilité ». Toutefois, toute violation d’une obligation par un contractant patronné ne met pas automatiquement en jeu la responsabilité de l’Etat qui patronne. Cette responsabilité est limitée au manquement de l’Etat à son obligation d’assurer le respect effectif des obligations qui incombent au contractant patronné.\n\n110. L’obligation de l’Etat qui patronne « de veiller à » n’est pas une obligation d’obtenir dans chaque cas le résultat que le contractant patronné respecte les obligations précitées. Il s’agit plutôt d’une obligation de mettre en place les moyens appropriés, de s’efforcer dans la mesure du possible et de faire le maximum pour obtenir ce résultat. Pour utiliser la terminologie actuelle du droit international, cette obligation peut être caractérisée comme une obligation « de comportement » et non « de résultat », et comme une obligation de « diligence requise ».\n\n111. Les notions d’obligation « de diligence requise » et d’obligation « de comportement » sont liées. Ceci ressort clairement de l’arrêt de la CIJ dans l’affaire relative à des Usines de pâte à papier sur le fleuve Uruguay : « L’obligation d’adopter des mesures réglementaires ou administratives . . . et de les mettre en œuvre constitue une obligation de comportement. Les deux Parties doivent donc, en application de l’article 36 [du Statut du fleuve Uruguay], faire preuve de la diligence requise (« due diligence ») en agissant dans le cadre de la Commission [du fleuve Uruguay] pour prendre les mesures nécessaires à la préservation de l’équilibre écologique du fleuve » (paragraphe 187 de l’arrêt).\n\n112. L’expression « veiller à » est souvent utilisée dans les instruments juridiques internationaux pour faire référence aux obligations à l’égard desquelles, s’il n’est pas considéré raisonnable de rendre un Etat responsable de toute violation commise par des personnes relevant de sa juridiction, de même, il n’est pas non plus jugé satisfaisant de s’en remettre à la simple application du principe aux termes duquel le comportement de personnes ou d’entités privées n’est pas attribuable à l’Etat en droit international (voir les articles de la C.D.I sur la responsabilité de l’Etat pour fait internationalement illicite, Commentaire sur l’article 8, paragraphe 1).\n\n113. A titre d’exemple, l’article 194, paragraphe 2, de la Convention, est libellé comme suit : « Les Etats prennent toutes les mesures nécessaires pour que les activités relevant de leur juridiction ou de leur contrôle soient menées de manière à ne pas causer de préjudice par pollution à d’autres Etats et à leur environnement . . . ».\n\n114. La nature de l’obligation de « veiller à » qui figure à l’article 139 de la Convention et dans les autres dispositions mentionnées au paragraphe 100 ci-dessus apparaît plus clairement encore que dans le texte anglais à la lumière des textes français et espagnol de l’article 139 de la Convention. Ceux-ci utilisent respectivement l’expression « il incombe aux Etats Parties de veiller à . . . » et « los Estados Partes estarán obligados a velar ». « Veiller à » et « velar » font ressortir, plus clairement encore que « ensure », l’idée d’une obligation de faire preuve de la diligence requise. Le texte arabe utilise l’expression « ‫» تكون الدول األطراف ملزمة بضمان‬, le texte chinois l’expression « 缔约国应有责任确保 », le texte russe l’expression « Государстваучастники обязуются обеспечивать », qui vont dans le même sens.\n\n115. Dans l’arrêt rendu dans l’affaire relative à des Usines de pâte à papier sur le fleuve Uruguay, la CIJ explicite comme suit le sens d’une obligation conventionnelle particulière qu’elle avait définie comme une « obligation . . . [qui] impose d’exercer la diligence requise » : Cette obligation implique la nécessité non seulement d’adopter les normes et mesures appropriées, mais encore d’exercer un certain degré de vigilance dans leur mise en œuvre ainsi que dans le contrôle administratif des opérateurs publics et privés, par exemple en assurant la surveillance des activités entreprises par ces opérateurs . . . (Paragraphe 197)\n\n116. Des indications analogues sont fournies par la Commission du droit international dans son Commentaire relatif à l’article 3 de ses Articles sur la prévention des dommages transfrontaliers résultant d’activités dangereuses, adoptés en 2001. Conformément à l’article 3, l’Etat d’origine des activités risquant de causer un dommage transfrontière « prend toutes les mesures appropriées pour prévenir les dommages transfrontières significatifs ou en tout état de cause pour en réduire le risque au minimum ». Le Commentaire déclare : L’obligation faite à l’Etat d’origine de prendre des mesures pour prévenir les dommages ou pour en réduire le risque au minimum est un devoir de diligence. C’est le comportement de l’Etat d’origine qui déterminera si celui-ci s’est acquitté de l’obligation qui lui incombe en vertu des présents articles. Le devoir de diligence n’est cependant pas censé prévenir absolument tout dommage significatif si cela n’est pas possible. Dans ce cas-là, l’Etat d’origine est tenu, comme indiqué plus haut, de faire de son mieux pour réduire le risque au minimum. Dans ce sens, il ne garantit pas que des dommages ne surviendront pas. (Paragraphe 7) Contenu de l’obligation de « diligence requise » de veiller à 117. Il est difficile de décrire en des termes précis le contenu des obligations de « diligence requise ». Parmi les facteurs qui rendent une telle description ardue figure le fait que la notion de diligence requise a un caractère variable. Elle peut changer dans le temps lorsque les mesures réputées suffisamment diligentes à un moment donné peuvent ne plus l’être en fonction, par exemple, des nouvelles connaissances scientifiques ou technologiques. Cette notion peut également changer en fonction des risques encourus par l’activité. En ce qui concerne les activités menées dans la Zone, il semble raisonnable d’affirmer que la prospection est en règle générale moins risquée que les activités d’exploration qui, à leur tour, posent moins de risques que les activités d’exploitation. En outre, les activités menées dans la Zone qui visent différents types de minéraux, par exemple, les nodules polymétalliques, d’une part, et les sulfures polymétalliques ou les encroûtements de ferromanganèse riches en cobalt, d’autre part, peuvent exiger un niveau de diligence différente. Le niveau de diligence requise doit être plus rigoureux pour les activités les plus risquées.\n\n118. La dernière phrase de l’article 153, paragraphe 4, de la Convention, précise que l’obligation de l’Etat qui patronne entraîne, conformément à l’article 139 de la Convention, l’obligation de prendre « toutes les mesures nécessaires pour assurer le respect de ces textes » par le contractant patronné. L’article 4, paragraphe 4, de l’annexe III à la Convention précise que l’obligation de « veiller à » qui incombe aux Etats Parties qui patronnent s’applique « au regard de leurs systèmes juridiques ». Avec ces indications, la Convention fournit certains éléments précis concernant la teneur de l’obligation de veiller en faisant preuve de « diligence requise ». En d’autres termes, l’adoption de mesures appropriées est requise et celles-ci doivent être prises dans le cadre du système juridique de l’Etat qui patronne.\n\n119. Des précisions supplémentaires concernant l’expression « toutes les mesures nécessaires pour assurer le respect » sont apportées par l’article 139, paragraphe 2, dernière phrase, de la Convention, et par l’article 4, paragraphe 4, dernière phrase, de l’annexe III à la Convention. L’objet principal de ces dispositions est d’exonérer les Etats qui patronnent de leur responsabilité en cas de dommages lorsqu’ils ont pris certaines mesures. La description des mesures que doivent prendre ces Etats peut être également utilisée pour préciser l’obligation de « diligence requise » qui leur incombe. Cette description figure en termes généraux à l’article 139, paragraphe 2, de la Convention, qui se réfère à « toutes les mesures nécessaires et appropriées pour assurer le respect effectif de la présente partie . . . comme le prévoient l’article 153, paragraphe 4, et l’article 4, paragraphe 4, de l’annexe III ». Cette dernière disposition est plus spécifique, dans la mesure où elle précise que l’Etat qui patronne adopte « les lois et règlements » et prend « les mesures administratives qui, au regard de son système juridique, sont raisonnablement appropriées pour assurer le respect effectif de ces obligations par les personnes relevant de sa juridiction ».\n\n120. Des indications plus précises quant au contenu de ces mesures, portant notamment sur celles destinées à assurer l’exécution des obligations, seront fournies dans la réponse à la Question 3. S’agissant de la Question 1, il a été établi que l’obligation de « veiller à » en faisant preuve de la « diligence requise » impose à l’Etat qui patronne de prendre des mesures au sein de son ordre juridique et que ces mesures doivent être « raisonnablement appropriées ». V. Obligations directes incombant aux Etats qui patronnent 121. Les obligations des Etats qui patronnent ne sont pas limitées à l’obligation « de veiller à » en faisant preuve de la « diligence requise ». Aux termes de la Convention et des instruments qui s’y rapportent, les Etats qui patronnent ont également des obligations, auxquelles ils doivent se conformer, indépendamment de leur obligation de veiller à ce que le contractant patronné observe un certain comportement. Ces obligations peuvent être définies comme « obligations directes ».\n\n122. Parmi les plus importantes de ces obligations directes qui incombent à l’Etat qui patronne figurent l’obligation d’aider l’Autorité dans l’exercice de son contrôle sur les activités menées dans la Zone, l’obligation d’adopter une approche de précaution, l’obligation d’appliquer les meilleures pratiques écologiques, l’obligation de prendre des mesures de garantie dans l’éventualité de l’adoption, par l’Autorité, d’ordres en cas d’urgence pour la protection du milieu marin, l’obligation de garantir des voies de recours aux fins de l’indemnisation des dommages causés par la pollution et l’obligation de procéder à des évaluations de l’impact sur le milieu marin. Ces obligations seront examinées dans les paragraphes 124 à 150 ci-après.\n\n123. Il convient néanmoins de mentionner dès maintenant que l’exécution de ces obligations peut également être considérée comme un facteur contribuant au respect de l’obligation de « veiller à » avec la diligence requise et que ces obligations sont, dans la plupart des cas, rédigées sous la forme d’obligation de veiller à assurer le respect d’une règle particulière. Obligation d’aider l’Autorité 124. Aux termes de la dernière phrase de l’article 153, paragraphe 4, de la Convention, les Etats qui patronnent ont l’obligation d’aider l’Autorité dans ses fonctions de contrôle des activités menées dans la Zone aux fins d’assurer l’observation des dispositions pertinentes de la partie XI de la Convention et des instruments qui s’y rapportent. Cette obligation doit être remplie « en prenant toutes les mesures nécessaires pour assurer le respect de ces textes conformément à l’article 139 ». L’obligation qui incombe aux Etats qui patronnent est une obligation directe, mais elle doit être honorée par le respect de « l’obligation de diligence requise » énoncée à l’article 139 de la Convention. Approche de précaution 125. Le Règlement relatif aux nodules et le Règlement relatif aux sulfures contiennent des dispositions établissant une obligation directe incombant aux Etats qui patronnent. Cette obligation a trait à la mise en œuvre de l’obligation de « veiller » à ce que les contractants patronnés respectent les obligations qui leur incombent en vertu de la partie XI de la Convention et des instruments qui s’y rapportent. Il s’agit de l‘article 31, paragraphe 2, du Règlement relatif aux nodules et de l’article 33, paragraphe 2, du Règlement relatif aux sulfures, qui requièrent tous les deux que l’Autorité et l’Etat qui patronne « appliquent des mesures de précaution, conformément au principe 15 de la Déclaration de Rio » en vue de « protéger efficacement le milieu marin contre les effets nocifs qui pourraient résulter des activités menées dans la Zone ».\n\n126. Le principe 15 de la Déclaration de Rio sur l’environnement et le développement (ci-après dénommée « la Déclaration de Rio »), adoptée en 1992, s’énonce comme suit : Pour protéger l’environnement, des mesures de précaution doivent être largement appliquées par les Etats selon leurs capacités. En cas de risque de dommages graves ou irréversibles, l’absence de certitude scientifique absolue ne doit pas servir de prétexte pour remettre à plus tard l’adoption de mesures effectives visant à prévenir la dégradation de l’environnement.\n\n127. Les dispositions des Règlements susvisés transforment en obligations contraignantes la formulation non contraignante de l’approche de précaution figurant dans la Déclaration de Rio. La mise en œuvre de l’approche de précaution définie dans ces Règlements fait partie intégrante des obligations incombant aux Etats qui patronnent.\n\n128. Il convient de noter que, bien que la première phrase du principe 15 semble se référer en termes généraux à l’approche de précaution, la deuxième phrase en limite la portée aux « risques de dommages graves ou irréversibles » ainsi qu’aux mesures « effectives » visant à « prévenir la dégradation de l’environnement ».\n\n129. En outre, en indiquant que les mesures de précaution doivent être appliquées par les Etats « selon leurs capacités », la première phrase du principe 15 implique des variations possibles dans l’application de l’approche de précaution au vu des capacités respectives de chaque Etat (voir les paragraphes 151 à 163).\n\n130. La référence à l’approche de précaution mentionnée dans les deux Règlements concerne plus particulièrement les activités prévues par ceux-ci, à savoir la prospection et l’exploration des nodules polymétalliques et des sulfures polymétalliques. On peut escompter que l’Autorité reprendra ou développera les dispositions relatives à cette approche dans sa règlementation des activités d’exploitation ou des activités concernant des minéraux de types différents.\n\n131. Ayant établi que l’obligation de respecter l’approche de précaution incombe à l’Etat qui patronne et à l’Autorité en vertu du Règlement relatif aux nodules et du Règlement relatif aux sulfures, il est approprié de souligner que l’approche de précaution fait aussi partie intégrante des obligations de diligence requise incombant aux Etats qui patronnent, laquelle est applicable même en dehors du champ d’application des Règlements relatifs aux nodules et sulfures. L’obligation de diligence requise exige des Etats qui patronnent de prendre toutes les mesures appropriées afin de prévenir les dommages qui pourraient résulter des activités des contractants qu’ils patronnent. Cette obligation s’applique aux situations où les preuves scientifiques quant à la portée et aux effets négatifs éventuels des activités concernées sont insuffisantes, mais où il existe des indices plausibles de risques potentiels. Un Etat qui patronne ne remplirait pas son obligation de diligence requise s’il ne tenait pas compte de ces risques. En effet, ne pas tenir compte des risques équivaudrait à ne pas respecter l’approche de précaution.\n\n132. Le rapport entre l’obligation de diligence requise et l’approche de précaution ressort implicitement de l’ordonnance du 27 août 1999 rendue par le Tribunal international du droit de la mer dans les affaires du Thon à nageoire bleue (Nouvelle Zélande c. Japon; Australie c. Japon). Ceci ressort de la déclaration du Tribunal selon laquelle « les parties devraient, dans ces conditions, agir avec prudence et précaution et veiller à ce que des mesures de conservation efficaces soient prises . . . » (TIDM Recueil 1999, p. 274, au paragraphe 77) et est confirmé par les remarques ultérieures selon lesquelles « il existe une incertitude scientifique en ce qui concerne les mesures à prendre pour la conservation du thon à nageoire bleue » (paragraphe 79) « bien qu’il ne saurait évaluer de manière concluante les éléments de preuve scientifiques qui lui ont été soumis, le Tribunal estime que des mesures conservatoires devraient être prises d’urgence » (paragraphe 80).\n\n133. Il convient de noter en outre que l’article 5, paragraphe 1, de l’annexe 4 au Règlement relatif aux sulfures, établit une « clause type » pour les contrats d’exploitation, conçue comme suit : Le Contractant prend les mesures nécessaires pour prévenir, réduire et maîtriser la pollution du milieu marin et les autres dangers découlant pour ce milieu de ses activités dans la Zone en appliquant le principe de précaution ainsi que les meilleures pratiques écologiques. Ainsi, l’approche de précaution (appelée « principe » dans le texte français de la clause contractuelle type que l’on vient de citer) constitue une des obligations contractuelles des contractants patronnés dont l’Etat qui patronne doit veiller à l’observation.\n\n134. Il n’est fait aucune référence à l’approche de précaution dans la disposition parallèle des clauses types correspondantes applicables aux contrats d’exploration dans l’article 5, paragraphe 1, de l’annexe 4 au Règlement relatif aux nodules. Toutefois, aux termes de l’obligation générale décrite au paragraphe 131, l’Etat qui patronne doit prendre des mesures dans le cadre de son propre système juridique, afin d’obliger les contractants patronnés à adopter une telle approche.\n\n135. La Chambre note que l’approche de précaution a été incorporée dans un nombre croissant de traités et autres instruments internationaux, dont beaucoup reflètent la formulation du Principe 15 de la Déclaration de Rio. De l’avis de la Chambre, ceci a créé un mouvement qui tend à incorporer cette approche dans le droit international coutumier. Cette tendance est manifestement renforcée par l’inclusion de l’approche de précaution dans les Règlements relatifs aux nodules et aux sulfures et dans la « clause type » de l’article 5, paragraphe 1, de l’annexe 4 au Règlement relatif aux sulfures. Elle l’est aussi par la déclaration ci-après énoncée au paragraphe 164 de l’arrêt de la CIJ dans l’affaire relative à des Usines de pâte à papier sur le fleuve Uruguay, où il est précisé qu’« une approche de précaution . . . peut se révéler pertinente pour interpréter et appliquer les dispositions du Statut » (c’est-à-dire le traité bilatéral relatif à la protection de l’environnement dont l’interprétation était le principal sujet de litige entre les parties). Cet énoncé peut être examiné dans le contexte de l’article 31, paragraphe 3, lettre c), de la Convention de Vienne, aux termes duquel l’interprétation d’un traité doit prendre en compte non seulement le contexte, mais aussi « toute règle pertinente de droit international applicable dans les relations entre les parties ». Meilleures pratiques écologiques 136. De plus, l’article 33, paragraphe 2, du Règlement relatif aux sulfures, complète l’obligation incombant à l’Etat qui patronne d’appliquer le principe de précaution par celle d’utiliser « les meilleures pratiques écologiques ». La même obligation figure en tant qu’obligation contractuelle dans la clause type des contrats d’exploration prévue à l’article 5, paragraphe 1, de l’annexe 4 au Règlement relatif aux sulfures. Il n’existe aucune référence aux « meilleures pratiques écologiques » dans le Règlement relatif aux nodules, dont la clause contractuelle type (article 5, paragraphe1, de l’annexe 4) se réfère uniquement à la « meilleure technologie » dont dispose le contractant. L’adoption récente de normes plus strictes dans le plus récent Règlement relatif aux sulfures semblerait indiquer qu’en raison du progrès des connaissances scientifiques, les Etats membres de l’Autorité sont désormais persuadés qu’il est nécessaire que les Etats qui patronnent appliquent de manière générale les « meilleures pratiques écologiques », de telle sorte que celles-ci peuvent être considérées comme faisant désormais partie intégrante du devoir de diligence requise qui incombe aux Etats qui patronnent.\n\n137. Faute d’indication spécifique contraire, on peut considérer que le Règlement relatif aux nodules doit être interprété à la lumière de l’évolution du droit, ce qu’atteste l’adoption ultérieure du Règlement relatif aux sulfures. Garanties à apporter dans l’éventualité de l’adoption, par l’Autorité, d’ordres en cas d’urgence pour la protection du milieu marin 138. Une autre obligation incombant directement à l’Etat qui patronne est énoncée à l’article 32, paragraphe 7, du Règlement relatif aux nodules et à l’article 35, paragraphe 8, du Règlement relatif aux sulfures. Cette obligation survient lorsque le contractant n’a pas fourni au Conseil « une garantie de son aptitude financière et technique à se conformer rapidement aux ordres donnés en cas d’urgence ou à faire en sorte que le Conseil puisse prendre des mesures d’urgence ». Dans ce cas, aux termes de l’article 32, paragraphe 7, du Règlement relatif aux nodules : L’Etat ou les Etats qui le patronnent, en réponse à une demande du Secrétaire général et en application des articles 139 et 235 de la Convention, prennent les dispositions requises pour que le Contractant fournisse une telle garantie ou pour qu’un concours soit apporté à l’Autorité dans l’exercice de son mandat au titre du paragraphe 6. L’article 35, paragraphe 8, du Règlement relatif aux sulfures contient une disposition analogue. Disponibilité de voies de recours pour indemnisation 139. Une autre obligation directe, donnant corps à l’obligation de l’Etat qui patronne d’adopter des lois et règlements dans le cadre de son système juridique, est énoncée à l’article 235, paragraphe 2, de la Convention. Cette disposition est libellée comme suit : Les Etats veillent à ce que leur droit interne offre des voies de recours permettant d’obtenir une indemnisation rapide et adéquate ou autre réparation des dommages résultant de la pollution du milieu marin par des personnes physiques ou morales relevant de leur juridiction.\n\n140. Cette disposition s’applique à l’Etat qui patronne, parce qu’il exerce sa juridiction sur les personnes qui ont causé le dommage. Elle a pour objet d’assurer le respect par le contractant patronné de l’obligation qui lui est faite à l’article 22 de l’annexe III à la Convention de réparer les dommages causés par des actes illicites qu’il commet dans l’exercice de ses activités menées dans la Zone en demandant à l’Etat qui patronne de prévoir des procédures et, si nécessaire, des règles de droit matériel applicables aux demandes de réparation des dommages présentées devant ses tribunaux internes. VI. Evaluation de l’impact sur l’environnement 141. L’obligation faite au contractant de procéder à une évaluation de l’impact sur l’environnement est explicitement énoncée à la section 1, paragraphe 7, de l’annexe à l’Accord de 1994, rédigée comme suit : « La demande d’approbation d’un plan de travail est accompagnée d’une évaluation de l’impact potentiel sur l’environnement des activités proposées . . . ». L’Etat qui patronne a l’obligation de diligence requise de veiller à ce que le contractant patronné respecte cette obligation.\n\n142. L’article 31, paragraphe 6, du Règlement relatif aux nodules, et l’article 33, paragraphe 6, du Règlement relatif aux sulfures établissent une obligation directe de l’Etat qui patronne en matière d’évaluation de l’impact sur l’environnement; cette obligation peut également être considérée comme un facteur pertinent dans la mise en œuvre, par l’Etat en question, de son obligation de diligence requise. Cette obligation est liée à l’obligation directe consistant à aider l’Autorité, examinée au paragraphe 124. Les dispositions précitées des deux Règlements sont conçues comme suit : « Les contractants, les Etats qui les patronnent et les autres Etats ou entités intéressés coopèrent avec l’Autorité à l’élaboration et à l’application de programmes de surveillance et d’évaluation de l’impact environnemental de l’extraction minière dans les grands fonds marins ». Elles visent à clarifier l’obligation de l’Etat qui patronne de coopérer avec l’Autorité dans l’exercice de son contrôle des activités menées dans la Zone, conformément à l’article 153, paragraphe 4, de la Convention, ainsi qu’à assurer le respect de cette obligation et de l’obligation générale de diligence requise énoncée à l’article 139 de la Convention. L’Etat qui patronne est tenu non seulement de coopérer avec l’Autorité dans la conception et la mise en œuvre des évaluations d’impact, mais aussi d’utiliser les moyens appropriés afin de veiller à ce que le contractant se conforme à son obligation de réaliser une évaluation de l’impact sur l’environnement.\n\n143. Les contractants et les Etats qui les patronnent doivent coopérer avec l’Autorité à l’élaboration de programmes de surveillance pour évaluer l’impact de l’extraction minière dans les grands fonds marins sur l’environnement, en particulier en créant des « zones témoins d’impact » et des « zones témoins de préservation » (article 31, paragraphes 6 et 7, du Règlement relatif aux nodules et article 33, paragraphe 6, du Règlement relatif aux sulfures). Une comparaison entre les conditions environnementales de la « zone témoin d’impact » et de la « zone témoin de préservation » permet d’évaluer les effets de ces activités menées dans la Zone.\n\n144. Comme le précise le paragraphe 10 des Recommandations à l’intention des contractants en vue de l’évaluation d’éventuels impacts sur l’environnement liés à l’exploration des nodules polymétalliques dans la Zone, publiées par la Commission juridique et technique de l’Autorité en 2002, conformément à l’article 38 du Règlement relatif aux nodules (ISBA/7/LTC/1/ Rev.1, du 13 février 2002), certaines activités nécessitent « une évaluation préalable de leur impact sur l’environnement ainsi que la mise en œuvre d’un programme de surveillance ». Ces activités sont énumérées au paragraphe 10, lettres a) à c), des Recommandations susmentionnées.\n\n145. Il convient toutefois de souligner que l’obligation de procéder à une évaluation de l’impact potentiel sur l’environnement constitue également une obligation directe en vertu de la Convention et une obligation générale en vertu du droit international coutumier.\n\n146. S’agissant de la Convention, l’article 206 dispose ce qui suit : Lorsque des Etats ont de sérieuses raisons de penser que des activités envisagées relevant de leur juridiction ou de leur contrôle risquent d’entraîner une pollution importante ou des modifications considérables et nuisibles du milieu marin, ils évaluent, dans la mesure du possible, les effets potentiels de ces activités sur ce milieu et rendent compte des résultats de ces évaluations de la manière prévue à l’article 205. [L’article 205 se réfère à l’obligation de publier des rapports]\n\n147. Pour ce qui est du droit international coutumier, dans l’arrêt qu’elle a rendu en l’affaire relative à des Usines de pâte à papier sur le fleuve Uruguay, la CIJ se réfère à : une pratique acceptée si largement par les Etats ces dernières années que l’on peut désormais considérer qu’il existe, en droit international général, une obligation de procéder à une évaluation de l’impact sur l’environnement lorsque l’activité industrielle projetée risque d’avoir un impact préjudiciable important dans un cadre transfrontière, et en particulier sur une ressource partagée. De plus, on ne pourrait considérer qu’une partie s’est acquittée de son obligation de diligence, et du devoir de vigilance et de prévention que cette obligation implique, dès lors que, prévoyant de réaliser un ouvrage suffisamment important pour affecter le régime du fleuve ou la qualité de ses eaux, elle n’aurait pas procédé à une évaluation de l’impact sur l’environnement permettant d’apprécier les effets éventuels de son projet. (Paragraphe 204)\n\n148. Bien que portant sur la situation spécifique examinée par la Cour, le langage utilisé par celle-ci semble suffisamment général pour s’appliquer aux activités menées dans la Zone, même si celles-ci ne rentrent pas dans le champ d’application des Règlements. Le raisonnement de la Cour dans un cadre transfrontière peut aussi s’appliquer aux activités ayant un impact sur l’environnement menées dans une zone au-delà des limites de la juridiction nationale et les références de la Cour aux « ressources partagées » peuvent aussi s’appliquer aux ressources qui sont le patrimoine commun de l’humanité. Par conséquent, au vu de la règle de droit coutumier à laquelle la CIJ se réfère, il pourrait être considéré que les évaluations de l’impact sur l’environnement devraient être incluses dans le système de consultations et de notifications préalables prévu à l’article 142 de la Convention, s’agissant des « gisements de ressources de la Zone qui s’étendent au-delà des limites de celle-ci ».\n\n149. Il convient cependant de noter que, de l’avis de la CIJ, le droit international général ne « précise pas la portée et le contenu des évaluations de l’impact sur l’environnement » (paragraphe 205 de l’arrêt précité). L’article 206 de la Convention ne donne que quelques indications sur cette portée et ce contenu, mais les indications contenues dans les Règlements et notamment les Recommandations auxquelles il est fait référence au paragraphe 144 permettent de préciser et d’expliciter cette obligation en ce qui concerne les activités menées dans la Zone.\n\n150. Au vu de ce qui précède, la Chambre estime que les obligations relatives aux évaluations de l’impact sur l’environnement, qui incombent aux contractants et aux Etats qui les patronnent, dépassent le cadre d’application des dispositions spécifiques des Règlements. VII. Intérêts et besoins des Etats en développement 151. En ce qui concerne les activités menées dans la Zone, le cinquième alinéa du préambule de la Convention spécifie que la réalisation des objectifs fixés dans les précédents alinéas : contribuera à la mise en place d’un ordre économique international juste et équitable dans lequel il serait tenu compte des intérêts et besoins de l’humanité tout entière et, en particulier, des intérêts et besoins spécifiques des pays en développement, qu’ils soient côtiers ou sans littoral.\n\n152. En conséquence, il est nécessaire de déterminer si les Etats qui patronnent, qui sont des Etats en développement, bénéficient d’un traitement en matière de responsabilité plus favorable que celui accordé aux Etats qui patronnent, qui sont des Etats développés, aux termes de la Convention et des instruments qui s’y rapportent.\n\n153. Conformément à l’article 140, paragraphe 1, de la Convention : Les activités menées dans la Zone le sont, ainsi qu’il est prévu expressément dans la présente partie, dans l’intérêt de l’humanité tout entière, indépendamment de la situation géographique des Etats, qu’il s’agisse d’Etats côtiers ou sans littoral, et compte tenu particulièrement des intérêts et besoins des Etats en développement . . .\n\n154. Conformément à l’article 148 de la Convention : La participation effective des Etats en développement aux activités menées dans la Zone est encouragée, comme le prévoit expressément la présente partie, compte dûment tenu des intérêts et besoins particuliers de ces Etats, et notamment du besoin particulier qu’ont ceux d’entre eux qui sont sans littoral ou géographiquement désavantagés de surmonter les obstacles qui résultent de leur situation défavorable, notamment de leur éloignement de la Zone et de leurs difficultés d’accès à la Zone et depuis celle-ci.\n\n155. Ces dispositions développent le cinquième alinéa du préambule de la Convention s’agissant des activités menées dans la Zone.\n\n156. Aux fins du présent avis consultatif, et notamment de la Question 1, il importe de préciser le sens de l’article 148 de la Convention. Selon cette disposition, l’objectif général qui consiste à encourager la participation des Etats en développement aux activités menées dans la Zone en tenant compte de leurs intérêts et besoins particuliers doit être atteint « comme le prévoit expressément » la partie XI (expression qui figure également à l’article 140 de la Convention). Ceci signifie qu’il n’existe aucune clause générale destinée à prendre en compte ces intérêts et besoins au-delà des prescriptions des dispositions spécifiques de la partie XI de la Convention. L’analyse de la partie XI fait immédiatement apparaître que plusieurs dispositions ont pour objet de garantir la participation des Etats en développement aux activités menées dans la Zone et de prêter une attention particulière à leurs intérêts et à leurs besoins spécifiques.\n\n157. L’approche adoptée dans la Convention au sujet de cette question ressort particulièrement des dispositions qui octroient une préférence aux Etats en développement qui souhaitent participer à des opérations d’extraction minière sous-marines dans les secteurs des grands fonds marins réservés à l’Autorité (articles 8 et 9 de l’annexe III à la Convention); de l’obligation des Etats de favoriser la coopération internationale en matière de recherches scientifiques marines dans la Zone, en veillant à ce que des programmes soient élaborés « au bénéfice des Etats en développement » (article 143, paragraphe 3, de la Convention); de l’obligation de l’Autorité et des Etats Parties de favoriser le transfert des techniques aux Etats en développement et de permettre au personnel des pays en développement de recevoir une formation aux techniques et sciences marines (article 144, paragraphe 1 et 2, de la Convention, modifié par la section 5 de l’annexe à l’Accord de 1994); de l’autorisation faite à l’Autorité, dans l’exercice de ses pouvoirs et fonctions, d’accorder une attention particulière aux Etats en développement, tout en évitant toute discrimination (article 152 de la Convention); de l’obligation faite au Conseil de tenir « particulièrement compte des intérêts et besoins des Etats en développement » lorsqu’il recommande et approuve, respectivement, les règles, règlements et procédures relatifs au partage équitable des avantages financiers et autres avantages économiques tirés des activités menées dans la Zone (articles 160, paragraphe 2, lettre f), alinéa i) et 162, paragraphe 2, lettre o), alinéa i), de la Convention).\n\n158. Toutefois, aucune des dispositions générales de la Convention visant les obligations et la responsabilité qui incombent à l’Etat qui patronne ne « prévoit expressément » qu’un traitement préférentiel doive être accordé à ces Etats lorsqu’ils sont des Etats en développement. Comme il a été constaté plus haut, il n’existe pas de disposition nécessitant la prise en compte de ces intérêts et besoins au-delà de ce qui est expressément prévu dans la Partie XI. On peut donc conclure que les dispositions générales sur les obligations et la responsabilité de l’Etat qui patronne s’appliquent de la même manière à tous les Etats qui patronnent, qu’ils soient en développement ou développés.\n\n159. Cette égalité de traitement entre Etats qui patronnent, qu’ils soient en développement ou développés répond à une nécessité : éviter que des entreprises commerciales ayant leur siège dans des Etats développés créent des sociétés dans des Etats en développement, obtenant ainsi leur nationalité et leur patronage, dans le but de bénéficier d’une réglementation et de contrôles moins stricts. La multiplication d’Etats qui patronnent « de complaisance » compromettrait l’application uniforme des normes les plus élevées de protection du milieu marin, la sécurité du développement des activités menées dans la Zone et la protection du patrimoine commun de l’humanité.\n\n160. De telles observations n’excluent pas que des règles établissant les obligations directes des Etats qui patronnent puissent prévoir un traitement différencié, selon qu’ils sont développés ou en développement.\n\n161. Ainsi qu’il a été indiqué au paragraphe 125, les dispositions du Règlement relatif aux nodules et celles du Règlement relatif aux sulfures qui imposent à l’Etat qui patronne l’obligation d’appliquer l’approche de précaution pour assurer une protection efficace du milieu marin, se réfèrent au principe 15 de la Déclaration de Rio. Comme on l’a déjà observé, le principe 15 dispose que des mesures de précaution doivent être appliquées par les Etats « selon leurs capacités ». En conséquence, les critères de mise en œuvre de l’obligation d’appliquer l’approche de précaution pourront être plus stricts pour les Etats développés qui patronnent que pour les Etats en développement qui patronnent. La référence à des capacités différentes contenue dans la Déclaration de Rio ne s’applique toutefois pas à l’obligation d’appliquer « les meilleures pratiques écologiques » énoncée, comme indiqué ci-dessus, à l’article 33, paragraphe 2, du Règlement relatif aux sulfures.\n\n162. En outre, la référence aux « capacités » évoque seulement de manière générale et imprécise les différences entre Etats en développement et Etats développés. C’est le niveau de connaissances scientifiques et de capacités techniques dont dispose un Etat donné dans les domaines scientifiques et techniques pertinents qui est déterminant dans une situation particulière.\n\n163. Il convient de signaler que le cinquième alinéa du préambule de la Convention souligne que la réalisation des objectifs de la Convention « contribuera à la mise en place d’un ordre économique international juste et équitable dans lequel il serait tenu compte des intérêts et besoins de l’humanité tout entière et, en particulier, des intérêts et besoins spécifiques des pays en développement, qu’ils soient côtiers ou sans littoral ». Comme on l’a précédemment noté, l’article 148 de la Convention parle de la participation effective des Etats en développement aux activités menées dans la Zone. Et, fait encore plus important, l’article 9, paragraphe 4, de l’annexe III à la Convention se réfère spécifiquement au droit d’un Etat en développement ou de toute personne physique ou morale patronnée par lui et effectivement contrôlée par lui de notifier à l’Autorité son désir de soumettre un plan de travail pour un secteur réservé. Ces dispositions ont pour effet de réserver à l’Autorité et aux Etats en développement la moitié des secteurs de contrat proposés. Celles-ci, de même que les dispositions auxquelles il est fait référence au paragraphe 157, doivent être effectivement mises en œuvre, pour que les Etats en développement soient en mesure de participer aux activités minières relatives aux grands fonds marins sur un pied d’égalité avec les Etats développés. Les Etats en développement devraient recevoir l’assistance nécessaire, y compris dans le domaine de la formation. Question 2 164. La deuxième question qui est soumise à la Chambre est libellée comme suit : Dans quelle mesure la responsabilité d’un Etat partie est-elle engagée à raison de tout manquement aux dispositions de la Convention, en particulier de la partie XI et de l’Accord de 1994 de la part d’une entité qu’il a patronnée en vertu de l’article 153, paragraphe 2, lettre b), de la Convention ? I. Dispositions applicables 165. Pour répondre à cette question, la Chambre se fondera sur l’article 139, paragraphe 2, de la Convention, lu conjointement avec la deuxième phrase de l’article 4, paragraphe 4, de l’annexe III à la Convention.\n\n166. L’article 139, paragraphe 2, de la Convention, se lit comme suit : Sans préjudice des règles du droit international et de l’article 22 de l’annexe III, un Etat Partie ou une organisation internationale est responsable des dommages résultant d’un manquement de sa part aux obligations qui lui incombent en vertu de la présente partie; des Etats Parties ou organisations internationales agissant de concert assument conjointement et solidairement cette responsabilité. Toutefois, l’Etat Partie n’est pas responsable des dommages résultant d’un tel manquement de la part d’une personne patronnée par lui en vertu de l’article 153, paragraphe 2, lettre b), s’il a pris toutes les mesures nécessaires et appropriées pour assurer le respect effectif de la présente partie et des annexes qui s’y rapportent, comme le prévoient l’article 153, paragraphe 4, et l’article 4, paragraphe 4, de l’annexe III.\n\n167. L’article 4, paragraphe 4, deuxième phrase, de l’annexe III à la Convention énonce : Toutefois, un Etat Partie n’est pas responsable des dommages résultant du manquement de la part d’un contractant patronné par lui à ses obligations s’il a adopté les lois et règlements et pris les mesures administratives qui, au regard de son système juridique, sont raisonnablement appropriées pour assurer le respect effectif de ces obligations par les personnes relevant de sa juridiction.\n\n168. La Chambre prendra également en compte les articles 235 et 304 de la Convention, ainsi que l’article 22 de l’annexe III à la Convention. Enfin, elle examinera, selon que de besoin, les règles pertinentes sur la responsabilité figurant dans le Règlement relatif aux nodules et dans le Règlement relatif aux sulfures. A cet égard, la Chambre note que les Règlements publiés à ce jour par l’Autorité concernent uniquement la prospection et l’exploration. Si l’on considère que les risques de dommages, en particulier causés au milieu marin, sont susceptibles de s’intensifier dans la phase d’exploitation, on peut s’attendre à ce que les Etats membres et l’Autorité traiteront davantage de la question de la responsabilité dans des règlements ultérieurs relatifs à l’exploitation. La Chambre tient à souligner qu’elle considère qu’il ne lui est pas demandé de fixer de telles règles futures en matière de responsabilité. Toutefois, les Etats membres de l’Autorité pourront tirer certaines indications de l’interprétation, faite dans le présent avis consultatif, des règles de la Convention relatives à la responsabilité des Etats qui patronnent.\n\n169. Etant donné que l’article 139, paragraphe 2, de la Convention et l’article 304 de la Convention se réfèrent, respectivement, aux « règles du droit international » et à « l’application des règles existantes et [à] l’établissement de nouvelles règles concernant la responsabilité en vertu du droit international », il convient de tenir compte de ces règles, en particulier à la lumière des Articles de la C.D.I. sur la responsabilité de l’Etat. Plusieurs de ces articles sont considérés comme reflétant le droit international coutumier. Certains d’entre eux, même dans les versions antérieures du projet d’Articles, ont été invoqués en tant que tels par le Tribunal international du droit de la mer (Affaire du navire « SAIGA » (No. 2) (Saint-Vincent-et-les-Grenadines c. Guinée), arrêt, TIDM Recueil 1999, p. 10, au paragraphe 171) ainsi que par la CIJ (par exemple Activités armées sur le territoire du Congo (République démocratique du Congo c. Ouganda), arrêt, C.I.J. Recueil 2005, p. 168, au paragraphe 160). II. Questions générales de responsabilité 170. La Chambre commencera par indiquer sa compréhension du régime de responsabilité des Etats qui patronnent, tel qu’énoncé dans la Convention et les instruments qui s’y rapportent.\n\n171. L’article 139, paragraphe 2, de la Convention et les dispositions connexes mentionnées ci-dessus, prévoient différents types de responsabilité : celle de l’Etat Partie (article 139, paragraphe 2, première phrase, de la Convention); celle de l’Etat qui patronne (article 139, paragraphe 2, deuxième phrase, de la Convention); celle du contractant et de l’Autorité (mentionnées à l’article 22 de l’annexe III à la Convention). La clause contenant l’expression « sans préjudice [des règles du droit international] . . . » (ci-après, la clause « sans préjudice ») à la première phrase de l’article 139, paragraphe 2, de la Convention, se réfère aux règles du droit international régissant la responsabilité des Etats Parties et des organisations internationales. Une référence est également faite au droit international de la responsabilité à l’article 304 de la Convention. La Chambre considère que ces règles complètent celles relatives à la responsabilité de l’Etat qui patronne énoncées dans la Convention.\n\n172. Il ressort clairement du libellé de l’article 139, paragraphe 2, de la Convention que la responsabilité incombant à l’Etat qui patronne résulte d’un manquement à ses propres obligations. Toutefois, le contractant patronné n’engage pas la responsabilité de l’Etat qui le patronne, par le manquement à ses obligations (voir paragraphe 182).\n\n173. Il existe toutefois un lien entre le manquement d’un contractant patronné à ses obligations, qui cause ainsi un dommage, et la responsabilité de l’Etat qui le patronne. L’analyse de l’article 139 de la Convention et de l’article 4, paragraphe 4, deuxième phrase, de l’annexe III à la Convention, fera apparaître plus nettement le lien existant entre le dommage causé par le contractant et la responsabilité de l’Etat qui l’a patronné (voir paragraphe 181).\n\n174. Alors que la première phrase de l’article 139, paragraphe 2, de la Convention, traite du manquement des Etats Parties, y compris des Etats qui patronnent, aux obligations qui leur incombent en général, la deuxième phrase traite seulement d’une situation particulière, celle de la responsabilité des Etats qui patronnent. III. Manquement aux obligations 175. La Chambre passera maintenant à l’interprétation des éléments constitutifs de la responsabilité, éléments définis à l’article 139, paragraphe 2, de la Convention, lu conjointement avec l’article 4, paragraphe 4, de l’annexe III à la Convention.\n\n176. Le libellé de l’article 139, paragraphe 2, de la Convention, établit clairement deux conditions pour que la responsabilité soit engagée : le manquement d’un Etat qui patronne aux obligations qui lui incombent (pour le sens des termes essentiels, se reporter aux paragraphes 64 à 71 ci-dessus) et le fait que des dommages en résultent.\n\n177. Le manquement d’un Etat qui patronne à ses obligations, auquel il est fait référence à l’article 139, paragraphe 2, de la Convention, peut résulter d’un acte ou d’une omission contraire aux obligations de cet Etat en vertu du régime des activités minières relatives aux grands fonds marins. La mesure dans laquelle un Etat qui patronne s’est acquitté de ses obligations dépend principalement du contenu de l’obligation qu’il n’aurait pas observée. En effet, comme il a été indiqué plus haut dans la réponse à la Question 1 (voir paragraphe 120), les Etats qui patronnent ont à la fois des obligations directes qui leur sont propres et des obligations portant sur les activités menées par les contractants qu’ils patronnent. La nature de ces obligations détermine également la portée de leur responsabilité. Alors que la responsabilité de l’Etat qui patronne pour manquement à ses obligations directes est régie exclusivement par la première phrase de l’article 139, paragraphe 2, de la Convention, la responsabilité de l’Etat qui patronne pour manquement à ses obligations dans le cas de dommages causés par un contractant patronné est couverte par la première et la deuxième phrase de ce même paragraphe. IV. Dommages 178. Comme indiqué ci-dessus, aux termes de la première phrase de l’article 139, paragraphe 2, de la Convention, tout manquement d’un Etat qui patronne aux obligations qui lui incombent entraîne sa responsabilité uniquement en cas de dommage. Cette disposition ne couvre ni la situation où l’Etat qui patronne a manqué à ses obligations mais où aucun dommage n’a été causé, ni la situation où un dommage a été causé mais où l’Etat qui patronne a rempli ses obligations. Ceci constitue une exception au droit international coutumier en matière de responsabilité car, comme indiqué dans l’Affaire concernant les problèmes nés entre la Nouvelle-Zélande et la France relatifs à l’interprétation ou à l’application de deux accords conclus le 9 juillet 1986, lesquels concernaient les problèmes découlant de l’affaire du Rainbow Warrior, Recueil des sentences arbitrales des Nations Unies, 1990, volume XX, p. 217, au paragraphe 110), et dans le paragraphe 9 du Commentaire de l’article 2 du projet d’Articles de la C.D.I. sur la responsabilité de l’Etat, un Etat peut être tenu responsable en vertu du droit international coutumier, même si le manquement de cet Etat à ses obligations internationales n’a entraîné aucun dommage matériel.\n\n179. Ni la Convention, ni les règles pertinentes (article 30 du Règlement relatif aux nodules, et article 32 du Règlement relatif aux sulfures), ne spécifient ce qui constitue un dommage donnant lieu à réparation, ni les sujets pouvant prétendre à réparation. On peut concevoir que le dommage en question inclurait celui causé à la Zone et aux ressources qui sont le patrimoine commun de l’humanité et le dommage causé au milieu marin. Les sujets pouvant prétendre à réparation pourraient être, entre autres, l’Autorité, les entités engagées dans des activités minières relatives aux grands fonds marins, d’autres utilisateurs de la mer et les Etats côtiers.\n\n180. Aucune disposition de la Convention ne peut être interprétée comme autorisant explicitement l’Autorité à faire valoir une telle prétention à réparation. Il peut toutefois être soutenu qu’une telle autorisation est énoncée implicitement à l’article 137, paragraphe 1, de la Convention, qui stipule que l’Autorité agit « pour le compte » de l’humanité. Tout Etat Partie pourrait également prétendre à réparation au vu du caractère erga omnes des obligations ayant trait à la préservation de l’environnement en haute mer et dans la Zone. A l’appui de cette opinion, une référence peut être faite à l’article 48, paragraphe 1, lettres a) et b), du projet d’Articles de la C.D.I. sur la responsabilité de l’Etat, conçu comme suit : tout Etat autre qu’un Etat lésé est en droit d’invoquer la responsabilité d’un autre Etat . . . si : a) l’obligation violée est due à un groupe d’Etats dont il fait partie, et si l’obligation est établie aux fins de la protection d’un intérêt collectif du groupe; ou b) l’obligation violée est due à la communauté internationale dans son ensemble. Lien de causalité entre le manquement et le dommage 181. L’article 139, paragraphe 2, première phrase, de la Convention, fait référence aux « dommages résultant d’un manquement », ce qui souligne clairement la nécessité d’un lien de causalité entre le dommage causé et le manquement d’un Etat Partie aux obligations qui lui incombent. La deuxième phrase de l’article 139, paragraphe 2, de la Convention, ne fait pas mention de ce lien de causalité. Elle évoque uniquement le lien existant entre les activités du contractant patronné et le dommage causé. Cependant, la Chambre est d’avis que, pour mettre en cause la responsabilité de l’Etat qui patronne, il doit exister un lien de causalité entre le manquement de cet Etat aux obligations qui lui incombent et le dommage causé par le contractant patronné.\n\n182. L’article 139, paragraphe 2, de la Convention, dispose qu’il incombe aux Etats qui patronnent de veiller à ce que les activités menées dans la Zone le soient conformément à la partie XI de la Convention (voir le paragraphe 108). Ceci signifie que la responsabilité de l’Etat qui patronne résulte non pas d’un manquement de l’entité privée, mais plutôt du fait que cet Etat n’a pas honoré ses propres obligations. Pour imputer la responsabilité à l’Etat qui patronne, il est nécessaire d’établir qu’un dommage existe et que ce dommage résulte du manquement de l’Etat qui patronne à ses obligations. Un tel lien de causalité ne peut être présumé et doit être démontré. Les règles relatives à la responsabilité des Etats qui patronnent, énoncées à l’article 139, paragraphe 2, de la Convention et dans les instruments qui s’y rapportent, sont en accord avec les règles du droit international coutumier sur cette question. En droit international, les actes d’une entité privée ne sont pas directement imputables à un Etat, sauf si l’entité en question est habilitée à agir en tant qu’organe de cet Etat (article 5 des Articles de la C.D.I. sur la Responsabilité de l’Etat) ou si son comportement est reconnu et adopté par l’Etat comme étant le sien (article 11 des Articles de la C.D.I. sur la responsabilité de l’Etat). Comme il a été précisé dans le présent paragraphe, le régime de la responsabilité établi à l’annexe III à la Convention et dans les instruments qui s’y rapportent ne prévoit pas non plus que les activités des contractants patronnés seront imputées à l’Etat qui patronne.\n\n183. Lorsqu’il n’est pas possible d’établir un lien de causalité entre le dommage causé et le manquement des Etats qui patronnent à leurs obligations, la question se pose de savoir si ces Etats peuvent néanmoins être tenus pour responsables en vertu des règles de droit international coutumier sur la responsabilité des Etats. Cette question sera examinée dans les paragraphes 208 à 211.\n\n184. Pour ces raisons, la Chambre conclut que la responsabilité des Etats qui patronnent résulte d’un manquement de leur part à leurs obligations et est engagée en cas de dommage causé par le contractant patronné. Il doit exister un lien de causalité entre le manquement de l’Etat qui patronne à ses obligations et le dommage causé et un tel lien ne peut pas être présumé. V. Exonération de la responsabilité 185. La Chambre va maintenant se pencher sur le sens de la clause « n’est pas responsable des dommages » qui figure à l’article 139, paragraphe 2, deuxième phrase et à l’article 4, paragraphe 4, deuxième phrase, de l’annexe III à la Convention.\n\n186. Cette clause prévoit l’exonération de la responsabilité de l’Etat qui patronne. Elle a pour effet d’exonérer l’Etat qui patronne de sa responsabilité si le contractant patronné manque à ses obligations en vertu de la Convention, des règlements ou de son contrat et si un tel manquement entraîne un dommage. L’Etat qui patronne est exonéré de sa responsabilité à la condition spécifiée à l’article 139, paragraphe 2, de la Convention, à savoir qu’il a pris « toutes les mesures nécessaires et appropriées pour assurer le respect effectif . . . », conformément à l’article 153, paragraphe 4, et à l’article 4, paragraphe 4, de l’annexe III à la Convention.\n\n187. On peut dès à présent souligner que l’article 4, paragraphe 4, de l’annexe III à la Convention, n’accorde pas aux Etats qui patronnent des pouvoirs discrétionnaires illimités s’agissant des mesures à prendre pour qu’ils soient exonérés de leur responsabilité. Ce point est examiné en détail dans la réponse à la Question 3. VI. Portée de la responsabilité en vertu de la Convention 188. La Chambre abordera maintenant la question de la portée de la responsabilité au sens de l’article 139, paragraphe 2, deuxième phrase, de la Convention. Cela nécessite l’examen de divers points, à savoir le régime de responsabilité, le patronage multiple, le montant et la forme de la réparation et la relation entre la responsabilité de l’Etat qui patronne et celle du contractant. Régime de responsabilité 189. S’agissant du type de responsabilité encourue, il a été soutenu lors de la procédure que l’Etat qui patronne assume une responsabilité stricte, c’està-dire une responsabilité sans faute. Toutefois, la Chambre tient à souligner que la responsabilité de l’Etat qui patronne découle uniquement d’un manquement de l’Etat à son obligation de diligence requise. Ceci exclut l’application d’une responsabilité stricte. Patronage multiple 190. Aux termes de l’article 4, paragraphe 3, de l’annexe III à la Convention, dans certaines situations, les demandeurs de contrats d’exploration ou d’exploitation peuvent nécessiter le patronage de plus d’un Etat Partie. Tel est le cas lorsque le demandeur a plus d’une nationalité ou lorsqu’il est ressortissant d’un Etat Partie et est contrôlé par un autre Etat Partie ou par ses ressortissants.\n\n191. Ni l’article 139, paragraphe 2, de la Convention, ni l’article 4, paragraphe 4, de l’annexe III à la Convention, n’indiquent la manière dont les Etats qui patronnent doivent partager leur responsabilité. De même, le Règlement relatif aux nodules et le Règlement relatif aux sulfures ne donnent pas d’indications à cet égard, sauf en ce qui concerne l’attestation de la viabilité financière du contractant. Cette attestation, requise par l’article 12, paragraphe 5, lettre c), du Règlement relatif aux nodules et par l’article 13, paragraphe 4, lettre c), du Règlement relatif aux sulfures, doit être donnée par l’Etat qui contrôle le candidat. Par conséquent, dans ce cas, le manquement à ses obligations engage la responsabilité de l’Etat qui patronne et contrôle le candidat.\n\n192. A part l’exception mentionnée au paragraphe 191, les dispositions de l’article 139, paragraphe 2, de la Convention et des instruments qui s’y rapportent concernant le patronage n’établissent pas de différence entre le patronage unique ou multiple. Par conséquent, la Chambre estime que, dans le cas d’un patronage multiple, la responsabilité est conjointe et solidaire, sauf si les Règlements adoptés par l’Autorité en disposent autrement. Montant et forme de la réparation 193. S’agissant du montant de la réparation à verser, il est pertinent de se référer à nouveau à l’article 22 de l’annexe III à la Convention, qui stipule que, pour l’Autorité et le contractant patronné : « Dans tous les cas, la réparation doit correspondre au dommage effectif ». Sur ce point, il convient de se référer à l’article 30 du Règlement relatif aux nodules, dont le libellé est identique à l’article 32 du Règlement relatif aux sulfures, ainsi qu’au libellé identique de l’article 16, paragraphe 1, des clauses types de contrat d’exploration (annexe 4 aux Règlements susmentionnés).\n\n194. L’obligation qu’a un Etat de fournir une réparation intégrale ou restitutio in integrum fait actuellement partie du droit international coutumier. Cette conclusion a été atteinte pour la première fois par la Cour permanente de Justice internationale dans l’Affaire relative à l’Usine de Chorzów (C.P.J.I. Recueil, Série A, No 17, p. 47). Cette règle a été réaffirmée par la Commission du droit international. Aux termes de l’article 31, paragraphe 1, de ses Articles sur la responsabilité de l’Etat : « L’Etat responsable est tenu de réparer intégralement le préjudice causé par le fait internationalement illicite ». La Chambre note, dans ce contexte, que les traités relatifs à certains sujets, tels que l’énergie nucléaire ou la pollution par les hydrocarbures, prévoient des limitations de la responsabilité ainsi qu’une responsabilité stricte.\n\n195. Compte tenu de ce qui précède, la Chambre estime que les dispositions aux termes desquelles la responsabilité du contractant doit correspondre au dommage effectif, mentionnées au paragraphe 193, sont tout aussi valides s’agissant de la responsabilité de l’Etat qui patronne.\n\n196. S’agissant de la forme de ladite réparation, la Chambre souhaiterait se référer à l’article 34 des Articles de la C.D.I. sur la responsabilité de l’Etat, qui se lit comme suit : La réparation intégrale du préjudice causé par le fait internationalement illicite prend la forme de restitution, d’indemnisation et de satisfaction, séparément ou conjointement, conformément aux dispositions du présent chapitre.\n\n197. La Chambre considère que la forme de la réparation sera fonction du dommage effectif et de la faisabilité technique d’un retour au statu quo ante.\n\n198. Il convient de noter que, aux termes de l’article 30 du Règlement relatif aux nodules, et de l’article 32 du Règlement relatif aux sulfures, le contractant demeure responsable du dommage, même après achèvement de la phase d’exploration. Ceci s’applique également à la responsabilité de l’Etat qui patronne. Relations entre la responsabilité du contractant et celle de l’Etat qui patronne 199. Au sujet du rapport entre la responsabilité du contractant et celle de l’Etat qui patronne, il convient d’attirer l’attention sur l’article 22 de l’annexe III à la Convention qui est conçu comme suit : Tout dommage causé par un acte illicite du contractant dans la conduite des opérations engage sa responsabilité, compte tenu de la part de responsabilité imputable à l’Autorité à raison de ses actes ou omissions. Celle-ci est de même responsable des dommages causés par les actes illicites qu’elle commet dans l’exercice de ses pouvoirs et fonctions, y compris les violations de l’article 168, paragraphe 2, compte tenu de la part de responsabilité imputable au contractant à raison de ses actes ou omissions. Dans tous les cas, la réparation doit correspondre au dommage effectif. (Italiques ajoutées)\n\n200. Cette disposition ne fait pas référence à la responsabilité des Etats qui patronnent. On pourrait en déduire que la responsabilité principale pour les actes illicites commis par le contractant dans la conduite de ses opérations et par l’Autorité dans l’exercice de ses pouvoirs et de ses fonctions incombe respectivement au contractant et à l’Autorité, plutôt qu’aux Etats qui patronnent. Selon la Chambre, cette approche reflète le partage des responsabilités entre le contractant, l’Autorité et l’Etat qui patronne, s’agissant des activités minières relatives aux grands fonds marins.\n\n201. Dans ce contexte, la question de savoir si le contractant et l’Etat qui patronne sont conjointement et solidairement responsables a été posée lors des débats. Aucune disposition de la Convention ou des instruments qui s’y rapportent n’indique que tel est le cas. La responsabilité conjointe et solidaire est engagée lorsque différentes entités ont contribué au même dommage, de telle sorte qu’une réparation intégrale puisse être demandée à l’une quelconque d’entre elles. Tel n’est pas le cas du régime de responsabilité énoncé à l’article 139, paragraphe 2, de la Convention. Ainsi qu’il a été noté plus haut, la responsabilité de l’Etat qui patronne découle d’un manquement à ses obligations, tandis que la responsabilité du contractant découle de la violation des obligations qui lui incombent. Les deux formes de responsabilité existent donc en parallèle. Il existe un seul point de convergence, à savoir que la responsabilité de l’Etat qui patronne est fonction de l’existence d’un dommage résultant d’actes ou d’omissions de la part du contractant patronné (voir le paragraphe 181). Toutefois, la Chambre considère qu’il s’agit là simplement d’un mécanisme de déclenchement de la responsabilité. Néanmoins, un tel dommage n’est pas automatiquement imputable à l’Etat qui patronne.\n\n202. Si le contractant a versé une réparation correspondant au montant effectif du dommage, conformément à l’article 22 de l’annexe III à la Convention, selon la Chambre, aucune réparation n’incombe alors à l’Etat qui patronne.\n\n203. La situation devient cependant plus complexe si le contractant n’a pas pu assurer une réparation intégrale du dommage. Il a été souligné, lors de la procédure, qu’une lacune en matière de responsabilité pourrait exister dans la situation où, bien que l’Etat qui patronne ait pris toutes les mesures nécessaires et appropriées, le contractant patronné cause un dommage et ne soit pas en mesure d’en assumer entièrement la responsabilité. On a signalé en outre qu’une lacune en matière de responsabilité pourrait également apparaître dans l’hypothèse où l’Etat qui patronne a manqué à ses obligations, mais où il n’existe aucun lien de causalité entre ce manquement et le dommage. Dans leurs exposés écrits et oraux, les Etats Parties ont exprimé des vues différentes sur le sujet. Certains ont fait valoir que l’Etat qui patronne doit assumer une responsabilité résiduelle, c’est-à-dire la responsabilité portant sur la partie du dommage non couverte par le contractant, bien que les conditions régissant la responsabilité de l’Etat qui patronne, aux termes de l’article 139, paragraphe 2, de la Convention ne soient pas remplies. D’autres Etats Parties ont exprimé une opinion contraire.\n\n204. De l’avis de la Chambre, le régime de responsabilité prévu par l’article 139 de la Convention et les instruments qui s’y rapportent ne laisse pas de place à l’existence d’une responsabilité résiduelle. Comme cela a été souligné au paragraphe 201, la responsabilité de l’Etat qui patronne et la responsabilité du contractant patronné existent parallèlement. La responsabilité de l’Etat qui patronne est engagée lorsqu’il a manqué à ses obligations aux termes de la Convention et des instruments qui s’y rapportent. La responsabilité du contractant patronné découle du manquement aux obligations qui lui incombent aux termes de son contrat et de ses engagements ultérieurs. Comme il l’a été préalablement établi, la responsabilité de l’Etat qui patronne dépend du fait que le manquement du contractant patronné a causé un dommage. Néanmoins, comme indiqué au paragraphe 182, ce seul fait n’aura pas pour effet de rendre l’Etat qui patronne directement responsable du dommage causé par le contractant patronné.\n\n205. Compte tenu du fait que, comme indiqué précédemment au paragraphe 203, il peut arriver dans certains cas que le contractant ne puisse pas assumer entièrement sa responsabilité et que l’Etat qui patronne ne soit pas responsable aux termes de l’article 139, paragraphe 2, de la Convention, l’Autorité pourrait envisager de constituer un fonds d’affectation spéciale pour assurer réparation du dommage non couvert. La Chambre appelle l’attention sur l’article 235, paragraphe 3, de la Convention qui évoque une telle possibilité. VII. Responsabilité des Etats qui patronnent en cas de manquement à leurs obligations directes 206. Comme cela a été énoncé au paragraphe 120, la Convention et les instruments qui s’y rapportent créent des obligations directes incombant à l’Etat qui patronne. La responsabilité résultant d’un manquement à ces obligations est régie par l’article 139, paragraphe 2, première phrase, de la Convention.\n\n207. Dans le cas d’un manquement à ses obligations directes, l’Etat qui patronne ne peut pas être exonéré de sa responsabilité, dans la mesure où l’article 139, paragraphe 2, deuxième phrase, de la Convention n’est pas applicable à cette situation. VIII. Clause « sans préjudice »\n\n208. La Chambre examinera maintenant les incidences du droit international sur le régime de responsabilité applicable aux grands fonds marins. L’article 139, paragraphe 2, première phrase, de la Convention et l’article 304 de la Convention précisent que leurs dispositions sont « sans préjudice » des règles du droit international. Il reste à préciser si cette référence pourrait être utilisée pour combler toute lacune qui pourrait exister dans le régime de responsabilité établi par la partie XI de la Convention et les instruments qui s’y rapportent.\n\n209. Comme indiqué précédemment, si l’Etat qui patronne n’a pas manqué aux obligations qui lui incombent, il n’est pas responsable au sens de l’article 139, paragraphe 2, de la Convention, même si les activités du contractant patronné ont causé un dommage. La lacune en matière de responsabilité qui résulterait d’une telle situation ne pourrait pas être comblée en faisant appel à la responsabilité de l’Etat qui patronne en droit international coutumier. La Chambre est consciente des efforts déployés par la Commission du droit international. pour traiter des dommages résultant d’activités qui ne sont pas interdites par le droit international. Toutefois, de tels efforts n’ont pas, jusqu’à présent, abouti à l’élaboration des règles régissant la responsabilité de l’Etat pour actes licites. Ici également, (voir paragraphe 205), la Chambre appelle l’attention de l’Autorité sur la possibilité de constituer un fonds d’affectation spéciale pour couvrir les dommages qui ne le seraient pas autrement.\n\n210. Le cas où un Etat qui patronne a manqué à ses obligations et où un tel manquement n’a pas entraîné de dommage matériel, est couvert par le droit international coutumier, en vertu duquel le dommage n’est pas une condition de la responsabilité des Etats. Comme indiqué précédemment au paragraphe 178, ceci est confirmé par les Articles de la C.D.I. sur la responsabilité de l’Etat.\n\n211. Enfin, la Chambre tient à signaler que l’article 304 de la Convention se réfère non seulement aux règles de droit international existantes en matière de responsabilité, mais aussi à l’établissement de nouvelles règles. Le régime international de la responsabilité n’est, par conséquent, pas considéré comme immuable. L’article 304 de la Convention ouvre ainsi à l’évolution du droit international le régime de la responsabilité applicable aux activités minières relatives aux grands fonds marins. De nouvelles règles du droit international peuvent voir le jour dans le cadre du régime des activités minières relatives aux grands fonds marins ou en droit international conventionnel ou coutumier. Question 3 212. La troisième question soumise à la Chambre est libellée comme suit : Quelles sont les mesures nécessaires et appropriées qu’un Etat qui patronne une demande doit prendre pour s’acquitter de la responsabilité qui lui incombe en application de la Convention, en particulier de l’article 139 et de l’annexe III ainsi que de l’Accord de 1994 ? I. Considérations générales 213. La Question 3, comme les Questions 1 et 2, est essentiellement axée sur les Etats qui patronnent. Elle cherche à établir quelles sont les « mesures nécessaires et appropriées » que l’Etat qui patronne « doit » prendre pour s’acquitter de la responsabilité qui lui incombe en application de la Convention, et notamment de l’article 139 de l’annexe III, ainsi que de l’Accord de 1994. Le point de départ de cette analyse est l’article 153 de la Convention, qui introduit pour la première fois le concept d’Etat qui patronne ainsi que les mesures que celui-ci doit prendre. L’article 153 ne précise pas les mesures que doit prendre l’Etat qui patronne. Il renvoie à l’article 139 de la Convention pour obtenir des indications à cet égard.\n\n214. L’article 139, paragraphe 2, de la Convention, stipule que l’Etat qui patronne n’est pas responsable des dommages résultant d’un manquement aux obligations énoncées dans la partie XI de la Convention de la part d’une entité patronnée par lui en vertu de l’article 153, paragraphe 2, lettre b), de la Convention « si [l’Etat Partie] a pris toutes les mesures nécessaires et appropriées pour assurer le respect effectif de la présente partie et des annexes qui s’y rapportent, comme le prévoient l’article 153, paragraphe 4 et l’article 4, paragraphe 4, de l’annexe III ».\n\n215. L’article 139, paragraphe 2, de la Convention, ne spécifie pas davantage quelles sont les mesures « nécessaires et appropriées ». Il attire simplement l’attention sur l’article 153, paragraphe 4, de la Convention et sur l’article 4, paragraphe 4, de l’annexe III à la Convention. La partie pertinente de l’article 4, paragraphe 4, de l’annexe III à la Convention est libellée comme suit : Toutefois, un Etat Partie n’est pas responsable des dommages résultant du manquement de la part d’un contractant patronné par lui à ses obligations s’il a adopté les lois et règlements et pris les mesures administratives qui, au regard de son système juridique, sont raisonnablement appropriées pour assurer le respect effectif de ces obligations par les personnes relevant de sa juridiction.\n\n216. Ces dispositions, bien que leur terminologie varie légèrement, se rapportent essentiellement au même objet et expriment les mêmes idées. L’article 4, paragraphe 4, de l’annexe III à la Convention, fournit une explication des termes « mesures nécessaires et appropriées » figurant à l’article 139, paragraphe 2, de la Convention.\n\n217. Aux termes de ces dispositions, dans le régime des obligations et de la responsabilité qui incombent à l’Etat qui patronne, les « mesures nécessaires et appropriées » ont deux fonctions distinctes, bien que complémentaires, énoncées dans la Convention. D’une part, ces mesures ont pour objet d’assurer le respect par le contractant des obligations qui lui incombent en vertu de la Convention et des instruments qui s’y rapportent, ainsi que du contrat pertinent. D’autre part, elles ont également pour fonction d’exonérer l’Etat qui patronne de sa responsabilité en cas de dommage causé par le contractant patronné, ainsi qu’il est indiqué à article 139, paragraphe 2 et à l’article 4, paragraphe 4, de l’annexe III à la Convention. La première de ces fonctions a été décrite, dans la réponse à la Question 1, à propos de l’obligation de l’Etat qui patronne d’agir avec la diligence requise afin d’assurer le respect par le contractant patronné des obligations qui lui incombent, tandis que la deuxième fonction n’a été que partiellement traitée dans la réponse à la Question 2 et sera abordée dans les paragraphes suivants. II. Lois et règlements et mesures administratives 218. Aux termes de l’article 4, paragraphe 4, de l’annexe III à la Convention, l’Etat qui patronne est tenu d’adopter des lois et règlements et de prendre des mesures administratives. Il est ici clairement requis d’adopter des lois et règlements et de prendre des mesures administratives. La nature et la portée de ces actes (législatifs, réglementaires et de nature administrative) sont fonction du système juridique de l’Etat qui patronne. L’adoption de lois et règlements a été jugée nécessaire parce qu’il est n’est pas possible de donner effet à toutes les obligations d’un contractant par la seule application de mesures administratives ou d’arrangements contractuels, comme il est indiqué aux paragraphes 223 à 226. Dans un certain nombre d’Etats, la mise à exécution des obligations du contractant requiert l’adoption de lois par l’Etat qui patronne. Toutefois, les lois et les règlements, en tant que tels, pourraient ne pas constituer une réponse suffisante. Des mesures administratives visant à assurer le respect effectif des lois et règlements peuvent également être nécessaires. Ces lois, règlements et mesures administratives pourraient entre autres prévoir la création d’un mécanisme de contrôle afin d’assurer la surveillance active des activités du contractant patronné. Ils pourraient également porter sur la coordination entre les diverses activités de l’Etat qui patronne et celles de l’Autorité, de manière à éviter tout chevauchement inutile des tâches.\n\n219. Etant donné que l’Etat qui patronne est tenu de veiller à ce que le contractant agisse conformément à son contrat et aux obligations qui lui incombent aux termes de la Convention, les lois et règlements ainsi que les mesures administratives de l’Etat en question devraient être en vigueur aussi longtemps que le contrat passé avec l’Autorité est applicable. Bien que l’existence de ces lois et règlements ainsi que de ces mesures administratives ne soit pas une condition préalable à la conclusion d’un contrat avec l’Autorité, elle est cependant nécessaire pour que l’Etat qui patronne s’acquitte de l’obligation de diligence requise et soit exonéré de sa responsabilité.\n\n220. On peut remarquer à cet égard que le Règlement relatif aux nodules a été adopté après l’enregistrement des investisseurs pionniers. Compte tenu de ceci, les Etats certificateurs doivent, selon que de besoin, harmoniser leurs lois et règlements et leurs mesures administratives avec les dispositions des Règlements relatifs aux nodules et aux sulfures.\n\n221. Les mesures nationales que devra prendre l’Etat qui patronne devraient également s’appliquer aux obligations du contractant même après l’achèvement de la phase d’exploration, comme il est spécifié à l’article 30 du Règlement relatif aux nodules et à l’article 32 du Règlement relatif aux sulfures.\n\n222. Comme cela a déjà indiqué, on ne peut pas considérer que les mesures nationales, une fois adoptées, seront appropriées éternellement. La Chambre est d’avis que celles-ci devraient être soumises à révision, afin de garantir leur conformité aux normes les plus récentes et d’assurer que le contractant respecte effectivement ses obligations, sans porter atteinte au patrimoine commun de l’humanité. III. Un contrat suffit-il à assurer le respect des obligations ? 223. L’article 4, paragraphe 4, de l’annexe III à la Convention énonce la règle selon laquelle les mesures prises par les Etats qui patronnent doivent être des lois et règlements et des mesures administratives. En conséquence, on ne saurait considérer qu’un Etat qui patronne respecte ses obligations s’il se borne à conclure un arrangement contractuel, comme un accord de patronage, avec le contractant. Ceci serait incompatible non seulement avec la disposition susmentionnée, mais aussi avec la Convention en général et avec la partie XI en particulier.\n\n224. De simples obligations contractuelles convenues entre l’Etat qui patronne et le contractant patronné ne remplaceraient pas de manière effective les lois et règlements et les mesures administratives prévus à l’article 4, paragraphe 4, de l’annexe III à la Convention. Elles n’établiraient pas non plus des obligations juridiques qui pourraient être invoquées contre l’Etat qui patronne par des entités distinctes du contractant patronné.\n\n225. De plus, cette approche contractuelle manquerait de transparence. Il serait difficile de vérifier, par des mesures accessibles au public, que l’Etat qui patronne a rempli ses obligations. Un contrat de patronage peut ne pas être connu du public ou, en fait, ne pas être requis. Ni l’annexe III à la Convention, ni le Règlement relatif aux nodules, ni le Règlement relatif aux sulfures, ne contiennent d’exigences requérant qu’un accord ou un contrat de patronage entre les Etats qui patronnent et le contractant soit transmis à l’Autorité ou rendu public. La seule exigence est celle de la présentation d’un certificat de patronage délivré par l’Etat qui patronne (article 11, paragraphe 3, lettre f), du Règlement relatif aux nodules et du Règlement relatif aux sulfures, indiquant que ledit Etat « assume les responsabilités prévues à l’article 139, au paragraphe 4 de l’article 153 et au paragraphe 4 de l’article 4 de l’annexe III de la Convention ».\n\n226. Comme cela a été indiqué plus haut, le rôle de l’Etat qui patronne consiste à contribuer à l’intérêt commun qu’ont tous les Etats de mettre efficacement en œuvre le principe de patrimoine commun de l’humanité, en aidant l’Autorité et en agissant de sa propre initiative, pour veiller à ce que les contractants qui relèvent de sa juridiction se conforment aux règlements relatifs aux activités minières concernant les grands fonds marins. Les seuls arrangements contractuels ne peuvent pas satisfaire l’obligation prise par l’Etat qui patronne. L’Etat qui patronne ne peut pas prétendre aider l’Autorité en vertu de l’article 153, paragraphe 4, de la Convention, au seul motif qu’il a conclu un contrat relevant de son droit interne. IV. Contenu des mesures 227. La Convention laisse à l’Etat qui patronne le soin de déterminer quelles sont les mesures qui lui permettront de s’acquitter de ses responsabilités. Celui-ci doit donc effectuer des choix politiques à cet égard. De ce fait, la Chambre considère qu’il ne lui appartient pas de donner de conseils spécifiques quant aux mesures nécessaires et appropriées que doit prendre l’Etat qui patronne pour s’acquitter des responsabilités qui lui incombent aux termes de la Convention. Des instances juridictionnelles ne peuvent pas exercer des fonctions qui ne sont pas conformes à leur statut judiciaire. Toutefois, sans présumer des orientations que peut adopter un Etat qui patronne, la Chambre juge opportun de formuler certaines remarques générales qui pourraient être utiles à l’Etat qui patronne lorsqu’il choisira les mesures à prendre au titre de l’article 153, paragraphe 4, de la Convention, de l’article 139, paragraphe 2, de la Convention, et de l’article 4, paragraphe 4, de l’annexe III à la Convention.\n\n228. Les mesures qu’il incombe à l’Etat qui patronne d’adopter sont clairement énoncées à l’article 4, paragraphe 4, deuxième phrase, de l’annexe III à la Convention. Il est prescrit à cet Etat d’adopter des lois et règlements et de prendre des mesures administratives qui, au regard de son système juridique, sont « raisonnablement appropriées » pour assurer le respect effectif des obligations par les personnes relevant de sa juridiction. Le critère permettant de déterminer ce qui est approprié n’est pas indéfini; les mesures prises doivent être « raisonnablement appropriées ». On pourra considérer que les mesures prises sont appropriées seulement si elles sont conformes à la raison et si elles ne sont pas arbitraires.\n\n229. Les mesures que doit prendre un Etat qui patronne doivent être déterminées par cet Etat dans le cadre de son système juridique. Cette détermination est donc laissée à la discrétion de l’Etat qui patronne. Aux termes de l’article 4, paragraphe 4, de l’annexe III à la Convention, l’Etat qui patronne doit adopter des lois et règlements et prendre des mesures administratives qui sont « raisonnablement appropriées » de telle sorte qu’il puisse être exonéré de sa responsabilité pour le dommage causé par tout manquement à ses obligations d’un contractant parrainé par lui. Cette obligation lui impose d’agir au sein de son propre système juridique en tenant compte, notamment, des caractéristiques particulières de ce système.\n\n230. Compte tenu de ce qui précède, il y a peut-être lieu de faire certaines remarques générales concernant les mesures que l’Etat qui patronne doit prendre. L’Etat qui patronne ne jouit pas d’une liberté de choix absolue dans les mesures qu’il doit prendre aux termes de l’article 4, paragraphe 24, de l’annexe III à la Convention. Dans le cadre de l’obligation qui lui est faite d’aider l’Autorité qui agit pour le compte de l’humanité tout entière, lorsqu’il détermine quelles mesures sont raisonnablement appropriées, l’Etat qui patronne doit tenir compte objectivement des options qui se présentent de manière raisonnable, opportune et favorable à l’humanité tout entière. Il doit agir de bonne foi, en particulier lorsque ses actes risquent de porter préjudice aux intérêts de l’humanité tout entière. La nécessité d’agir de bonne foi est également soulignée à l’article 157, paragraphe 4, de la Convention et à l’article 300 de la Convention. Toutes les mesures prises par l’Etat qui patronne doivent avoir un caractère raisonnable et ne pas être entachées d’arbitraire. Tout manquement de l’Etat qui patronne à son obligation d’agir raisonnablement pourra être contesté devant la présente Chambre en application de l’article 187, lettre b), alinéa i), de la Convention.\n\n231. Il peut être utile de chercher à savoir s’il existe des restrictions quant au contenu des lois et règlements pertinents que peut adopter un Etat qui patronne. A cette fin, il convient de se reporter à l’article 21, paragraphe 3, de l’annexe III à la Convention, qui se lit comme suit : Un Etat Partie ne peut imposer à un contractant des conditions incompatibles avec la partie XI. Toutefois, l’application par un Etat Partie aux contractants patronnés par lui ou aux navires battant son pavillon des lois et règlements relatifs à la protection du milieu marin ou d’autres, plus strictes que les règles, règlements et procédures adoptés par l’Autorité en application de l’article 17, paragraphe 2, lettre f ), de la présente annexe, n’est pas considérée comme incompatible avec la partie XI.\n\n232. Cette disposition énonce l’obligation générale faite à l’Etat qui patronne de ne pas imposer à un contractant des conditions qui seraient « incompatibles » avec la partie XI de la Convention. Toutefois, dans le même temps, elle prévoit une exception à cette obligation générale. Cette exception offre à l’Etat la possibilité d’appliquer aux contractants patronnés par lui ou aux navires battant son pavillon des lois et règlements relatifs à la protection du milieu marin ou d’autres, plus stricts que les règles, règlements et procédures adoptés par l’Autorité en application de l’article 17, paragraphe 2, lettre f), de la Convention (disposition relative à la protection du milieu marin).\n\n233. Lors de l’examen de l’obligation de l’Etat qui patronne énoncée à l’article 21, paragraphe 3, de l’annexe III à la Convention, il convient de prendre en compte l’obligation du contractant aux termes du régime juridique de l’exploitation des fonds marins et les obligations correspondantes incombant à l’Etat qui patronne. Aux termes de l’article 4, paragraphe 4, de l’annexe III à la Convention, le contractant doit mener ses activités dans la Zone « conformément » aux obligations qui lui incombent en vertu du contrat passé avec l’Autorité et de la Convention. Cette disposition précise qu’il incombe à l’Etat qui patronne de veiller à ce que le contractant s’acquitte de ses obligations (voir paragraphe 75).\n\n234. L’Etat qui patronne peut juger nécessaire, en fonction de son système juridique, d’inclure dans son droit interne des dispositions nécessaires à la mise en œuvre de ses obligations aux termes de la Convention. Ces dispositions pourraient avoir trait, entre autres, à la viabilité financière et aux capacités techniques des contractants patronnés, aux conditions régissant la délivrance d’un certificat de patronage et à des sanctions en cas de manquement des contractants à leurs obligations.\n\n235. De plus, la Convention précise dans diverses dispositions les questions qui devraient être couvertes par les lois et règlements de l’Etat qui patronne. En particulier, l’article 39 du Statut qui traite de l’exécution des décisions de la Chambre stipule : Les décisions de la Chambre sont exécutoires sur le territoire des Etats Parties au même titre que les arrêts ou ordonnances de la plus haute instance judicaire de l’Etat Partie sur le territoire duquel l’exécution est demandée. Une référence pourrait de même être faite à l’article 21, paragraphe 21, de l’annexe III à la Convention qui énonce : « Toute décision définitive rendue par une cour ou un tribunal ayant compétence en vertu de la Convention au sujet des droits et obligations de l’Autorité et du contractant est exécutoire sur le territoire de tout autre Etat Partie ». Dans un certain nombre de juridictions nationales, il pourrait être nécessaire de promulguer une législation spécifique pour appliquer ces dispositions.\n\n236. D’autres indications peuvent être trouvées dans les dispositions qui énoncent les obligations directes des Etats qui patronnent (voir le paragraphe 120). Parmi ces dispositions figurent l’obligation d’aider l’Autorité dans l’exercice de son contrôle sur les activités menées dans la Zone; l’obligation d’adopter un approche de précaution; l’obligation d’appliquer les meilleures pratiques écologiques; l’obligation de prendre des mesures de garanties dans l’éventualité de l’adoption, par l’Autorité, d’ordres en cas d’urgence pour la protection du milieu marin; l’obligation d’offrir des voies de recours aux fins de réparation des dommages causés par la pollution et l’obligation de procéder à des évaluations de l’impact sur l’environnement. Il est important de souligner que ces obligations sont mentionnées uniquement à titre d’exemples.\n\n237. Dans ce contexte, la Chambre prend note de la loi adoptée par l’Allemagne sur les activités minières relatives aux grands fonds marins ainsi que de la législation similaire adoptée par la République tchèque.\n\n238. Bien que le contrat applicable soit un contrat liant seulement l’Autorité et le contractant, et que de ce fait, il n’a pas d’effets juridiques obligatoires pour l’Etat qui patronne, ce dernier a néanmoins l’obligation de veiller à que le contractant respecte son contrat. Ceci signifie que l’Etat qui patronne doit adopter des lois et règlements et prendre des mesures administratives qui n’entravent pas le respect effectif par le contractant de ses obligations contractuelles mais, au contraire, qui l’aident dans cette entreprise.\n\n239. L’obligation de « diligence requise » comprend de manière intrinsèque l’obligation pour l’Etat qui patronne de veiller à ce que les obligations du contractant patronné soient rendues exécutoires.\n\n240. En vertu de l’article 21, paragraphe 3, de l’annexe III à la Convention, les règles, règlements et procédures relatifs à la protection du milieu marin adoptés par l’Autorité constituent la norme la moins exigeante s’agissant des lois et règlements relatifs à l’environnement ou à d’autres matières que l’Etat qui patronne peut appliquer au contractant patronné. Il est donc implicite que les Etats qui patronnent peuvent appliquer aux contractants des normes plus strictes dès lors qu’il s’agit de protection du milieu marin.\n\n241. L’article 209, paragraphe 2, de la Convention est fondé sur une démarche identique. Selon cette disposition, les lois et règlements adoptés par les Etats en matière de pollution du milieu marin « résultant d’activités menées dans la Zone par des navires ou à partir d’installations, ouvrages ou autres engins, battant leur pavillon, immatriculés sur leur territoire ou relevant de leur autorité . . . ne doivent pas être moins efficaces que les règles, règlements et procédures internationaux » établis dans la partie XI, à savoir, essentiellement, les règles, règlements et procédures internationaux adoptés par l’Autorité.\n\n242. Par ces motifs, LA CHAMBRE, 1. A l’unanimité, Dit qu’elle a compétence pour donner l’avis consultatif demandé.\n\n2. A l’unanimité, Décide de donner suite à la demande d’avis consultatif.\n\n3. A l’unanimité, Répond comme suit à la Question 1 soumise par le Conseil : Les Etats qui patronnent ont deux types d’obligations aux termes de la Convention et des instruments qui s’y rapportent. A. L’obligation de veiller au respect par le contractant patronné des termes du contrat et des obligations énoncées dans la Convention et les instruments qui s’y rapportent. Il s’agit d’une obligation de « diligence requise ». L’Etat qui patronne est tenu de faire de son mieux pour que les contractants patronnés s’acquittent des obligations qui leur incombent. La norme relative à la diligence requise peut varier dans le temps et dépendre du niveau de risque des activités concernées. Cette obligation de « diligence requise » nécessite que l’Etat qui patronne prenne des mesures au sein de son système juridique. Ces mesures doivent être des lois et règlements et des mesures administratives. Ces mesures doivent répondre à une norme, être « raisonnablement appropriées ». B. Obligations directes auxquelles les Etats qui patronnent doivent se conformer indépendamment de leur obligation de veiller à ce que les contractants patronnés adoptent une certaine conduite. Le respect de ces obligations peut aussi être considéré comme un facteur pertinent pour que l’Etat qui patronne s’acquitte de son obligation de « diligence requise ». Les obligations directes les plus importantes incombant à l’Etat qui patronne sont les suivantes : a) l’obligation d’aider l’Autorité, énoncée à l’article 153, paragraphe 4, de la Convention; b) l’obligation d’appliquer une approche de précaution, reflétée dans le principe 15 de la Déclaration de Rio et énoncée dans le Règlement relatif aux nodules et le Règlement relatif aux sulfures. Il convient aussi de considérer que cette obligation fait partie intégrante de l’obligation de « diligence requise » de l’Etat qui patronne et est applicable au-delà du cadre du Règlement relatif aux nodules et du Règlement relatif aux sulfures; c) l’obligation d’appliquer les meilleures pratiques écologiques, énoncée dans le Règlement relatif aux sulfures, mais également applicable dans le contexte du Règlement relatif aux nodules; d) l’obligation d’adopter des mesures afin que le contractant fournisse des garanties dans l’éventualité d’ordres en cas d’urgence pour assurer la protection du milieu marin; et e) l’obligation d’offrir des voies de recours pour obtenir réparation. L’Etat qui patronne a l’obligation de diligence requise de veiller à ce que le contractant patronné respecte l’obligation de procéder à une évaluation de l’impact sur l’environnement qui lui est faite au paragraphe 7, de la section 1 de l’annexe à l’Accord de 1994. L’obligation de procéder à une évaluation de l’impact sur l’environnement est également une obligation générale en droit coutumier et est énoncée en tant qu’obligation directe de tous les Etats à l’article 206 de la Convention et en tant qu’un des aspects de l’obligation faite à l’Etat qui patronne d’aider l’Autorité en vertu l’article 153, paragraphe 4, de la Convention. Ces deux types d’obligations s’appliquent également aux Etats développés et aux Etats en développement, sauf disposition contraire dans les textes applicables, tel que le principe 15 de la Déclaration de Rio, dont il est fait mention dans le Règlement relatif aux nodules et dans le Règlement relatif aux sulfures, selon lequel les Etats doivent appliquer l’approche de précaution « selon leurs capacités ». Les dispositions de la Convention qui prennent en compte des intérêts et des besoins spécifiques des pays en développement devraient être appliquées effectivement afin que les Etats en développement soient en mesure de participer aux activités minières relatives aux grands fonds marins sur un pied d’égalité avec les Etats développés.\n\n4. A l’unanimité, Répond comme suit à la Question 2 soumise par le Conseil : La responsabilité de l’Etat qui patronne est engagée lorsqu’il y a manquement aux obligations qui lui incombent en vertu de la Convention et des instruments qui s’y rapportent. Le manquement du contractant patronné à ses obligations n’engage pas automatiquement la responsabilité de l’Etat qui patronne. Les conditions auxquelles la responsabilité de l’Etat qui patronne est engagée sont les suivantes : a) Manquement de l’Etat qui patronne aux obligations qui lui incombent aux termes de la Convention; b) Existence d’un dommage. La responsabilité de l’Etat qui patronne en cas de manquement à ses obligations de diligence requise nécessite qu’un lien de causalité soit établi entre ce manquement et le dommage. Cette responsabilité est déclenchée par un dommage résultant d’un manquement du contractant patronné à ses obligations. L’existence d’un lien de causalité entre le manquement de l’Etat qui patronne et le dommage est requise et ne peut être présumée. L’Etat qui patronne est exonéré de toute responsabilité s’il a pris « toutes les mesures nécessaires et appropriées pour assurer le respect effectif », par le contractant patronné, des obligations qui incombent à ce dernier. Cette exonération de responsabilité ne s’applique pas si l’Etat qui patronne a manqué à ses obligations directes. La responsabilité de l’Etat qui patronne et celle du contractant patronné existent parallèlement et ne sont pas conjointes et solidaires. L’Etat qui patronne n’a pas de responsabilité résiduelle. En cas de patronage multiple, la responsabilité est conjointe et solidaire sauf si les Règlements de l’Autorité en disposent autrement. La responsabilité de l’Etat qui patronne doit correspondre au montant effectif du dommage. Aux termes du Règlement relatif aux nodules et du Règlement relatif aux sulfures, le contractant reste responsable même après l’achèvement de la phase d’exploration. Ceci est également applicable à la responsabilité de l’Etat qui patronne. Les règles relatives à la responsabilité énoncées dans la Convention et les instruments qui s’y rapportent sont sans préjudice des règles du droit international. Dans le cas où l’Etat qui patronne a honoré ses obligations, le dommage causé par le contractant patronné n’engage pas la responsabilité de l’Etat qui patronne. Si l’Etat qui patronne a manqué à ses obligations et qu’il n’en est pas résulté de dommages, les conséquences de cet acte illicite sont déterminées par le droit international coutumier. Il pourrait être envisagé de créer un fonds d’affectation spéciale pour couvrir les dommages non couverts en vertu de la Convention.\n\n5. A l’unanimité, Répond comme suit à la Question 3 soumise par le Conseil : La Convention demande que l’Etat qui patronne adopte, au sein de son système juridique, des lois et règlements et prenne des mesures administratives qui ont deux fonctions distinctes, d’une part, faire en sorte que le contractant honore les obligations qui lui incombent, de l’autre, exonérer l’Etat qui patronne de sa responsabilité. La nature et la portée de ces lois et règlements et des mesures administratives sont fonction du système juridique de l’Etat qui patronne. Ces lois et règlements et ces mesures administratives peuvent prévoir la mise en place de mécanismes de surveillance active des activités du contractant patronné et de coordination entre les activités de l’Etat qui patronne et celles de l’Autorité. Les lois et règlements et les mesures administratives devraient être en vigueur aussi longtemps que le contrat passé avec l’Autorité est applicable. L’existence de ces lois et règlements et de ces mesures administratives n’est pas une condition de la conclusion d’un contrat avec l’Autorité; toutefois, elle est nécessaire pour que l’Etat qui patronne s’acquitte de l’obligation de diligence requise et qu’il puisse être exonéré de sa responsabilité. Ces mesures nationales devraient aussi couvrir les obligations qui incombent au contractant après l’achèvement de la phase d’exploration, conformément à l’article 30 du Règlement relatif aux nodules et à l’article 32 du Règlement relatif aux sulfures. Compte tenu de l’exigence selon laquelle les mesures adoptées par l’Etat qui patronne doivent être des lois et règlements et des mesures administratives, on ne saurait considérer que cet Etat a satisfait à ses obligations s’il a seulement conclu un arrangement contractuel avec le contractant. L’Etat qui patronne ne dispose pas d’un pouvoir discrétionnaire absolu en ce qui concerne l’adoption de lois et règlements et la prise de mesures administratives. Il doit agir de bonne foi en prenant en considération les différentes options qui se présentent à lui d’une manière raisonnable, pertinente et favorable à l’intérêt de l’humanité tout entière. En matière de protection du milieu marin, les lois et règlements et les mesures administratives de l’Etat qui patronne ne peuvent pas être moins stricts que ceux adoptés par l’Autorité ou moins efficaces que les règles, règlements et procédures internationaux. Les dispositions que l’Etat qui patronne peut juger nécessaire d’inclure dans sa législation nationale peuvent concerner, entre autres, la viabilité financière et les capacités techniques des contractants patronnés, les conditions régissant la délivrance d’un certificat de patronage et les sanctions en cas de manquement desdits contractants. Au titre de son obligation de « diligence requise », l’Etat qui patronne doit veiller à ce que les obligations du contractant patronné soient rendues exécutoires. Des indications précises quant au contenu des mesures nationales à prendre par l’Etat qui patronne sont données dans diverses dispositions de la Convention et des instruments qui s’y rapportent. Ceci s’applique, en particulier, aux dispositions de l’article 39 du Statut requérant que les décisions de la Chambre soient exécutoires sur le territoire des Etats Parties au même titre que les arrêts ou ordonnances de la plus haute instance judiciaire de l’Etat Partie sur le territoire duquel l’exécution est demandée. Fait en anglais et en français, les deux textes faisant également foi, en la Ville libre et hanséatique de Hambourg, le premier février deux mille onze, en trois exemplaires, dont l’un sera déposé aux archives du Tribunal et les autres seront transmis à l’Autorité internationale des fonds marins et au Secrétaire général de l’Organisation des Nations Unies. (signé) (signé) Le Président, Tullio Treves Le Greffier, Philippe Gautier\n", "n_chars": 168729}
{"corpus_id": "un/agreement/unclos-partxi-impl-1994", "version_id": "1994-07-28", "title": "Agreement relating to the Implementation of Part XI of the United Nations Convention on the Law of the Sea of 10 December 1982", "short_title": "1994 Part XI Implementation Agreement", "jurisdiction": "international", "document_type": "implementing_agreement", "official_citation": "Agreement relating to the Implementation of Part XI of UNCLOS, 28 July 1994, 1836 UNTS 3; UNGA res. 48/263, annex", "authentic_languages": ["ar", "zh", "en", "fr", "ru", "es"], "language": "en", "adoption_date": "1994-07-28", "entry_into_force_date": "1996-07-28", "source_url": "https://www.un.org/depts/los/convention_agreements/texts/agreement_part_xi/agreement_part_xi.htm", "source_publisher": "United Nations Division for Ocean Affairs and the Law of the Sea (DOALOS), Office of Legal Affairs", "source_is_official": true, "authoritative_status": "authentic_text", "text_fidelity": "extracted_verified", "content_hash": "sha256:42359bda408c66d524c78a0a4ffd2d8d0420bbb6882bf5a9ef9e539e222a2e4a", "original_sha256": "sha256:42359bda408c66d524c78a0a4ffd2d8d0420bbb6882bf5a9ef9e539e222a2e4a", "text_sha256": "sha256:42359bda408c66d524c78a0a4ffd2d8d0420bbb6882bf5a9ef9e539e222a2e4a", "license": "un-materials-terms", "rights_note": "DOALOS web text carries the notice: \"The text may be used and reproduced freely by giving acknowledgment to the Division. This is not an official document.\" UN materials used with attribution to the United Nations; not relicensed.", "provenance_note": "English authentic text (Preamble, arts. 1–10, and the Annex, Sections 1–9) captured 2026-07-03 from the single DOALOS page agreement_part_xi.htm via the approved web-fetch tool. The DOALOS markdown ran paragraphs together; a deterministic cleaner (scripts documented in the build log) reconstructed article/section boundaries and numbered paragraphs and normalised whitespace — no wording was altered. This is a text extraction, NOT a byte-exact PDF; a human-downloaded byte-exact official file is a recommended provenance upgrade. Per Agreement art. 2, this Agreement and Part XI are interpreted and applied as a single instrument and, on any inconsistency, this Agreement prevails. Other five authentic languages not yet stored — recorded coverage gap (JC-003).", "text": "Agreement relating to the Implementation of Part XI of the United Nations Convention on the Law of the Sea of 10 December 1982\n\nThe 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:\n\nArticle 1. Implementation of Part XI\n\n1. The States Parties to this Agreement undertake to implement Part XI in accordance with this Agreement.\n\n2. The Annex forms an integral part of this Agreement.\n\nArticle 2. Relationship between this Agreement and Part XI\n\n1. The provisions of this Agreement and Part XI shall be interpreted and applied together as a single instrument. In the event of any inconsistency between this Agreement and Part XI, the provisions of this Agreement shall prevail.\n\n2. Articles 309 to 319 of the Convention shall apply to this Agreement as they apply to the Convention.\n\nArticle 3. Signature\n\nThis 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.\n\nArticle 4. Consent to be bound\n\n1. 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.\n\n2. 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.\n\n3. A State or entity referred to in article 3 may express its consent to be bound by this Agreement by:\n\n(a) Signature not subject to ratification, formal confirmation or the procedure set out in article 5;\n\n(b) Signature subject to ratification or formal confirmation, followed by ratification or formal confirmation;\n\n(c) Signature subject to the procedure set out in article 5; or(d) Accession.\n\n4. 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.\n\n5. The instruments of ratification, formal confirmation or accession shall be deposited with the Secretary-General of the United Nations.\n\nArticle 5. Simplified procedure\n\n1. 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.\n\n2. In the event of such notification, consent to be bound by this Agreement shall be established in accordance with article 4, paragraph 3(b).\n\nArticle 6. Entry into force\n\n1. 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 shall enter into force on 16 November 1994.\n\n2. 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.\n\nArticle 7. Provisional application\n\n1. If on 16 November 1994 this Agreement has not entered into force, it shall be applied provisionally pending its entry into force by:\n\n(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;\n\n(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.(c) States and entities which consent to its provisional application by so notifying the depositary in writing;\n\n(d) States which accede to this Agreement.\n\n2. 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.\n\n3. 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 1(a) of resolution II has not been fulfilled.\n\nArticle 8. States Parties\n\n1. 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.\n\n2. 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.\n\nArticle 9. Depositary\n\nThe Secretary-General of the United Nations shall be the depositary of this Agreement.\n\nArticle 10. Authentic texts\n\nThe 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 twenty-eighth day of July, one thousand nine hundred and ninety-four.\n\n---\n\nANNEX\n\nSECTION 1. COSTS TO STATES PARTIES AND INSTITUTIONAL ARRANGEMENTS\n\n1. 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.\n\n2. 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.\n\n3. 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.\n\n4. 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.\n\n5. Between the entry into force of the Convention and the approval of the first plan of work for exploitation, the Authority shall concentrate on:\n\n(a) Processing of applications for approval of plans of work for exploration in accordance with Part XI and this Agreement;\n\n(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;\n\n(c) Monitoring of compliance with plans of work for exploration approved in the form of contracts;\n\n(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;\n\n(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;\n\n(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;\n\n(g) Adoption of rules, regulations and procedures incorporating applicable standards for the protection and preservation of the marine environment;\n\n(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;\n\n(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;\n\n(j) Assessment of available data relating to prospecting and exploration;\n\n(k) Timely elaboration of rules, regulations and procedures for exploitation, including those relating to the protection and preservation of the marine environment.\n\n6. (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:\n\n(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 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;\n\n(v) Resolution II, paragraph 8(c), shall be interpreted and applied in accordance with subparagraph (a)(iv).(b) The approval of a plan of work for exploration shall be in accordance with article 153, paragraph 3, of the Convention.\n\n7. 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 oceanographic and baseline environmental studies in accordance with the rules, regulations and procedures adopted by the Authority.\n\n8. 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.\n\n9. 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.\n\n10. 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.\n\n11. 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.\n\n12. 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:\n\n(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 concerned has been making efforts in good faith to become a party to the Agreement and the Convention;\n\n(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;\n\n(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:\n\n(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;\n\n(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;\n\n(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.\n\n13. 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.\n\n14. 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.\n\n15. 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:\n\n(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;\n\n(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;\n\n(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.\n\n16. 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.\n\n17. The relevant provisions of Part XI, section 4, of the Convention shall be interpreted and applied in accordance with this Agreement.\n\nSECTION 2. THE ENTERPRISE\n\n1. 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:\n\n(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;\n\n(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;\n\n(c) Assessment of available data relating to prospecting and exploration, including the criteria for such activities;\n\n(d) Assessment of technological developments relevant to activities in the Area, in particular technology relating to the protection and preservation of the marine environment;\n\n(e) Evaluation of information and data relating to areas reserved for the Authority;\n\n(f) Assessment of approaches to joint-venture operations;\n\n(g) Collection of information on the availability of trained manpower;\n\n(h) Study of managerial policy options for the administration of the Enterprise at different stages of its operations.\n\n2. 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.\n\n3. 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.\n\n4. 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.\n\n5. 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 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.\n\n6. 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.\n\nSECTION 3. DECISION-MAKING\n\n1. The general policies of the Authority shall be established by the Assembly in collaboration with the Council.\n\n2. As a general rule, decision-making in the organs of the Authority should be by consensus.\n\n3. 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.\n\n4. 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.\n\n5. 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.\n\n6. 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.\n\n7. Decisions by the Assembly or the Council having financial or budgetary implications shall be based on the recommendations of the Finance Committee.\n\n8. The provisions of article 161, paragraph 8(b) and (c), of the Convention shall not apply.\n\n9. (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.(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.\n\n10. 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.\n\n11. (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.\n\n12. 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.\n\n13. Decisions by voting in the Legal and Technical Commission shall be by a majority of members present and voting.\n\n14. Part XI, section 4, subsections B and C, of the Convention shall be interpreted and applied in accordance with this section.\n\n15. The Council shall consist of 36 members of the Authority elected by the Assembly in the following order:\n\n(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 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;\n\n(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;\n\n(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;\n\n(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;\n\n(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.\n\n16. The provisions of article 161, paragraph 1, of the Convention shall not apply.\n\nSECTION 4. REVIEW CONFERENCE\n\nThe 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 1, 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.\n\nSECTION 5. TRANSFER OF TECHNOLOGY\n\n1. 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:\n\n(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;\n\n(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;\n\n(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.\n\n2. The provisions of Annex III, article 5, of the Convention shall not apply.\n\nSECTION 6. PRODUCTION POLICY\n\n1. The production policy of the Authority shall be based on the following principles:\n\n(a) Development of the resources of the Area shall take place in accordance with sound commercial principles;\n\n(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;\n\n(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);\n\n(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:\n\n(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;\n\n(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;\n\n(f) The following shall apply to the settlement of disputes concerning the provisions of the agreements referred to in subparagraph (b):\n\n(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;\n\n(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.\n\n2. 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.\n\n3. 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.\n\n4. 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).\n\n5. 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).\n\n6. 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.\n\n7. 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.\n\nSECTION 7. ECONOMIC ASSISTANCE\n\n1. 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:\n\n(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;\n\n(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;\n\n(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;\n\n(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.\n\n2. 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(l), 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.\n\nSECTION 8. FINANCIAL TERMS OF CONTRACTS\n\n1. The following principles shall provide the basis for establishing rules, regulations and procedures for financial terms of contracts:\n\n(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;\n\n(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;\n\n(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;\n\n(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;\n\n(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;\n\n(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.\n\n2. The provisions of Annex III, article 13, paragraphs 3 to 10, of the Convention shall not apply.\n\n3. 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.\n\nSECTION 9. THE FINANCE COMMITTEE\n\n1. 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.\n\n2. No two members of the Finance Committee shall be nationals of the same State Party.\n\n3. 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 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.\n\n4. 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.\n\n5. 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.\n\n6. 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.\n\n7. Decisions by the Assembly and the Council on the following issues shall take into account recommendations of the Finance Committee:\n\n(a) Draft financial rules, regulations and procedures of the organs of the Authority and the financial management and internal financial administration of the Authority;\n\n(b) Assessment of contributions of members to the administrative budget of the Authority in accordance with article 160, paragraph 2(e), of the Convention;\n\n(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;\n\n(d) The administrative budget;\n\n(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;\n\n(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.\n\n8. 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.\n\n9. 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.\n", "n_chars": 48945}
{"corpus_id": "un/agreement/unclos-partxi-impl-1994-es", "version_id": "1994-07-28", "title": "Acuerdo relativo a la aplicación de la Parte XI de la Convención de las Naciones Unidas sobre el Derecho del Mar de 10 de diciembre de 1982", "short_title": "Acuerdo de 1994 sobre la aplicación de la Parte XI [ES]", "jurisdiction": "international", "document_type": "implementing_agreement", "official_citation": "Acuerdo relativo a la aplicación de la Parte XI de la CNUDM, 28 de julio de 1994, 1836 UNTS 3 (anexo de la resolución A/RES/48/263)", "authentic_languages": ["ar", "zh", "en", "fr", "ru", "es"], "language": "es", "adoption_date": "1994-07-28", "entry_into_force_date": "1996-07-28", "source_url": "https://undocs.org/es/A/RES/48/263", "source_publisher": "Naciones Unidas (A/RES/48/263)", "source_is_official": true, "authoritative_status": "authentic_text", "text_fidelity": "extracted_verified", "content_hash": "sha256:9afcce9a8b9d836c48574d33ad701e7e881ee3b9c2449e55f55dd68fd2abf5e2", "original_sha256": "sha256:220b6096c18e3bf8c1da936efe91cfd8e929dcaaa0fc7eb6c3582c8c009b9e64", "text_sha256": "sha256:9afcce9a8b9d836c48574d33ad701e7e881ee3b9c2449e55f55dd68fd2abf5e2", "license": "un-materials-terms", "rights_note": "Texto auténtico español; documento oficial, atribuido a la fuente; no relicenciado.", "provenance_note": "TEXTO AUTÉNTICO ESPAÑOL — sibling under JC-006 (English base record is un/agreement/unclos-partxi-impl-1994). Authentic in the six UN languages, all equally authoritative; the Spanish text is stored here. Byte-exact official PDF (human download) stored as original.pdf; text extracted with pdftotext and cleaned by the committed scripts/extract.py, byte-exact reproducible; page furniture removed, no wording changed. An equally-authentic language version, NOT a translation.", "text": "Acuerdo relativo a la aplicación de la Parte XI de la Convención de las Naciones Unidas sobre el Derecho del Mar de 10 de diciembre de 1982 [ES]\n\nACUERDO RELATIVO A LA APLICACIÓN DE LA PARTE XI DE LA CONVENCIÓN DE LAS NACIONES UNIDAS SOBRE EL DERECHO DEL MAR DE 10 DE DICIEMBRE DE 1982 Los Estados Partes en este Acuerdo, Reconociendo la importante contribución de la Convención de las Naciones Unidas sobre el Derecho del Mar de 10 de diciembre de 1982 1/ (en adelante, \"la Convención\") al mantenimiento de la paz, la justicia y el progreso de todos los pueblos del mundo, Reafirmando que los fondos marinos y oceánicos y su subsuelo, fuera de los límites de la jurisdicción nacional (en adelante, \"la Zona\"), así como sus recursos, son patrimonio común de la humanidad, Conscientes de la importancia que reviste la Convención para la protección y preservación del medio marino y de la creciente preocupación por el medio ambiente mundial, Habiendo examinado el informe del Secretario General de las Naciones Unidas sobre los resultados de las consultas oficiosas entre Estados celebradas desde 1990 hasta 1994 sobre las cuestiones pendientes relativas a la Parte XI y disposiciones conexas de la Convención 4/ (en adelante, \"la Parte XI\"), Observando los cambios políticos y económicos, entre ellos, los sistemas orientados al mercado, que afectan la aplicación de la Parte XI, Deseando facilitar la participación universal en la Convención, Considerando que un acuerdo relativo a la aplicación de la Parte XI sería el mejor medio de lograr ese objetivo, Han acordado lo siguiente:\n\nArtículo 1. Aplicación de la Parte XI\n\n1. Los Estados Partes en este Acuerdo se comprometen a aplicar la Parte XI de conformidad con este Acuerdo.\n\n2. El Anexo forma parte integrante de este Acuerdo.\n\nArtículo 2. Relación entre este Acuerdo y la Parte XI\n\n1. Las disposiciones de este Acuerdo y de la Parte XI deberán ser interpretadas y aplicadas en forma conjunta como un solo instrumento. En caso de haber discrepancia entre este Acuerdo y la Parte XI, prevalecerán las disposiciones de este Acuerdo.\n\n2. Los artículos 309 a 319 de la Convención se aplicarán a este Acuerdo en la misma forma en que se aplican a la Convención.\n\nArtículo 3. Firma Este Acuerdo estará abierto a la firma de los Estados y las entidades mencionados en los apartados a), c), d), e) y f) del párrafo 1 del artículo 305 de la Convención, en la Sede de las Naciones Unidas, durante 12 meses contados desde la fecha de su adopción.\n\nArtículo 4. Consentimiento en obligarse\n\n1. Después de la adopción de este Acuerdo, todo instrumento de ratificación o de confirmación formal de la Convención o de adhesión a ella constituirá también consentimiento en obligarse por el Acuerdo.\n\n2. Ningún Estado o entidad podrá manifestar su consentimiento en obligarse por este Acuerdo a menos que haya manifestado previamente o manifieste al mismo tiempo su consentimiento en obligarse por la Convención.\n\n3. Los Estados o entidades mencionados en el artículo 3 podrán manifestar su consentimiento en obligarse por este Acuerdo mediante: a) Firma no sujeta a ratificación, confirmación formal o al procedimiento establecido en el artículo 5; b) Firma sujeta a ratificación o confirmación formal, seguida de ratificación o confirmación formal; c) Firma sujeta al procedimiento establecido en el artículo 5; o d) Adhesión.\n\n4. La confirmación formal por las entidades mencionadas en el apartado f) del párrafo 1 del artículo 305 de la Convención se hará de conformidad con el anexo IX de la Convención.\n\n5. Los instrumentos de ratificación, confirmación formal o adhesión se depositarán en poder del Secretario General de las Naciones Unidas.\n\nArtículo 5. Procedimiento simplificado\n\n1. Se considerará que los Estados o entidades que hayan depositado, antes de la fecha de adopción de este Acuerdo, un instrumento de ratificación o confirmación formal de la Convención o de adhesión a ella y que hayan firmado este Acuerdo de conformidad con lo dispuesto en el apartado c) del párrafo 3 del artículo 4, han manifestado su consentimiento en obligarse por este Acuerdo 12 meses después de la fecha de su adopción, a menos que tales Estados o entidades notifiquen al depositario por escrito antes de esa fecha que no se acogerán al procedimiento simplificado establecido en este artículo.\n\n2. En el caso de tal notificación, se manifestará el consentimiento en obligarse por este Acuerdo con arreglo a lo dispuesto en el apartado b) del párrafo 3 del artículo 4.\n\nArtículo 6. Entrada en vigor\n\n1. Este Acuerdo entrará en vigor 30 días después de la fecha en que 40 Estados hayan manifestado su consentimiento en obligarse de conformidad con los artículos 4 y 5, siempre que entre ellos figuren al menos siete de los Estados mencionados en el apartado a) del párrafo 1 de la resolución II de la Tercera Conferencia de las Naciones Unidas sobre el Derecho del Mar 5/ (en adelante, la \"resolución II\"), de los cuales al menos cinco deberán ser Estados desarrollados. Si las condiciones para la entrada en vigor se cumplen antes del 16 de noviembre de 1994, este Acuerdo entrará en vigor el 16 de noviembre de 1994.\n\n2. Respecto de cada Estado o entidad que manifieste su consentimiento en obligarse por este Acuerdo después de que se hayan cumplido los requisitos establecidos en el párrafo 1, este Acuerdo entrará en vigor al trigésimo día siguiente a la fecha en que haya manifestado su consentimiento en obligarse.\n\nArtículo 7. Aplicación provisional\n\n1. Si este Acuerdo no ha entrado en vigor el 16 de noviembre de 1994, será aplicado provisionalmente hasta su entrada en vigor por: a) Los Estados que hayan consentido en su adopción en la Asamblea General de las Naciones Unidas, salvo aquellos que antes del 16 de noviembre de 1994 notifiquen al depositario por escrito que no aplicarán en esa forma el Acuerdo o que consentirán en tal aplicación únicamente previa firma o notificación por escrito; b) Los Estados y entidades que firmen este Acuerdo, salvo aquellos que notifiquen al depositario por escrito en el momento de la firma que no aplicarán en esa forma el Acuerdo; c) Los Estados y entidades que consientan en su aplicación provisional mediante notificación por escrito de su consentimiento al depositario; d) Los Estados que se adhieran a este Acuerdo.\n\n2. Todos esos Estados y entidades aplicarán este Acuerdo provisionalmente de conformidad con sus leyes y reglamentos nacionales o internos, con efecto a partir del 16 de noviembre de 1994 o a partir de la fecha de la firma, la notificación del consentimiento o la adhesión, si ésta fuese posterior.\n\n3. La aplicación provisional terminará en la fecha de entrada en vigor de este Acuerdo. En todo caso, la aplicación provisional terminará el 16 de noviembre de 1998 si en esa fecha no se ha cumplido el requisito 5/ Documentos Oficiales de la Tercera Conferencia de las Naciones Unidas sobre el Derecho del Mar, vol. XVII (publicación de las Naciones Unidas, No. de venta: S.84.V.3), documento A/CONF.62/121, anexo I. establecido en el párrafo 1 del artículo 6 de que hayan consentido en obligarse por este Acuerdo al menos siete de los Estados mencionados en el apartado a) del párrafo 1 de la resolución II (de los cuales al menos cinco deberán ser Estados desarrollados).\n\nArtículo 8. Estados Partes\n\n1. Para los efectos de este Acuerdo, por \"Estados Partes\" se entiende los Estados que hayan consentido en obligarse por este Acuerdo y para los cuales el Acuerdo esté en vigor.\n\n2. Este Acuerdo se aplicará mutatis mutandis a las entidades mencionadas en los apartados c), d), e) y f) del párrafo 1 del artículo 305 de la Convención que lleguen a ser partes en el Acuerdo de conformidad con los requisitos pertinentes a cada una de ellas, y en esa medida, el término \"Estados Partes\" se refiere a esas entidades.\n\nArtículo 9. Depositario El Secretario General de las Naciones Unidas será el depositario de este Acuerdo.\n\nArtículo 10. Textos auténticos El original de este Acuerdo, cuyos textos en árabe, chino, español, francés, inglés y ruso son igualmente auténticos, será depositado en poder del Secretario General de las Naciones Unidas. EN TESTIMONIO DE LO CUAL, los Plenipotenciarios infrascritos, debidamente autorizados para ello, han firmado este Acuerdo. HECHO EN NUEVA YORK, el día ... de julio de mil novecientos noventa y cuatro. Anexo\n\nSECCIÓN 1.. COSTOS PARA LOS ESTADOS PARTES Y ARREGLOS INSTITUCIONALES\n\n1. La Autoridad Internacional de los Fondos Marinos (en adelante, \"la Autoridad\") es la organización por conducto de la cual los Estados Partes en la Convención, de conformidad con el régimen establecido para la Zona en la Parte XI y en este Acuerdo, organizarán y controlarán las actividades en la Zona, particularmente con miras a la administración de los recursos de la Zona. La Autoridad tendrá las facultades y funciones que expresamente se le confieren por la Convención. Tendrá también las facultades accesorias, compatibles con la Convención, que resulten implícitas y necesarias para el ejercicio de aquellas facultades y funciones con respecto a las actividades en la Zona.\n\n2. Con el objeto de reducir al mínimo los costos para los Estados Partes, todos los órganos y órganos subsidiarios que se establezcan en virtud de la Convención y de este Acuerdo realizarán sus actividades en forma eficaz en función de los costos. Este principio se aplicará también a la frecuencia, la duración y la programación de las reuniones.\n\n3. El establecimiento y funcionamiento de los órganos y órganos subsidiarios de la Autoridad se basarán en un criterio evolutivo, teniendo en cuenta las necesidades funcionales de los órganos y órganos subsidiarios en cuestión, con el fin de que puedan cumplir eficazmente sus respectivas responsabilidades en las diversas etapas del desarrollo de las actividades en la Zona.\n\n4. Las funciones iniciales de la Autoridad al entrar en vigor la Convención serán desempeñadas por la Asamblea, el Consejo, la Secretaría, la Comisión Jurídica y Técnica y el Comité de Finanzas. Las funciones de la Comisión de Planificación Económica serán desempeñadas por la Comisión Jurídica y Técnica hasta el momento en que el Consejo decida otra cosa o hasta que se apruebe el primer plan de trabajo para explotación.\n\n5. Entre la entrada en vigor de la Convención y la aprobación del primer plan de trabajo para explotación, la Autoridad se ocupará principalmente de: a) La tramitación de solicitudes de aprobación de planes de trabajo para exploración de conformidad con la Parte XI y este Acuerdo; b) La aplicación de las decisiones de la Comisión Preparatoria de la Autoridad Internacional de los Fondos Marinos y del Tribunal Internacional del Derecho del Mar (en adelante, \"la Comisión Preparatoria\") relativas a los primeros inversionistas inscritos y sus Estados certificadores, incluidos sus derechos y obligaciones, de conformidad con el párrafo 5 del artículo 308 de la Convención y con el párrafo 13 de la resolución II; c) La vigilancia del cumplimiento de los planes de trabajo para exploración aprobados en forma de contratos; d) El seguimiento y examen de las tendencias y los acontecimientos relativos a las actividades de explotación minera de los fondos marinos, incluido el análisis periódico de las condiciones del mercado mundial de metales, y los precios, tendencias y perspectivas de los metales; e) El estudio de las posibles consecuencias de la producción minera de la Zona para la economía de los Estados en desarrollo productores terrestres de esos minerales que puedan resultar más gravemente afectados, a fin de minimizar sus dificultades y de prestarles ayuda para su reajuste económico, teniendo en cuenta la labor realizada a este respecto por la Comisión Preparatoria; f) La aprobación de las normas, reglamentos y procedimientos necesarios para la realización de las actividades en la Zona a medida que éstas avancen. No obstante lo dispuesto en los apartados b) y c) del párrafo 2 del artículo 17 del Anexo III de la Convención, tales normas, reglamentos y procedimientos tendrán en cuenta las disposiciones de este Acuerdo, el retraso prolongado de la explotación minera comercial de los fondos marinos y el ritmo probable de las actividades que se realicen en la Zona; g) La aprobación de normas, reglamentos y procedimientos en que se incorporen los estándares aplicables sobre protección y preservación del medio marino; h) La promoción y el estímulo de la realización de investigaciones científicas marinas con respecto a las actividades realizadas en la Zona y la compilación y difusión de los resultados de esas investigaciones y análisis, cuando se disponga de ellos, haciendo especial hincapié en las investigaciones relativas a los efectos ambientales de las actividades realizadas en la Zona; i) La adquisición de conocimientos científicos y el seguimiento del desarrollo de la tecnología marina pertinente a las actividades en la Zona, en particular la tecnología relacionada con la protección y preservación del medio marino; j) La evaluación de los datos disponibles con respecto a la prospección y exploración; k) La elaboración en el momento oportuno de normas, reglamentos y procedimientos para la explotación, entre ellos, los relativos a la protección y preservación del medio marino.\n\n6. a) El Consejo considerará una solicitud de aprobación de un plan de trabajo para exploración después de recibir una recomendación de la Comisión Jurídica y Técnica acerca de la solicitud. La tramitación de una solicitud de aprobación de un plan de trabajo para exploración se hará de conformidad con las disposiciones de la Convención, incluidas las de su Anexo III, y de este Acuerdo, y con sujeción a las disposiciones siguientes: i) Se considerará que un plan de trabajo para exploración presentado en nombre de un Estado o una entidad, o un componente de una entidad, de los mencionados en los incisos ii) o iii) del apartado a) del párrafo 1 de la resolución II, que no sea un primer inversionista inscrito y que ya hubiere realizado actividades sustanciales en la Zona antes de la entrada en vigor de la Convención, o del sucesor en sus intereses, ha cumplido los requisitos financieros y técnicos necesarios para la aprobación del plan de trabajo si el Estado o los Estados patrocinantes certifican que el solicitante ha gastado una suma equivalente a por lo menos 30 millones de dólares de los EE.UU. en actividades de investigación y exploración y ha destinado no menos del 10% de esa suma a la localización, el estudio y la evaluación del área mencionada en el plan de trabajo. Si por lo demás el plan de trabajo cumple los requisitos de la Convención y de las normas, reglamentos y procedimientos adoptados de conformidad con ella, será aprobado por el Consejo en forma de contrato. Las disposiciones del párrafo 11 de la sección 3 del presente Anexo se interpretarán y aplicarán en consecuencia; ii) No obstante lo dispuesto en el apartado a) del párrafo 8 de la resolución II, un primer inversionista inscrito podrá solicitar la aprobación de un plan de trabajo para exploración en un plazo de 36 meses contados a partir de la entrada en vigor de la Convención. El plan de trabajo para exploración comprenderá los documentos, informes y demás datos que se presenten a la Comisión Preparatoria antes y después de la inscripción, e irá acompañado de un certificado de cumplimiento, consistente en un informe fáctico en que se describa la forma en que se ha dado cumplimiento a las obligaciones comprendidas en el régimen de los primeros inversionistas, expedido por la Comisión Preparatoria de conformidad con lo dispuesto en el apartado a) del párrafo 11 de la resolución II. Dicho plan de trabajo se considerará aprobado. El plan de trabajo aprobado tendrá la forma de un contrato concertado entre la Autoridad y el primer inversionista registrado de conformidad con lo dispuesto en la Parte XI y en este Acuerdo. Se considerará que el canon de 250.000 dólares de los EE.UU., pagado de conformidad con lo dispuesto en el apartado a) del párrafo 7 de la resolución II, constituye el canon correspondiente a la etapa de exploración con arreglo a lo dispuesto en el párrafo 3 de la sección 8 del presente Anexo. El párrafo 11 de la sección 3 del presente Anexo se interpretará y aplicará en consecuencia; iii) De conformidad con el principio de no discriminación, en todo contrato celebrado con un Estado o una entidad o un componente de una entidad de los mencionados en el inciso i) del apartado a), se incluirán condiciones similares y no menos favorables a las convenidas con cualquier primer inversionista inscrito de los mencionados en el inciso ii) del apartado a). Si se estipulan condiciones más favorables para cualquiera de los Estados, las entidades o los componentes de entidades mencionados en el inciso i) del apartado a), el Consejo estipulará condiciones similares y no menos favorables con respecto a los derechos y obligaciones asumidos por los primeros inversionistas inscritos mencionados en el inciso ii) del apartado a), siempre y cuando esas condiciones no afecten ni perjudiquen los intereses de la Autoridad; iv) El Estado que patrocina una solicitud de aprobación de un plan de trabajo con arreglo a las disposiciones de los incisos i) o ii) del apartado a), podrá ser un Estado Parte o un Estado que esté aplicando provisionalmente este Acuerdo en virtud del artículo 7, o un Estado que sea miembro de la Autoridad con carácter provisional, de conformidad con lo dispuesto en el párrafo 12; v) El apartado c) del párrafo 8 de la resolución II se interpretará y aplicará de conformidad con lo establecido en el inciso iv) del apartado a); b) La aprobación de los planes de trabajo para exploración se hará de conformidad con lo dispuesto en el párrafo 3 del artículo 153 de la Convención.\n\n7. Toda solicitud de aprobación de un plan de trabajo irá acompañada de una evaluación de los posibles efectos sobre el medio ambiente de las actividades propuestas y de una descripción de un programa de estudios oceanográficos y estudios de referencia sobre el medio ambiente de conformidad con las normas, reglamentos y procedimientos aprobados por la Autoridad.\n\n8. Toda solicitud de aprobación de planes de trabajo para exploración, con sujeción a las disposiciones de los incisos i) o ii) del apartado a) del párrafo 6, se tramitará de conformidad con los procedimientos establecidos en el párrafo 11 de la sección 3 de este Anexo.\n\n9. Los planes de trabajo para exploración se aprobarán por un período de 15 años. Al expirar el plan de trabajo para exploración, el contratista solicitará la aprobación de un plan de trabajo para explotación, a menos que ya lo haya hecho o que haya obtenido prórroga del plan de trabajo para exploración. Los contratistas podrán solicitar prórrogas por plazos no superiores a cinco años cada vez. Las prórrogas se aprobarán si el contratista se ha esforzado de buena fe por cumplir los requisitos del plan de trabajo, pero por razones ajenas a su voluntad, no ha podido completar el trabajo preparatorio necesario para pasar a la etapa de explotación, o si las circunstancias económicas imperantes no justifican que se pase a la etapa de explotación.\n\n10. La designación de un área reservada para la Autoridad conforme a lo dispuesto en el artículo 8 del Anexo III de la Convención, se efectuará en relación con la aprobación de un plan de trabajo para exploración o con la aprobación de un plan de trabajo para exploración y explotación.\n\n11. No obstante lo dispuesto en el párrafo 9, todo plan de trabajo para exploración aprobado, que esté patrocinado por lo menos por uno de los Estados que estén aplicando provisionalmente este Acuerdo, quedará sin efecto si ese Estado cesa de aplicar provisionalmente el Acuerdo y no ha llegado a ser miembro provisional conforme a lo dispuesto en el párrafo 12, o no ha llegado a ser Estado Parte.\n\n12. Al entrar en vigor este Acuerdo, los Estados y las entidades mencionados en el artículo 3 del Acuerdo que lo hayan estado aplicando provisionalmente de conformidad con el artículo 7 y para los cuales el Acuerdo no esté en vigor, podrán seguir siendo miembros provisionales de la Autoridad hasta que el Acuerdo entre en vigor con respecto a ellos, de conformidad con las disposiciones siguientes: a) Si este Acuerdo entrare en vigor antes del 16 de noviembre de 1996, dichos Estados y entidades tendrán derecho a continuar participando como miembros provisionales de la Autoridad una vez que hayan notificado al depositario del Acuerdo su intención de participar como miembros provisionales. La participación como miembro provisional terminará el 16 de noviembre de 1996 o en la fecha de entrada en vigor de este Acuerdo y de la Convención para tales miembros, si ésta fuese anterior a aquélla. El Consejo, a petición del Estado o la entidad interesados, podrá prorrogar dicha participación más allá del 16 de noviembre de 1996 por uno o más períodos no superiores a dos años en total, a condición de que el Consejo se cerciore de que el Estado o la entidad interesados han estado intentando de buena fe llegar a ser partes en el Acuerdo y en la Convención; b) Si este Acuerdo entrare en vigor después del 15 de noviembre de 1996, dichos Estados y entidades podrán pedir al Consejo que les permita continuar siendo miembros provisionales de la Autoridad por uno o más períodos que no vayan más allá del 16 de noviembre de 1998. El Consejo otorgará dicha calidad de miembro provisional con efecto a partir de la fecha de la solicitud, si le consta que el Estado o entidad ha intentado de buena fe llegar a ser parte en el Acuerdo y en la Convención; c) Los Estados y entidades que sean miembros provisionales de la Autoridad de conformidad con lo dispuesto en los apartados a) o b), aplicarán las disposiciones de la Parte XI y este Acuerdo de conformidad con sus leyes, reglamentos y consignaciones presupuestarias anuales nacionales o internas, y tendrán los mismos derechos y obligaciones que los demás miembros, entre otros: i) La obligación de contribuir al presupuesto administrativo de la Autoridad conforme a la escala de cuotas; ii) El derecho a patrocinar solicitudes de aprobación de planes de trabajo para exploración. En el caso de entidades cuyos componentes sean personas naturales o jurídicas que posean la nacionalidad de más de un Estado, los planes de trabajo para exploración no se aprobarán a menos que todos los Estados cuyas personas naturales o jurídicas compongan esas entidades sean Estados Partes o miembros provisionales; d) No obstante lo dispuesto en el párrafo 9, todo plan de trabajo aprobado en forma de contrato de exploración que haya sido patrocinado conforme a lo dispuesto en el inciso ii) del apartado c) por un Estado que era miembro provisional, quedará sin efecto si el Estado o entidad dejare de ser miembro provisional y no hubiere llegado a ser Estado Parte; e) Si un miembro provisional no ha pagado sus cuotas o ha dejado de cumplir en alguna otra forma sus obligaciones conforme a lo dispuesto en este párrafo, se pondrá término a su calidad de miembro provisional.\n\n13. La referencia al cumplimiento no satisfactorio que figura en el artículo 10 del Anexo III de la Convención se interpretará en el sentido de que el contratista no ha cumplido los requisitos de un plan de trabajo aprobado a pesar de que la Autoridad le ha dirigido una o más advertencias escritas acerca de su cumplimiento.\n\n14. La Autoridad tendrá su propio presupuesto. Hasta el final del año siguiente al año en que este Acuerdo entre en vigor, los gastos administrativos de la Autoridad se sufragarán con cargo al presupuesto de las Naciones Unidas. A partir de entonces, los gastos administrativos de la Autoridad se sufragarán mediante las cuotas de sus miembros, incluidos los miembros provisionales, de conformidad con lo dispuesto en el apartado a) del artículo 171 y el artículo 173 de la Convención y en este Acuerdo, hasta que la Autoridad tenga fondos suficientes procedentes de otras fuentes para sufragar esos gastos. La Autoridad no ejercerá la facultad mencionada en el párrafo 1 del artículo 174 de la Convención con el fin de contratar préstamos para financiar su presupuesto administrativo.\n\n15. La Autoridad elaborará y aprobará, con arreglo a lo dispuesto en el inciso ii) del apartado o) del párrafo 2 del artículo 162 de la Convención, normas, reglamentos y procedimientos basados en los principios contenidos en las secciones 2, 5, 6, 7 y 8 de este Anexo, así como las demás normas, reglamentos y procedimientos que sean necesarios para facilitar la aprobación de los planes de trabajo para exploración o explotación, de conformidad con las disposiciones siguientes: a) El Consejo podrá emprender la elaboración de tales normas, reglamentos o procedimientos en el momento en que estime que son necesarios para la realización de actividades en la Zona o cuando determine que la explotación comercial es inminente, o a petición de un Estado uno de cuyos nacionales se proponga solicitar la aprobación de un plan de trabajo para explotación; b) Si un Estado de los mencionados en el apartado a) pide que se adopten esas normas, reglamentos y procedimientos, el Consejo lo hará dentro de los dos años siguientes a la petición, de conformidad con lo dispuesto en el apartado o) del párrafo 2 del artículo 162 de la Convención; c) Si el Consejo no ha finalizado la elaboración de las normas, reglamentos y procedimientos relacionados con la explotación en el plazo prescrito, y está pendiente la aprobación de una solicitud de plan de trabajo para explotación, procederá de todos modos a considerar y aprobar provisionalmente ese plan de trabajo sobre la base de las disposiciones de la Convención y de todas las normas, reglamentos y procedimientos que el Consejo haya aprobado provisionalmente, o sobre la base de las normas contenidas en la Convención y de los términos y principios contenidos en el presente anexo, así como del principio de no discriminación entre contratistas.\n\n16. Los proyectos de normas, reglamentos y procedimientos y todas las recomendaciones relativas a las disposiciones de la Parte XI que figuren en los informes y recomendaciones de la Comisión Preparatoria, serán tomados en cuenta por la Autoridad al adoptar normas, reglamentos y procedimientos de conformidad con lo dispuesto en la Parte XI y en este Acuerdo.\n\n17. Las disposiciones pertinentes de la sección 4 de la Parte XI de la Convención se interpretarán y aplicarán de conformidad con este Acuerdo.\n\nSECCIÓN 2.. LA EMPRESA\n\n1. La Secretaría de la Autoridad desempeñará las funciones de la Empresa hasta que ésta comience a operar independientemente de la Secretaría. El Secretario General de la Autoridad nombrará de entre el personal de la Autoridad un Director General interino que supervisará la realización de esas funciones por la Secretaría. Esas funciones serán las siguientes: a) Seguimiento y análisis de las tendencias y acontecimientos relacionados con las actividades de explotación minera de los fondos marinos, incluido el análisis periódico de las condiciones del mercado mundial de metales, y los precios, tendencias y perspectivas de los metales; b) Evaluación de los resultados de las investigaciones científicas marinas llevadas a cabo con respecto a las actividades realizadas en la Zona, y especialmente los de las investigaciones relacionadas con el impacto ambiental de las actividades realizadas en la Zona; c) Evaluación de los datos disponibles con respecto a la prospección y la exploración, incluidos los principios aplicables a esas actividades; d) Evaluación de los adelantos tecnológicos de importancia para las actividades realizadas en la Zona, en particular la tecnología relativa a la protección y preservación del medio marino; e) Evaluación de la información y los datos relativos a las áreas reservadas para la Autoridad; f) Evaluación de las pautas que deben seguirse en las operaciones de empresa conjunta; g) Reunión de información acerca de la disponibilidad de mano de obra calificada; h) Estudio de las distintas políticas de gestión aplicables a la administración de la Empresa en diferentes etapas de sus operaciones.\n\n2. La Empresa llevará a cabo sus actividades iniciales de explotación minera de los fondos marinos por medio de empresas conjuntas. Al aprobarse un plan de trabajo para explotación para una entidad distinta de la Empresa, o al recibir el Consejo una solicitud de constitución de empresa conjunta con la Empresa, el Consejo se ocupará de la cuestión del funcionamiento de la Empresa independientemente de la Secretaría de la Autoridad. Si las operaciones realizadas en régimen de empresa conjunta con la Empresa se basan en principios comerciales sólidos, el Consejo emitirá una directriz de conformidad con lo dispuesto en el párrafo 2 del artículo 170 de la Convención, por la que establecerá dicho funcionamiento independiente.\n\n3. La obligación de los Estados Partes de financiar las actividades de la Empresa en un sitio minero prevista en el párrafo 3 del artículo 11 del Anexo IV de la Convención no será aplicable, y los Estados Partes no estarán obligados a financiar ninguna de las operaciones que se lleven a cabo en los sitios mineros de la Empresa ni las que se lleven a cabo conforme a sus arreglos de empresa conjunta.\n\n4. Las obligaciones aplicables a los contratistas se aplicarán a la Empresa. No obstante lo dispuesto en el párrafo 3 del artículo 153 y en el párrafo 5 del artículo 3 del Anexo III de la Convención, un plan de trabajo para la Empresa tendrá, una vez aprobado, la forma de un contrato concertado entre la Autoridad y la Empresa.\n\n5. Un contratista que haya aportado un área determinada a la Autoridad como área reservada tiene derecho de opción preferente a concertar un arreglo de empresa conjunta con la Empresa para la exploración y explotación de esa área. Si la Empresa no presenta una solicitud de aprobación de un plan de trabajo para la realización de actividades respecto de esa área reservada dentro de los 15 años siguientes a la iniciación de sus funciones independientemente de la Secretaría de la Autoridad, o dentro de los 15 años siguientes a la fecha en que se haya reservado esa área para la Autoridad, si esa fecha es posterior, el contratista que haya aportado el área tendrá derecho a solicitar la aprobación de un plan de trabajo respecto de ésta a condición de que ofrezca de buena fe incluir a la Empresa como socio en una empresa conjunta.\n\n6. El párrafo 4 del artículo 170, el Anexo IV y las demás disposiciones de la Convención relativas a la Empresa se interpretarán y aplicarán con arreglo a lo estipulado en esta sección.\n\nSECCIÓN 3.. ADOPCIÓN DE DECISIONES\n\n1. La Asamblea, en colaboración con el Consejo, determinará la política general de la Autoridad.\n\n2. Como norma general, las decisiones de los órganos de la Autoridad se deberán adoptar por consenso.\n\n3. Si todos los intentos de adoptar una decisión por consenso se hubieren agotado, las decisiones sobre cuestiones de procedimiento adoptadas por votación en la Asamblea lo serán por mayoría de los Estados presentes y votantes, y las decisiones sobre cuestiones de fondo se adoptarán por mayoría de dos tercios de los Estados presentes y votantes, con arreglo a lo dispuesto en el párrafo 8 del artículo 159 de la Convención.\n\n4. Las decisiones de la Asamblea sobre cualquier asunto respecto del cual también tenga competencia el Consejo, o sobre cualquier asunto administrativo, presupuestario o financiero, se basarán en las recomendaciones del Consejo. Si la Asamblea no aceptare la recomendación del Consejo sobre algún asunto, devolverá éste al Consejo para que lo examine nuevamente. El Consejo reexaminará el asunto teniendo presentes las opiniones expresadas por la Asamblea.\n\n5. Si todos los intentos de adoptar una decisión por consenso se hubieren agotado, las decisiones sobre cuestiones de procedimiento adoptadas por votación en el Consejo lo serán por mayoría de los miembros presentes y votantes, y las decisiones sobre cuestiones de fondo, salvo en los casos en que la Convención disponga que se adopten por consenso en el Consejo, lo serán por mayoría de dos tercios de los miembros presentes y votantes, a menos que se oponga a tales decisiones la mayoría en cualquiera de las cámaras mencionadas en el párrafo 9. Al adoptar decisiones, el Consejo procurará promover los intereses de todos los miembros de la Autoridad.\n\n6. El Consejo podrá aplazar la adopción de una decisión a fin de facilitar la celebración de nuevas negociaciones cada vez que parezca que no se han agotado todos los intentos por llegar a un consenso respecto de algún asunto.\n\n7. Las decisiones adoptadas por la Asamblea o el Consejo que tengan consecuencias financieras o presupuestarias se basarán en las recomendaciones del Comité de Finanzas.\n\n8. Las disposiciones de los apartados b) y c) del párrafo 8 del artículo 161 de la Convención no serán aplicables.\n\n9. a) Cada grupo de Estados elegido conforme a lo dispuesto en los apartados a) a c) del párrafo 15 será tratado como una cámara para los efectos de la votación en el Consejo. Los Estados en desarrollo elegidos conforme a lo dispuesto en los apartados d) y e) del párrafo 15 serán tratados como una cámara única para los efectos de la votación en el Consejo. b) Antes de elegir a los miembros del Consejo, la Asamblea preparará listas de países que reúnen las condiciones necesarias para formar parte de los grupos de Estados a que se refieren los incisos a) a d) del párrafo 15. Si un Estado reúne las condiciones necesarias para formar parte de más de un grupo, sólo podrá ser propuesto por uno de ellos como candidato a miembro del Consejo y representará únicamente a ese grupo en la votación en el Consejo.\n\n10. Cada grupo de Estados señalado en los apartados a) a d) del párrafo 15 estará representado en el Consejo por los miembros designados por ese grupo. Cada grupo designará sólo tantos candidatos como número de puestos deba ocupar ese grupo. Cuando el número de posibles candidatos de cada uno de los grupos mencionados en los apartados a) a e) del párrafo 15 sea superior al número de puestos disponibles en cada uno de los grupos respectivos, por regla general se aplicará el principio de rotación. Los Estados miembros de cada uno de los grupos determinarán la forma en que se aplicará este principio a esos grupos.\n\n11. a) El Consejo aprobará la recomendación de aprobación de un plan de trabajo formulada por la Comisión Jurídica y Técnica, a menos que el Consejo, por mayoría de dos tercios de sus miembros presentes y votantes, que comprenderá la mayoría de los miembros presentes y votantes en cada una de las cámaras del Consejo, decida rechazar el plan de trabajo. Si el Consejo no adoptare una decisión acerca de una recomendación de aprobación de un plan de trabajo dentro del plazo prescrito, se considerará que la recomendación ha sido aprobada por el Consejo al cumplirse ese plazo. El plazo prescrito normalmente será de 60 días, a menos que el Consejo decida fijar un plazo mayor. Si la Comisión recomienda que se rechace un plan de trabajo o no hace una recomendación, el Consejo podrá aprobar de todos modos el plan de trabajo de conformidad con su reglamento relativo a la adopción de decisiones sobre cuestiones de fondo. b) Las disposiciones del apartado j) del párrafo 2 del artículo 162 de la Convención no serán aplicables.\n\n12. Toda controversia que pudiera producirse con respecto al rechazo de un plan de trabajo, será sometida al procedimiento de solución de controversias establecido en la Convención.\n\n13. La adopción de decisiones mediante votación en la Comisión Jurídica y Técnica se hará por mayoría de los miembros presentes y votantes.\n\n14. Las subsecciones B y C de la sección 4 de la Parte XI de la Convención se interpretarán y aplicarán de conformidad con la presente sección.\n\n15. El Consejo estará integrado por 36 miembros de la Autoridad elegidos por la Asamblea en el orden siguiente: a) Cuatro miembros escogidos entre los Estados Partes que, durante los últimos cinco años respecto de los cuales se disponga de estadísticas, hayan absorbido más del 2% en términos de valor del consumo mundial total o hayan efectuado importaciones netas de más del 2% en términos de valor de las importaciones mundiales totales de los productos básicos obtenidos a partir de las categorías de minerales que hayan de extraerse de la Zona, a condición de que entre esos cuatro miembros se incluya a un Estado de la región de Europa oriental que tenga la economía más importante de esa región en términos de producto interno bruto, y al Estado que, a la fecha de la entrada en vigor de la Convención, tenga la economía más importante en términos de producto interno bruto, si esos Estados desean estar representados en este grupo; b) Cuatro miembros escogidos entre los ocho Estados Partes que, directamente o por medio de sus nacionales, hayan hecho las mayores inversiones en la preparación y realización de actividades en la Zona; c) Cuatro miembros escogidos entre los Estados Partes que, sobre la base de la producción de las áreas que se encuentran bajo su jurisdicción, sean grandes exportadores netos de las categorías de minerales que han de extraerse de la Zona, incluidos por lo menos dos Estados en desarrollo cuyas exportaciones de esos minerales tengan importancia considerable para su economía; d) Seis miembros escogidos entre los Estados Partes en desarrollo, que representen intereses especiales. Los intereses especiales que han de estar representados incluirán los de los Estados con gran población, los Estados sin litoral o en situación geográfica desventajosa, los Estados insulares, los Estados que sean grandes importadores de las categorías de minerales que han de extraerse de la Zona, los Estados que sean productores potenciales de tales minerales y los Estados en desarrollo menos adelantados; e) Dieciocho miembros escogidos de conformidad con el principio de asegurar una distribución geográfica equitativa de los puestos del Consejo en su totalidad, a condición de que cada región geográfica cuente por lo menos con un miembro elegido en virtud de este apartado. A tal efecto se considerarán regiones geográficas África, América Latina y el Caribe, Asia, Europa occidental y otros Estados, y Europa oriental.\n\n16. Las disposiciones del párrafo 1 del artículo 161 de la Convención no serán aplicables.\n\nSECCIÓN 4.. CONFERENCIA DE REVISIÓN Las disposiciones relativas a la Conferencia de Revisión de los párrafos 1, 3 y 4 del artículo 155 de la Convención no serán aplicables. No obstante las disposiciones del párrafo 2 del artículo 314 de la Convención, la Asamblea, por recomendación del Consejo, podrá efectuar en cualquier momento una revisión de los asuntos indicados en el párrafo 1 del artículo 155 de la Convención. Las enmiendas relativas a este Acuerdo y a la Parte XI estarán sujetas a los procedimientos previstos en los artículos 314, 315 y 316 de la Convención, a condición de que se mantengan los principios, el régimen y las demás disposiciones mencionadas en el párrafo 2 del artículo 155 de la Convención y de que los derechos mencionados en el párrafo 5 de ese artículo no resulten afectados.\n\nSECCIÓN 5.. TRANSFERENCIA DE TECNOLOGÍA\n\n1. Además de regirse por las disposiciones del artículo 144 de la Convención, la transferencia de tecnología se regirá, para los efectos de la Parte XI, por los principios siguientes: a) La Empresa y los Estados en desarrollo que deseen obtener tecnología para la explotación minera de los fondos marinos, procurarán obtener esa tecnología según modalidades y condiciones comerciales equitativas y razonables en el mercado abierto, o bien mediante arreglos de empresa conjunta; b) Si la Empresa o los Estados en desarrollo no pudieran obtener tecnología para la explotación minera de los fondos marinos, la Autoridad podrá pedir a todos o a cualquiera de los contratistas y al Estado o los Estados patrocinantes respectivos a que cooperen con ella para facilitar la adquisición de tecnología para la explotación minera de los fondos marinos por la Empresa o por su empresa conjunta, o por uno o varios Estados en desarrollo que deseen adquirir esa tecnología según modalidades y condiciones comerciales equitativas y razonables, compatibles con la protección eficaz de los derechos de propiedad intelectual. Los Estados Partes se comprometen a cooperar plena y efectivamente con la Autoridad en ese sentido y a velar por que los contratistas patrocinados por ellos también cooperen plenamente con la Autoridad; c) Por regla general, los Estados Partes promoverán la cooperación internacional científica y técnica respecto de las actividades en la Zona, ya sea entre las partes interesadas o mediante la creación de programas de capacitación, asistencia técnica y cooperación científica en materia de ciencia y tecnología marina, y de protección y preservación del medio marino.\n\n2. Las disposiciones del artículo 5 del Anexo III de la Convención no serán aplicables.\n\nSECCIÓN 6.. POLÍTICA DE PRODUCCIÓN\n\n1. La política de producción de la Autoridad se basará en los principios siguientes: a) El aprovechamiento de los recursos de la Zona se hará conforme a principios comerciales sólidos; b) Las disposiciones del Acuerdo General sobre Aranceles Aduaneros y Comercio, sus correspondientes códigos y los acuerdos que le sucedan o reemplacen, se aplicarán con respecto a las actividades en la Zona; c) En particular, no se otorgarán subsidios a las actividades realizadas en la Zona salvo en la medida en que lo permitan los acuerdos indicados en el apartado b). El otorgamiento de subsidios para los efectos de estos principios se definirá según los acuerdos indicados en el apartado b); d) No se discriminará entre los minerales extraídos de la Zona y de otras fuentes. No habrá acceso preferente a los mercados para esos minerales, ni para las importaciones de productos básicos elaborados a partir de ellos, en particular: i) Mediante la aplicación de barreras arancelarias o no arancelarias; ii) El que den los Estados Partes a dichos minerales o a los productos básicos elaborados a partir de esos minerales por sus empresas estatales, o por personas naturales o jurídicas que tengan su nacionalidad o estén controladas por ellos o por sus nacionales; e) El plan de trabajo para explotación aprobado por la Autoridad respecto de cada área de explotación minera indicará el calendario de producción previsto, en el que se incluirán las cantidades máximas estimadas de minerales que se producirían por año de conformidad con el plan de trabajo; f) Las reglas que siguen se aplicarán a la solución de las controversias relativas a las disposiciones de los acuerdos mencionados en el apartado b): i) Si los Estados Partes afectados son partes en dichos acuerdos, podrán recurrir a los procedimientos de solución de controversias previstos en esos acuerdos; ii) Si uno o más de los Estados Partes afectados no son partes en dichos acuerdos, podrán recurrir a los procedimientos de solución de controversias establecidos en la Convención; g) En los casos en que se determine, a tenor de los acuerdos mencionados en el apartado b), que un Estado Parte ha otorgado subsidios que están prohibidos o que han redundado en perjuicio de los intereses de otro Estado Parte, y que el Estado Parte o los Estados Partes en cuestión no han adoptado las medidas adecuadas, un Estado Parte podrá pedir al Consejo que adopte tales medidas.\n\n2. Los principios contenidos en el párrafo 1 no afectarán a los derechos y obligaciones previstos en las disposiciones de los acuerdos señalados en el apartado b) del párrafo 1, ni a los acuerdos de libre comercio y de unión aduanera correspondientes, en las relaciones entre Estados Partes que sean partes en esos acuerdos.\n\n3. La aceptación por un contratista de subsidios distintos de los permitidos en virtud de los acuerdos señalados en el apartado b) del párrafo 1 constituirá una violación de los términos fundamentales del contrato por el que se establezca un plan de trabajo para la realización de actividades en la Zona.\n\n4. Todo Estado Parte que tenga razones para creer que ha habido una infracción de los requisitos de los apartados b) a d) del párrafo 1 o del párrafo 3, podrá iniciar un procedimiento de solución de controversias de conformidad con lo dispuesto en los apartados f) o g) del párrafo 1.\n\n5. Un Estado Parte podrá en cualquier momento señalar a la atención del Consejo aquellas actividades que en su opinión sean incompatibles con los requisitos establecidos en los apartados b) a d) del párrafo 1.\n\n6. La Autoridad elaborará normas, reglamentos y procedimientos que garanticen el cumplimiento de las disposiciones de esta sección, entre ellos, normas, reglamentos y procedimientos pertinentes que gobiernen la aprobación de los planes de trabajo.\n\n7. Las disposiciones de los párrafos 1 a 7 y 9 del artículo 151, del apartado q) del párrafo 2 del artículo 162, del apartado n) del párrafo 2 del artículo 165, y del párrafo 5 del artículo 6 y del artículo 7 del Anexo III de la Convención, no serán aplicables.\n\nSECCIÓN 7.. ASISTENCIA ECONÓMICA\n\n1. La política de la Autoridad de prestar asistencia a los países en desarrollo cuyos ingresos de exportación o cuya economía sufran serios perjuicios como consecuencia de una disminución del precio o del volumen de exportaciones de un mineral, en la medida en que tal disminución se deba a actividades en la Zona, se basará en los principios siguientes: a) La Autoridad establecerá un fondo de asistencia económica con cargo a aquella parte de los fondos de la Autoridad que exceda los necesarios para cubrir los gastos administrativos de ésta. La cantidad que se destine a este objeto será determinada periódicamente por el Consejo, por recomendación del Comité de Finanzas. Sólo se destinarán al establecimiento del fondo de asistencia económica fondos procedentes de pagos recibidos de los contratistas, incluida la Empresa, y contribuciones voluntarias; b) Los Estados en desarrollo productores terrestres cuya economía se haya determinado que ha resultado gravemente afectada por la producción de minerales de los fondos marinos recibirán asistencia con cargo al fondo de asistencia económica de la Autoridad; c) La Autoridad prestará asistencia con cargo al fondo a los Estados en desarrollo productores terrestres afectados, cuando corresponda, en cooperación con las instituciones mundiales o regionales de desarrollo existentes que tengan la infraestructura y los conocimientos técnicos necesarios para ejecutar esos programas de asistencia; d) El alcance y la duración de esa asistencia se determinarán en cada caso en particular. Al hacerlo, se tomarán debidamente en consideración el carácter y la magnitud de los problemas con que se han encontrado los Estados en desarrollo productores terrestres que hayan resultado afectados.\n\n2. Lo dispuesto en el párrafo 10 del artículo 151 de la Convención se cumplirá por medio de las medidas de asistencia económica indicadas en el párrafo 1. El apartado l) del párrafo 2 del artículo 160, el apartado n) del párrafo 2 del artículo 162, el apartado d) del párrafo 2 del artículo 164, el apartado f) del artículo 171 y el apartado c) del párrafo 2 del artículo 173 de la Convención serán interpretados en consecuencia.\n\nSECCIÓN 8.. DISPOSICIONES FINANCIERAS DE LOS CONTRATOS\n\n1. Los principios que a continuación se enuncian servirán de base para establecer las normas, los reglamentos y los procedimientos relativos a las disposiciones financieras de los contratos: a) El sistema de pagos a la Autoridad será equitativo tanto para el contratista como para la Autoridad y proporcionará los medios adecuados para determinar si el contratista se ha atenido al sistema; b) Las cuantías de los pagos hechos conforme al sistema serán semejantes a las usuales respecto de la producción terrestre del mismo mineral o de minerales semejantes a fin de evitar que se otorgue a los productores de minerales de los fondos marinos una ventaja competitiva artificial o que se les imponga una desventaja competitiva; c) El sistema no deberá ser complicado y no deberá imponer gastos administrativos importantes a la Autoridad ni al contratista. Deberá considerarse la posibilidad de adoptar un sistema de regalías o un sistema combinado de regalías y participación en los beneficios. Si se decide establecer distintos sistemas, el contratista tendrá el derecho de elegir el sistema aplicable a su contrato. No obstante, todo cambio posterior en cuanto al sistema elegido se hará mediante acuerdo entre la Autoridad y el contratista; d) Se pagará un canon fijo anual desde la fecha de iniciación de la producción comercial. Ese canon se podrá deducir de los demás pagos que se deban conforme al sistema que se adopte en virtud del apartado c). El Consejo fijará el monto de ese canon; e) El sistema de pagos podrá revisarse periódicamente atendiendo a los cambios de las circunstancias. Toda modificación se aplicará de manera no discriminatoria. Tales modificaciones podrán aplicarse a los contratos existentes sólo a elección del contratista. Todo cambio posterior en cuanto al sistema elegido se hará mediante acuerdo entre la Autoridad y el contratista; f) Las controversias relativas a la interpretación o aplicación de las normas y los reglamentos basados en estos principios se someterán a los procedimientos de solución de controversias previstos en la Convención.\n\n2. Las disposiciones de los párrafos 3 a 10 del artículo 13 del Anexo III de la Convención no serán aplicables.\n\n3. Por lo que respecta a la aplicación del párrafo 2 del artículo 13 del Anexo III de la Convención, el canon correspondiente a la tramitación de solicitudes de aprobación de un plan de trabajo limitado a una sola etapa, sea ésta la etapa de exploración o la etapa de explotación, será de 250.000 dólares de los EE.UU.\n\nSECCIÓN 9.. EL COMITÉ DE FINANZAS\n\n1. Se establece un Comité de Finanzas. El Comité estará integrado por 15 miembros con las debidas calificaciones para ocuparse de asuntos financieros. Los Estados Partes propondrán como candidatos a personas de competencia e integridad máximas.\n\n2. No podrán ser miembros del Comité de Finanzas dos personas que sean nacionales del mismo Estado Parte.\n\n3. Los miembros del Comité de Finanzas serán elegidos por la Asamblea y se tendrá debidamente en cuenta la necesidad de una distribución geográfica equitativa y la representación de intereses especiales. Cada grupo de Estados a que se refieren los apartados a), b), c), y d) del párrafo 15 de la sección 3 de este Anexo estará representado en el Comité por un miembro por lo menos. Hasta que la Autoridad tenga fondos suficientes, al margen de las cuotas, para sufragar sus gastos administrativos, se incluirá entre los miembros del Comité a los cinco mayores contribuyentes financieros al presupuesto administrativo de la Autoridad. De allí en adelante, la elección de un miembro de cada grupo se hará sobre la base de los candidatos propuestos por los miembros del grupo respectivo, sin perjuicio de la posibilidad de que se elija a otros miembros de cada grupo.\n\n4. Los miembros del Comité de Finanzas desempeñarán su cargo durante cinco años y podrán ser reelegidos por un nuevo período.\n\n5. En caso de fallecimiento, incapacidad o renuncia de un miembro del Comité de Finanzas antes de que expire su mandato, la Asamblea elegirá a una persona de la misma región geográfica o del mismo grupo de Estados para que ejerza el cargo durante el resto del mandato.\n\n6. Los miembros del Comité de Finanzas no tendrán interés financiero en ninguna actividad relacionada con los asuntos respecto de los cuales corresponda al Comité formular recomendaciones. No revelarán, ni siquiera después de la expiración de su mandato, ninguna información confidencial que obre en su conocimiento en razón de sus funciones respecto de la Autoridad.\n\n7. Las decisiones de la Asamblea y el Consejo respecto de las cuestiones siguientes se adoptarán tomando en cuenta las recomendaciones del Comité de Finanzas: a) Los proyectos de normas, reglamentos y procedimientos financieros de los órganos de la Autoridad y la gestión financiera y administración financiera interna de la Autoridad; b) La determinación de las cuotas de los miembros para el presupuesto administrativo de la Autoridad conforme a lo previsto en el apartado e) del párrafo 2 del artículo 160 de la Convención; c) Todos los asuntos financieros pertinentes, incluidos el proyecto de presupuesto anual preparado por el Secretario General de la Autoridad de conformidad con el artículo 172 de la Convención y los aspectos financieros de la ejecución de los programas de trabajo de la Secretaría; d) El presupuesto administrativo; e) Las obligaciones financieras de los Estados Partes derivadas de la aplicación de este Acuerdo y de la Parte XI así como las consecuencias administrativas y presupuestarias de las propuestas y recomendaciones que impliquen gastos con cargo a los fondos de la Autoridad; f) Las normas, reglamentos y procedimientos relativos a la distribución equitativa de los beneficios financieros y otros beneficios económicos derivados de las actividades en la Zona y las decisiones que hayan de adoptarse al respecto.\n\n8. El Comité de Finanzas adoptará las decisiones relativas a cuestiones de procedimiento por mayoría de los miembros presentes y votantes. Las decisiones sobre cuestiones de fondo se adoptarán por consenso.\n\n9. Se considerará que el requisito del apartado y) del párrafo 2 del artículo 162 de la Convención de que se establezca un órgano subsidiario encargado de los asuntos financieros quedará cumplido mediante el establecimiento del Comité de Finanzas conforme a la presente sección.\n", "n_chars": 53804}
{"corpus_id": "un/agreement/unclos-partxi-impl-1994-fr", "version_id": "1994-07-28", "title": "Accord relatif à l’application de la partie XI de la Convention des Nations Unies sur le droit de la mer du 10 décembre 1982", "short_title": "Accord de 1994 relatif à l’application de la partie XI [FR]", "jurisdiction": "international", "document_type": "implementing_agreement", "official_citation": "Accord relatif à l’application de la partie XI de la CNUDM, 28 juillet 1994, 1836 RTNU 3 (annexe à la résolution A/RES/48/263)", "authentic_languages": ["ar", "zh", "en", "fr", "ru", "es"], "language": "fr", "adoption_date": "1994-07-28", "entry_into_force_date": "1996-07-28", "source_url": "https://undocs.org/fr/A/RES/48/263", "source_publisher": "Organisation des Nations Unies (A/RES/48/263)", "source_is_official": true, "authoritative_status": "authentic_text", "text_fidelity": "extracted_verified", "content_hash": "sha256:5a2ac20aff5b0e87d23d017f2e3b1eaff13d618c854cec303cce8e0a768706ca", "original_sha256": "sha256:20bd9c265bee21e19edaa2b638f74ece174eaa681a577234c40285a6b87b73ed", "text_sha256": "sha256:5a2ac20aff5b0e87d23d017f2e3b1eaff13d618c854cec303cce8e0a768706ca", "license": "un-materials-terms", "rights_note": "Texte authentique français ; document officiel, attribué à la source ; non re-licencié.", "provenance_note": "TEXTE AUTHENTIQUE FRANÇAIS — sibling under JC-006 (language-suffixed corpus_id; English base record is un/agreement/unclos-partxi-impl-1994). Authentic in the six UN languages, all equally authoritative; the French text is stored here. Byte-exact official PDF (human download) stored as original.pdf (original_sha256 = the PDF hash); text extracted with pdftotext and cleaned by the committed scripts/extract.py, byte-exact reproducible; page furniture removed, no wording changed. This is an equally-authentic language version, NOT a translation of the English (translations, if any, live in the derived layer).", "text": "Accord relatif à l’application de la partie XI de la Convention des Nations Unies sur le droit de la mer du 10 décembre 1982 [FR]\n\nACCORD RELATIF À L’APPLICATION DE LA PARTIE XI DE LA CONVENTION DES NATIONS UNIES SUR LE DROIT DE LA MER DU 10 DÉCEMBRE 1982 Les États Parties au présent Accord, Reconnaissant que la Convention des Nations Unies sur le droit de la mer du 10 décembre 1982 1/ (ci-après dénommée \"la Convention\") constitue une contribution importante au maintien de la paix, à la justice et au progrès pour tous les peuples du monde, Réaffirmant que les fonds marins et leur sous-sol au-delà des limites de la juridiction nationale (ci-après dénommés \"la Zone\"), et les ressources de la Zone, sont le patrimoine commun de l’humanité, Conscients de l’importance que revêt la Convention pour la protection et la préservation du milieu marin, et de la préoccupation croissante que suscite l’environnement mondial, Ayant examiné le rapport du Secrétaire général de l’Organisation des Nations Unies sur les résultats des consultations officieuses entre États qui ont eu lieu de 1990 à 1994 sur les questions en suspens touchant la partie XI et les dispositions connexes de la Convention 4/ (ci-après dénommées \"la partie XI\"), Notant les changements politiques et économiques, y compris les orientations fondées sur l’économie de marché, qui affectent l’application de la partie XI, Désireux de faciliter une participation universelle à la Convention, Considérant que le meilleur moyen d’atteindre cet objectif est de conclure un accord relatif à l’application de la partie XI, Sont convenus de ce qui suit :\n\nArticle premier. Application de la partie XI\n\n1. Les États Parties au présent Accord s’engagent à appliquer la partie XI conformément au présent Accord.\n\n2. L’Annexe fait partie intégrante du présent Accord.\n\nArticle 2. Relation entre le présent Accord et la partie XI\n\n1. Les dispositions du présent Accord et de la partie XI doivent être interprétées et appliquées ensemble comme un seul et même instrument. En cas d’incompatibilité entre le présent Accord et la partie XI, les dispositions du présent Accord l’emportent.\n\n2. Les articles 309 à 319 de la Convention s’appliquent au présent Accord comme ils s’appliquent à la Convention.\n\nArticle 3. Signature Le présent Accord restera ouvert, au Siège de l’Organisation des Nations Unies, à la signature des États et entités visés à l’article 305, paragraphe 1, lettres a), c), d), e) et f) de la Convention pendant 12 mois à compter de la date de son adoption.\n\nArticle 4. Consentement à être lié\n\n1. Après l’adoption du présent Accord, tout instrument de ratification ou de confirmation formelle de la Convention ou d’adhésion à celle-ci vaudra également consentement à être lié par ledit Accord.\n\n2. Un État ou une entité ne peut établir son consentement à être lié par le présent Accord s’il n’a préalablement établi ou n’établit simultanément son consentement à être lié par la Convention.\n\n3. Tout État ou toute entité visé à l’article 3 peut exprimer son consentement à être lié par le présent Accord par : a) Signature non soumise à ratification ou à confirmation formelle ou à la procédure prévue à l’article 5; b) Signature sous réserve de ratification ou de confirmation formelle, suivie d’une ratification ou d’une confirmation formelle; c) Signature assujettie à la procédure prévue à l’article 5; ou d) Adhésion.\n\n4. La confirmation formelle par les entités visées à l’article 305, paragraphe 1, lettre f) de la Convention sera faite conformément à l’annexe IX de la Convention.\n\n5. Les instruments de ratification, de confirmation formelle ou d’adhésion sont déposés auprès du Secrétaire général de l’Organisation des Nations Unies.\n\nArticle 5. Procédure simplifiée\n\n1. Un État ou une entité ayant déposé avant la date d’adoption du présent Accord un instrument de ratification, de confirmation formelle ou d’adhésion concernant la Convention et ayant signé le présent Accord conformément à l’article 4, paragraphe 3, alinéa c), est réputé avoir établi son consentement à être lié par le présent Accord 12 mois après la date de son adoption, à moins que cet État ou cette entité ne notifie par écrit au dépositaire avant cette date qu’il ne souhaite pas se prévaloir de la procédure simplifiée prévue par le présent article.\n\n2. Si une telle notification est faite, le consentement à être lié par le présent Accord est établi conformément à l’article 4, paragraphe 3, alinéa b).\n\nArticle 6. Entrée en vigueur\n\n1. Le présent Accord entrera en vigueur 30 jours après la date à laquelle 40 États auront établi leur consentement à être liés conformément aux articles 4 et 5, étant entendu qu’au nombre de ces États doivent figurer au moins sept des États visés au paragraphe 1, lettre a) de la résolution II de la troisième Conférence des Nations Unies sur le droit de la mer 5/ (ci-après dénommée \"la résolution II\") et qu’au moins cinq d’entre eux doivent être des États développés. Si ces conditions d’entrée en vigueur sont remplies avant le 16 novembre 1994, le présent Accord entrera en vigueur le 16 novembre 1994.\n\n2. Pour chaque État ou entité établissant son consentement à être lié par le présent Accord après que les conditions énoncées au paragraphe 1 auront été remplies, le présent Accord entrera en vigueur le trentième jour suivant la date à laquelle ledit État ou ladite entité aura établi son consentement à être lié.\n\nArticle 7. Application à titre provisoire\n\n1. Si le présent Accord n’est pas entré en vigueur le 16 novembre 1994, il sera appliqué à titre provisoire jusqu’à son entrée en vigueur par : a) Les États qui ont consenti à son adoption au sein de l’Assemblée générale des Nations Unies, à l’exception de ceux qui avant le 16 novembre 1994 notifieront par écrit au dépositaire soit qu’ils n’appliquent pas l’Accord à titre provisoire soit qu’ils ne consentent à une telle application que moyennant une signature ou notification écrite ultérieure; b) Les États et entités qui signent le présent Accord, à l’exception de ceux qui notifieront par écrit au dépositaire au moment de la signature qu’ils n’appliquent pas l’Accord à titre provisoire; c) Les États et entités qui consentent à son application à titre provisoire en adressant au dépositaire une notification écrite à cet effet; d) Les États qui adhèrent au présent Accord.\n\n2. Tous ces États et entités appliquent l’Accord à titre provisoire conformément à leurs lois et règlements nationaux ou internes à compter du 16 novembre 1994 ou de la date, si celle-ci est postérieure, de la signature, de la notification, du consentement ou de l’adhésion.\n\n3. L’application à titre provisoire du présent Accord cessera le jour où celui-ci entrera en vigueur. Dans tous les cas, l’application à titre provisoire prendra fin le 16 novembre 1998 si à cette date la condition énoncée à l’article 6, paragraphe 1, selon laquelle au moins sept des États visés au paragraphe 1, lettre a) de la résolution II (dont au moins cinq doivent être des États développés) doivent avoir établi leur consentement à être liés par le présent Accord, n’est pas satisfaite. 5/ Documents officiels de la troisième Conférence des Nations Unies sur le droit de la mer, vol. XVII (publication des Nations Unies, numéro de vente : F.84.V.3), document A/CONF.62/121, annexe I.\n\nArticle 8. États Parties\n\n1. Aux fins du présent Accord, on entend par \"États Parties\" les États qui ont consenti à être liés par le présent Accord et à l’égard desquels celui-ci est en vigueur.\n\n2. Le présent Accord s’applique mutatis mutandis aux entités visées à l’article 305, paragraphe 1, lettres c), d), e) et f) de la Convention, qui y deviennent parties conformément aux conditions qui concernent chacune d’entre elles et, dans cette mesure, le terme \"États Parties\" s’entend de ces entités.\n\nArticle 9. Dépositaire Le Secrétaire général de l’Organisation des Nations Unies est le dépositaire du présent Accord.\n\nArticle 10. Textes faisant foi L’original du présent Accord, dont les textes anglais, arabe, chinois, espagnol, français et russe font également foi, est déposé auprès du Secrétaire général de l’Organisation des Nations Unies. EN FOI DE QUOI, les Plénipotentiaires soussignés, à ce dûment autorisés, ont signé le présent Accord. FAIT À NEW YORK, le ... juillet mil neuf cent quatre-vingt-quatorze. Annexe\n\nSECTION 1.. COÛTS POUR LES ÉTATS PARTIES ET ARRANGEMENTS INSTITUTIONNELS\n\n1. L’Autorité internationale des fonds marins (ci-après dénommée \"l’Autorité\") est l’organisation par l’intermédiaire de laquelle les États Parties à la Convention, conformément au régime établi pour la Zone dans la partie XI et le présent Accord, organisent et contrôlent les activités menées dans la Zone, en particulier aux fins de l’administration des ressources de celle-ci. L’Autorité détient les pouvoirs et exerce les fonctions qui lui sont expressément conférés par la Convention. Elle est investie des pouvoirs subsidiaires, compatibles avec la Convention, qu’implique nécessairement l’exercice de ces pouvoirs et fonctions quant aux activités menées dans la Zone.\n\n2. Afin de réduire au minimum les coûts à la charge des États Parties, tous les organes et organes subsidiaires devant être créés en application de la Convention et du présent Accord devront répondre à un souci d’économie. Ce principe s’applique également à la fréquence, à la durée et à la programmation des réunions.\n\n3. La création et le fonctionnement des organes et organes subsidiaires de l’Autorité sont basés sur une approche évolutive, compte tenu des besoins fonctionnels des organes et organes subsidiaires concernés, afin qu’ils puissent s’acquitter efficacement de leurs responsabilités respectives aux différentes étapes du développement des activités menées dans la Zone.\n\n4. Lors de l’entrée en vigueur de la Convention, les fonctions initiales de l’Autorité seront exercées par l’Assemblée, le Conseil, le Secrétariat, la Commission juridique et technique et la Commission des finances. Les fonctions de la Commission de planification économique seront assurées par la Commission juridique et technique jusqu’à ce que le Conseil en décide autrement ou jusqu’à l’approbation du premier plan de travail relatif à l’exploitation.\n\n5. Entre l’entrée en vigueur de la Convention et l’approbation du premier plan de travail relatif à l’exploitation, l’Autorité s’attache à : a) Étudier les demandes d’approbation de plans de travail relatifs à l’exploration conformément à la partie XI et au présent Accord; b) Appliquer les décisions de la Commission préparatoire de l’Autorité internationale des fonds marins et du Tribunal international du droit de la mer (ci-après dénommée \"la Commission préparatoire\") concernant les investisseurs pionniers enregistrés et les États certificateurs, y compris leurs droits et obligations, conformément aux dispositions de l’article 308, paragraphe 5 de la Convention et du paragraphe 13 de la résolution II; c) Veiller au respect des plans de travail relatifs à l’exploration approuvés sous la forme de contrats; d) Suivre et étudier les tendances et l’évolution touchant les activités d’exploitation des ressources des fonds marins, notamment en analysant régulièrement la situation du marché mondial des métaux ainsi que les cours des métaux et les tendances et perspectives en la matière; e) Étudier l’impact potentiel de la production de minéraux provenant de la Zone sur les économies des pays en développement producteurs terrestres de ces minéraux qui sont susceptibles d’être le plus gravement affectés afin de réduire au minimum leurs difficultés et de les aider dans leurs efforts d’ajustement économique, compte tenu des travaux réalisés à cet égard par la Commission préparatoire; f) Adopter les règles, règlements et procédures nécessaires à la conduite des activités menées dans la Zone au fur et à mesure de leur avancement. Nonobstant les dispositions de l’article 17, paragraphe 2, lettres b) et c) de l’annexe III de la Convention, ces règles, règlements et procédures tiennent compte des dispositions du présent Accord, des longs délais dans la production commerciale des minéraux marins et du rythme probable des activités menées dans la Zone; g) Adopter des règles, règlements et procédures incorporant les normes applicables de protection et de préservation du milieu marin; h) Promouvoir et encourager la conduite de la recherche scientifique marine relative aux activités menées dans la Zone ainsi que la collecte et la diffusion des résultats des recherches et analyses, lorsqu’ils sont disponibles, en mettant l’accent en particulier sur les recherches touchant l’impact sur l’environnement des activités menées dans la Zone; i) Acquérir les connaissances scientifiques et suivre le développement des technologies marines en rapport avec les activités menées dans la Zone, et en particulier des technologies relatives à la protection et à la préservation du milieu marin; j) Évaluer les données disponibles concernant la prospection et l’exploration; k) Élaborer en temps voulu des règles, règlements et procédures applicables à l’exploitation, y compris en ce qui concerne la protection et la préservation du milieu marin.\n\n6. a) Une demande d’approbation d’un plan de travail relatif à l’exploration est examinée par le Conseil après réception d’une recommandation de la Commission juridique et technique y relative. Elle est étudiée conformément aux dispositions de la Convention, y compris son annexe III, ainsi qu’au présent Accord, étant entendu que : i) Un plan de travail relatif à l’exploration soumis au nom d’un État ou d’une entité, ou d’une composante d’une entité, visés au paragraphe 1, lettre a) ii) ou iii) de la résolution II, autre qu’un investisseur pionnier enregistré, ayant déjà entrepris des activités substantielles dans la Zone avant l’entrée en vigueur de la Convention, ou ses ayants cause, est réputé répondre aux conditions financières et techniques de qualification auxquelles est subordonnée l’approbation si l’État ou les États qui patronnent la demande certifient que le demandeur a investi l’équivalent d’au moins 30 millions de dollars des États-Unis dans des activités de recherche et d’exploration et a consacré 10 p.100 au moins de ce montant à la localisation, à l’étude topographique et à l’évaluation du secteur visé dans le plan de travail. Le plan de travail, s’il répond à tous autres égards aux exigences de la Convention ainsi qu’aux règles, règlements et procédures adoptés en application de la Convention, est approuvé par le Conseil sous forme de contrat. Les dispositions de la section 3, paragraphe 11 de la présente annexe sont interprétées et appliquées en conséquence; ii) Nonobstant les dispositions du paragraphe 8, lettre a) de la résolution II, un investisseur pionnier enregistré peut demander l’approbation d’un plan de travail relatif à l’exploration dans les 36 mois qui suivent l’entrée en vigueur de la Convention. Le plan de travail relatif à l’exploration devra comprendre les documents, rapports et autres données présentés à la Commission préparatoire tant avant qu’après l’enregistrement et être accompagné d’un certificat de conformité, consistant en un rapport factuel décrivant l’état de l’exécution des obligations incombant aux investisseurs pionniers, délivré par la Commission préparatoire en application du paragraphe 11, lettre a) de la résolution II. Un tel plan de travail sera réputé avoir été approuvé. Il revêtira la forme d’un contrat conclu entre l’Autorité et l’investisseur pionnier enregistré conformément à la partie XI et au présent Accord. Le droit de 250 000 dollars des États-Unis versé conformément au paragraphe 7, lettre a) de la résolution II est réputé être le droit dû pour la phase d’exploration conformément à la section 8, paragraphe 3 de la présente annexe. La section 3, paragraphe 11 de la présente annexe est interprétée et appliquée en conséquence; iii) Conformément au principe de non-discrimination, les contrats conclus avec les États ou entités, ou les composantes des entités, visés au sous-alinéa i) de l’alinéa a), doivent comprendre des dispositions similaires à celles convenues avec les investisseurs pionniers enregistrés visés au sous-alinéa ii) de l’alinéa a) et non moins favorables à celles-ci. Si des dispositions plus favorables sont accordées à un État ou une entité, ou à une composante d’une entité, visés au sous-alinéa i) de l’alinéa a), le Conseil prend des dispositions similaires et non moins favorables en ce qui concerne les droits et obligations des investisseurs pionniers enregistrés visés au sous-alinéa ii) de l’alinéa a), sous réserve que lesdites dispositions n’affectent pas les intérêts de l’Autorité ou ne leur soient pas préjudiciables; iv) L’État qui patronne une demande d’approbation d’un plan de travail conformément aux dispositions des sous-alinéas i) ou ii) de l’alinéa a) peut être un État Partie, un État qui applique le présent Accord à titre provisoire en vertu de l’article 7 ou un État qui est membre de l’Autorité à titre provisoire en vertu du paragraphe 12; v) Le paragraphe 8, lettre c) de la résolution II est interprété et appliqué conformément au sous-alinéa iv) de l’alinéa a); b) Les plans de travail relatifs à l’exploration sont approuvés conformément aux dispositions de l’article 153, paragraphe 3 de la Convention.\n\n7. La demande d’approbation d’un plan de travail est accompagnée d’une évaluation de l’impact potentiel sur l’environnement des activités proposées, et d’une description d’un programme d’études océanographiques et écologiques conformément aux règles, règlements et procédures adoptés par l’Autorité.\n\n8. Sous réserve des dispositions du paragraphe 6, alinéa a), sous-alinéas i) ou ii), la demande d’approbation d’un plan de travail relatif à l’exploration est étudiée selon les procédures énoncées à la section 3, paragraphe 11 de la présente annexe.\n\n9. Les plans de travail relatifs à l’exploration sont approuvés pour 15 ans. À l’expiration d’un tel plan, le contractant doit, s’il ne l’a déjà fait et si ledit plan n’a pas été prorogé, présenter une demande d’approbation d’un plan de travail relatif à l’exploitation. Le contractant peut demander la prorogation d’un plan de travail relatif à l’exploitation pour des périodes ne dépassant pas cinq ans chacune. Ces prorogations sont accordées si le contractant s’est efforcé de bonne foi de se conformer aux stipulations du plan de travail mais n’a pas pu, pour des raisons indépendantes de sa volonté, mener à bien les travaux préparatoires nécessaires pour passer à la phase d’exploitation ou si les circonstances économiques du moment ne justifient pas le passage à la phase d’exploitation.\n\n10. Un secteur réservé à l’Autorité est désigné conformément à l’article 8 de l’annexe III de la Convention lors de l’approbation d’un plan de travail relatif à l’exploration ou relatif à l’exploration et l’exploitation.\n\n11. Nonobstant les dispositions du paragraphe 9, un plan de travail approuvé relatif à l’exploration, qui est patronné par au moins un État appliquant le présent Accord à titre provisoire, cesse d’être valable si ledit État cesse d’appliquer ledit Accord à titre provisoire et s’il n’est pas devenu membre à titre provisoire conformément au paragraphe 12 ou État Partie.\n\n12. Lors de l’entrée en vigueur du présent Accord, les États et entités visés à l’article 3 dudit Accord qui l’appliquaient à titre provisoire conformément à l’article 7 et vis-à-vis desquels il n’est pas en vigueur peuvent demeurer membres de l’Autorité à titre provisoire jusqu’à l’entrée en vigueur de l’Accord à leur égard, conformément aux alinéas suivants : a) Si le présent Accord entre en vigueur avant le 16 novembre 1996, lesdits États et entités peuvent continuer à participer à l’Autorité en qualité de membres à titre provisoire en notifiant au dépositaire de l’Accord leur intention de participer à l’Autorité en qualité de membre à titre provisoire. Le statut de membre à titre provisoire prend fin le 16 novembre 1996 ou à la date à laquelle le présent Accord et la Convention entrent en vigueur à l’égard du membre concerné si celle-ci est antérieure. Le Conseil peut, à la demande de l’État ou de l’entité intéressé, proroger son statut de membre à titre provisoire au-delà du 16 novembre 1996 pendant une ou plusieurs périodes ne dépassant pas deux ans au total s’il considère que ledit État ou ladite entité s’est efforcé de bonne foi de devenir partie à l’Accord et à la Convention; b) Si le présent Accord entre en vigueur après le 15 novembre 1996, lesdits États et entités peuvent demander au Conseil à demeurer membres de l’Autorité à titre provisoire pour une ou plusieurs périodes ne s’étendant pas au-delà du 16 novembre 1998. S’il considère que l’État ou l’entité intéressé s’est efforcé de bonne foi de devenir partie à l’Accord et à la Convention, le Conseil fait droit à cette demande avec effet à la date de celle-ci; c) Les États et entités qui sont membres de l’Autorité à titre provisoire en vertu des alinéas a) ou b) appliquent les dispositions de la partie XI et du présent Accord conformément à leurs lois et règlements nationaux ou internes et à leurs allocations budgétaires annuelles et ont les mêmes droits et obligations que les autres membres, et notamment : i) L’obligation de contribuer au budget d’administration de l’Autorité conformément au barème convenu; ii) Le droit de patronner des demandes d’approbation de plans de travail relatifs à l’exploration. Dans le cas d’entités dont les composantes sont des personnes physiques ou morales ayant la nationalité de plus d’un État, un plan de travail relatif à l’exploration n’est approuvé que si tous les États dont les personnes physiques ou morales constituent lesdites entités sont des États Parties ou des membres à titre provisoire; d) Nonobstant les dispositions du paragraphe 9, un plan de travail relatif à l’exploration approuvé sous la forme d’un contrat qui était patronné par un État membre à titre provisoire en vertu du sous-alinéa ii) de l’alinéa c) cesse d’être valable si ce statut de membre à titre provisoire prend fin sans que l’État ou l’entité soit devenu État Partie; e) Si un tel membre à titre provisoire n’a pas versé ses contributions ou ne s’est pas, à d’autres égards, acquitté de ses obligations conformément au présent paragraphe, son statut de membre à titre provisoire prend fin.\n\n13. La référence à l’exécution non satisfaisante d’un plan de travail approuvé figurant à l’article 10 de l’annexe III de la Convention est interprétée comme signifiant que le contractant n’a pas respecté les stipulations du plan de travail malgré l’avertissement ou les avertissements écrits que l’Autorité lui a adressés à cet effet.\n\n14. L’Autorité a son propre budget. Jusqu’à la fin de l’année suivant celle où le présent Accord entrera en vigueur, les dépenses d’administration de l’Autorité seront imputées sur le budget de l’Organisation des Nations Unies. Par la suite, les dépenses d’administration de l’Autorité seront financées au moyen des contributions versées par ses membres, y compris le cas échéant les membres à titre provisoire, conformément aux articles 171, lettre a) et 173 de la Convention et au présent Accord, jusqu’à ce que l’Autorité dispose afin de faire face auxdites dépenses de recettes suffisantes provenant d’autres sources. L’Autorité n’exerce pas la capacité de contracter des emprunts que lui confère l’article 174, paragraphe 1 de la Convention pour financer son budget d’administration.\n\n15. L’Autorité élabore et adopte les règles, règlements et procédures prévus à l’article 162, paragraphe 2, lettre o) ii) de la Convention, en se fondant sur les principes énoncés aux sections 2, 5, 6, 7 et 8 de la présente annexe, ainsi que tous autres règles, règlements et procédures nécessaires pour faciliter l’approbation des plans de travail relatifs à l’exploration ou l’exploitation, conformément aux alinéas suivants : a) Le Conseil peut entreprendre l’élaboration de ces règles, règlements ou procédures lorsqu’il juge qu’ils sont nécessaires pour la conduite des activités menées dans la Zone, ou lorsqu’il détermine que l’exploitation commerciale est imminente, ou encore à la demande d’un État dont un ressortissant entend présenter une demande d’approbation d’un plan de travail relatif à l’exploitation; b) Si une demande est faite par un État visé à l’alinéa a), le Conseil adopte ces règles, règlements et procédures dans les deux ans qui suivent la demande, conformément à l’article 162, paragraphe 2, lettre o) de la Convention; c) Si le Conseil n’a pas achevé l’élaboration des règles, règlements et procédures relatifs à l’exploitation dans le délai prescrit et si une demande d’approbation d’un plan de travail relatif à l’exploitation est en instance, il doit néanmoins examiner et approuver provisoirement ce plan de travail sur la base des dispositions de la Convention ainsi que des règles, règlements et procédures qu’il a pu adopter à titre provisoire, ou sur la base des normes énoncées dans la Convention ainsi que des conditions et principes figurant dans la présente annexe et du principe de la non-discrimination entre contractants.\n\n16. Les projets de règles, règlements et procédures ainsi que toutes recommandations concernant les dispositions de la partie XI qui figurent dans les rapports et les recommandations de la Commission préparatoire sont pris en considération par l’Autorité lorsqu’elle adopte des règles, règlements et procédures conformément à la partie XI et au présent Accord.\n\n17. Les dispositions pertinentes de la section 4 de la partie XI de la Convention sont interprétées et appliquées conformément au présent Accord.\n\nSECTION 2.. L’ENTREPRISE\n\n1. Le Secrétariat de l’Autorité s’acquitte des fonctions de l’Entreprise jusqu’à ce que celle-ci commence à fonctionner indépendamment du Secrétariat. Le Secrétaire général de l’Autorité nomme parmi le personnel de celle-ci un Directeur général par intérim pour superviser l’exercice de ces fonctions par le Secrétariat. Il s’agit des fonctions suivantes : a) Suivre et étudier les tendances et l’évolution touchant les activités d’exploitation des ressources des fonds marins, notamment en analysant régulièrement la situation du marché mondial des métaux ainsi que les cours des métaux et les tendances et les perspectives en la matière; b) Évaluer les résultats de la recherche scientifique marine relative aux activités menées dans la Zone, en mettant l’accent en particulier sur les recherches touchant l’impact sur l’environnement des activités menées dans la Zone; c) Évaluer les données disponibles concernant les activités de prospection et d’exploration, notamment les critères applicables auxdites activités; d) Évaluer les innovations technologiques intéressant les activités menées dans la Zone, et en particulier les techniques relatives à la protection et la préservation du milieu marin; e) Évaluer les informations et données relatives aux secteurs réservés à l’Autorité; f) Évaluer les approches en matière d’entreprises conjointes; g) Rassembler des informations sur la disponibilité de main-d’oeuvre qualifiée; h) Étudier les politiques de gestion pouvant être appliquées à l’administration de l’Entreprise aux différentes étapes de ses opérations.\n\n2. L’Entreprise mène ses premières opérations d’exploitation des ressources des fonds marins dans le cadre d’entreprises conjointes. Lorsqu’un plan de travail relatif à l’exploitation présenté par une entité autre que l’Entreprise sera approuvé ou lorsque le Conseil recevra une demande pour une opération d’entreprise conjointe avec l’Entreprise, le Conseil examinera la question du fonctionnement de l’Entreprise indépendamment du Secrétariat de l’Autorité. S’il estime que les opérations d’entreprise conjointe sont conformes aux principes d’une saine gestion commerciale, le Conseil adopte une directive autorisant le fonctionnement indépendant de l’Entreprise, conformément à l’article 170, paragraphe 2 de la Convention.\n\n3. L’obligation des États Parties de financer un site minier de l’Entreprise prévu à l’annexe IV, article 11, paragraphe 3, de la Convention ne s’applique pas et les États Parties ne sont tenus de financer aucune opération sur un site minier de l’Entreprise ou dans le cadre de ses accords d’entreprise conjointe.\n\n4. Les obligations qui incombent aux contractants incombent à l’Entreprise. Nonobstant les dispositions de l’article 153, paragraphe 3, et de l’annexe III, article 3, paragraphe 5 de la Convention, tout plan de travail de l’Entreprise revêt, lorsqu’il est approuvé, la forme d’un contrat conclu entre l’Autorité et l’Entreprise.\n\n5. Le contractant ayant remis un secteur spécifique à l’Autorité en tant que secteur réservé a un droit de priorité pour conclure avec l’Entreprise un accord d’entreprise conjointe en vue de l’exploration et de l’exploitation dudit secteur. Si, dans les 15 ans qui suivent la date à laquelle elle aura commencé à fonctionner indépendamment du Secrétariat de l’Autorité ou dans les 15 ans de la date à laquelle ledit secteur a été réservé à l’Autorité, si cette date est plus tardive, l’Entreprise ne présente pas de demande d’approbation d’un plan de travail en vue d’activités dans ce secteur réservé, le contractant ayant remis ledit secteur peut présenter une demande d’approbation d’un plan de travail pour ce secteur, à charge pour lui d’offrir de bonne foi d’associer l’Entreprise à ses activités dans le cadre d’une entreprise conjointe.\n\n6. L’article 170, paragraphe 4, l’annexe IV et les autres dispositions de la Convention relatives à l’Entreprise sont interprétés et appliqués conformément à la présente section.\n\nSECTION 3.. PRISE DE DÉCISIONS\n\n1. Les politiques générales de l’Autorité sont arrêtées par l’Assemblée en collaboration avec le Conseil.\n\n2. En règle générale, les organes de l’Autorité s’efforcent de prendre leurs décisions par consensus.\n\n3. Si tous les efforts pour aboutir à une décision par consensus ont été épuisés, les décisions mises aux voix à l’Assemblée sur les questions de procédure sont prises à la majorité des membres présents et votants, et celles sur les questions de fond à la majorité des deux tiers des membres présents et votants, comme prévu à l’article 159, paragraphe 8 de la Convention.\n\n4. Les décisions de l’Assemblée sur toute question qui relève également de la compétence du Conseil ou sur toute question administrative, budgétaire ou financière sont fondées sur les recommandations du Conseil. Si l’Assemblée n’accepte pas la recommandation du Conseil sur une question quelconque, elle renvoie celle-ci au Conseil pour un nouvel examen. Le Conseil réexamine la question à la lumière des vues exprimées par l’Assemblée.\n\n5. Si tous les efforts pour aboutir à une décision par consensus ont été épuisés, les décisions mises aux voix au Conseil sur les questions de procédure sont prises à la majorité des membres présents et votants, et celles sur les questions de fond, sauf lorsque la Convention dispose que le Conseil doit décider par consensus, à la majorité des deux tiers des membres présents et votants, à condition que ces décisions ne suscitent pas l’opposition de la majorité au sein de l’une quelconque des chambres mentionnées au paragraphe 9. Lorsqu’il prend des décisions, le Conseil s’attache à promouvoir les intérêts de tous les membres de l’Autorité.\n\n6. Le Conseil peut décider de surseoir à une décision pour faciliter la poursuite des négociations chaque fois qu’il apparaît que tous les efforts pour aboutir à un consensus sur une question n’ont pas été épuisés.\n\n7. Les décisions de l’Assemblée ou du Conseil qui ont des incidences financières ou budgétaires sont fondées sur les recommandations de la Commission des finances.\n\n8. Les dispositions de l’article 161, paragraphe 8, lettres b) et c) de la Convention ne sont pas applicables.\n\n9. a) Chaque groupe d’États élus conformément au paragraphe 15, alinéas a) à c) est considéré comme une chambre pour les votes au Conseil. Les États en développement élus conformément au paragraphe 15, alinéas d) et e) sont considérés comme une seule chambre pour les votes au Conseil. b) Avant d’élire les membres du Conseil, l’Assemblée établit des listes de pays répondant aux critères d’appartenance aux groupes d’États visés aux alinéas a) à d) du paragraphe 15. Si un État répond aux critères d’appartenance de plus d’un groupe, il ne peut être présenté que par un groupe pour les élections au Conseil et ne représente que ce groupe lors des votes au Conseil.\n\n10. Chacun des groupes d’États visés au paragraph 15, alinéas a) à d), est représenté au Conseil par les membres dont il a présenté la candidature. Chaque groupe ne peut présenter qu’autant de candidats qu’il doit pourvoir de sièges. En règle générale, le principe de la rotation s’applique lorsque le nombre de candidats potentiels dans chacun des groupes visés au paragraph 15, alinéas a) à e) dépasse le nombre de sièges à pourvoir dans le même groupe. Les États appartenant à ces groupes déterminent comment ce principe s’applique dans leurs groupes respectifs.\n\n11. a) Le Conseil approuve toute recommandation de la Commission juridique et technique favorable à l’approbation d’un plan de travail sauf s’il décide de rejeter celui-ci à la majorité des deux tiers de ses membres présents et votants, dont la majorité des membres présents et votants au sein de chacune de ses chambres. Si le Conseil ne statue pas dans le délai prescrit sur une recommandation favorable à l’approbation d’un plan de travail, cette recommandation est réputée approuvée par le Conseil à l’expiration dudit délai. Le délai prescrit est normalement de 60 jours, à moins que le Conseil ne fixe un délai plus long. Si la Commission recommande le rejet d’un plan de travail ou ne fait pas de recommandation, le Conseil peut néanmoins approuver le plan de travail conformément aux dispositions de son règlement intérieur régissant la prise de décisions sur les questions de fond. b) Les dispositions de l’article 162, paragraphe 2, lettre j) de la Convention ne sont pas applicables.\n\n12. Tout différend qui pourrait surgir concernant le rejet d’un plan de travail est soumis aux procédures de règlement des différends prévues dans la Convention.\n\n13. Les décisions mises aux voix à la Commission juridique et technique sont prises à la majorité des membres présents et votants.\n\n14. Les sous-sections B et C de la section 4 de la partie XI de la Convention sont interprétées et appliquées conformément à la présente section.\n\n15. Le Conseil se compose de 36 membres de l’Autorité, élus par l’Assemblée dans l’ordre suivant : a) Quatre membres choisis parmi les États Parties dont la consommation ou les importations nettes de produits de base relevant des catégories de minéraux devant être extraits de la Zone ont dépassé, au cours des cinq dernières années pour lesquelles il existe des statistiques, plus de 2 p.100 en valeur du total mondial de la consommation ou des importations de ces produits de base, à condition que, parmi les quatre membres, figurent un État de la région de l’Europe orientale qui a l’économie la plus importante de la région en termes de produit intérieur brut et l’État qui, au moment de l’entrée en vigueur de la Convention, a l’économie la plus importante en termes de produit intérieur brut, si lesdits États souhaitent être représentés dans ce groupe; b) Quatre membres choisis parmi les huit États Parties qui ont effectué, directement ou par l’intermédiaire de leurs ressortissants, les plus gros investissements pour la préparation et la réalisation d’activités menées dans la Zone; c) Quatre membres choisis parmi les États Parties qui, sur la base de la production provenant des zones soumises à leur juridiction, sont parmi les principaux exportateurs nets des catégories de minéraux devant être extraits de la Zone, dont au moins deux États en développement dont l’économie est fortement tributaire de leurs exportations de ces minéraux; d) Six membres choisis parmi les États Parties en développement et représentant des intérêts particuliers. Les intérêts particuliers devant être représentés comprennent ceux des États à populations nombreuses, des États sans littoral ou géographiquement désavantagés, des États insulaires, des États qui figurent parmi les principaux importateurs des catégories de minéraux devant être extraits de la Zone, des États potentiellement producteurs de tels minéraux et des États les moins avancés; e) Dix-huit membres élus suivant le principe d’une répartition géographique équitable de l’ensemble des sièges du Conseil, étant entendu qu’au moins un membre par région géographique est élu membre en application de la présente disposition. À cette fin, les régions géographiques sont : l’Afrique, l’Amérique latine et les Caraïbes, l’Asie, l’Europe orientale ainsi que l’Europe occidentale et autres États.\n\n16. Les dispositions de l’article 161, paragraphe 1 de la Convention ne sont pas applicables.\n\nSECTION 4.. CONFÉRENCE DE RÉVISION Les dispositions relatives à la Conférence de révision figurant à l’article 155, paragraphes 1, 3 et 4 de la Convention ne sont pas applicables. Nonobstant les dispositions de l’article 314, paragraphe 2 de la Convention, l’Assemblée peut à tout moment, sur la recommandation du Conseil, entreprendre un examen des questions visées à l’article 155, paragraphe 1 de la Convention. Les amendements relatifs au présent Accord et à la partie XI sont soumis aux procédures prévues aux articles 314, 315 et 316 de la Convention, étant entendu que les principes, régime et autres dispositions visés à l’article 155, paragraphe 2 de la Convention doivent être maintenus et que les droits visés au paragraphe 5 dudit article ne doivent pas être affectés.\n\nSECTION 5.. TRANSFERT DES TECHNIQUES\n\n1. Le transfert des techniques, aux fins de la partie XI, est régi par les dispositions de l’article 144 de la Convention et par les principes suivants : a) L’Entreprise et les États en développement désireux d’obtenir des techniques d’exploitation minière des fonds marins s’efforcent de les obtenir selon des modalités et à des conditions commerciales justes et raisonnables sur le marché libre, ou par le biais d’accords d’entreprise conjointe; b) Si l’Entreprise ou les États en développement ne peuvent obtenir de techniques d’exploitation minière des fonds marins, l’Autorité peut prier les contractants, ainsi que l’État ou les États qui les ont patronnés, à coopérer avec elle pour permettre à l’Entreprise, à son entreprise conjointe ou à un ou plusieurs États en développement désireux d’acquérir ces techniques de les acquérir plus facilement selon des modalités et à des conditions commerciales justes et raisonnables, compatibles avec la protection effective des droits de propriété intellectuelle. Les États Parties s’engagent à coopérer pleinement et efficacement avec l’Autorité à cette fin et à faire en sorte que les contractants qu’ils patronnent coopèrent eux aussi pleinement avec l’Autorité; c) En règle générale, les États Parties s’emploient à promouvoir la coopération scientifique et technique internationale en ce qui concerne les activités menées dans la Zone soit entre les parties intéressées, soit en élaborant des programmes de formation, d’assistance technique et de coopération scientifique en matière de sciences et techniques marines et dans le domaine de la protection et de la préservation du milieu marin.\n\n2. Les dispositions de l’article 5 de l’annexe III de la Convention ne sont pas applicables.\n\nSECTION 6.. POLITIQUE EN MATIÈRE DE PRODUCTION\n\n1. La politique de l’Autorité en matière de production est fondée sur les principes suivants : a) La mise en valeur des ressources de la Zone doit se faire conformément aux principes d’une saine gestion commerciale; b) Les dispositions de l’Accord général sur les tarifs douaniers et le commerce, ses codes pertinents et les accords destinés à leur succéder ou à les remplacer s’appliquent s’agissant des activités menées dans la Zone; c) En particulier, les activités menées dans la Zone ne sont pas subventionnées, sauf dans la mesure où les accords visés à l’alinéa b) l’autorisent. Aux fins des présents principes, les subventions sont définies comme dans les accords visés à l’alinéa b); d) Il n’est pas fait de discrimination entre les minéraux extraits de la Zone et ceux provenant d’autres sources. Ces minéraux et les importations de produits de base obtenus à partir de ces minéraux ne bénéficient d’aucun accès préférentiel aux marchés, en particulier : i) Par l’utilisation de barrières tarifaires ou non tarifaires; et ii) Par l’octroi par les États Parties d’un traitement préférentiel à ces minéraux ou aux produits de base obtenus à partir de ces minéraux par leurs entreprises d’État ou par des personnes physiques ou morales qui ont leur nationalité ou qui sont contrôlées par eux ou leurs ressortissants; e) Le plan de travail approuvé par l’Autorité pour l’exploitation de chaque secteur minier comprend un calendrier de production qui indique les quantités maximales de minéraux qui seraient extraites chaque année en application de ce plan; f) Les différends concernant les dispositions des accords visés à l’alinéa b) sont réglés comme suit : i) Si les États Parties concernés sont parties auxdits accords, ils ont recours aux procédures de règlement des différends qui y sont prévues; ii) Si un ou plusieurs des États Parties concernés ne sont pas parties auxdits accords, ils ont recours aux procédures de règlement des différends prévues dans la Convention; g) Lorsqu’il est établi, en vertu des accords visés à l’alinéa b), qu’un État Partie a accordé des subventions qui sont interdites ou qui ont eu pour effet de léser les intérêts d’un autre État Partie et que l’État Partie ou les États Parties intéressés n’ont pas adopté les mesures adéquates, tout État Partie peut demander au Conseil de prendre des mesures appropriées.\n\n2. Les principes énoncés au paragraphe 1 n’affectent pas les droits et obligations découlant des dispositions des accords visés à l’alinéa b) du paragraphe 1, ou des accords de libre-échange ou d’union douanière pertinents, dans les relations entre États Parties qui sont parties auxdits accords.\n\n3. L’acceptation par un contractant de subventions autres que celles qui peuvent être autorisées par les accords visés à l’alinéa b) du paragraphe 1 constitue une violation des clauses fondamentales du contrat constituant un plan de travail pour l’exécution d’activités dans la Zone.\n\n4. Tout État Partie qui a des raisons de croire que les dispositions des alinéas b) à d) du paragraphe 1 ou du paragraphe 3 ont été enfreintes peut engager des procédures de règlement des différends conformément aux alinéas f) ou g) du paragraphe 1.\n\n5. Les États Parties peuvent à tout moment porter à l’attention du Conseil des activités qu’ils jugent incompatibles avec les dispositions des alinéas b) à d) du paragraphe 1.\n\n6. L’Autorité élabore des règles, règlements et procédures propres à assurer l’application des dispositions de la présente section, et notamment des règles, règlements et procédures régissant l’approbation des plans de travail.\n\n7. Les dispositions de l’article 151, paragraphes 1 à 7 et paragraphe 9, de l’article 162, paragraphe 2, lettre q), de l’article 165, paragraphe 2, lettre n), ainsi que de l’article 6, paragraphe 5, et de l’article 7 de l’annexe III de la Convention ne sont pas applicables.\n\nSECTION 7.. ASSISTANCE ÉCONOMIQUE\n\n1. La politique mise en oeuvre par l’Autorité pour venir en aide aux pays en développement dont l’économie et les recettes d’exportation se ressentent gravement des effets défavorables d’une baisse du cours d’un minéral figurant parmi ceux extraits de la Zone ou d’une réduction du volume de leurs exportations de ce minéral, pour autant que cette baisse ou réduction est due à des activités menées dans la Zone, est fondée sur les principes suivants : a) L’Autorité établit un fonds d’assistance économique avec la part de ses ressources qui dépasse le montant nécessaire pour couvrir ses dépenses d’administration. Le montant réservé à cette fin est périodiquement déterminé par le Conseil sur la recommandation de la Commission des finances. Seuls les fonds reçus en paiement des contractants, y compris l’Entreprise, et les contributions volontaires peuvent être utilisés pour établir ce fonds d’assistance économique; b) Les États en développement producteurs terrestres dont il a été établi que l’économie a été gravement affectée par la production de minéraux de fonds marins bénéficient de l’assistance du fonds d’assistance économique de l’Autorité; c) Au moyen de ce fonds, l’Autorité fournit une assistance aux États en développement producteurs terrestres affectés, le cas échéant en coopération avec les institutions mondiales ou régionales de développement existantes qui disposent de l’infrastructure et des compétences requises pour mener à bien de tels programmes d’assistance; d) L’étendue et la durée de cette assistance sont déterminées au cas par cas. Ce faisant, il est tenu dûment compte de la nature et de l’ampleur des problèmes rencontrés par les États en développement producteurs terrestres affectés.\n\n2. Il est donné effet à l’article 151, paragraphe 10 de la Convention au moyen des mesures d’assistance économique prévues au paragraphe 1. L’article 160, paragraphe 2, lettre l), l’article 162, paragraphe 2, lettre n), l’article 164, paragraphe 2, lettre d), l’article 171, lettre f) et l’article 173, paragraphe 2, lettre c) de la Convention sont interprétés en conséquence.\n\nSECTION 8.. CLAUSES FINANCIÈRES DES CONTRATS\n\n1. Les principes suivants servent de base à l’établissement des règles, règlements et procédures relatifs aux clauses financières des contrats : a) Le système de paiements à l’Autorité doit être équitable tant pour le contractant que pour l’Autorité et prévoir des moyens adéquats pour déterminer que le contractant s’y conforme; b) Les taux des paiements appliqués dans le cadre de ce système doivent être comparables à ceux en vigueur en ce qui concerne la production terrestre des mêmes minéraux ou de minéraux similaires afin d’éviter de donner aux producteurs de minéraux extraits des fonds marins un avantage artificiel ou de leur imposer un désavantage, au regard de la concurrence; c) Le système ne devrait pas être compliqué ni imposer de lourdes dépenses d’administration à l’Autorité ou aux contractants. L’adoption d’un système de redevances ou d’un système associant redevances et partage des bénéfices devrait être envisagée. S’il est établi différents systèmes, le contractant a le droit de choisir le système applicable à son contrat. Tout changement ultérieur dans le choix du système exige néanmoins un accord entre l’Autorité et le contractant; d) Un droit annuel fixe est payable dès le démarrage de la production commerciale. Ce droit peut être déduit des autres paiements dus en application du système adopté conformément à l’alinéa c). Le montant de ce droit est fixé par le Conseil; e) Le système de paiements peut être révisé périodiquement compte tenu des changements de circonstances. Toute modification est appliquée de façon non discriminatoire. Elle ne peut s’appliquer aux contrats existants que si le contractant le souhaite. Tout changement ultérieur dans le choix entre les systèmes exige un accord entre l’Autorité et le contractant; f) Les différends concernant l’interprétation ou l’application des règles et règlements fondés sur les présents principes sont soumis aux procédures de règlement des différends prévues dans la Convention.\n\n2. Les dispositions de l’article 13, paragraphes 3 à 10 de l’annexe III de la Convention ne sont pas applicables.\n\n3. En ce qui concerne l’application de l’article 13, paragraphe 2 de l’annexe III de la Convention, le droit à acquitter pour l’étude des demandes d’approbation d’un plan de travail limité à une seule phase, qu’il s’agisse de l’exploration ou de l’exploitation, est de 250 000 dollars des États-Unis.\n\nSECTION 9.. LA COMMISSION DES FINANCES\n\n1. Il est constitué une Commission des finances composée de 15 membres ayant les qualifications voulues en matière financière. Les candidats proposés par les États Parties doivent posséder les plus hautes qualités de compétence et d’intégrité.\n\n2. La Commission des finances ne peut comprendre plus d’un ressortissant du même État Partie.\n\n3. Les membres de la Commission des finances sont élus par l’Assemblée compte dûment tenu de la nécessité d’assurer une répartition géographique équitable ainsi que la représentation des intérêts spéciaux. Chacun des groupes d’États visés à la section 3, paragraphe 15, alinéas a), b), c) et d) de la présente annexe est représenté à la Commission des finances par au moins un membre. Jusqu’à ce que l’Autorité dispose de ressources suffisantes provenant de sources autres que les contributions pour faire face à ses dépenses d’administration, la Commission doit comprendre un représentant de chacun des cinq États versant les contributions les plus importantes au budget d’administration de l’Autorité. Par la suite, l’élection d’un membre de chaque groupe se fait sur la base des candidatures présentées par les membres de ce groupe, sans préjudice de la possibilité que d’autres membres de chaque groupe soient élus.\n\n4. Les membres de la Commission des finances sont élus pour cinq ans et sont rééligibles une fois.\n\n5. En cas de décès, d’empêchement ou de démission d’un membre de la Commission des finances avant l’expiration de son mandat, l’Assemblée élit pour achever le terme du mandat un membre appartenant à la même région géographique ou au même groupe d’États.\n\n6. Les membres de la Commission des finances ne doivent avoir d’intérêt financier dans quelque activité que ce soit liée à des questions à propos desquelles la Commission doit formuler des recommandations. Même après que leurs fonctions ont pris fin, ils ne divulguent aucune information confidentielle dont ils ont eu connaissance en raison des fonctions qu’ils ont accomplies au service de l’Autorité.\n\n7. L’Assemblée et le Conseil tiennent compte des recommandations de la Commission des finances lorsqu’ils prennent des décisions sur les questions ci-après : a) Les projets de règles, règlements et procédures applicables en matière financière aux organes de l’Autorité ainsi que la gestion financière et l’administration financière interne de l’Autorité; b) Le calcul des contributions des membres au budget d’administration de l’Autorité conformément à l’article 160, paragraphe 2, lettre e) de la Convention; c) Toutes les questions financières pertinentes, y compris le projet de budget annuel établi par le Secrétaire général de l’Autorité conformément à l’article 172 de la Convention, ainsi que les aspects financiers de l’exécution des programmes de travail du Secrétariat; d) Le budget d’administration; e) Les obligations financières découlant pour les États Parties de l’application du présent Accord et de la partie XI ainsi que les incidences administratives et budgétaires des propositions et des recommandations entraînant des dépenses devant être financées au moyen des ressources de l’Autorité; f) Les règles, règlements et procédures applicables au partage équitable des avantages financiers et autres avantages économiques tirés des activités menées dans la Zone ainsi que les décisions à prendre à ce sujet.\n\n8. Les décisions de la Commission des finances sur les questions de procédure sont prises à la majorité des membres présents et votants. Les décisions sur les questions de fond sont prises par consensus.\n\n9. Les dispositions de l’article 162, paragraphe 2, lettre y) de la Convention prévoyant la création d’un organe subsidiaire chargé des questions financières sont réputées avoir reçu effet par la création de la Commission des finances conformément à la présente section.\n", "n_chars": 51956}
{"corpus_id": "un/convention/unclos-partxi-1982", "version_id": "1982-12-10", "title": "United Nations Convention on the Law of the Sea — Part XI: The Area (Articles 133–191)", "short_title": "UNCLOS Part XI (The Area)", "jurisdiction": "international", "document_type": "convention", "official_citation": "United Nations Convention on the Law of the Sea, 10 December 1982, 1833 UNTS 3, Part XI (arts. 133–191)", "authentic_languages": ["ar", "zh", "en", "fr", "ru", "es"], "language": "en", "adoption_date": "1982-12-10", "entry_into_force_date": "1994-11-16", "source_url": "https://www.un.org/depts/los/convention_agreements/texts/unclos/part11-1.htm", "source_publisher": "United Nations Division for Ocean Affairs and the Law of the Sea (DOALOS), Office of Legal Affairs", "source_is_official": true, "authoritative_status": "authentic_text", "text_fidelity": "extracted_verified", "content_hash": "sha256:3c02f3d1efcd32e41b4e07e1e0c824f9a140873234bfff62b57bb4d615000a06", "original_sha256": "sha256:3c02f3d1efcd32e41b4e07e1e0c824f9a140873234bfff62b57bb4d615000a06", "text_sha256": "sha256:3c02f3d1efcd32e41b4e07e1e0c824f9a140873234bfff62b57bb4d615000a06", "license": "un-materials-terms", "rights_note": "DOALOS web text carries the notice: \"The text may be used and reproduced freely by giving acknowledgment to the Division. This is not an official document.\" UN materials used with attribution to the United Nations; not relicensed.", "provenance_note": "English authentic text of UNCLOS Part XI (arts. 133–191), captured 2026-07-03 from the five DOALOS per-Part HTML pages (part11-1.htm … part11-5.htm) via the approved web-fetch tool and assembled into one file; markdown-extraction artifacts (joined article headings) were normalised, and the DOALOS source's legacy glyph substitutions of the digit '1' as lowercase 'l' (e.g. art. 134(3), 161(3), 163(8), 168(2), 169(3)) were normalised to the authentic digit against the Convention text. This capture is a text extraction, NOT a byte-exact PDF; a human-downloaded byte-exact official 'unclos_e.pdf' is a recommended provenance upgrade. Part XI is modified by, and yields on conflict to, the 1994 Implementation Agreement (see related_documents); the text stored here is the Convention text as adopted. French and Spanish authentic texts are now stored as JC-006 siblings (un/convention/unclos-partxi-1982-fr, -es), sourced clean from the EUR-Lex OJ publication; Arabic, Chinese and Russian remain held pending clean digital sources (UN/DOALOS non-English PDFs are OCR-degraded).", "text": "United Nations Convention on the Law of the Sea — Part XI: The Area (Articles 133–191)\n\nPART XI. THE AREA\n\nSECTION 1. GENERAL PROVISIONS\n\nArticle 133. Use of terms\n\nFor the purposes of this Part:\n\n(a) \"resources\" means all solid, liquid or gaseous mineral resources in situ in the Area at or beneath the seabed, including polymetallic nodules;\n\n(b) resources, when recovered from the Area, are referred to as \"minerals\".\n\nArticle 134. Scope of this Part\n\n1. This Part applies to the Area.\n\n2. Activities in the Area shall be governed by the provisions of this Part.\n\n3. The requirements concerning deposit of, and publicity to be given to, the charts or lists of geographical coordinates showing the limits referred to in article 1, paragraph 1(1), are set forth in Part VI.\n\n4. Nothing in this article affects the establishment of the outer limits of the continental shelf in accordance with Part VI or the validity of agreements relating to delimitation between States with opposite or adjacent coasts.\n\nArticle 135. Legal status of the superjacent waters and air space\n\nNeither this Part nor any rights granted or exercised pursuant thereto shall affect the legal status of the waters superjacent to the Area or that of the air space above those waters.\n\nSECTION 2. PRINCIPLES GOVERNING THE AREA\n\nArticle 136. Common heritage of mankind\n\nThe Area and its resources are the common heritage of mankind.\n\nArticle 137. Legal status of the Area and its resources\n\n1. No State shall claim or exercise sovereignty or sovereign rights over any part of the Area or its resources, nor shall any State or natural or juridical person appropriate any part thereof. No such claim or exercise of sovereignty or sovereign rights nor such appropriation shall be recognized.\n\n2. All rights in the resources of the Area are vested in mankind as a whole, on whose behalf the Authority shall act. These resources are not subject to alienation. The minerals recovered from the Area, however, may only be alienated in accordance with this Part and the rules, regulations and procedures of the Authority.\n\n3. No State or natural or juridical person shall claim, acquire or exercise rights with respect to the minerals recovered from the Area except in accordance with this Part. Otherwise, no such claim, acquisition or exercise of such rights shall be recognized.\n\nArticle 138. General conduct of States in relation to the Area\n\nThe general conduct of States in relation to the Area shall be in accordance with the provisions of this Part, the principles embodied in the Charter of the United Nations and other rules of international law in the interests of maintaining peace and security and promoting international cooperation and mutual understanding.\n\nArticle 139. Responsibility to ensure compliance and liability for damage\n\n1. States Parties shall have the responsibility to ensure that activities in the Area, whether carried out by States Parties, or state enterprises or natural or juridical persons which possess the nationality of States Parties or are effectively controlled by them or their nationals, shall be carried out in conformity with this Part. The same responsibility applies to international organizations for activities in the Area carried out by such organizations.\n\n2. Without prejudice to the rules of international law and Annex III, article 22, damage caused by the failure of a State Party or international organization to carry out its responsibilities under this Part shall entail liability; States Parties or international organizations acting together shall bear joint and several liability. A State Party shall not however be liable for damage caused by any failure to comply with this Part by a person whom it has sponsored under article 153, paragraph 2(b), if the State Party has taken all necessary and appropriate measures to secure effective compliance under article 153, paragraph 4, and Annex III, article 4, paragraph 4.\n\n3. States Parties that are members of international organizations shall take appropriate measures to ensure the implementation of this article with respect to such organizations.\n\nArticle 140. Benefit of mankind\n\n1. Activities in the Area shall, as specifically provided for in this Part, be carried out for the benefit of mankind as a whole, irrespective of the geographical location of States, whether coastal or land-locked, and taking into particular consideration the interests and needs of developing States and of peoples who have not attained full independence or other self-governing status recognized by the United Nations in accordance with General Assembly resolution 1514 (XV) and other relevant General Assembly resolutions.\n\n2. The Authority shall provide for the equitable sharing of financial and other economic benefits derived from activities in the Area through any appropriate mechanism, on a non-discriminatory basis, in accordance with article 160, paragraph 2(f)(i).\n\nArticle 141. Use of the Area exclusively for peaceful purposes\n\nThe Area shall be open to use exclusively for peaceful purposes by all States, whether coastal or land-locked, without discrimination and without prejudice to the other provisions of this Part.\n\nArticle 142. Rights and legitimate interests of coastal States\n\n1. Activities in the Area, with respect to resource deposits in the Area which lie across limits of national jurisdiction, shall be conducted with due regard to the rights and legitimate interests of any coastal State across whose jurisdiction such deposits lie.\n\n2. Consultations, including a system of prior notification, shall be maintained with the State concerned, with a view to avoiding infringement of such rights and interests. In cases where activities in the Area may result in the exploitation of resources lying within national jurisdiction, the prior consent of the coastal State concerned shall be required.\n\n3. Neither this Part nor any rights granted or exercised pursuant thereto shall affect the rights of coastal States to take such measures consistent with the relevant provisions of Part XII as may be necessary to prevent, mitigate or eliminate grave and imminent danger to their coastline, or related interests from pollution or threat thereof or from other hazardous occurrences resulting from or caused by any activities in the Area.\n\nArticle 143. Marine scientific research\n\n1. Marine scientific research in the Area shall be carried out exclusively for peaceful purposes and for the benefit of mankind as a whole, in accordance with Part XIII.\n\n2. The Authority may carry out marine scientific research concerning the Area and its resources, and may enter into contracts for that purpose. The Authority shall promote and encourage the conduct of marine scientific research in the Area, and shall coordinate and disseminate the results of such research and analysis when available.\n\n3. States Parties may carry out marine scientific research in the Area. States Parties shall promote international cooperation in marine scientific research in the Area by:\n\n(a) participating in international programmes and encouraging cooperation in marine scientific research by personnel of different countries and of the Authority;\n\n(b) ensuring that programmes are developed through the Authority or other international organizations as appropriate for the benefit of developing States and technologically less developed States with a view to:\n\n(i) strengthening their research capabilities;\n\n(ii) training their personnel and the personnel of the Authority in the techniques and applications of research;\n\n(iii) fostering the employment of their qualified personnel in research in the Area;\n\n(c) effectively disseminating the results of research and analysis when available, through the Authority or other international channels when appropriate.\n\nArticle 144. Transfer of technology\n\n1. The Authority shall take measures in accordance with this Convention:\n\n(a) to acquire technology and scientific knowledge relating to activities in the Area; and\n\n(b) to promote and encourage the transfer to developing States of such technology and scientific knowledge so that all States Parties benefit therefrom.\n\n2. To this end the Authority and States Parties shall cooperate in promoting the transfer of technology and scientific knowledge relating to activities in the Area so that the Enterprise and all States Parties may benefit therefrom. In particular they shall initiate and promote:\n\n(a) programmes for the transfer of technology to the Enterprise and to developing States with regard to activities in the Area, including, inter alia, facilitating the access of the Enterprise and of developing States to the relevant technology, under fair and reasonable terms and conditions;\n\n(b) measures directed towards the advancement of the technology of the Enterprise and the domestic technology of developing States, particularly by providing opportunities to personnel from the Enterprise and from developing States for training in marine science and technology and for their full participation in activities in the Area.\n\nArticle 145. Protection of the marine environment\n\nNecessary measures shall be taken in accordance with this Convention with respect to activities in the Area to ensure effective protection for the marine environment from harmful effects which may arise from such activities. To this end the Authority shall adopt appropriate rules, regulations and procedures for inter alia:\n\n(a) the prevention, reduction and control of pollution and other hazards to the marine environment, including the coastline, and of interference with the ecological balance of the marine environment, particular attention being paid to the need for protection from harmful effects of such activities as drilling, dredging, excavation, disposal of waste, construction and operation or maintenance of installations, pipelines and other devices related to such activities;\n\n(b) the protection and conservation of the natural resources of the Area and the prevention of damage to the flora and fauna of the marine environment.\n\nArticle 146. Protection of human life\n\nWith respect to activities in the Area, necessary measures shall be taken to ensure effective protection of human life. To this end the Authority shall adopt appropriate rules, regulations and procedures to supplement existing international law as embodied in relevant treaties.\n\nArticle 147. Accommodation of activities in the Area and in the marine environment\n\n1. Activities in the Area shall be carried out with reasonable regard for other activities in the marine environment.\n\n2. Installations used for carrying out activities in the Area shall be subject to the following conditions:\n\n(a) such installations shall be erected, emplaced and removed solely in accordance with this Part and subject to the rules, regulations and procedures of the Authority. Due notice must be given of the erection, emplacement and removal of such installations, and permanent means for giving warning of their presence must be maintained;\n\n(b) such installations may not be established where interference may be caused to the use of recognized sea lanes essential to international navigation or in areas of intense fishing activity;\n\n(c) safety zones shall be established around such installations with appropriate markings to ensure the safety of both navigation and the installations. The configuration and location of such safety zones shall not be such as to form a belt impeding the lawful access of shipping to particular maritime zones or navigation along international sea lanes;\n\n(d) such installations shall be used exclusively for peaceful purposes;\n\n(e) such installations do not possess the status of islands. They have no territorial sea of their own, and their presence does not affect the delimitation of the territorial sea, the exclusive economic zone or the continental shelf.\n\n3. Other activities in the marine environment shall be conducted with reasonable regard for activities in the Area.\n\nArticle 148. Participation of developing States in activities in the Area\n\nThe effective participation of developing States in activities in the Area shall be promoted as specifically provided for in this Part, having due regard to their special interests and needs, and in particular to the special need of the land-locked and geographically disadvantaged among them to overcome obstacles arising from their disadvantaged location, including remoteness from the Area and difficulty of access to and from it.\n\nArticle 149. Archaeological and historical objects\n\nAll objects of an archaeological and historical nature found in the Area shall be preserved or disposed of for the benefit of mankind as a whole, particular regard being paid to the preferential rights of the State or country of origin, or the State of cultural origin, or the State of historical and archaeological origin.\n\nSECTION 3. DEVELOPMENT OF RESOURCES OF THE AREA\n\nArticle 150. Policies relating to activities in the Area\n\nActivities in the Area shall, as specifically provided for in this Part, be carried out in such a manner as to foster healthy development of the world economy and balanced growth of international trade, and to promote international cooperation for the over-all development of all countries, especially developing States, and with a view to ensuring:\n\n(a) the development of the resources of the Area;\n\n(b) orderly, safe and rational management of the resources of the Area, including the efficient conduct of activities in the Area and, in accordance with sound principles of conservation, the avoidance of unnecessary waste;\n\n(c) the expansion of opportunities for participation in such activities consistent in particular with articles 144 and 148;\n\n(d) participation in revenues by the Authority and the transfer of technology to the Enterprise and developing States as provided for in this Convention;\n\n(e) increased availability of the minerals derived from the Area as needed in conjunction with minerals derived from other sources, to ensure supplies to consumers of such minerals;\n\n(f) the promotion of just and stable prices remunerative to producers and fair to consumers for minerals derived both from the Area and from other sources, and the promotion of long-term equilibrium between supply and demand;\n\n(g) the enhancement of opportunities for all States Parties, irrespective of their social and economic systems or geographical location, to participate in the development of the resources of the Area and the prevention of monopolization of activities in the Area;\n\n(h) the protection of developing countries from adverse effects on their economies or on their export earnings 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, as provided in article 151;\n\n(i) the development of the common heritage for the benefit of mankind as a whole; and\n\n(j) conditions of access to markets for the imports of minerals produced from the resources of the Area and for imports of commodities produced from such minerals shall not be more favourable than the most favourable applied to imports from other sources.\n\nArticle 151. Production policies\n\n1. (a) Without prejudice to the objectives set forth in article 150 and for the purpose of implementing subparagraph (h) of that article, the Authority, acting through existing forums or such new arrangements or agreements as may be appropriate, in which all interested parties, including both producers and consumers, participate, shall take measures necessary to promote the growth, efficiency and stability of markets for those commodities produced from the minerals derived from the Area, at prices remunerative to producers and fair to consumers. All States Parties shall cooperate to this end.\n\n(b) The Authority shall have the right to participate in any commodity conference dealing with those commodities and in which all interested parties including both producers and consumers participate. The Authority shall have the right to become a party to any arrangement or agreement resulting from such conferences. Participation of the Authority in any organs established under those arrangements or agreements shall be in respect of production in the Area and in accordance with the relevant rules of those organs.\n\n(c) The Authority shall carry out its obligations under the arrangements or agreements referred to in this paragraph in a manner which assures a uniform and non-discriminatory implementation in respect of all production in the Area of the minerals concerned. In doing so, the Authority shall act in a manner consistent with the terms of existing contracts and approved plans of work of the Enterprise.\n\n2. (a) During the interim period specified in paragraph 3, commercial production shall not be undertaken pursuant to an approved plan of work until the operator has applied for and has been issued a production authorization by the Authority. Such production authorizations may not be applied for or issued more than five years prior to the planned commencement of commercial production under the plan of work unless, having regard to the nature and timing of project development, the rules, regulations and procedures of the Authority prescribe another period.\n\n(b) In the application for the production authorization, the operator shall specify the annual quantity of nickel expected to be recovered under the approved plan of work. The application shall include a schedule of expenditures to be made by the operator after he has received the authorization which are reasonably calculated to allow him to begin commercial production on the date planned.\n\n(c) For the purposes of subparagraphs (a) and (b), the Authority shall establish appropriate performance requirements in accordance with Annex III, article 17.\n\n(d) The Authority shall issue a production authorization for the level of production applied for unless the sum of that level and the levels already authorized exceeds the nickel production ceiling, as calculated pursuant to paragraph 4 in the year of issuance of the authorization, during any year of planned production falling within the interim period.\n\n(e) When issued, the production authorization and approved application shall become a part of the approved plan of work.\n\n(f) If the operator's application for a production authorization is denied pursuant to subparagraph (d), the operator may apply again to the Authority at any time.\n\n3. The interim period shall begin five years prior to 1 January of the year in which the earliest commercial production is planned to commence under an approved plan of work. If the earliest commercial production is delayed beyond the year originally planned, the beginning of the interim period and the production ceiling originally calculated shall be adjusted accordingly. The interim period shall last 25 years or until the end of the Review Conference referred to in article 155 or until the day when such new arrangements or agreements as are referred to in paragraph 1 enter into force, whichever is earliest. The Authority shall resume the power provided in this article for the remainder of the interim period if the said arrangements or agreements should lapse or become ineffective for any reason whatsoever.\n\n4. (a) The production ceiling for any year of the interim period shall be the sum of:\n\n(i) the difference between the trend line values for nickel consumption, as calculated pursuant to subparagraph (b), for the year immediately prior to the year of the earliest commercial production and the year immediately prior to the commencement of the interim period; and\n\n(ii) sixty per cent of the difference between the trend line values for nickel consumption, as calculated pursuant to subparagraph (b), for the year for which the production authorization is being applied for and the year immediately prior to the year of the earliest commercial production.\n\n(b) For the purposes of subparagraph (a):\n\n(i) trend line values used for computing the nickel production ceiling shall be those annual nickel consumption values on a trend line computed during the year in which a production authorization is issued. The trend line shall be derived from a linear regression of the logarithms of actual nickel consumption for the most recent 15-year period for which such data are available, time being the independent variable. This trend line shall be referred to as the original trend line;\n\n(ii) if the annual rate of increase of the original trend line is less than 3 per cent, then the trend line used to determine the quantities referred to in subparagraph (a) shall instead be one passing through the original trend line at the value for the first year of the relevant 15-year period, and increasing at 3 per cent annually; provided however that the production ceiling established for any year of the interim period may not in any case exceed the difference between the original trend line value for that year and the original trend line value for the year immediately prior to the commencement of the interim period.\n\n5. The Authority shall reserve to the Enterprise for its initial production a quantity of 38,000 metric tonnes of nickel from the available production ceiling calculated pursuant to paragraph 4.\n\n6. (a) An operator may in any year produce less than or up to 8 per cent more than the level of annual production of minerals from polymetallic nodules specified in his production authorization, provided that the over-all amount of production shall not exceed that specified in the authorization. Any excess over 8 per cent and up to 20 per cent in any year, or any excess in the first and subsequent years following two consecutive years in which excesses occur, shall be negotiated with the Authority, which may require the operator to obtain a supplementary production authorization to cover additional production.\n\n(b) Applications for such supplementary production authorizations shall be considered by the Authority only after all pending applications by operators who have not yet received production authorizations have been acted upon and due account has been taken of other likely applicants. The Authority shall be guided by the principle of not exceeding the total production allowed under the production ceiling in any year of the interim period. It shall not authorize the production under any plan of work of a quantity in excess of 46,500 metric tonnes of nickel per year.\n\n7. The levels of production of other metals such as copper, cobalt and manganese extracted from the polymetallic nodules that are recovered pursuant to a production authorization should not be higher than those which would have been produced had the operator produced the maximum level of nickel from those nodules pursuant to this article. The Authority shall establish rules, regulations and procedures pursuant to Annex III, article 17, to implement this paragraph.\n\n8. Rights and obligations relating to unfair economic practices under relevant multilateral trade agreements shall apply to the exploration for and exploitation of minerals from the Area. In the settlement of disputes arising under this provision, States Parties which are Parties to such multilateral trade agreements shall have recourse to the dispute settlement procedures of such agreements.\n\n9. The Authority shall have the power to limit the level of production of minerals from the Area, other than minerals from polymetallic nodules, under such conditions and applying such methods as may be appropriate by adopting regulations in accordance with article 161, paragraph 8.\n\n10. Upon the recommendation of the Council on the basis of advice from the Economic Planning Commission, the Assembly shall establish a system of compensation or take other measures of economic adjustment assistance including cooperation with specialized agencies and other international organizations to assist 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. The Authority on request shall initiate studies on the problems of those States which are likely to be most seriously affected with a view to minimizing their difficulties and assisting them in their economic adjustment.\n\nArticle 152. Exercise of powers and functions by the Authority\n\n1. The Authority shall avoid discrimination in the exercise of its powers and functions, including the granting of opportunities for activities in the Area.\n\n2. Nevertheless, special consideration for developing States, including particular consideration for the land-locked and geographically disadvantaged among them, specifically provided for in this Part shall be permitted.\n\nArticle 153. System of exploration and exploitation\n\n1. Activities in the Area shall be organized, carried out and controlled by the Authority on behalf of mankind as a whole in accordance with this article as well as other relevant provisions of this Part and the relevant Annexes, and the rules, regulations and procedures of the Authority.\n\n2. Activities in the Area shall be carried out as prescribed in paragraph 3:\n\n(a) by the Enterprise, and\n\n(b) in association with the Authority by States Parties, or state enterprises or natural or juridical persons which possess the nationality of States Parties or are effectively controlled by them or their nationals, when sponsored by such States, or any group of the foregoing which meets the requirements provided in this Part and in Annex III.\n\n3. Activities in the Area shall be carried out in accordance with a formal written plan of work drawn up in accordance with Annex III and approved by the Council after review by the Legal and Technical Commission. In the case of activities in the Area carried out as authorized by the Authority by the entities specified in paragraph 2(b), the plan of work shall, in accordance with Annex III, article 3, be in the form of a contract. Such contracts may provide for joint arrangements in accordance with Annex III, article 11.\n\n4. The Authority shall exercise such control over activities in the Area as is necessary for the purpose of securing compliance with the relevant provisions of this Part and the Annexes relating thereto, and the rules, regulations and procedures of the Authority, and the plans of work approved in accordance with paragraph 3. States Parties shall assist the Authority by taking all measures necessary to ensure such compliance in accordance with article 139.\n\n5. The Authority shall have the right to take at any time any measures provided for under this Part to ensure compliance with its provisions and the exercise of the functions of control and regulation assigned to it thereunder or under any contract. The Authority shall have the right to inspect all installations in the Area used in connection with activities in the Area.\n\n6. A contract under paragraph 3 shall provide for security of tenure. Accordingly, the contract shall not be revised, suspended or terminated except in accordance with Annex III, articles 18 and 19.\n\nArticle 154. Periodic review\n\nEvery five years from the entry into force of this Convention, the Assembly shall undertake a general and systematic review of the manner in which the international regime of the Area established in this Convention has operated in practice. In the light of this review the Assembly may take, or recommend that other organs take, measures in accordance with the provisions and procedures of this Part and the Annexes relating thereto which will lead to the improvement of the operation of the regime.\n\nArticle 155. The Review Conference\n\n1. Fifteen years from 1 January of the year in which the earliest commercial production commences under an approved plan of work, the Assembly shall convene a conference for the review of those provisions of this Part and the relevant Annexes which govern the system of exploration and exploitation of the resources of the Area. The Review Conference shall consider in detail, in the light of the experience acquired during that period:\n\n(a) whether the provisions of this Part which govern the system of exploration and exploitation of the resources of the Area have achieved their aims in all respects, including whether they have benefited mankind as a whole;\n\n(b) whether, during the 15-year period, reserved areas have been exploited in an effective and balanced manner in comparison with non-reserved areas;\n\n(c) whether the development and use of the Area and its resources have been undertaken in such a manner as to foster healthy development of the world economy and balanced growth of international trade;\n\n(d) whether monopolization of activities in the Area has been prevented;\n\n(e) whether the policies set forth in articles 150 and 151 have been fulfilled; and\n\n(f) whether the system has resulted in the equitable sharing of benefits derived from activities in the Area, taking into particular consideration the interests and needs of the developing States.\n\n2. The Review Conference shall ensure the maintenance of the principle of the common heritage of mankind, the international regime designed to ensure equitable exploitation of the resources of the Area for the benefit of all countries, especially the developing States, and an Authority to organize, conduct and control activities in the Area. It shall also ensure the maintenance of the principles laid down in this Part with regard to the exclusion of claims or exercise of sovereignty over any part of the Area, the rights of States and their general conduct in relation to the Area, and their participation in activities in the Area in conformity with this Convention, the prevention of monopolization of activities in the Area, the use of the Area exclusively for peaceful purposes, economic aspects of activities in the Area, marine scientific research, transfer of technology, protection of the marine environment, protection of human life, rights of coastal States, the legal status of the waters superjacent to the Area and that of the air space above those waters and accommodation between activities in the Area and other activities in the marine environment.\n\n3. The decision-making procedure applicable at the Review Conference shall be the same as that applicable at the Third United Nations Conference on the Law of the Sea. The Conference shall make every effort to reach agreement on any amendments by way of consensus and there should be no voting on such matters until all efforts at achieving consensus have been exhausted.\n\n4. If, five years after its commencement, the Review Conference has not reached agreement on the system of exploration and exploitation of the resources of the Area, it may decide during the ensuing 12 months, by a three-fourths majority of the States Parties, to adopt and submit to the States Parties for ratification or accession such amendments changing or modifying the system as it determines necessary and appropriate. Such amendments shall enter into force for all States Parties 12 months after the deposit of instruments of ratification or accession by three fourths of the States Parties.\n\n5. Amendments adopted by the Review Conference pursuant to this article shall not affect rights acquired under existing contracts.\n\nSECTION 4. THE AUTHORITY\n\nSUBSECTION A. GENERAL PROVISIONS\n\nArticle 156. Establishment of the Authority\n\n1. There is hereby established the International Seabed Authority, which shall function in accordance with this Part.\n\n2. All States Parties are ipso facto members of the Authority.\n\n3. Observers at the Third United Nations Conference on the Law of the Sea who have signed the Final Act and who are not referred to in article 305, paragraph 1(c), (d), (e) or (f), shall have the right to participate in the Authority as observers, in accordance with its rules, regulations and procedures.\n\n4. The seat of the Authority shall be in Jamaica.\n\n5. The Authority may establish such regional centres or offices as it deems necessary for the exercise of its functions.\n\nArticle 157. Nature and fundamental principles of the Authority\n\n1. The Authority is the organization through which States Parties shall, in accordance with this Part, organize and control activities in the Area, particularly with a view to administering the resources of the Area.\n\n2. The powers and functions of the Authority shall be those expressly conferred upon it by this Convention. The Authority shall have such incidental powers, consistent with this Convention, as are implicit in and necessary for the exercise of those powers and functions with respect to activities in the Area.\n\n3. The Authority is based on the principle of the sovereign equality of all its members.\n\n4. All members of the Authority shall fulfil in good faith the obligations assumed by them in accordance with this Part in order to ensure to all of them the rights and benefits resulting from membership.\n\nArticle 158. Organs of the Authority\n\n1. There are hereby established, as the principal organs of the Authority, an Assembly, a Council and a Secretariat.\n\n2. There is hereby established the Enterprise, the organ through which the Authority shall carry out the functions referred to in article 170, paragraph 1.\n\n3. Such subsidiary organs as may be found necessary may be established in accordance with this Part.\n\n4. Each principal organ of the Authority and the Enterprise shall be responsible for exercising those powers and functions which are conferred upon it. In exercising such powers and functions each organ shall avoid taking any action which may derogate from or impede the exercise of specific powers and functions conferred upon another organ.\n\nSUBSECTION B. THE ASSEMBLY\n\nArticle 159. Composition, procedure and voting\n\n1. The Assembly shall consist of all the members of the Authority. Each member shall have one representative in the Assembly, who may be accompanied by alternates and advisers.\n\n2. The Assembly shall meet in regular annual sessions and in such special sessions as may be decided by the Assembly, or convened by the Secretary-General at the request of the Council or of a majority of the members of the Authority.\n\n3. Sessions shall take place at the seat of the Authority unless otherwise decided by the Assembly.\n\n4. The Assembly shall adopt its rules of procedure. At the beginning of each regular session, it shall elect its President and such other officers as may be required. They shall hold office until a new President and other officers are elected at the next regular session.\n\n5. A majority of the members of the Assembly shall constitute a quorum.\n\n6. Each member of the Assembly shall have one vote.\n\n7. Decisions on questions of procedure, including decisions to convene special sessions of the Assembly, shall be taken by a majority of the members present and voting.\n\n8. Decisions on questions of substance shall be taken by a two-thirds majority of the members present and voting, provided that such majority includes a majority of the members participating in the session. When the issue arises as to whether a question is one of substance or not, that question shall be treated as one of substance unless otherwise decided by the Assembly by the majority required for decisions on questions of substance.\n\n9. When a question of substance comes up for voting for the first time, the President may, and shall, if requested by at least one fifth of the members of the Assembly, defer the issue of taking a vote on that question for a period not exceeding five calendar days. This rule may be applied only once to any question, and shall not be applied so as to defer the question beyond the end of the session.\n\n10. Upon a written request addressed to the President and sponsored by at least one fourth of the members of the Authority for an advisory opinion on the conformity with this Convention of a proposal before the Assembly on any matter, the Assembly shall request the Seabed Disputes Chamber of the International Tribunal for the Law of the Sea to give an advisory opinion thereon and shall defer voting on that proposal pending receipt of the advisory opinion by the Chamber. If the advisory opinion is not received before the final week of the session in which it is requested, the Assembly shall decide when it will meet to vote upon the deferred proposal.\n\nArticle 160. Powers and functions\n\n1. The Assembly, as the sole organ of the Authority consisting of all the members, shall be considered the supreme organ of the Authority to which the other principal organs shall be accountable as specifically provided for in this Convention. The Assembly shall have the power to establish general policies in conformity with the relevant provisions of this Convention on any question or matter within the competence of the Authority.\n\n2. In addition, the powers and functions of the Assembly shall be:\n\n(a) to elect the members of the Council in accordance with article 161;\n\n(b) to elect the Secretary-General from among the candidates proposed by the Council;\n\n(c) to elect, upon the recommendation of the Council, the members of the Governing Board of the Enterprise and the Director-General of the Enterprise;\n\n(d) to establish such subsidiary organs as it finds necessary for the exercise of its functions in accordance with this Part. In the composition of these subsidiary organs due account shall be taken of the principle of equitable geographical distribution and of special interests and the need for members qualified and competent in the relevant technical questions dealt with by such organs;\n\n(e) to assess the contributions of members to the administrative budget of the Authority in accordance with an agreed scale of assessment based upon the scale used for the regular budget of the United Nations until the Authority shall have sufficient income from other sources to meet its administrative expenses;\n\n(f) (i) to consider and approve, upon the recommendation of the Council, the rules, regulations and procedures on the equitable sharing of financial and other economic benefits derived from activities in the Area and the payments and contributions made pursuant to article 82, taking into particular consideration the interests and needs of developing States and peoples who have not attained full independence or other self-governing status. If the Assembly does not approve the recommendations of the Council, the Assembly shall return them to the Council for reconsideration in the light of the views expressed by the Assembly;\n\n(ii) to consider and approve the rules, regulations and procedures of the Authority, and any amendments thereto, provisionally adopted by the Council pursuant to article 162, paragraph 2 (o)(ii). These rules, regulations and procedures shall relate to prospecting, exploration and exploitation in the Area, the financial management and internal administration of the Authority, and, upon the recommendation of the Governing Board of the Enterprise, to the transfer of funds from the Enterprise to the Authority;\n\n(g) to decide upon the equitable sharing of financial and other economic benefits derived from activities in the Area, consistent with this Convention and the rules, regulations and procedures of the Authority;\n\n(h) to consider and approve the proposed annual budget of the Authority submitted by the Council;\n\n(i) to examine periodic reports from the Council and from the Enterprise and special reports requested from the Council or any other organ of the Authority;\n\n(j) to initiate studies and make recommendations for the purpose of promoting international cooperation concerning activities in the Area and encouraging the progressive development of international law relating thereto and its codification;\n\n(k) to consider problems of a general nature in connection with activities in the Area arising in particular for developing States, as well as those problems for States in connection with activities in the Area that are due to their geographical location, particularly for land-locked and geographically disadvantaged States;\n\n(l) to establish, upon the recommendation of the Council, on the basis of advice from the Economic Planning Commission, a system of compensation or other measures of economic adjustment assistance as provided in article 151, paragraph 10;\n\n(m) to suspend the exercise of rights and privileges of membership pursuant to article 185;\n\n(n) to discuss any question or matter within the competence of the Authority and to decide as to which organ of the Authority shall deal with any such question or matter not specifically entrusted to a particular organ, consistent with the distribution of powers and functions among the organs of the Authority.\n\nSUBSECTION C. THE COUNCIL\n\nArticle 161. Composition, procedure and voting\n\n1. The Council shall consist of 36 members of the Authority elected by the Assembly in the following order:\n\n(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 of total world consumption or have had net imports of more than 2 per cent of total world imports of the commodities produced from the categories of minerals to be derived from the Area, and in any case one State from the Eastern European (Socialist) region, as well as the largest consumer;\n\n(b) four members from among the eight States Parties which have the largest investments in preparation for and in the conduct of activities in the Area, either directly or through their nationals, including at least one State from the Eastern European (Socialist) region;\n\n(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;\n\n(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, 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;\n\n(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 European (Socialist), Latin America and Western European and Others.\n\n2. In electing the members of the Council in accordance with paragraph 1, the Assembly shall ensure that:\n\n(a) land-locked and geographically disadvantaged States are represented to a degree which is reasonably proportionate to their representation in the Assembly;\n\n(b) coastal States, especially developing States, which do not qualify under paragraph 1(a), (b), (c) or (d) are represented to a degree which is reasonably proportionate to their representation in the Assembly;\n\n(c) each group of States Parties to be represented on the Council is represented by those members, if any, which are nominated by that group.\n\n3. Elections shall take place at regular sessions of the Assembly. Each member of the Council shall be elected for four years. At the first election, however, the term of one half of the members of each group referred to in paragraph 1 shall be two years.\n\n4. Members of the Council shall be eligible for re-election, but due regard should be paid to the desirability of rotation of membership.\n\n5. The Council shall function at the seat of the Authority, and shall meet as often as the business of the Authority may require, but not less than three times a year.\n\n6. A majority of the members of the Council shall constitute a quorum.\n\n7. Each member of the Council shall have one vote.\n\n8. (a) Decisions on questions of procedure shall be taken by a majority of the members present and voting.\n\n(b) Decisions on questions of substance arising under the following provisions shall be taken by a two-thirds majority of the members present and voting, provided that such majority includes a majority of the members of the Council: article 162, paragraph 2, subparagraphs (f); (g); (h); (i); (n); (p); (v); article 191.\n\n(c) Decisions on questions of substance arising under the following provisions shall be taken by a three-fourths majority of the members present and voting, provided that such majority includes a majority of the members of the Council: article 162, paragraph 1; article 162, paragraph 2, subparagraphs (a); (b); (c); (d); (e); (l); (q); (r); (s); (t); (u) in cases of non-compliance by a contractor or a sponsor; (w) provided that orders issued thereunder may be binding for not more than 30 days unless confirmed by a decision taken in accordance with subparagraph (d); article 162, paragraph 2, subparagraphs (x); (y); (z); article 163, paragraph 2; article 174, paragraph 3; Annex IV, article 11.\n\n(d) Decisions on questions of substance arising under the following provisions shall be taken by consensus: article 162, paragraph 2(m) and (o); adoption of amendments to Part XI.\n\n(e) For the purposes of subparagraphs (d), (f) and (g), \"consensus\" means the absence of any formal objection. Within 14 days of the submission of a proposal to the Council, the President of the Council shall determine whether there would be a formal objection to the adoption of the proposal. If the President determines that there would be such an objection, the President shall establish and convene, within three days following such determination, a conciliation committee consisting of not more than nine members of the Council, with the President as chairman, for the purpose of reconciling the differences and producing a proposal which can be adopted by consensus. The committee shall work expeditiously and report to the Council within 14 days following its establishment. If the committee is unable to recommend a proposal which can be adopted by consensus, it shall set out in its report the grounds on which the proposal is being opposed.\n\n(f) Decisions on questions not listed above which the Council is authorized to take by the rules, regulations and procedures of the Authority or otherwise shall be taken pursuant to the subparagraphs of this paragraph specified in the rules, regulations and procedures or, if not specified therein, then pursuant to the subparagraph determined by the Council if possible in advance, by consensus.\n\n(g) When the issue arises as to whether a question is within subparagraph (a), (b), (c) or (d), the question shall be treated as being within the subparagraph requiring the higher or highest majority or consensus as the case may be, unless otherwise decided by the Council by the said majority or by consensus.\n\n9. The Council shall establish a procedure whereby a member of the Authority not represented on the Council may send a representative to attend a meeting of the Council when a request is made by such member, or a matter particularly affecting it is under consideration. Such a representative shall be entitled to participate in the deliberations but not to vote.\n\nArticle 162. Powers and functions\n\n1. The Council is the executive organ of the Authority. The Council shall have the power to establish, in conformity with this Convention and the general policies established by the Assembly, the specific policies to be pursued by the Authority on any question or matter within the competence of the Authority.\n\n2. In addition, the Council shall:\n\n(a) supervise and coordinate the implementation of the provisions of this Part on all questions and matters within the competence of the Authority and invite the attention of the Assembly to cases of non-compliance;\n\n(b) propose to the Assembly a list of candidates for the election of the Secretary-General;\n\n(c) recommend to the Assembly candidates for the election of the members of the Governing Board of the Enterprise and the Director-General of the Enterprise;\n\n(d) establish, as appropriate, and with due regard to economy and efficiency, such subsidiary organs as it finds necessary for the exercise of its functions in accordance with this Part. In the composition of subsidiary organs, emphasis shall be placed on the need for members qualified and competent in relevant technical matters dealt with by those organs provided that due account shall be taken of the principle of equitable geographical distribution and of special interests;\n\n(e) adopt its rules of procedure including the method of selecting its president;\n\n(f) enter into agreements with the United Nations or other international organizations on behalf of the Authority and within its competence, subject to approval by the Assembly;\n\n(g) consider the reports of the Enterprise and transmit them to the Assembly with its recommendations;\n\n(h) present to the Assembly annual reports and such special reports as the Assembly may request;\n\n(i) issue directives to the Enterprise in accordance with article 170;\n\n(j) approve plans of work in accordance with Annex III, article 6. The Council shall act upon each plan of work within 60 days of its submission by the Legal and Technical Commission at a session of the Council in accordance with the following procedures:\n\n(i) if the Commission recommends the approval of a plan of work, it shall be deemed to have been approved by the Council if no member of the Council submits in writing to the President within 14 days a specific objection alleging non-compliance with the requirements of Annex III, article 6. If there is an objection, the conciliation procedure set forth in article 161, paragraph 8(e), shall apply. If, at the end of the conciliation procedure, the objection is still maintained, the plan of work shall be deemed to have been approved by the Council unless the Council disapproves it by consensus among its members excluding any State or States making the application or sponsoring the applicant;\n\n(ii) if the Commission recommends the disapproval of a plan of work or does not make a recommendation, the Council may approve the plan of work by a three-fourths majority of the members present and voting, provided that such majority includes a majority of the members participating in the session;\n\n(k) approve plans of work submitted by the Enterprise in accordance with Annex IV, article 12, applying, mutatis mutandis, the procedures set forth in subparagraph (j);\n\n(l) exercise control over activities in the Area in accordance with article 153, paragraph 4, and the rules, regulations and procedures of the Authority;\n\n(m) take, upon the recommendation of the Economic Planning Commission, necessary and appropriate measures in accordance with article 150, subparagraph (h), to provide protection from the adverse economic effects specified therein;\n\n(n) make recommendations to the Assembly, on the basis of advice from the Economic Planning Commission, for a system of compensation or other measures of economic adjustment assistance as provided in article 151, paragraph 10;\n\n(o) (i) recommend to the Assembly rules, regulations and procedures on the equitable sharing of financial and other economic benefits derived from activities in the Area and the payments and contributions made pursuant to article 82, taking into particular consideration the interests and needs of the developing States and peoples who have not attained full independence or other self-governing status;\n\n(ii) adopt and apply provisionally, pending approval by the Assembly, the rules, regulations and procedures of the Authority, and any amendments thereto, taking into account the recommendations of the Legal and Technical Commission or other subordinate organ concerned. These rules, regulations and procedures shall relate to prospecting, exploration and exploitation in the Area and the financial management and internal administration of the Authority. Priority shall be given to the adoption of rules, regulations and procedures for the exploration for and exploitation of polymetallic nodules. Rules, regulations and procedures for the exploration for and exploitation of any resource other than polymetallic nodules shall be adopted within three years from the date of a request to the Authority by any of its members to adopt such rules, regulations and procedures in respect of such resource. All rules, regulations and procedures shall remain in effect on a provisional basis until approved by the Assembly or until amended by the Council in the light of any views expressed by the Assembly;\n\n(p) review the collection of all payments to be made by or to the Authority in connection with operations pursuant to this Part;\n\n(q) make the selection from among applicants for production authorizations pursuant to Annex III, article 7, where such selection is required by that provision;\n\n(r) submit the proposed annual budget of the Authority to the Assembly for its approval;\n\n(s) make recommendations to the Assembly concerning policies on any question or matter within the competence of the Authority;\n\n(t) make recommendations to the Assembly concerning suspension of the exercise of the rights and privileges of membership pursuant to article 185;\n\n(u) institute proceedings on behalf of the Authority before the Seabed Disputes Chamber in cases of non-compliance;\n\n(v) notify the Assembly upon a decision by the Seabed Disputes Chamber in proceedings instituted under subparagraph (u), and make any recommendations which it may find appropriate with respect to measures to be taken;\n\n(w) issue emergency orders, which may include orders for the suspension or adjustment of operations, to prevent serious harm to the marine environment arising out of activities in the Area;\n\n(x) disapprove areas for exploitation by contractors or the Enterprise in cases where substantial evidence indicates the risk of serious harm to the marine environment;\n\n(y) establish a subsidiary organ for the elaboration of draft financial rules, regulations and procedures relating to:\n\n(i) financial management in accordance with articles 171 to 175; and\n\n(ii) financial arrangements in accordance with Annex III, article 13 and article 17, paragraph 1(c);\n\n(z) establish appropriate mechanisms for directing and supervising a staff of inspectors who shall inspect activities in the Area to determine whether this Part, the rules, regulations and procedures of the Authority, and the terms and conditions of any contract with the Authority are being complied with.\n\nArticle 163. Organs of the Council\n\n1. There are hereby established the following organs of the Council:\n\n(a) an Economic Planning Commission;\n\n(b) a Legal and Technical Commission.\n\n2. Each Commission shall be composed of 15 members, elected by the Council from among the candidates nominated by the States Parties. However, if necessary, the Council may decide to increase the size of either Commission having due regard to economy and efficiency.\n\n3. Members of a Commission shall have appropriate qualifications in the area of competence of that Commission. States Parties shall nominate candidates of the highest standards of competence and integrity with qualifications in relevant fields so as to ensure the effective exercise of the functions of the Commissions.\n\n4. In the election of members of the Commissions, due account shall be taken of the need for equitable geographical distribution and the representation of special interests.\n\n5. No State Party may nominate more than one candidate for the same Commission. No person shall be elected to serve on more than one Commission.\n\n6. Members of the Commissions shall hold office for a term of five years. They shall be eligible for re-election for a further term.\n\n7. In the event of the death, incapacity or resignation of a member of a Commission prior to the expiration of the term of office, the Council shall elect for the remainder of the term, a member from the same geographical region or area of interest.\n\n8. Members of Commissions shall have no financial interest in any activity relating to exploration and exploitation in the Area. Subject to their responsibilities to the Commissions upon which they serve, they shall not disclose, even after the termination of their functions, any industrial secret, proprietary data which are transferred to the Authority in accordance with Annex III, article 14, or any other confidential information coming to their knowledge by reason of their duties for the Authority.\n\n9. Each Commission shall exercise its functions in accordance with such guidelines and directives as the Council may adopt.\n\n10. Each Commission shall formulate and submit to the Council for approval such rules and regulations as may be necessary for the efficient conduct of the Commission's functions.\n\n11. The decision-making procedures of the Commissions shall be established by the rules, regulations and procedures of the Authority. Recommendations to the Council shall, where necessary, be accompanied by a summary on the divergencies of opinion in the Commission.\n\n12. Each Commission shall normally function at the seat of the Authority and shall meet as often as is required for the efficient exercise of its functions.\n\n13. In the exercise of its functions, each Commission may, where appropriate, consult another commission, any competent organ of the United Nations or of its specialized agencies or any international organizations with competence in the subject-matter of such consultation.\n\nArticle 164. The Economic Planning Commission\n\n1. Members of the Economic Planning Commission shall have appropriate qualifications such as those relevant to mining, management of mineral resource activities, international trade or international economics. The Council shall endeavour to ensure that the membership of the Commission reflects all appropriate qualifications. The Commission shall include at least two members from developing States whose exports of the categories of minerals to be derived from the Area have a substantial bearing upon their economies.\n\n2. The Commission shall:\n\n(a) propose, upon the request of the Council, measures to implement decisions relating to activities in the Area taken in accordance with this Convention;\n\n(b) review the trends of and the factors affecting supply, demand and prices of minerals which may be derived from the Area, bearing in mind the interests of both importing and exporting countries, and in particular of the developing States among them;\n\n(c) examine any situation likely to lead to the adverse effects referred to in article 150, subparagraph (h), brought to its attention by the State Party or States Parties concerned, and make appropriate recommendations to the Council;\n\n(d) propose to the Council for submission to the Assembly, as provided in article 151, paragraph 10, a system of compensation or other measures of economic adjustment assistance for developing States which suffer adverse effects caused by activities in the Area. The Commission shall make the recommendations to the Council that are necessary for the application of the system or other measures adopted by the Assembly in specific cases.\n\nArticle 165. The Legal and Technical Commission\n\n1. Members of the Legal and Technical Commission shall have appropriate qualifications such as those relevant to exploration for and exploitation and processing of mineral resources, oceanology, protection of the marine environment, or economic or legal matters relating to ocean mining and related fields of expertise. The Council shall endeavour to ensure that the membership of the Commission reflects all appropriate qualifications.\n\n2. The Commission shall:\n\n(a) make recommendations with regard to the exercise of the Authority's functions upon the request of the Council;\n\n(b) review formal written plans of work for activities in the Area in accordance with article 153, paragraph 3, and submit appropriate recommendations to the Council. The Commission shall base its recommendations solely on the grounds stated in Annex III and shall report fully thereon to the Council;\n\n(c) supervise, upon the request of the Council, activities in the Area, where appropriate, in consultation and collaboration with any entity carrying out such activities or State or States concerned and report to the Council;\n\n(d) prepare assessments of the environmental implications of activities in the Area;\n\n(e) make recommendations to the Council on the protection of the marine environment, taking into account the views of recognized experts in that field;\n\n(f) formulate and submit to the Council the rules, regulations and procedures referred to in article 162, paragraph 2(o), taking into account all relevant factors including assessments of the environmental implications of activities in the Area;\n\n(g) keep such rules, regulations and procedures under review and recommend to the Council from time to time such amendments thereto as it may deem necessary or desirable;\n\n(h) make recommendations to the Council regarding the establishment of a monitoring programme to observe, measure, evaluate and analyse, by recognized scientific methods, on a regular basis, the risks or effects of pollution of the marine environment resulting from activities in the Area, ensure that existing regulations are adequate and are complied with and coordinate the implementation of the monitoring programme approved by the Council;\n\n(i) recommend to the Council that proceedings be instituted on behalf of the Authority before the Seabed Disputes Chamber, in accordance with this Part and the relevant Annexes taking into account particularly article 187;\n\n(j) make recommendations to the Council with respect to measures to be taken, upon a decision by the Seabed Disputes Chamber in proceedings instituted in accordance with subparagraph (i);\n\n(k) make recommendations to the Council to issue emergency orders, which may include orders for the suspension or adjustment of operations, to prevent serious harm to the marine environment arising out of activities in the Area. Such recommendations shall be taken up by the Council on a priority basis;\n\n(l) make recommendations to the Council to disapprove areas for exploitation by contractors or the Enterprise in cases where substantial evidence indicates the risk of serious harm to the marine environment;\n\n(m) make recommendations to the Council regarding the direction and supervision of a staff of inspectors who shall inspect activities in the Area to determine whether the provisions of this Part, the rules, regulations and procedures of the Authority, and the terms and conditions of any contract with the Authority are being complied with;\n\n(n) calculate the production ceiling and issue production authorizations on behalf of the Authority pursuant to article 151, paragraphs 2 to 7, following any necessary selection among applicants for production authorizations by the Council in accordance with Annex III, article 7.\n\n3. The members of the Commission shall, upon request by any State Party or other party concerned, be accompanied by a representative of such State or other party concerned when carrying out their function of supervision and inspection.\n\nSUBSECTION D. THE SECRETARIAT\n\nArticle 166. The Secretariat\n\n1. The Secretariat of the Authority shall comprise a Secretary-General and such staff as the Authority may require.\n\n2. The Secretary-General shall be elected for four years by the Assembly from among the candidates proposed by the Council and may be re-elected.\n\n3. The Secretary-General shall be the chief administrative officer of the Authority, and shall act in that capacity in all meetings of the Assembly, of the Council and of any subsidiary organ, and shall perform such other administrative functions as are entrusted to the Secretary-General by these organs.\n\n4. The Secretary-General shall make an annual report to the Assembly on the work of the Authority.\n\nArticle 167. The staff of the Authority\n\n1. The staff of the Authority shall consist of such qualified scientific and technical and other personnel as may be required to fulfil the administrative functions of the Authority.\n\n2. The paramount consideration in the recruitment and employment of the staff and in the determination of their conditions of service shall be the necessity of securing the highest standards of efficiency, competence and integrity. Subject to this consideration, due regard shall be paid to the importance of recruiting the staff on as wide a geographical basis as possible.\n\n3. The staff shall be appointed by the Secretary-General. The terms and conditions on which they shall be appointed, remunerated and dismissed shall be in accordance with the rules, regulations and procedures of the Authority.\n\nArticle 168. International character of the Secretariat\n\n1. In the performance of their duties the Secretary-General and the staff shall not seek or receive instructions from any government or from any other source external to the Authority. They shall refrain from any action which might reflect on their position as international officials responsible only to the Authority. Each State Party undertakes to respect the exclusively international character of the responsibilities of the Secretary-General and the staff and not to seek to influence them in the discharge of their responsibilities. Any violation of responsibilities by a staff member shall be submitted to the appropriate administrative tribunal as provided in the rules, regulations and procedures of the Authority.\n\n2. The Secretary-General and the staff shall have no financial interest in any activity relating to exploration and exploitation in the Area. Subject to their responsibilities to the Authority, they shall not disclose, even after the termination of their functions, any industrial secret, proprietary data which are transferred to the Authority in accordance with Annex III, article 14, or any other confidential information coming to their knowledge by reason of their employment with the Authority.\n\n3. Violations of the obligations of a staff member of the Authority set forth in paragraph 2 shall, on the request of a State Party affected by such violation, or a natural or juridical person, sponsored by a State Party as provided in article 153, paragraph 2(b), and affected by such violation, be submitted by the Authority against the staff member concerned to a tribunal designated by the rules, regulations and procedures of the Authority. The Party affected shall have the right to take part in the proceedings. If the tribunal so recommends, the Secretary-General shall dismiss the staff member concerned.\n\n4. The rules, regulations and procedures of the Authority shall contain such provisions as are necessary to implement this article.\n\nArticle 169. Consultation and cooperation with international and non-governmental organizations\n\n1. The Secretary-General shall, on matters within the competence of the Authority, make suitable arrangements, with the approval of the Council, for consultation and cooperation with international and non-governmental organizations recognized by the Economic and Social Council of the United Nations.\n\n2. Any organization with which the Secretary-General has entered into an arrangement under paragraph 1 may designate representatives to attend meetings of the organs of the Authority as observers in accordance with the rules of procedure of these organs. Procedures shall be established for obtaining the views of such organizations in appropriate cases.\n\n3. The Secretary-General may distribute to States Parties written reports submitted by the non-governmental organizations referred to in paragraph 1 on subjects in which they have special competence and which are related to the work of the Authority.\n\nSUBSECTION E. THE ENTERPRISE\n\nArticle 170. The Enterprise\n\n1. The Enterprise shall be the organ of the Authority which shall carry out activities in the Area directly, pursuant to article 153, paragraph 2(a), as well as the transporting, processing and marketing of minerals recovered from the Area.\n\n2. The Enterprise shall, within the framework of the international legal personality of the Authority, have such legal capacity as is provided for in the Statute set forth in Annex IV. The Enterprise shall act in accordance with this Convention and the rules, regulations and procedures of the Authority, as well as the general policies established by the Assembly, and shall be subject to the directives and control of the Council.\n\n3. The Enterprise shall have its principal place of business at the seat of the Authority.\n\n4. The Enterprise shall, in accordance with article 173, paragraph 2, and Annex IV, article 11, be provided with such funds as it may require to carry out its functions, and shall receive technology as provided in article 144 and other relevant provisions of this Convention.\n\nSUBSECTION F. FINANCIAL ARRANGEMENTS OF THE AUTHORITY\n\nArticle 171. Funds of the Authority\n\nThe funds of the Authority shall include:\n\n(a) assessed contributions made by members of the Authority in accordance with article 160, paragraph 2(e);\n\n(b) funds received by the Authority pursuant to Annex III, article 13, in connection with activities in the Area;\n\n(c) funds transferred from the Enterprise in accordance with Annex IV, article 10;\n\n(d) funds borrowed pursuant to article 174;\n\n(e) voluntary contributions made by members or other entities; and\n\n(f) payments to a compensation fund, in accordance with article 151, paragraph 10, whose sources are to be recommended by the Economic Planning Commission.\n\nArticle 172. Annual budget of the Authority\n\nThe Secretary-General shall draft the proposed annual budget of the Authority and submit it to the Council. The Council shall consider the proposed annual budget and submit it to the Assembly, together with any recommendations thereon. The Assembly shall consider and approve the proposed annual budget in accordance with article 160, paragraph 2(h).\n\nArticle 173. Expenses of the Authority\n\n1. The contributions referred to in article 171, subparagraph (a), shall be paid into a special account to meet the administrative expenses of the Authority until the Authority has sufficient funds from other sources to meet those expenses.\n\n2. The administrative expenses of the Authority shall be a first call upon the funds of the Authority. Except for the assessed contributions referred to in article 171, subparagraph (a), the funds which remain after payment of administrative expenses may, inter alia:\n\n(a) be shared in accordance with article 140 and article 160, paragraph 2(g);\n\n(b) be used to provide the Enterprise with funds in accordance with article 170, paragraph 4;\n\n(c) be used to compensate developing States in accordance with article 151, paragraph 10, and article 160, paragraph 2(l).\n\nArticle 174. Borrowing power of the Authority\n\n1. The Authority shall have the power to borrow funds.\n\n2. The Assembly shall prescribe the limits on the borrowing power of the Authority in the financial regulations adopted pursuant to article 160, paragraph 2(f).\n\n3. The Council shall exercise the borrowing power of the Authority.\n\n4. States Parties shall not be liable for the debts of the Authority.\n\nArticle 175. Annual audit\n\nThe records, books and accounts of the Authority, including its annual financial statements, shall be audited annually by an independent auditor appointed by the Assembly.\n\nSUBSECTION G. LEGAL STATUS, PRIVILEGES AND IMMUNITIES\n\nArticle 176. Legal status\n\nThe Authority shall have international legal personality and such legal capacity as may be necessary for the exercise of its functions and the fulfilment of its purposes.\n\nArticle 177. Privileges and immunities\n\nTo enable the Authority to exercise its functions, it shall enjoy in the territory of each State Party the privileges and immunities set forth in this subsection. The privileges and immunities relating to the Enterprise shall be those set forth in Annex IV, article 13.\n\nArticle 178. Immunity from legal process\n\nThe Authority, its property and assets, shall enjoy immunity from legal process except to the extent that the Authority expressly waives this immunity in a particular case.\n\nArticle 179. Immunity from search and any form of seizure\n\nThe property and assets of the Authority, wherever located and by whomsoever held, shall be immune from search, requisition, confiscation, expropriation or any other form of seizure by executive or legislative action.\n\nArticle 180. Exemption from restrictions, regulations, controls and moratoria\n\nThe property and assets of the Authority shall be exempt from restrictions, regulations, controls and moratoria of any nature.\n\nArticle 181. Archives and official communications of the Authority\n\n1. The archives of the Authority, wherever located, shall be inviolable.\n\n2. Proprietary data, industrial secrets or similar information and personnel records shall not be placed in archives which are open to public inspection.\n\n3. With regard to its official communications, the Authority shall be accorded by each State Party treatment no less favourable than that accorded by that State to other international organizations.\n\nArticle 182. Privileges and immunities of certain persons connected with the Authority\n\nRepresentatives of States Parties attending meetings of the Assembly, the Council or organs of the Assembly or the Council, and the Secretary-General and staff of the Authority, shall enjoy in the territory of each State Party:\n\n(a) immunity from legal process with respect to acts performed by them in the exercise of their functions, except to the extent that the State which they represent or the Authority, as appropriate, expressly waives this immunity in a particular case;\n\n(b) if they are not nationals of that State Party, the same exemptions from immigration restrictions, alien registration requirements and national service obligations, the same facilities as regards exchange restrictions and the same treatment in respect of travelling facilities as are accorded by that State to the representatives, officials and employees of comparable rank of other States Parties.\n\nArticle 183. Exemption from taxes and customs duties\n\n1. Within the scope of its official activities, the Authority, its assets and property, its income, and its operations and transactions, authorized by this Convention, shall be exempt from all direct taxation and goods imported or exported for its official use shall be exempt from all customs duties. The Authority shall not claim exemption from taxes which are no more than charges for services rendered.\n\n2. When purchases of goods or services of substantial value necessary for the official activities of the Authority are made by or on behalf of the Authority, and when the price of such goods or services includes taxes or duties, appropriate measures shall, to the extent practicable, be taken by States Parties to grant exemption from such taxes or duties or provide for their reimbursement. Goods imported or purchased under an exemption provided for in this article shall not be sold or otherwise disposed of in the territory of the State Party which granted the exemption, except under conditions agreed with that State Party.\n\n3. No tax shall be levied by States Parties on or in respect of salaries and emoluments paid or any other form of payment made by the Authority to the Secretary-General and staff of the Authority, as well as experts performing missions for the Authority, who are not their nationals.\n\nSUBSECTION H. SUSPENSION OF THE EXERCISE OF RIGHTS AND PRIVILEGES OF MEMBERS\n\nArticle 184. Suspension of the exercise of voting rights\n\nA State Party which is in arrears in the payment of its financial contributions to the Authority shall have no vote if the amount of its arrears equals or exceeds the amount of the contributions due from it for the preceding two full years. The Assembly may, nevertheless, permit such a member to vote if it is satisfied that the failure to pay is due to conditions beyond the control of the member.\n\nArticle 185. Suspension of exercise of rights and privileges of membership\n\n1. A State Party which has grossly and persistently violated the provisions of this Part may be suspended from the exercise of the rights and privileges of membership by the Assembly upon the recommendation of the Council.\n\n2. No action may be taken under paragraph 1 until the Seabed Disputes Chamber has found that a State Party has grossly and persistently violated the provisions of this Part.\n\nSECTION 5. SETTLEMENT OF DISPUTES AND ADVISORY OPINIONS\n\nArticle 186. Seabed Disputes Chamber of the International Tribunal for the Law of the Sea\n\nThe establishment of the Seabed Disputes Chamber and the manner in which it shall exercise its jurisdiction shall be governed by the provisions of this section, of Part XV and of Annex VI.\n\nArticle 187. Jurisdiction of the Seabed Disputes Chamber\n\nThe Seabed Disputes Chamber shall have jurisdiction under this Part and the Annexes relating thereto in disputes with respect to activities in the Area falling within the following categories:\n\n(a) disputes between States Parties concerning the interpretation or application of this Part and the Annexes relating thereto;\n\n(b) disputes between a State Party and the Authority concerning:\n\n(i) acts or omissions of the Authority or of a State Party alleged to be in violation of this Part or the Annexes relating thereto or of rules, regulations and procedures of the Authority adopted in accordance therewith; or\n\n(ii) acts of the Authority alleged to be in excess of jurisdiction or a misuse of power;\n\n(c) disputes between parties to a contract, being States Parties, the Authority or the Enterprise, state enterprises and natural or juridical persons referred to in article 153, paragraph 2(b), concerning:\n\n(i) the interpretation or application of a relevant contract or a plan of work; or\n\n(ii) acts or omissions of a party to the contract relating to activities in the Area and directed to the other party or directly affecting its legitimate interests;\n\n(d) disputes between the Authority and a prospective contractor who has been sponsored by a State as provided in article 153, paragraph 2(b), and has duly fulfilled the conditions referred to in Annex III, article 4, paragraph 6, and article 13, paragraph 2, concerning the refusal of a contract or a legal issue arising in the negotiation of the contract;\n\n(e) disputes between the Authority and a State Party, a state enterprise or a natural or juridical person sponsored by a State Party as provided for in article 153, paragraph 2(b), where it is alleged that the Authority has incurred liability as provided in Annex III, article 22;\n\n(f) any other disputes for which the jurisdiction of the Chamber is specifically provided in this Convention.\n\nArticle 188. Submission of disputes to a special chamber of the International Tribunal for the Law of the Sea or an ad hoc chamber of the Seabed Disputes Chamber or to binding commercial arbitration\n\n1. Disputes between States Parties referred to in article 187, subparagraph (a), may be submitted:\n\n(a) at the request of the parties to the dispute, to a special chamber of the International Tribunal for the Law of the Sea to be formed in accordance with Annex VI, articles 15 and 17; or\n\n(b) at the request of any party to the dispute, to an ad hoc chamber of the Seabed Disputes Chamber to be formed in accordance with Annex VI, article 36.\n\n2. (a) Disputes concerning the interpretation or application of a contract referred to in article 187, subparagraph (c)(i), shall be submitted, at the request of any party to the dispute, to binding commercial arbitration, unless the parties otherwise agree. A commercial arbitral tribunal to which the dispute is submitted shall have no jurisdiction to decide any question of interpretation of this Convention. When the dispute also involves a question of the interpretation of Part XI and the Annexes relating thereto, with respect to activities in the Area, that question shall be referred to the Seabed Disputes Chamber for a ruling.\n\n(b) If, at the commencement of or in the course of such arbitration, the arbitral tribunal determines, either at the request of any party to the dispute or proprio motu, that its decision depends upon a ruling of the Seabed Disputes Chamber, the arbitral tribunal shall refer such question to the Seabed Disputes Chamber for such ruling. The arbitral tribunal shall then proceed to render its award in conformity with the ruling of the Seabed Disputes Chamber.\n\n(c) In the absence of a provision in the contract on the arbitration procedure to be applied in the dispute, the arbitration shall be conducted in accordance with the UNCITRAL Arbitration Rules or such other arbitration rules as may be prescribed in the rules, regulations and procedures of the Authority, unless the parties to the dispute otherwise agree.\n\nArticle 189. Limitation on jurisdiction with regard to decisions of the Authority\n\nThe Seabed Disputes Chamber shall have no jurisdiction with regard to the exercise by the Authority of its discretionary powers in accordance with this Part; in no case shall it substitute its discretion for that of the Authority. Without prejudice to article 191, in exercising its jurisdiction pursuant to article 187, the Seabed Disputes Chamber shall not pronounce itself on the question of whether any rules, regulations and procedures of the Authority are in conformity with this Convention, nor declare invalid any such rules, regulations and procedures. Its jurisdiction in this regard shall be confined to deciding claims that the application of any rules, regulations and procedures of the Authority in individual cases would be in conflict with the contractual obligations of the parties to the dispute or their obligations under this Convention, claims concerning excess of jurisdiction or misuse of power, and to claims for damages to be paid or other remedy to be given to the party concerned for the failure of the other party to comply with its contractual obligations or its obligations under this Convention.\n\nArticle 190. Participation and appearance of sponsoring States Parties in proceedings\n\n1. If a natural or juridical person is a party to a dispute referred to in article 187, the sponsoring State shall be given notice thereof and shall have the right to participate in the proceedings by submitting written or oral statements.\n\n2. If an action is brought against a State Party by a natural or juridical person sponsored by another State Party in a dispute referred to in article 187, subparagraph (c), the respondent State may request the State sponsoring that person to appear in the proceedings on behalf of that person. Failing such appearance, the respondent State may arrange to be represented by a juridical person of its nationality.\n\nArticle 191. Advisory opinions\n\nThe Seabed Disputes Chamber shall give advisory opinions at the request of the Assembly or the Council on legal questions arising within the scope of their activities. Such opinions shall be given as a matter of urgency.\n", "n_chars": 83870}
{"corpus_id": "un/convention/unclos-partxi-1982-es", "version_id": "1982-12-10", "title": "Convención de las Naciones Unidas sobre el Derecho del Mar — Parte XI: La Zona (artículos 133 a 191)", "short_title": "CNUDM Parte XI (La Zona) [ES]", "jurisdiction": "international", "document_type": "convention", "official_citation": "Convención de las Naciones Unidas sobre el Derecho del Mar, 10 de diciembre de 1982, 1833 UNTS 3, Parte XI (arts. 133 a 191)", "authentic_languages": ["ar", "zh", "en", "fr", "ru", "es"], "language": "es", "adoption_date": "1982-12-10", "entry_into_force_date": "1994-11-16", "source_url": "https://eur-lex.europa.eu/legal-content/ES/TXT/PDF/?uri=CELEX:21998A0623(01)", "source_publisher": "Oficina de Publicaciones de la Unión Europea — Diario Oficial L 179 de 23.6.1998 (EUR-Lex)", "source_is_official": true, "authoritative_status": "authentic_text", "text_fidelity": "extracted_verified", "content_hash": "sha256:843031d739f2478c4297d2de0e46e063e73fed2fd34df673b95206b3682d55c9", "original_sha256": "sha256:8c918b14720534d7a25b4e778370f891105ceec8694c0151f4c11993202ec583", "text_sha256": "sha256:843031d739f2478c4297d2de0e46e063e73fed2fd34df673b95206b3682d55c9", "license": "un-materials-terms", "rights_note": "Texto auténtico español de la CNUDM, publicado en el Diario Oficial de las Comunidades Europeas L 179 de 23 de junio de 1998 (EUR-Lex). El contenido del Diario Oficial de la UE es reutilizable (Decisión 2011/833/UE); el texto del tratado subyacente es un instrumento de las Naciones Unidas, atribuido a la ONU. No re-licenciado.", "provenance_note": "AUTHENTIC SPANISH TEXT of UNCLOS Part XI (arts. 133–191) — sibling under JC-006 (English base record is un/convention/unclos-partxi-1982). Authentic in the six UN languages, all equally authoritative; the ES text is stored here. Source is the clean digital EUR-Lex publication of the Convention in the Official Journal L 179 (23 June 1998), CELEX 21998A0623(01) — used because the UN/DOALOS non-English PDFs are OCR-degraded. The byte-exact official PDF is stored as original.pdf; Part XI is extracted with pdftotext -raw and cleaned by the committed scripts/extract.py (OJ running heads removed, soft-hyphen line wraps recomposed, NFC-normalised), byte-exact reproducible; no wording changed. Part XI is modified by, and yields on conflict to, the 1994 Implementation Agreement (see related_documents). An equally-authentic language version, NOT a translation.", "text": "Convención de las Naciones Unidas sobre el Derecho del Mar — Parte XI: La Zona (artículos 133 a 191)\n\nPARTE XI. LA ZONA\n\nSECCIÓN 1. DISPOSICIONES GENERALES\n\nArtículo 133. Términos empleados\n\nPara los efectos de esta parte:\n\na) por «recursos» se entiende todos los recursos minerales sólidos, líquidos o gaseosos in situ en la zona, situados en los fondos marinos o en su subsuelo, incluidos los nódulos polimetálicos;\n\nb) los recursos, una vez extraídos de la zona, se denominarán «minerales».\n\nArtículo 134. Ámbito de aplicación de esta parte\n\n1. Esta parte se aplicará a la zona.\n\n2. Las actividades en la zona se regirán por las disposiciones de esta parte.\n\n3. El depósito y publicidad de las cartas o listas de coordenadas geográficas que indiquen los límites a que se hace referencia en el punto 1 del apartado 1 del artículo 1 se regirán por la parte VI.\n\n4. Ninguna de las disposiciones de este artículo afectará al establecimiento del límite exterior de la plataforma continental de conformidad con la parte VI ni a la validez de los acuerdos relativos a delimitación celebrados entre Estados con costas adyacentes o situados frente a frente.\n\nArtículo 135. Condición jurídica de las aguas y del espacio aéreo\n\nsuprayacentes Ni las disposiciones de esta parte, ni ningún derecho concedido o ejercido en virtud de ellas afectarán a la condición jurídica de las aguas suprayacentes de la zona ni a la del espacio aéreo situado sobre ellas.\n\nSECCIÓN 2. PRINCIPIOS QUE RIGEN LA ZONA\n\nArtículo 136. Patrimonio común de la humanidad\n\nLa zona y sus recursos son patrimonio común de la humanidad.\n\nArtículo 137. Condición jurídica de la zona y sus recursos\n\n1. Ningún Estado podrá reivindicar o ejercer soberanía o derechos soberanos sobre parte alguna de la zona o sus recursos, y ningún Estado o persona natural o jurídica podrá apropiarse de parte alguna de la zona o sus recursos. No se reconocerán tal reivindicación o ejercicio de soberanía o de derechos soberanos ni tal apropiación.\n\n2. Todos los derechos sobre los recursos de la zona pertenecen a toda la humanidad, en cuyo nombre actuará la Autoridad. Estos recursos son inalienables. No obstante, los minerales extraídos de la zona sólo podrán enajenarse con arreglo a esta parte y a las normas, reglamentos y procedimientos de la Autoridad.\n\n3. Ningún Estado o persona natural o jurídica reivindicará, adquirirá o ejercerá derechos respecto de los minerales extraídos de la zona, salvo de conformidad con esta parte. De otro modo, no se reconocerá tal reivindicación, adquisición o ejercicio de derechos.\n\nArtículo 138. Comportamiento general de los Estados en relación con\n\nla zona El comportamiento general de los Estados en relación con la zona se ajustará a lo dispuesto en esta parte, a los principios incorporados en la Carta de las Naciones Unidas y a otras normas de Derecho internacional, en interés del mantenimiento de la paz y la seguridad y del fomento de la cooperación internacional y la comprensión mutua.\n\nArtículo 139. Obligación de garantizar el cumplimiento de las\n\ndisposiciones de la Convención y responsabilidad por daños\n\n1. Los Estados Partes estarán obligados a velar por que las actividades en la zona, ya sean realizadas por ellos mismos, por empresas estatales o por personas naturales o jurídicas que posean su nacionalidad o estén bajo su control efectivo o el de sus nacionales, se efectúen de conformidad con esta parte. La misma obligación incumbirá a las organizaciones internacionales respecto de sus actividades en la zona.\n\n2. Sin perjuicio de las normas de Derecho internacional y del artículo 22 del anexo III, los daños causados por el incumplimiento por un Estado Parte o una organización internacional de sus obligaciones con arreglo a esta parte entrañarán responsabilidad; los Estados Partes u organizaciones internacionales que actúen en común serán conjunta y solidariamente responsables. Sin embargo, el Estado Parte no será responsable de los daños causados en caso de incumplimiento de esta parte por una persona a la que haya patrocinado con arreglo a la letra b) del apartado 2 del artículo 153 si ha tomado todas las medidas necesarias y apropiadas para lograr el cumplimiento efectivo de conformidad con el apartado 4 del artículo 153 y el apartado 4 del artículo 4 del anexo III.\n\n3. Los Estados Partes que sean miembros de organizaciones internacionales adoptarán medidas apropiadas para velar por la aplicación de este artículo respecto de esas organizaciones.\n\nArtículo 140. Beneficio de la humanidad\n\n1. Las actividades en la zona se realizarán, según se dispone expresamente en esta parte, en beneficio de toda la humanidad, independientemente de la ubicación geográfica de los Estados, ya sean ribereños o sin litoral, y prestando consideración especial a los intereses y necesidades de los Estados en desarrollo y de los pueblos que no hayan logrado la plena independencia u otro régimen de autonomía reconocido por las Naciones Unidas de conformidad con la Resolución 1514 (XV) y otras resoluciones pertinentes de la Asamblea General.\n\n2. La Autoridad dispondrá la distribución equitativa de los beneficios financieros y otros beneficios económicos derivados de las actividades en la zona mediante un mecanismo apropiado, sobre una base no discriminatoria, de conformidad con el inciso i) de la letra f) del apartado 2 del artículo 160.\n\nArtículo 141. Utilización de la zona exclusivamente con fines pacíficos\n\nLa zona estará abierta a la utilización exclusivamente con fines pacíficos por todos los Estados, ya sean ribereños o sin litoral, sin discriminación y sin perjuicio de las demás disposiciones de esta parte.\n\nArtículo 142. Derechos e intereses legítimos de los Estados ribereños\n\n1. Las actividades en la zona relativas a los recursos cuyos yacimientos se extiendan más allá de los límites de ella se realizarán teniendo debidamente en cuenta los derechos e intereses legítimos del Estado ribereño dentro de cuya jurisdicción se extiendan esos yacimientos.\n\n2. Se celebrarán consultas con el Estado interesado, incluido un sistema de notificación previa, con miras a evitar la lesión de sus derechos e intereses legítimos. En los casos en que las actividades en la zona puedan dar lugar a la explotación de recursos situados dentro de la jurisdicción nacional de un Estado ribereño, se requerirá su previo consentimiento.\n\n3. Ni las disposiciones de esta parte ni ningún derecho conferido o ejercido en virtud de ellas afectarán al derecho de los Estados ribereños a adoptar las medidas acordes con las disposiciones pertinentes de la parte XII que sean necesarias para prevenir, mitigar o eliminar un peligro grave e inminente para sus costas o intereses conexos originado por contaminación real o potencial u otros accidentes resultantes de cualesquiera actividades en la zona o causados por ellas.\n\nArtículo 143. Investigación científica marina\n\n1. La investigación científica marina en la zona se realizará exclusivamente con fines pacíficos y en beneficio de toda la humanidad, de conformidad con la parte XIII.\n\n2. La Autoridad podrá realizar investigaciones científicas marinas relativas a la zona y sus recursos, y podrá celebrar contratos a ese efecto. La Autoridad promoverá e impulsará la realización de investigaciones científicas marinas en la zona, y coordinará y difundirá los resultados de tales investigaciones y análisis cuando estén disponibles.\n\n3. Los Estados Partes podrán realizar investigaciones científicas marinas en la zona. Los Estados Partes promoverán la cooperación internacional en la investigación científica marina en la zona:\n\na) participando en programas internacionales e impulsando la cooperación en materia de investigación científica marina de personal de diferentes países y de la Autoridad;\n\nb) velando por que se elaboren programas por conducto de la Autoridad o de otras organizaciones internacionales, según corresponda, en beneficio de los Estados en desarrollo y de los Estados tecnológicamente menos avanzados con miras a:\n\ni) fortalecer la capacidad de esos Estados en materia de investigación,\n\nii) capacitar a personal de esos Estados y de la Autoridad en las técnicas y aplicaciones de la investigación,\n\niii) promover el empleo de personal calificado de esos Estados en la investigación en la zona;\n\nc) difundiendo efectivamente los resultados de las investigaciones y los análisis, cuando estén disponibles, a través de la Autoridad o de otros conductos internacionales cuando corresponda.\n\nArtículo 144. Transmisión de tecnología\n\n1. La Autoridad adoptará medidas de conformidad con esta Convención para:\n\na) adquirir tecnología y conocimientos científicos relacionados con las actividades en la zona; y\n\nb) promover e impulsar la transmisión de tales tecnología y conocimientos científicos a los Estados en desarrollo de manera que todos los Estados Partes se beneficien de ellos.\n\n2. Con tal fin, la Autoridad y los Estados Partes cooperarán para promover la transmisión de tecnología y conocimientos científicos relacionados con las actividades en la zona de manera que la Empresa y todos los Estados Partes puedan beneficiarse de ellos. En particular, iniciarán y promoverán:\n\na) programas para la transmisión de tecnología a la Empresa y a los Estados en desarrollo respecto de las actividades en la zona, incluida, entre otras cosas, la facilitación del acceso de la Empresa y de los Estados en desarrollo a la tecnología pertinente, según modalidades y condiciones equitativas y razonables;\n\nb) medidas encaminadas al progreso de la tecnología de la Empresa y de la tecnología nacional de los Estados en desarrollo, en especial mediante la creación de oportunidades para la capacitación del personal de la Empresa y de los Estados en desarrollo en ciencia y tecnología marinas y su plena participación en las actividades en la zona.\n\nArtículo 145. Protección del medio marino\n\nSe adoptarán con respecto a las actividades en la zona las medidas necesarias de conformidad con esta Convención para asegurar la eficaz protección del medio marino contra los efectos nocivos que puedan resultar de esas actividades. Con ese objeto, la Autoridad establecerá las normas, reglamentos y procedimientos apropiados para, entre otras cosas:\n\na) prevenir, reducir y controlar la contaminación del medio marino y otros riesgos para éste, incluidas las costas, y la perturbación del equilibrio ecológico del medio marino, prestando especial atención a la necesidad de protección contra las consecuencias nocivas de actividades tales como la perforación, el dragado, la excavación, la evacuación de desechos, la construcción y el funcionamiento o mantenimiento de instalaciones, tuberías y otros dispositivos relacionados con tales actividades;\n\nb) proteger y conservar los recursos naturales de la zona y prevenir daños a la flora y fauna marinas.\n\nArtículo 146. Protección de la vida humana\n\nCon respecto a las actividades en la zona, se adoptarán las medidas necesarias para asegurar la eficaz protección de la vida humana. Con ese objeto, la Autoridad establecerá las normas, reglamentos y procedimientos apropiados que complementen el derecho internacional existente, tal como está contenido en los tratados en la materia.\n\nArtículo 147. Armonización de las actividades en la zona y en el\n\nmedio marino\n\n1. Las actividades en la zona se realizarán teniendo razonablemente en cuenta otras actividades en el medio marino.\n\n2. Las instalaciones utilizadas para la realización de actividades en la zona estarán sujetas a las condiciones siguientes:\n\na) serán construidas, emplazadas y retiradas exclusivamente de conformidad con lo dispuesto en esta parte y con sujeción a las normas, reglamentos y procedimientos de la Autoridad. Se notificarán debidamente la construcción, el emplazamiento y el retiro de tales instalaciones y se mantendrán medios permanentes para señalar su presencia;\n\nb) no serán establecidas donde puedan interferir la utilización de vías marítimas esenciales para la navegación internacional o en áreas de intensa actividad pesquera;\n\nc) en torno a ellas se establecerán zonas de seguridad, con las señales apropiadas, a fin de preservar la seguridad de la navegación y de las instalaciones. La configuración y ubicación de las zonas de seguridad serán tales que no formen un cordón que impida el acceso legítimo de los buques a determinadas zonas marítimas o la navegación por vías marítimas internacionales;\n\nd) se utilizarán exclusivamente con fines pacíficos;\n\ne) no poseen la condición jurídica de islas. No tienen mar territorial propio y su presencia no afecta a la delimitación del mar territorial, de la zona económica exclusiva o de la plataforma continental.\n\n3. Las demás actividades en el medio marino se realizarán teniendo razonablemente en cuenta las actividades en la zona.\n\nArtículo 148. Participación de los Estados en desarrollo en las\n\nactividades en la zona Se promoverá la participación efectiva de los Estados en desarrollo en las actividades en la zona, según se dispone expresamente en esta parte, teniendo debidamente en cuenta sus intereses y necesidades especiales y, en particular, la especial necesidad de los Estados en desarrollo sin litoral o en situación geográfica desventajosa de superar los obstáculos derivados de su ubicación desfavorable, incluidos la lejanía de la zona y la dificultad de acceso a la zona y desde ella.\n\nArtículo 149. Objetos arqueológicos e históricos\n\nTodos los objetos de carácter arqueológico e histórico hallados en la zona serán conservados o se dispondrá de ellos en beneficio de toda la humanidad, teniendo particularmente en cuenta los derechos preferentes del Estado o país de origen, del Estado de origen cultural o del Estado de origen histórico y arqueológico.\n\nSECCIÓN 3. APROVECHAMIENTO DE LOS RECURSOS DE LA ZONA\n\nArtículo 150. Política general relacionada con las actividades en la\n\nzona Las actividades en la zona se realizarán, según se dispone expresamente en esta parte, de manera que fomenten el desarrollo saludable de la economía mundial y el crecimiento equilibrado del comercio internacional y promuevan la cooperación internacional en pro del desarrollo general de todos los países, especialmente de los Estados en desarrollo, y con miras a asegurar:\n\na) el aprovechamiento de los recursos de la zona;\n\nb) la administración ordenada, segura y racional de los recursos de la zona, incluidas la realización eficiente de las actividades en la zona y de conformidad con sólidos principios de conservación, la evitación de desperdicios innecesarios;\n\nc) la ampliación de las oportunidades de participación en tales actividades en forma compatible particularmente con los artículos 144 y 148;\n\nd) la participación de la Autoridad en los ingresos y la transmisión de tecnología a la Empresa y a los Estados en desarrollo según lo dispuesto en esta Convención;\n\ne) el aumento de la disponibilidad de los minerales procedentes de la zona en la medida necesaria, junto con los procedentes de otras fuentes, para asegurar el abastecimiento a los consumidores de tales minerales;\n\nf) la promoción de precios justos y estables, remunerativos para los productores y equitativos para los consumidores, respecto de los minerales procedentes tanto de la zona como de otras fuentes, y la promoción del equilibrio a largo plazo entre la oferta y la demanda;\n\ng) mayores oportunidades de que todos los Estados Partes, cualquiera que sea su sistema social y económico o su ubicación geográfica, participen en el aprovechamiento de los recursos de la zona, así como la prevención de la monopolización de las actividades en la zona;\n\nh) la protección de los Estados en desarrollo respecto de los efectos adversos en sus economías o en sus ingresos de exportación resultantes de una reducción del precio o del volumen de exportación de un mineral, en la medida en que tal reducción sea ocasionada por actividades en la zona, con arreglo al artículo 151;\n\ni) el aprovechamiento del patrimonio común en beneficio de toda la humanidad;\n\nj) que las condiciones de acceso a los mercados de importación de los minerales procedentes de los recursos de la zona y de los productos básicos obtenidos de tales minerales no sean más ventajosas que las de carácter más favorable que se apliquen a las importaciones procedentes de otras fuentes.\n\nArtículo 151. Políticas de producción\n\n1. a) Sin perjuicio de los objetivos previstos en el artículo 150, y con el propósito de aplicar la letra h) de dicho artículo, la Autoridad, actuando por conducto de los foros existentes por medio de nuevos acuerdos o convenios, según proceda, en los que participen todas las partes interesadas incluidos productores y consumidores, adoptará las medidas necesarias para promover el crecimiento, la eficiencia y la estabilidad de los mercados de los productos básicos obtenidos de los minerales extraídos de la zona, a precios remunerativos para los productores y equitativos para los consumidores. Todos los Estados Partes cooperarán a tal fin.\n\nb) La Autoridad tendrá derecho a participar en cualquier conferencia sobre productos básicos que se ocupe de aquellos productos y en la que participen todas las partes interesadas, incluidos productores y consumidores. La Autoridad tendrá derecho a ser parte en cualquier acuerdo o convenio que sea resultado de las conferencias mencionadas previamente. La participación de la Autoridad en cualquier órgano establecido en virtud de esos acuerdos o convenios estará relacionada con la producción en la zona y se efectuará conforme a las normas pertinentes de ese órgano.\n\nc) La Autoridad cumplirá las obligaciones que haya contraído en virtud de los acuerdos o convenios a que se hace referencia en este apartado de manera que asegure una aplicación uniforme y no discriminatoria respecto de la totalidad de la producción de los minerales respectivos en la zona. Al hacerlo, la Autoridad actuará de manera compatible con las estipulaciones de los contratos vigentes y los planes de trabajo aprobados de la Empresa.\n\n2. a) Durante el período provisional especificado en el apartado 3 no se emprenderá la producción comercial de conformidad con un plan de trabajo aprobado hasta que el operador haya solicitado y obtenido de la Autoridad una autorización de producción. Esa autorización de producción no podrá solicitarse ni expedirse con más de cinco años de antelación al comienzo previsto de la producción comercial con arreglo al plan de trabajo, a menos que la Autoridad prescriba otro período en sus normas, reglamentos y procedimientos, teniendo presentes la índole y el calendario de ejecución de los proyectos.\n\nb) En la solicitud de autorización de producción, el operador especificará la cantidad anual de níquel que prevea extraer con arreglo al plan de trabajo aprobado. La solicitud incluirá un plan de los gastos que el operador realizará con posterioridad a la recepción de la autorización calculados razonablemente para que pueda iniciar la producción comercial en la fecha prevista.\n\nc) A los efectos de las letras a) y b), la Autoridad dictará normas de cumplimiento apropiadas, de conformidad con el artículo 17 del anexo III.\n\nd) La Autoridad expedirá una autorización de producción para el volumen de producción solicitado, a menos que la suma de ese volumen y de los volúmenes ya autorizados exceda del límite máximo de producción de níquel, calculado de conformidad con el apartado 4 en el año de expedición de la autorización, durante cualquier año de producción planificada comprendido en el período provisional.\n\ne) Una vez expedida la autorización de producción, ésta y la solicitud aprobada formarán parte del plan de trabajo aprobado.\n\nf) Si, en virtud de la letra d), se rechazare la solicitud de autorización presentada por un operador, éste podrá volver a presentar una solicitud a la Autoridad en cualquier momento.\n\n3. El período provisional comenzará cinco años antes del 1 de enero del año en que se prevea iniciar la primera producción comercial con arreglo a un plan de trabajo aprobado. Si el inicio de esa producción comercial se retrasare más allá del año proyectado originalmente, se modificarán en la forma correspondiente el comienzo del período provisional y el límite máximo de producción calculado originalmente. El período provisional durará veinticinco años o hasta que concluya la Conferencia de revisión mencionada en el artículo 155 o hasta el día en que entren en vigor los nuevos acuerdos o convenios mencionados en el apartado 1, rigiendo el plazo que venza antes. La Autoridad reasumirá las facultades previstas en este artículo por el resto del período provisional en caso de que los mencionados acuerdos o convenios expiren o queden sin efecto por cualquier motivo.\n\n4. a) El límite máximo de producción para cualquier año del período provisional será la suma de:\n\ni) la diferencia entre los valores de la línea de tendencia del consumo de níquel, calculados con arreglo a la letra b), para el año inmediatamente anterior al de la primera producción comercial y para el año inmediatamente anterior al comienzo del período provisional; y\n\nii) el 60 % de la diferencia entre los valores de la línea de tendencia del consumo de níquel, calculados con arreglo a la letra b), para el año para el que se solicite la autorización de producción y para el año inmediatamente anterior al de la primera producción comercial.\n\nb) A los efectos de la letra a):\n\ni) los valores de la línea de tendencia que se utilicen para calcular el límite máximo de producción de níquel serán los valores del consumo anual de níquel según una línea de tendencia calculada durante el año en el que se expida una autorización de producción. La línea de tendencia se calculará mediante la regresión lineal de los logaritmos del consumo real de níquel correspondiente al período de quince años más reciente del que se disponga de datos, siendo el tiempo la variable independiente. Esta línea de tendencia se denominará línea de tendencia inicial;\n\nii) si la tasa anual de aumento de la línea de tendencia inicial es inferior al 3 %, la línea de tendencia que se utilizará para determinar las cantidades mencionadas en la letra a) será una línea que corte la línea de tendencia inicial en un punto que represente el valor correspondiente al primer año del período de quince años pertinente y que aumente a razón del 3 % por año; sin embargo, el límite de producción que se establezca para cualquier año del período provisional no podrá exceder en ningún caso de la diferencia entre el valor de la línea de tendencia inicial para ese año y el de la línea de tendencia inicial correspondiente al año inmediatamente anterior al comienzo del período provisional.\n\n5. La Autoridad reservará, del límite máximo de producción permisible calculado con arreglo al apartado 4, la cantidad de 38 000 toneladas métricas de níquel para la producción inicial de la Empresa.\n\n6. a) Un operador podrá en cualquier año no alcanzar el volumen de producción anual de minerales procedentes de nódulos polimetálicos especificado en su autorización de producción o superarlo hasta el 8 %, siempre que el volumen global de la producción no exceda del especificado en la autorización. Todo exceso comprendido entre el 8 y el 20 % en cualquier año o todo exceso en el año o años posteriores tras dos años consecutivos en que se produzcan excesos se negociará con la Autoridad, la cual podrá exigir que el operador obtenga una autorización de producción suplementaria para esa producción adicional.\n\nb) Las solicitudes de autorización de producción suplementaria solamente serán estudiadas por la Autoridad después de haber resuelto todas las solicitudes pendientes de operadores que aún no hayan recibido autorizaciones de producción y después de haber tenido debidamente en cuenta a otros probables solicitantes. La Autoridad se guiará por el principio de no rebasar en ningún año del período provisional la producción total autorizada con arreglo al límite máximo de producción y no autorizará, en el marco de ningún plan de trabajo, la producción de una cantidad que exceda de 46 500 toneladas métricas de níquel por año.\n\n7. Los volúmenes de producción de otros metales, como cobre, cobalto y manganeso, obtenidos de los nódulos polimetálicos que se extraigan con arreglo a una autorización de producción no serán superiores a los que se habrían obtenido si el operador hubiese producido el volumen máximo de níquel de esos nódulos de conformidad con este artículo. La Autoridad establecerá, con arreglo al artículo 17 del anexo III, normas, reglamentos y procedimientos para aplicar este apartado.\n\n8. Los derechos y obligaciones en materia de prácticas económicas desleales previstos en los acuerdos comerciales multilaterales pertinentes serán aplicables a la exploración y explotación de minerales de la zona. A los efectos de la solución de las controversias que surjan respecto de la aplicación de esta disposición, los Estados Partes que sean partes en esos acuerdos comerciales multilaterales podrán valerse de los procedimientos de solución previstos en ellos.\n\n9. La Autoridad estará facultada para limitar el volumen de producción de los minerales de la zona, distintos de los minerales procedentes de nódulos polimetálicos, en las condiciones y según los métodos que sean apropiados mediante la adopción de reglamentos de conformidad con el apartado 8 del artículo 161.\n\n10. Por recomendación del Consejo fundada en el asesoramiento de la Comisión de planificación económica, la Asamblea establecerá un sistema de compensación o adoptará otras medidas de asistencia para el reajuste económico, incluida la cooperación con los organismos especializados y otras organizaciones internacionales, en favor de los países en desarrollo cuyos ingresos de exportación o cuya economía sufran serios perjuicios como consecuencia de una disminución del precio o del volumen exportado de un mineral, en la medida en que tal disminución se deba a actividades en la zona. Previa solicitud, la Asamblea iniciará estudios de los problemas de los Estados que puedan verse más gravemente afectados, a fin de minimizar sus dificultades y prestarles ayuda para su reajuste económico.\n\nArtículo 152. Ejercicio de las facultades y funciones de la Autoridad\n\n1. La Autoridad evitará toda discriminación en el ejercicio de sus facultades y funciones, incluso al conceder oportunidades de realizar actividades en la zona.\n\n2. Sin embargo, podrá prestar atención especial a los Estados en desarrollo, en particular a aquéllos sin litoral o en situación geográfica desventajosa, según se prevé expresamente en esta parte.\n\nArtículo 153. Sistema de exploración y explotación\n\n1. Las actividades en la zona serán organizadas, realizadas y controladas por la Autoridad en nombre de toda la humanidad de conformidad con el presente artículo, así como con otras disposiciones pertinentes de esta Parte y los anexos pertinentes, y las normas, reglamentos y procedimientos de la Autoridad.\n\n2. Las actividades en la zona serán realizadas tal como se dispone en el apartado 3:\n\na) por la Empresa, y\n\nb) en asociación con la Autoridad, por Estados Partes o empresas estatales o por personas naturales o jurídicas que posean la nacionalidad de Estados Partes o que sean efectivamente controladas por ellos o por sus nacionales, cuando las patrocinen dichos Estados, o por cualquier agrupación de los anteriores que reúna los requisitos previstos en esta parte y en el anexo III.\n\n3. Las actividades en la zona se realizarán con arreglo a un plan de trabajo oficial escrito, prepara do con arreglo al anexo III y aprobado por el Consejo tras su examen por la Comisión jurídica y técnica. En el caso de las actividades en la zona realizadas en la forma autorizada por la Autoridad por las entidades o personas especificadas en la letra b) del apartado 2, el plan de trabajo, de conformidad con el artículo 3 del anexo III, tendrá la forma de un contrato. En tales contratos podrán estipularse arreglos conjuntos de conformidad con el artículo 11 del anexo III.\n\n4. La Autoridad ejercerá sobre las actividades en la zona el control que sea necesario para lograr que se cumplan las disposiciones pertinentes de esta parte y de los correspondientes anexos, las normas, reglamentos y procedimientos de la Autoridad y los planes de trabajo aprobados de conformidad con el apartado 3. Los Estados Partes prestarán asistencia a la Autoridad adoptando todas las medidas necesarias para lograr dicho cumplimiento, de conformidad con el artículo 139.\n\n5. La Autoridad tendrá derecho a adoptar en todo momento cualquiera de las medidas previstas en esta parte para asegurar el cumplimiento de sus disposiciones y el desempeño de las funciones de control y reglamentación que se le asignen en virtud de esta Parte o con arreglo a cualquier contrato. La Autoridad tendrá derecho a inspeccionar todas las instalaciones utilizadas en relación con las actividades en la zona y situadas en ella.\n\n6. El contrato celebrado con arreglo al apartado 3 garantizará los derechos del contratista. Por consiguiente, no será modificado, suspendido ni rescindido, excepto de conformidad con los artículos 18 y 19 del anexo III.\n\nArtículo 154. Examen periódico\n\nCada cinco años a partir de la entrada en vigor de esta Convención, la Asamblea procederá a un examen general y sistemático de la forma en que el régimen internacional de la zona establecido en esta Convención haya funcionado en la práctica. A la luz de ese examen, la Asamblea podrá adoptar o recomendar que otros órganos adopten medidas, de conformidad con las disposiciones y procedimientos de esta Parte y de los anexos correspondientes, que permitan mejorar el funcionamiento del régimen.\n\nArtículo 155. Conferencia de revisión\n\n1. Quince años después del 1 de enero del año en que comience la primera producción comercial con arreglo a un plan de trabajo aprobado, la Asamblea convocará a una conferencia de revisión de las disposiciones de esta parte y de los anexos pertinentes que regulan el sistema de exploración y explotación de los recursos de la zona. A la luz de la experiencia adquirida en ese lapso, la Conferencia de revisión examinará en detalle:\n\na) si las disposiciones de esta parte que regulan el sistema de exploración y explotación de los recursos de la zona han cumplido sus finalidades en todos sus aspectos, en particular, si han beneficiado a toda la humanidad;\n\nb) si durante el período de quince años las áreas reservadas se han explotado de modo eficaz y equilibrado en comparación con las áreas no reservadas;\n\nc) si el desarrollo y la utilización de la zona y sus recursos se han llevado a cabo de manera que fomenten el desarrollo saludable de la economía mundial y el crecimiento equilibrado del comercio internacional;\n\nd) si se ha impedido la monopolización de las actividades en la zona;\n\ne) si se han cumplido las políticas establecidas en los artículos 150 y 151; y\n\nf) si el sistema ha dado lugar a una distribución equitativa de los beneficios derivados de las actividades en la zona, considerando en particular los intereses y las necesidades de los Estados en desarrollo.\n\n2. La Conferencia de revisión velará por que se mantengan el principio del patrimonio común de la humanidad, el régimen internacional para la explotación equitativa de los recursos de la zona en beneficio de todos los países, especialmente de los Estados en desarrollo, y la existencia de una Autoridad que organice, realice y controle las actividades en la zona. También velará por que se mantengan los principios establecidos en esta Parte, relativos a la exclusión de toda reivindicación y de todo ejercicio de soberanía sobre parte alguna de la zona, los derechos de los Estados y su comportamiento general en relación con la zona, y su participación en las actividades de la zona de conformidad con esta Convención, la prevención de la monopolización de las actividades en la zona, la utilización de la zona exclusivamente con fines pacíficos, los aspectos económicos de las actividades en la zona, la investigación científica marina, la transmisión de tecnología, la protección del medio marino y de la vida humana, los derechos de los Estados ribereños, el régimen jurídico de las aguas suprayacentes a la zona y del espacio aéreo sobre ellas y la armonización de las actividades en la zona y de otras actividades en el medio marino.\n\n3. El procedimiento aplicable para la adopción de decisiones en la Conferencia de revisión será el mismo aplicable en la Tercera Conferencia de las Naciones Unidas sobre el Derecho del Mar. La Conferencia hará todo lo posible para que los acuerdos sobre enmiendas se tomen por consenso y dichos asuntos no deberían someterse a votación hasta que no se hayan agotado todos los esfuerzos por llegar a un consenso.\n\n4. Si la Conferencia de revisión, cinco años después de su apertura, no hubiere llegado a un acuerdo sobre el sistema de exploración y explotación de los recursos de la zona, podrá decidir durante los doce meses siguientes, por mayoría de tres cuartos de los Estados Partes, adoptar y presentar a los Estados Partes, para su ratificación o adhesión, las enmiendas por las que se cambie o modifique el sistema que considere necesarias y apropiadas. Tales enmiendas entrarán en vigor para todos los Estados Partes doce meses después del depósito de los instrumentos de ratificación o adhesión de tres cuartos de los Estados Partes.\n\n5. Las enmiendas que adopte la Conferencia de revisión de conformidad con este artículo no afectarán a los derechos adquiridos en virtud de contratos existentes.\n\nSECCIÓN 4. LA AUTORIDAD\n\nSubsección A. Disposiciones generales\n\nArtículo 156. Establecimiento de la Autoridad\n\n1. Por esta Convención se establece la Autoridad Internacional de los Fondos Marinos, que actuará de conformidad con esta parte.\n\n2. Todos los Estados Partes son ipso facto miembros de la Autoridad.\n\n3. Los observadores en la Tercera Conferencia de las Naciones Unidas sobre el Derecho del Mar que hayan firmado el Acta final y no figuren en las letras c), d), e) o\n\nf) del apartado 1 del artículo 305 tendrán derecho a participar como observadores en la Autoridad, de conformidad con sus normas, reglamentos y procedimientos.\n\n4. La Autoridad tendrá su sede en Jamaica.\n\n5. La Autoridad podrá establecer los centros u oficinas regionales que considere necesarios para el desempeño de sus funciones.\n\nArtículo 157. Naturaleza y principios fundamentales de la Autoridad\n\n1. La Autoridad es la organización por conducto de la cual los Estados Partes organizarán y controlarán las actividades en la zona de conformidad con esta Parte, particularmente con miras a la administración de los recursos de la zona.\n\n2. La Autoridad tendrá las facultades y funciones que expresamente se le confieren en esta Convención. Tendrá también las facultades accesorias, compatibles con esta Convención, que resulten implícitas y necesarias para el ejercicio de aquellas facultades y funciones con respecto a las actividades en la zona.\n\n3. La Autoridad se basa en el principio de la igualdad soberana de todos sus miembros.\n\n4. Todos los miembros de la Autoridad cumplirán de buena fe las obligaciones contraídas de conformidad con esta Parte, a fin de asegurar a cada uno de ellos los derechos y beneficios dimanados de su calidad de tales.\n\nArtículo 158. Órganos de la Autoridad\n\n1. Por esta Convención se establecen, como órganos principales de la Autoridad, una Asamblea, un Consejo y una Secretaría.\n\n2. Se establece también la Empresa, órgano mediante el cual la Autoridad ejercerá las funciones mencionadas en el apartado 1 del artículo 170.\n\n3. Podrán establecerse, de conformidad con esta parte, los órganos subsidiarios que se consideren necesarios.\n\n4. A cada uno de los órganos principales de la Autoridad y a la Empresa les corresponderá ejercer las facultades y funciones que se les confieran. En el ejercicio de dichas facultades y funciones, cada uno de los órganos se abstendrá de tomar medida alguna que pueda menoscabar o impedir el ejercicio de facultades y funciones específicas conferidas a otro órgano.\n\nSubsección B. La Asamblea\n\nArtículo 159. Composición, procedimiento y votaciones\n\n1. La Asamblea estará integrada por todos los miembros de la Autoridad. Cada miembro tendrá un representante en la Asamblea, al que podrán acompañar suplentes y asesores.\n\n2. La Asamblea celebrará un período ordinario de sesiones cada año y períodos extraordinarios de sesiones cuando ella misma lo decida o cuando sea convocada por el Secretario General a petición del Consejo o de la mayoría de los miembros de la Autoridad.\n\n3. Los períodos de sesiones se celebrarán en la sede de la Autoridad, a menos que la Asamblea decida otra cosa.\n\n4. La Asamblea aprobará su reglamento. Al comienzo de cada período ordinario de sesiones, elegirá a su Presidente y a los demás miembros de la Mesa que considere necesarios. Estos ocuparán su cargo hasta que sean elegidos el nuevo Presidente y los demás miembros de la Mesa en el siguiente período ordinario de sesiones.\n\n5. La mayoría de los miembros de la Asamblea constituirá quórum.\n\n6. Cada miembro de la Asamblea tendrá un voto.\n\n7. Las decisiones sobre cuestiones de procedimiento, incluidas las de convocar períodos extraordinarios de sesiones de la Asamblea, se adoptarán por mayoría de los miembros presentes y votantes.\n\n8. Las decisiones sobre cuestiones de fondo se adoptarán por mayoría de dos tercios de los miembros presentes y votantes, siempre que comprenda la mayoría de los miembros que participen en el período de sesiones. En caso de duda sobre si una cuestión es o no de fondo, esa cuestión será tratada como cuestión de fondo a menos que la Asamblea decida otra cosa por la mayoría requerida para las decisiones sobre cuestiones de fondo.\n\n9. Cuando una cuestión de fondo vaya a ser sometida a votación por primera vez, el Presidente podrá aplazar la decisión de someterla a votación por un período no superior a cinco días civiles, y deberá hacerlo cuando lo solicite al menos una quinta parte de los miembros de la Asamblea. Esta disposición sólo podrá aplicarse una vez respecto de la misma cuestión, y su aplicación no entrañará el aplazamiento de la cuestión hasta una fecha posterior a la de clausura del período de sesiones.\n\n10. Previa solicitud, dirigida por escrito al Presidente y apoyada como mínimo por una cuarta parte de los miembros de la Autoridad, de que se emita una opinión consultiva acerca de la conformidad con esta Convención de una propuesta a la Asamblea respecto de cualquier asunto, la Asamblea pedirá a la Sala de Controversias de los Fondos Marinos del Tribunal Internacional del Derecho del Mar que emita una opinión consultiva al respecto y aplazará la votación sobre dicha propuesta hasta que la Sala emita su opinión consultiva. Si ésta no se recibiere antes de la última semana del período de sesiones en que se solicite, la Asamblea decidirá cuándo habrá de reunirse para proceder a la votación aplazada.\n\nArtículo 160. Facultades y funciones\n\n1. La Asamblea, en su carácter de único órgano integrado por todos los miembros de la Autoridad, será considerada el órgano supremo de ésta, ante el cual responderán los demás órganos principales tal como se dispone expresamente en esta Convención. La Asamblea estará facultada para establecer, de conformidad con esta Convención, la política general de la Autoridad respecto de todas las cuestiones de la competencia de ésta.\n\n2. Además, la Asamblea tendrá las siguientes facultades y funciones:\n\na) elegir a los miembros del Consejo de conformidad con el artículo 161;\n\nb) elegir al Secretario General entre los candidatos propuestos por el Consejo;\n\nc) elegir, por recomendación del Consejo, a los miembros de la Junta Directiva y al Director General de la Empresa;\n\nd) establecer los órganos subsidiarios que sean necesarios para el desempeño de sus funciones, de conformidad con esta parte. En la composición de tales órganos se tendrán debidamente en cuenta el principio de la distribución geográfica equitativa y los intereses especiales y la necesidad de asegurar el concurso de miembros calificados y competentes en las diferentes cuestiones técnicas de que se ocupen esos órganos;\n\ne) determinar las cuotas de los miembros en el presupuesto administrativo de la Autoridad con arreglo a una escala convenida, basada en la que se utiliza para el presupuesto ordinario de las Naciones Unidas, hasta que la Autoridad tenga suficientes ingresos de otras fuentes para sufragar sus gastos administrativos;\n\nf) i) examinar y aprobar, por recomendación del Consejo, las normas, reglamentos y procedimientos sobre la distribución equitativa de los beneficios financieros y otros beneficios económicos obtenidos de las actividades en la zona y los pagos y contribuciones hechos en aplicación de lo dispuesto en el artículo 82, teniendo especialmente en cuenta los intereses y necesidades de los Estados en desarrollo y de los pueblos que no hayan alcanzado la plena independencia u otro régimen de autonomía. La Asamblea, si no aprueba las recomendaciones del Consejo, las devolverá para que éste las reexamine atendiendo a las opiniones expuestas por ella;\n\nii) examinar y aprobar las normas, reglamentos y procedimentos de la Autoridad y cualesquiera enmiendas ellos a ellos, aprobados provisionalmente por el Consejo en aplicación de lo dispuesto en el inciso ii) de la letra o) del apartado 2 del artículo 162. Estas normas, reglamentos y procedimientos se referirán a la prospección, exploración y explotación en la zona, a la gestión financiera y la administración interna de la Autoridad y, por recomendación de la Junta Directiva de la Empresa, a la transferencia de fondos de la Empresa a la Autoridad;\n\ng) decidir sobre la distribución equitativa de los beneficios financieros y otros beneficios económicos obtenidos de las actividades en la zona, en forma compatible con esta Convención y las normas, reglamentos y procedimientos de la Autoridad;\n\nh) examinar y aprobar el proyecto de presupuesto anual de la Autoridad presentado por el Consejo;\n\ni) examinar los informes periódicos del Consejo y de la Empresa, así como los informes especiales solicitados al Consejo o a cualquier otro órgano de la Autoridad;\n\nj) iniciar estudios y hacer recomendaciones para promover la cooperación internacional en lo que atañe a las actividades en la zona y fomentar el desarrollo progresivo del derecho internacional sobre la materia y su codificación;\n\nk) examinar los problemas de carácter general que se planteen en relación con las actividades en la zona, particularmente a los Estados en desarrollo, así como los que se planteen a los Estados en relación con esas actividades y se deban a su situación geográfica, en particular en el caso de los Estados sin litoral o en situación geográfica desventajosa;\n\nl) establecer un sistema de compensación o adoptar otras medidas de asistencia para el reajuste económico, de conformidad con el apartado 10 del artículo 151, previa recomendación del Consejo basada en el asesoramiento de la Comisión de planificación económica;\n\nm) suspender el ejercicio de los derechos y privilegios inherentes a la calidad de miembro, de conformidad con el artículo 185;\n\nn) examinar cualesquiera cuestiones o asuntos comprendidos en el ámbito de competencia de la Autoridad y decidir, en forma compatible con la distribución de facultades y funciones entre los órganos de la Autoridad, cuál de ellos se ocupará de las cuestiones o asuntos no encomendados expresamente a un órgano determinado.\n\nSubsección C. El Consejo\n\nArtículo 161. Composición, procedimiento y votaciones\n\n1. El Consejo estará integrado por 36 miembros de la Autoridad elegidos por la Asamblea en el orden siguiente:\n\na) cuatro miembros escogidos entre los Estados Partes que, durante los últimos cinco años respecto de los cuales se disponga de estadísticas, hayan absorbido más del 2 % del consumo mundial total o hayan efectuado importaciones netas de más del 2 % de las importaciones mundiales totales de los productos básicos obtenidos a partir de las categorías de minerales que hayan de extraerse de la zona y, en todo caso, un Estado de la región de Europa oriental (socialista), así como el mayor consumidor;\n\nb) cuatro miembros escogidos entre los ocho Estados Partes que, directamente o por medio de sus nacionales, hayan hecho las mayores inversiones en la preparación y en la realización de actividades en la zona, incluido por lo menos un Estado de la región de Europa oriental (socialista);\n\nc) cuatro miembros escogidos entre los Estados Partes que, sobre la base de la producción de las áreas que se encuentran bajo su jurisdicción, sean grandes exportadores netos de las categorías de minerales que han de extraerse de la zona, incluidos por lo menos dos Estados en desarrollo cuyas exportaciones de esos minerales tengan una importancia considerable para su economía;\n\nd) seis miembros escogidos entre los Estados Partes en desarrollo, que representen intereses especiales. Los intereses especiales que han de estar representados incluirán los de los Estados con gran población, los Estados sin litoral o en situación geográfica desventajosa, los Estados que sean grandes importadores de las categorías de minerales que han de extraerse de la zona, los Estados que sean productores potenciales de tales minerales y los Estados en desarrollo menos adelantados;\n\ne) dieciocho miembros escogidos de conformidad con el principio de asegurar una distribución geográfica equitativa de los puestos del Consejo en su totalidad, a condición de que cada región geográfica cuente por lo menos con un miembro elegido en virtud de este apartado. A tal efecto, se considerarán regiones geográficas África, América Latina, Asia, Europa occidental y otros Estados, y Europa oriental (socialista).\n\n2. Al elegir a los miembros del Consejo de conformidad con el apartado 1, la Asamblea velará por que:\n\na) los Estados sin litoral o en situación geográfica desventajosa tengan una representación razonablemente proporcional a su representación en la Asamblea;\n\nb) los Estados ribereños, especialmente los Estados en desarrollo, en que no concurran las condiciones señaladas en las letras a), b), c) o d) del apartado 1 tengan una representación razonablemente proporcional a su representación en la Asamblea;\n\nc) cada grupo de Estados Partes que deba estar representado en el Consejo esté representado por los miembros que, en su caso, sean propuestos por ese grupo.\n\n3. Las elecciones se celebrarán en los períodos ordinarios de sesiones de la Asamblea. El mandato de cada miembro del Consejo durará cuatro años. No obstante, en la primera elección el mandato de la mitad de los miembros de cada uno de los grupos previstos en el apartado 1 durará dos años.\n\n4. Los miembros del Consejo podrán ser reelegidos, pero habrá de tenerse presente la conveniencia de la rotación en la composición del Consejo.\n\n5. El Consejo funcionará en la sede de la Autoridad y se reunirá con la frecuencia que los asuntos de la Autoridad requieran, pero al menos tres veces por año.\n\n6. La mayoría de los miembros del Consejo constituirá quórum.\n\n7. Cada miembro del Consejo tendrá un voto.\n\n8. a) Las decisiones sobre cuestiones de procedimiento se adoptarán por mayoría de los miembros presentes y votantes.\n\nb) Las decisiones sobre las cuestiones de fondo que surjan en relación con las letras f), g), h), i), n), p) y v) del apartado 2 del artículo 162 y con el artículo 191 se adoptarán por mayoría de dos tercios de los miembros presentes y votantes, siempre que comprenda la mayoría de los miembros del Consejo.\n\nc) Las decisiones sobre las cuestiones de fondo que surjan en relación con las disposiciones que se enumeran a continuación se adoptarán por mayoría de tres cuartos de los miembros presentes y votantes, siempre que comprenda la mayoría de los miembros del Consejo: apartado 1 del artículo 162; letras a), b), c), d), e), l), q), r), s) y t) del apartado 2 del artículo 162; letra u) del apartado 2 del artículo 162, en los casos de incumplimiento de un contratista o de un patrocinador; letra w) del apartado 2 del artículo 162, con la salvedad de que la obligatoriedad de las órdenes expedidas con arreglo a ese apartado no podrá exceder de 30 días a menos que sean confirmadas por una decisión adoptada de conformidad con la letra d); letras x), y) y z) del apartado 2 del artículo 162; apartado 2 del artículo 163; apartado 3 del artículo 174, artículo 11 del anexo IV.\n\nd) Las decisiones sobre las cuestiones de fondo que surjan en relación con las letras m) y o) del apartado 2 del artículo 162 y con la aprobación de enmiendas a la parte XI se adoptarán por consenso.\n\ne) Para los efectos de las letras d), f) y g), por «consenso» se entiende la ausencia de toda objeción formal. Dentro de los catorce días siguientes a la presentación de una propuesta al Consejo, el Presidente averiguará si se formularía alguna objeción formal a su aprobación. Cuando el Presidente constate que se formularía tal objeción, establecerá y convocará, dentro de los tres días siguientes a la fecha de esa constatación, un comité de conciliación, integrado por nueve miembros del Consejo como máximo, cuya presidencia asumirá, con objeto de conciliar las divergencias y preparar una propuesta que pueda ser aprobada por consenso. El comité trabajará con diligencia e informará al Consejo en un plazo de catorce días a partir de su establecimiento. Cuando el comité no pueda recomendar ninguna propuesta susceptible de ser aprobada por consenso, indicará en su informe las razones de la oposición a la propuesta.\n\nf) Las decisiones sobre las cuestiones que no estén enumeradas en los apartados precedentes y que el Consejo esté autorizado a adoptar en virtud de las normas, reglamentos y procedimientos de la Autoridad, o por cualquier otro concepto, se adoptarán de conformidad con los apartados de este párrafo especificados en las normas, reglamentos y procedimientos de la Autoridad o, si no se especifica en ningún apartado, por decisión del Consejo adoptada, de ser posible con antelación, por consenso.\n\ng) En caso de duda acerca de si una cuestión está comprendida en las letras a), b), c) o d), la cuestión se decidirá como si estuviese comprendida en el apartado en que se exija una mayoría más alta o el consenso, según el caso, a menos que el Consejo decida otra cosa por tal mayoría o por consenso.\n\n9. El Consejo establecerá un procedimiento conforme al cual un miembro de la Autoridad que no esté representado en el Consejo pueda enviar un representante para asistir a una sesión de éste cuando ese miembro lo solicite o cuando el Consejo examine una cuestión que le concierna particularmente. Ese representante podrá participar en las deliberaciones, pero no tendrá voto.\n\nArtículo 162. Facultades y funciones\n\n1. El Consejo es el órgano ejecutivo de la Autoridad y estará facultado para establecer, de conformidad con esta Convención y con la política general establecida por la Asamblea, la política concreta que seguirá la Autoridad en relación con toda cuestión o asunto de su competencia.\n\n2. Además, el Consejo:\n\na) supervisará y coordinará la aplicación de las disposiciones de esta parte respecto de todas las cuestiones y asuntos de la competencia de la Autoridad y señalará a la atención de la Asamblea los casos de incumplimiento;\n\nb) presentará a la Asamblea una lista de candidatos para el cargo de Secretario General;\n\nc) recomendará a la Asamblea candidatos para la elección de los miembros de la Junta Directiva y del Director General de la Empresa;\n\nd) constituirá, cuando proceda y prestando la debida atención a las consideraciones de economía y eficiencia, los órganos subsidiarios que sean necesarios para el desempeño de sus funciones de conformidad con esta Parte. En la composición de los órganos subsidiarios se hará hincapié en la necesidad de contar con miembros calificados y competentes en las materias técnicas de que se ocupen esos órganos, teniendo debidamente en cuenta el principio de la distribución geográfica equitativa y los intereses especiales;\n\ne) aprobará su reglamento, que incluirá el procedimiento para la designación de su Presidente;\n\nf) concertará, en nombre de la Autoridad y en el ámbito de su competencia, acuerdos con las Naciones Unidas u otras organizaciones internacionales, con sujeción a la aprobación de la Asamblea;\n\ng) examinará los informes de la Empresa y los transmitirá a la Asamblea con sus recomendaciones;\n\nh) presentará a la Asamblea informes anuales y los especiales que ésta le pida;\n\ni) impartirá directrices a la Empresa de conformidad con el artículo 170;\n\nj) aprobará los planes de trabajo de conformidad con el artículo 6 del anexo III. Su decisión sobre cada plan de trabajo será adoptada dentro de los sesenta días siguientes a la presentación del plan por la Comisión jurídica y técnica en un período de sesiones del Consejo, de conformidad con los procedimientos siguientes:\n\ni) cuando la Comisión recomiende que se apruebe un plan de trabajo, se considerará que éste ha sido aprobado por el Consejo si ninguno de sus miembros presenta al Presidente, en un plazo de catorce días, una objeción por escrito en la que expresamente se afirme que no se han cumplido los requisitos del artículo 6 del anexo III. De haber objeción, se aplicará el procedimiento de conciliación de la letra e) del apartado 8 del artículo 161. Si una vez concluido ese procedimiento se mantiene la objeción a que se apruebe dicho plan de trabajo, se considerará que el plan de trabajo ha sido aprobado, a menos que el Consejo lo rechace por consenso de sus miembros, excluidos el Estado o los Estados que hayan presentado la solicitud o hayan patrocinado al solicitante;\n\nii) cuando la Comisión recomiende que se rechace un plan de trabajo, o se abstenga de hacer una recomendación al respecto, el Consejo podrá aprobarlo por mayoría de tres cuartos de los miembros presentes y votantes, siempre que comprenda la mayoría de los miembros participantes en el período de sesiones;\n\nk) aprobará los planes de trabajo que presente la Empresa de conformidad con el artículo 12 del anexo IV, aplicando, mutatis mutandis, los procedimientos establecidos en la letra j);\n\nl) ejercerá control sobre las actividades en la zona, de conformidad con el apartado 4 del artículo 153 y las normas, reglamentos y procedimientos de la Autoridad;\n\nm) adoptará, por recomendación de la Comisión de planificación económica, las medidas necesarias y apropiadas para la protección de los Estados en desarrollo, con arreglo a la letra h) del artículo 150, respecto de los efectos económicos adversos a que se refiere ese apartado;\n\nn) formulará recomendaciones a la Asamblea, basándose en el asesoramiento de la Comisión de planificación económica, respecto del sistema de compensación u otras medidas de asistencia para el reajuste económico previstos en el apartado 10 del artículo 151;\n\no) i) recomendará a la Asamblea normas, reglamentos y procedimientos sobre la distribución equitativa de los beneficios financieros y otros beneficios económicos derivados de las actividades en la zona y sobre los pagos y contribuciones que deban efectuarse en virtud del artículo 82, teniendo especialmente en cuenta los intereses y necesidades de los Estados en desarrollo y de los pueblos que no hayan alcanzado la plena independencia u otro régimen de autonomía;\n\nii) dictará y aplicará provisionalmente, hasta que los apruebe la Asamblea, las normas, reglamentos y procedimientos de la Autoridad, y cualesquiera enmiendas a ellos, teniendo en cuenta las recomendaciones de la Comisión jurídica y técnica o de otro órgano subordinado pertinente. Estas normas, reglamentos y procedimientos se referirán a la prospección, exploración y explotación en la zona y a la gestión financiera y la administración interna de la Autoridad. Se dará prioridad a la adopción de normas, reglamentos y procedimientos para la exploración y explotación de nódulos polimetálicos. Las normas, reglamentos y procedimientos para la exploración y explotación de recursos que no sean nódulos polimetálicos se adoptarán dentro de los tres años siguientes a la fecha en que un miembro de la Autoridad pida a ésta que las adopte. Las normas, reglamentos y procedimientos permanecerán en vigor en forma provisional hasta que sean aprobados por la Asamblea o enmendados por el Consejo teniendo en cuenta las opiniones expresadas por la Asamblea;\n\np) fiscalizará todos los pagos y cobros de la Autoridad relativos a las actividades que se realicen en virtud de esta parte;\n\nq) efectuará la selección entre los solicitantes de autorizaciones de producción de conformidad con el artículo 7 del anexo III cuando esa selección sea necesaria en virtud de dicha disposición;\n\nr) presentará a la Asamblea, para su aprobación, el proyecto de presupuesto anual de la Autoridad;\n\ns) formulará a la Asamblea recomendaciones sobre la política general relativa a cualesquiera cuestiones o asuntos de la competencia de la Autoridad;\n\nt) formulará a la Asamblea recomendaciones respecto de la suspensión del ejercicio de los derechos y privilegios inherentes a la calidad de miembro de conformidad con el artículo 185;\n\nu) incoará, en nombre de la Autoridad, procedimientos ante la Sala de Controversias de los Fondos Marinos en casos de incumplimiento;\n\nv) notificará a la Asamblea los fallos que la Sala de Controversias de los Fondos Marinos dicte en los procedimientos incoados en virtud de la letra u), y formulará las recomendaciones que considere apropiadas con respecto a las medidas que hayan de adoptarse;\n\nw) en casos de urgencia, expedirá órdenes, que podrán incluir la suspensión o el reajuste de operaciones, a fin de impedir daños graves al medio marino como consecuencia de actividades en la zona;\n\nx) excluirá de la explotación por contratistas o por la Empresa ciertas áreas cuando pruebas fundadas indiquen que existe el riesgo de causar daños graves al medio marino;\n\ny) establecerá un órgano subsidiario para la elaboración de proyectos de normas, reglamentos y procedimientos financieros relativos a:\n\ni) la gestión financiera de conformidad con los artículos 171 a 175, y\n\nii) los asuntos financieros de conformidad con el articulo 13 y la letra c) del apartado 1 del artículo 17 del anexo III;\n\nz) establecerá mecanismos apropiados para dirigir y supervisar un cuerpo de inspectores que examinen las actividades que se realicen en la zona para determinar si se cumplen las disposiciones de esta parte, las normas, reglamentos y procedimientos de la Autoridad y las modalidades y condiciones de cualquier contrato celebrado con ella.\n\nArtículo 163. Órganos del Consejo\n\n1. Se establecen como órganos del Consejo:\n\na) una Comisión de planificación económica;\n\nb) una Comisión jurídica y técnica.\n\n2. Cada comisión estará constituida por quince miembros elegidos por el Consejo entre los candidatos propuestos por los Estados Partes. No obstante, si es necesario, el Consejo podrá decidir aumentar el número de miembros de cualquiera de ellas teniendo debidamente en cuenta las exigencias de economía y eficiencia.\n\n3. Los miembros de cada comisión tendrán las calificaciones adecuadas en la esfera de competencia de esa comisión. Los Estados Partes propondrán candidatos de la máxima competencia e integridad que posean calificaciones en las materias pertinentes, de modo que quede garantizado el funcionamiento eficaz de las comisiones.\n\n4. En la elección, se tendrá debidamente en cuenta la necesidad de una distribución geográfica equitativa y de la representación de los intereses especiales.\n\n5. Ningún Estado Parte podrá proponer a más de un candidato a miembro de una comisión. Ninguna persona podrá ser elegida miembro de más de una comisión.\n\n6. Los miembros de las comisiones desempeñarán su cargo durante cinco años y podrán ser reelegidos para un nuevo mandato.\n\n7. En caso de fallecimiento, incapacidad o renuncia de un miembro de las comisiones antes de la expiración de su mandato, el Consejo elegirá a una persona de la misma región geográfica o esfera de intereses, quien ejercerá el cargo durante el resto de ese mandato.\n\n8. Los miembros de las comisiones no tendrán interés financiero en ninguna actividad relacionada con la exploración y explotación de la zona. Con sujeción a sus responsabilidades ante la comisión a que pertenezcan, no revelarán, ni siquiera después de la terminación de sus funciones, ningún secreto industrial, ningún dato que sea objeto de derechos de propiedad industrial y se transmita a la Autoridad con arreglo al artículo 14 del anexo III, ni cualquier otra información confidencial que llegue a su conocimiento como consecuencia del desempeño de sus funciones.\n\n9. Cada comisión desempeñará sus funciones de conformidad con las orientaciones y directrices que establezca el Consejo.\n\n10. Cada comisión elaborará las normas y reglamentos necesarios para el desempeño eficaz de sus funciones y los someterá a la aprobación del Consejo.\n\n11. Los procedimientos para la adopción de decisiones en las comisiones serán los establecidos en las normas, reglamentos y procedimientos de la Autoridad. Las recomendaciones al Consejo irán acompañadas, cuando sea necesario, de un resumen de las divergencias de opinión que haya habido en las comisiones.\n\n12. Las comisiones desempeñarán normalmente sus funciones en la sede de la Autoridad y se reunirán con la frecuencia que requiera el desempeño eficaz de ellas.\n\n13. En el desempeño de sus funciones, cada comisión podrá consultar, cuando proceda, a otra comisión, a cualquier órgano competente de las Naciones Unidas y sus organismos especializados o a cualquier organización internacional que tenga competencia en la materia objeto de la consulta.\n\nArtículo 164. Comisión de planificación económica\n\n1. Los miembros de la Comisión de planificación económica poseerán las calificaciones apropiadas en materia de explotación minera, administración de actividades relacionadas con los recursos minerales, comercio internacional o economía internacional, entre otras. El Consejo procurará que la composición de la Comisión incluya todas las calificaciones pertinentes. En la Comisión se incluirán por lo menos dos miembros procedentes de Estados en desarrollo cuyas exportaciones de las categorías de minerales que hayan de extraerse de la zona tengan consecuencias importantes en sus economías.\n\n2. La Comisión:\n\na) propondrá, a solicitud del Consejo, medidas para aplicar las decisiones relativas a las actividades en la zona adoptadas de conformidad con esta Convención;\n\nb) examinará las tendencias de la oferta, la demanda y los precios de los minerales que puedan extraerse de la zona, así como los factores que influyan en esas magnitudes, teniendo en cuenta los intereses de los países importadores y de los países exportadores, en particular de los que sean Estados en desarrollo;\n\nc) examinará cualquier situación de la que puedan resultar los efectos adversos mencionados en la letra h) del artículo 150 que el Estado o los Estados Partes interesados señalen a su atención, y hará las recomendaciones apropiadas al Consejo;\n\nd) propondrá al Consejo para su presentación a la Asamblea, según lo dispuesto en el apartado 10 del artículo 151, un sistema de compensación u otras medidas de asistencia para el reajuste económico en favor de los Estados en desarrollo que sufran efectos adversos como consecuencia de las actividades en la zona, y hará al Consejo las recomendaciones necesarias para la aplicación del sistema o las medidas que la Asamblea haya aprobado en cada caso.\n\nArtículo 165. Comisión jurídica y técnica\n\n1. Los miembros de la Comisión jurídica y técnica poseerán las calificaciones apropiadas en materia de exploración, explotación y tratamiento de minerales, oceanología, protección del medio marino, o asuntos económicos o jurídicos relativos a la minería marina y otras esferas conexas. El Consejo procurará que la composición de la Comisión incluya todas las calificaciones pertinentes.\n\n2. La Comisión:\n\na) hará recomendaciones, a solicitud del Consejo, acerca del desempeño de las funciones de la Autoridad;\n\nb) examinará, de conformidad con el apartado 3 del artículo 153, los planes de trabajo oficiales, presentados por escrito, relativos a las actividades en la zona y hará las recomendaciones apropiadas al Consejo. La Comisión fundará sus recomendaciones únicamente en las disposiciones del anexo III e informará plenamente al Consejo al respecto;\n\nc) supervisará, a solicitud del Consejo, las actividades en la zona, en consulta y colaboración, cuando proceda, con las entidades o personas que realicen esas actividades, o con el Estado o Estados interesados, y presentará un informe al Consejo;\n\nd) preparará evaluaciones de las consecuencias ecológicas de las actividades en la zona;\n\ne) hará recomendaciones al Consejo acerca de la protección del medio marino teniendo en cuenta las opiniones de expertos reconocidos;\n\nf) elaborará y someterá al Consejo las normas, reglamentos y procedimientos mencionados en la letra o) del apartado 2 del artículo 162, teniendo en cuenta todos los factores pertinentes, inclusive la evaluación de las consecuencias ecológicas de las actividades en la zona;\n\ng) mantendrá en examen esas normas, reglamentos y procedimientos, y periódicamente recomendará al Consejo las enmiendas a esos textos que estime necesarias o convenientes;\n\nh) hará recomendaciones al Consejo con respecto al establecimiento de un programa de vigilancia para observar, medir, evaluar y analizar en forma periódica, mediante métodos científicos reconocidos, los riesgos o las consecuencias de las actividades en la zona en lo relativo a la contaminación del medio marino, se asegurará de que la reglamentación vigente sea adecuada y se cumpla, y coordinará la ejecución del programa de vigilancia una vez aprobado por el Consejo;\n\ni) recomendará al Consejo que incoe procedimientos en nombre de la Autoridad ante la Sala de Controversias de los Fondos Marinos, de conformidad con esta parte y los anexos pertinentes, teniendo especialmente en cuenta el artículo 187;\n\nj) hará recomendaciones al Consejo con respecto a las medidas que hayan de adoptarse tras el fallo de la Sala de Controversias de los Fondos Marinos en los procedimientos incoados en virtud de la letra i);\n\nk) hará recomendaciones al Consejo para que, en casos de urgencia, expida órdenes, que podrán incluir la suspensión o el reajuste de las operaciones, a fin de impedir daños graves al medio marino como consecuencia de las actividades en la zona. Esas recomendaciones serán examinadas por el Consejo con carácter prioritario;\n\nl) hará recomendaciones al Consejo para que excluya de la explotación por contratistas o por la Empresa ciertas áreas cuando pruebas fundadas indiquen que existe el riesgo de causar daños graves al medio marino;\n\nm) hará recomendaciones al Consejo sobre la dirección y supervisión de un cuerpo de inspectores que examinen las actividades en la zona para determinar si se cumplen las disposiciones de esta parte, las normas, reglamentos y procedimientos de la Autoridad y las modalidades y condiciones de cualquier contrato celebrado con ella;\n\nn) calculará el límite máximo de producción y expedirá autorizaciones de producción en nombre de la Autoridad en cumplimiento de los apartados 2 a 7 del artículo 151, previa la necesaria selección por el Consejo, de conformidad con lo dispuesto en el artículo 7 del anexo III, entre los solicitantes.\n\n3. Al desempeñar sus funciones de supervisión e inspección, los miembros de la Comisión serán acompañados, a solicitud de cualquier Estado Parte u otra parte interesada, por un representante de dicho Estado o parte interesada.\n\nSubsección D. La Secretaría\n\nArtículo 166. La Secretaría\n\n1. La Secretaría de la Autoridad se compondrá de un Secretario General y del personal que requiera la Autoridad.\n\n2. El Secretario General será elegido por la Asamblea para un mandato de cuatro años entre los candidatos propuestos por el Consejo y podrá ser reelegido.\n\n3. El Secretario General será el más alto funcionario administrativo de la Autoridad, actuará como tal en todas las sesiones de la Asamblea, del Consejo y de cualquier órgano subsidiario, y desempeñará las demás funciones administrativas que esos órganos le encomienden.\n\n4. El Secretario General presentará a la Asamblea un informe anual sobre las actividades de la Autoridad.\n\nArtículo 167. El personal de la Autoridad\n\n1. El personal de la Autoridad estará constituido por los funcionarios científicos, técnicos y de otro tipo calificados que se requieran para el desempeño de las funciones administrativas de la Autoridad.\n\n2. La consideración primordial al contratar y nombrar al personal y al determinar sus condiciones de servicio será la necesidad de asegurar el más alto grado de eficiencia, competencia e integridad. Con sujeción a esta consideración, se tendrá debidamente en cuenta la importancia de contratar al personal de manera que haya la más amplia representación geográfica posible.\n\n3. El personal será nombrado por el Secretario General. Las modalidades y condiciones de nombramiento, remuneración y destitución del personal se ajustarán a las normas, reglamentos y procedimientos de la Autoridad.\n\nArtículo 168. Carácter internacional de la Secretaría\n\n1. En el desempeño de sus funciones, el Secretario General y el personal de la Autoridad no solicitarán ni recibirán instrucciones de ningún gobierno ni de ninguna otra fuente ajena a la Autoridad. Se abstendrán de actuar en forma alguna que sea incompatible con su condición de funcionarios internacionales, responsables únicamente ante la Autoridad. Todo Estado Parte se compromete a respetar el carácter exclusivamente internacional de las funciones del Secretario General y del personal, y a no tratar de influir sobre ellos en el desempeño de sus funciones. Todo incumplimiento de sus obligaciones por un funcionario se someterá a un tribunal administrativo apropiado con arreglo a las normas, reglamentos y procedimientos de la Autoridad.\n\n2. Ni el Secretario General ni el personal podrán tener interés financiero alguno en ninguna actividad relacionada con la exploración y explotación de la zona. Con sujeción a sus obligaciones para con la Autoridad, no revelarán, ni siquiera después de cesar en su cargo, ningún secreto industrial, ningún dato que sea objeto de derechos de propiedad industrial y se transmita a la Autoridad con arreglo al artículo 14 del anexo III, ni cualquier otra información confidencial que lleguen a su conocimiento como consecuencia del desempeño de su cargo.\n\n3. A petición de un Estado Parte o de una persona natural o jurídica patrocinada por un Estado Parte con arreglo a la letra b) del apartado 2 del artículo 153, perjudicado por un incumplimiento de las obligaciones enunciadas en el apartado 2 por un funcionario de la Autoridad, ésta denunciará por tal incumplimiento al funcionario de que se trate ante un tribunal designado con arreglo a las normas, reglamentos y procedimientos de la Autoridad. La parte perjudicada tendrá derecho a participar en las actuaciones. Si el tribunal lo recomienda, el Secretario General destituirá a ese funcionario.\n\n4. Las normas, reglamentos y procedimientos de la Autoridad incluirán las disposiciones necesarias para la aplicación de este artículo.\n\nArtículo 169. Consulta y cooperación con organizaciones\n\ninternacionales y no gubernamentales\n\n1. El Secretario General adoptará, con la aprobación del Consejo, en los asuntos de competencia de la Autoridad, disposiciones apropiadas para la celebración de consultas y la cooperación con las organizaciones internacionales y con las organizaciones no gubernamentales reconocidas por el Consejo Económico y Social de las Naciones Unidas.\n\n2. Cualquier organización con la cual el Secretario General haya concertado un arreglo en virtud del apartado 1 podrá designar representantes para que asistan como observadores a las reuniones de cualquier órgano de la Autoridad, de conformidad con el reglamento de ese órgano. Se establecerán procedimientos para que esas organizaciones den a conocer sus opiniones en los casos apropiados.\n\n3. El Secretario General podrá distribuir a los Estados Partes los informes escritos presentados por las organizaciones no gubernamentales a que se refiere el apartado 1 sobre los asuntos que sean de su competencia especial y se relacionen con la labor de la Autoridad.\n\nSubsección E. La Empresa\n\nArtículo 170. La Empresa\n\n1. La Empresa será el órgano de la Autoridad que realizará actividades en la zona directamente en cumplimiento de la letra a) del apartado 2 del artículo 153, así como actividades de transporte, tratamiento y comercialización de minerales extraídos de la zona.\n\n2. En el marco de la personalidad jurídica internacional de la Autoridad, la Empresa tendrá la capacidad jurídica prevista en el Estatuto que figura en el anexo IV. La Empresa actuará de conformidad con esta Convención y las normas, reglamentos y procedimientos de la Autoridad, así como con la política general establecida por la Asamblea, y estará sujeta a las directrices y al control del Consejo.\n\n3. La Empresa tendrá su oficina principal en la sede de la Autoridad.\n\n4. De conformidad con el apartado 2 del artículo 173 y el artículo 11 del anexo IV, se proporcionarán a la Empresa los fondos que necesite para el desempeño de sus funciones; asimismo, se le transferirá tecnología con arreglo al artículo 144 y las demás disposiciones pertinentes de esta Convención.\n\nSubsección F. Disposiciones financieras relativas a la Autoridad\n\nArtículo 171. Recursos financieros de la Autoridad\n\nLos recursos financieros de la Autoridad comprenderán:\n\na) las cuotas de los miembros de la Autoridad determinadas de conformidad con la letra e) del apartado 2 del artículo 160;\n\nb) los ingresos que perciba la Autoridad, de conformidad con el artículo 13 del anexo III, como resultado de las actividades en la zona;\n\nc) las cantidades recibidas de la Empresa de conformidad con el artículo 10 del anexo IV;\n\nd) los préstamos obtenidos en virtud del artículo 174;\n\ne) las contribuciones voluntarias de los miembros u otras entidades; y\n\nf) los pagos que se hagan a un fondo de compensación, con arreglo a lo dispuesto en el apartado 10 del artículo 151, cuyas fuentes ha de recomendar la Comisión de planificación económica.\n\nArtículo 172. Presupuesto anual de la Autoridad\n\nEl Secretario General preparará el proyecto de presupuesto anual de la Autoridad y lo presentará al Consejo. Este lo examinará y lo presentará, con sus recomendaciones, a la aprobación de la Asamblea, según se prevé en la letra h) del apartado 2 del artículo 160.\n\nArtículo 173. Gastos de la Autoridad\n\n1. Las cuotas a que se hace referencia en la letra a) del artículo 171 se ingresarán en una cuenta especial para sufragar los gastos administrativos de la Autoridad hasta que ésta obtenga de otras fuentes fondos suficientes para ello.\n\n2. Los fondos de la Autoridad se destinarán en primer lugar a sufragar sus gastos administrativos. Con excepción de las cuotas a que se hace referencia en la letra a) del artículo 171, los fondos remanentes, una vez sufragados esos gastos, podrán, entre otras cosas:\n\na) ser distribuidos de conformidad con el artículo 140 y la letra g) del apartado 2 del artículo 160;\n\nb) ser utilizados para proporcionar fondos a la Empresa de conformidad con el apartado 4 del artículo 170;\n\nc) ser utilizados para compensar a los Estados en desarrollo de conformidad con el apartado 10 del artículo 151 y la letra l) del apartado 2 del artículo\n\n160.\n\nArtículo 174. Facultad de la Autoridad para contraer préstamos\n\n1. La Autoridad estará facultada para contraer préstamos.\n\n2. La Asamblea determinará los límites de esa facultad en el reglamento financiero que apruebe en virtud de la letra f) del apartado 2 del artículo 160.\n\n3. El ejercicio de esa facultad corresponderá al Consejo.\n\n4. Los Estados Partes no responderán de las deudas de la Autoridad.\n\nArtículo 175. Verificación anual de cuentas\n\nLos registros, libros y cuentas de la Autoridad, inclusive sus estados financieros anuales, serán verificados todos los años por un auditor independiente designado por la Asamblea.\n\nSubsección G. Condición jurídica, privilegios e inmunidades\n\nArtículo 176. Condición jurídica\n\nLa Autoridad tendrá personalidad jurídica internacional y la capacidad jurídica necesaria para el desempeño de sus funciones y el logro de sus fines.\n\nArtículo 177. Privilegios e inmunidades\n\nLa Autoridad, a fin de poder desempeñar sus funciones, gozará en el territorio de cada Estado Parte de los privilegios e inmunidades establecidos en esta subsección. Los privilegios e inmunidades correspondientes a la Empresa serán los establecidos en el artículo 13 del anexo IV.\n\nArtículo 178. Inmunidad de jurisdicción y de ejecución\n\nLa Autoridad, sus bienes y haberes gozarán de inmunidad de jurisdicción y de ejecución, salvo en la medida en que la Autoridad renuncie expresamente a la inmunidad en un caso determinado.\n\nArtículo 179. Inmunidad de registro y de cualquier forma de\n\nincautación Los bienes y haberes de la Autoridad, dondequiera y en poder de quienquiera que se hallen, gozarán de inmunidad de registro, requisa, confiscación, expropiación o cualquier otra forma de incautación por decisión ejecutiva o legislativa.\n\nArtículo 180. Exención de restricciones, reglamentaciones, controles y\n\nmoratorias Los bienes y haberes de la Autoridad estarán exentos de todo tipo de restricciones, reglamentaciones, controles y moratorias.\n\nArtículo 181. Archivos y comunicaciones oficiales de la Autoridad\n\n1. Los archivos de la Autoridad serán inviolables, dondequiera que se hallen.\n\n2. No se incluirán en archivos abiertos al público informaciones que sean objeto de derechos de propiedad industrial, secretos industriales o informaciones análogas, ni tampoco expedientes relativos al personal.\n\n3. Los Estados Partes concederán a la Autoridad, respecto de sus comunicaciones oficiales, un trato no menos favorable que el otorgado a otras organizaciones internacionales.\n\nArtículo 182. Privilegios e inmunidades de personas relacionadas con\n\nla Autoridad Los representantes de los Estados Partes que asistan a sesiones de la Asamblea, del Consejo o de los órganos de la Asamblea o del Consejo, así como el Secretario General y el personal de la Autoridad, gozarán en el territorio de cada Estado Parte:\n\na) de inmunidad de jurisdicción con respecto a los actos realizados en el ejercicio de sus funciones, salvo en la medida en que el Estado que representen o la Autoridad, según proceda, renuncie expresamente a ella en un caso determinado;\n\nb) cuando no sean nacionales de ese Estado Parte, de las mismas exenciones con respecto a las restricciones de inmigración, los requisitos de inscripción de extranjeros y las obligaciones del servicio nacional, de las mismas facilidades en materia de restricciones cambiarias y del mismo trato en materia de facilidades de viaje que ese Estado conceda a los representantes, funcionarios y empleados de rango equivalente acreditados por otros Estados Partes.\n\nArtículo 183. Exención de impuestos y derechos aduaneros\n\n1. En el ámbito de sus actividades oficiales, la Autoridad, sus haberes, bienes e ingresos, así como sus operaciones y transacciones autorizadas por esta Convención, estarán exentos de todo impuesto directo, y los bienes importados o exportados por la Autoridad para su uso oficial estarán exentos de todo derecho aduanero. La Autoridad no pretenderá la exención del pago de los gravámenes que constituyan la remuneración de servicios prestados.\n\n2. Los Estados Partes adoptarán en lo posible las medidas apropiadas para otorgar la exención o el reembolso de los impuestos o derechos que graven el precio de los bienes comprados o los servicios contratados por la Autoridad o en su nombre que sean de valor considerable y necesarios para sus actividades oficiales. Los bienes importados o comprados con el beneficio de las exenciones previstas en este artículo no serán enajenados en el territorio del Estado Parte que haya concedido la exención, salvo en las condiciones convenidas con él.\n\n3. Ningún Estado Parte gravará directa o indirectamente con impuesto alguno los sueldos, emolumentos o retribuciones por cualquier otro concepto que pague la Autoridad al Secretario General y al personal de la Autoridad, así como a los expertos que realicen misiones para ella, que no sean nacionales de ese Estado.\n\nSubsección H. Suspensión del ejercicio de los derechos y privilegios de\n\nlos miembros\n\nArtículo 184. Suspensión del ejercicio del derecho de voto\n\nEl Estado Parte que esté en mora en el pago de sus cuotas a la Autoridad no tendrá voto cuando la suma adeudada sea igual o superior al total de las cuotas exigibles por los dos años anteriores completos. Sin embargo, la Asamblea podrá permitir que ese miembro vote si llega a la conclusión de que la mora se debe a circunstancias ajenas a su voluntad.\n\nArtículo 185. Suspensión del ejercicio de los derechos y privilegios\n\ninherentes a la calidad de miembro\n\n1. Todo Estado Parte que haya violado grave y persistentemente las disposiciones de esta Parte podrá ser suspendido por la Asamblea, por recomendación del Consejo, en el ejercicio de los derechos y privilegios inherentes a su calidad de miembro.\n\n2. No podrá tomarse ninguna medida en virtud del apartado l hasta que la Sala de Controversias de los Fondos Marinos haya determinado que un Estado Parte ha violado grave y persistentemente las disposiciones de esta parte.\n\nSECCIÓN 5. SOLUCIÓN DE CONTROVERSIAS Y OPINIONES\n\nCONSULTIVAS\n\nArtículo 186. Sala de Controversias de los Fondos Marinos del\n\nTribunal Internacional del Derecho del Mar La Sala de Controversias de los Fondos Marinos se constituirá y ejercerá su competencia con arreglo a las disposiciones de esta sección, de la parte XV y del anexo VI.\n\nArtículo 187. Competencia de la Sala de Controversias de los Fondos\n\nMarinos La Sala de Controversias de los Fondos Marinos tendrá competencia, en virtud de esta parte y de los anexos que a ella se refieren, para conocer de las siguientes categorías de controversias con respecto a actividades en la zona:\n\na) las controversias entre Estados Partes relativas a la interpretación o aplicación de esta parte y de los anexos que a ella se refieren;\n\nb) las controversias entre un Estado Parte y la Autoridad relativas a:\n\ni) actos u omisiones de la Autoridad o de un Estado Parte que se alegue que constituyen una violación de esta parte o de los anexos que a ella se refieren, o de las normas, reglamentos y procedimientos de la Autoridad adoptados con arreglo a ellos, o\n\nii) actos de la Autoridad que se alegue que constituyen una extralimitación en el ejercicio de su competencia o una desviación de poder;\n\nc) las controversias entre partes contratantes, cuando éstas sean Estados Partes, la Autoridad o la Empresa, las empresas estatales y las personas naturales o jurídicas mencionadas en la letra b) del apartado 2 del artículo 153, que se refieran a:\n\ni) la interpretación o aplicación del contrato pertinente o de un plan de trabajo, o\n\nii) los actos u omisiones de una parte contratante relacionados con las actividades en la zona que afecten a la otra parte o menoscaben directamente sus intereses legítimos;\n\nd) las controversias entre la Autoridad y un probable contratista que haya sido patrocinado por un Estado con arreglo a lo dispuesto en la letra b) del apartado 2 del artículo 153 y que haya cumplido las condiciones mencionadas en el apartado 6 del artículo 4 y en el apartado 2 del artículo 13 del anexo III, en relación con la denegación de un contrato o con una cuestión jurídica que se suscite en la negociación del contrato;\n\ne) las controversias entre la Autoridad y un Estado Parte, una empresa estatal o una persona natural o jurídica patrocinada por un Estado Parte con arreglo a lo dispuesto en la letra b) del apartado 2 del artículo 153, cuando se alegue que la Autoridad ha incurrido en responsabilidad de conformidad con el artículo 22 del anexo III;\n\nf) las demás controversias para las que la competencia de la Sala se establezca expresamente en esta Convención.\n\nArtículo 188. Sometimiento de controversias a una sala especial del\n\nTribunal Internacional del Derecho del Mar, a una sala ad hoc de la Sala de Controversias de los Fondos Marinos o a arbitraje comercial obligatorio\n\n1. Las controversias entre Estados Partes a que se refiere la letra a) del artículo 187 podrán someterse:\n\na) cuando lo soliciten las partes en la controversia, a una sala especial del Tribunal Internacional del Derecho del Mar, que se constituirá de conformidad con los artículos 15 y 17 del anexo VI; o\n\nb) cuando lo solicite cualquiera de las partes en la controversia, a una sala ad hoc de la Sala de Controversias de los Fondos Marinos, que se constituirá de conformidad con el artículo 36 del anexo VI.\n\n2. a) Las controversias relativas a la interpretación o aplicación de un contrato mencionadas en el inciso i) de la letra c) del artículo 187 se someterán, a petición de cualquiera de las partes en la controversia, a arbitraje comercial obligatorio, a menos que las partes convengan en otra cosa. El tribunal arbitral comercial al que se someta la controversia no tendrá competencia para decidir ninguna cuestión relativa a la interpretación de la Convención. Cuando la controversia entrañe también una cuestión de interpretación de la parte XI y de los anexos referentes a ella, con respecto a las actividades en la zona, dicha cuestión se remitirá a la Sala de Controversias de los Fondos Marinos para que decida al respecto.\n\nb) Cuando, al comienzo o en el curso de un arbitraje de esa índole, el tribunal arbitral comercial determine, a petición de una parte en la controversia o por propia iniciativa, que su laudo depende de la decisión de la Sala de Controversias de los Fondos Marinos, el tribunal arbitral remitirá dicha cuestión a esa Sala para que decida al respecto. El tribunal arbitral procederá entonces a dictar su laudo de conformidad con la decisión de la Sala.\n\nc) A falta de una disposición en el contrato sobre el procedimiento de arbitraje aplicable a la controversia, el arbitraje se llevará a cabo de conformidad con el Reglamento de arbitraje de la CNUDMI u otro reglamento sobre la materia que se establezca en las normas, reglamentos y procedimientos de la Autoridad, a menos que las partes en la controversia convengan otra cosa.\n\nArtículo 189. Limitación de la competencia respecto de decisiones de\n\nla Autoridad La Sala de Controversias de los Fondos Marinos no tendrá competencia respecto del ejercicio por la Autoridad de sus facultades discrecionales de conformidad con esta parte; en ningún caso sustituirá por la propia la facultad discrecional de la Autoridad. Sin perjuicio de lo dispuesto en el artículo 191, la Sala, al ejercer su competencia con arreglo al artículo 187, no se pronunciará respecto de la cuestión de la conformidad de cualesquiera normas, reglamentos o procedimientos de la Autoridad con las disposiciones de esta Convención, ni declarará la nulidad de tales normas, reglamentos o procedimientos. Su competencia se limitará a determinar si la aplicación de cualesquiera normas, reglamentos o procedimientos de la Autoridad a casos particulares estaría en conflicto con las obligaciones contractuales de las partes en la controversia o con las derivadas de esta Convención, y a conocer de las reclamaciones relativas a extralimitación en el ejercicio de la competencia o desviación de poder, así como de las reclamaciones por daños y perjuicios u otras reparaciones que hayan de concederse a la parte interesada en caso de incumplimiento por la otra parte de sus obligaciones contractuales o derivadas de esta Convención.\n\nArtículo 190. Participación y comparecencia de los Estados Partes\n\npatrocinantes\n\n1. Cuando una persona natural o jurídica sea parte en cualquiera de las controversias a que se refiere el artículo 187, se notificará este hecho al Estado Parte patrocinante, el cual tendrá derecho a participar en las actuaciones mediante declaraciones orales o escritas.\n\n2. Cuando una persona natural o jurídica patrocinada por un Estado Parte entable contra otro Estado Parte una acción en una controversia de las mencionadas en la letra\n\nc) del artículo 187, el Estado Parte demandado podrá solicitar que el Estado Parte que patrocine a esa persona comparezca en las actuaciones en nombre de ella. De no hacerlo, el Estado demandado podrá hacerse representar por una persona jurídica de su nacionalidad.\n\nArtículo 191. Opiniones consultivas\n\nCuando lo soliciten la Asamblea o el Consejo, la Sala de Controversias de los Fondos Marinos emitirá opiniones consultivas sobre las cuestiones jurídicas que se planteen dentro del ámbito de actividades de esos órganos. Esas opiniones se emitirán con carácter urgente.\n", "n_chars": 88943}
{"corpus_id": "un/convention/unclos-partxi-1982-fr", "version_id": "1982-12-10", "title": "Convention des Nations Unies sur le droit de la mer — Partie XI : La Zone (articles 133 à 191)", "short_title": "CNUDM Partie XI (La Zone) [FR]", "jurisdiction": "international", "document_type": "convention", "official_citation": "Convention des Nations Unies sur le droit de la mer, 10 décembre 1982, 1833 RTNU 3, Partie XI (art. 133 à 191)", "authentic_languages": ["ar", "zh", "en", "fr", "ru", "es"], "language": "fr", "adoption_date": "1982-12-10", "entry_into_force_date": "1994-11-16", "source_url": "https://eur-lex.europa.eu/legal-content/FR/TXT/PDF/?uri=CELEX:21998A0623(01)", "source_publisher": "Office des publications de l’Union européenne — Journal officiel L 179 du 23.6.1998 (EUR-Lex)", "source_is_official": true, "authoritative_status": "authentic_text", "text_fidelity": "extracted_verified", "content_hash": "sha256:9291fad315661e228e6e89e262a91f9c5e0a597c434ad4fae8a4860fcabbfcd7", "original_sha256": "sha256:7549c8f4a7646d96ffb89d198b6ed4c1c8fd9f8a641ffc48ea41df5920d61c96", "text_sha256": "sha256:9291fad315661e228e6e89e262a91f9c5e0a597c434ad4fae8a4860fcabbfcd7", "license": "un-materials-terms", "rights_note": "Texte authentique français de la CNUDM, tel que publié au Journal officiel des Communautés européennes L 179 du 23 juin 1998 (EUR-Lex). Le contenu du Journal officiel de l’UE est réutilisable (décision 2011/833/UE) ; le texte du traité sous-jacent est un instrument des Nations Unies, attribué à l’ONU. Non re-licencié.", "provenance_note": "AUTHENTIC FRENCH TEXT of UNCLOS Part XI (arts. 133–191) — sibling under JC-006 (English base record is un/convention/unclos-partxi-1982). Authentic in the six UN languages, all equally authoritative; the FR text is stored here. Source is the clean digital EUR-Lex publication of the Convention in the Official Journal L 179 (23 June 1998), CELEX 21998A0623(01) — used because the UN/DOALOS non-English PDFs are OCR-degraded. The byte-exact official PDF is stored as original.pdf; Part XI is extracted with pdftotext -raw and cleaned by the committed scripts/extract.py (OJ running heads removed, soft-hyphen line wraps recomposed, NFC-normalised), byte-exact reproducible; no wording changed. Part XI is modified by, and yields on conflict to, the 1994 Implementation Agreement (see related_documents). An equally-authentic language version, NOT a translation.", "text": "Convention des Nations Unies sur le droit de la mer — Partie XI : La Zone (articles 133 à 191)\n\nPARTIE XI. LA ZONE\n\nSECTION 1. DISPOSITIONS GÉNÉRALES\n\nArticle 133. Emploi des termes\n\nAux fins de la présente partie:\n\na) on entend par «ressources», toutes les ressources minérales solides, liquides ou gazeuses in situ qui, dans la zone, se trouvent sur les fonds marins ou dans leur sous-sol, y compris les nodules polymétalliques;\n\nb) les ressources, une fois extraites de la zone, sont dénommées «minéraux».\n\nArticle 134. Champ d’application de la présente partie\n\n1. La présente partie s’applique à la zone.\n\n2. Les activités menées dans la zone sont régies par la présente partie.\n\n3. Le dépôt des cartes ou listes des coordonnées géographiques indiquant l’emplacement des limites visées à l’article 1er paragraphe 1 point 1, ainsi que la publicité à donner à ces cartes ou listes, sont régis par la partie VI.\n\n4. Aucune disposition du présent article ne porte atteinte à la définition de la limite extérieure du plateau continental conformément à la partie VI ou à la validité des accords relatifs à la délimitation entre États dont les côtes sont adjacentes ou se font face.\n\nArticle 135. Régime juridique des eaux et de l’espace aérien\n\nsurjacents Ni la présente partie, ni les droits accordés ou exercés en vertu de celle-ci n’affectent le régime juridique des eaux surjacentes à la zone ou celui de l’espace aérien situé au-dessus de ces eaux.\n\nSECTION 2. PRINCIPES RÉGISSANT LA ZONE\n\nArticle 136. Patrimoine commun de l’humanité\n\nLa zone et ses ressources sont le patrimoine commun de l’humanité.\n\nArticle 137. Régime juridique de la zone et de ses ressources\n\n1. Aucun État ne peut revendiquer ou exercer de souveraineté ou de droits souverains sur une partie quelconque de la zone ou de ses ressources; aucun État ni aucune personne physique ou morale ne peut s’approprier une partie quelconque de la zone ou de ses ressources. Aucune revendication, aucun exercice de souveraineté ou de droits souverains ni aucun acte d’appropriation n’est reconnu.\n\n2. L’humanité tout entière, pour le compte de laquelle agit l’Autorité, est investie de tous les droits sur les ressources de la zone. Ces ressources sont inaliénables. Les minéraux extraits de la zone ne peuvent, quant à eux, être aliénés que conformément à la présente partie et aux règles, règlements et procédures de l’Autorité.\n\n3. Un État ou une personne physique ou morale revendique, n’acquiert ou n’exerce de droits sur les minéraux extraits de la zone que conformément à la présente partie. Les droits autrement revendiqués, acquis ou exercés ne sont pas reconnus.\n\nArticle 138. Conduite générale des États concernant la zone\n\nDans leur conduite générale concernant la zone, les États se conforment à la présente partie, aux principes énoncés dans la charte des Nations unies et aux autres règles du droit international, avec le souci de maintenir la paix et la sécurité et de promouvoir la coopération internationale et la compréhension mutuelle.\n\nArticle 139. Obligation de veiller au respect de la convention et\n\nresponsabilité en cas de dommages\n\n1. Il incombe aux États parties de veiller à ce que les activités menées dans la zone, que ce soit par eux-mêmes, par leurs entreprises d’État ou par des personnes physiques ou morales possédant leur nationalité ou effectivement contrôlées par eux ou leurs ressortissants, le soient conformément à la présente partie. La même obligation incombe aux organisations internationales pour les activités menées dans la zone par elles.\n\n2. Sans préjudice des règles du droit international et de l’article 22 de l’annexe 111, un État partie ou une organisation internationale est responsable des dommages résultant d’un manquement de sa part aux obligations qui lui incombent en vertu de la présente partie; des États parties ou organisations internationales agissant de concert assument conjointement et solidairement cette responsabilité. Toutefois, l’État partie n’est pas responsable des dommages résultant d’un tel manquement de la part d’une personne patronnée par lui en vertu de l’article 153 paragraphe 2 point b), s’il a pris toutes les mesures nécessaires et appropriées pour assurer le respect effectif de la présente partie et des annexes qui s’y rapportent, comme le prévoient l’article 153 paragraphe 4, et l’article 4 paragraphe 4 de l’annexe III.\n\n3. Les États parties qui sont membres d’organisations internationales prennent les mesures appropriées pour assurer l’application du présent article en ce qui concerne ces organisations.\n\nArticle 140. Intérêt de l’humanité\n\n1. Les activités menées dans la zone le sont, ainsi qu’il est prévu expressément dans la présente partie, dans l’intérêt de l’humanité tout entière, indépendamment de la situation géographique des États, qu’il s’agisse d’États côtiers ou sans littoral, et compte tenu particulièrement des intérêts et besoins des États en développement et des peuples qui n’ont pas accédé à la pleine indépendance ou à un autre régime d’autonomie reconnu par les Nations unies conformément à la résolution 1514 (XV) et aux autres résolutions pertinentes de l’assemblée générale.\n\n2. L’Autorité assure le partage équitable, sur une base non discriminatoire, des avantages financiers et autres avantages économiques tirés des activités menées dans la zone par un mécanisme approprié conformément à l’article 160 paragraphe 2 point f) i).\n\nArticle 141. Utilisation de la zone à des fins exclusivement\n\npacifiques La zone est ouverte à l’utilisation à des fins exclusivement pacifiques par tous les États, qu’il s’agisse d’États côtiers ou sans littoral, sans discrimination et sans préjudice des autres dispositions de la présente partie.\n\nArticle 142. Droits et intérêts légitimes des États côtiers\n\n1. Dans le cas de gisements de ressources de la zone qui s’étendent au-delà des limites de celle-ci, les activités menées dans la zone le sont compte dûment tenu des droits et intérêts légitimes de l’État côtier sous la juridiction duquel s’étendent ces gisements.\n\n2. Un système de consultations avec l’État concerné, et notamment de notification préalable, est établi afin d’éviter toute atteinte à ces droits et intérêts. Dans les cas où des activités menées dans la zone peuvent entraîner l’exploitation de ressources se trouvant en deçà des limites de la juridiction nationale d’un État côtier, le consentement préalable de cet État est nécessaire.\n\n3. Ni la présente partie ni les droits accordés ou exercés en vertu de celle-ci ne portent atteinte au droit qu’ont les États côtiers de prendre les mesures compatibles avec les dispositions pertinentes de la partie XII qui peuvent être nécessaires pour prévenir, atténuer ou éliminer un danger grave et imminent pour leur littoral ou pour des intérêts connexes, imputable à une pollution ou à une menace de pollution résultant de toutes activités menées dans la zone ou à tous autres accidents causés par de telles activités.\n\nArticle 143. Recherche scientifique marine\n\n1. La recherche scientifique marine la zone est conduite à des fins exclusivement pacifiques et dans l’intérêt de l’humanité tout entière, conformément à la partie XIII.\n\n2. L’Autorité peut effectuer des recherches scientifiques marines sur la zone et ses ressources et peut passer des contrats à cette fin. Elle favorise et encourage la recherche scientifique marine dans la zone, et elle coordonne et diffuse les résultats de ces recherches et analyses, lorsqu’ils sont disponibles.\n\n3. Les États parties peuvent effectuer des recherches scientifiques marines dans la zone. Ils favorisent la coopération internationale en matière de recherches scientifiques marines dans la zone:\n\na) en participant à des programmes internationaux et en encourageant la coopération en matière de recherches scientifiques marines effectuées par le personnel de différents pays et celui de l’Autorité;\n\nb) en veillant à ce que des programmes soient élaborés par l’intermédiaire de l’Autorité ou d’autres organisations internationales, le cas échéant, au bénéfice des États en développement et des États technologiquement moins avancés en vue de:\n\ni) renforcer leur potentiel de recherche;\n\nii) former leur personnel et celui de l’Autorité aux techniques et aux applications de la recherche;\n\niii) favoriser l’emploi de leur personnel qualifié pour les recherches menées dans la zone;\n\nc) en diffusant effectivement les résultats des recherches et analyses, lorsqu’ils sont disponibles, par l’intermédiaire de l’Autorité ou par d’autres mécanismes internationaux, s’il y a lieu.\n\nArticle 144. Transfert des techniques\n\n1. Conformément à la convention, l’Autorité prend des mesures:\n\na) pour acquérir les techniques et les connaissances scientifiques relatives aux activités menées dans la zone et\n\nb) pour favoriser et encourager le transfert aux États en développement de ces techniques et connaissances scientifiques, de façon que tous les États parties puissent en bénéficier.\n\n2. À cette fin, l’Autorité et les États parties coopèrent pour promouvoir le transfert des techniques et des connaissances scientifiques relatives aux activités menées dans la zone, de façon que l’entreprise et tous les États parties puissent en bénéficier. En particulier, ils prennent ou encouragent l’initiative:\n\na) de programmes pour le transfert à l’entreprise et aux États en développement de techniques relatives aux activités menées dans la zone, prévoyant notamment, pour l’entreprise et les États en développement, des facilités d’accès aux techniques pertinentes selon des modalités et à des conditions justes et raisonnables;\n\nb) de mesures visant à assurer le progrès des techniques de l’entreprise et des techniques autochtones des États en développement, et particulièrement à permettre au personnel de l’entreprise et de ces États de recevoir une formation aux sciences et techniques marines, ainsi que de participer pleinement aux activités menées dans la zone.\n\nArticle 145. Protection du milieu marin\n\nEn ce qui concerne les activités menées dans la zone, les mesures nécessaires doivent être prises conformément à la convention pour protéger efficacement le milieu marin des effets nocifs que pourraient avoir ces activités. L’Autorité adopte à cette fin des règles, règlements et procédures appropriés visant notamment à:\n\na) prévenir, réduire et maîtriser la pollution du milieu marin, y compris le littoral, et faire face aux autres risques qui le menacent, ainsi qu’à toute perturbation de l’équilibre écologique du milieu marin, en accordant une attention particulière à la nécessité de protéger celui-ci des effets nocifs d’activités telles que forages, dragages, excavations, élimination de déchets, construction et exploitation ou entretien d’installations, de pipelines et d’autres engins utilisés pour ces activités;\n\nb) protéger et conserver les ressources naturelles de la zone et prévenir les dommages à la flore et à la faune marines.\n\nArticle 146. Protection de la vie humaine\n\nEn ce qui concerne les activités menées dans la zone, les mesures nécessaires doivent être prises en vue d’assurer une protection efficace de la vie humaine. L’Autorité adopte à cette fin des règles, règlements et procédures appropriés pour compléter le droit international existant tel qu’il est contenu dans les traités en la matière.\n\nArticle 147. Compatibilité des activités menées dans la zone et des\n\nautres activités s’exerçant dans le milieu marin\n\n1. Les activités menées dans la zone le sont en tenant raisonnablement compte des autres activités s’exerçant dans le milieu marin.\n\n2. Les conditions ci-après s’appliquent aux installations utilisées pour des activités menées dans la zone:\n\na) ces installations ne doivent être montées, mises en place et enlevées que conformément à la présente partie et dans les conditions fixées par les règles, règlements et procédures de l’Autorité. Leur montage, leur mise en place et leur enlèvement doivent être dûment notifiés et l’entretien de moyens permanents pour signaler leur présence doit être assuré;\n\nb) ces installations ne doivent pas être mises en place là où elles risquent d’entraver l’utilisation de voies de circulation reconnues essentielles pour la navigation internationale, ni dans des zones où se pratique une pêche intensive;\n\nc) ces installations doivent être entourées de zones de sécurité convenablement balisées de façon à assurer la sécurité des installations elles-mêmes et celle de la navigation. La configuration et l’emplacement de ces zones de sécurité sont déterminés de telle sorte qu’elles ne forment pas un cordon empêchant l’accès licite des navires à certaines zones marines ou la navigation dans des voies servant à la navigation internationale;\n\nd) ces installations sont utilisées à des fins exclusivement pacifiques;\n\ne) ces installations n’ont pas le statut d’îles. Elles n’ont pas de mer territoriale qui leur soit propre et leur présence n’a pas d’incidence sur la délimitation de la mer territoriale, de la zone économique exclusive ou du plateau continental.\n\n3. Les autres activités s’exerçant dans le milieu marin sont menées en tenant raisonnablement compte des activités menées dans la zone.\n\nArticle 148. Participation des États en développement aux activités\n\nmenées dans la zone La participation effective des États en développement aux activités menées dans la zone est encouragée, comme le prévoit expressément la présente partie, compte dûment tenu des intérêts et besoins particuliers de ces États, et notamment du besoin particulier qu’ont ceux d’entre eux qui sont sans littoral ou géographiquement désavantagés de surmonter les obstacles qui résultent de leur situation défavorable, notamment de leur éloignement de la zone et de leurs difficultés d’accès à la zone et depuis celle-ci.\n\nArticle 149. Objets archéologiques et historiques\n\nTous les objets de caractère archéologique ou historique trouvés dans la zone sont conservés ou cédés dans l’intérêt de l’humanité tout entière, compte tenu en particulier des droits préférentiels de l’État ou du pays d’origine, ou de l’État d’origine culturelle, ou encore de l’État d’origine historique ou archéologique.\n\nSECTION 3. MISE EN VALEUR DES RESSOURCES DE LA ZONE\n\nArticle 150. Politique générale relative aux activités menées dans la\n\nzone Les activités menées dans la zone le sont, ainsi que le prévoit expressément la présente partie, de manière à favoriser le développement harmonieux de l’économie mondiale et l’expansion équilibrée du commerce international, à promouvoir la coopération internationale aux fins du développement général de tous les pays, et spécialement les États en développement, et en vue:\n\na) de mettre en valeur les ressources de la zone;\n\nb) de gérer de façon méthodique, sûre et rationnelle les ressources de la zone, notamment en veillant à ce que les activités menées dans la zone le soient efficacement, en évitant tout gaspillage conformément à de sains principes de conservation;\n\nc) d’accroître les possibilités de participation à ces activités, en particulier d’une manière compatible avec les articles 144 et 148;\n\nd) d’assurer la participation de l’Autorité aux revenus et le transfert des techniques à l’entreprise et aux États en développement conformément à la convention;\n\ne) d’augmenter, en fonction des besoins, les quantités disponibles des minéraux provenant de la zone conjointement avec les minéraux provenant d’autres sources, pour assurer l’approvisionnement des consommateurs de ces minéraux;\n\nf) de favoriser pour les minéraux provenant de la zone comme pour les minéraux provenant d’autres sources, la formation de prix justes et stables, rémunérateurs pour les producteurs et justes pour les consommateurs, et d’assurer à long terme l’équilibre de l’offre et de la demande;\n\ng) de donner à tous les États parties, indépendamment de leur système social et économique ou de leur situation géographique, de plus grandes possibilités de participation à la mise en valeur des ressources de la zone, et d’empêcher la monopolisation des activités menées dans la zone;\n\nh) de protéger les États en développement des effets défavorables que pourrait avoir sur leur économie ou sur leurs recettes d’exportation la baisse du cours d’un minéral figurant parmi ceux extraits de la zone ou la réduction du volume de leurs exportations de ce minéral, pour autant que cette baisse ou réduction soit due à des activités menées dans la zone, conformément à l’article 151;\n\ni) de mettre en valeur le patrimoine commun dans l’intérêt de l’humanité tout entière;\n\nj) de faire en sorte que les conditions d’accès aux marchés pour l’importation de minéraux provenant de la zone et pour l’importation de produits de base tirés de ces minéraux ne soient pas plus favorables que les conditions les plus favorables appliquées aux importations de ceux provenant d’autres sources.\n\nArticle 151. Politique en matière de production\n\n1. a) Sans préjudice des objectifs énoncés à l’article 150 et en vue d’appliquer le point h), l’Autorité, agissant par l’intermédiaire d’instances existantes ou, si besoin est, dans le cadre de nouveaux arrangements ou accords avec la participation de toutes les parties intéressées, producteurs et consommateurs compris, prend les mesures nécessaires pour favoriser la croissance, le fonctionnement efficace et la stabilité des marchés pour les produits de base tirés des minéraux provenant de la zone, à des prix rémunérateurs pour les producteurs et justes pour les consommateurs. Tous les États parties coopèrent à cette fin.\n\nb) L’Autorité a le droit de prendre part à toute conférence de produit dont les travaux portent sur ces produits de base et à laquelle participent toutes les parties intéressées, y compris les producteurs et les consommateurs. Elle a le droit de devenir partie à tout arrangement ou accord conclu à l’issue de telles conférences. Elle participe, pour ce qui a trait à la production dans la zone, à tout organe créé en vertu d’un tel arrangement ou accord conformément aux règles relatives à l’organe en question.\n\nc) L’Autorité s’acquitte des obligations qui lui incombent en vertu des arrangements ou accords visés au présent paragraphe de manière à en assurer l’application uniforme et non discriminatoire à l’intégralité de la production des minéraux en cause, dans la zone. Ce faisant, elle agit d’une manière compatible avec les clauses des contrats en vigueur et les dispositions des plans de travail approuvés de l’entreprise.\n\n2. a) Pendant la période intérimaire définie au paragraphe 3, la production commerciale ne peut commencer au titre d’un plan de travail approuvé que si l’exploitant a demandé à l’Autorité et obtenu d’elle une autorisation de production; cette autorisation ne peut être demandée ou délivrée plus de cinq ans avant la date prévue pour le démarrage de la production commerciale en vertu du plan de travail, à moins que l’Autorité ne prescrive un autre délai dans ses règles, règlements et procédures, eu égard à la nature et au calendrier d’exécution des projets.\n\nb) Dans sa demande d’autorisation, l’exploitant indique la quantité annuelle du nickel qu’il prévoit d’extraire au titre du plan de travail approuvé. La demande comprend un tableau des dépenses qui seront engagées par l’exploitant après la réception de l’autorisation et qui ont été raisonnablement calculées pour permettre le démarrage de la production commerciale à la date prévue.\n\nc) Aux fins de l’application des points a) et b, l’Autorité adopte des normes d’efficacité conformément à l’article 17 de l’annexe III.\n\nd) L’Autorité délivre une autorisation de production pour la quantité spécifiée dans la demande, à moins que la somme de cette quantité et des quantités précédemment autorisées n’excède, pour une année quelconque de production comprise dans la période intérimaire, le plafond de la production de nickel calculé conformément au paragraphe 4 pour l’année au cours de laquelle l’autorisation est délivrée.\n\ne) La demande et l’autorisation de production deviennent partie intégrante du plan de travail approuvé.\n\nf) Si la demande d’autorisation présentée par l’exploitant lui est refusée en vertu du point d), celui-ci peut à tout moment présenter une nouvelle demande à l’Autorité.\n\n3. La période intérimaire commence cinq ans avant le 1er janvier de l’année prévue pour le démarrage de la première production commerciale au titre d’un plan de travail approuvé. Si le démarrage de cette production commerciale est reporté à une année postérieure à celle qui était prévue, le début de la période intérimaire et le plafond de production initialement calculé sont ajustés en conséquence. La période intérimaire prend fin au bout de 25 ans ou à la fin de la conférence de révision visée à l’article 155 ou à l’entrée en vigueur des nouveaux accords ou arrangements visés au paragraphe 1, la date la plus proche étant retenue. Si ces arrangements ou accords deviennent caducs ou cessent d’avoir effet pour une raison quelconque, l’Autorité recouvre pour le reste de la période intérimaire les pouvoirs prévus au présent article.\n\n4. a) Le plafond de production valable pour une année quelconque de la période intérimaire est donné par la somme de:\n\ni) la différence entre la valeur de la courbe de tendance de la consommation de nickel pour l’année précédant l’année de démarrage de la première production commerciale et la valeur de cette courbe pour l’année précédant le début de la période intérimaire, ces valeurs étant calculées conformément au point b) et\n\nii) soixante pour cent de la différence entre la valeur de la courbe de tendance de la consommation de nickel pour l’année pour laquelle l’autorisation de production est demandée et la valeur de cette courbe pour l’année précédant l’année de démarrage de la première production commerciale, ces valeurs étant calculées conformément au point b).\n\nb) Aux fins du point a):\n\ni) les valeurs de la courbe de tendance utilisée pour calculer le plafond de la production de nickel sont les valeurs annuelles de la consommation de nickel lues sur une courbe de tendance établie au cours de l’année pendant laquelle l’autorisation de production est délivrée. La courbe de tendance s’obtient par régression linéaire des logarithmes des données sur la consommation annuelle effective de nickel correspondant à la période de quinze ans la plus récente pour laquelle on dispose de données, le temps étant pris comme variable indépendante. Cette courbe de tendance est dite courbe de tendance initiale;\n\nii) si le taux annuel d’accroissement indiqué par la courbe de tendance est inférieur à 3%, on substitue à cette courbe, pour déterminer les quantités visées au point a), une courbe de tendance construite de telle façon qu’elle coupe la courbe de tendance initiale au point représentant la valeur de la consommation pour la première année de la période de quinze ans considérée et que sa pente corresponde à une augmentation annuelle de 3 %. Toutefois, le plafond de production fixé pour une année quelconque de la période intérimaire ne peut en aucun cas excéder la différence entre la valeur de la courbe de tendance initiale pour l’année considérée et la valeur de cette courbe pour l’année précédant le début de la période intérimaire.\n\n5. L’Autorité réserve à l’entreprise, pour sa production initiale, une quantité de 38 000 tonnes métriques de nickel sur la quantité fixée de production conformément au paragraphe 4.\n\n6. a) Un exploitant peut, au cours d’une année quelconque, produire moins que la production annuelle de minéraux provenant de nodules polymétalliques qui est indiquée dans son autorisation de production ou dépasser cette production de 8 % au maximum, pourvu que l’ensemble de sa production ne dépasse pas celle indiquée dans cette autorisation. Tout dépassement compris entre 8 et 20 % pour une année quelconque ou tout dépassement pour toute année qui suit deux années consécutives au cours desquelles la production fixée a déjà été dépassée fait l’objet de négociations avec l’Autorité qui peut exiger de l’exploitant qu’il demande une autorisation de production supplémentaire.\n\nb) L’Autorité n’examine les demandes d’autorisations de production supplémentaire que lorsqu’elle a statué sur toutes les demandes d’autorisations de production en instance et a dûment considéré l’éventualité d’autres demandes. Le principe qui guide l’Autorité à cet égard est que, pendant une année quelconque de la période intérimaire, la production totale autorisée en vertu de la formule de limitation de la production ne doit pas être dépassée. L’Autorité n’autorise pour aucun plan de travail la production d’une quantité supérieure à 46 500 tonnes métriques de nickel par an.\n\n7. La production d’autres métaux, tels que le cuivre, le cobalt et le manganèse, provenant des nodules polymétalliques extraits en vertu d’une autorisation de production ne devrait pas dépasser le niveau qu’elle aurait atteint si l’exploitant avait produit à partir de ces nodules la quantité maximale de nickel calculée conformément au présent article. L’Autorité adopte, conformément à l’article 17 de l’annexe III, des règles, règlements et procédures prévoyant les modalités d’application du présent paragraphe.\n\n8. Les droits et obligations relatifs aux pratiques économiques déloyales qui sont prévus dans le cadre des accords commerciaux multilatéraux pertinents s’appliquent à l’exploration et à l’exploitation des minéraux de la zone. Pour le règlement des différends relevant de la présente disposition, les États parties qui sont parties à ces accords commerciaux multilatéraux ont recours aux procédures de règlement des différends prévues par ceux-ci.\n\n9. L’Autorité a le pouvoir de limiter le niveau de la production de minéraux dans la zone autres que les minéraux extraits de nodules polymétalliques, selon des conditions et méthodes qu’elle juge appropriées, en adoptant des règlements conformément à l’article 161 paragraphe 8.\n\n10. Sur recommandation du Conseil, fondée sur l’avis de la Commission de planification économique, l’assemblée institue un système de compensation ou prend d’autres mesures d’assistance propres à faciliter l’ajustement économique, y compris la coopération avec les institutions spécialisées et d’autres organisations internationales, afin de venir en aide aux États en développement dont l’économie et les recettes d’exportation se ressentent gravement des effets défavorables d’une baisse du cours d’un minéral figurant parmi ceux extraits de la zone ou d’une réduction du volume de leurs exportations de ce minéral, pour autant que cette baisse ou réduction est due à des activités menées dans la zone. Sur demande, l’Autorité entreprend des études sur les problèmes des États qui risquent d’être le plus gravement touchés, en vue de réduire à un minimum leurs difficultés et de les aider à opérer leur ajustement économique.\n\nArticle 152. Exercice des pouvoirs et fonctions\n\n1. L’Autorité évite toute discrimination dans l’exercice de ses pouvoirs et fonctions, notamment quand elle accorde la possibilité de mener des activités dans la zone.\n\n2. Néanmoins, elle peut accorder, en vertu des dispositions expresses de la présente partie, une attention particulière aux États en développement, et spécialement à ceux d’entre eux qui sont sans littoral ou géographiquement désavantagés.\n\nArticle 153. Système d’exploration et d’exploitation\n\n1. Les activités, dans la zone, sont organisées, menées et contrôlées par l’Autorité pour le compte de l’humanité tout entière conformément au présent article, et aux autres dispositions pertinentes de la présente partie et des annexes qui s’y rapportent ainsi qu’aux règles, règlements et procédures de l’Autorité.\n\n2. Les activités menées dans la zone le sont conformément au paragraphe 3:\n\na) par l’entreprise et\n\nb) en association avec l’Autorité, par des États parties ou des entreprises d’État ou par des personnes physiques ou morales possédant la nationalité d’États parties ou effectivement contrôlées par eux ou leurs ressortissants, lorsqu’elles sont patronnées par ces États ou par tout groupe des catégories précitées qui satisfait aux conditions stipulées dans la présente partie et à l’annexe III.\n\n3. Les activités menées dans la zone le sont selon un plan de travail formel et écrit, établi conformément à l’annexe III et approuvé par le Conseil après examen par la Commission juridique et technique. Lorsque, sur autorisation de l’Autorité, des activités sont menées dans la zone par les entités ou personnes mentionnées au paragraphe 2 point b), le plan de travail revêt la forme d’un contrat conformément à l’article 3 de l’annexe III. Ce contrat peut prévoir des accords de coentreprise conformément à l’article 11 de l’annexe III.\n\n4. L’Autorité exerce sur les activités menées dans la zone le contrôle nécessaire pour assurer le respect des dispositions pertinentes de la présente partie et des annexes qui s’y rapportent, des règles, règlements et procédures de l’Autorité ainsi que des plans de travail approuvés conformément au paragraphe 3. Les États parties aident l’Autorité en prenant toutes les mesures nécessaires pour assurer le respect de ces textes conformément à l’article 139.\n\n5. L’Autorité a le droit de prendre, à tout moment, toute mesure prévue dans la présente partie pour en assurer le respect et pour être à même d’exercer les fonctions de contrôle et de réglementation qui lui incombent en vertu de la présente partie ou d’un contrat. Elle a le droit d’inspecter toutes les installations qui sont utilisées pour des activités menées dans la zone et qui sont situées dans celle-ci.\n\n6. Tout contrat passé conformément au paragraphe 3 prévoit la garantie du titre. Il ne peut donc être révisé, suspendu ou résilié qu’en application des articles 18 et 19 de l’annexe III.\n\nArticle 154. Examen périodique\n\nTous les cinq ans à compter de l’entrée en vigueur de la convention, l’Assemblée procède à un examen général et systématique de la manière dont le régime international de la zone établi par la convention a fonctionné dans la pratique. À la lumière de cet examen, l’Assemblée peut prendre ou recommander à d’autres organes de prendre des mesures conformes aux dispositions et procédures prévues dans la présente partie et les annexes qui s’y rapportent et permettant d’améliorer le fonctionnement du régime.\n\nArticle 155. Conférence de révision\n\n1. Quinze ans après le 1er janvier de l’année du démarrage de la première production commerciale au titre d’un plan de travail approuvé, l’Assemblée convoquera une conférence pour la révision des dispositions de la présente partie et des annexes qui s’y rapportent régissant le système d’exploration et d’exploitation des ressources de la zone. La conférence de révision examinera en détail, à la lumière de l’expérience acquise pendant la période écoulée:\n\na) si les dispositions de la présente partie qui régissent le système d’exploration et d’exploitation des ressources de la zone ont atteint leurs objectifs à tous égards, et notamment si l’humanité tout entière en a bénéficié;\n\nb) si, pendant la période de quinze ans, les secteurs réservés ont été exploités de façon efficace et équilibrée par rapport aux secteurs non réservés;\n\nc) si la mise en valeur et l’utilisation de la zone et de ses ressources ont été entreprises de manière à favoriser le développement harmonieux de l’économie mondiale et l’expansion équilibrée du commerce international;\n\nd) si la monopolisation des activités menées dans la zone a été empêchée;\n\ne) si les politiques visées aux articles 150 et 151 ont été suivies et\n\nf) si le système a permis de partager équitablement les avantages tirés des activités menées dans la zone, compte tenu particulièrement des intérêts et besoins des États en développement.\n\n2. La conférence de révision veillera à ce que soient maintenus le principe du patrimoine commun de l’humanité, le régime international visant à son exploitation équitable au bénéfice de tous les pays, en particulier des États en développement, et l’existence d’une autorité chargée d’organiser, de mener et de contrôler les activités dans la zone. Elle veillera également au maintien des principes énoncés dans la présente partie en ce qui concerne l’exclusion de toute revendication et de tout exercice de souveraineté sur une partie quelconque de la zone, les droits des États et leur conduite générale ayant trait à la zone, ainsi que leur participation aux activités menées dans la zone, conformément à la convention, la prévention de la monopolisation des activités menées dans la zone, l’utilisation de la zone à des fins exclusivement pacifiques, les aspects économiques des activités menées dans la zone, la recherche scientifique marine, le transfert des techniques, la protection du milieu marin et la protection de la vie humaine, les droits des États côtiers, le régime juridique des eaux surjacentes à la zone et celui de l’espace aérien situé au-dessus de ces eaux et la compatibilité des activités menées dans la zone et des autres activités s’exerçant dans le milieu marin.\n\n3. La conférence de révision suivra la même procédure de prise de décisions que la troisième conférence des Nations unies sur le droit de la mer. Elle ne devrait ménager aucun effort pour aboutir à un accord sur tous amendements éventuels par voie de consensus et il ne devrait pas y avoir de vote sur ces questions tant que tous les efforts en vue d’aboutir à un consensus n’auront pas été épuisés.\n\n4. Si, cinq ans après son début, la conférence de révision n’est pas parvenue à un accord sur le système d’exploration et d’exploitation des ressources de la zone, elle pourra, dans les douze mois qui suivront, décider la majorité des trois quarts des États parties d’adopter et de soumettre aux États parties pour ratification ou adhésion les amendements portant changement ou modification du système qu’elle juge nécessaires et appropriés. Ces amendements entreront en vigueur pour tous les États parties douze mois après le dépôt des instruments de ratification ou d’adhésion par les trois quarts des États parties.\n\n5. Les amendements adoptés par la conférence de révision en application du présent article ne porteront pas atteinte aux droits acquis en vertu de contrats existants.\n\nSECTION 4. L’AUTORITÉ\n\nSous-section A. Dispositions générales\n\nArticle 156. Création de l’Autorité\n\n1. Il est créé une Autorité internationale des fonds marins dont le fonctionnement est régi par la présente partie.\n\n2. Tous les États parties sont ipso facto membres de l’Autorité.\n\n3. Les observateurs auprès de la troisième conférence des Nations unies sur le droit de la mer, qui ont signé l’acte final et qui ne sont pas visés à l’article 305 paragraphe 1 points c), d), e) ou f), ont le droit de participer aux travaux de l’Autorité en qualité d’observateurs, conformément à ses règles, règlements et procédures:\n\n4. L’Autorité a son siège à la Jamaïque.\n\n5. L’Autorité peut créer les centres ou bureaux régionaux qu’elle juge nécessaires à l’exercice de ses fonctions.\n\nArticle 157. Nature de l’Autorité et principes fondamentaux\n\nrégissant son fonctionnement\n\n1. L’Autorité est l’organisation par l’intermédiaire de laquelle les États parties organisent et contrôlent les activités menées dans la zone, notamment aux fins de l’administration des ressources de celle-ci, conformément à la présente partie.\n\n2. L’Autorité détient les pouvoirs et fonctions qui lui sont expressément conférés par la convention. Elle est investie des pouvoirs subsidiaires, compatibles avec la convention, qu’implique nécessairement l’exercice de ces pouvoirs et fonctions quant aux activités menées dans la zone.\n\n3. L’Autorité est fondée sur le principe de l’égalité souveraine de tous ses membres.\n\n4. Afin d’assurer à chacun d’eux les droits et avantages découlant de sa qualité de membre, tous les membres de l’Autorité s’acquittent de bonne foi des obligations qui leur incombent en vertu de la présente partie.\n\nArticle 158. Organes de l’Autorité\n\n1. Il est créé une assemblée, un conseil et un secrétariat, qui sont les organes principaux de l’Autorité.\n\n2. Il est créé une entreprise, qui est l’organe par l’intermédiaire duquel l’Autorité exerce les fonctions visées à l’article 170 paragraphe 1.\n\n3. Les organes subsidiaires jugés nécessaires peuvent être créés conformément à la présente partie.\n\n4. Il incombe à chacun des organes principaux de l’Autorité et à l’entreprise d’exercer les pouvoirs et fonctions qui leur sont conférés. Dans l’exercice de ces pouvoirs et fonctions, chaque organe évite d’agir d’une manière qui puisse porter atteinte ou nuire à l’exercice des pouvoirs et fonctions particuliers conférés à un autre organe.\n\nSous-section B. L’assemblée\n\nArticle 159. Composition, procédure et vote\n\n1. L’assemblée se compose de tous les membres de l’Autorité. Chaque membre a un représentant à l’assemblée, qui peut être accompagné de suppléants et de conseillers.\n\n2. L’assemblée se réunit en session ordinaire tous les ans, et en session extraordinaire chaque fois qu’elle le décide ou lorsqu’elle est convoquée par le secrétaire général à la demande du Conseil ou de la majorité des membres de l’Autorité.\n\n3. Les sessions de l’assemblée, à moins qu’elle n’en décide autrement, ont lieu au siège de l’Autorité.\n\n4. L’assemblée adopte son règlement intérieur. À l’ouverture de chaque session ordinaire, elle élit son président et autant d’autres membres du bureau qu’il est nécessaire. Ils restent en fonction jusqu’à l’élection d’un nouveau bureau à la session ordinaire suivante.\n\n5. Le quorum est constitué par la majorité des membres de l’assemblée.\n\n6. Chaque membre de l’assemblée a une voix.\n\n7. Leurs décisions sur les questions de procédure, y compris la convocation d’une session extraordinaire de l’assemblée, sont prises à la majorité des membres présents et votants.\n\n8. Les décisions sur les questions de fond sont prises à la majorité des deux tiers des membres présents et votants, à condition que cette majorité comprenne celle des membres participant à la session. En cas de doute sur le point de savoir s’il s’agit d’une question de fond, la question débattue est considérée comme telle, à moins que l’Autorité n’en décide autrement à la majorité requise pour les décisions sur les questions de fond.\n\n9. Lorsqu’une question de fond est sur le point d’être mise aux voix pour la première fois, le président peut, et doit si un cinquième au moins des membres de l’assemblée en font la demande, ajourner la décision de recourir au vote sur cette question pendant un délai ne dépassant pas cinq jours civils. Cette règle ne peut s’appliquer qu’une seule fois à propos de la même question, et son application ne doit pas entraîner l’ajournement de questions au-delà de la clôture de la session.\n\n10. Lorsque le président est saisi par un quart au moins des membres de l’Autorité d’une requête écrite tendant à ce que l’assemblée demande un avis consultatif sur la conformité avec la convention d’une proposition qui lui est soumise au sujet d’une question quelconque, l’assemblée demande un avis consultatif à la chambre pour le règlement des différends relatifs aux fonds marins du Tribunal international du droit de la mer. Le vote est reporté jusqu’à ce que la chambre ait rendu son avis. Si celui-ci ne lui est pas parvenu avant la dernière semaine de la session au cours de laquelle il a été demandé, l’assemblée décide quand elle se réunira pour voter sur la proposition ajournée.\n\nArticle 160. Pouvoirs et fonctions\n\n1. L’assemblée, seul organe composé de tous les membres de l’Autorité, est considérée comme l’organe suprême de celle-ci devant lequel les autres organes principaux sont responsables, ainsi qu’il est expressément prévu dans la convention. L’assemblée a le pouvoir d’arrêter, en conformité avec les dispositions pertinentes de la convention, la politique générale de l’Autorité sur toute question ou tout sujet relevant de la compétence de celle-ci.\n\n2. En outre, l’assemblée a les pouvoirs et fonctions ci-après:\n\na) élire les membres du conseil conformément à l’article 161;\n\nb) élire le secrétaire général parmi les candidats proposés par le conseil;\n\nc) élire, sur recommandation du conseil, les membres du conseil d’administration de l’entreprise et le directeur général de celle-ci;\n\nd) créer les organes subsidiaires qu’elle juge nécessaires pour exercer ses fonctions conformément à la présente partie. En ce qui concerne la composition de tels organes, il est dûment tenu compte du principe de la répartition géographique équitable des sièges, des intérêts particuliers et de la nécessité d’assurer à ces organes le concours de membres qualifiés et compétents dans les domaines techniques dont ils s’occupent;\n\ne) fixer les contributions des membres au budget d’administration de l’Autorité conformément à un barème convenu, fondé sur le barème utilisé pour le budget ordinaire de l’Organisation des Nations unies, jusqu’à ce que l’Autorité dispose de recettes suffisantes provenant d’autres sources pour faire face à ses dépenses d’administration;\n\nf) i) examiner et approuver sur recommandation du conseil, les règles, règlements et procédures relatifs au partage équitable des avantages financiers et autres avantages économiques tirés des activités menées dans la zone, ainsi qu’aux contributions prévues à l’article 82, en tenant particulièrement compte des intérêts et besoins des États en développement et des peuples qui n’ont pas accédé à la pleine indépendance ou à un autre régime d’autonomie. Si l’assemblée n’approuve pas les recommandations du conseil, elle les renvoie à celui-ci pour qu’il les réexamine à la lumière des vues qu’elle a exprimées;\n\nii) examiner et approuver les règles, règlements et procédures de l’Autorité, ainsi que tous amendements à ces textes, que le conseil a provisoirement adoptés en application de l’article 162 paragraphe 2 point o ii). Ces règles, règlements et procédures ont pour objet la prospection, l’exploration et l’exploitation dans la zone, la gestion financière de l’autorité et son administration interne et, sur recommandation du conseil d’administration de l’entreprise, les virements de fonds de l’entreprise à l’Autorité;\n\ng) décider du partage équitable des avantages financiers et autres avantages économiques tirés des activités menées dans la zone, d’une manière compatible avec la convention et les règles, règlements et procédures de l’Autorité;\n\nh) examiner et approuver le projet de budget annuel de l’Autorité soumis par le conseil;\n\ni) examiner les rapports périodiques du conseil et de l’entreprise ainsi que les rapports spéciaux demandés au conseil et à tout autre organe de l’Autorité;\n\nj) faire procéder à des études et formuler des recommandations tendant à promouvoir la coopération internationale concernant les activités menées dans la zone et à encourager le développement progressif du droit international et sa codification;\n\nk) examiner les problèmes de caractère général ayant trait aux activités menées dans la zone, qui surgissent en particulier pour les États en développement, ainsi que les problèmes qui se posent à propos de ces activités à certains États en raison de leur situation géographique, notamment aux États sans littoral et aux États géographiquement désavantagés;\n\nl) sur recommandation du conseil, fondée sur l’avis de la commission de planification économique, instituer un système de compensation ou prendre d’autres mesures d’assistance propres à faciliter l’ajustement économique comme le prévoit l’article 151 paragraphe 10;\n\nm) prononcer la suspension de l’exercice des droits et privilèges inhérents à la qualité de membre, en application de l’article 185;\n\nn) délibérer de toute question ou de tout sujet relevant de la compétence de l’Autorité et décider, d’une manière compatible avec la répartition des pouvoirs et fonctions entre les organes de l’Autorité, lequel de ces organes traitera d’une question ou d’un sujet dont l’examen n’a pas été expressément attribué à l’un d’eux.\n\nSous-section C. Le Conseil\n\nArticle 161. Composition, procédure et vote\n\n1. Le conseil se compose de 36 membres de l’Autorité, élus par l’assemblée dans l’ordre suivant:\n\na) quatre membres choisis parmi les États parties dont la consommation ou les importations nettes de produits de base relevant des catégories de minéraux devant être extraits de la zone ont dépassé, au cours des cinq dernières années pour lesquelles il existe des statistiques, 2 % du total mondial de la consommation ou des importations de ces produits de base, dont au moins un État de la région de l’Europe orientale (socialiste), ainsi que le plus grand consommateur;\n\nb) quatre membres choisis parmi les huit États parties qui ont effectué, directement ou par l’intermédiaire de leurs ressortissants, les investissements les plus importants pour la préparation et la réalisation d’activités menées dans la zone, dont au moins un État de la région de l’Europe orientale (socialiste);\n\nc) quatre membres choisis parmi les États parties qui, sur la base de la production provenant des zones soumises à leur juridiction, sont parmi les principaux exportateurs nets des catégories de minéraux devant être extraits de la zone, dont au moins deux États en développement dont l’économie est fortement tributaire de leurs exportations de ces minéraux;\n\nd) six membres choisis parmi les États parties en développement et représentant des intérêts particuliers. Les intérêts particuliers devant être représentés comprennent ceux des États à population nombreuse, des États sans littoral ou géographiquement désavantagés, des États qui figurent parmi les principaux importateurs des catégories de minéraux devant être extraits de la zone, des États potentiellement producteurs de tels minéraux et des États les moins avancés;\n\ne) dix-huit membres élus suivant le principe d’une répartition géographique équitable de l’ensemble des sièges du conseil, étant entendu qu’au moins un membre par région géographique est élu membre en application de la présente disposition. À cette fin, les régions géographiques sont: l’Afrique, l’Amérique latine, l’Asie, l’Europe orientale (socialiste), ainsi que l’Europe occidentale et autres États.\n\n2. Lorsqu’elle élit les membres du conseil conformément au paragraphe 1, l’assemblée veille à ce que:\n\na) la représentation des États sans littoral et des États géographiquement désavantagés corresponde raisonnablement à leur représentation au sein de l’assemblée;\n\nb) la représentation des États côtiers, en particulier des États en développement, qui ne remplissent pas les conditions énoncées au paragraphe 1 points a), b), c) ou d), corresponde raisonnablement à leur représentation au sein de l’assemblée;\n\nc) chaque groupe d’États parties devant être représentés au conseil soit représenté par les membres éventuellement désignés par ce groupe.\n\n3. Les élections ont lieu lors d’une session ordinaire de l’assemblée. Chaque membre du conseil est élu pour quatre ans. Toutefois, lors de la première élection, la durée du mandat de la moitié des membres représentant chacun des groupes visés au paragraphe 1 est de deux ans.\n\n4. Les membres du conseil sont rééligibles, mais il devrait être dûment tenu compte du fait qu’une rotation des sièges est souhaitable.\n\n5. Le conseil exerce ses fonctions au siège de l’Autorité; il se réunit aussi souvent que l’exigent les activités de l’Autorité, mais en tout cas trois fois par an.\n\n6. Le quorum est constitué par la majorité des membres du conseil.\n\n7. Chaque membre du conseil a une voix.\n\n8. a) les décisions sur les questions de procédure sont prises à la majorité des membres présents et votants;\n\nb) les décisions sur les questions de fond qui se posent à propos de l’article 162 paragraphe 2 points f), g), h), i), n), p), v), et de l’article 191 sont prises à la majorité des deux tiers des membres présents et votants, à condition que cette majorité comprenne celle des membres du conseil;\n\nc) les décisions sur les questions de fond qui se posent à propos des dispositions énumérées ciaprès sont prises à la majorité des trois quarts des membres présents et votants, à condition que cette majorité comprenne celle des membres du conseil: article 162 paragraphe 1; article 162 paragraphe 2 points a, b), c), d), e), l), q), r), s), t); article 162 paragraphe 2 point u), dans les cas d’inobservation par un contractant ou l’État qui le patronne; article 162 paragraphe 2 point w), étant entendu que les ordres émis en vertu de cette disposition ne peuvent être obligatoires pendant plus de trente jours que s’ils sont confirmés par une décision prise conformément au point d); article 162 paragraphe 2 points x), y) et z); article 163 paragraphe 2; article 174 paragraphe 3; article 11 de l’annexe IV;\n\nd) les décisions sur les questions de fond qui se posent à propos de l’article 162 paragraphe 2 points m) et o), ainsi qu’à propos de l’adoption des amendements à la partie XI, sont prises par consensus;\n\ne) aux fins des points d), f) et g), on entend par «consensus» l’absence de toute objection formelle. Dans les quatorze jours qui suivent la soumission d’une proposition au conseil, le président examine s’il y aurait une objection à son adoption. S’il constate qu’une telle objection serait formulée, le président constitue et convoque, dans les trois jours, une commission de conciliation composée, au plus, de neuf membres du conseil et présidée par lui-même, chargée d’éliminer les divergences et de formuler une proposition susceptible d’être adoptée par consensus. La commission s’acquitte promptement de sa tâche et fait rapport au conseil dans les quatorze jours qui suivent sa constitution. Sie elle n’est pas en mesure de recommander une proposition susceptible d’être adoptée par consensus, elle expose dans son rapport les motifs de l’opposition à la proposition;\n\nf) les décisions sur les questions non énumérées ci-dessus que le conseil est habilité à prendre en vertu des règles, règlements et procédures de l’Autorité ou à tout autre titre sont prises conformément aux dispositions du présent paragraphe indiquées dans ces règles, règlements et procédures ou, à défaut, conformément à la disposition déterminée par une décision du conseil prise par consensus;\n\ng) en cas de doute sur le point de savoir si une question relève des catégories visées aux points a), b), c) ou d), la question est réputée relever de la disposition exigeant la majorité la plus élevée ou le consensus, selon le cas, à moins que le conseil n’en décide autrement à cette majorité ou par consensus.\n\n9. Le conseil établit une procédure permettant à un membre de l’Autorité qui n’est pas représenté au sein du conseil de se faire représenter à une séance de celui-ci lorsque ce membre présente une demande à cet effet ou que le conseil examine une question qui le concerne particulièrement. Le représentant de ce membre peut participer aux débats sans droit de vote.\n\nArticle 162. Pouvoirs et fonctions\n\n1. Le conseil est l’organe exécutif de l’Autorité. Il a le pouvoir d’arrêter, en conformité avec la convention et avec la politique générale définie par l’assemblée, les politiques spécifiques à suivre par l’autorité sur toute question ou tout sujet relevant de sa compétence.\n\n2. En outre, le conseil:\n\na) surveille et coordonne l’application de la présente partie pour toutes les questions et tous les sujets relevant de la compétence de l’Autorité et appelle l’attention de l’assemblée sur les cas d’inobservation;\n\nb) soumet à l’assemblée une liste de candidats au poste de secrétaire général;\n\nc) recommande à l’assemblée des candidats aux fonctions de membres du conseil d’administration de l’entreprise et au poste de directeur général de celle-ci;\n\nd) crée, selon qu’il convient, et compte dûment tenu des impératifs d’économie et d’efficacité, les organes subsidiaires qu’il juge nécessaires pour exercer ses fonctions conformément à la présente partie. En ce qui concerne la composition de tels organes, l’accent doit être mis sur la nécessité de leur assurer le concours de membres qualifiés et compétents dans les domaines techniques dont ils s’occupent, compte dûment tenu néanmoins du principe de la répartition géographique équitable et d’intérêts particuliers;\n\ne) adopte son règlement intérieur, dans lequel il fixe notamment le mode de désignation de son président;\n\nf) conclut, au nom de l’Autorité, des accords avec l’Organisation des Nations unies et d’autres organisations internationales, dans les limites de sa compétence et sous réserve de l’approbation de l’assemblée;\n\ng) examine les rapports de l’entreprise et les transmet à l’assemblée, en y joignant ses recommandations;\n\nh) présente à l’assemblée des rapports annuels ainsi que les rapports spéciaux que celle-ci lui demande;\n\ni) donne des directives à l’entreprise conformément à l’article 170;\n\nj) approuve les plans de travail conformément à l’article 6 de l’annexe III. Le conseil statue sur chaque plan de travail dans les soixante jours suivant la date à laquelle celui-ci lui a été soumis à une de ses sessions par la commission juridique et technique, conformément aux procédures indiquées ci-après:\n\ni) lorsque la commission recommande l’approbation d’un plan de travail, celui-ci est réputé accepté par le conseil si aucun membre de ce dernier ne soumet par écrit au président, dans un délai de quatorze jours, une objection précise dans laquelle il allègue l’inobservation des conditions énoncées à l’article 6 de l’annexe III. Si une telle objection est formulée, la procédure de conciliation prévue à l’article 161 paragraphe 8 point e), s’applique. Si, au terme de cette procédure, l’objection est maintenue, le plan de travail est réputé approuvé par le conseil, à moins qu’il ne le rejette par consensus à l’exclusion de l’État ou des États qui ont fait la demande ou patronné le demandeur;\n\nii) lorsque la commission recommande le rejet d’un plan de travail ou ne formule pas de recommandation, le conseil peut approuver celui-ci à la majorité des trois quarts des membres présents et votants, à condition que cette majorité comprenne celle des membres participant à la session;\n\nk) approuve les plans de travail présentés par l’entreprise conformément à l’article 12 de l’annexe IV, en appliquant, mutatis mutandis, les procédures prévues au point j);\n\nl) exerce un contrôle sur les activités menées dans la zone, conformément à l’article 153 paragraphe 4, et aux règles, règlements et procédures de l’Autorité;\n\nm) prend, sur recommandation de la commission de planification économique, les mesures nécessaires et appropriées pour protéger les États en développement, conformément à l’article 150 point h), des effets économiques défavorables visés dans cette disposition;\n\nn) fait à l’assemblée, en se fondant sur l’avis de la commission de planification économique, des recommandations concernant l’institution d’un système de compensation ou la prise d’autres mesures d’assistance propres à faciliter l’ajustement économique, comme le prévoit l’article 151 paragraphe 10;\n\no) i) recommande à l’assemblée des règles, règlements et procédures relatifs au partage équitable des avantages financiers et autres avantages économiques tirés des activités menées dans la zone, ainsi qu’aux contributions prévues à l’article 82, en tenant particulièrement compte des intérêts et besoins des États en développement et des peuples qui n’ont pas accédé à la pleine indépendance ou à un autre régime d’autonomie;\n\nii) adopte et applique provisoirement, en attendant l’approbation de l’assemblée, les règles, règlements et procédures de l’Autorité et tous amendements à ces textes en tenant compte des recommandations de la commission juridique et technique ou de tout autre organe subordonné concerné. Ces règles, règlements et procédures ont pour objet la prospection, l’exploration et l’exploitation dans la zone, ainsi que la gestion financière de l’Autorité et son administration interne. La priorité est accordée à l’adoption de règles, règlements et procédures relatifs à l’exploration et l’exploitation de nodules polymétalliques. Les règles, règlements et procédures portant sur l’exploration et l’exploitation de toute ressource autre que les nodules polymétalliques sont adoptés dans un délai de trois ans à compter de la date à laquelle l’Autorité a été saisie d’une demande à cet effet par un de ses membres. Ils demeurent tous en vigueur à titre provisoire jusqu’à leur approbation par l’assemblée ou jusqu’à leur modification par le conseil, à la lumière des vues exprimées par l’assemblée;\n\np) veille au paiement de toutes les sommes dues par l’Autorité ou à celle-ci au titre des opérations effectuées conformément à la présente partie;\n\nq) fait un choix entre les demandeurs d’autorisation de production en vertu de l’article 7 de l’annexe III dans les cas prévus à cet article;\n\nr) soumet le projet de budget annuel de l’Autorité à l’approbation de l’assemblée;\n\ns) fait à l’assemblée des recommandations sur la politique à suivre sur toute question ou tout sujet qui relève de la compétence de l’Autorité;\n\nt) fait à l’assemblée des recommandations sur la suspension de l’exercice des droits et privilèges inhérents à la qualité de membre en application de l’article 185;\n\nu) saisit, au nom de l’Autorité, la chambre pour le règlement des différends relatifs aux fonds marins dans les cas d’inobservation;\n\nv) notifie à l’assemblée la décision rendue par la chambre pour le règlement de différends relatifs aux fonds marins, saisie conformément au point u), et lui fait les recommandations qu’il juge nécessaires sur les mesures à prendre;\n\nw) émet des ordres en cas d’urgence, y compris éventuellement l’ordre de suspendre ou de modifier les opérations, afin de prévenir tout dommage grave pouvant être causé au milieu marin par des activités menées dans la zone;\n\nx) exclut la mise en exploitation de certaines zones par des contractants ou par l’entreprise lorsqu’il y a de sérieuses raisons de penser qu’il en résulterait un risque de dommage grave pour le milieu marin;\n\ny) crée un organe subsidiaire chargé de l’élaboration de projets de règles, règlements et procédures financiers relatifs:\n\ni) à la gestion financière conformément aux articles 171 à 175 et\n\nii) aux modalités financières prévues à l’article 13 et à l’article 17 paragraphe 1 point c) de l’annexe III;\n\nz) met en place des mécanismes appropriés pour diriger et superviser un corps d’inspecteurs chargés de surveiller les activités menées dans la zone pour déterminer si la présente partie, les règles, règlements et procédures de l’Autorité et les clauses et conditions des contrats conclus avec l’Autorité sont observés.\n\nArticle 163. Organes du Conseil\n\n1. Il est créé en tant qu’organes du conseil:\n\na) une commission de planification économique;\n\nb) une commission juridique et technique.\n\n2. Chaque commission est composée de quinze membres, élus par le conseil parmi les candidats présentés par les États parties. Le conseil peut néanmoins, si besoin est, décider d’élargir la composition de l’une ou de l’autre en tenant dûment compte des impératifs d’économie et d’efficacité.\n\n3. Les membres d’une commission doivent avoir les qualifications requises dans les domaines relevant de la compétence de celle-ci. Afin de permettre aux commissions d’exercer leurs fonctions efficacement, les États parties désignent des candidats de la plus haute compétence et de la plus haute intégrité, ayant les qualifications requises dans les domaines pertinents.\n\n4. Lors de l’élection, il est dûment tenu compte de la nécessité d’une répartition géographique équitable des sièges et d’une représentation des intérêts particuliers.\n\n5. Aucun État partie ne peut présenter plus d’un candidat à une même commission. Nul ne peut être élu à plus d’une commission.\n\n6. Les membres des commissions sont élus pour cinq ans. Ils sont rééligibles pour un nouveau mandat.\n\n7. En cas de décès, d’incapacité ou de démission d’un membre d’une commission avant l’expiration de son mandat, le conseil élit, pour la durée du mandat restant à courir, un membre de la même région géographique ou représentant la même catégorie d’intérêts.\n\n8. Les membres des commissions ne doivent posséder d’intérêts financiers dans aucune des activités touchant l’exploration et l’exploitation dans la zone. Sous réserve de leurs obligations envers la commission dont ils font partie, ils ne doivent divulguer, même après la cessation de leurs fonctions, aucun secret industriel, aucune donnée qui est propriété industrielle et qui a été transférée à l’Autorité en application de l’article 14 de l’annexe III, ni aucun autre renseignement confidentiel dont ils ont connaissance en raison de leurs fonctions.\n\n9. Chaque commission exerce ses fonctions conformément aux principes et directives arrêtés par le conseil.\n\n10. Chaque commission élabore et soumet à l’approbation du conseil les règles et règlements nécessaires à son bon fonctionnement.\n\n11. Les procédures de prise de décision des commissions sont fixées par les règles, règlements et procédures de l’Autorité. Les recommandations faites au conseil sont accompagnées, le cas échéant, d’un exposé succinct des divergences qui sont apparues au sein de la commission.\n\n12. Les commissions exercent normalement leurs fonctions au siège de l’Autorité et se réunissent aussi souvent que nécessaire pour s’acquitter efficacement de leur tâche.\n\n13. Dans l’exercice de ses fonctions, chaque commission consulte, le cas échéant, une autre commission ou tout organe compétent de l’Organisation des Nations unies et de ses institutions spécialisées ou toute autre organisation internationale ayant compétence dans le domaine considéré.\n\nArticle 164. La commission de planification économique\n\n1. Les membres de la commission de planification économique doivent posséder les qualifications voulues, notamment en matière d’activités minières, de gestion des ressources minérales, de commerce international et d’économie internationale. Le conseil s’efforce de faire en sorte que, par sa composition, la commission dispose de l’éventail complet des qualifications requises. La commission doit compter parmi ses membres au moins deux ressortissants d’États en développement dont l’économie est fortement tributaire des exportations de catégories de minéraux devant être extraits de la zone.\n\n2. La commission:\n\na) propose au conseil, à la demande de celui-ci, des mesures d’application des décisions prises conformément à la convention en ce qui concerne les activités menées dans la zone;\n\nb) étudie les tendances de l’offre et de la demande de minéraux pouvant provenir de la zone et de leur prix, ainsi que les facteurs qui affectent ces données, en prenant en considération les intérêts des États importateurs comme des États exportateurs, notamment de ceux d’entre eux qui sont des États en développement;\n\nc) examine toute situation susceptible d’entraîner les effets défavorables visés à l’article 150 point h), portée à son attention par l’État partie ou les États parties concernés et fait au conseil les recommandations appropriées;\n\nd) propose au conseil, pour soumission à l’assemblée, comme le prévoit l’article 151 paragraphe 10, un système de compensation en faveur des États en développement pour lesquels les activités menées dans la zone ont des effets défavorables, ou d’autres mesures d’assistance propres à faciliter l’ajustement économique, et fait au conseil les recommandations nécessaires à la mise en œuvre, dans des cas précis, du système ou des mesures adoptés par l’assemblée.\n\nArticle 165. La commission juridique et technique\n\n1. Les membres de la commission juridique et technique doivent posséder les qualifications voulues, notamment en matière d’exploration, d’exploitation et de traitement des ressources minérales, d’océanologie et de protection du milieu marin, ou en ce qui concerne les questions économiques ou juridiques relatives aux activités minières en mer, ou dans d’autres domaines connexes. Le conseil s’efforce de faire en sorte que, par sa composition, la commission dispose de l’éventail complet des qualifications requises.\n\n2. La commission:\n\na) fait au conseil, à la demande de celui-ci, des recommandations concernant l’exercice des fonctions de l’Autorité;\n\nb) examine les plans de travail formels et écrits concernant les activités à mener dans la zone conformément à l’article 153 paragraphe 3, et fait au conseil des recommandations appropriées. La commission fonde ses recommandations sur les seules dispositions de l’annexe III et présente au conseil un rapport complet sur le sujet;\n\nc) surveille, à la demande du conseil, les activités menées dans la zone, le cas échéant, en consultation et en collaboration avec toute entité ou personne qui mène ces activités ou avec l’État ou les États concernés, et fait rapport au conseil;\n\nd) évalue les incidences écologiques des activités menées ou à mener dans la zone;\n\ne) fait au conseil des recommandations sur la protection du milieu marin, en tenant compte de l’opinion d’experts reconnus;\n\nf) élabore et soumet au conseil les règles, règlements et procédures visés à l’article 162 paragraphe 2 point o), compte tenu de tous les facteurs pertinents, y compris l’évaluation des incidences écologiques des activités menées dans la zone;\n\ng) réexamine de temps à autre ces règles, règlements et procédures et recommande au conseil les amendements qu’elle juge nécessaires ou souhaitables;\n\nh) fait au conseil des recommandations concernant la mise en place d’un programme de surveillance consistant à observer, mesurer, évaluer et analyser régulièrement, par des méthodes scientifiques reconnues, les risques ou les conséquences des activités menées dans la zone quant à la pollution du milieu marin, s’assure que les réglementations existantes sont appropriées et respectées et coordonne l’exécution du programme de surveillance une fois celui-ci approuvé par le conseil;\n\ni) recommande au conseil de saisir, au nom de l’Autorité, la chambre pour le règlement des différends relatifs aux fonds marins, compte tenu en particulier de l’article 187, conformément à la présente partie et aux annexes qui s’y rapportent;\n\nj) fait au conseil des recommandations sur les mesures à prendre après que la chambre pour le règlement des différends relatifs aux fonds marins, saisie conformément au point i), a rendu sa décision;\n\nk) recommande au conseil d’émettre des ordres en cas d’urgence, y compris éventuellement l’ordre de suspendre ou de modifier les opérations, afin de prévenir tout dommage grave pouvant être causé au milieu marin par des activités menées dans la zone; le conseil examine ces recommandations en priorité;\n\nl) recommande au conseil d’exclure la mise en exploitation de certaines zones par des contractants ou par l’entreprise lorsqu’il y a de sérieuses raisons de penser qu’il en résulterait un risque de dommage grave pour le milieu marin;\n\nm) fait au conseil des recommandations concernant la direction et la supervision d’un corps d’inspecteurs chargés de surveiller les activités menées dans la zone et de déterminer si la présente partie, les règles, règlements et procédures de l’Autorité et les clauses et conditions de tout contrat conclu avec l’Autorité sont observés;\n\nn) calcule le plafond de production et délivre des autorisations de production au nom de l’Autorité en application de l’article 151 paragraphes 2 à 7, une fois que le conseil a opéré, le cas échéant, le choix nécessaire entre les demandeurs conformément à l’article 7 de l’annexe III.\n\n3. À la demande de tout État partie ou de toute autre partie concernée, les membres de la commission se font accompagner d’un représentant de cet État ou de cette partie concernée lorsqu’ils exercent leurs fonctions de surveillance et d’inspection.\n\nSous-section D. Le secrétariat\n\nArticle 166. Le secrétariat\n\n1. Le secrétariat de l’Autorité comprend un secrétaire général et le personnel nécessaire à l’Autorité.\n\n2. Le secrétaire général est élu par l’assemblée parmi les candidats proposés par le conseil pour une durée de quatre ans et il est rééligible.\n\n3. Le secrétaire général est le plus haut fonctionnaire de l’Autorité et agit en cette qualité à toutes les réunions de l’assemblée et du conseil et de tout organe subsidiaire; il exerce toutes autres fonctions administratives dont il est chargé par ces organes.\n\n4. Le secrétaire général présente à l’assemblée un rapport annuel sur l’activité de l’Autorité.\n\nArticle 167. Personnel de l’Autorité\n\n1. Le personnel de l’Autorité comprend les personnes qualifiées dans les domaines scientifique, technique et autres dont elle a besoin pour exercer ses fonctions administratives.\n\n2. La considération dominante dans le recrutement et la fixation des conditions d’emploi du personnel est d’assurer à l’Autorité les services de personnes possédant les plus hautes qualités de travail, de compétence et d’intégrité. Sous cette réserve, il est dûment tenu compte de l’importance d’un recrutement effectué sur une base géographique aussi large que possible.\n\n3. Le personnel est nommé par le secrétaire général. Les conditions et modalités de nomination, de rémunération et de licenciement du personnel doivent être conformes aux règles, règlements et procédures de l’Autorité.\n\nArticle 168. Caractère international du secrétariat\n\n1. Dans l’exercice de leurs fonctions, le secrétaire général et le personnel ne sollicitent et n’acceptent d’instructions d’aucun gouvernement ni d’aucune autre source extérieure à l’Autorité. Ils s’abstiennent de tout acte incompatible avec leur qualité de fonctionnaires internationaux et ne sont responsables qu’envers l’Autorité. Chaque État partie s’engage à respecter le caractère exclusivement international des fonctions du secrétaire général et du personnel et à ne pas chercher à les influencer dans l’exécution de leur tâche. Tout manquement à ses obligations de la part d’un fonctionnaire est soumis à un tribunal administratif désigné selon les règles, règlements et procédures de l’Autorité.\n\n2. Le secrétaire général et le personnel ne doivent posséder d’intérêts financiers dans aucune des activités touchant l’exploration et l’exploitation dans la zone. Sous réserve de leurs obligations envers l’Autorité, ils ne doivent divulguer, même après la cessation de leurs fonctions, aucun secret industriel, aucune donnée qui est propriété industrielle et qui a été transférée à l’Autorité en application de l’article 14 de l’annexe III, ni aucun autre renseignement confidentiel dont ils ont connaissance en raison de leurs fonctions.\n\n3. Les manquements de la part d’un fonctionnaire de l’Autorité aux obligations énoncées au paragraphe 2 donnent lieu, à la demande d’un État partie lésé par un tel manquement ou d’une personne physique ou morale patronnée par un État partie conformément à l’article 153 paragraphe 2 point b), et lésée par un tel manquement, à des poursuites de l’Autorité contre le fonctionnaire en cause devant un tribunal désigné selon les règles, règlements et procédures de l’Autorité. La partie lésée a le droit de participer à la procédure. Si le tribunal le recommande, le secrétaire général licencie le fonctionnaire en cause.\n\n4. Les règles, règlements et procédures de l’Autorité prévoient les modalités d’application du présent article.\n\nArticle 169. Consultations et coopération avec les organisations\n\ninternationales et les organisations non gouvernementales\n\n1. Pour les questions qui sont du ressort de l’Autorité, le secrétaire général conclut, après approbation du conseil, des accords aux fins de consultations et de coopération avec les organisations internationales et les organisations non gouvernementales reconnues par le Conseil économique et social de l’Organisation des Nations unies.\n\n2. Toute organisation avec laquelle le secrétaire général a conclu un accord en vertu du paragraphe 1 peut désigner des représentants qui assistent en qualité d’observateurs aux réunions des organes de l’Autorité conformément au règlement intérieur de ceux-ci. Des procédures sont instituées pour permettre à ces organisations de faire connaître leurs vues dans les cas appropriés.\n\n3. Le secrétaire général peut faire distribuer aux États parties des rapports écrits présentés par les organisations non gouvernementales visées au paragraphe 1 sur des sujets qui relèvent de leur compétence particulière et se rapportent aux travaux de l’Autorité.\n\nSous-section F. L’entreprise\n\nArticle 170. L’entreprise\n\n1. L’entreprise est l’organe de l’Autorité qui mène des activités dans la zone directement en application de l’article 153 paragraphe 2 point a), ainsi que des activités de transport, de traitement et de commercialisation des minéraux tirés de la zone.\n\n2. Dans le cadre de l’Autorité, personne juridique internationale, l’entreprise a la capacité juridique prévue à l’annexe IV. L’entreprise agit conformément à la convention et aux règles, règlements et procédures de l’Autorité, ainsi qu’à la politique générale arrêtée par l’assemblée, et elle observe les directives du conseil et est soumise à son contrôle.\n\n3. L’entreprise a son établissement principal au siège de l’Autorité.\n\n4. L’entreprise est dotée, conformément à l’article 173 paragraphe 2, et à l’article 11 de l’annexe IV, des ressources financières dont elle a besoin pour exercer ses fonctions, et elle dispose des techniques qui lui sont transférées en application de l’article 144 et des autres dispositions pertinentes de la convention.\n\nSous-section F. Organisation financière de l’Autorité\n\nArticle 171. Ressources financières de l’Autorité\n\nLes ressources financières de l’Autorité comprennent:\n\na) les contributions des membres de l’Autorité fixées conformément à l’article 160 paragraphe 2 point e);\n\nb) les recettes que perçoit l’Autorité, en application de l’article 13 de l’annexe III, au titre des activités menées dans la zone;\n\nc) les sommes virées par l’entreprise conformément à l’article 10 de l’annexe IV;\n\nd) le produit des emprunts contractés en application de l’article 174;\n\ne) les contributions volontaires versées par les membres ou provenant d’autres sources et\n\nf) les paiements effectués à un fonds de compensation conformément à l’article 151 paragraphe 10, dont la commission de la planification économique doit recommander les sources.\n\nArticle 172. Budget annuel de l’Autorité\n\nLe secrétaire général établit le projet de budget annuel de l’Autorité et le présente au conseil. Celui-ci l’examine et le soumet, avec ses recommandations, à l’approbation de l’assemblée en application de l’article 160 paragraphe 2 point h).\n\nArticle 173. Dépenses de l’Autorité\n\n1. Les contributions visées à l’article 171 point a) sont versées à un compte spécial et servent à couvrir les dépenses d’administration de l’Autorité jusqu’au moment où celle-ci dispose, à cette fin, de recettes suffisantes provenant d’autres sources.\n\n2. Les ressources financières de l’Autorité servent d’abord à régler les dépenses d’administration. À l’exception des contributions visées à l’article 171 point a), les fonds qui restent après paiement de ces dépenses peuvent notamment:\n\na) être partagés conformément à l’article 140 et à l’article 160 paragraphe 2 point g);\n\nb) servir à doter l’entreprise des ressources financières visées à l’article 170 paragraphe 4;\n\nc) servir à dédommager les États en développement conformément à l’article 151 paragraphe 10, et à l’article 160 paragraphe 2 point I).\n\nArticle 174. Capacité de l’Autorité de contracter des emprunts\n\n1. L’Autorité a la capacité de contracter des emprunts.\n\n2. L’assemblée fixe les limites de cette capacité dans le règlement financier adopté en application de l’article 160 paragraphe 2 point f).\n\n3. Le conseil exerce cette capacité.\n\n4. Les États parties ne sont pas responsables des dettes de l’Autorité.\n\nArticle 175. Vérification annuelle des comptes\n\nLes rapports, livres et comptes de l’Autorité, y compris ses états financiers annuels, sont vérifiés chaque année par un contrôleur indépendant, nommé par l’assemblée.\n\nSous-section G. Statut juridique, privilèges et immunités\n\nArticle 176. Statut juridique\n\nL’Autorité possède la personnalité juridique internationale et a la capacité juridique qui lui est nécessaire pour exercer ses fonctions et atteindre ses buts.\n\nArticle 177. Privilèges et immunités\n\nPour pouvoir exercer ses fonctions, l’Autorité jouit, sur le territoire de chaque État partie, des privilèges et immunités prévus dans la présente sous-section. Les privilèges et immunités relatifs à l’entreprise sont prévus à l’article 13 de l’annexe IV.\n\nArticle 178. Immunité de juridiction et d’exécution\n\nL’Autorité, ainsi que ses biens et ses avoirs, jouissent de l’immunité de juridiction et d’exécution, sauf dans la mesure où l’Autorité y renonce expressément dans un cas particulier.\n\nArticle 179. Exemption de perquisition et de toute autre forme de\n\ncontrainte Les biens et les avoirs de l’Autorité, où qu’ils se trouvent et quel qu’en soit le détenteur, sont exempts de perquisition, réquisition, confiscation, expropriation et de toute autre forme de contrainte procédant d’une mesure du pouvoir exécutif ou du pouvoir législatif.\n\nArticle 180. Exemption de tout contrôle, restriction, réglementation\n\nou moratoire Les biens et les avoirs de l’Autorité sont exempts de tout contrôle, de toute restriction ou réglementation et de tout moratoire.\n\nArticle 181. Archives et communications officielles de l’Autorité\n\n1. Les archives de l’Autorité sont inviolables, où qu’elles se trouvent.\n\n2. Les données qui sont propriété industrielle, les renseignements couverts par le secret industriel et les informations analogues, ainsi que les dossiers du personnel, ne doivent pas être conservés dans des archives accessibles au public.\n\n3. Chaque État partie accorde à l’Autorité, pour ses communications officielles, un traitement au moins aussi favorable que celui qu’il accorde aux autres organisations internationales.\n\nArticle 182. Privilèges et immunités des personnes agissant dans le\n\ncadre de l’Autorité Les représentants des État parties qui assistent aux réunions de l’assemblée, du conseil ou des organes de l’assemblée ou du conseil, ainsi que le secrétaire général et le personnel de l’Autorité, jouissent, sur le territoire de chaque État partie:\n\na) de l’immunité de juridiction et d’exécution pour les actes accomplis par eux dans l’exercice de leurs fonctions, sauf dans la mesure où l’État qu’ils représentent ou l’Autorité, selon le cas, y renonce expressément dans un cas particulier;\n\nb) des mêmes exemptions que celles accordées par l’État sur le territoire duquel ils se trouvent aux représentants, fonctionnaires et employés de rang comparable des autres États parties en ce qui concerne les conditions d’immigration, les formalités d’enregistrement des étrangers et les obligations de service national, ainsi que des mêmes facilités relatives à la réglementation des changes et aux déplacements, à moins qu’il ne s’agisse de ressortissants de l’État concerné.\n\nArticle 183. Exemption d’impôts ou taxes et de droits de douane\n\n1. L’Autorité, dans l’exercice de ses fonctions, ainsi que ses biens, avoirs et revenus, de même que ses activités et transactions autorisées par la convention, sont exempts de tout impôt direct, et les biens qu’elle importe ou exporte pour son usage officiel sont exempts de tous droits de douane. L’Autorité ne peut demander aucune exemption de droits perçus en rémunération de services rendus.\n\n2. Si des achats de biens ou de services d’une valeur substantielle, nécessaires à l’exercice des fonctions de l’Autorité, sont effectués par elle ou pour son compte et si le prix de ces biens ou services inclut des impôts, taxes ou droits, les États parties prennent, autant que possible, les mesures appropriées pour accorder l’exemption de ces impôts, taxes ou droits ou pour en assurer le remboursement. Les biens importés ou achetés sous le régime d’exemption prévu au présent article ne doivent être ni vendus ni aliénés d’une autre manière sur le territoire de l’État partie qui a accordé l’exemption, à moins que ce ne soit à des conditions convenues avec cet État.\n\n3. Les États parties ne perçoivent aucun impôt prenant directement ou indirectement pour base les traitements, émoluments et autres sommes versés par l’Autorité au secrétaire général et aux membres du personnel de l’Autorité ainsi qu’aux experts qui accomplissent des missions pour l’Autorité, à moins qu’ils ne soient leurs ressortissants.\n\nSous-section H. Suspension de l’exercice des droits et privilèges des\n\nmembres\n\nArticle 184. Suspension du droit de vote\n\nUn État partie en retard dans le paiement de ses contributions à l’Autorité ne peut participer aux votes si le montant de ses arriérés est égal ou supérieur aux contributions dues par lui pour les deux années complètes écoulées. L’assemblée peut néanmoins autoriser cet État à participer aux votes si elle constate que le manquement est dû à des circonstances indépendantes de sa volonté.\n\nArticle 185. Suspension de l’exercice des droits et privilèges inhérents\n\nà la qualité de membre\n\n1. Un État partie qui a enfreint gravement et de façon persistante la présente partie peut, sur recommandation du conseil, être suspendu de l’exercice des droits et privilèges inhérents à la qualité de membre par l’assemblée.\n\n2. Aucune décision ne peut être prise en vertu du paragraphe 1 tant que la chambre pour le règlement des différends relatifs aux fonds marins n’a pas constaté que l’État partie en cause a enfreint gravement et de façon persistante la présente partie.\n\nSECTION 5. RÈGLEMENT DES DIFFÉRENDS ET AVIS CONSULTATIFS\n\nArticle 186. Chambre pour le règlement des différends relatifs aux\n\nfonds marins du Tribunal international du droit de la mer La présente section, la partie XV et l’annexe VI régissent la constitution de la chambre pour le règlement des différends relatifs aux fonds marins et la manière dont elle exerce sa compétence.\n\nArticle 187. Compétence de la chambre pour le règlement des\n\ndifférends relatifs aux fonds marins La chambre pour le règlement des différends relatifs aux fonds marins a compétence, en vertu de la présente partie et des annexes qui s’y rapportent, pour connaître des catégories suivantes de différends portant sur des activités menées dans la zone:\n\na) différends entre États parties relatifs à l’interprétation ou à l’application de la présente partie et des annexes qui s’y rapportent;\n\nb) différends entre un État partie et l’Autorité relatifs à:\n\ni) des actes ou omissions de l’Autorité ou d’un État partie dont il est allégué qu’ils contreviennent aux dispositions de la présente partie ou des annexes qui s’y rapportent ou à des règles, règlements ou procédures adoptés par l’Autorité conformément à ces dispositions ou\n\nii) des actes de l’Autorité dont il est allégué qu’ils excèdent sa compétence ou constituent un détournement de pouvoir;\n\nc) différends entre parties à un contrat, qu’il s’agisse d’États parties, de l’Autorité ou de l’entreprise, ou d’entreprises d’État ou de personnes physiques ou morales visées à l’article 153 paragraphe 2 point b), relatifs à:\n\ni) l’interprétation ou l’exécution d’un contrat ou d’un plan de travail ou\n\nii) des actes ou omissions d’une partie au contrat concernant des activités menées dans la zone et affectant l’autre partie ou portant directement atteinte à ses intérêts légitimes;\n\nd) différends entre l’Autorité et un demandeur qui est patronné par un État conformément à l’article 153 paragraphe 2 point b), et qui a satisfait aux conditions stipulées à l’article 4 paragraphe 6, et à l’article 13 paragraphe 2 de l’annexe III, relatifs à un refus de contracter ou à une question juridique surgissant lors de la négociation du contrat;\n\ne) différends entre l’Autorité et un État partie, une entreprise d’État ou une personne physique ou morale patronnée par un État partie conformément à l’article 153 paragraphe 2 point b), lorsqu’il est allégué que la responsabilité de l’Autorité est engagée en vertu de l’article 22 de l’annexe III;\n\nf) tout autre différend pour lequel la compétence de la chambre est expressément prévue par la convention.\n\nArticle 188. Soumission des différends à une chambre spéciale du\n\nTribunal international du droit de la mer ou à une chambre ad hoc de la chambre pour le règlement des différends relatifs aux fonds marins ou à un arbitrage commercial obligatoire\n\n1. Les différends entre États parties visés à l’article 187 point a), peuvent être soumis:\n\na) à une chambre spéciale du Tribunal international du droit de la mer constituée conformément aux articles 15 et 17 de l’annexe VI, à la demande des parties au différend ou\n\nb) à une chambre ad hoc de la chambre pour le règlement des différends relatifs aux fonds marins constituée conformément à l’article 36 de l’annexe VI, à la demande de toute partie au différend.\n\n2. a) Les différends relatifs à l’interprétation ou à l’application d’un contrat visés à l’article 187 point\n\nc) i), sont soumis, à la demande de toute partie au différend, à un arbitrage commercial obligatoire, à moins que les parties au différend n’en conviennent autrement. Le tribunal arbitral commercial saisi d’un tel différend n’a pas compétence pour se prononcer sur un point d’interprétation de la convention. Si le différend comporte un point d’interprétation de la partie XI et des annexes qui s’y rapportent au sujet des activités menées dans la zone, ce point est renvoyé pour décision à la chambre pour le règlement des différends relatifs aux fonds marins.\n\nb) Si, au début ou au cours d’une telle procédure d’arbitrage, le tribunal arbitral commercial, agissant à la demande de l’une des parties au différend ou d’office, constate que sa décision est subordonnée à une décision de la chambre pour le règlement des différends relatifs aux fonds marins, il renvoie ce point à la chambre pour décision. Le tribunal arbitral rend ensuite sa sentence conformément à la décision de la chambre.\n\nc) En l’absence, dans le contrat, d’une disposition sur la procédure arbitrale applicable au différend, l’arbitrage se déroule, à moins que les parties n’en conviennent autrement, conformément au règlement d’arbitrage de la Commission des Nations unies pour le droit commercial international (CNUDCI) ou à tout autre règlement d’arbitrage qui pourrait être prévu dans les règles, règlements et procédures de l’Autorité.\n\nArticle 189. Limitation de compétence en ce qui concerne les\n\ndécisions de l’Autorité La chambre pour le règlement des différends relatifs aux fonds marins n’a pas compétence pour se prononcer sur l’exercice par l’Autorité, conformément à la présente partie, de ses pouvoirs discrétionnaires; elle ne peut en aucun cas se substituer à l’Autorité dans l’exercice des pouvoirs discrétionnaires de celle-ci. Sans préjudice de l’article 191, lorsqu’elle exerce la compétence qui lui est reconnue en vertu de l’article 187, la chambre pour le règlement des différends relatifs aux fonds marins ne se prononce pas sur la question de savoir si une règle, un règlement ou une procédure de l’Autorité est conforme à la convention et ne peut déclarer nul cette règle, ce règlement ou cette procédure. Sa compétence se limite à établir si l’application de règles, règlements ou procédures de l’Autorité dans des cas particuliers serait en conflit avec les obligations contractuelles des parties au différend ou les obligations qui leur incombent en vertu de la convention et à connaître des recours pour incompétence ou détournement de pouvoir, ainsi que des demandes de dommages-intérêts et autres demandes de réparation introduites par l’une des parties contre l’autre pour manquement de celle-ci à ses obligations contractuelles ou aux obligations qui lui incombent en vertu de la convention.\n\nArticle 190. Participation à la procédure et comparution des États\n\nparties ayant accordé leur patronage\n\n1. L’État partie qui patronne une personne physique ou morale partie à un différend visé à l’article 187 reçoit notification du différend et a le droit de participer à la procédure en présentant des observations écrites ou orales.\n\n2. Lorsqu’une action est intentée contre un État partie par une personne physique ou morale patronnée par un autre État partie pour un différend visé à l’article 187 point c), l’État défendeur peut demander à l’État qui patronne cette personne de comparaître au nom de celle-ci. À défaut de comparaître, l’État défendeur peut se faire représenter par une personne morale possédant sa nationalité.\n\nArticle 191. Avis consultatifs\n\nLa chambre pour le règlement des différends relatifs aux fonds marins donne des avis consultatifs, à la demande de l’assemblée ou du conseil, sur les questions juridiques qui se posent dans le cadre de leur activité. Ces avis sont donnés dans les plus brefs délais.\n", "n_chars": 88830}
{"corpus_id": "usa/regulation/cfr15-970-2026", "version_id": "2026-07-01", "title": "Deep Seabed Mining Regulations for Exploration Licenses (15 CFR Part 970)", "short_title": "15 CFR 970 — DSM Exploration Licences (NOAA)", "jurisdiction": "USA", "document_type": "national_regulation", "official_citation": "15 CFR Part 970 (Deep Seabed Mining Regulations for Exploration Licenses), current as of 1 July 2026 (orig. 46 FR 45896, 15 Sept. 1981; revised by final rule, 90 FR __, published 7 July 2025, Fed. Reg. doc. 2025-12513)", "authentic_languages": ["en"], "language": "en", "adoption_date": "1981-09-15", "entry_into_force_date": null, "source_url": "https://www.ecfr.gov/current/title-15/subtitle-B/chapter-IX/subchapter-D/part-970", "source_publisher": "U.S. Office of the Federal Register / National Archives — eCFR (NOAA, Dept. of Commerce)", "source_is_official": true, "authoritative_status": "official_consolidation", "text_fidelity": "extracted_verified", "content_hash": "sha256:3f39321529ccccaa1a47797f1d663c1f24d446864aaf9465229f5f608f0af9d8", "original_sha256": "sha256:cd262769307860a5df02aa9efb50e596b3708987f1d09c69fffe4c80398e8640", "text_sha256": "sha256:3f39321529ccccaa1a47797f1d663c1f24d446864aaf9465229f5f608f0af9d8", "license": "us-gov-public-domain", "rights_note": "U.S. Government work, public domain. eCFR self-describes as \"authoritative but unofficial\"; the official codification is the annual GPO Code of Federal Regulations, and promulgation of record is the Federal Register.", "provenance_note": "US NON-UNCLOS PARALLEL TRACK (JC-001). NOAA's regulations implementing the DSHMRA licensing regime for exploration; operates OUTSIDE the ISA. Byte-exact official eCFR-print PDF (human download, current as of 1 July 2026, 43 pp.) stored as original.pdf (original_sha256 = the PDF hash); this edition incorporates the 7 July 2025 final rule revising the application regulations. Text extracted with pdftotext and cleaned: eCFR page furniture (\"page N of 43\", running headers, \"enhanced display\", the \"authoritative but unofficial\" banner) removed; section markers \"§ 970.NNN\" rendered \"Section 970.NNN\" for machine-readability; Authority/Source credits retained; no regulatory wording altered.", "text": "15 CFR Part 970 — Deep Seabed Mining Regulations for Exploration Licenses (up to date as of 1 July 2026)\n\nAuthority: 30 U.S.C. 1401 et seq.\n\nSubpart A—General\n\nSource: 46 FR 45896, Sept. 15, 1981, unless otherwise noted.\n\nSection 970.100. Purpose.\n\n(a) General. The purpose of this part is to implement those responsibilities and authorities of the National Oceanic and Atmospheric Administration (NOAA), pursuant to Public Law 96-283, the Deep Seabed Hard Mineral Resources Act (the Act), to issue to eligible United States citizens licenses for the exploration for deep seabed hard minerals.\n\n(b) Purposes of the Act. In preparing these regulations NOAA has been mindful of the purposes of the Act, as set forth in section 2(b) thereof. These include:\n\n(1) Encouraging the successful conclusion of a comprehensive Law of the Sea Treaty, which will give legal definition to the principle that the hard mineral resources of the deep seabed are the common heritage of mankind and which will assure, among other things, nondiscriminatory access to such resources for all nations;\n\n(2) Establishing, pending the ratification by, and entering into force with respect to, the United States of such a treaty, an interim program to regulate the exploration for and commercial recovery of hard mineral resources of the deep seabed by United States citizens;\n\n(3) Accelerating the program of environmental assessment of exploration for and commercial recovery of hard mineral resources of the deep seabed and assuring that such exploration and recovery activities are conducted in a manner which will encourage the conservation of such resources, protect the quality of the environment, and promote the safety of life and property at sea;\n\n(4) Encouraging the continued development of technology necessary to recover the hard mineral resources of the deep seabed; and\n\n(5) Pending the ratification by, and entry into force with respect to, the United States of a Law of the Sea Treaty, providing for the establishment of an international revenue-sharing fund the proceeds of which will be used for sharing with the international community pursuant to such treaty.\n\n(c) Regulatory approach.\n\n(1) These regulations incorporate NOAA's recognition that the deep seabed mining industry is still evolving and that more information must be developed to form the basis for future decisions by industry and by NOAA in its implementation of the Act. They also recognize the need for flexibility in order to promote the development of deep seabed mining technology, and the usefulness of allowing initiative by miners to develop mining techniques and systems in a manner compatible with the requirements of the Act and regulations. In this regard, the regulations reflect an approach, pursuant to the Act, whereby their provisions ultimately will be addressed and evaluated on the basis of exploration plans submitted by applicants.\n\n(2) In addition, these regulations reflect NOAA's recognition that the difference in scale and effects between exploration for and commercial recovery of hard mineral resources normally requires that they be distinguished and addressed separately. This distinction is also based upon the evolutionary stage of the seabed mining industry referenced above. Thus, NOAA will issue separate regulations pertaining to commercial recovery, in part 971 of this chapter. [46 FR 45896, Sept. 15, 1981; 47 FR 5966, Feb. 9, 1982]\n\nSection 970.101. Definitions. For purposes of this part, the term:\n\n(a) Act means the Deep Seabed Hard Mineral Resources Act (Pub. L. 96-283; 94 Stat. 553; 30 U.S.C. 1401 et seq.);\n\n(b) Administrator means the Administrator of the National Oceanic and Atmospheric Administration, or a designee;\n\n(c) Applicant means an applicant for an exploration license pursuant to the Act and this part;\n\n(d) Affiliate means any person:\n\n(1) In which the applicant or licensee owns or controls more than 5% interest;\n\n(2) Which owns or controls more than 5% interest in the applicant or licensee; or\n\n(3) Which is under common ownership or control with the applicant or licensee.\n\n(e) Commercial recovery means:\n\n(1) Any activity engaged in at sea to recover any hard mineral resource at a substantial rate for the primary purpose of marketing or commercially using such resource to earn a net profit, whether or not such net profit is actually earned;\n\n(2) If such recovered hard mineral resource will be processed at sea, such processing; and\n\n(3) If the waste of such activity to recover any hard mineral resource, or of such processing at sea, will be disposed of at sea, such disposal;\n\n(f) Continental Shelf means:\n\n(1) The seabed and subsoil of the submarine areas adjacent to the coast, but outside the area of the territorial sea, to a depth of 200 meters or, beyond that limit, to where the depth of the superjacent waters admits of the exploitation of the natural resources of such submarine area; and\n\n(2) The seabed and subsoil of similar submarine areas adjacent to the coast of islands;\n\n(g) Controlling interest, for purposes of paragraph (t)(3) of this section, means a direct or indirect legal or beneficial interest in or influence over another person arising through ownership of capital stock, interlocking directorates or officers, contractual relations, or other similar means, which substantially affect the independent business behavior of such person;\n\n(h) Deep seabed means the seabed, and the subsoil thereof to a depth of ten meters, lying seaward of and outside:\n\n(1) The Continental Shelf of any nation; and\n\n(2) Any area of national resource jurisdiction of any foreign nation, if such area extends beyond the Continental Shelf of such nation and such jurisdiction is recognized by the United States; (i) Exploration means:\n\n(1) Any at-sea observation and evaluation activity which has, as its objective, the establishment and documentation of: (i) The nature, shape, concentration, location, and tenor of a hard mineral resource; and\n\n(ii) The environmental, technical, and other appropriate factors which must be taken into account to achieve commercial recovery; and\n\n(2) The taking from the deep seabed of such quantities of any hard mineral resource as are necessary for the design, fabrication and testing of equipment which is intended to be used in the commercial recovery and processing of such resource; (j) Hard mineral resource means any deposit or accretion on, or just below, the surface of the deep seabed of nodules which include one or more minerals, at least one of which contains manganese, nickel, cobalt, or copper;\n\n(k) International agreement means a comprehensive agreement concluded through negotiations at the Third United Nations Conference on the Law of the Sea, relating to (among other matters) the exploration for and commercial recovery of hard mineral resources and the establishment of an international regime for the regulation thereof; (l) Licensee means the holder of a license issued under this part to engage in exploration;\n\n(m) New entrant means any applicant, with respect to:\n\n(1) Any application which has not been accorded a pre-enactment explorer priority of right under § 970.301; or\n\n(2) Any amendment which has not been accorded a pre-enactment explorer priority of right under § 970.302.\n\n(n) NOAA means the National Oceanic and Atmospheric Administration;\n\n(o) Permittee means the holder of permit issued under NOAA regulations to engage in commercial recovery;\n\n(p) Person means any United States citizen, any individual, and any corporation, partnership, joint venture, association, or other entity organized or existing under the laws of any nation;\n\n(q) Pre-enactment explorer means a person who was engaged in exploration prior to the date of enactment of the Act (June 28, 1980);\n\n(r) Reciprocating state means any foreign nation designated as such by the Administrator under section 118 of the Act;\n\n(s) United States means the several States, the District of Columbia, the Commonwealth of Puerto Rico, American Samoa, the United States Virgin Islands, Guam, and any other Commonwealth, territory, or possession of the United States; and\n\n(t) United States citizen means\n\n(1) Any individual who is a citizen of the United States;\n\n(2) Any corporation, partnership, joint venture, association, or other entity organized or existing under the laws of any of the United States; and\n\n(3) Any corporation, partnership, joint venture, association, or other entity (whether organized or existing under the laws of any of the United States or a foreign nation) if the controlling interest in such entity is held by an individual or entity described in paragraph (t)(1) or (t)(2) of this section. [46 FR 45896, Sept. 15, 1981, as amended at 47 FR 5967, Feb. 9, 1982]\n\nSection 970.102. Nature of licenses.\n\n(a) A license issued under this part will authorize the holder thereof to engage in exploration within a specific portion of the sea floor consistent with the provisions of the Act, this part, and the specific terms, conditions and restrictions applied to the license by the Administrator.\n\n(b) Any license issued under this part will be exclusive with respect to the holder thereof as against any other United States citizen or any citizen, national or governmental agency of, or any legal entity organized or existing under the laws of, any reciprocating state.\n\n(c) A valid existing license will entitle the holder, if otherwise eligible under the provisions of the Act and implementing regulations, to a permit for commercial recovery from an area selected within the same area of the sea floor. Such a permit will recognize the right of the holder to recover hard mineral resources, and to own, transport, use, and sell hard mineral resources recovered, under the permit and in accordance with the requirements of the Act.\n\nSection 970.103. Prohibited activities and restrictions.\n\n(a) Prohibited activities and exceptions.\n\n(1) Except as authorized under subpart C of this part, no United States citizen may engage in any exploration or commercial recovery unless authorized to do so under: (i) A license or a permit issued pursuant to the Act and implementing regulations;\n\n(ii) A license, permit, or equivalent authorization issued by a reciprocating state; or\n\n(iii) An international agreement which is in force with respect to the United States.\n\n(2) The prohibitions of paragraph (a)(1) of this section will not apply to any of the following activities: (i) Scientific research, including that concerning hard mineral resources;\n\n(ii) Mapping, or the taking of any geophysical, geochemical, oceanographic, or atmospheric measurements or random bottom samplings of the deep seabed, if such taking does not significantly alter the surface or subsurface of the deep seabed or significantly affect the environment;\n\n(iii) The design, construction, or testing of equipment and facilities which will or may be used for exploration or commercial recovery, if such design, construction or testing is conducted on shore, or does not involve the recovery of any but incidental hard mineral resources;\n\n(iv) The furnishing of machinery, products, supplies, services, or materials for any exploration or commercial recovery conducted under a license or permit issued under the Act and implementing regulations, a license or permit or equivalent authorization issued by a reciprocating state, or under an international agreement; and\n\n(v) Activities, other than exploration or commercial recovery activities, of the Federal Government.\n\n(3) No United States citizen may interfere or participate in interference with any activity conducted by any licensee or permittee which is authorized to be undertaken under a license or permit issued by the Administrator to a licensee or permittee under the Act or with any activity conducted by the holder of, and authorized to be undertaken under, a license or permit or equivalent authorization issued by a reciprocating state for the exploration or commercial recovery of hard mineral resources. For purposes of this section, interference includes physical interference with activities authorized by the Act, this part, and a license issued pursuant thereto; the filing of specious claims in the United States or any other nation; and any other activity designed to harass deep seabed mining activities authorized by law. Interference does not include the exercise of any rights granted to United States citizens by the Constitution of the United States, any Federal or State law, treaty, or agreement or regulation promulgated pursuant thereto.\n\n(4) United States citizens must exercise their rights on the high seas with reasonable regard for the interests of other states in their exercise of the freedoms of the high seas.\n\n(b) Restrictions on issuance of licenses or permits. The Administrator will not issue:\n\n(1) Any license or permit after the date on which an international agreement is ratified by and enters into force with respect to the United States, except to the extent that issuance of such license or permit is not inconsistent with such agreement;\n\n(2) Any license or permit the exploration plan or recovery plan of which, submitted pursuant to the Act and implementing regulations, would apply to an area to which applies, or would conflict with: (i) Any exploration plan or recovery plan submitted with any pending application to which priority of right for issuance applies under this part;\n\n(ii) Any exploration plan or recovery plan associated with any existing license or permit; or\n\n(iii) Any equivalent authorization which has been issued, or for which formal notice of application has been submitted, by a reciprocating state prior to the filing date of any relevant application for licenses or permits pursuant to the Act and implementing regulations;\n\n(3) A permit authorizing commercial recovery within any area of the deep seabed in which exploration is authorized under a valid existing license if such permit is issued to a person other than the licensee for such area;\n\n(4) Any exploration license before July 1, 1981, or any permit which authorizes commercial recovery to commence before January 1, 1988;\n\n(5) Any license or permit the exploration plan or recovery plan for which applies to any area of the deep seabed if, within the 3-year period before the date of application for such license or permit: (i) The applicant therefor surrendered or relinquished such area under an exploration plan or recovery plan associated with a previous license or permit issued to such applicant; or\n\n(ii) A license or permit previously issued to the applicant had an exploration plan or recovery plan which applied to such area and such license or permit was revoked under section 106 of the Act; or\n\n(6) A license or permit, or approve the transfer of a license or permit, except to a United States citizen.\n\nSubpart B—Applications\n\nSource: 46 FR 45898, Sept. 15, 1981, unless otherwise noted.\n\nSection 970.200. General.\n\n(a) Who may apply; how. Any United States citizen may apply to the Administrator for issuance or transfer of an exploration license. Applications must be submitted in the form and manner prescribed in this subpart.\n\n(b) Place, form and copies. Applications for the issuance or transfer of exploration licenses shall be submitted in electronic format, verified and signed by an authorized officer or other authorized representative of the applicant, to an email address or website as specified by NOAA. The application format shall be organized according to the specific regulatory topics and sections. For applications received electronically after the close of business, for purposes of computing the Administrator's required response time, the application shall be deemed to be received at 8 a.m. eastern time on the next business day.\n\n(c) Use of application information. The contents of an application, as set forth below, must provide NOAA with the information necessary to make determinations required by the Act and this part pertaining to the issuance or transfer of an exploration license. Thus, each portion of the application should identify the requirement in this part to which it responds. In addition, the information will be used by NOAA in its function under the Act of consultation and cooperation with other Federal agencies or departments in relation to their programs and authorities, in order to reduce the number of separate actions required to satisfy Federal agencies' responsibilities.\n\n(d) Pre-application consultation. To assist in the development of adequate applications and assure that applicants understand how to respond to the provisions of this subpart, NOAA will be available for preapplication consultations with potential applicants. This includes consultation on the procedures in subpart C. In appropriate circumstances, NOAA will provide written confirmation to the applicant of any oral guidance resulting from such consultations.\n\n(e) Priority of right.\n\n(1) Priority of right for issuance of licenses to pre-enactment explorers will be established pursuant to subpart C of this part.\n\n(2) Priority of right for issuance of licenses to new entrants will be established on the basis of the chronological order in which license applications, which are in substantial compliance with the requirements established under this subpart, pursuant to § 970.209, are filed with the Administrator.\n\n(3) Applications must be received by the Office of Ocean Minerals and Energy on behalf of the Administrator before a priority can be established.\n\n(4) Upon (i) a determination that: (A) An application is not in substantial compliance in accordance with § 970.209 or subpart C, as applicable; (B) An application has not been brought into substantial compliance in accordance with § 970.210 or subpart C, as applicable; (C) A license has been relinquished or surrendered in accordance with § 970.903; or\n\n(ii) A decision to: (A) Deny certification of a license pursuant to § 970.407; or (B) Deny issuance of a license pursuant to § 970.508, and after the exhaustion of any administrative or judicial review of such determination or decision, the priority of right for issuance of a license will lapse.\n\n(f) Request for confidential treatment of information. If an applicant wishes to have any information in his application treated as confidential, he must so indicate pursuant to 15 CFR 971.802. [46 FR 45898, Sept. 15, 1981, as amended at 47 FR 5968, Feb. 9, 1982; 54 FR 547, Jan. 6, 1989; 91 FR 2671, Jan. 21, 2026] CONTENTS\n\nSection 970.201. Statement of financial resources.\n\n(a) General. The application must contain information sufficient to demonstrate to the Administrator the financial resources of the applicant to carry out, in accordance with this part, the exploration program set forth in the applicant's exploration plan. The information must show that the applicant is reasonably capable of committing or raising sufficient resources to cover the estimated costs of the exploration program. The information must be sufficient for the Administrator to make a determination on the applicant's financial responsibility pursuant to § 970.401.\n\n(b) Contents. In particular, the information on financial resources must include:\n\n(1) A description of how the applicant intends to finance the exploration program;\n\n(2) The estimated cost of the exploration program;\n\n(3) With respect to the applicant and those entities upon which the applicant will rely to finance his exploration activities, the most recent audited financial statement (for publicly-held companies, the most recent annual report and Form 10-K filed with the Securities and Exchange Commission will suffice in this regard); and\n\n(4) The credit rating and bond rating of the applicant, and such financing entities, to the extent they are relevant.\n\nSection 970.202. Statement of technological experience and capabilities.\n\n(a) General. The application must contain information sufficient to demonstrate to the Administrator the technological capability of the applicant to carry out, in accordance with the regulations contained in this part, the exploration program set out in the applicant's exploration plan. It must contain sufficient information for the Administrator to make a determination on the applicant's technological capability pursuant to § 970.402.\n\n(b) Contents. In particular, the information submitted pursuant to this section must demonstrate knowledge and skills which the applicant either possesses or to which he can demonstrate access. The information must include:\n\n(1) A description of the exploration equipment to be used by the applicant in carrying out the exploration program;\n\n(2) A description of the environmental monitoring equipment to be used by the applicant in monitoring the environmental effects of the exploration program; and\n\n(3) The experience on which the applicant will rely in using this or similar equipment.\n\nSection 970.203. Exploration plan.\n\n(a) General. Each application must include an exploration plan which describes the applicant's projected exploration activities during the period to be covered by the proposed license. Generally, the exploration plan must demonstrate to a reasonable extent that the applicant's efforts, by the end of the 10-year license period, will likely lead to the ability to apply for and obtain a permit for commercial recovery. In particular, the plan must include sufficient information for the Administrator, pursuant to this part, to make the necessary determinations pertaining to the certification and issuance or transfer of a license and to the development and enforcement of the terms, conditions and restrictions for a license.\n\n(b) Contents. The exploration plan must contain the following information. In presenting this information, the plan should incorporate the applicant's proposed individual approach, including a general description of how projected participation by other entities will relate to the following elements, if appropriate. The plan must present:\n\n(1) The activities proposed to be carried out during the period of the license;\n\n(2) A description of the area to be explored, including its delineation according to § 970.601;\n\n(3) The intended exploration schedule which must be responsive to the diligence requirements in § 970.602. Taking into account that different applicants may have different concepts and chronologies with respect to the types of activities described, the schedule should include an approximate projection for the exploration activities planned. Although the details in each schedule may vary to reflect the applicant's particular approach, it should address in some respect approximately when each of the following types of activities is projected to occur. (i) Conducting survey cruises to determine the location and abundance of nodules as well as the sea floor configuration, ocean currents and other physical characteristics of potential commercial recovery sites;\n\n(ii) Assaying nodules to determine their metal contents;\n\n(iii) Designing and testing system components onshore and at sea;\n\n(iv) Designing and testing mining systems which simulate commercial recovery;\n\n(v) Designing and testing processing systems to prove concepts and designing and testing systems which simulate commercial processing;\n\n(vi) Evaluating the continued feasibility of commercial scale operations based on technical, economic, legal, political and environmental considerations; and\n\n(vii) Applying for a commercial recovery permit and, to the extent known, other permits needed to construct and operate commercial scale facilities (if application for such permits is planned prior to obtaining a commercial recovery permit);\n\n(4) A description of the methods to be used to determine the location, abundance, and quality (i.e., assay) of nodules, and to measure physical conditions in the area which will affect nodule recovery system design and operations (e.g., seafloor topography, seafloor geotechnic properties, and currents);\n\n(5) A general description of the developing recovery and processing technology related to the proposed license, and of any planned or ongoing testing and evaluation of such technology. To the extent possible at the time of application, this description should address such factors as nodule collection technique, seafloor sediment rejection subsystem, mineship nodule separation scheme, pumping method, anticipated equipment test areas, and details on the testing plan;\n\n(6) An estimated schedule of expenditures, which must be responsive to the diligence requirements as discussed in § 970.602;\n\n(7) Measures to protect the environment and to monitor the effectiveness of environmental safeguards and monitoring systems for commercial recovery. These measures must take into account the provisions in §§ 970.506, 970.518, 970.522 and subpart G of this part; and\n\n(8) A description of any relevant activity that the applicant has completed prior to the submission of the application.\n\nSection 970.204. Environmental and use conflict analysis.\n\n(a) Environmental information. To enable NOAA to implement better its responsibility under section 109(d) of the Act to develop an environmental impact statement (EIS) on the issuance of an exploration license, the application must include information for use in preparing NOAA's EIS on the environmental impacts of the activities proposed by the applicant. The applicant must present physical, chemical and biological information for the exploration area. This information should include relevant environmental information, if any, obtained during past exploration activities, but need not duplicate information obtained during NOAA's DOMES Project. Planned activities in the area, including the testing of integrated mining systems which simulate commercial recovery, also must be described. NOAA will need information with the application on location and boundaries of the proposed exploration area, and plans for delineation of features of the exploration area including baseline data or plans for acquiring them. The applicant may at his option delay submission of baseline and equipment data and system test plans. However, applicants so electing should plan to submit this latter information at least one year prior to the initial test, to allow time for the supplement to the site-specific EIS, if one is required, to be prepared by NOAA, circulated, reviewed and filed with EPA. The submission of this information with the application is strongly encouraged, however, to minimize the possibility that a supplement will be required. If such latter information is submitted subsequent to the original application such tests may not be undertaken in the absence of concurrence by NOAA (which, if applicable, will be required in a term, condition, or restriction in the license). NOAA has developed a technical guidance document which will provide assistance for the agency and the applicant, in consultation, to identify the details on information needed in each case. NOAA may refer to such information for purposes of other determinations under the Act as well. NOAA also will seek to facilitate other Federal and, as necessary, state decisions on exploration activities by functioning as lead agency for the EIS on the application and related actions by other agencies, including those pertaining to any onshore impacts which may result from the proposed exploration activities.\n\n(b) Use conflict information. To assist the Administrator in making determinations relating to potential use conflicts between the proposed exploration and other activities in the exploration area, pursuant to §§ 970.503, 970.505, and 970.520, the application must include information known to the applicant with respect to such other activities.\n\nSection 970.205. Vessel safety. In order to provide a basis for the necessary determinations with respect to the safety of life and property at sea, pursuant to §§ 970.507, 970.521 and subpart H of this part, the application must contain the following information, except for those vessels under 300 gross tons which are engaged in oceanographic research if they are used in exploration.\n\n(a) U.S. flag vessel. The application must contain a demonstration or affirmation that any United States flag vessel utilized in exploration activities will possess a current valid Coast Guard Certificate of Inspection (COI). To the extent that the applicant knows which United States flag vessel he will be using, the application must include a copy of the COI.\n\n(b) Foreign flag vessel. The application must also contain information on any foreign flag vessels to be used in exploration activities, which responds to the following requirements. To the extent that the applicant knows which foreign flag vessel he will be using, the application must include evidence of the following:\n\n(1) That any foreign flag vessel whose flag state is party to the International Convention for Safety of Life at Sea, 1974 (SOLAS 74) possesses current valid SOLAS 74 certificates;\n\n(2) That any foreign flag vessel whose flag state is not party to SOLAS 74 but is party to the International Convention for the Safety of Life at Sea, 1960 (SOLAS 60) possesses current valid SOLAS 60 certificates; and\n\n(3) That any foreign flag vessel whose flag state is not a party to either SOLAS 74 or SOLAS 60 meets all applicable structural and safety requirements contained in the published rules of a member of the International Association of Classification Societies (IACS).\n\n(c) Supplemental certificates. If the applicant does not know at the time of submitting an application which vessels he will be using, he must submit the applicable certification for each vessel before the cruise on which it will be used.\n\nSection 970.206. Statement of ownership. The application must include sufficient information to demonstrate that the applicant is a United States citizen, as required by § 970.103(b)(6), and as defined in § 970.101(t). In particular, the application must include:\n\n(a) Name, address, and telephone number of the United States citizen responsible for exploration operations to whom notices and orders are to be delivered; and\n\n(b) A description of the citizen or citizens engaging in such exploration, including:\n\n(1) Whether the citizen is a natural person, partnership, corporation, joint venture, or other form of association;\n\n(2) The state of incorporation or state in which the partnership or other business entity is registered;\n\n(3) The name of registered agent or equivalent representative and places of business;\n\n(4) Certification of essential and nonproprietary provisions in articles of incorporation, charter or articles of association; and\n\n(5) The name of each member of the association, partnership, or joint venture, including information about the participation of each partner and joint venturer and/or ownership of stock.\n\nSection 970.207. Antitrust information.\n\n(a) General. Section 103(d) of the Act specifically provides for antitrust review of applications by the Attorney General of the United States and the Federal Trade Commission.\n\n(b) Contents. In order to provide information for this antitrust review, the application must contain the following:\n\n(1) A copy of each agreement between any parties to any joint venture which is applying for a license, provided that said agreement relates to deep seabed hard mineral resource exploration or mining;\n\n(2) The identity of any affiliate of any person applying for a license; and\n\n(3) For each applicant, its affiliate, or parent or subsidiary of an affiliate which is engaged in production in, or the purchase or sale in or to, the United States of copper, nickel, cobalt or manganese minerals or any metals refined from these minerals: (i) The annual tons and dollar value of any of these minerals and metals so purchased, sold or produced for the two preceding years;\n\n(ii) Copies of the annual report, balance sheet and income statement for the two preceding years; and\n\n(iii) Copies of each document submitted to the Securities and Exchange Commission.\n\nSection 970.208. Fee.\n\n(a) General. Section 104 of the Act provides that no application for the issuance or transfer of an exploration license will be certified unless the applicant pays to NOAA a reasonable administrative fee, which must reflect the reasonable administrative costs incurred in reviewing and processing the application.\n\n(b) Amount. In order to meet this requirement, a fee payment of $100,000 payable to the National Oceanic and Atmospheric Administration, Department of Commerce, shall be submitted prior to or concurrent with each application; the application should state the method of payment and the date the payment was submitted. If costs incurred by NOAA in reviewing and processing an application are significantly less than or in excess of the original fee, the agency subsequently will determine those differences in costs and adjust the fee accordingly. If the costs are significantly less, NOAA will refund the difference. If they are significantly greater, the applicant will be required to submit the additional payment prior to issue or transfer of the license. In the case of an application for transfer of a license to an entity which has previously been found qualified for a license, the Administrator may, on the basis of pre-application consultations pursuant to § 970.200(d), reduce the fee in advance by an appropriate amount which reflects costs avoided by reliance on previous findings made in relation to the proposed transferee. If an applicant elects to pursue the ‘banking’ option under § 970.601(d), and exercises that option by submitting two applications, only one application fee needs to be submitted with respect to each use of the ‘banking’ option. [46 FR 45898, Sept. 15, 1981, as amended at 47 FR 5966, 5968, Feb. 9, 1982; 91 FR 2671, Jan. 21, 2026] PROCEDURES\n\nSection 970.209. Substantial compliance with application requirements.\n\n(a) Priority of right for the issuance of licenses to new entrants shall be established on the basis of the chronological order in which exploration license applications filed under subpart A of this part and consolidated license and permit applications filed under § 971.214 of this chapter that are in substantial compliance are received by the Administrator.\n\n(b) In order for an application to be in substantial compliance, it shall include information specifically identifiable with and materially responsive to the requirements contained in, as applicable, §§ 970.201 through 970.208 or § 971.214(d) of this chapter. A determination on substantial compliance shall relate only to whether the application contains the required information and does not constitute a determination on certification of the application, or on issuance or transfer of a license or permit.\n\n(c) The Administrator shall notify the applicant in writing whether the application is in substantial compliance within 30 days of receipt of an application. The notice shall identify, if applicable, in what respects the application is not in either full or substantial compliance. If the application is in substantial but not full compliance, the notice shall specify the information which the applicant shall submit in order to bring it into full compliance, and why the additional information is necessary. [91 FR 2671, Jan. 21, 2026]\n\nSection 970.210. Reasonable time for full compliance. Priority of right shall not be lost in case of any application filed which is in substantial but not full compliance, as specified in § 970.209, if the Administrator determines that the applicant, within 60 days after issuance to the applicant by the Administrator of written notice that the application is in substantial but not full compliance, has brought the application into full compliance with the requirements, as applicable, of §§ 970.201 through 970.208 or § 971.214(d) of this chapter. [91 FR 2672, Jan. 21, 2026]\n\nSection 970.211. Consultation and cooperation with Federal agencies.\n\n(a) Promptly after his receipt of an application and the opening of coordinates describing the application area, the Administrator will distribute a copy of the application to each other Federal agency or department which, pursuant to section 103(e) of the Act, has identified programs or activities within its statutory responsibilities which would be affected by the activities proposed in the application (i.e., the Departments of State, Transportation, Justice, Interior, Defense, Treasury and Labor, as well as the Environmental Protection Agency, Federal Trade Commission, Small Business Administration and National Science Foundation). Based on its legal responsibilities and authorities, each such agency or department may, not later than 60 days after it receives a copy of the application which is in full compliance with this subpart, recommend certification of the application, issuance or transfer of the license, or denial of such certification, issuance or transfer. The advice or recommendation by the Attorney General or Federal Trade Commission on antitrust review, pursuant to § 970.207, must be submitted within 90 days after their receipt of a copy of the application which is in full compliance with this subpart. NOAA will use the benefits of this process of consultation and cooperation to facilitate necessary Federal decisions on the proposed exploration activities, pursuant to the mandate of section 103(e) of the Act to reduce the number of separate actions required to satisfy Federal agencies' statutory responsibilities.\n\n(b) In any case in which a Federal agency or department recommends a denial, it will set forth in detail the manner in which the application does not comply with any law or regulation within its area of responsibility and will indicate how the application may be amended, or how terms, conditions or restrictions might be added to the license to assure compliance with such law or regulation.\n\n(c) A recommendation from another Federal agency or department for denying or amending an application will not affect its having been in substantial compliance with the requirements of this subpart, pursuant to\n\nSection 970.209. , for purposes of establishing priority of right. However, pursuant to section 103(e) of the Act,. NOAA will cooperate with such agencies and with the applicant with the goal of resolving the concerns raised and satisfying the statutory responsibilities of these agencies. [46 FR 45898, Sept. 15, 1981, as amended at 47 FR 11513, Mar. 17, 1982]\n\nSection 970.212. Public notice, hearing and comment.\n\n(a) Notice and comments. The Administrator will publish in the FEDERAL REGISTER, for each application for an exploration license, notice that such application has been received. Subject to 15 CFR 971.802, interested persons will be permitted to examine the materials relevant to such application. Interested persons will have at least 60 days after publication of such notice to submit written comments to the Administrator.\n\n(b) Hearings.\n\n(1) After preparation of the draft EIS on an application pursuant to section 109(d) of the Act, the Administrator shall hold a public hearing on the application and the draft EIS in an appropriate location, and may employ such additional methods as he deems appropriate to inform interested persons about each application and to invite their comments thereon.\n\n(2) If the Administrator determines there exists one or more specific and material factual issues which require resolution by formal processes, at least one formal hearing will be held in the District of Columbia metropolitan area in accordance with the provisions of subpart I of 15 CFR part 971. The record developed in any such formal hearing will be part of the basis of the Administrator's decisions on an application.\n\n(c) Hearings held pursuant to this section and other procedures will be consolidated insofar as practicable with hearings held and procedures employed by other agencies. [46 FR 45898, Sept. 15, 1981, as amended at 54 FR 547, Jan. 6, 1989]\n\nSection 970.213. Amendment to an application. After an application has been submitted to the Administrator, but before a determination is made on the issuance or transfer of a license, the applicant must submit an amendment to the application if required by a significant change in the circumstances represented in the original application and affecting the requirements of this subpart. Applicants should consult with NOAA to determine if changes in circumstances are sufficiently significant to require submission of an amendment. The application, as amended, would then serve as the basis for determinations by the Administrator under this part. For each amendment judged by the Administrator to be significant, he will provide a copy of such amendment to each other Federal agency and department which received a copy of the original application, and also will provide for public notice, hearing and comment on the amendment pursuant to § 970.212. Such amendment, however, will not affect the priority of right established by the filing of the original application. After the issuance of or transfer of a license, any revision by the licensee will be made pursuant to § 970.513.\n\nSubpart C—Procedures for Applications Based on Exploration Commenced Before June 28, 1980; Resolution of Conflicts Among Overlapping Applications; Applications by New Entrants\n\nSource: 47 FR 24948, July 8, 1982, unless otherwise noted.\n\nSection 970.300. Purposes and definitions.\n\n(a) This subpart sets forth the procedures which the Administrator will apply to applications filed with NOAA covering areas of the deep seabed where the applicants have engaged in exploration prior to June 28, 1980, and to the resolution of conflicts arising out of such applications. This subpart also establishes the date on which NOAA will begin to accept applications or amendments filed by new entrants, and certain other procedures for new entrants.\n\n(b) For the purposes of this subpart the term:\n\n(1) Amendment means an amendment to an application which changes the area applied for;\n\n(2) Application means an application for an exploration license which is filed pursuant to the Act and this subpart;\n\n(3) Conflict means the existence of more than one application or amendment with the same priority of right: (i) Which are filed with the Administrator or with the Administrator and a reciprocating state; and\n\n(ii) In which the deep seabed areas applied for overlap in whole or part, to the extent of the overlap;\n\n(4) Original conflict means a conflict solely between or among applications;\n\n(5) New conflict means a conflict between or among amendments filed after July 22, 1982, and on or before October 15, 1982;\n\n(6) Domestic conflict means a conflict solely between or among applications or amendments which have been filed with the Administrator.\n\n(7) International conflict means a conflict arising between or among applications or amendments filed with the Administrator and a reciprocating state.\n\nSection 970.301. Requirements for applications based on pre-enactment exploration.\n\n(a) Pursuant to section 101(b) of the Act, any United States citizen who was engaged in exploration before the effective date of the Act (June 28, 1980) qualifies as a pre-enactment explorer and may continue to engage in such exploration without a license:\n\n(1) If such citizen applies under this part for a license with respect to such exploration within the time period specified in paragraph (b) of this section; and\n\n(2) Until such license is issued to such citizen or a final administrative or judicial determination is made affirming the denial of certification of the application for, or issuance of, such license.\n\n(b) Any application for a license based upon pre-enactment exploration must be filed, at the address specified in § 970.200(b), no later than 5:00 p.m. EST on March 12, 1982 (or such later date and time as the Administrator may announce by regulation). All such applications filed at or before that time will be deemed to be filed on such closing date.\n\n(c) Applications not filed in accordance with this section will not be considered to be based on pre-enactment exploration, and may be filed only as new entrant applications under § 970.303.\n\n(d) To receive a pre-enactment explore priority of right for issuance of a license, and application must be, when filed, in substantial compliance with requirements described in § 970.209(b). An application which is in substantial but not full compliance will not lose its priority of right if it is brought into full compliance according to § 970.210.\n\n(e) Any application based on pre-enactment exploration must be for a reasonably compact area with respect to which the applicant is a pre-enactment explorer, and, notwithstanding any part of § 970.601 which indicates otherwise, such area must be bounded by a single continuous boundary.\n\n(f) The coordinates and any chart of the logical mining unit applied for in an application based on a preenactment exploration must be submitted in a separate, sealed envelope.\n\n(g) On or before March 12, 1982, the applicants must indicate to the Administrator, other than in the sealed portion of the application:\n\n(1) The size of the area applied for;\n\n(2) Whether the applicant or any person on the applicant's behalf has applied, or intends to apply, for the same area or substantially the same area to one or more nations, and the number of such other applications; and\n\n(3) Whether the other applicant is pursuing the “banking” option under § 970.601(d), and the number of applications filed, or to be filed, in pursuit of the “banking” option.\n\nSection 970.302. Procedures and criteria for resolving conflicts.\n\n(a) General. This section governs the resolution of all conflicts between or among applications or amendments having pre-enactment explorer priority of right.\n\n(b) Identification of applicants. On June 21, 1982, the Administrator will meet with representatives of reciprocating states to identify their respective pre-enactment explorer applicants, and will identify the coordinates of the application areas applied for by such applicants.\n\n(c) Initial processing. On or before July 13, 1982, the Administrator will determine whether each domestic application is entitled to a priority of right based on pre-enactment exploration in accordance with § 970.301.\n\n(d) Identification of conflicts. On July 14, 1982, the Administrator will meet with representatives of reciprocating states to exchange lists of applications accorded pre-enactment explorer priorities of right, and will identify any conflicts existing among such applications.\n\n(e) Notification to applicants of conflicts. If the Administrator identifies a conflict, he will send, no later than July 22, 1982, written notice of the conflict to each domestic applicant involved in the conflict. The notice will:\n\n(1) Identify each applicant involved in the conflict in question:\n\n(2) Identify the coordinates of the portions of the application areas which are in conflict;\n\n(3) Indicate that the applicant may request from the Administrator the coordinates of the application areas from any other applications filed with the Administrator or with a reciprocating state (such coordinates will be provided subject to appropriate confidentiality arrangements);\n\n(4) State whether; (i) Each domestic application involved in the conflict is in substantial or, if known, full compliance with the requirements described in § 970.209(b); and\n\n(ii) Each foreign application involved in the conflict meets, if known, the legal requirements of the reciprocating state in which it is filed;\n\n(5) Notify each domestic applicant involved in a conflict that he may, after July 22, 1982, and on or before November 16, 1982, resolve the conflict voluntarily according to paragraph (f) of this section, and that on or after November 17, 1982, any unresolved conflict shall be resolved in accordance with paragraph (j) or (k) of this section, as applicable; and\n\n(6) In the case of an international conflict, include a copy of any applicable conflict resolution procedures in force between the United States and its reciprocating states pursuant to section 118 of the Act.\n\n(f) Voluntary resolution of conflicts. Each U.S. applicant involved in a conflict may resolve the conflict after July 22, 1982, and on or before November 16, 1982, by:\n\n(1) Unilaterally, or by agreement with each other applicant involved in the conflict, filing an amendment to the application eliminating the conflict; or\n\n(2) Agreeing in writing with the other applicant(s) involved in the conflict to submit it to an agreed binding conflict resolution procedure.\n\n(g) Amendments.\n\n(1) Amendments must be filed in accordance with the requirements for applications described in § 970.200.\n\n(2) The Administrator will: (i) Accept no amendment prior to July 23, 1982;\n\n(ii) Accord pre-enactment explorer priority of right only to amendments which: (A) Pertain to areas with respect to which the applicant has engaged in pre-enactment exploration; (B) Resolve an existing conflict with respect to that application; (C) Do not apply for an area included in an application filed pursuant to § 970.301 which is accorded pre-enactment explorer priority of right or an application identified pursuant to § 970.302(b) which has been filed with a reciprocating state; and (D) Are filed on or before October 15, 1982; and\n\n(iii) Accord amendments which meet the requirements of this paragraph (g) the same priority of right as the applications to which they pertain.\n\n(3) The area applied for in an amendment need not be adjacent to the area applied for in the original application.\n\n(4) Amendments not accorded pre-enactment explorer priority of right may be filed as new entrant amendments under § 970.303.\n\n(h) Notification of amendments and new conflicts. The Administrator will:\n\n(1) No later than October 25, 1982, notify each reciprocating state of any amendment accorded preenactment explorer priority of right pursuant to paragraph (g) of this section and, in cooperation with such states, identify any new conflicts;\n\n(2) No later than October 27, 1982, notify each domestic applicant who is involved in a new conflict. The notice will: (i) Identify each applicant with whom each new conflict has arisen;\n\n(ii) Identify the coordinates of each area in which the applicant is involved in a new conflict;\n\n(iii) Indicate that the applicant may request from the Administrator the coordinates of each area included in an amendment accorded pre-enactment explorer priority of right pursuant to paragraph (g) of this section, or for which notice has been received from a reciprocating state (such coordinates will be provided subject to appropriate confidentiality arrangements);\n\n(iv) Notify the applicant that he may, on or before November 16, 1982, resolve the conflict voluntarily according to paragraph (f) of this section, and that on or after November 17, 1982, any unresolved conflict shall be resolved in accordance with paragraph (j) or (k) of this section, as applicable; and\n\n(v) In the case of an international conflict, include a copy of any applicable conflict resolution procedures in force between the United States and its reciprocating states pursuant to section 118 of the Act. (i) Government assistance in resolving international conflicts. If, by October 26 1982, the applicants have not resolved, or agreed in writing to a specified binding procedure to resolve, an original international conflict, or new international conflict, the Administrator, the Secretary of State of the United States, and appropriate officials of the government of the reciprocating state to which the other applicant involved in the conflict applied will use their good offices to assist the applicants to resolve the conflict. After November 16, 1982, any unresolved international conflicts will be resolved in accordance with paragraph\n\n(k) of this section. (j) Unresolved domestic conflict —\n\n(1) Procedure. (i) In the case of an original domestic conflict or a new domestic conflict, the applicants will be allowed until April 15, 1983, to resolve the conflict or agree in writing to submit the conflict to a specified binding conflict resolution procedure. If, by April 15, 1983, all applicants involved in an original or new domestic conflict have not resolved that conflict, or agreed in writing to submit the conflict to a specified binding conflict resolution procedure, the conflict will be resolved in a formal hearing held in accordance with subpart I of 15 CFR part 971, except that: (A) The General Counsel of NOAA will not, as a matter of right, be a party to the hearing; however, the General Counsel may be admitted to the hearing by the administrative law judge as a party or as an interested person pursuant to 15 CFR 971.901 (f)(2) or (f)(3); and (B) The administrative law judge will take such actions as he deems necessary and appropriate to conclude the hearing and transmit a recommended decision to the Administrator in an expeditious manner.\n\n(ii) Notwithstanding the above, at any time on or after November 17, 1982, and on or before April 14, 1983, the applicants involved in the conflict may, by agreement, request the Administrator to resolve the conflict in a formal hearing as described above.\n\n(2) Decision principles for NOAA formal conflict resolution. (i) The Administrator shall determine which applicant involved in a conflict between or among preenactment explorer applications or amendments shall be awarded all or part of each area in conflict.\n\n(ii) The determination of the Administrator shall be based on the application of principles of equity which take into consideration, with respect to each applicant involved in the conflict, the following factors: (A) The continuity and extent of activities relevant to each area in conflict and the application area of which it is a part; (B) The date on which each applicant involved in the conflict, or predecessor in interest or component organization thereof, commenced activities at sea in the application area; (C) The financial cost of activities relevant to each area in conflict and to the application area of which it is a part, measured in constant dollars; (D) The time when the activities were carried out, and the quality of the activities; and (E) Such additional factors as the Administrator determines to be relevant, but excluding consideration of the future work plans of the applicants involved in any conflict.\n\n(iii) For the purposes of this paragraph (j) of this section, the word activities means the undertakings, commitments of resources investigations, findings, research, engineering development and other activities relevant to the identification, discovery, and systematic analysis and evaluation of hard mineral resources and to the determination of the technical and economic feasibility of commercial recovery.\n\n(iv) When considering the factors specified in paragraph (j)(2)(ii) of this section, the Administrator shall hear, and shall (except for purposes of apportionment pursuant to paragraph (j)(2)(v) of this section) limit his consideration to, all evidence based on the activities specified in paragraph (j)(2)(ii) of this section which were conducted on or before January 1, 1982, Provided, however, That an applicant must prove at-sea activities in the area in conflict prior to June 28, 1980, as a pre-condition to presentation of further evidence to the Administrator regarding activities in the area in conflict.\n\n(v) In making his determination, the Administrator may award the entire area in conflict to one applicant involved in the conflict, or he may apportion the area among any or all of the applicants involved in the conflict. If, after applying the principles of equity, the Administrator determines that the area in conflict should be apportioned, the Administrator shall (to the maximum extent practicable consistent with the Administrator's application of the principles of equity) apportion the area in a manner designed to satisfy the plan of work set forth in the application of each applicant which is awarded part of the area.\n\n(vi) Each applicant involved in the conflict must file an amendment to its application if necessary to implement the determination made by the Administrator.\n\n(k) Unresolved international conflicts.\n\n(1) If, by November 17, 1982, all applicants involved in an original or new international conflict have not resolved that conflict, or agreed in writing to submit the conflict to a specified binding conflict resolution procedure, the applicants shall proceed in accordance with the conflict resolution procedures agreed to between the United States and its reciprocating states pursuant to section 118 of the Act.\n\n(2) Each applicant whose application is involved in an international conflict shall be responsible for actions required in the conduct of the conflict resolution procedures, including bearing a proportional cost of implementing the procedures, representing himself in any proceedings, and assisting in the selection of arbitrators if necessary. (l) Continued opportunity for voluntary resolutions. Each applicant may resolve any conflict by voluntary procedures at any time while that conflict persists.\n\n(m) Effect on priorities of new entrants.\n\n(1) A pre-enactment explorer is entitled to a priority of right over a new entrant for any area in which the pre-enactment explorer has engaged in exploration prior to June 28, 1980 if, with respect to that area, the pre-enactment explorer files an application in accordance with this part on or after January 25, 1982 and on or before the closing date for pre-enactment explorer applications established under § 970.301(b).\n\n(2) Any amendment which is filed by a pre-enactment explorer on or before October 15, 1982, relates back to the date of filing of the original application and shall give the pre-enactment explorer priority of right over all new entrants if the amendment is accorded a pre-enactment explorer priority of right under paragraph (g) of this section. [47 FR 24948, July 8, 1982, as amended at 54 FR 548, Jan. 6, 1989]\n\nSection 970.303. Procedures for new entrants.\n\n(a) Filing of new entrant applications or amendments; priority of right. New entrant applications or amendments shall be filed in accordance with § 970.200 or, as applicable, § 971.214(b) and (c) of this chapter. A new entrant may file an application or amendment only at or after 1500 hours GMT (11:00 a.m. EDT) January 3, 1983. All applications or amendments filed at that time shall be deemed to be filed simultaneously, and, if in accordance with § 970.209, shall have priority of right over any application or amendment filed subsequently. Priority of right for any application or amendment filed after that time shall be established as described in § 970.209.\n\n(b) Conflicts.\n\n(1) If a domestic conflict exists between or among new entrant applications or amendments, the applicants involved in the conflict shall resolve it.\n\n(2) If an international conflict exists between or among new entrant applications or amendments, the conflict shall be resolved in accordance with applicable conflict resolution procedures agreed to between the United States and its reciprocating States pursuant to section 118 of the Act. The Administrator will provide each domestic applicant involved in an international conflict a copy of any such procedures in force when the Administrator issues notice to the applicant that an international conflict exists. Each applicant whose application is involved in an international conflict shall be responsible for actions required in the conduct of the conflict resolution procedures, including bearing a proportional cost of implementing the procedures, representing himself in any proceedings, and assisting in the selection of arbitrators if necessary. [47 FR 24948, July 8, 1982, as amended at 91 FR 2672, Jan. 21, 2026]\n\nSection 970.304. Action on portions of applications or amendments not in conflict. If an applicant so requests, the Administrator will proceed in accordance with this part to review that portion of an area included in an application or amendment that is not involved in a conflict. However, the Administrator will proceed with such review only if the applicant advises the Administrator in writing that the applicant will continue to seek a license for the proposed exploration activities in the portion of the application area that is not in conflict. To the extent practicable, the deadlines for certification of an application or amendment and issuance of a license provided in §§ 970.400 and 970.500, respectively, will run from the date of filing of the original application.\n\nSubpart D—Certification of Applications\n\nSource: 46 FR 45902, Sept. 15, 1981, unless otherwise noted.\n\nSection 970.400. General.\n\n(a) Certification is an intermediate step between receipt of an application for issuance or transfer of a license and its actual issuance or transfer. It is a determination which focuses on the eligibility of the applicant.\n\n(b) Before the Administrator may certify an application for issuance or transfer of a license, he must determine that issuance of the license would not violate any of the restrictions in § 970.103(b). He also must make written determinations with respect to the requirements set forth in §§ 970.401 through 970.406. This will be done after consultation with other departments and agencies pursuant to § 970.211.\n\n(c) To the maximum extent possible, the Administrator will endeavor to complete certification of an application within 100 days after submission of an application which is in full compliance with subpart B of this part. If final certification or denial of certification has not occurred within 100 days after such submission of the application, the Administrator will inform the applicant in writing of the pending unresolved issues, the agency's efforts to resolve them, and an estimate of the time required to do so.\n\nSection 970.401. Financial responsibility.\n\n(a) Before the Administrator may certify an application for an exploration license he must find that the applicant has demonstrated that, upon issuance or transfer of the license, the applicant will be financially responsible to meet all obligations which he may require to engage in the exploration proposed in the application.\n\n(b) In order for the Administrator to make this determination, the applicant must show to the Administrator's satisfaction that he is reasonably capable of committing or raising sufficient resources to carry out, in accordance with the provisions contained in this part, the exploration program set forth in his exploration plan.\n\nSection 970.402. Technological capability.\n\n(a) Before the Administrator may certify an application for an exploration license, he must find that the applicant has demonstrated that, upon issuance or transfer of the license, the applicant will possess, or have access to or a reasonable expectation of obtaining, the technological capability to engage in the proposed exploration.\n\n(b) In order for the Administrator to make this determination, the applicant must demonstrate to the Administrator's satisfaction that the applicant will possess or have access to, at the time of issuance or transfer of the license, the technology and expertise, as needed, to carry out the exploration program set forth in his exploration plan.\n\nSection 970.403. Previous license and permit obligations. In order to certify an application, the Administrator must find that the applicant has satisfactorily fulfilled all past obligations under any license or permit previously issued or transferred to the applicant under the Act.\n\nSection 970.404. Adequate exploration plan. Before he may certify an application, the Administrator must find that the proposed exploration plan of the applicant meets the requirements of § 970.203.\n\nSection 970.405. Appropriate exploration site size and location. Before the Administrator may certify an application, he must approve the size and location of the exploration area selected by the applicant. The Administrator will approve the size and location of the area unless he determines that the area is not a logical mining unit pursuant to § 970.601.\n\nSection 970.406. Fee payment. Before the Administrator may certify an application, he must find that the applicant has paid the license fee as specified in § 970.208.\n\nSection 970.407. Denial of certification.\n\n(a) The Administrator may deny certification of an application if he finds that the requirements of this subpart have not been met. If, in the course of reviewing an application for certification, the Administrator becomes aware of the fact that one or more of the requirements for issuance or transfer under §§ 970.503 through 970.507 will not be met, he may also deny certification of the application.\n\n(b) When the Administrator proposes to deny certification he will send to the applicant, and publish in the FEDERAL REGISTER, written notice of intention to deny certification. Such notice will include:\n\n(1) The basis upon which the Administrator proposes to deny certification; and\n\n(2) If the basis for the proposed denial is a deficiency which the Administrator believes the applicant can correct: (i) The action believed necessary to correct the deficiency; and\n\n(ii) The time within which any correctable deficiency must be corrected (the period of time may not exceed 180 days except as specified by the Administrator for good cause).\n\n(c) The Administrator will deny certification:\n\n(1) On the 30th day after the date the notice is sent to the applicant, under paragraph (b) of this section, unless before such 30th day the applicant files with the Administrator a written request for an administrative review of the proposed denial; or\n\n(2) On the last day of the period established under paragraph (b)(2)(ii) of this section in which the applicant must correct a deficiency, if such deficiency has not been corrected before such day and an administrative review requested pursuant to paragraph (c)(1) of this section is not pending or in progress.\n\n(d) If a timely request for administrative review of the proposed denial is made by the applicant under paragraph (c)(1) of this section, the Administrator will promptly begin a formal hearing in accordance with subpart I of 15 CFR part 971. If the proposed denial is the result of a correctable deficiency, the administrative review will proceed concurrently with any attempts to correct the deficiency, unless the parties agree otherwise or the administrative law judge orders differently.\n\n(e) If the Administrator denies certification, he will send to the applicant written notice of the denial, including the reasons therefor.\n\n(f) Any final determination by the Administrator granting or denying certification is subject to judicial review as provided in Chapter 7 of Title 5, United States Code. [46 FR 45902, Sept. 15, 1981, as amended at 54 FR 547, Jan. 6, 1989]\n\nSection 970.408. Notice of certification. Upon making a final determination to certify an application for an exploration license, the Administrator will promptly send written notice of his determination to the applicant.\n\nSubpart E—Issuance/Transfer/Terms, Conditions and Restrictions\n\nSource: 46 FR 45903, Sept. 15, 1981, unless otherwise noted.\n\nSection 970.500. General.\n\n(a) Proposal. After certification of an application pursuant to subpart D of this part, or, as applicable, § 971.214(e) of this chapter, the Administrator shall proceed with a proposal to issue or transfer a license for the exploration activities described in the application. (b)\n\n(1) Terms, conditions and restrictions. Within 180 days (or such longer period as the Administrator may establish for good cause shown in writing) after certification, the Administrator will propose terms and conditions for, and restrictions on, the proposed exploration which are consistent with the provisions of the Act and this part as set forth in §§ 970.517 through 970.524. Proposed and final terms, conditions and restrictions will be uniform in all licenses, except to the extent that differing physical and environmental conditions require the establishment of special terms, conditions and restrictions for the conservation of natural resources, protection of the environment, or the safety of life and property at sea. The Administrator will propose these in writing to the applicant. Also, public notice thereof will be provided pursuant to § 970.501, and they will be included with the draft of the EIS on the issuance of a license which is required by section 109(d) of the Act.\n\n(2) If the Administrator does not propose terms, conditions and restrictions within 180 days after certification, he will notify the applicant in writing of the reasons for the delay and will indicate the approximate date on which the proposed terms, conditions and restrictions will be completed.\n\n(c) Findings. Before issuing or transferring an exploration license, the Administrator must make written findings in accordance with the requirements of §§ 970.503 through 970.507. These findings will be made after considering all information submitted with respect to the application and proposed issuance or transfer. He will make a final determination on issuance or transfer of a license, and will publish a final EIS on that action, within 180 days (or such longer period of time as he may establish for good cause shown in writing) following the date on which proposed terms, conditions and restrictions, and the draft EIS, are published. [46 FR 45903, Sept. 15, 1981, as amended at 91 FR 2672, Jan. 21, 2026] ISSUANCE/TRANSFER; MODIFICATION/REVISION; SUSPENSION/REVOCATION\n\nSection 970.501. Proposal to issue or transfer and of terms, conditions and restrictions.\n\n(a) Notice and comment. The Administrator will publish in the FEDERAL REGISTER notice of each proposal to issue or transfer, and of terms and conditions for, and restrictions on, an exploration license. Subject to 15 CFR 971.802, interested persons will be permitted to examine the materials relevant to such proposals. Interested persons will have at least 60 days after publication of such notice to submit written comments to the Administrator.\n\n(b) Hearings.\n\n(1) The Administrator will hold a public hearing in an appropriate location and may employ such additional methods as he deems appropriate to inform interested persons about each proposal and to invite their comments thereon.\n\n(2) If the Administrator determines there exists one or more specific and material factual issues which require resolution by formal processes, at least one formal hearing will be held in the District of Columbia metropolitan area in accordance with the provisions of subpart I of 15 CFR part 971. The record developed in any such formal hearing will be part of the basis for the Administrator's decisions on issuance or transfer of, and of terms, conditions and restrictions for the license.\n\n(c) Hearings held pursuant to this section will be consolidated insofar as practicable with hearings held by other agencies. [46 FR 45903, Sept. 15, 1981, as amended at 54 FR 548, Jan. 6, 1989]\n\nSection 970.502. Consultation and cooperation with Federal agencies. Prior to the issuance or transfer of an exploration license, the Administrator will continue the consultation and cooperation with other Federal agencies which were initiated pursuant to § 970.211. This consultation will be to assure compliance with, among other statutes, the Endangered Species Act of 1973, as amended, the Marine Mammal Protection Act of 1972, as amended, and the Fish and Wildlife Coordination Act. He also will consult, prior to any issuance, transfer, modification or renewal of a license, with any affected Regional Fishery Management Council established pursuant to section 302 of the Fishery Conservation and Management Act of 1976 (16 U.S.C. 1852) if the activities undertaken pursuant to such license could adversely affect any fishery within the Fishery Conservation Zone, or any anadromous species or Continental Shelf fishery resource subject to the exclusive management authority of the United States beyond such zone.\n\nSection 970.503. Freedom of the high seas.\n\n(a) Before issuing or transferring an exploration license, the Administrator must find that the exploration proposed in the application will not unreasonably interfere with the exercise of the freedoms of the high seas by other nations, as recognized under general principles of international law.\n\n(b) In making this finding, the Administrator will recognize that exploration for hard mineral resources of the deep seabed is a freedom of the high seas. In the exercise of this right, each licensee must act with reasonable regard for the interests of other nations in their exercise of the freedoms of the high seas. (c)\n\n(1) In the event of a conflict between the exploration program of an applicant or licensee and a competing use of the high seas by another nation or its nationals, the Administrator, in consultation and cooperation with the Department of State and other interested agencies, will enter into negotiations with that nation to resolve the conflict. To the maximum extent possible the Administrator will endeavor to resolve the conflict in a manner that will allow both uses to take place in a manner in which neither will unreasonably interfere with the other.\n\n(2) If both uses cannot be conducted harmoniously in the area subject to the exploration plan, the Administrator will decide whether to issue or transfer the license.\n\nSection 970.504. International obligations of the United States. Before issuing or transferring an exploration license, the Administrator must find that the exploration proposed in the application will not conflict with any international obligation of the United States established by any treaty or international convention in force with respect to the United States.\n\nSection 970.505. Breach of international peace and security involving armed conflict. Before issuing or transferring an exploration license, the Administrator must find that the exploration proposed in the application will not create a situation which may reasonably be expected to lead to a breach of international peace and security involving armed conflict.\n\nSection 970.506. Environmental effects. Before issuing or transferring an exploration license, the Administrator must find that the exploration proposed in the application cannot reasonably be expected to result in a significant adverse effect on the quality of the environment, taking into account the analyses and information in any applicable EIS prepared pursuant to section 109(c) or 109(d) of the Act. This finding also will be based upon the considerations and approach in § 970.701.\n\nSection 970.507. Safety at sea. Before issuing or transferring an exploration license, the Administrator must find that the exploration proposed in the application will not pose an inordinate threat to the safety of life and property at sea. This finding will be based on the requirements reflected in §§ 970.205 and 970.801.\n\nSection 970.508. Denial of issuance or transfer.\n\n(a) The Administrator may deny issuance or transfer of a license if he finds that the applicant or the proposed exploration activities do not meet the requirements of this part for the issuance or transfer of a license.\n\n(b) When the Administrator proposes to deny issuance or transfer, he will send to the applicant, and publish in the FEDERAL REGISTER, written notice of such intention to deny issuance or transfer. Such notice will include:\n\n(1) The basis upon which the Administrator proposes to deny issuance or transfer; and\n\n(2) If the basis for the proposed denial is a deficiency which the Administrator believes the applicant can correct: (i) The action believed necessary to correct the deficiency; and\n\n(ii) The time within which any correctable deficiency must be corrected (the period of time may not exceed 180 days except as specified by the Administrator for good cause). The FEDERAL REGISTER notice will not include the coordinates of the proposed exploration area.\n\n(c) The Administrator will deny issuance or transfer:\n\n(1) On the 30th day after the date the notice is sent to the applicant under paragraph (b) of this section, unless before such 30th day the applicant files with the Administrator a written request for an administrative review of the proposed denial; or\n\n(2) On the last day of the period established under paragraph (b)(2)(ii) of this section in which the applicant must correct a deficiency, if such deficiency has not been corrected before such day and an administrative review requested pursuant to paragraph (c)(1) of this section is not pending or in progress.\n\n(d) If a timely request for administrative review of the proposed denial is made by the applicant under paragraph (c)(1) of this section, the Administrator will promptly begin a formal hearing in accordance with subpart I of 15 CFR part 971. If the proposed denial is the result of a correctable deficiency, the administrative review will proceed concurrently with any attempt to correct the deficiency, unless the parties agree otherwise or the administrative law judge orders differently.\n\n(e) If the Administrator denies issuance or transfer, he will send to the applicant written notice of the denial, including the reasons therefor.\n\n(f) Any final determination by the Administrator granting or denying issuance of a license is subject to judicial review as provided in chapter 7 of title 5, United States Code. [46 FR 45903, Sept. 15, 1981, as amended at 54 FR 548, Jan. 6, 1989]\n\nSection 970.509. Notice of issuance or transfer. If the Administrator finds that the requirements of this part have been met, he will issue or transfer the license along with the appropriate terms, conditions and restrictions. Notification thereof will be made in writing to the applicant and in the FEDERAL REGISTER.\n\nSection 970.510. Objections to terms, conditions and restrictions.\n\n(a) The licensee may file a notice of objection to any term, condition or restriction in the license. The licensee may object on the grounds that any term, condition or restriction is inconsistent with the Act or this part, or on any other grounds which may be raised under applicable provisions of law. If the licensee does not file notice of an objection within the 60-day period immediately following the licensee's receipt of the notice of issuance or transfer under § 970.509, he will be deemed conclusively to have accepted the terms, conditions and restrictions in the license.\n\n(b) Any notice of objection filed under paragraph (a) of this section must be in writing, must contain the precise legal basis for the objection, and must provide information relevant to any underlying factual issues deemed by the licensee as necessary to the Administrator's decision upon the objection.\n\n(c) Within 90 days after receipt of the notice of objection, the Administrator will act on the objection and publish in the FEDERAL REGISTER, as well as provide to the licensee, written notice of his decision.\n\n(d) If, after the Administrator takes final action on an objection, the licensee demonstrates that a dispute remains on a material issue of fact, the Administrator will provide for a formal hearing which will proceed in accordance with subpart I of 15 CFR part 971.\n\n(e) Any final determination by the Administrator on an objection to terms, conditions or restrictions in a license after the formal hearing provided in paragraph (d) of this section is subject to judicial review as provided in chapter 7 of title 5, United States Code. [46 FR 45903, Sept. 15, 1981, as amended at 54 FR 548, Jan. 6, 1989]\n\nSection 970.511. Suspension or modification of activities; suspension or revocation of licenses.\n\n(a) The Administrator may:\n\n(1) In addition to, or in lieu of, the imposition of any civil penalty under subpart J of 15 CFR part 971, or in addition to the imposition of any fine under subpart J, suspend or revoke any license issued under this part, or suspend or modify any particular activities under such a license, if the licensee substantially fails to comply with any provision of the Act, this part, or any term, condition or restriction of the license; and\n\n(2) Suspend or modify particular activities under any license, if the President determines that such suspension or modification is necessary: (i) To avoid any conflict with any international obligation of the United States established by any treaty or convention in force with respect to the United States; or\n\n(ii) To avoid any situation which may reasonably be expected to lead to a breach of international peace and security involving armed conflict.\n\n(b) Any action taken by the Administrator in accordance with paragraph (a)(1) will proceed pursuant to the procedures in 15 CFR 971.1003. Any action taken in accordance with paragraph (a)(2) will proceed pursuant to paragraphs (c) through (i) of this section, other than paragraph (h)(2).\n\n(c) Prior to taking any action specified in paragraph (a)(2) of this section the Administrator will publish in the FEDERAL REGISTER, and send to the licensee, written notice of the proposed action. The notice will include:\n\n(1) The basis of the proposed action; and\n\n(2) If the basis for the proposed action is a deficiency which the Administrator believes the licensee can correct: (i) The action believed necessary to correct the deficiency; and\n\n(ii) The time within which any correctable deficiency must be corrected (this period of time may not exceed 180 days except as specified by the Administrator for good cause).\n\n(d) The Administrator will take the proposed action:\n\n(1) On the 30th day after the date the notice is sent to the licensee, under paragraph (c) of this section, unless before such 30th day the licensee files with the Administrator a written request for an administrative review of the proposed action; or\n\n(2) On the last day of the period established under paragraph (c)(2)(ii) of this section in which the licensee must correct the deficiency, if such deficiency has not been corrected before such day and an administrative review requested pursuant to paragraph (d)(1) of this section is not pending or in progress.\n\n(e) If a timely request for administrative review of the proposed action is made by the licensee under paragraph (d)(1) of this section, the Administrator will promptly begin a formal hearing in accordance with subpart I of 15 CFR part 971. If the proposed action is the result of a correctable deficiency, the administrative review will proceed concurrently with any attempt to correct the deficiency, unless the parties agree otherwise or the administrative law judge orders differently.\n\n(f) The Administrator will serve on the licensee, and publish in the FEDERAL REGISTER, written notice of the action taken including the reasons therefor.\n\n(g) Any final determination by the Administrator to take the proposed action is subject to judicial review as provided in chapter 7 of title 5, United States Code.\n\n(h) The issuance of any notice of proposed action under this section will not affect the continuation of exploration activities by a licensee, except as provided in paragraph (i) of this section. (i) The provisions of paragraphs (c), (d), (e) and (h) of this section will not apply when:\n\n(1) The President determines by Executive Order that an immediate suspension of a license, or immediate suspension or modification of particular activities under such license, is necessary for the reasons set forth in paragraph (a)(2) of this section; or\n\n(2) The Administrator determines that immediate suspension of such a license, or immediate suspension or modification of particular activities under a license, is necessary to prevent a significant adverse effect on the environment or to preserve the safety of life or property at sea, and the Administrator issues an emergency order in accordance with § 971.1003(d)(4). (j) The Administrator will immediately rescind the emergency order as soon as he has determined that the cause for the order has been removed. [46 FR 45903, Sept. 15, 1981, as amended at 54 FR 548, Jan. 6, 1989]\n\nSection 970.512. Modification of terms, conditions and restrictions.\n\n(a) After issuance or transfer of any license, the Administrator, after consultation with interested agencies and the licensee, may modify any term, condition, or restriction in such license for the following purposes:\n\n(1) To avoid unreasonable interference with the interests of other nations in their exercise of the freedoms of the high seas, as recognized under general principles of international law. This determination will take into account the provisions of § 970.503;\n\n(2) If relevant data and other information (including, but not limited to, data resulting from exploration activities under the license) indicate that modification is required to protect the quality of the environment or to promote the safety of life and property at sea;\n\n(3) To avoid a conflict with any international obligation of the United States, established by any treaty or convention in force with respect to the United States, as determined in writing by the President; or\n\n(4) To avoid any situation which may reasonably be expected to lead to a breach of international peace and security involving armed conflict, as determined in writing by the President.\n\n(b) The procedures for objection to the modification of a term, condition or restriction will be the same as those for objection to an original term, condition or restriction under § 970.510, except that the period for filing notice of objection will run from the receipt of notice of proposed modification. Public notice of proposed modifications under this section will be made according to § 970.514. On or before the date of publication of public notice, written notice will be provided to the licensee. [46 FR 45903, Sept. 15, 1981; 47 FR 5966, Feb. 9, 1982]\n\nSection 970.513. Revision of a license.\n\n(a) During the term of an exploration license, the licensee may submit to the Administrator an application for a revision of the license or the exploration plan associated with it. NOAA recognizes that changes in circumstances encountered, and in information and technology developed, by the licensee during exploration may require such revisions. In some cases, it may even be advisable to recognize at the time of filing the original license application that although the essential information for issuing or transferring a license as specified in §§ 970.201 through 920.208, or as specified in § 971.214(d) of this chapter, as applicable, shall be included in such application, some details may have to be provided in the future in the form of a revision. In such instances, the Administrator may issue or transfer a license which would authorize exploration activities and plans only to the extent described in the application.\n\n(b) The Administrator shall approve such application for a revision upon a finding in writing that the revision shall comply with the requirements of the Act and this part.\n\n(c) A change which would require an application to and approval by the Administrator as a revision is a major change in one or more of:\n\n(1) The bases for certifying the original application pursuant to §§ 970.401 through 970.406, or, as applicable, pursuant to § 971.214(e) of this chapter;\n\n(2) The bases for issuing or transferring the license pursuant to §§ 970.503 through 970.507; or\n\n(3) The terms, conditions and restrictions issued for the license pursuant to §§ 970.517 through 970.524. A major change is one which is of such significance so as to raise a question as to: (i) The applicant's ability to meet the requirements of the sections cited in paragraphs (c) (1) and\n\n(2) of this section; or\n\n(ii) The sufficiency of the terms, conditions and restrictions to accomplish their intended purpose. [46 FR 45903, Sept. 15, 1981, as amended at 91 FR 2672, Jan. 21, 2026]\n\nSection 970.514. Scale requiring application procedures.\n\n(a) A proposal by the Administrator to modify a term, condition or restriction in a license pursuant to § 970.512, or an application by a licensee for revision of a license or exploration plan pursuant to § 970.513, is significant, and the full application requirements and procedures will apply, if it would result in other than an incidental:\n\n(1) Increase in the size of the exploration area; or\n\n(2) Change in the location of the area. An incidental increase or change is that which equals two percent or less of the original exploration area, so long as such adjustment is contiguous to the licensed area.\n\n(b) All proposed modifications or revisions other than described in paragraph (a) of this section will be acted on after a notice thereof is published by the Administrator in the FEDERAL REGISTER, with a 60-day opportunity for public comment. On a case-by-case basis, the Administrator will determine if other procedures, such as a public hearing in a potentially affected area, are warranted. Notice of the Administrator's decision on the proposed modification will be provided to the licensee in writing and published in the FEDERAL REGISTER.\n\nSection 970.515. Duration of a license.\n\n(a) Each exploration license will be issued for a period of 10 years.\n\n(b) If the licensee has substantially complied with the license and its associated exploration plan and requests an extension of the license, the Administrator will extend the license on terms, conditions and restrictions consistent with the Act and this part for a period of not more than 5 years. In determining substantial compliance for purposes of this section, the Administrator may make allowance for deviation from the exploration plan for good cause, such as significantly changed market conditions. However, a request for extension must be accompanied by an amended exploration plan to govern the activities by the licensee during the extended period.\n\n(c) Successive extensions may be requested, and will be granted by the Administrator, based on the criteria, and for the length of time, specified in paragraph (b) of this section.\n\nSection 970.516. Approval of license transfers.\n\n(a) The Administrator may transfer a license after a written request by the licensee. After a licensee submits such a request to the Administrator, the proposed transferee will be deemed an applicant for an exploration license, and will be subject to the requirements and procedures of this part.\n\n(b) The Administrator will transfer a license if the proposed transferee and exploration activities meet the requirements of the Act and this part, and if the proposed transfer is in the public interest. The Administrator will presume that the transfer is in the public interest if it meets the requirements of the Act and this part. In case of mere change in the form or ownership of a licensee, the Administrator may waive relevant determinations for requirements for which no changes have occurred since the preceding application. TERMS, CONDITIONS, AND RESTRICTIONS\n\nSection 970.517. Diligence requirements. The terms, conditions and restrictions in each exploration license must include provisions to assure diligent development. The Administrator will establish these pursuant to § 970.602.\n\nSection 970.518. Environmental protection requirements.\n\n(a) Each exploration license must contain such terms, conditions and restrictions, established by the Administrator, which prescribe actions the licensee must take in the conduct of exploration activities to assure protection of the environment. The Administrator will establish these pursuant to § 970.702.\n\n(b) Before establishing the terms, conditions and restrictions pertaining to environmental protection, the Administrator will consult with the Administrator of the Environmental Protection Agency, the Secretary of State and the Secretary of the department in which the Coast Guard is operating. He also will take into account and give due consideration to the information contained in the final EIS prepared with respect to that proposed license.\n\nSection 970.519. Resource conservation requirements. For the purpose of conservation of natural resources, each license issued under this part will contain, as needed, terms, conditions and restrictions which have due regard for the prevention of waste and the future opportunity for the commercial recovery of the unrecovered balance of the hard mineral resources in the license area. The Administrator will establish these pursuant to § 970.603.\n\nSection 970.520. Freedom of the high seas requirements. Each license issued under this part must include such restrictions as may be necessary and appropriate to ensure that the exploration activities do not unreasonably interfere with the interests of other nations in their exercise of the freedoms of the high seas, as recognized under general principles of international law, such as fishing, navigation, submarine pipeline and cable laying, and scientific research. The Administrator will consider the provisions in § 970.503 in establishing these restrictions.\n\nSection 970.521. Safety at sea requirements. The Secretary of the department in which the Coast Guard is operating, in consultation with the Administrator, will require in any license issued under this part, in conformity with principles of international law, that vessels documented under the laws of the United States and used in activities authorized under the license comply with conditions regarding the design, construction, alteration, repair, equipment, operation, manning and maintenance relating to vessel and crew safety and the promotion of safety of life and property at sea. These requirements will be established with reference to subpart H of this part.\n\nSection 970.522. Monitoring requirements. Each exploration license must require the licensee:\n\n(a) To allow the Administrator to place appropriate Federal officers or employees as observers aboard vessels used by the licensee in exploration activities to:\n\n(1) Monitor such activities at such time, and to such extent, as the Administrator deems reasonable and necessary to assess the effectiveness of the terms, conditions, and restrictions of the license; and\n\n(2) Report to the Administrator whenever such officers or employees have reason to believe there is a failure to comply with such terms, conditions, and restrictions;\n\n(b) To cooperate with such officers and employees in the performance of monitoring functions; and\n\n(c) To monitor the environmental effects of the exploration activities in accordance with a monitoring plan approved and issued by the Administrator as license terms, conditions and restrictions, and to submit such information as the Administrator finds to be necessary and appropriate to assess environmental impacts and to develop and evaluate possible methods of mitigating adverse environmental effects. This environmental monitoring plan and reporting will respond to the concerns and procedures discussed in\n\nSubpart G of this part.\n\nSection 970.523. Special terms, conditions, and restrictions. Although the general criteria and standards to be used in establishing terms, conditions, and restrictions for a license are set forth in this part, as referenced in §§ 970.517 through 970.522, the Administrator may impose special terms, conditions, and restrictions for the conservation of natural resources, protection of the environment, or the safety of life and property at sea when required by differing physical and environmental conditions.\n\nSection 970.524. Other Federal requirements. Pursuant to § 970.211, another Federal agency, upon review of an exploration license application submitted under this part, may indicate how terms, conditions, and restrictions might be added to the license, to assure compliance with any law or regulation within that agency's area of responsibility. In response to the intent, reflected in section 103(e) of the Act, to reduce the number of separate actions to satisfy the statutory responsibilities of these agencies, the Administrator may include such terms, conditions, and restrictions in a license.\n\nSubpart F—Resource Development Concepts\n\nSource: 46 FR 45907, Sept. 15, 1981, unless otherwise noted.\n\nSection 970.600. General. Several provisions in the Act relate to appropriate mining techniques or mining efficiency. These raise what could be characterized as resource development issues. In particular, under section 103(a)(2)(D) of the Act, the applicant will select the size and location of the area of an exploration plan, which will be approved unless the Administrator finds that the area is not a “logical mining unit.” Also, pursuant to section 108 of the Act the applicant's exploration plan and the terms, conditions and restrictions of each license must be designed to ensure diligent development. In addition, for the purpose of conservation of natural resources, section 110 of the Act provides that each license is to contain, but only as needed, terms, conditions, and restrictions which have due regard for the prevention of waste and the future opportunity for the commercial recovery of the unrecovered balance of the resources.\n\nSection 970.601. Logical mining unit.\n\n(a) In the case of an exploration license, a logical mining unit is an area of the deep seabed which can be explored under the license, and within the 10-year license period, in an efficient, economical and orderly manner with due regard for conservation and protection of the environment, taking into consideration the resource data, other relevant physical and environmental characteristics, and the state of the technology of the applicant as set forth in the exploration plan. In addition, it must be of sufficient size to allow for intensive exploration.\n\n(b) Approval by the Administrator of a proposed exploration logical mining unit will be based on a case-bycase review of each application. In order to provide a proper basis for this evaluation, the applicant's exploration plan should describe the seabed topography, the location of mineral deposits and the nature of planned equipment and operations. Also, the exploration plan must show the relationship between the area to be explored and the applicant's plans for commercial recovery volume, to the extent projected in the exploration plan.\n\n(c) In delineating an exploration area, the applicant need not include unmineable areas. Thus, the area need not consist of contiguous segments, as long as each segment would be efficiently mineable and the total proposed area constitutes a logical mining unit. In describing the area, the applicant must present the geodetic coordinates of the points defining the boundaries, referred to the World Geodetic System (WGS) Datum. A boundary between points must be a geodesic. If grid coordinates are desired, the Universal Transverse Mercator Grid System must be used.\n\n(d) At the applicant's option, for the purpose of satisfying a possible obligation under a future Law of the Sea Treaty, the applicant may propose an exploration area which includes two exploration logical mining units. The applicant should specify in the application if this “banking” option is chosen, and any applicant choosing this option and filing an application based on pre-enactment exploration under § 970.301 shall so notify the Administrator in accordance with § 970.301(g).\n\n(e) Applicants are advised that NOAA will not accept an application or issue a license for an exploration area larger than 150,000 square kilometers unless the applicant can demonstrate the necessity of a larger area based on factors such as topography, nodule abundance, distribution and ore grade. If the applicant elects to pursue the “banking” option described in paragraph (d) of this section, and wishes to apply for an exploration area larger than 150,000 square kilometers, the applicant must file a second application with respect to at least the area in excess of 150,000 square kilometers, unless the applicant justifies such excess area as part of a single application under the preceding sentence. [46 FR 45907, Sept. 15, 1981, as amended at 47 FR 5968, Feb. 9, 1982]\n\nSection 970.602. Diligent exploration.\n\n(a) Each licensee must pursue diligently the activities described in his approved exploration plan. This requirement applies to the full scope of the plan, including environmental safeguards and monitoring systems. To help assure this diligence, terms, conditions and restrictions which the Administrator issues with a license will require such periodic reasonable expenditures for exploration by the licensee as the Administrator may establish, taking into account the size of the area of the deep seabed to which the exploration plan applies and the amount of funds which is estimated by the Administrator to be required during exploration for commercial recovery of hard mineral resources to begin within the time limit established by the Administrator. However, such required expenditures will not be established at a level which would discourage exploration by persons with less costly technology than is prevalently in use.\n\n(b) In order to fulfill the diligence requirement, the applicant first must propose to the Administrator an estimated schedule of activities and expenditures pursuant to § 970.203(b) (3) and (6). The schedule must show, and the Administrator must be able to make a reasonable determination, that the applicant can complete his exploration activities within the term of the license. In this regard, there must be a reasonable relationship between the size of the exploration area and the financial and technological resources reflected in the application. Also, the exploration must clearly point toward developing the ability, by the end of the 10-year license period, to apply for and obtain a permit for commercial recovery.\n\n(c) Ultimately, the diligence requirement will involve a retrospective determination by the Administrator, based on the licensee's reasonable conformance to the approved exploration plan. Such determination, however, will take into account the need for some degree of flexibility in an exploration plan. It also will include consideration of the needs and stage of development of each licensee, again based on the approved exploration plan. In addition, the determination will take account of legitimate periods of time when there is no or very low expenditure, and will allow for a certain degree of flexibility for changes encountered by the licensee in such factors as its resource knowledge and financial considerations.\n\n(d) In order for the Administrator to make determinations on a licensee's adherence to the diligence requirements, the licensee must submit a report annually reflecting his conformance to the schedule of activities and expenditures contained in the license. In case of any changes requiring a revision to an approved license and exploration plan, the licensee must advise the Administrator in accordance with § 970.513.\n\nSection 970.603. Conservation of resources.\n\n(a) With respect to the exploration phase of seabed mining, the requirement for the conservation of natural resources, encompassing due regard for the prevention of waste and the future opportunity for the commercial recovery of the unrecovered balance of the hard mineral resources in the area to which the license applies, may not be particularly relevant. Thus, since the Act requires such terms, conditions and restrictions only as needed, exploration licenses will require such provisions only as the Administrator deems necessary.\n\n(b) NOAA views license phase mining system tests as an opportunity to examine, with industry, the conservation implications of any mining patterns used. Thus, in order to develop information needed for future decisions during commercial recovery, NOAA will include with a license a requirement for the submission of collector track and nodule production data. Only if information submitted reflects that the integrated system tests are resulting in undue waste or threatening the future opportunity for commercial recovery of the unrecovered balance of hard mineral resources will the Administrator modify the terms, conditions or restrictions pertaining to the conservation of natural resources, in order to address such problems.\n\n(c) If the Administrator so modifies such terms, conditions and restrictions relating to conservation of resources, he will employ a balancing process in the consideration of the state of the technology being developed, the processing system utilized and the value and potential use of any waste, the environmental effects of the exploration activities, economic and resource data, and the national need for hard mineral resources.\n\nSubpart G—Environmental Effects\n\nSource: 46 FR 45908, Sept. 15, 1981, unless otherwise noted.\n\nSection 970.700. General. Congress, in authorizing the exploration for hard mineral resources under the Act, also enacted provisions relating to the protection of the marine environment from the effects of exploration activities. For example, before the Administrator may issue a license, pursuant to section 105(a)(4) of the Act he must find that the exploration proposed in an application cannot reasonably be expected to result in a significant adverse effect on the quality of the environment. Also, the Act requires in section 109(b) that each license issued by the Administrator must contain such terms, conditions and restrictions which prescribe the actions the licensee must take in the conduct of exploration activities to assure protection of the environment. Furthermore, the Act in section 105(c)(1)(B) provides for the modification by the Administrator of any term, condition or restriction if relevant data and other information indicates that modification is required to protect the quality of the environment. In addition, section 114 of the Act specifies that each license issued under the Act must require the licensee to monitor the environmental effects of the exploration activities in accordance with guidelines issued by the Administrator, and to submit such information as the Administrator finds to be necessary and appropriate to assess environmental impacts and to develop and evaluate possible methods of mitigating adverse environmental effects.\n\nSection 970.701. Significant adverse environmental effects.\n\n(a) Activities with no significant impact. NOAA believes that exploration activities of the type listed below are very similar or identical to activities considered in section 6(c)(3) of NOAA Directives Manual 02-10, and therefore have no potential for significant environmental impact, and will require no further environmental assessment.\n\n(1) Gravity and magnetometric observations and measurements;\n\n(2) Bottom and sub-bottom acoustic profiling or imaging without the use of explosives;\n\n(3) Mineral sampling of a limited nature such as those using either core, grab or basket samplers;\n\n(4) Water and biotic sampling, if the sampling does not adversely affect shellfish beds, marine mammals, or an endangered species, or if permitted by the National Marine Fisheries Service or another Federal agency;\n\n(5) Meteorological observations and measurements, including the setting of instruments;\n\n(6) Hydrographic and oceanographic observations and measurements, including the setting of instruments;\n\n(7) Sampling by box core, small diameter core or grab sampler, to determine seabed geological or geotechnical properties;\n\n(8) Television and still photographic observation and measurements;\n\n(9) Shipboard mineral assaying and analysis; and\n\n(10) Positioning systems, including bottom transponders and surface and subsurface buoys filed in Notices to Mariners.\n\n(b) Activities with potential impact.\n\n(1) NOAA research has identified at-sea testing of recovery equipment and the operation of processing test facilities as activities which have some potential for significant environmental impacts during exploration. However, the research has revealed that only the following limited effects are expected to have potential for significant adverse environmental impact.\n\n(2) The programmatic EIS's documents three at-sea effects of deep seabed mining which cumulatively during commercial recovery have the potential for significant effect. These three effects also occur during mining system tests that may be conducted under a license, but are expected to be insignificant. These include the following: (i) Destruction of benthos in and near the collector track. Present information reflects that the impact from this effect during mining tests under exploration licenses will be extremely small.\n\n(ii) Blanketing of benthic fauna and dilution of food supply away from mine site subareas. The settling of fine sediments disturbed by tests under a license of scale-model mining systems which simulate commercial recovery could adversely affect benthic fauna by blanketing, diluation of their food supply, or both. Because of the anticipated slow settling rate of the sediments, the affected area could be quite large. However, research results are insufficient to conclude that this will indeed be a problem.\n\n(iii) Surface plume effect on fish larvae. The impact of demonstration-scale mining tests during exploration is expected to be insignificant.\n\n(3) If processing facilities in the United States are planned to be used for testing during exploration, NOAA also will assess their impacts in the site-specific EIS developed for each license.\n\n(c) NOAA approach. In making determinations on significant adverse environmental effects, the Administrator will draw on the above conclusions and other findings in NOAA's programmatic environmental statement and site-specific statements issued in accordance with the Act. He will issue licenses with terms, conditions and restrictions containing, as appropriate, environmental protection or mitigation requirements (pursuant to § 970.518) and monitoring requirements (pursuant to § 970.522). The focus of NOAA's environmental efforts will be on environmental research and on monitoring during mining tests to acquire more information on the environmental effects of deep seabed mining. If these efforts reveal that modification is required to protect the quality of the environment, NOAA then may modify terms, conditions and restrictions pursuant to § 970.512.\n\nSection 970.702. Monitoring and mitigation of environmental effects.\n\n(a) Monitoring. If an application is determined to be otherwise acceptable, the Administrator will specify an environmental monitoring plan as part of the terms, conditions and restrictions developed for each license. The plan will be based on the monotoring plan proposed by the applicant and reviewed by NOAA for completeness, accuracy and statistical reliability. This monitoring strategy will be devised to insure that the exploration activities do not deviate significantly from the approved exploration plan and to determine if the assessment of the plan's acceptability was sound. The monitoring plan, among other things, will include monitoring environmental parameters relating to verficiation of NOAA's findings concerning potential impacts, but relating mainly to the three unresolved concerns with the potential for significant environmental effect, as identified in § 970.701(b)(2). NOAA has developed a technical guidance document, which includes parameters pertaining to the upper and lower water column and operational aspects, which document will provide assistance in developing monitoring plans in consultation with applicants.\n\n(b) Mitigation. Monitoring and continued research may develop information on future needs for mitigating environmental effects. If such needs are identified, terms, conditions and restrictions can be modified appropriately.\n\nSubpart H—Safety of Life and Property at Sea\n\nSection 970.800. General. The Act contains requirements, in the context of several decisions, that relate to assuring the safety of life and property at sea. For instance, before the Administrator may issue a license, section 105(a)(5) of the Act requires that he find that the proposed exploration will not pose an inordinate threat to the safety of life and property at sea. Also, under section 112(a) of the Act the Coast Guard, in consultation with NOAA, must require in any license or permit issued under the Act, in conformity with principles of international law, that vessels documented in the United States and used in activities authorized under the license comply with conditions regarding the design, construction, alteration, repair, equipment, operation, manning and maintenance relating to vessel and crew safety and the safety of life and property at sea. In addition, under section 105(c)(1)(B) of the Act, the Administrator may modify terms, conditions and restrictions for a license if required to promote the safety of life and property at sea. [46 FR 45909, Sept. 15, 1981]\n\nSection 970.801. Criteria for safety of life and property at sea. Response to the safety at sea requirements in essence will involve vessel inspection requirements. These inspection requirements may be identified by reference to present laws and regulations. The primary inspection statutes pertaining to United States flag vessels are: 46 U.S.C. 86 (Loadlines); 46 U.S.C. 395 (Inspection of seagoing barges over 100 gross tons); 46 U.S.C. 367 (Inspection of sea-going motor vessels over 300 gross tons); and 46 U.S.C. 404 (Inspection of vessels above 15 gross tons carrying freight for hire). All United States flag vessels will be required to meet existing regulatory requirements applicable to such vessels. This includes the requirement for a current valid Coast Guard Certificate of Inspection, as specified in § 970.205. Being United States flag, these vessels will be under United States jurisdiction on the high seas and subject to domestic enforcement procedures. With respect to foreign flag vessels, the SOLAS 74 or SOLAS 60 certificate requirements or alternative IACS requirements, as specified in § 970.205, apply. [46 FR 45909, Sept. 15, 1981]\n\nSubpart I—Miscellaneous\n\nSection 970.900. Other applicable regulations. The regulations in subparts H, I and J of 15 CFR part 971 are consolidated regulations and are applicable both to licenses under this part and to permits under 15 CFR part 971. The regulations in subparts H, I and J of part 971 govern records to be maintained and information to be submitted by licensees and permittees, public disclosure of documents received by NOAA, relinquishment and surrender of licenses and permits, amendment of regulations, competition of time, uniform hearing procedures, and enforcement under the Act. [54 FR 548, Jan. 6, 1989] Subparts J-W [Reserved]\n\nSubpart X—Pre-enactment Exploration\n\nSection 970.2401. Definitions.\n\n(a) Engage in exploration means:\n\n(1) To cause or authorize exploration to occur, including but not limited to a person's actions as a sponsor, principal, or purchaser of exploration services; or\n\n(2) To conduct exploration on behalf of a person described in paragraph (a)(1) of this section.\n\n(b) [Reserved] [45 FR 76662, Nov. 20, 1980, as amended at 47 FR 5966, Feb. 9, 1982]\n\nSection 970.2402. Notice of pre-enactment exploration.\n\n(a) General. NOAA encourages any United States citizen who engaged in exploration for deep seabed hard mineral resources before June 28, 1980, to file not later than February 1, 1981, a written notice with the Administrator, in care of: The Director, Office of Ocean Minerals and Energy, National Oceanic and Atmospheric Administration, Department of Commerce, Page Building 1, Suite 410, 2001 Wisconsin Avenue, NW., Washington, DC 20235. Such notice shall not constitute an application for a license or permit and shall not confer or confirm any priority of right to any site.\n\n(b) Content of pre-enactment exploration Notice. If a notice of exploration commenced prior to June 28, 1980, is filed pursuant to paragraph (a) it should be in writing and include the following:\n\n(1) Names, addresses, and telephone numbers of the United States citizens responsible for exploration operations to whom notices and orders are to be delivered;\n\n(2) A description of the citizen or citizens engaging in such exploration including: (i) Whether the citizen is a natural person, partnership, corporation, joint venture, or other form of association;\n\n(ii) The state of incorporation of state in which the partnership or other business entity is registered;\n\n(iii) The name of registered agent and places of business;\n\n(iv) Certification of essential and non-proprietary provisions in articles of incorporation, charter, or articles of association; and\n\n(v) Membership of the association, partnership, or joint venture, including information about the participation of partners and joint venturers, and/or ownership of stock.\n\n(3) A general description of the exploration activities conducted prior to June 28, 1980, including: (i) The approximate date that the citizen, or predecessor in interest, commenced exploration activities;\n\n(ii) A general estimate of expenditures made on the exploration program prior to June 28, 1980;\n\n(iii) A statement of whether the citizen intends to file an application for an exploration license pursuant to section 101(b)(1)(A) of the Act after NOAA issues regulations implementing section 103(a) of the Act; and\n\n(iv) A statement of whether the citizen intends to continue to engage in exploration as allowed by section 101(b) of the Act, pending a final determination on his application for an exploration license.\n\n(c) Exclusion of location information. The information submitted in the notice of pre-enactment exploration required by this section shall not include the location of past or future exploration or prospective mine sites. [45 FR 76662, Nov. 20, 1980]\n\nSubpart Y—Pre-license Exploration\n\nSource: 45 FR 76662, Nov. 20, 1980, unless otherwise noted.\n\nSection 970.2501. Notice of pre-license exploration voyages.\n\n(a) General. Any United States citizen who schedules an exploration voyage to begin after November 20, 1980 shall file written notice with the Administrator which sets out:\n\n(1) The name, address and telephone number of the citizen;\n\n(2) The anticipated date of commencement of the voyage and its planned duration;\n\n(3) The exploration activities to be carried out on the voyage, including a general description of the equipment and methods to be used, and an estimate of the anticipated extent of seabed disturbance and effluent discharge; and\n\n(4) If the U.S. citizen has not filed a notice of pre-enactment exploration in accordance with § 970.2402, the information specified in § 970.2402(b).\n\n(b) When and where to file Notice of future exploration —\n\n(1) When. (i) Except as allowed in paragraph (b)(2) of this section, the notice required by paragraph (a) of this section must be filed not later than 45 days prior to the date on which the exploration voyage is scheduled to begin.\n\n(ii) With respect to filing of the information referred to in paragraph (a)(4) of this section, the filing dates specified in paragraph (b) of this section shall prevail over the date specified in § 970.2402(a).\n\n(2) Exception. If an exploration voyage is scheduled to begin before January 5, 1981, the notice required by paragraph (a) of this section must be filed on or before December 22, 1980.\n\n(3) Where. The notice required by paragraph (a) of this section must be filed in writing with the Administrator, at the address specified in § 970.2402(a) of this part.\n\nSection 970.2502. Post voyage report. Within 30 days of the conclusion of each exploration voyage, the United States citizen engaging in the voyage shall submit to NOAA a report containing any environmental data or information obtained during that voyage.\n\nSection 970.2503. Suspension of exploration activities.\n\n(a) The Administrator may issue an emergency order, either in writing or orally with written confirmation, requiring the immediate suspension of exploration activities or any particular exploration activity when, in his judgment, immediate suspension of such activity or activities is necessary to prevent a significant adverse effect on the environment. Upon receipt of notice of the emergency order, the United States citizen engaged in the exploration shall immediately cease the activity that is the subject of the emergency order. During any suspension NOAA will consult with the citizen engaged in the activity suspended concerning appropriate measures to remove the cause of suspension. A suspension may be rescinded at any time by written notice from the Administrator upon presentation of satisfactory evidence by the citizen that the activity will no longer threaten a significant adverse effect on the environment.\n\n(b) [Reserved]\n\nSubpart Z—Miscellaneous\n\nSection 970.2601. Additional information. Any United States citizen filing notice under § 970.2402 or § 970.2501 of this part shall provide such additional information as the Administrator may require as necessary and appropriate to implement section 101 of the Act. [45 FR 76662, Nov. 20, 1980]\n", "n_chars": 121634}
{"corpus_id": "usa/regulation/cfr15-971-2026", "version_id": "2026-07-01", "title": "Deep Seabed Mining Regulations for Commercial Recovery Permits (15 CFR Part 971)", "short_title": "15 CFR 971 — DSM Commercial Recovery Permits (NOAA)", "jurisdiction": "USA", "document_type": "national_regulation", "official_citation": "15 CFR Part 971 (Deep Seabed Mining Regulations for Commercial Recovery Permits), current as of 1 July 2026 (revised by final rule published 7 July 2025, Fed. Reg. doc. 2025-12513)", "authentic_languages": ["en"], "language": "en", "adoption_date": null, "entry_into_force_date": null, "source_url": "https://www.ecfr.gov/current/title-15/subtitle-B/chapter-IX/subchapter-D/part-971", "source_publisher": "U.S. Office of the Federal Register / National Archives — eCFR (NOAA, Dept. of Commerce)", "source_is_official": true, "authoritative_status": "official_consolidation", "text_fidelity": "extracted_verified", "content_hash": "sha256:05e196e4d37d0d905d07dffba5c43e49a2b6f9e260d0a4f010f8b5351bf9aee4", "original_sha256": "sha256:050a8c0b7349e5950a80dc7af391f4f966615e152556b29fba6883082a1192b7", "text_sha256": "sha256:05e196e4d37d0d905d07dffba5c43e49a2b6f9e260d0a4f010f8b5351bf9aee4", "license": "us-gov-public-domain", "rights_note": "U.S. Government work, public domain. eCFR self-describes as \"authoritative but unofficial\"; official codification is the annual GPO CFR, promulgation of record is the Federal Register.", "provenance_note": "US NON-UNCLOS PARALLEL TRACK (JC-001). NOAA's regulations implementing the DSHMRA commercial-recovery-permit regime; operates OUTSIDE the ISA. Byte-exact official eCFR-print PDF (human download, current as of 1 July 2026, 58 pp.) stored as original.pdf; incorporates the 7 July 2025 final rule. Extracted with pdftotext and cleaned (eCFR page furniture removed; \"§ 971.NNN\" rendered \"Section 971.NNN\"; Authority/Source credits retained; no wording altered).", "text": "15 CFR Part 971 — Deep Seabed Mining Regulations for Commercial Recovery Permits (up to date as of 1 July 2026)\n\nAuthority: 30 U.S.C. 1401 et seq.\n\nSource: 54 FR 525, Jan. 6, 1989, unless otherwise noted.\n\nSubpart A—General\n\nSection 971.100. Purpose. The purpose of this part is to implement the responsibilities and authorities of the Administrator of the National Oceanic and Atmospheric Administration (NOAA) pursuant to Public Law 96-283, the Deep Seabed Hard Mineral Resources Act (the Act), to issue to eligible United States citizens permits for the commercial recovery of deep seabed hard minerals.\n\nSection 971.101. Definitions. For purposes of this part, the term\n\n(a) Act means the Deep Seabed Hard Mineral Resources Act (Pub. L. 96-283; 94 Stat. 553; 30 U.S.C. 1401 et seq.);\n\n(b) Administrator means the Administrator of the National Oceanic and Atmospheric Administration, or the Administrator's designee;\n\n(c) Affected State means any State with a coastal zone management program approved under Section 306 of the Coastal Zone Management Act, as amended, where coastal zone land and water uses are affected by the issuance of a commercial recovery permit under the provisions of the Act or this part;\n\n(d) Applicant means an applicant for a commercial recovery permit pursuant to the Act and this part; as used in § 971.214, applicant means an applicant using the consolidated exploration license and commercial recovery permit application process; as used in subparts H, I and J of this part, “applicant” also means an applicant for an exploration license pursuant to the Act and part 970 of this chapter. “Applicant” also means a proposed permit transferee;\n\n(e) Commercial recovery means—\n\n(1) Any activity engaged in at sea to recover any hard mineral resource at a substantial rate for the primary purpose of marketing or commercially using such resource to earn a net profit, whether or not such net profit is actually earned;\n\n(2) If such recovered hard mineral resource will be processed at sea, such processing; and\n\n(3) If the waste of such activity to recover any hard mineral resource, or of such processing at sea, will be disposed of at sea, such disposal;\n\n(f) Continental Shelf means—\n\n(1) The seabed and subsoil of the submarine areas adjacent to the coast, but outside the area of the territorial sea, to a depth of 200 meters or, beyond that limit to where the depth of the superjacent waters admits of the exploitation of the natural resources of such submarine area; and\n\n(2) The seabed and subsoil of similar submarine areas adjacent to the coast of islands;\n\n(g) Controlling interest, for purposes of paragraph (v)(3) of this section, means a direct or indirect legal or beneficial interest in or influence over another person arising through ownership of capital stock, interlocking directorates or officers, contractual relations, or other similar means, which substantially affect the independent business behavior of such person;\n\n(h) Deep seabed means the seabed, and the subsoil thereof to a depth of ten meters, lying seaward of and outside—\n\n(1) The Continental Shelf of any nation; and\n\n(2) Any area of national resource jurisdiction of any foreign nation, if such area extends beyond the Continental Shelf of such nation and such jurisdiction is recognized by the United States; (i) Environment or environmental as used in the definitions of “irreparable harm” and “significant adverse environmental effect” means or pertains to the deep seabed and ocean waters lying at and within the permit area, and in surrounding areas including transportation corridors to the extent that they might be affected by the commercial recovery activities, and the living and non-living resources of those areas; (j) Exploration means—\n\n(1) Any at-sea observation and evaluation activity which has, as its objective, the establishment and documentation of— (i) The nature, shape, concentration, location, and tenor of a hard mineral resource; and\n\n(ii) The environmental, technical, and other appropriate factors which must be taken into account to achieve commercial recovery; and\n\n(2) The taking from the deep seabed of such quantities of any hard mineral resource as are necessary for the design, fabrication and testing of equipment which is intended to be used in the commercial recovery and processing of such resource;\n\n(k) Hard mineral resource means any deposit or accretion on, or just below, the surface of the deep seabed of nodules which include one or more minerals, at least one of which is manganese, nickel, cobalt, or copper; (l) Irreparable harm means significant undesirable effects to the environment occurring after the date of the permit issuance which will not be reversed after cessation or modification of the activities authorized under the permit;\n\n(m) Licensee means the holder of a license issued under NOAA regulations to engage in exploration;\n\n(n) NOAA means the National Oceanic and Atmospheric Administration;\n\n(o) Permittee means the holder of a permit issued or transferred under this part to engage in commercial recovery;\n\n(p) Person means any United States citizen, any individual, and any corporation, partnership, joint venture, association, or other entity organized or existing under the laws of any nation;\n\n(q) Reciprocating state means any foreign nation designated as such by the Administrator under section 118 of the Act;\n\n(r) Recovery plan or commercial recovery plan means the plan submitted by an applicant for a commercial recovery permit pursuant to § 971.203 or, as applicable, pursuant to § 971.214;\n\n(s) Significant adverse environmental effect means:\n\n(1) Important adverse changes in ecosystem diversity, productivity, or stability of the biological communities within the environment;\n\n(2) threat to human health through direct exposure to pollutants or through consumption of exposed aquatic organisms; or\n\n(3) important loss of aesthetic, recreational, scientific or economic values;\n\n(t) State agency means the agency responsible for implementing the responsibilities of section 306(c)(5) under the Coastal Zone Management Act, as amended, and 15 CFR part 930;\n\n(u) United States means the several States, the District of Columbia, the Commonwealth of Puerto Rico, American Samoa, the United States Virgin Islands, Guam, and any other Commonwealth, territory, or possession of the United States; and\n\n(v) United States citizen means—\n\n(1) Any individual who is a citizen of the United States;\n\n(2) Any corporation, partnership, joint venture, association, or other entity organized or existing under the laws of any of the United States; and\n\n(3) Any corporation, partnership, joint venture, association, or other entity (whether organized or existing under the laws of any of the United States or a foreign nation) if the controlling interest in such entity is held by an individual or entity described in paragraph (v)(1) or (v)(2). [54 FR 525, Jan. 6, 1989, as amended at 91 FR 2672, Jan. 21, 2026]\n\nSection 971.102. Nature of permits.\n\n(a) A permit issued under this part authorizes the holder thereof to engage in commercial recovery within a specific portion of the sea floor consistent with the provisions of the Act and this part and consistent with the specific terms, conditions, and restrictions (TCRs) applied to the permit by the Administrator.\n\n(b) A permit issued under this part is exclusive with respect to the holder thereof as against any other United States citizen or any citizen, national or governmental agency of, or any legal entity organized or existing under the laws of, any reciprocating state.\n\n(c) A valid existing license under 15 CFR part 970 will entitle the holder, if otherwise eligible under the provisions of the Act and implementing regulations, to a permit for commercial recovery from an area selected from within the license area. Such a permit will recognize the right of the holder to recover hard mineral resources, and to own, tranport, use, and sell hard mineral resources recovered under the permit and in accordance with the requirements of the Act and this part.\n\nSection 971.103. Prohibited activities and restrictions.\n\n(a) Prohibited activities and exceptions.\n\n(1) No United States citizen may engage in any commercial recovery unless authorized to do so under— (i) A permit issued pursuant to the Act and implementing regulations;\n\n(ii) A license, permit or equivalent authorization issued by a reciprocating state; or\n\n(iii) An international agreement which is in force with respect to the United States.\n\n(2) The prohibitions of paragraph (a)(1) of this section do not apply to any of the following activities: (i) Scientific research, including that concerning hard mineral resources;\n\n(ii) Mapping, or the taking of any geophysical, geochemical, oceanographic, or atmospheric measurements or random bottom samplings of the deep seabed, if such taking does not significantly alter the surface or subsurface of the seabed or significantly affect the environment;\n\n(iii) The design, construction, or testing of equipment and facilities which will or may be used for exploration or commercial recovery, if such design, construction or testing is conducted onshore, or does not involve the recovery of any but incidental hard mineral resources;\n\n(iv) The furnishing of machinery, products, supplies, services, or materials for any exploration or commercial recovery conducted under a license or permit issued under the Act and implementing regulations, a license or permit or equivalent authorization issued by a reciprocating state, or any relevant international agreement; and\n\n(v) Activities, other than exploration or commercial recovery activities, of the Federal Government.\n\n(3) No United States citizen may interfere or participate in interference with any activity conducted by any permittee which is authorized to be undertaken under a permit issued by the Administrator to a permittee under the Act or with any activity conducted by the holder of, and authorized to be undertaken under, a license or permit or equivalent authorization issued by a reciprocating state for the commercial recovery of hard mineral resources. For purposes of this section, interference includes physical interference with activities authorized by the Act, this part, and a license or permit issued pursuant thereto; the filing of a specious claim in the United States or any other nation; and any other activity designed to harass, or which has the effect of harassing, persons conducting deep seabed mining activities authorized by law. Interference does not include the exercise of any superior rights granted to United States citizens by the Constitution of the United States, or any Federal or State law, treaty, or agreement or regulation promulgated pursuant thereto.\n\n(4) United States citizens shall exercise their rights on the high seas with reasonable regard for the interests of other states in their exercise of the freedoms of the high seas.\n\n(b) Restrictions on issuance of permits. The Administrator will not issue any permit—\n\n(1) After the date on which any relevant international agreement is ratified by and enters into force with respect to the United States, except to the extent that issuance of the permit is not inconsistent with that agreement.\n\n(2) The recovery plan of which, submitted pursuant to the Act and implementing regulations, would apply to an area to which applies, or would conflict with: (i) Any exploration plan or recovery plan submitted with any pending application to which priority of right for issuance applies under 15 CFR part 970 or this part;\n\n(ii) Any exploration plan or recovery plan associated with any existing license or permit; or\n\n(iii) An equivalent authorization which has been issued, or for which formal notice of application has been submitted, by a reciprocating state prior to the filing date of any relevant application for licenses or permits pursuant to the Act and implementing regulations;\n\n(3) Authorizing commercial recovery within any area of the deep seabed in which exploration is authorized under a valid existing license if such permit is issued to a person other than the licensee for such area;\n\n(4) Which authorizes commercial recovery to commence before January 1, 1988;\n\n(5) The recovery plan for which applies to any area of the deep seabed if, within the 3-year period before the date of application for that permit: (i) The applicant therefor surrendered or relinquished such area under an exploration plan or recovery plan associated with a previous license or permit issued to such applicant; or\n\n(ii) A permit previously issued to the applicant had an exploration plan or recovery plan which applied to such area and such license or permit was revoked under section 106 of the Act;\n\n(6) Or approve the transfer of a permit, except to a United States citizen; or\n\n(7) That would authorize commercial recovery activities in an area other than for which the applicant therefore holds a valid exploration license under part 970 of this title.\n\nSection 971.104. OMB control number. The information collection requirements and reporting and recordkeeping requirements contained in this part were approved by the Office of Management and Budget under control number 0648-0170.\n\nSubpart B—Applications\n\nSection 971.200. General.\n\n(a) Who may apply; how. Any United States citizen holding a valid exploration license may apply to the Administrator for issuance of a commercial recovery permit for all or part of the area to which the license applies. Any holder of a commercial recovery permit may apply to the Administrator for transfer of the permit. Applications must be submitted in the form and manner described in this subpart.\n\n(b) Place, form and copies. An application for the issuance or transfer of a commercial recovery permit shall be submitted in electronic format, verified and signed by an authorized officer or other authorized representative of the applicant, to an email address or website as specified by NOAA. The application format shall be organized according to the specific regulatory topics and sections. For applications received electronically after the close of business, for purposes of computing the Administrator's required response time, the application shall be deemed to be received at 8 a.m. eastern time on the next business day.\n\n(c) General contents. The application must contain a proposed commerical recovery plan and the financial, technical, environmental and other information specified in this part, which in total are necessary for the Administrator to make the determinations required by the Act and this part. Although the ultimate standards for determinations under these rules are identical for both transferees and original preexisting licensees, NOAA anticipates that applicants who are transferees will have to supply more information with the application than licensees will [see subsection (e) in this section].\n\n(d) Identification of requirements. Each portion of the application should identify the requirements of this part to which it responds.\n\n(e) Information previously submitted in connection with an exploration license. Information previously submitted as part of an exploration license application, as well as information submitted during the course of license activities (such as data included in annual reports to NOAA), may be incorporated in the commercial recovery permit application by reference.\n\n(f) Request for confidential treatment of information. If an applicant wishes to have any information in its application not be subject to public disclosure, it must so request, at the time of submitting the information, pursuant to § 971.802 which will govern disposition of the request.\n\n(g) Pre-application consultation. The Administrator will make NOAA staff available to potential applicants for pre-application consultations on how to respond to the provisions of this part. In appropriate circumstances, the Administrator will provide written confirmation to the applicant of oral guidance resulting from such consultations. Such consultation is required for the purpose of § 971.207. The applicant is encouraged to consult with affected States as early as is practicable [see also §§ 971.213 and 971.606(b)].\n\n(h) Compliance with Federal consistency requirements. An applicant for a commercial recovery permit must comply with all necessary requirements, including procedures, pursuant to 15 CFR part 930, subpart D. Applications and other necessary data and information must be transmitted to the designated State agency as prescribed under 15 CFR 930.50. [54 FR 525, Jan. 6, 1989, as amended at 91 FR 2672, Jan. 21, 2026] CONTENTS\n\nSection 971.201. Statement of financial resources.\n\n(a) General. The application must contain information sufficient to demonstrate to the Administrator pursuant to § 971.301 that, upon issuance or transfer of the permit, the applicant will have access to the financial resources to carry out, in accordance with this part, the commercial recovery program set forth in the applicant's commercial recovery plan.\n\n(b) Specific. In particular, the information on financial resources is expected to be general in nature but must include the likely sources and timing of funds to meet the applicant's scheduled expenditures in the recovery plan. These sources may include cash flow, reserves, and outside funding.\n\nSection 971.202. Statement of technological experience and capabilities.\n\n(a) General. The application must contain information sufficient to demonstrate to the Administrator pursuant to § 971.301 that, upon issuance or transfer of the permit, the applicant will have the technological capability to carry out, in accordance with the regulations contained in this part, the commercial recovery program set out in the applicant's commercial recovery plan.\n\n(b) Specific. In particular, the information submitted pursuant to this section must describe the equipment, knowledge, and skills the applicant possesses, or to which it can demonstrate access [see § 971.200(e)]. The information must include:\n\n(1) A description of the technology or the equipment and methods to be used by the applicant in carrying out each step in the mining process, including nodule collection, retrieval, transfer to ship, environmental monitoring, transport to processing facilities, nodule processing, waste disposal and compliance with applicable water quality standards. The description must include: (i) An analysis of the performance of experimental systems, sub-systems, or analogous machinery;\n\n(ii) The rationale for extrapolating from test results to commercial mining. The more test data offered with the application the less analysis will be expected; and\n\n(iii) Anticipated system reliability within the context of anticipated production time lost through equipment failure.\n\n(2) A functional description of the types of technical persons on whom the applicant will rely to operate its equipment.\n\nSection 971.203. Commercial recovery plan.\n\n(a) General. The application must include a proposed commercial recovery plan which describes the applicant's projected commercial recovery activities, in a general way, for the twenty year period to be covered by the proposed permit. Although preliminary and subject to change, the plan must be more detailed for that portion of the permit term leading up to the initiation of commercial recovery. The plan must include sufficient information for the Administrator, pursuant to this part, to make the necessary determinations pertaining to the certification and issuance or transfer of a permit and to the development and enforcement of the TCRs for a permit.\n\n(b) Specific. The plan must include:\n\n(1) A description of the activities proposed to be carried out during the period of the permit;\n\n(2) The intended schedule of commercial recovery (see “Diligent commercial recovery,” § 971.503);\n\n(3) Environmental safeguards and monitoring systems, which must take into account requirements under subpart F of this part, including best available technologies (BAT) (§ 971.604) and monitoring (§ 971.603);\n\n(4) Details of the area or areas proposed for commercial recovery, which meet requirements for diligence (§ 971.503) and conservation of resources pursuant to subpart E (especially § 971.502);\n\n(5) A resource assessment of the area or areas proposed for commercial recovery which meets the requirements for resource assessment and logical mining unit (§ 971.501);\n\n(6) A description of the methods and technology to be used for commercial recovery and processing (see § 971.202(b)(1)); and\n\n(7) The methods to be used for disposal of wastes from recovery and processing, including the areas for disposal and identification of any toxic substances in wastes.\n\nSection 971.204. Environmental and use conflict analysis.\n\n(a) Environmental information submission. The application must be supported by sufficient marine environmental information for the Administrator to prepare an environmental impact statement (EIS) on the proposed mining activities, and to determine the appropriate permit TCRs based on environmental characteristics of the requested minesite. The Administrator may require the submission of additional data, in the event he determines that the basis for a suitable EIS, or a determination of appropriate TCRs, is not available. (b)\n\n(1) In preparing the EIS, the Administrator will attempt to characterize the environment in such a way as to provide a basis for judging the potential for significant adverse effects or irreparable harm triggered by commercial mining (see subpart F). In compiling these data, the Administrator will utilize existing information including the relevant license EIS, additional exploration data acquired by the applicant, and other data in the public domain.\n\n(2) The EIS must present adequate physical, chemical, and biological information for the permit area. If the permit area lies within the area of NOAA's Deep Ocean Mining Environmental Study (DOMES), the parameters listed in NOAA's Technical Guidance Document pertaining to the upper and lower water column should be included. Specifically, these parameters include: (i) Upper water column— Nutrients Endangered species Salinity, temperature, density Currents.\n\n(ii) Lower water column and seafloor— Currents Suspended particulate matter dispersion Sediment characteristics (mineralogy, particle size, shape and density, and water content) Topography Benthos.\n\n(3) For a permit area outside the DOMES area, the applicant is encouraged to consult with NOAA at the earliest opportunity in order to determine the specific parameters to be measured based on the location and specific environmental characteristics of the permit area. The Administrator, in consultation with the Administrator of the Environmental Protection Agency and with the assistance of other appropriate Federal agencies, may determine that a programmatic EIS is required for any new area.\n\n(c) The application must include a monitoring plan for test mining and at-sea commercial recovery activities which meets the objectives and requirements of § 971.603.\n\n(d) Use conflict analysis. The application must include information known to the applicant on other uses of the proposed mining area to support the Administrator's determination regarding potential use conflicts between commercial mining activities and those activities of other nations or of other U.S. citizens.\n\n(e) Onshore information. Because of NEPA requirements, the Administrator must include in the EIS on the proposed permit the complete spectrum of activities resulting from the issuance of a permit. Therefore, onshore information including the location and operation of nodule processing facilities must be submitted with the application in accordance with the details in § 971.606.\n\nSection 971.205. Vessel safety and documentation. In order to provide a basis for the necessary determinations with respect to the safety of life and property at sea, pursuant to § 971.407, § 971.422 and Subpart G of this part, the application must contain the following information for vessels used in commercial recovery, except for those vessels under 300 gross tons which are engaged in oceanographic research:\n\n(a) U.S. flag vessel. All mining ships and at least one of the transport ships used by each permittee must be documented under the laws of the United States. To the extent that the applicant knows which United States flag vessels it will use, it must include with its application copies of the vessels' current valid Coast Guard Certificates of Inspection.\n\n(b) Foreign flag vessels. To the extent that the applicant knows which foreign flag vessel(s) it will be using for other purposes, the application must include evidence of the following:\n\n(1) That any foreign flag vessel whose flag state is party to the International Convention for the Safety of Life at Sea, 1974 (SOLAS 74) possesses current valid SOLAS 74 certificates;\n\n(2) That any foreign flag vessel whose flag state is not party to SOLAS 74 but is party to the International Convention for the Safety of Life at Sea, 1960 (SOLAS 60) possesses current valid SOLAS 60 certificates; and\n\n(3) That any foreign flag vessel whose flag state is not a party to either SOLAS 74 or SOLAS 60 meets all applicable structural and safety requirements contained in the published rules of a member of the International Association of Classification Societies (IACS).\n\n(c) Supplemental certificates. If the applicant does not know at the time of submitting an application which vessels it will be using, it must submit the applicable certification for each vessel before the cruise on which it will be used.\n\nSection 971.206. Statement of ownership.\n\n(a) General. The application must include sufficient information to demonstrate that the applicant is a United States citizen.\n\n(b) Specific. In particular, the application must include:\n\n(1) Name, address, and telephone number of the United States citizen responsible for commercial recovery operations;\n\n(2) A description of the citizen or citizens engaging in commercial recovery, including: (i) Whether the citizen is a natural person, partnership, corporation, joint venture, or other form of association;\n\n(ii) The state of incorporation or state in which the partnership or other business entity is registered;\n\n(iii) The name and place of business of the registered agent or equivalent representative to whom notices and orders are to be delivered;\n\n(iv) Copies of all essential and nonproprietary provisions in articles of incorporation, charter or articles of association; and\n\n(v) The name of each member of the association, partnership, or joint venture, including information about the participation and/or ownership of stock of each partner or joint venturer.\n\nSection 971.207. Antitrust information. In order to support the antitrust review referenced in § 971.211, the application must contain information sufficient, in the applicant's view and based on preapplication consultations pursuant to § 971.200(g), to identify the applicant and describe any significant existing market share it has with respect to the mining or marketing of the metals proposed to be recovered under the permit.\n\nSection 971.208. Fee.\n\n(a) General. Section 104 of the Act provides that no application for the issuance or transfer of a permit will be certified unless the applicant pays to NOAA an administrative fee which reflects the reasonable administrative costs incurred in reviewing and processing the application.\n\n(b) Amount. A fee payment of $100,000 payable to the National Oceanic and Atmospheric Administration, Department of Commerce, shall be submitted prior to or concurrent with each application; the application should state the method of payment and the date the payment was submitted. If the administrative costs of reviewing and processing the application are significantly less than or in excess of $100,000, the Administrator, after determining the amount of the under- or over-charge, as applicable, will refund the difference or require the applicant to pay the additional amount before issuance or transfer of the permit. In the case of an application for transfer of a permit to, or for a significant change to a permit held by, an entity which has previously been found qualified for a permit, the Administrator may reduce the fee in advance by an appropriate amount which reflects costs avoided by reliance on previous findings made in relation to the proposed transferee. [54 FR 525, Jan. 6, 1989, as amended at 91 FR 2672, Jan. 21, 2026]\n\nSection 971.209. Processing outside the United States.\n\n(a) Except as provided in this section and § 971.408, the processing of hard minerals recovered pursuant to a permit shall be conducted within the U.S., provided that the President or his designee does not determine that this restriction contravenes the overriding national interests of the United States.\n\n(b) If foreign processing is proposed, the applicant shall submit a justification demonstrating the basis for a finding pursuant to § 971.408(a)(1). The justification shall include an analysis of each factor which the applicant considers essential to its conclusion that processing at a site within the U.S. is not economically viable.\n\n(c) If the Administrator determines that the justification provided by the applicant is insufficient, or if the Administrator receives during the public comment or hearing period what the Administrator determines to be a serious alternative U.S. processing site proposal, the Administrator may require the applicant to supply, within a specified reasonable time, additional information relevant to the § 971.408(a)(1) finding.\n\n(d) The applicant must include in its application satisfactory assurances that such resources after processing, to the extent of the permittee's ownership therein, will be returned to the United States for domestic use if the Administrator determines pursuant to § 971.408 that the national interest necessitates such return. Assurances must include proposed arrangements with the host country. PROCEDURES\n\nSection 971.210. Determination whether application is complete for further processing. Upon receipt of an application, the Administrator will review it to determine whether it includes information specifically identifiable with and fully responsive to each requirement in § 971.201 through § 971.209. The Administrator will notify the applicant whether the application is complete within 60 days after it is received. The notice will identify, if applicable, in what respects the application is not complete, and will specify the information which the applicant must submit in order to make it complete, why the additional information is necessary, and a reasonable date by which the application must be completed. Application processing will not begin until the Administrator determines that the application is complete.\n\nSection 971.211. Consultation and cooperation with Federal agencies.\n\n(a) Promptly after receipt of an application that the Administrator has determined pursuant to § 971.210 is complete, the Administrator will distribute a copy of the application to every Federal agency or department which, pursuant to section 103(e) of the Act, has identified programs or activities within its statutory responsibilities which would be affected by the activities proposed in the application (e.g., the Departments of State, Transportation, Justice, Interior, Defense, Treasury and Labor, as well as the Environmental Protection Agency, Federal Trade Commission, International Trade Administration and National Science Foundation). Based on its legal responsibilities and authorities, each such agency or department may, not later than 60 days after it receives a copy of the application, recommend certification of the application, issuance or transfer of the permit, or denial of such certification, issuance or transfer. The advice or recommendation by the Attorney General or Federal Trade Commission on antitrust review, pursuant to section 103(d) of the Act, must be submitted within 90 days after their receipt of a copy of the application.\n\n(b) NOAA will use this process of consultation and cooperation to facilitate necessary Federal decisions on proposed commercial recovery activities, pursuant to the mandate of section 103(e) of the Act to reduce the number of separate actions required to satisfy Federal agencies' statutory responsibilities. The Administrator will not issue or transfer the permit during the 90 day period after receipt by the Attorney General and the Federal Trade Commission except upon written confirmation of the Attorney General and the Federal Trade Commission that neither intends to submit further comments or recommendations with respect to the application.\n\n(c) In any case in which a Federal agency or department recommends a denial, it must set forth in detail the manner in which the application does not comply with any law or regulation within its area of responsibility and how the application may be amended, or how TCRs might be added to the permit, to assure compliance with such law or regulation.\n\n(d) NOAA will cooperate with such agencies and with the applicant with the goal of resolving any concerns raised and satisfying the statutory responsibilities of these agencies.\n\n(e) If the Administrator decides to issue or transfer a permit with respect to which denial of the issuance or transfer has been recommended by the Attorney General or the Federal Trade Commission, or to issue or transfer a permit without imposing TCRs recommended by the Attorney General or the Federal Trade Commission, as appropriate, the Administrator will, before or at issuance or transfer of the permit, notify the Attorney General and the Federal Trade Commission of the reasons for his decision.\n\nSection 971.212. Public notice, hearing and comment.\n\n(a) Notice and comments. The Administrator will publish in the FEDERAL REGISTER, for each complete application for issuance or transfer of a commercial recovery permit, notice that the application has been received. Subject to § 971.802, interested persons will be allowed to examine the materials relevant to the application, and will have at least 60 days after publication of notice to submit written comments to the Administrator.\n\n(b) Hearings. After preparation of the draft environmental impact statement (EIS) on an application, the Administrator will hold a public hearing on the application and the draft EIS in an appropriate location and may employ additional methods he/she deems appropriate to inform interested persons about each application and to invite comments thereon. A hearing will be conducted in any State in which a processing plant or any of its ancillary facilities (such as a marine terminal or a waste disposal facility) are proposed to be located.\n\n(c) If the Administrator determines there exist one or more specific and material factual issues which require resolution by formal processes, at least one formal hearing will be held in the District of Columbia metropolitan area in accordance with the provisions of Subpart I of this part. The record developed in any such formal hearing will be part of the basis of the Administrator's decisions on an application.\n\n(d) Hearings held pursuant to this section and other procedures will be consolidated, if practicable, with hearings held and procedures employed by other Federal and State agencies.\n\nSection 971.213. Amendment to an application. After an application has been submitted to the Administrator, but before a determination is made on the issuance or transfer of a permit, the applicant must submit an amendment to the application if there is a significant change in the circumstances represented in the original application which affects the requirements of this subpart. Applicants should consult with NOAA to determine if changes in circumstances are sufficiently significant to require submission of an amendment. The application, as amended, would then serve as the basis for determinations by the Administrator under this part. For each amendment judged by the Administrator to be significant, the Administrator will provide a copy of that amendment to each other Federal agency and department which received a copy of the original application, and also will provide for public notice, hearing and comment on the amendment pursuant to § 971.212. After the issuance or transfer of a permit, any revision of the permit will be made pursuant to\n\nSection 971.413. . Any amendment or modification which would cause coastal zone effects substantially different than. those originally reviewed by the state agency would be subject to Federal consistency review as prescribed in 15 CFR part 930.\n\nSection 971.214. Consolidated license and permit procedures.\n\n(a) Applicability and Order of Precedence. This section shall govern all consolidated applications that seek both an exploration license and a commercial recovery permit under the Act. Consolidated license and permit applications shall follow the requirements in this section and not the requirements set forth in §§ 970.200 through 970.208 of this chapter, §§ 970.400 through 970.408 of this chapter, and §§ 971.200 through 971.210, and 971.300 through 971.303. All other requirements set forth in 15 CFR parts 970 and 971 that are not in conflict with the requirements of this section shall apply to a consolidated license and permit application, and all the sections in part 970 of this chapter and this part, except for this section, shall continue to apply to individual license or permit applications. With respect to consolidated applications filed under this section, in the event of any conflict or inconsistency between any provision of this section and any provision of part 970 of this chapter and this part, the provision of this section shall control.\n\n(b) Who may apply; how. Any United States citizen who can demonstrate that he, she, or it possesses the scientific, technical, and financial resources to pursue commercial recovery activities in an expeditious and diligent manner may apply to the Administrator for issuance or transfer of an exploration license and a commercial recovery permit using the “consolidated license and permit procedures” as set out in this section. Under these consolidated procedures, a qualified applicant may submit a single consolidated application that seeks both an exploration license and a commercial recovery permit. The Administrator shall issue an exploration license and a commercial recovery permit to the applicant if the application complies with the Act and regulations. The Administrator shall consolidate public hearings and other proceedings for the concurrent processing of the issue or transfer of the license or permit to the extent practicable. The Administrator may prepare a single environmental impact statement that evaluates the impacts of both exploration activities and commercial recovery activities, rather than one environmental impact statement for the exploration license and another environmental impact statement for the commercial recovery permit. Further, the Administrator shall prepare and issue separate proposals to issue or transfer the license or permit, in accordance with §§ 970.500 of this chapter and § 971.400; each proposed license or permit will have its own proposed terms, conditions, and restrictions.\n\n(c) Application and form of applications. The application shall contain the information required in paragraph\n\n(d) of this section, in the order they appear. Each portion of the application shall identify the requirements of this section to which it responds. An applicant shall request to have any information in its application be kept confidential at the time of submitting the information. An applicant shall include information previously submitted that the applicant will rely on in the consolidated license and permit application. Applications shall be submitted electronically as specified by the Administrator. For applications received electronically after the close of business, for purposes of computing the Administrator's required response time, the application shall be deemed to be received at 8 a.m. eastern time on the next business day.\n\n(d) Contents. The application shall contain information sufficient to enable the Administrator to make the findings set forth in 30 U.S.C. 1415(a) and 15 CFR 970.500(c), 971.214(e), and 971.400(c), including the items in paragraphs (d)(1) through (11) of this section.\n\n(1) Past exploration description and statement of diligence. A statement by the applicant demonstrating that it possesses the scientific, technical, and financial resources to pursue commercial recovery activities in an expeditious and diligent manner, and detailed support for this statement. Support for this statement may include descriptions of past exploration activities or other relevant information, including, to the extent applicable, paragraphs (d)(1)(i) through (iii) of this section (to the extent this information is not applicable, the application should affirmatively state so): (i) The description of past exploration activities shall contain information on what relevant work, if any, was performed prior to application submission by the applicant, the proposed transferor, or other entities prior to application. This description shall also include when the work was performed, what entity performed the work, the applicant's relationship to the entity performing the work, and the information collected as a result, including the items in paragraphs (d)(1)(i)(A) through (F) of this section: (A) Survey cruises to determine the location and abundance of nodules as well as the sea floor configuration, ocean currents and other physical characteristics of potential commercial recovery sites; (B) Assaying nodules to determine their metal contents; (C) Designing and testing system components onshore and at sea; (D) Designing and testing mining systems that simulate commercial recovery; (E) Designing and testing processing systems to prove concepts and designing and testing systems that simulate commercial processing; and (F) Evaluating the continued feasibility of commercial scale operations based on technical, economic, legal, and environmental considerations.\n\n(ii) An explanation, with support, for why the applicant qualifies to use the consolidated license and permit procedures in this section, including demonstrating that the applicant possesses the scientific, technical, and financial resources to pursue commercial recovery activities in an expeditious and diligent manner. Support for this statement may include, but is not limited to, past exploration activities (described in paragraph (d)(1)(i) of this section), any other relevant prior work or experience of the applicant or affiliates of the applicant, including work in ocean exploration, mineral extraction, or processing, or other relevant information, such as access to or analysis of information regarding resource assessments or sea floor data, agreements with other entities experienced in deep-sea exploration or commercial recovery, access to or the development of relevant emergent technologies, or any other information the applicant deems to be relevant to and supportive of its assertion it is qualified to use the consolidated application.\n\n(iii) Documentation of any agreements, contracts, or partnerships of other businesses or entities that the applicant will rely on for the various parts of any exploration or commercial recovery operations or financing.\n\n(2) Statement of financial resources. Information sufficient to demonstrate that the applicant is capable of committing or raising sufficient resources to cover the estimated costs of the exploration program contained in the exploration plan and the commercial recovery program contained in the commercial recovery plan, required by paragraphs (d)(4) and (5) of this section, including general estimated costs of the exploration and commercial recovery plans. In addition to general estimated costs, the application shall provide an estimated schedule of expenditures that lists estimated expenditures for the work proposed in both the exploration plan and the recovery plan. Other information shall include, to the extent it is available, the most recent audited financial statement (for publicly-held companies, the most recent annual report and Form 10-K filed with the Securities and Exchange Commission) for the applicant and those entities upon which the applicant will rely to finance the exploration activities and the credit and bond rating of the applicant and such financing entities. An applicant may provide other economic analyses to demonstrate the ability to raise sufficient financial resources, including an internal rate of return (IRR) analysis.\n\n(3) Statement of technological experience and capabilities. Information sufficient to demonstrate that the applicant possesses or has access to the technological capability to carry out the exploration program contained in the exploration plan and the commercial recovery program contained in the commercial recovery plan. In particular, the information submitted pursuant to this section shall describe the equipment, knowledge, and skills the applicant possesses or to which it can demonstrate access, including: (i) A description of the exploration equipment to be used by the applicant in carrying out the exploration program;\n\n(ii) A description of the environmental monitoring equipment to be used by the applicant in monitoring the environmental effects of the exploration program;\n\n(iii) A description of the technology, equipment, and methods to be used by the applicant in carrying out each step in the mining process, including nodule collection, retrieval, transfer to ship, environmental monitoring, transport to processing facilities, nodule processing, waste disposal and compliance with applicable water quality standards. The description shall include: (A) An analysis of the performance of experimental systems, sub-systems, or analogous machinery; (B) The rationale for extrapolating from test results to commercial mining; (C) Anticipated system reliability within the context of anticipated production time lost through equipment failure; and (D) A functional description of the types of technical qualifications the applicant will require for persons operating its equipment.\n\n(4) Exploration plan. A description of the applicant's proposed exploration activities including sufficient information for the Administrator to make the necessary determinations pertaining to the certification and issuance of a license and to the development and enforcement of the terms, conditions and restrictions (TCRs) for a license; and the specific items in paragraphs (d)(4)(i) through (iv) of this section: (i) A description of the activities proposed to be carried out during the period of the license;\n\n(ii) A description of the area that will be explored, including its delineation according to § 970.601 of this chapter;\n\n(iii) The intended exploration schedule addressing which of the exploration activities in paragraphs (d)(4)(iii)(A) through (F) of this section the applicant intends to conduct after the issuance of the license and when each of these proposed activities will occur: (A) Conducting survey cruises to determine the location and abundance of nodules as well as the sea floor configuration, ocean currents and other physical characteristics of potential commercial recovery sites; (B) Assaying nodules to determine their metal contents; (C) Designing and testing system components onshore and at sea, or an explanation as to why this is not necessary; (D) Designing and testing mining systems which simulate commercial recovery, or an explanation as to why this is not necessary; (E) Designing and testing processing systems to prove concepts and designing and testing systems which simulate commercial processing; and (F) Evaluating the continued feasibility of commercial scale operations based on technical, economic, legal, political and environmental considerations;\n\n(iv) For exploration activities that the applicant intends to conduct under an exploration license: (A) A description of the methods to determine the location, abundance, and quality (i.e., assay) of nodules and to measure physical conditions in the area that will affect nodule recovery system design and operations (e.g., seafloor topography, seafloor geotechnical properties, and currents); (B) A general description of the recovery and processing technology related to the proposed license and of any planned testing and evaluation of such technology addressing such factors as nodule collection technique, seafloor sediment rejection subsystem, mineship nodule separation scheme, pumping method, anticipated equipment test areas, and details on the testing plan; and (C) Measures to protect the environment and to monitor the effectiveness of environmental safeguards and monitoring systems. These measures shall take into account the provisions in §§ 970.506, 970.518, 970.522 of this chapter and subpart G of part 970 of this chapter.\n\n(5) Commercial Recovery Plan. Description of the applicant's projected commercial recovery activities for the twenty-year period to be covered by the proposed permit, including: sufficient information for the Administrator to make the necessary determinations pertaining to the certification and issuance of a permit and to the development and enforcement of the TCRs for a permit; and the specific items in paragraphs (d)(5)(i) through (vii) of this section: (i) A description of the activities proposed to be carried out during the period of the permit;\n\n(ii) The intended schedule of commercial recovery (see “Diligent commercial recovery,” § 971.503);\n\n(iii) Environmental safeguards and monitoring systems, which may evolve over time in light of the findings of any environmental impact statements (EIS) that the Administrator prepares on the proposed activities in the consolidated license and permit application and as required for project development phases and shall take into account requirements under subpart F of this part, including best available technologies (BAT) (§ 971.604) and monitoring (§ 971.603);\n\n(iv) Details of the area or areas proposed for commercial recovery, which meet requirements for diligence (§ 971.503) and conservation of resources pursuant to subpart E of this part (including § 971.502);\n\n(v) A resource assessment of the area or areas proposed for commercial recovery which addresses the requirements for resource assessment and logical mining unit (§ 971.501) to the extent practicable. The resource assessment may be preliminary at the time of application and may be supplemented following completion of any EISs or during the duration of the license or permit, as additional information is collected;\n\n(vi) A description of the methods and technology to be used for commercial recovery and processing (see § 971.202(b)(1)); and\n\n(vii) The methods to be used for disposal of wastes from recovery and processing, including the areas for disposal and identification of any toxic substances in wastes.\n\n(6) Environmental and use conflict analysis. Sufficient marine environmental information for the Administrator to prepare any environmental impact statements (EIS) on the proposed activities in the consolidated license and permit application and to determine the appropriate permit TCRs, including the items in paragraphs d(6)(i) through (iv) of this section. The Administrator may require the submission of additional data in the event the Administrator determines that the bases for suitable EISs or a determination of appropriate TCRs is not available. (i) Physical, chemical and biological information describing the environmental characteristics of the relevant area, including relevant environmental information obtained during past exploration activities;\n\n(ii) A monitoring plan for any proposed but not yet completed exploration activities, including test mining, and any at-sea commercial recovery activities that meet the objectives and requirements of § 971.603. The monitoring plan may be preliminary at the time of application and shall be finalized following completion of any EISs and in coordination with the development of the TCRs, incorporating relevant environmental data, impact modeling, and assessment outcomes;\n\n(iii) Information known to the applicant on other uses of the proposed mining area to support the Administrator's determination regarding potential use conflicts between commercial mining activities and those activities of other nations or of other U.S. citizens and to assist the Administrator in making determinations related to potential use conflicts pursuant to §§ 970.503, 970.505, and 970.520 of this chapter, and §§ 971.403, 971.405, and 971.421; and\n\n(iv) Onshore information including the location and operation of nodule processing facilities in accordance with § 971.606.\n\n(7) Vessel safety and documentation. In order to provide a basis for the necessary determinations with respect to the safety of life and property at sea, the application shall contain the information in paragraphs (d)(7)(i) through (iii) of this section for vessels used for the purposes covered by the application, except for vessels under 300 gross tons which are engaged in oceanographic research: (i) U.S. flag vessel. A demonstration or affirmation that any U.S. flag vessel used in exploration activities shall possess a current valid Coast Guard Certificate of Inspection (COI). All mining ships and at least one of the transport ships used by each permittee shall be documented under the laws of the United States. To the extent that the applicant knows which U.S. flag vessels it will use, it shall include with its application copies of the vessels' current valid Coast Guard COIs.\n\n(ii) Foreign flag vessels. To the extent that the applicant knows which foreign flag vessel(s) it will be using for other purposes, the application shall include evidence that: (A) Any foreign flag vessel whose flag state is party to the International Convention for the Safety of Life at Sea, 1974 (SOLAS 74) possesses current valid SOLAS 74 certificates; (B) Any foreign flag vessel whose flag state is not party to SOLAS 74 but is party to the International Convention for the Safety of Life at Sea, 1960 (SOLAS 60) possesses current valid SOLAS 60 certificates; and (C) Any foreign flag vessel whose flag state is not a party to either SOLAS 74 or SOLAS 60 meets all applicable structural and safety requirements contained in the published rules of a member of the International Association of Classification Societies (IACS).\n\n(iii) Supplemental certification. If the applicant does not know at the time of submitting an application which vessels it will be using, it shall submit the applicable certification to the Administrator for each vessel before the cruise on which it will be used.\n\n(8) Statement of Ownership. Sufficient information to demonstrate that the applicant is a U.S. citizen, including: (i) Name, address, and telephone number of the U.S. citizen responsible for exploration and commercial recovery operations to whom notices and orders are to be delivered; and\n\n(ii) A description of the citizen or citizens engaging in such exploration and commercial recovery, including: (A) Whether the citizen is a natural person, partnership, corporation, joint venture, or other form of association; (B) The state of incorporation or state in which the partnership or other business entity is registered; (C) The name of the registered agent or equivalent representative and places of business; (D) Copies of essential and nonproprietary provisions in articles of incorporation, charter or articles of association; and (E) The name of each member of the association, partnership, or joint venture, including information about the participation of each partner and joint venturer and/or ownership of stock.\n\n(9) Antitrust information. In order to facilitate antitrust review pursuant to section 103(d) of the Act, the application shall contain: (i) A copy of each agreement between any parties to any joint venture which is submitting a consolidated license and permit application, provided that said agreement relates to deep seabed hard mineral resource exploration or commercial recovery;\n\n(ii) The identity of any affiliate, as defined in § 970.101(d) of this chapter, of any person submitting a consolidated license and permit application; and\n\n(iii) For each applicant, its affiliate, or parent or subsidiary of an affiliate which is engaged in production in, or the purchase or sale in or to, the United States of copper, nickel, cobalt or manganese minerals or any metals refined from these minerals: (A) The annual tons and dollar value of any of these minerals and metals so purchased, sold or produced for the two preceding years; (B) Copies of the annual report, balance sheet and income statement for the two preceding years; and (C) Copies of each document submitted to the Securities and Exchange Commission.\n\n(10) Fee. A fee payment of $350,000 payable to the National Oceanic and Atmospheric Administration, Department of Commerce, shall be submitted prior to or concurrent with each application; the application should state the method of payment and the date the payment was submitted. If the administrative costs of reviewing and processing the application are significantly less than or in excess of $350,000, the Administrator shall refund the difference or require the applicant to pay the additional amount before issuance or transfer of the license or permit. In the case of an application for transfer of a license or permit to, or for a significant change to a license or permit held by, an entity that has previously been found qualified for a permit, the Administrator may reduce the fee in advance by an appropriate amount which reflects costs avoided by reliance on previous findings made in relation to the proposed transferee. Payment of the application fee does not determine priority of right.\n\n(11) Processing outside the United States. Except as provided in this section and § 971.408, the processing of nodules recovered pursuant to a permit shall be conducted within the United States, provided that the President or his designee does not determine that this restriction contravenes the overriding national interests of the United States. The application shall contain the information outlined in § 971.408 if applicable.\n\n(e) Certification. To the maximum extent practicable, the Administrator shall certify a consolidated application within 100 days of the submission of an application which is in full compliance. If final certification or denial of certification has not occurred within 100 days after submission of the application, the Administrator shall inform the applicant in writing of the then pending unresolved issues, the agency's efforts to resolve them, and an estimate of the time required to do so. Certification shall occur after consultation with other departments and agencies pursuant to § 970.211 of this chapter and\n\nSection 971.211. and determining in writing that:.\n\n(1) The applicant is qualified to use this consolidated license and permit application procedure as the applicant has demonstrated that the applicant possesses the scientific, technical, and financial resources to pursue commercial recovery activities in an expeditious and diligent manner.\n\n(2) The issuance or transfer of the license and the permit would not violate any of the restrictions of 15 CFR 970.103(b) or 971.103(b).\n\n(3) The size and location of the exploration and commercial recovery area selected by the applicant is approved, and this approval shall occur unless the Administrator determines that the area is not a logical mining unit under § 970.601 of this chapter and § 971.501, or commercial recovery activities in the proposed area would result in a significant adverse environmental effect which cannot be avoided by imposition of reasonable restrictions.\n\n(4) The applicant: (i) Has demonstrated that, upon issuance or transfer of the license and the permit, the applicant shall be financially responsible to meet all obligations which may be required to engage in its proposed exploration and commercial recovery activities;\n\n(ii) Has demonstrated that, upon issuance or transfer of the license and the permit, the applicant shall possess or have access to the technological capability to engage in the proposed exploration and commercial recovery;\n\n(iii) Has satisfactorily fulfilled all past obligations under any license or permit previously issued or transferred to the applicant under the Act;\n\n(iv) Has an exploration plan which meets the requirements of paragraph (d)(4) of this section;\n\n(v) Has a commercial recovery plan which meets the requirements of paragraph (d)(5) of this section; and\n\n(vi) Has paid the application fee specified in paragraph (d)(10) of this section.\n\n(f) Denial of certification. The Administrator may deny certification of an application if it does not meet the requirements of paragraph (e) of this section or the requirements for issuance or transfer under §§ 970.503 through 970.507 of this chapter or §§ 971.403 through 971.408. The Administrator shall send to the applicant and publish in the FEDERAL REGISTER written notice of a proposed denial of certification.\n\n(1) Such notice shall include: (i) The basis for the denial;\n\n(ii) If the basis for the proposed denial is because the applicant is not qualified to use the consolidated procedures under this subsection: (A) The reasons for that determination; (B) The time within which the applicant may submit an amended application for an exploration license under part 970 of this chapter without disturbing the applicant's priority of right, which shall be 60 days except as specified by the Administrator for good cause; and (C) The number of days from receipt of the amended application in which the Administrator shall certify or deny certification of the amended application in accordance with 15 CFR 970.400. The Administrator shall endeavor to complete certification of an amended application within 50 days of receipt.\n\n(iii) If the basis for the proposed denial is a deficiency that the applicant can correct: (A) How to correct the deficiency; and (B) The time within which the corrected application shall be submitted, which shall not exceed 180 days except as specified by the Administrator for good cause.\n\n(2) The Administrator shall deny certification: (i) On the 30th day after the date the notice is sent to the applicant, under paragraph (f) of this section unless before that date the applicant files with the Administrator a written request for an administrative review of the proposed denial; or\n\n(ii) On the last day of the period established under paragraph (f)(1)(ii)(B) of this section during which the applicant may submit an amended application for an exploration license under part 970 of this chapter, if the applicant fails to submit such an amended application before such day and an administrative review requested pursuant to paragraph (f)(2)(i) of this section is not pending;\n\n(iii) On the last day of the period established under paragraph (f)(1)(iii)(B) of this section during which the applicant may correct a deficiency, if such deficiency has not been corrected before such day and an administrative review requested pursuant to paragraph (f)(2)(i) of this section is not pending.\n\n(3) If a timely request for administrative review of the proposed denial is made by the applicant under paragraph (f)(2)(i) of this section, the Administrator shall promptly begin a formal hearing in accordance with subpart I of this part. If the proposed denial is the result of a correctable deficiency, the administrative review shall proceed concurrently with any attempts to correct the deficiency, unless the parties agree otherwise or the administrative law judge orders differently.\n\n(4) The Administrator shall send the applicant written notice of any denial of certification including the reasons therefore.\n\n(5) Any final determination granting or denying certification is subject to judicial review as provided in chapter 7 of title 5, United States Code.\n\n(g) Effect of this section on pending applications. Within 60 days of this rule becoming final, an applicant who has an application for a license pending before the Administrator may notify the Administrator in writing of its intention to proceed under these consolidated procedures. Such applicants shall submit an amended application that complies with this subpart, and the amended application shall be processed in accordance with this subpart, except that any work, actions or decisions by NOAA, including required findings at various stages of the application process, shall continue to apply to the extent still applicable. [91 FR 2672, Jan. 21, 2026]\n\nSubpart C—Certification of Applications\n\nSection 971.300. General.\n\n(a) Certification is an intermediate step between receipt of an application for issuance or transfer of a permit and actual issuance or transfer. It is a determination which focuses on the eligibility of the applicant.\n\n(b) Before the Administrator may certify an application for issuance or transfer of a permit, the Administrator must determine that issuance of the permit would not violate any of the restrictions in § 971.103(b). The Administrator also must make written determinations with respect to the requirements with respect to the requirements set forth in § 971.301.\n\n(c) To the maximum extent possible, the Administrator will endeavor to complete certification within 100 days after receipt of a complete application. If final certification or denial of certification has not occurred within 100 days after receipt of the application, the Administrator will inform the applicant in writing of the pending unresolved issues, the efforts to resolve them, and an estimate of the time required to do so.\n\nSection 971.301. Required findings. Before the Administrator may certify an application for a commercial recovery permit, the Administrator must:\n\n(a) Approve the size and location of the commercial recovery area selected by the applicant, and this approval will occur unless the Administrator determines that\n\n(1) the area is not a logical mining unit under § 971.501, or\n\n(2) commercial recovery activities in the proposed area would result in a significant adverse environmental effect which cannot be avoided by imposition of reasonable restrictions; and\n\n(b) Find that the applicant—\n\n(1) Has demonstrated that, upon issuance or transfer of the permit, the applicant will be financially responsible to meet all obligations which may be required to engage in its proposed commercial recovery activities;\n\n(2) Has demonstrated that, upon permit issuance or transfer, it will possess, or have access to, the technological capability to engage in the proposed commercial recovery;\n\n(3) Has satisfactorily fulfilled all past obligations under any license or permit previously issued or transferred to the applicant under the Act;\n\n(4) Has a commercial recovery plan which meets the requirements of § 971.203; and\n\n(5) Has paid the permit fee specified in § 971.208.\n\nSection 971.302. Denial of certification.\n\n(a) The Administrator may deny certification of an application if the Administrator finds that the requirements of this subpart, or the requirements for issuance or transfer under § 971.403 through § 971.408, have not been met.\n\n(b) When the Administrator proposes to deny certification the Administrator will send to the applicant, via certified mail, return receipt requested, and publish in the FEDERAL REGISTER, written notice of intention to deny certification. The notice will include:\n\n(1) The basis upon which the Administrator proposes to deny certification; and\n\n(2) If the basis for the proposed denial is a deficiency which the Administrator believes the applicant can correct: (i) The action believed necessary to correct the deficiency; and\n\n(ii) The time within which any correctable deficiency must be corrected (not to exceed 180 days except as specified by the Administrator for good cause).\n\n(c) The Administrator will deny certification:\n\n(1) On the 30th day after the date the notice is received by the applicant, under paragraph (b) of the section, unless before the 30th day the applicant files with the Administrator a written request for an administrative review of the proposed denial; or\n\n(2) On the last day of the period established under paragraph (b)(2)(ii) in which the applicant must correct a deficiency, if that deficiency has not been corrected before that day and an administrative review requested pursuant to paragraph (c)(1) is not pending or in progress.\n\n(d) If a timely request for administrative review of the proposed denial is made by the applicant under paragraph (c)(1) of this section, the Administrator will promptly begin a formal hearing. If the proposed denial is the result of a correctable deficiency, the administrative review will proceed concurrently with any attempts to correct the deficiency, unless the parties agree otherwise or the administrative law judge orders differently.\n\n(e) If the Administrator denies certification, he will send to the applicant written notice of the denial, including the reasons therefor.\n\n(f) Any final determination by the Administrator granting or denying certification is subject to judicial review as provided in chapter 7 of title 5, United States Code.\n\nSection 971.303. Notice of certification. Upon making a final determination to certify an application for a commercial recovery permit, the Administrator will promptly send written notice of the determination to the applicant.\n\nSubpart D—Issuance/Transfer: Terms, Conditions and Restrictions\n\nSection 971.400. General.\n\n(a) Proposal. After certification of an application pursuant to subpart C of this part, or, as applicable, § 971.214(e), the Administrator shall proceed with a proposal to issue or transfer a permit for the commercial recovery activities described in the application.\n\n(b) Terms conditions and restrictions.\n\n(1) Within 180 days after certification (or such longer period as the Administrator may establish for good cause shown in writing), the Administrator will propose terms and conditions for, and restrictions on, the proposed commercial recovery which are consistent with the provisions of the Act and this part as set forth in §§ 971.418 through 971.430. Proposed and final TCRs will be uniform in all permits, except to the extent that differing physical and environmental conditions and/or mining methods require the establishment of special TCRs for the conservation of natural resources, protection of the environment, or the safety of life and property at sea. The Administrator will propose TCRs in writing to the applicant, and public notice thereof will be provided pursuant to § 971.401. The proposed TCRs will be included with the draft of the EIS on permit issuance.\n\n(2) If the Administrator does not propose TCRs within 180 days after certification, the Administrator will notify the applicant in writing of the reasons for delay and of the approximate date on which the proposed TCRs will be completed.\n\n(c) Findings. Before issuing or transferring a commercial recovery permit, the Administrator must make written findings in accordance with the requirements of §§ 971.403 through 971.408. These findings will be made after considering all information submitted with respect to the application and proposed issuance or transfer. The Administrator will make a final determination of issuance or transfer of a permit, and will publish a final EIS on that action, within 180 days (or such longer period of time as the Administrator may establish for good cause shown in writing) following the date on which proposed TCRs and the draft EIS are published. [54 FR 525, Jan. 6, 1989, as amended at 91 FR 2676, Jan. 21, 2026] ISSUANCE/TRANSFER, MODIFICATION/REVISION; SUSPENSION/REVOCATION\n\nSection 971.401. Proposal to issue or transfer and proposed terms, conditions and restrictions.\n\n(a) Notice and comment. The Administrator will publish in the FEDERAL REGISTER notice of each proposal to issue or transfer, including notice of a draft EIS, and of proposed terms and conditions for, and restrictions on, a commercial recovery permit that will be included with the draft EIS [see § 971.400(b)]. Subject to § 971.802, interested persons will be permitted to examine the materials relevant to such proposals. Interested persons and affected States will have at least 60 days after publication of such notice to submit written comments to the Administrator.\n\n(b) Hearings.\n\n(1) The Administrator will hold the public hearing(s) required by § 971.212(b) in an appropriate location and may employ such additional methods as he deems appropriate to inform interested persons about each proposal and to invite their comments thereon. A copy of the notice and draft EIS will be provided to the affected State agency. Information provided by NOAA may be used to supplement information provided by the applicant, however it will not affect schedules for State agency review and decisions with respect to consistency determinations as required in 15 CFR part 930, subpart D.\n\n(2) If the Administrator determines there exist one or more specific and material factual issues which require resolution by formal processes, at least one formal hearing, which may be consolidated with a hearing held by another agency, will be held in the District of Columbia metropolitan area in accordance with the provisions of subpart I of this part. The record developed in any such formal hearing will be part of the basis for the Administrator's decisions on issuance or transfer of, and on TCRs for, the permit.\n\nSection 971.402. Consultation and cooperation with Federal and State agencies. Before issuance or transfer of a commercial recovery permit, the Administrator will conclude any consultations in cooperation with other Federal and State agencies which were initiated pursuant to §§ 971.211 and 971.200(g). These consultations will be held to assure compliance with, as applicable and among other statutes, the Endangered Species Act of 1973, as amended, the Marine Mammal Protection Act of 1972, as amended, the Fish and Wildlife Coordination Act, and the Coastal Zone Management Act of 1972, as amended. The Administrator also will consult, before any issuance, transfer, modification or renewal of a permit, with any affected Regional Fishery Management Council established pursuant to section 302 of the Magnuson Fishery Conservation and Management Act of 1976 (16 U.S.C. 1852) if the activities undertaken pursuant to the permit could adversely affect any fishery within the Fishery Conservation Zone (now known as the Exclusive Economic Zone), or any anadromous species or Continental Shelf fishery resource subject to the exclusive management authority of the United States beyond that zone.\n\nSection 971.403. Freedom of the high seas.\n\n(a) Before issuing or transferring a commercial recovery permit, the Administrator must find the recovery proposed in the application will not unreasonably interfere with the exercise of the freedoms of the high seas by other nations, as recognized under general principles of international law.\n\n(b) In making this finding, the Administrator will recognize that commercial recovery of hard mineral resources of the deep seabed is a freedom of the high seas. In the exercise of this right, each permittee shall act with reasonable regard for the interests of other nations in their exercise of the freedoms of the high seas. (c)\n\n(1) In the event of a conflict between the commercial recovery program of an applicant or permittee and a competing use of the high seas by another nation or its nationals, the Administrator, in consultation and cooperation with the Department of State and other interested agencies, will enter into negotiations with that nation to resolve the conflict. To the maximum extent possible the Administrator will endeavor to resolve the conflict in a manner that will allow both uses to take place such that neither will unreasonably interfere with the other.\n\n(2) If both uses cannot be conducted harmoniously in the area subject to the recovery plan, the Administrator will decide whether to issue or transfer the permit.\n\nSection 971.404. International obligations of the United States. Before issuing or transferring a commercial recovery permit, the Administrator must find that the commercial recovery proposed in the application will not conflict with any international obligation of the United States established by any treaty or international convention in force with respect to the United States.\n\nSection 971.405. Breach of international peace and security involving armed conflict. Before issuing or transferring a commercial recovery permit, the Administrator must find that the recovery proposed in the application will not create a situation which may reasonably be expected to lead to a breach of international peace and security involving armed conflict.\n\nSection 971.406. Environmental effects. Before issuing or transferring a commercial recovery permit, the Administrator must find that the commercial recovery proposed in the application cannot reasonably be expected to result in a significant adverse environmental effect, taking into account the analyses and information in any applicable EIS and any TCRs associated with the permit. This finding also will be based upon the requirements in subpart F. However, as also noted in subpart F, if a determination on this question cannot be made on the basis of available information, and it is found that irreparable harm will not occur during a period when an approved monitoring program is undertaken to further examine the significant adverse environmental effect issue, a permit may be granted, subject to modification or suspension and, if necessary and appropriate, revocation pursuant to § 971.417(a), or subject to emergency suspension pursuant to\n\nSection 971.417. (h).\n\nSection 971.407. Safety at sea. Before issuing or transferring a commercial recovery permit, the Administrator shall find that the commercial recovery proposed in the application shall not pose an inordinate threat to the safety of life and property at sea. This finding shall be based on the requirements in § 971.205, or as applicable, § 971.214(d)(7), and subpart G of this part. [91 FR 2676, Jan. 21, 2026]\n\nSection 971.408. Processing outside the United States.\n\n(a) Before issuing or transferring a commercial recovery permit which authorizes processing outside the U.S., the Administrator must find, after the opportunity for an agency hearing required by § 971.212(b), that:\n\n(1) The processing of the quantity concerned of hard mineral resource at a place other than within the United States is necessary for the economic viability of the commercial recovery activities of the permittee; and\n\n(2) Satisfactory assurances have been given by the permittee that such resources, after processing, to the extent of the permittee's ownership therein, will be returned to the United States for domestic use, if the Administrator so requires after determining that the national interest necessitates such return.\n\n(b) At or after permit issuance the Administrator may determine, or revise a prior determination, that the national interest necessitates return to the U.S. of a specified amount of hard mineral resource recovered pursuant to the permit and authorized to be processed outside the United States. Considerations in making this determination may include:\n\n(1) The national interest in an adequate supply of minerals;\n\n(2) The foreign policy interests of the United States; and\n\n(3) The multi-national character of deep seabed mining operations.\n\n(c) As appropriate, TCRs will incorporate provisions to implement the decision of the Administrator made pursuant to this section.\n\n(d) Environmental considerations of the proposed activity will be addressed in accordance with § 971.606(c).\n\nSection 971.409. Denial of issuance or transfer.\n\n(a) The Administrator may deny issuance or transfer of a permit if he finds that the applicant or the proposed commercial recovery activities do not meet the rquirements of this part for the issuance or transfer of a permit.\n\n(b) When the Administrator proposes to deny issuance or transfer, he will send to the applicant, via certified mail, return receipt requested, and publish in the FEDERAL REGISTER, written notice of his intention to deny issuance or transfer. The notice will include:\n\n(1) The basis upon which the Administrator proposes to deny issuance or transfer; and\n\n(2) If the basis for the proposed denial is a deficiency which the Administrator believes the applicant can correct: (i) The action believed necessary to correct the deficiency; and\n\n(ii) The time within which any correctable deficiency must be corrected (not to exceed 180 days except as specified by the Administrator for good cause).\n\n(c) The Administrator will deny issuance or transfer:\n\n(1) On the 30th day after the date the notice is received by the applicant under paragraph (b) of this section, unless before the 30th day the applicant files with the Administrator a written request for an administrative review of the proposed denial; or\n\n(2) On the last day of the period established under paragraph (b)(2)(ii) in which the applicant must correct a deficiency, if the deficiency has not been corrected before that day and an administrative review requested pursuant to paragraph (c)(1) is not pending or in progress.\n\n(d) If a timely request for administrative review of the proposed denial is made by the applicant under paragraph (c)(1) of this section, the Administrator will promptly begin a formal hearing in accordance with subpart I. If the proposed denial is the result of a correctable deficiency, the administrative review will proceed concurrently with any attempt to correct the deficiency, unless the parties agree otherwise or the administrative law judge orders differently.\n\n(e) If the Administrator denies issuance or transfer, the Administrator will send to the applicant written notice of final denial, including the reasons therefor.\n\n(f) Any final determination by the Administrator granting or denying issuance or transfer of a permit is subject to judicial review as provided in chapter 7 of title 5, United States Code.\n\nSection 971.410. Notice of issuance or transfer. If the Administrator finds that the requirements of this subpart have been met, he will issue or transfer the permit along with the appropriate TCRs. Notice of issuance or transfer will be made in writing to the applicant and published in the FEDERAL REGISTER.\n\nSection 971.411. Objections to terms, conditions and restrictions.\n\n(a) The permittee may file a notice of objection to any TCR in the permit. The permittee may object on the grounds that any TCR is inconsistent with the Act or this part, or on any other grounds which may be raised under applicable provisions of law. If the permittee does not file notice of an objection within the 60-day period immediately following the permittee's receipt of the notice of issuance or transfer under § 971.410, the permittee will be deemed conclusively to have accepted the TCRs in the permit.\n\n(b) Any notice of objection filed under paragraph (a) of this section must be in writing, must indicate the legal or factual basis for the objection, and must provide information relevant to any underlying factual issues deemed by the permittee as necessary to the Administrator's decision upon the objection.\n\n(c) Within 90 days after receipt of the notice of objection, the Administrator will act on the objection and publish in the FEDERAL REGISTER, as well as provide to the permittee, written notice of the decision.\n\n(d) If, after the Administrator takes final action on an objection, the permittee demonstrates that a dispute remains on a material issue of fact, the Administrator will provide for a formal hearing which will proceed in accordance with Subpart I of this part.\n\n(e) Any final determination by the Administrator on an objection to TCRs in a permit, after the formal hearing provided in paragraph (d), is subject to judicial review as provided in chapter 7 of title 5, United States Code.\n\nSection 971.412. Changes in permits and permit terms, conditions, and restrictions.\n\n(a) During the duration of a commercial recovery permit, changes in the permit or its associated commercial recovery plan may be initiated by either the permittee or the Administrator.\n\n(b) A significant change is one which, if approved, would result in:\n\n(1) An increase of more than five percent in the size of the commercial recovery area; or\n\n(2) A change in the location of five percent or more of the commercial recovery area.\n\n(c) A major change is one affecting one or more of:\n\n(1) The bases for certifying the original application pursuant to § 971.301 or, as applicable, pursuant to\n\nSection 971.214. (e);.\n\n(2) The bases for issuing or transferring the permit pursuant to §§ 971.403 through 971.408;\n\n(3) The TCRs issued as part of the permit pursuant to §§ 971.418 through 971.430; or\n\n(4) The ownership of a permittee (or the membership of the joint venture, partnership or other entity on whose behalf the permit was issued); and which change is sufficiently broad in scope to raise a question as to: (i) The permittee's ability to meet the requirements of the sections cited in paragraphs (c)(1) and\n\n(2) of this section;\n\n(ii) The sufficiency of the TCRs to accomplish their intended purpose; or\n\n(iii) The antitrust characteristic of the permittee.\n\n(d) A minor change is one that is clearly more modest in scope than the changes described in paragraph (b) or (c) of this section.\n\n(e) A permittee may not implement a significant or major change, as defined in paragraphs (b) and (c) of this section, until an application for revision of the permit or its associated commercial recovery plan has been approved by the Administrator. However, advance notice of proposed major changes in a permittee's corporate membership or legal structure is not required, unless practicable, but the Administrator expects prompt notification of the occurrence of such a major change.\n\n(f) A proposed significant or major change, as defined in paragraphs (b) and (c) of this section, may trigger the need for additional review, under the Federal consistency provisions of the Coastal Zone Management Act of 1972, as amended. [54 FR 525, Jan. 6, 1989, as amended at 91 FR 2676, Jan. 21, 2026]\n\nSection 971.413. Revision of a permit.\n\n(a) During the term of a commercial recovery permit, the permittee may submit to the Administrator an application for a revision of the permit or the commercial recovery plan associated with it to accommodate changes desired by the permittee. In some cases, it may be advisable to recognize at the time of filing the original permit application that, although the essential information for issuing or transferring a permit as specified in §§ 971.201 through 971.209, or as applicable, § 971.214(d), shall be included in such application, some details may have to be provided in the future in the form of a revision. In such instances, the Administrator may issue or transfer a permit which would authorize commercial recovery activities and plans only to the extent described in the application.\n\n(b) An application by a permittee for a revision of a permit or its associated commercial recovery plan involving a significant change, as defined in § 971.412(b), must be followed by the full application procedures in this part, including a public hearing.\n\n(c) An application by a permittee for a revision of a permit or its associated commercial recovery plan involving a major change, as defined in § 971.412(c) (See also § 971.425 of this part), will be acted on after notice thereof is published by the Administrator in the FEDERAL REGISTER with a 60-day opportunity for public comment and consultation with appropriate Federal agencies. (d)\n\n(1) The Administrator will approve a revision if the Administrator finds in writing that the revision will comply with the requirements of the Act and this part.\n\n(2) Notice of the Administrator's decision on the proposed revision will be provided to the permittee in writing and published in the FEDERAL REGISTER.\n\n(e) A permittee may notify the Administrator of minor changes, as defined in § 971.412(d), subsequently in the annual report (See § 971.801 of this part).\n\n(f) If the relative importance of the change is unclear to the permittee, the Administrator should be notified in advance so that the Administrator can decide whether a revision in accordance with § 971.412(e) is required. [54 FR 525, Jan. 6, 1989, as amended at 91 FR 2676, Jan. 21, 2026]\n\nSection 971.414. Modification of permit terms, conditions, and restrictions.\n\n(a) After issuance or transfer of any permit, the Administrator, after consultation with appropriate Federal agencies and the permittee, may modify the TCRs in a permit for the following purposes:\n\n(1) To avoid unreasonable interference with the interests of other nations in their exercise of the freedoms of the high seas, as recognized under general principles of international law. This determination will take into account the considerations listed in § 971.403;\n\n(2) If relevant data and information (including, but not limited to, data resulting from activities under a permit) indicate that modification is required to protect the quality of the environment or to promote the safety of life and property at sea;\n\n(3) To avoid a conflict with any international obligation of the United States, established by any treaty or convention in force with respect to the United States, as determined in writing by the President; or\n\n(4) To avoid any situation which may reasonably be expected to lead to a breach of international peace and security involving armed conflict, as determined in writing by the President.\n\n(b) A proposal by the Administrator to modify the TCRs in a permit is significant and must be followed by the full application procedures in this part, including a public hearing, if it would result in either of the changes identified in § 971.412(b).\n\n(c) All proposed modifications other than those described in paragraph (b) of this section will be acted on after the Administrator provides:\n\n(1) Written notice of the proposal to the permittee; and\n\n(2) Publication of this proposal in the FEDERAL REGISTER with a 60-day opportunity for comment. (d)\n\n(1) The Administrator will effect a modification of the TCRs if the Administrator finds in writing that the proposed modification will comply with the requirements of the Act and this part.\n\n(2) Upon adopting a TCR modification, the Administrator shall issue to the permittee an amended permit including the modified TCRs, and shall publish notice of issuance in the FEDERAL REGISTER.\n\n(3) The procedures for objection to modification of the TCRs are the same as those for objection to a TCR under § 971.411 of this part.\n\nSection 971.415. Duration of a permit.\n\n(a) Unless suspended or revoked pursuant to §§ 971.406 and 971.417, each commercial recovery permit will be issued for a period of 20 years and for so long thereafter as hard mineral resources are recovered annually in commercial quantities from the area listed in the permit.\n\n(b) If the permittee has substantially complied with the permit and its associated recovery plan and requests an extension of the permit, the Administrator will extend the permit with appropriate TCRs, consistent with the Act, for so long thereafter as hard mineral resources are recovered annually in commercial quantities from the area to which the recovery plan associated with the permit applies. The Administrator may make allowance for deviation from the recovery plan for good cause, such as significantly changed market conditions. However, a request for extension must be accompanied by an amended recovery plan to govern the activities by the permittee during the extended period.\n\n(c) Successive extensions may be requested, and will be granted by the Administrator, based on the criteria specified in paragraphs (a) and (b).\n\nSection 971.416. Approval of permit transfers.\n\n(a) The Administrator may transfer a permit after a written request by the permittee. After a permittee submits a transfer request to the Administrator, the proposed transferee will be deemed an applicant for a commercial recovery permit, and will be subject to the requirements and procedures of this part.\n\n(b) The Administrator will transfer a permit if the proposed transferee is a United States citizen and proposed commercial recovery activities meet the requirements of the Act and this part, and if the proposed transfer is in the public interest. The Administrator will presume that the transfer is in the public interest if it meets the requirements of the Act and this part. In case of mere change in the form or ownership of a permittee, the Administrator may waive relevant determinations for requirements for which no changes have occurred since the preceding application.\n\nSection 971.417. Suspension or modification of activities; suspension or revocation of permits.\n\n(a) The Administrator may:\n\n(1) In addition to, or in lieu of, the imposition of any civil penalty under subpart J of this part, or in addition to the imposition of any fine under subpart J, suspend or revoke any permit issued under this part, or suspend or modify any particular activities under such a permit, if the permittee substantially fails to comply with any provision of the Act, this part, or any term, condition or restriction of the permit; and\n\n(2) Suspend or modify particular activities under any permit, if the President determines that such suspension or modification is necessary: (i) To avoid any conflict with any international obligation of the United States established by any treaty or convention in force with respect to the United States; or\n\n(ii) To avoid any situtation which may reasonably be expected to lead to a breach of international peace and security involving armed conflict.\n\n(b) Any action taken by the Administrator in accordance with paragraph (a)(1) will proceed pursuant to the procedures in § 971.1003. Any action taken in accordance with paragraph (a)(2) will proceed pursuant to paragraphs (c) through (i) of this section, other than paragraph (h)(2).\n\n(c) Prior to taking any action specified in paragraph (a)(2) the Administrator will publish in the FEDERAL REGISTER, and send to the permittee, written notice of the proposed action. The notice will include:\n\n(1) The basis of the proposed action; and\n\n(2) If the basis for the proposed action is a deficiency which the Administrator believes the permittee can correct: (i) The action necessary to correct the deficiency; and\n\n(ii) The time within which any correctable deficiency must be corrected (not to exceed 180 days except as specified by the Administrator for good cause).\n\n(d) The Administrator will take the proposed action:\n\n(1) On the 30th day after the date notice is sent to the permittee, under paragraph (c) of this section, unless before the 30th day the permittee files with the Administrator a written request for an administrative review of the proposed action; or\n\n(2) On the last day of the period established under paragraph (c)(2)(ii) in which the permittee must correct the deficiency, if such deficiency has not been corrected before that day and an administrative review requested pursuant to paragraph (d)(1) is not pending or in progress.\n\n(e) If a timely request for administrative review of the proposed denial is made by the permittee under paragraph (d)(1) of this section, the Administrator will promptly begin a formal hearing in accordance with subpart I of this part. If the proposed denial is the result of a correctable deficiency, the administrative review will proceed concurrently with any attempt to correct the deficiency, unless the parties agree otherwise or the administrative law judge orders differently.\n\n(f) The Administrator will serve on the permittee, and publish in the FEDERAL REGISTER, written notice of the action taken including the reasons therefor.\n\n(g) Any final determination by the Administrator to take the proposed action is subject to judicial review as provided in chapter 7 of title 5, United States Code.\n\n(h) The issuance of any notice of proposed action under this section will not affect the continuation of commercial recovery activities by a permittee. The provisions of paragraphs (c), (d), (e) and the first sentence of this paragraph (h) of this section will not apply when:\n\n(1) The President determines by Executive Order that an immediate suspension or modification of particular activities under that permit, is necessary for the reasons set forth in paragraph (a)(2); or\n\n(2) The Administrator determines that immediate suspension of such a permit or immediate suspension or modification of particular activities under a permit, is necessary to prevent a significant adverse environmental effect or to preserve the safety of life or property at sea, and the Administrator issues an emergency order in accordance with § 971.1003(d)(4). (i) The Administrator will immediately rescind the suspension order as soon as he has determined that the cause for suspension has been removed. TERMS, CONDITIONS AND RESTRICTIONS\n\nSection 971.418. Diligence requirements. The TCRs in each commercial recovery permit must include provisions to assure diligent development consistent with § 971.503, including a requirement that recovery at commercial scale be underway within ten years from the date of permit issuance unless that deadline is extended by the Administrator for good cause.\n\nSection 971.419. Environmental protection requirements.\n\n(a) Each commercial recovery permit must contain TCRs established by the Administrator pursuant to subpart F which prescribe actions the permittee must take in the conduct of commercial recovery activities to assure protection of the environment. Factors to be taken into account regarding the potential for significant adverse environmental effects are discussed in §§ 971.601 and 971.602.\n\n(b) Before establishing the TCRs pertaining to environmental protection, the Administrator will consult with the Administrator of the Environmental Protection Agency, the Secretary of State and the Secretary of the department in which the Coast Guard is operating. The Administrator also will take into account and give due consideration to formal comments received from the public, including those from the State agency, and to the information contained in the final site-specific EIS prepared with respect to the proposed permit.\n\nSection 971.420. Resource conservation requirements. For the purpose of conservation of natural resources, each permit issued under this part will contain, as needed, TCRs which have due regard for the prevention of waste and the future opportunity for the commercial recovery of the unrecovered balance of the hard mineral resources in the recovery area. The Administrator will establish these requirements pursuant to § 971.502.\n\nSection 971.421. Freedom of the high seas requirements. Each permit issued under this part must include appropriate restrictions to ensure that commercial recovery activities do not unreasonably interfere with the interests of other nations in their exercise of the freedoms of the high seas, as recognized under general principles of international law. The Administrator will consider the factors in\n\nSection 971.403. in establishing these restrictions.\n\nSection 971.422. Safety at sea requirements. The Secretary of the department in which the Coast Guard is operating, in consultation with the Administrator, will require in any permit issued under this part, in conformity with principles of international law, that vessels documented under the laws of the United States and used in activities authorized under the permit comply with conditions regarding design, construction, alteration, repair, equipment, operation, manning and maintenance relating to vessel and crew safety and the promotion of safety of life and property at sea. These requirements will be established with reference to subpart G of this part.\n\nSection 971.423. Best available technology. The Administrator will require in all activities under new permits, and wherever practicable in activities under existing permits, the use of the best available technologies for the protection of safety, health, and the environment wherever such activities would have a significant adverse effect on safety, health, or the environment, (see §§ 971.203(b)(3), 971.602(f), and 971.604(a)), except where the Administrator determines that the incremental benefits are clearly insufficient to justify the incremental costs of using such technologies.\n\nSection 971.424. Monitoring requirements. Each commercial recovery permit will require the permittee:\n\n(a) To allow the Administrator to place appropriate Federal officers or employees as observers aboard vessels used by the permittee in commercial recovery activities to:\n\n(1) Monitor activities at times, and to the extent, the Administrator deems reasonable and necessary to assess the effectiveness of the TCRs of the permit; and\n\n(2) Report to the Administrator whenever those officers or employees have reason to believe there is a failure to comply with the TCRs;\n\n(b) To cooperate with Federal officers and employees in the performance of monitoring functions; and\n\n(c) To monitor the environmental effects of the commercial recovery activities in accordance with a monitoring plan approved and issued by NOAA as permit TCRs and to submit data and other information as necessary to permit evaluation of environmental effects. The environmental monitoring plan and reporting will respond to the concerns and procedures discussed in subpart F.\n\nSection 971.425. Changes of circumstances. Each permit must require the permittee to advise the Administrator of any changes of circumstances which might constitute a revision which would be a major change under § 971.412(c). Changes in ownership, financing, and use conflicts are examples, as are technology or methodology changes including those which might result in significant adverse environmental effects.\n\nSection 971.426. Annual report and records maintenance. Each permit will require the permittee to submit an annual report and maintain information in accordance with § 971.801 including compliance with the commercial recovery plan and the quantities of hard mineral resources recovered and the disposition of such resources.\n\nSection 971.427. Processing outside the United States. If appropriate TCRs will incorporate provisions to implement the decision of the Administrator regarding the return of resources processed outside the United States, in accordance with § 971.408.\n\nSection 971.428. Other necessary permits. Each permit will provide that securing the deep seabed mining permit for activities described in the recovery plan and accompanying application does not eliminate the need to secure all other necessary Federal, State, and local permits.\n\nSection 971.429. Special terms, conditions and restrictions. Although the general criteria and standards to be used in establishing TCRs for a permit are set forth in this part, as referenced in §§ 971.418 through 971.428, the Administrator may impose special TCRs for the conservation of natural resources, protection of the environment, or the safety of life and property at sea when required by differing physical and environmental conditions.\n\nSection 971.430. Other Federal requirements. Pursuant to § 971.211, another Federal agency, or a State acting under Federal authority, upon review of a commercial recovery permit application submitted under this part, may propose that certain TCRs be added to the permit, to assure compliance with any law or regulation within that agency's area of responsibility. The Administrator will include appropriate TCRs in a permit.\n\nSubpart E—Resource Development\n\nSection 971.500. General. Several provisions in the Act relate to appropriate mining techniques or mining efficiency. These raise what could be characterized as resource development issues. In particular, section 103(a)(2)(C) requires a resource assessment to be provided with the recovery plan. Section 103(a)(2)(D) of the Act provides that the applicant will select the size and location of the area of a recovery plan, which will be approved unless the Administrator finds that the area is not a “logical mining unit” or the commercial recovery activities in the proposed site would result in a significant adverse environmental effect which cannot be avoided by the imposition of reasonable restrictions. Also, pursuant to section 108 of the Act, the applicant's recovery plan and the TCRs of each permit must be designed to ensure diligent development. In addition, for the purpose of conservation of natural resources, section 110 of the Act provides that each permit is to contain, as needed, terms, conditions, and restrictions which have due regard for the prevention of waste and the future opportunity for the commercial recovery of the unrecovered balance of the resources.\n\nSection 971.501. Resource assessment, recovery plan, and logical mining unit.\n\n(a) The applicant must submit with the application a resource assessment to provide a basis for assessing the area applied for. This assessment must include a discussion of mineable and unmineable areas, taking into account nodule grade, nodule concentration, and other factors such as seafloor topography. These areas may be delineated graphically. The resources in the area must be described in relation to the applicant's production requirements, operating period, and recovery efficiency in order to justify the area applied for.\n\n(b) The applicant shall select the size and location of the area of the recovery plan, which area shall be approved unless the Administrator finds that, among other considerations (see § 971.301(a)), the area is not a logical mining unit. In the case of a commercial recovery permit, a logical mining unit is an area of the deep seabed:\n\n(1) In which hard mineral resources can be recovered in sufficient quantities to satisfy the permittee's estimated production requirements over the initial 20-year term of the permit in an efficient, economical, and orderly manner with due regard for conservation and protection of the environment, taking into consideration the resource data, other relevant physical and environmental characteristics, and the state of the technology of the applicant set out in the recovery plan;\n\n(2) Which is not larger than necessary to satisfy the permittee's estimated production requirements over the initial 20-year term of the permit; and\n\n(3) In relation to which the permittee's estimated production requirements are not found by the Administrator to be unreasonable.\n\n(c) Approval by the Administrator of a proposed logical mining unit will be based on a case-by-case review of each application. The area need not consist of contiguous segments, as long as each segment would be efficiently mineable and the total proposed area constitutes a logical mining unit.\n\n(d) In describing the area, the applicant must present the geodetic coordinates of the points defining the boundaries referred to the World Geodetic System (WGS) Datum. A boundary between points must be a geodesic. If grid coordinates are desired, the Universal Transverse Mercator Grid System must be used.\n\nSection 971.502. Conservation of resources.\n\n(a) If the Administrator establishes terms, conditions and restrictions relating to conservation of resources, he will employ a balancing process in the consideration of the state of the technology being developed, the processing system utilized and the value and potential use of any waste, the environmental effects of the recovery activities, economic and resource data, and the national need for hard mineral resources.\n\n(b) The application must set forth how the applicant's proposed method of collecting nodules will conserve resources by providing for the future opportunity for commercial recovery of the unrecovered balance of the resources in the proposed permit area. Although preliminary and subject to change, the discussion must include a plan for the chronology of areas to be mined. This is needed in order for the Administrator to determine if selective mining, expected to be carried out in the early years to improve cash flow, is part of a long range recovery plan.\n\n(c) If the applicant proposes a refining process that does not include the use of manganese in a productive manner, it may not render the manganese unavailable to future users by dispersing the tailings over a vast area unless such a scheme is necessary for the financial practicability of the commercial recovery activities of the applicant. A permittee must advise the Administrator in the annual report of the location, composition and quantity of manganese in tailings which remain after processing. Should national needs for manganese develop during the duration of a permit, e.g., in case of national emergency, the Administrator may cancel the exception granted involving dispersion of tailings. Applicants seeking an exception would be required to demonstrate how and in what time frame their commercial recovery processing activities could be modified to respond to new national needs.\n\nSection 971.503. Diligent commercial recovery.\n\n(a) Each permittee must pursue diligently the activities described in its approved commercial recovery plan. This requirement applies to the full scope of the plan, including environmental safeguards and monitoring systems. Permit TCRs will require periodic reasonable expenditures for commercial recovery by the permittee, taking into account the size of the area of the deep seabed to which the recovery plan applies and the amount of funds estimated by the Administrator to be required to initiate commercial recovery of hard mineral resources within the time limit established by the Administrator. However, required expenditures will not be established at a level which would discourage commercial recovery or operational efficiency.\n\n(b) To meet the diligence requirement, the applicant shall propose to the Administrator an estimated schedule of activities and expenditures pursuant to § 971.203(b)(2), or as applicable, pursuant to § 971.214(d)(2) and (d)(4)(iii). The schedule(s) shall show, and the Administrator must be able to make a reasonable determination, that the applicant can reasonably develop the resources in the permit area within the term of the permit. There must be a reasonable relationship between the size of the recovery area and the financial and technological resources reflected in the application. The permittee shall initiate the recovery of nodules in commercial quantities within ten years of the issuance of the permit unless this deadline is extended by the Administrator for good cause.\n\n(c) Once commercial recovery is achieved, the permittee must, within reasonable limits and taking into consideration all relevant factors, maintain commercial recovery throughout the period of the permit. However, the Administrator will, for good cause shown, authorize temporary suspension of commercial recovery activities. The duration of any suspension will not exceed one year, unless the Administrator determines that conditions justify an extension of the suspension.\n\n(d) Ultimately, the diligence requirement will involve a retrospective determination by the Administrator, based on the permittee's reasonable conformance to the approved recovery plan. This determination, however, will take into account the need for some degree of flexibility in a recovery plan. It also will include consideration of the needs and stage of development of the permittee based on the approved recovery plan; legitimate periods of time when there is no or very low expenditure; and allowance for a certain degree of flexibility for changes encountered by the permittee in market conditions or other factors.\n\n(e) The permittee must submit a report annually reflecting its conformance to the schedule of activities and expenditures contained in the permit and its associated recovery plan. In case of any changes requiring a revision to an approved permit and recovery plan, the permittee must advise the Administrator in accordance with § 971.413. [54 FR 525, Jan. 6, 1989, as amended at 91 FR 2677, Jan. 21, 2026]\n\nSubpart F—Environmental Effects\n\nSection 971.600. General. The Act contains several provisions which relate to environmental protection. For example, section 105(a)(4) requires that, before the Administrator may issue a commercial recovery permit, he must find that the commercial recovery proposed in the application cannot reasonably be expected to result in a significant adverse environmental effect. In addition, each permit issued must contain TCRs which prescribe actions the permittee must take in the conduct of commercial recovery activities to assure protection of the environment (section 109(b)). The Act also provides for modification by the Administrator of any TCR if relevant data and information indicate that modification is required to protect the quality of the environment (section 105(c)(1)(B)). The Administrator also may order an immediate suspension or modification of activities (section 106(c)), or require use of best available technologies (section 109(b)), to prevent a significant adverse environmental effect. Furthermore, each permit issued under the Act must require the permittee to monitor the environmental effects of commercial recovery activities in accordance with guidelines issued by the Administrator, and to submit information the Administrator finds necessary and appropriate to assess environmental effects and to develop and evaluate possible methods of mitigating adverse effects (section 114).\n\nSection 971.601. Environmental requirements. Before issuing a permit for the commercial recovery of deep seabed hard mineral resources, the Administrator must find that:\n\n(a) The issuance of a permit cannot reasonably be expected to result in a significant adverse environmental effect, or, if there is insufficient information to make that determination, that no irreparable harm will result during a period when monitoring of commerical recovery is undertaken to gather sufficient information in order to determine the potential for or occurrence of any significant adverse environmental effect. In examining this issue, NOAA will give consideration to the following Ocean Discharge Criteria of the Clean Water Act (40 CFR part 125, subpart M), as they may pertain to discharges and other environmental perturbations related to the commercial recovery operations:\n\n(1) The quantities, composition and potential for bioaccumulation or persistence of the pollutants to be discharged;\n\n(2) The potential transport of such pollutants by biological, physical or chemical processes;\n\n(3) The composition and vulnerability of the biological communities which may be exposed to such pollutants including the presence of unique species or communities of species, the presence of species identified as endangered or threatened pursuant to the Endangered Species Act, or the presence of those species critical to the structure or function of the ecosystem such as those important for the food chain;\n\n(4) The importance of the receiving water area to the surrounding biological community, including the presence of spawning sites, nursery/forage areas, migratory pathways, or areas necessary for other functions or critical stages in the life cycle of an organism;\n\n(5) The existence of special aquatic sites including but not limited to marine sanctuaries and refuges, parks, national and historic monuments, national seashores, wilderness areas and coral reefs;\n\n(6) The potential impacts on human health through direct and indirect pathways;\n\n(7) Existing or potential recreational and commercial fishing, including finfishing and shellfishing;\n\n(8) Any applicable requirements of an approved Coastal Zone Management plan;\n\n(9) Such other factors relating to the effects of the discharge as may be appropriate;\n\n(10) Marine water quality criteria developed pursuant to section 304(a)(1) of the Clean Water Act; and\n\n(b) The applicant has an approved monitoring plan (§ 971.603) and the resources and other capabilities to implement it.\n\nSection 971.602. Significant adverse environmental effects.\n\n(a) Determination of significant adverse environmental effects. The Administrator will determine the potential for or the occurrence of any significant adverse environmental effect or impact (for the purposes of sections 103(a)(2)(D), 105(a)(4), 106(c) and 109(b) (second sentence) of the Act), on a case-by-case basis.\n\n(b) Basis for determination. Determinations will be based upon the best information available, including relevant environmental impact statements, NOAA-collected data, monitoring results, and other data provided by the applicant or permittee, as well as consideration of the criteria in § 971.601(a).\n\n(c) Related considerations. In making a determination the Administrator may take into account any TCRs or other mitigation measures.\n\n(d) Activities with no significant adverse environmental effect. NOAA believes that exploration-type activities, as listed in the license regulations (15 CFR 970.701), require no further environmental assessment.\n\n(e) Activities with potential for significant adverse environmental effects. NOAA research has identified at-sea testing of recovery equipment, the recovery of manganese nodules in commercial quantities from the deep seabed, and the construction and operation of commercial-scale processing facilities as activities which may have some potential for significant adverse envirnomental effects.\n\n(f) Related terms, conditions and restrictions. Permits will be issued with TCRs containing environmental requirements with respect to protection (pursuant to § 971.419), mitigation (pursuant to § 971.419), or best available technology requirements (pursuant to § 971.423), as appropriate, and monitoring requirements (pursuant to § 971.424) to acquire more information on the environmental effects of deep seabed mining.\n\nSection 971.603. At-sea monitoring.\n\n(a) An applicant must submit with its application a monitoring plan designed to enable the Administrator to assess environmental impacts and to develop and evaluate possible methods of mitigating adverse environmental effects, to validate assessments made in the EIS, and to assure compliance with the environmental protection requirements of this part.\n\n(b) The monitoring plan shall include a characterization of the proposed mining system in terms of collector contact, benthic discharge and surface discharge.\n\n(c) The monitoring plan shall include determination of\n\n(1) the spatial and temporal characteristics of the mining ship discharges;\n\n(2) the spatial extent and severity of the benthic impact, including recovery rate and pattern of benthic recolonization; and\n\n(3) any secondary effects that result from the impact of the mining collector and benthic plume.\n\n(d) The monitoring of benthic impact shall involve the study of two types of areas, each selected by the permittee in consultation with NOAA, which areas shall be representative of the environmental characteristics of the permittee's site:\n\n(1) An impact reference area, located in a portion of a permit area tentatively scheduled to be mined early in a commercial recovery plan; and\n\n(2) An interim preservational reference area, located in a portion of a permit area tentatively determined: to be non-mineable, not to be scheduled for mining during the commercial recovery plan, or to be scheduled for mining late in the plan. Reference areas may be selected provisionally prior to application for a commercial recovery permit.\n\n(e) The following specific environmental parameters must be proposed for examination in the applicant's monitoring plan:\n\n(1) Discharges— (i) Salinity, temperature, density.\n\n(ii) Suspended particulates concentration and density.\n\n(iii) Particulate and dissolved nutrients and metals.\n\n(iv) Size, configuration, and velocities of discharge.\n\n(2) Upper water column— (i) Nutrients.\n\n(ii) Endangered species (observations).\n\n(iii) Salinity, temperature, density.\n\n(iv) Currents and direct current shear.\n\n(v) Vertical distribution of light.\n\n(vi) Suspended particulate material advection and diffusion.\n\n(vii) In-situ settling velocities of suspended particulates. (viii) Zooplankton and trace metals uptake.\n\n(ix) Fish larvae.\n\n(x) Behavior of biota, including commercially and recreationally valuable fish.\n\n(3) Lower water column and seafloor— (i) Currents.\n\n(ii) Suspended particulate material advection and diffusion.\n\n(iii) In-situ settling velocities of suspended particulates.\n\n(iv) Benthic scraping and blanketing, and their impacts and recovery.\n\n(f) The monitoring plan shall include provision for monitoring those areas impacted by the permittee's mining activities, even if such areas fall outside its minesite, where the proposed activities have the potential to cause significant adverse environmental effect or irreparable harm in the outside area.\n\n(g) After the Administrator's approval of the monitoring plan, this plan will become a permit TCR. The monitoring plan TCR will include, to the maximum extent practicable, identification of those activities or events that could cause suspension or modification due to environmental effects under § 971.417, or permit revocation in the event that these effects cannot be adequately mitigated. The TCR also will authorize refinement of the monitoring plan prior to testing and commercial-scale recovery, and at other appropriate times, if refinement is necessary to reflect accurately proposed operations or to incorporate recent research or monitoring results.\n\n(h) If test mining is proposed, the applicant shall include in the monitoring plan a monitoring plan for the test(s) as well as a strategy for using the result to monitor more effectively commercial-scale recovery. This monitoring shall address concerns expressed in the PEIS and in the permit EIS. (i) The monitoring plan shall include a sampling strategy that assures: that it is based on sound statistical methods, that equipment and methods be scientifically accepted, that the personnel who are planning, collecting and analyzing data be scientifically well qualified, and that the resultant data be submitted to the Administrator in accordance with formats of the National Oceanographic Data Center and other formats as may be specified by the Administrator. (j) Pursuant to section 114(1) of the Act, the Administrator intends to place observers onboard mining vessels, not only to ensure that permit TCRs are followed, but also to evaluate the effectiveness of monitoring strategies, both in terms of protecting the environment and in being cost-effective (See § 971.1005), and if necessary, to develop potential mitigation measures. If modification of permit TCRs or regulations is required to protect the quality of the environment, the Administrator may modify TCRs pursuant to § 971.414, or the regulations pursuant to § 971.804.\n\nSection 971.604. Best available technologies (BAT) and mitigation.\n\n(a) The Administrator shall require in all activities under new permits, and wherever practicable in activities under existing permits, the use of the best available technologies for the protection of safety, health, and the environment wherever such activities would have a significant adverse effect on safety, health, or the environment, except where the Administrator determines that the incremental benefits are clearly insufficient to justify the incremental costs of using such technologies. Because of the embryonic nature of the industry, NOAA is unable either to specify particular equipment or procedures comprising BAT or to define performance standards. Until such experience exists, the applicant shall submit such information as is necessary to indicate, as required above, the use of BAT, the alternatives considered to the specific equipment or procedures proposed, and the rationale as to why one alternative technology was selected in place of another. This analysis shall include a discussion of the relative costs and benefits of the technologies considered.\n\n(b) NOAA is not specifying particular mitigation methodologies or techniques at this time (such as requiring the sub-surface release of mining vessel discharges), but expects applicants and permittees to develop and carry out their operations, to the extent possible, to minimize adverse environmental effects and to be able to demonstrate efforts to that end. The applicant must submit a plan describing how he would mitigate a problem, if it were caused by the surface release of mining vessel discharges, including a plan for the monitoring of any discharges. Based upon monitoring results, NOAA may find it necessary in the future to specify particular procedures for minimizing adverse environmental effects. These procedures would be incorporated into permit TCRs.\n\n(c) NOAA will require the permittee to report, prior to implementation, any proposed technological or operational changes that will increase or have unknown environmental effects. Changes in composition, concentration or size distribution of suspended particulates discharged from the mining vessel, water depth of vessel discharges, depth of cut in the seafloor of the mining collector, and direction or amount of sediment discharged at the seafloor are factors of concern to NOAA. In reporting any such change, the permittee shall submit information to indicate the use of BAT, alternatives considered, and rationale for selecting one technology in place of another, in a manner comparable to and to the extent required in paragraph (a) of this section. If proposed changes have a high potential for increasing adverse environmental effects, the Administrator may disapprove or require modification of the changes.\n\nSection 971.605. Stable Reference Areas. [Reserved].\n\nSection 971.606. Onshore information.\n\n(a) To assist the Administrator in complying with NEPA requirements and to enable NOAA to function as lead agency in preparing permit site-specific environmental impact statements (EISs) and facilitating the preparation and processing of other environmental documents and permits, the applications must include the following information:\n\n(1) The location and affected environment of port, transport, processing and waste disposal facilities and associated facilities (e.g., maps, land use and layout);\n\n(2) A description of the environmental consequences and socio-economic effects of construction and operation of the facilities, including waste characteristics and toxicity;\n\n(3) Any mitigating measures that may be proposed;\n\n(4) Certification of consistency with the federally approved State coastal management program, where applicable, and evidence of the status of compliance with other State or local requirements relating to protection of the environment; and\n\n(5) Alternative sites and technologies considered by the applicant and the considerations which eliminate their selection.\n\n(b) The applicant must consult with NOAA as early as possible concerning the information to be submitted to NOAA to prepare an adequate environmental impact statement. The applicant is encouraged to consult with potentially affected States as early as is practicable [see also §§ 971.200(g) and 971.213].\n\n(c) The requirements of paragraphs (a)(1)-(3) and (5) of this section also apply if approval of processing outside the United States is requested by the applicant, in accordance with Executive Order 12114 which requires the environmental review of major Federal actions abroad. Information detailing the socioeconomic impacts of foreign processing activities is not required.\n\nSubpart G—Safety of Life and Property at Sea\n\nSection 971.700. General. The Act contains several requirements that relate to assuring the safety of life and property at sea. For example, before the Administrator may issue a permit, he must find that the proposed recovery will not pose an inordinate threat to the safety of life and property at sea (section 105(a)(5)). The Coast Guard, in consultation with NOAA, must require in any permit issued under the Act, in conformity with principles of international law, that vessels documented in the United States and used in activities authorized under the permit comply with conditions regarding the design, construction, alteration, repair, equipment, operation, manning and maintenance relating to vessel and crew safety and the safety of life and property at sea (section 112(a)). The Administrator may impose or modify TCRs for a permit if required to promote the safety of life and property at sea (section 105(c)(1)(B)).\n\nSection 971.701. Criteria for safety of life and property at sea. Response to the safety at sea requirements in essence will involve vessel inspection requirements, as identified by present laws and regulations. The primary inspection statutes pertaining to United States flag vessels are: 46 App. U.S.C. 86 (Loadlines) and 46 U.S.C. 3301 (Inspection of Seagoing Barges, Seagoing Motor Vessels, and Freight Vessels). United States flag vessels shall be required to meet all applicable regulatory requirements, including the requirement for a current valid Coast Guard Certificate of Inspection (pursuant to § 971.205(a) or, as applicable, pursuant to § 971.214(d)(7)(i)). United States flag vessels are under United States jurisdiction on the high seas and subject to domestic enforcement procedures. With respect to foreign flag vessels, the SOLAS 74 or SOLAS 60 certificate requirements specified in § 971.205(b), or, as applicable, specified in § 971.214(d)(7)(ii), apply. [54 FR 525, Jan. 6, 1989, as amended at 91 FR 2677, Jan. 21, 2026]\n\nSubpart H—Miscellaneous\n\nSection 971.800. General. The subpart contains miscellaneous provisions pursuant to the Act which are applicable to exploration licenses and commercial recovery permits.\n\nSection 971.801. Records to be maintained and information to be submitted by licensees and. permittees. (a)\n\n(1) In addition to the information specified elsewhere in the part and in 15 CFR part 970, each licensee and permittee must keep such records, consistent with standard accounting principles, as specified by the Administrator in the license or permit. Such records shall include information which will fully disclose expenditures for exploration for, or commercial recovery of hard mineral resources in the area under license or permit, and any other information which will facilitate an effective audit of these expenditures.\n\n(2) The Administrator and the Comptroller General of the United States, or any of their duly authorized representatives, shall have access, for purposes of audit and examination to any books, documents, papers, and records of licensees and permittees which are necessary and directly pertinent to verification of the expenditures referred to in paragraph (a)(1) of this section.\n\n(b) In addition to the information specified elsewhere in this part and in 15 CFR part 970, each applicant, licensee or permittee will be required to submit to the Administrator, upon request, data or other information the Administrator may reasonably need for purposes of:\n\n(1) Making determinations with respect to the issuance, revocation, modification, or suspension of the license or permit in question;\n\n(2) Evaluating the effectiveness of license or permit TCRs;\n\n(3) Compliance with the biennial Congressional report requirement contained in section 309 of the Act; and\n\n(4) Evaluation of the exploration or commercial recovery activities conducted by the licensee or permittee. At a minimum, licensees and permittees shall submit an annual written report within 90 days after each anniversary of the license or permit issuance or transfer, discussing exploration or commercial recovery activities and expenditures. The report shall address diligence requirements (see § 971.503 and 15 CFR 970.602), implementation of any approved monitoring plan (see § 971.602 and 15 CFR 970.522(c) and 970.702(a)), and applicable changes which do not constitute revisions (see § 971.413(e) and 15 CFR 970.513(c)). Permittees must also report the tonnage of nodules recovered (§ 971.426) and discuss manganese conservation measures (see § 971.502).\n\nSection 971.802. Public disclosure of documents received by NOAA.\n\n(a) General. Procedures for requesting confidential treatment of information submitted to, reported to, or collected by the Administrator pursuant to this part and 15 CFR part 970 shall be in accordance with 15 CFR part 4. Procedures for requesting records and handling requests for records containing information submitted to, reported to, or collected by the Administrator pursuant to this part and 15 CFR part 970 shall also be in accordance with 15 CFR part 4.\n\n(b) Protection of confidential information transmitted by the Administrator to other agencies. Each copy of information for which confidential treatment has been requested which is transmitted by the Administrator to other Federal agencies will be accompanied by a cover letter containing:\n\n(1) A request that the other Federal agency maintain the information in confidence in accordance with applicable law (including the Trade Secret Act, 18 U.S.C. 1905) and any applicable protective agreement entered into by the Administrator and the Federal agency receiving the information;\n\n(2) A request that the other Federal agency notify the Administrator immediately upon receipt of any request for disclosure of the information; and\n\n(3) A request that all copies of the information be returned to the Administrator for secure storage or disposal promptly after the Federal agency determines that it no longer needs the information for its official use.\n\n(c) When satisfied that adequate protection against public disclosure exists, applicants should provide the State agency with confidential and proprietary information which the State agency maintains is necessary to make a reasoned decision on the consistency of the proposal. State agency requests for such information must be related to the necessity of having such information to assess adequately the coastal zone effects of the proposal. [54 FR 525, Jan. 6, 1989, as amended at 91 FR 2677, Jan. 21, 2026]\n\nSection 971.803. Relinquishment and surrender of licenses and permits.\n\n(a) Any licensee or permittee may at any time, without penalty:\n\n(1) Surrender to the Administrator a license or permit issued to the licensee or permittee; or\n\n(2) Relinquish to the Administrator, in whole or in part, any right to conduct any exploration or commercial recovery activities authorized by the license or permit.\n\n(b) Any licensee or permittee who surrenders, or relinquishes any right under, a license or permit will remain liable with respect to all violations and penalties incurred, and damage to persons or property caused, by the licensee or permittee as a result of activities engaged in by the licensee or permittee under the license or permit.\n\nSection 971.804. Amendment to regulations for conservation, protection of the environment, and. safety of life and property at sea. The Administrator may amend the regulations in this part and 15 CFR part 970 at any time as the Administrator determines to be necessary and appropriate in order to provide for the conservation of natural resources, protection of the environment, or the safety of life and property at sea. The amended regulations will apply to all exploration or commercial recovery activities conducted under any license or permit issued or maintained pursuant to this part or 15 CFR part 970, except that amended regulations which provide for conservation of natural resources will apply to activities conducted under an existing license or permit during the present term of that license or permit only if the Administrator determines that the amended regulations providing for conservation of natural resources will not impose serious or irreparable economic hardship on the licensee or permittee. Any amendment to regulations under this section will be made pursuant to the procedures in subpart I of this part.\n\nSection 971.805. Computation of time. Except where otherwise specified, Saturdays, Sundays and Federal Government holidays will be included in computing the time period allowed for filing any document or paper under this part or 15 CFR part 970, but when a time period expires on any of these days, that time period will be extended to include the next following Federal Government work day. Filing periods expire at the close of business on the day specified, for the office specified.\n\nSubpart I—Uniform Procedures\n\nSection 971.900. Applicability. The regulations of this subpart govern the following hearings conducted by NOAA under this part and under 15 CFR part 970:\n\n(a) All adjudicatory hearings required by section 116(b) of the Act to be held on the following actions upon a finding by the Administrator that one or more specific and material issues of fact exist which require resolution by formal process, including but not limited to:\n\n(1) All applications for issuance or transfer of licenses or permits;\n\n(2) All proposed TCRs on a license or permit; and\n\n(3) All proposals to modify significantly a license or permit;\n\n(b) Hearings conducted under section 105(b)(3) of the Act on objection by a licensee or permittee to any term, condition or restriction in a license or permit, or to modification thereto, where the licensee or permittee demonstrates, after final action by the Administrator on the objection, that a dispute remains as to a material issue of fact;\n\n(c) Hearings conducted in accordance with section 106(b) of the Act pursuant to a timely request by an applicant or a licensee or permittee for review of:\n\n(1) A proposed denial of issuance or transfer of a license or permit; or\n\n(2) A proposed suspension or modification of particular activities under a license or permit after a Presidential determination pursuant to section 106(a)(2)(B) of the Act;\n\n(d) Hearings conducted in accordance with section 308(c) of the Act to amend regulations for the purpose of conservation of natural resources, protection of the environment, and safety of life and property at sea;\n\n(e) Hearings conducted in accordance with § 971.302 or 15 CFR 970.407, or, as applicable, in accordance with § 971.214(f) on a proposal to deny certification of an application;\n\n(f) Hearings conducted in accordance with 15 CFR part 970, subpart C to determine priority of right among preenactment explorers. [54 FR 525, Jan. 6, 1989, as amended at 91 FR 2677, Jan. 21, 2026]\n\nSection 971.901. Formal hearing procedures.\n\n(a) General.\n\n(1) All hearings described in § 971.900 are governed by subpart C of 15 CFR part 904, as modified by this section. The rules in this subpart take precedence over 15 CFR part 904, subpart C, to the extent there is a conflict.\n\n(2) Hearings held under this section will be consolidated insofar as practicable with hearings held by other agencies.\n\n(3) For the purposes of this subpart, involved applicant, licensee or permittee means an applicant, licensee or permittee the status of whose application, license, permit or activities conducted under the license or permit may be altered by the Administrator as a result of proceedings under this subpart.\n\n(b) Decision to hold a hearing. Whenever the Administrator finds that a formal hearing is required by the provisions of this part or 15 CFR part 970, he will provide for a formal hearing. Upon deciding to hold a formal hearing, the Administrator will refer the proceeding to the Department of Commerce Office of Administrative Law Judges for assignment to an Administrative Law Judge to serve as presiding officer for the hearing.\n\n(c) Notice of formal hearing.\n\n(1) The Administrator will publish notice of the formal hearing in the FEDERAL REGISTER at least 15 days before the beginning of the hearing, and will send written notice by registered or certified mail to any involved applicant, licensee or permittee and to all persons who submitted written comments upon the action in question, or who testified at any prior informal hearing on the action or who filed a request for the formal hearing under this part or 15 CFR part 970.\n\n(2) Notice of a formal hearing will include, among other things: (i) Time and place of the hearing and the name of the presiding judge, as determined under paragraph (b) of this section;\n\n(ii) The name and address of the person(s) requesting the formal hearing or a statement that the formal hearing is being held by order of the Administrator;\n\n(iii) The issues in dispute which are to be resolved in the formal hearing;\n\n(iv) The due date for filing a written request to participate in the hearing in accordance with paragraphs (f)(2) and (f)(3) of this section; and\n\n(v) Reference to any prior informal hearing from which the issues to be determined arose.\n\n(d) Powers and duties of the administrative law judge. In addition to the powers enumerated in 15 CFR part 904. Subpart C, judges will have the power to:\n\n(1) Regulate the course of the hearing and the conduct of the parties, interested persons and others submitting evidence, including but not limited to the power to require the submission of part or all of the evidence in written form if the judge determines a party will not be prejudiced thereby, and if otherwise in accordance with law;\n\n(2) Rule upon requests submitted in accordance with paragraph (f)(2) of this section to participate as a party, or requests submitted in accordance with paragraph (f)(3) of this section to participate as an interested person in a proceeding, by allowing, denying, or limiting such participation; and\n\n(3) Require at or prior to any hearing, the submission and exchange of evidence.\n\n(e) Argument. At the close of the formal hearing, each party will be given the opportunity to submit written arguments on the issues before the judge.\n\n(f) Hearing participation.\n\n(1) Parties to the formal hearing will include: (i) The NOAA General Counsel;\n\n(ii) Any involved applicant, licensee or permittee; and\n\n(iii) Any other person determined by the judge, in accordance with paragraph (f)(2) below, to be eligible to participate as a full party.\n\n(2) Any person desiring to participate as a party in a formal hearing must submit a request to the judge to be admitted as a party. The request must be submitted within ten days after the date of mailing or publication of notice of a decision to hold a formal hearing, whichever occurs later. Such person will be allowed to participate if the judge finds that the interests of justice and a fair determination of the issues would be served by granting the request. The judge may entertain a request submitted after the expiration of the ten days, but such a request may only be granted upon an express finding on the record that: (i) Special circumstances justify granting the request;\n\n(ii) The interests of justice and a fair determination of the issues would be served by granting the request;\n\n(iii) The requestor has consented to be bound by all prior written agreements and stipulations agreed to by the existing parties, and all prior orders entered in the proceedings; and\n\n(iv) Granting the request will not cause undue delay or prejudice the rights of the existing parties. (3) (i) Any interested person who desires to submit evidence in a formal hearing must submit a request within ten days after the dates of mailing or publication of notice of a decision to hold a formal hearing, whichever occurs later. The judge may waive the ten day rule for good cause, such as if the interested person, making this request after the expiration of the ten days, the formal hearing, and the evidence he proposes to submit may significantly affect the outcome of the proceedings.\n\n(ii) The judge may permit an interested person to submit evidence at any formal hearing if the judge determines that such evidence is relevant to facts in dispute concerning the issue(s) being adjudicated. The fact that an interested person may submit evidence under this paragraph at a hearing does not entitle the interested person to participate in other ways in the hearing unless allowed by the judge under paragraph (f)(3)(iii) below.\n\n(iii) The judge may allow an interested person to submit oral testimony, oral arguments or briefs, or to cross-examine witnesses or participate in other ways, if the judge determines: (A) That the interests of justice would be better served by allowing such participation by the interested person; and (B) That there are compelling circumstances favoring such participation by the interested person.\n\n(g) Definition of issues.\n\n(1) Whenever a formal hearing is conducted pursuant to this section the Administrator may certify the issues for decision to the judge, and if the issues are so certified, the formal hearing will be limited to those issues.\n\n(2) Whenever a formal hearing is conducted pursuant to a request by an applicant, licensee or permittee for review of a denial of certification, issuance or transfer of a license or permit in accordance with section 106(a)(4) of the Act, or pursuant to an objection to any term, condition, or restriction in a permit in accordance with section 105(b)(3) or (c)(4) of the Act, no issues may be raised by any party or interested person that were not previously raised in the administrative proceedings on the action pursuant to any such section, unless the judge determines that good cause is shown for the failure to raise them. Good cause includes the case where the party seeking to raise the new issues shows that it could not reasonably have ascertained the issues at a prior stage in the administrative process, or that it could not have reasonably anticipated the relevance or materiality of the information sought to be introduced.\n\n(h) Decisions —\n\n(1) Proposed findings of fact and conclusions of law. The judge will allow each party to file with the judge proposed findings of fact, and in appropriate cases conclusions of law, together with a supporting brief expressing the reasons for such proposals. Such proposals and briefs must be filed within ten days after the hearing or within such additional time as the judge may allow. Such proposals and briefs must refer to all portions of the record and to all authorities relied upon in support of each proposal. Reply briefs must be submitted within ten days after receipt of the proposed findings and conclusions to which they respond, unless the judge allows additional time.\n\n(2) Recommended decision. (i) As soon as practicable, but normally not later than 90 days after the conclusion of the formal hearing, the judge will evaluate the record of the formal hearing and prepare and file a recommended decision with the Administrator. The decision will contain findings of fact, when appropriate, conclusions regarding all material isuses of law, and a recommendation as to the appropriate action to be taken by the Administrator. The judge will serve a copy of the decision on each party and upon the Administrator.\n\n(ii) Within thirty days after the date the recommended decision is served, any party may file with the Administrator exceptions to the recommended decision. The exceptions must refer to all portions of the record and to all authorities relied on in support of the exceptions.\n\n(3) Final decision. (i) As soon as practicable, but normally not later than 60 days after receipt of the recommended decision, the Administrator will issue a final decision. The final decision will include findings of fact and conclusions regarding material issues of law or discretion, as well as reasons therefor. The final decision may accept or reject all or part of the recommended decision. The Administrator shall assure that the record shows the ruling on each exception presented.\n\n(ii) With respect to hearings held pursuant to section 116(b), the Administrator may defer announcement of his findings of fact until the time he takes final action with respect to any action described in section 116(a).\n\n(iii) The Administrator will base the final decision upon the record already made except that the Administrator may issue orders: (A) Specifying the filing of supplemental briefs; or (B) Remanding the matter to the judge for the receipt of further evidence, or otherwise assisting in the determination of the matter. (i) Filing and service of documents.\n\n(1) Whenever the regulations in this subpart or an order issued hereunder require a document to be filed within a certain period of time, such document will be considered filed as of the date of the postmark, if mailed, or (if not mailed) as of the date actually delivered to the office where filing is required. Time periods will begin to run on the day following the date of the document, paper, or event which begins at the time period.\n\n(2) All submissions must be signed by the person making the submission, or by the person's attorney or other authorized agent or representative.\n\n(3) Service of a document must be made by delivering or mailing a copy of the document to the known address of the person being served.\n\n(4) Whenever the regulations in this subpart require service of a document, such service may effectively be made on the agent for the service of process or on the attorney for the person to be served.\n\n(5) Refusal of service of a document by the person, his agent, or attorney will be deemed effective service of the document as of the date of such refusal.\n\n(6) A certficate of the person serving the document by personal delivery or by mailing, setting forth the manner of the service, will be proof of the service.\n\nSubpart J—Enforcement\n\nSection 971.1000. General.\n\n(a) Purpose and scope.\n\n(1) Section 302 of the Act authorizes the Administrator to assess a civil penalty, in an amount not to exceed $25,000 for each violation, against any person found to have committed an act prohibited by section 301 of the Act. Each day of a continuing violation is a separate offense.\n\n(2) Section 106 of the Act describes the circumstances under which the Administrator may suspend or revoke a license or permit, or suspend or modify activities under a license or permit, in addition to or in lieu of imposing of a civil penalty, or in addition to imposing a fine.\n\n(3) Section 306 of the Act makes provisions of the customs laws relating to, among other things, the remission or mitigation of forfeitures, applicable to forfeitures of vessels and hard mineral resources. The Administrator is authorized to entertain petitions for administrative settlement of property seizures made under the Act which would otherwise proceed to judicial forfeiture.\n\n(4) Section 114 of the Act authorizes the Administrator to place observers on vessels used by a licensee or permittee under the Act to monitor compliance and environmental effects of activities under the license or permit.\n\n(5) Section 117 of the Act describes the circumstances under which a person may bring a civil action against an alleged violator or against the Administrator for failure to perform a nondiscretionary duty, and directs the Administrator to issue regulations governing procedures prerequisite to such a civil action.\n\n(6) The regulations in this subpart provide uniform rules and procedures for the assessment of civil penalties (§§ 971.1001-971.1002), and license and permit sanctions (§ 971.1003); the remission or mitigation of forfeitures (§ 971.1004); observers (§ 971.1005); protection of certain information related to enforcement (§ 971.1006); and procedures requiring persons planning to bring a civil action under section 117 of the Act to give advance notice (§ 971.1007).\n\n(b) Filing and service of documents.\n\n(1) Except as otherwise provided by this subpart, filing and service of documents required by this subpart will be in accordance with § 971.901(i). The method for computing time periods set forth in\n\nSection 971.901. (i) also applies to any action or event, such as payment of a civil penalty, required by this. subpart to take place within a specified period of time.\n\n(2) If an oral or written request is made to the Administrator within ten days after the expiration of a time period established in this subpart for the required filing of documents, the Administrator may permit a late filing if the Administrator finds reasonable grounds for an inability or failure to file within the time periods. All extensions will be in writing. Except as provided by this paragraph, by 15 CFR 904.102 or by order of an administrative law judge, no requests for an extension of time may be granted.\n\nSection 971.1001. Assessment procedure.\n\nSubpart B of 15 CFR part 904 governs the procedures for assessing a civil penalty under the Act, and the rights of any person against whom a civil penalty is assessed.\n\nSection 971.1002. Hearing and appeal procedures.\n\n(a) Beginning of hearing procedures. Following receipt of a written request for a hearing timely filed under 15 CFR 904.102, the Administrator will begin procedures under this section by forwarding the request, a copy of the NOVA, and any response thereto to the Department of Commerce, Office of Administrative Law Judges.\n\n(b) Subpart C of 15 CFR part 904 governs the hearing and appeal procedures for civil penalties assessed under the Act.\n\nSection 971.1003. License and permit sanctions.\n\n(a) Application of this section. This section governs the suspension or revocation of any license or permit issued under the Act, or the suspension or modification of any particular activity or activities under a license or permit, which suspension, revocation or modification is undertaken in addition to, or in lieu of, imposing a civil penalty under this subpart, or in addition to imposing a fine.\n\n(b) Basis for sanctions. The Administrator may act under this section with respect to a license or permit issued under the Act, or any particular activity or activities under such a license or permit, if the licensee or permittee substantially fails to comply with any provision of the Act, any regulation or order issued under the Act, or any term, condition, or restriction in the license or permit.\n\n(c) Nature of sanctions. In the Administrator's discretion and subject to the requirements of this section, the Administrator may take any of the following actions or combinations thereof with respect to a license or permit issued under the Act:\n\n(1) Revoke the license or permit;\n\n(2) Suspend the license or permit, either for a specified period of time or until certain stated requirements are met, or both; or\n\n(3) Modify any activity under the license or permit, as by imposing additional requirements or restraints on the activity.\n\n(d) Notice of sanction.\n\n(1) The Administrator will prepare a notice of sanction (NoS) setting forth the sanction to be imposed and the basis therefore. The NoS will state: (i) A concise statement of the facts believed to show a violation;\n\n(ii) A specific reference to the provisions of the Act, regulation, license or permit, or order allegedly violated;\n\n(iii) The nature and duration of the proposed sanction;\n\n(iv) The effective date of the sanction, which is 30 days after the date of the notice unless the Administrator establishes a different effective date under paragraph (d)(4) or paragraph (e) of this section;\n\n(v) That the licensee or permittee has 30 calendar days from receipt of the notice in which to request or waive a hearing, under paragraph (f) of this section; and\n\n(vi) The determination made by the Administrator under paragraph (e)(1) of this section, and any time period that the Administrator provides the licensee or permittee under paragraph (e)(1) to correct a deficiency.\n\n(2) If a hearing is requested in a timely manner, the sanction becomes effective as provided in the final decision of the Administrator issued pursuant to paragraph (g) of this section, unless the Administrator provides otherwise under paragraph (d)(4) of this section.\n\n(3) The NoS will be served personally or by registered or certified mail, return receipt requested, on the licensee or permittee. The Administrator will also publish in the FEDERAL REGISTER a notice of his intention to impose a sanction.\n\n(4) The Administrator may make the sanction effective immediately or otherwise earlier than 30 days after the date of the NoS if the Administrator finds, and issues an emergency order summarizing such finding and the basis therefor, that an earlier date is necessary to: (i) Prevent a significant adverse environmental effect; or\n\n(ii) Preserve the safety of life and property at sea. If the Administrator acts under this paragraph (d)(4), the Administrator will serve the emergency order as provided in paragraph (d)(3) of this section.\n\n(5) The NoS will be accompanied by a copy of this subpart and the applicable provisions of 15 CFR part 904 and 15 CFR part 971, subpart I.\n\n(e) Opportunity to correct deficiencies.\n\n(1) Prior to issuing the NoS, the Administrator will determine whether the reason for the proposed sanction is a deficiency which the licensee or permittee can correct. Such determination, and the basis therefor, will be set forth in the NoS.\n\n(2) If the Administrator determines that the reason for the proposed sanction is a deficiency which the licensee or permittee can correct, the Administrator will allow the licensee or permittee a reasonable period of time, up to 180 days from the date of the NoS, to correct the deficiency. The NoS will state the effective date of the sanction, and that the sanction will take effect on that date unless the licensee or permittee corrects the deficiency within the time prescribed or unless the Administrator grants an extension of time to correct the deficiency under paragraph (e)(3) of this section.\n\n(3) The licensee or permittee may, within the time period prescribed by the Administrator under paragraph (e)(2) of the section, request an extension of time to correct the deficiency. The Administrator may, for good cause shown, grant an extension. If the Administrator does not grant the request, either orally or in writing before the effective date of the sanction, the request will be considered denied.\n\n(4) When the licensee or permittee believes that the deficiency has been corrected, the licensee or permittee shall so advise the Administrator in writing. The Administrator will, as soon as practicable, determine whether or not the deficiency has been corrected and advise the licensee or permittee of such determination.\n\n(5) If the Administrator determines that the deficiency has not been corrected by the licensee or permittee within the time prescribed under paragraph (e)(2) or (e)(3) of this section, the Administrator may: (i) Grant the licensee or permittee additional time to correct the deficiency, for good cause shown;\n\n(ii) If no hearing has been timely requested under paragraph (f)(1) of this section, notify the licensee or permittee that the sanction will take effect as provided in paragraph (e)(2) or (e)(3) of this section; or\n\n(iii) If a request for hearing has been timely filed under paragraph (f)(1) of this section, and hearing proceedings have not already begun, or if the Administrator determines under paragraph (f)(3) of this section to hold a hearing, notify the licensee or permittee of the Administrator's intention to proceed to a hearing on the matter.\n\n(f) Opportunity for hearing.\n\n(1) The licensee or permittee has 30 days from receipt of the NoS to request a hearing. However, no hearing is required with respect to matters previously adjudicated in an administrative or judicial hearing in which the licensee or permittee has had an opportunity to participate.\n\n(2) If the licensee or permittee requests a hearing, a written and dated request shall be served either in person or by certified or registered mail, return receipt requested, at the address specified in the NoS. The request shall either attach a copy of the relevant NoS or refer to the relevant NOAA case number.\n\n(3) If no hearing is requested under paragraph (f)(2) of this section, the Administrator may nonetheless order a hearing if the Administrator determines that there are material issues of fact, law, or equity to be further explored.\n\n(g) Hearing and decision.\n\n(1) If a timely request for a hearing under paragraph (f) of this section is received, or if the Administrator orders a hearing under paragraph (f)(3) of this section, the Administrator will promptly begin proceedings under this section by forwarding the request, a copy of the NoS and any response thereto to the Department of Commerce Office of Administrative Law Judges which will docket the matter for hearing. Written notice of the referral will promptly be given to the licensee or permittee, with the name and address of the attorney representing the Administrator in the proceedings (the agency representative). Thereafter, all pleading and other documents must be filed directly with the Department of Commerce Office of Administrative Law Judges, and a copy must be served on the opposing party (respondent or agency representative).\n\n(2) Except as provided in this section, the hearing and appeal procedures in 15 CFR part 904, subpart C apply to any hearing held under this section.\n\n(3) If the proposed sanction is the result of a correctable deficiency, the hearing will proceed concurrently with any attempt to correct the deficiency unless the parties agree otherwise or the Administrative Law Judge orders differently.\n\n(4) As soon as practicable, but normally not later than 90 days after the conclusion of the formal hearing, the judge will file with the Administrator a recommended decision prepared in accordance with § 971.901(h)(2).\n\n(5) The Administrator will issue a final decision in accordance with § 971.901(h)(3). The decision will be a final order of the Administrator.\n\n(6) The Administrator will serve notice of the final decision on the licensee or permittee in the manner described by paragraph (d)(3) of this section.\n\nSection 971.1004. Remission or mitigation of forfeitures.\n\n(a) Authorized enforcement officers are empowered by section 304 of the Act to seize any vessel (together with its gear, furniture, appurtenances, stores, and cargo) which reasonably appears to have been used in violation of the Act, if necessary to prevent evasion of the enforcement of this Act, or of any regulation, order or license or permit issued pursuant to the Act. Enforcement agents may also seize illegally recovered or processed hard mineral resources, as well as other evidence related to a violation. Section 306 of the Act provides for the judicial forfeiture of vessels and hard mineral resources.\n\n(b) Subpart F of 15 CFR part 904 governs procedures regarding seized property that is subject to forfeiture or has been forfeited under the Act, including the remission or mitigation of forfeitures.\n\n(c) Unless otherwise directed in a notice concerning the seized property, a petition for relief from forfeiture under the Act and pursuant to 15 CFR 904.506(b) shall be addressed to the Administrator and filed with the Ocean Minerals and Energy Division at the address specified in § 971.200(b).\n\nSection 971.1005. Observers.\n\n(a) Purpose of observers. Each licensee and permittee shall allow, at such times and to such extent as the Administrator deems reasonable and necessary, an observer (as used in this section, the term “observer” means “one or more observers”) duly authorized by the Administrator to board and accompany any vessel used by the licensee or permittee in exploration or commercial recovery activities (hereafter referred to in this section as a “vessel”), for the purpose of observing, evaluating and reporting on:\n\n(1) The effectiveness of the terms, conditions, and restrictions of the license or permit;\n\n(2) Compliance with the Act, regulations and orders issued under the Act, and the license or permit terms, conditions, and restrictions; and\n\n(3) The environmental and other effects of the licensee's or permittee's activities under the license or permit.\n\n(b) Notice to licensee or permittee.\n\n(1) If the Administrator plans to place an observer aboard a vessel, the Administrator will so notify the affected licensee or permittee.\n\n(2) The Administrator normally will issue any such notice as far in advance of placement of the observer as is practicable.\n\n(3) Contents of notice. The notice given by the Administrator will include, among other things: (i) The name of the observer, if known at the time notice is issued;\n\n(ii) The length of time which the observer likely will be aboard the vessel;\n\n(iii) Information concerning activities the observer is likely to conduct, such as: (A) Identification of special activities that the observer will monitor; (B) Planned tests of equipment used for monitoring; (C) Activities of the observer that are likely to require assistance from the vessel's personnel or crew or use of the vessel's equipment; and (D) Planned tests of alternative operating procedures or technologies for mitigation of environmental effects.\n\n(iv) Information concerning the equipment that will be brought aboard the vessel, such as a description of the monitoring equipment, and any special requirements concerning the handling, storage, location or operation of, or the power supply for, the equipment.\n\n(c) Initial monitoring period. The Administrator shall require the placement of an observer on each permittee's mining vessel(s) at least once during the initial year of the permittee's commercial recovery activities.\n\n(d) Licensee's and permittee's responsibilities for observer placement.\n\n(1) Upon request by the Administrator, a licensee or permittee shall facilitate observer placement by promptly notifying the Administrator regarding the timing of planned system tests and the departure date of the next voyage, or, if the vessel is at sea, suggesting a time and method for transporting the observer to the vessel.\n\n(2) In addition, the licensee or permittee shall notify NOAA of the date of departure of planned cruises 60 days in advance of ship departure from port for purposes of NOAA's determination of whether to place Federal observers onboard. If cruise plans are changed by more than 30 days from the date stated by the exploration or commercial recovery plan, the licensee or permittee shall notify NOAA as soon as such changes are made, or 90 days prior to the previously scheduled departure.\n\n(e) Duties of licensee, permittee, owner or operator. Each licensee, permittee, owner or operator of a vessel aboard which an observer is assigned shall:\n\n(1) Allow the observer access to and use of the vessel's communications equipment and personnel when the observer deems such access necessary for the transmission and receipt of messages;\n\n(2) Allow the observer access to and use of the vessel's navigation equipment and personnel when the observer deems such access necessary to determine the vessel's location;\n\n(3) Provide all other reasonable cooperation and assistance to enable the observer to carry out the observer's duties; and\n\n(4) Provide temporary accommodations and food to the observer aboard the vessel which are equivalent to those provided to officers of the vessel.\n\n(f) Reasonableness of observer activities.\n\n(1) To the maximum extent practicable, observation duties will be planned and carried out in a manner that minimizes interference with the licensee's or permittee's activities under the license or permit.\n\n(2) The Administrator will assure that equipment brought aboard a vessel by the observer is reasonable as to size, weight, and electric power and storage requirements, taking into consideration the necessity of the equipment for carrying out the observer's functions.\n\n(3) The observer will have no authority over the operation of the vessel or its activities, or the officers, crew, or personnel of the vessel. The observer will comply with all rules and regulations issued by the licensee or permittee, and all orders of the Master or senior operations official, with respect to ensuring safe operation of the vessel and the safety of its personnel.\n\n(g) Non-interference with observer. Licensees, permittees and other persons are reminded that the Act (see, for example, sections 301(3) and 301(4)) makes it unlawful for any person subject to section 301 of the Act to interfere with any observer in the performance of the observer's duties.\n\n(h) Confidentiality of information. NOAA recognizes the possibility that an observer, in performing observer functions, will record information which the licensee or permittee considers to be proprietary. NOAA intends to protect such information consistent with applicable law. The Administrator may in appropriate cases provide the licensee or permittee an opportunity:\n\n(1) To review those parts of the observer's report which may contain proprietary information; and\n\n(2) To request confidential treatment of such information under § 971.802.\n\nSection 971.1006. Proprietary enforcement information.\n\n(a) Proprietary and privileged information seized or maintained under Title III of the Act concerning a person or vessel engaged in commercial recovery will not be made available for general or public use or inspection.\n\n(b) Although presentation of evidence in a proceeding under this subpart is not deemed general or public use of information, the Administrator will, consistent with due process, move to have records sealed, under 15 CFR part 904 subpart C, or other applicable provisions of law, in any administrative or judicial proceeding where the use of proprietary or privileged information is required to serve the purpose of the Act.\n\nSection 971.1007. Advance notice of civil actions.\n\n(a) Actions against alleged violators.\n\n(1) No civil action may be filed in a United States District Court under section 117 of the Act against any person for alleged violation of the Act, or any regulation, or license or permit term, condition, or restriction issued under the Act, until 60 days after the Administrator and any alleged violator receive written and dated notice of alleged violation.\n\n(2) The notice shall contain: (i) A concise statement of the facts believed to show a violation;\n\n(ii) A specific reference to the provisions of the Act, regulation or license or permit allegedly violated; and\n\n(iii) Any documentary or other evidence of the alleged violation.\n\n(b) Action against the Administrator.\n\n(1) No civil action may be filed in a United States District Court under section 117 of the Act against the Administrator for an alleged failure to perform any act or duty under the Act which is not discretionary until 60 days after receipt by the Administrator of a written and dated notice of intent to file the action.\n\n(2) The notice shall contain: (i) A specific reference to the provisions of the Act, regulation or permit believed to require the Administrator to perform a nondiscretionary act or duty;\n\n(ii) A precise description of the nondiscretionary act or duty believed to be required by such provision;\n\n(iii) A concise statement of the facts believed to show a failure to perform the act or duty; and\n\n(iv) Any documentary or other evidence of the alleged failure to perform the act or duty.\n", "n_chars": 172467}
{"corpus_id": "usa/statute/dshmra-1980", "version_id": "2023-01-01", "title": "Deep Seabed Hard Mineral Resources Act (30 U.S.C. chapter 26, §§ 1401–1473)", "short_title": "US Deep Seabed Hard Mineral Resources Act (DSHMRA)", "jurisdiction": "USA", "document_type": "national_statute", "official_citation": "Deep Seabed Hard Mineral Resources Act, Pub. L. 96-283, 94 Stat. 553 (June 28, 1980), codified at 30 U.S.C. §§ 1401–1473 (2023 ed.)", "authentic_languages": ["en"], "language": "en", "adoption_date": "1980-06-28", "entry_into_force_date": null, "source_url": "https://www.govinfo.gov/content/pkg/USCODE-2023-title30/html/USCODE-2023-title30-chap26.htm", "source_publisher": "U.S. Government Publishing Office / Office of the Law Revision Counsel (govinfo.gov)", "source_is_official": true, "authoritative_status": "official_consolidation", "text_fidelity": "extracted_verified", "content_hash": "sha256:bbd19c1d64c15c80c6a74b78b7bd46a430cf100ad1aea282c974627d39be8643", "original_sha256": "sha256:bbd19c1d64c15c80c6a74b78b7bd46a430cf100ad1aea282c974627d39be8643", "text_sha256": "sha256:bbd19c1d64c15c80c6a74b78b7bd46a430cf100ad1aea282c974627d39be8643", "license": "us-gov-public-domain", "rights_note": "U.S. Government work; in the public domain in the United States (edicts of government / 17 U.S.C. §105).", "provenance_note": "THE US NON-UNCLOS PARALLEL TRACK (JC-001). The United States is NOT a party to UNCLOS and administers deep seabed hard-mineral mining OUTSIDE the ISA regime, under this Act (NOAA-administered). Captured 2026-07-03 from the official govinfo US Code, 2023 edition (Title 30, Chapter 26), all 38 sections across Subchapters I–III. authoritative_status is 'official_consolidation' because U.S. Code Title 30 has NOT been enacted into positive law: the Code text is prima facie evidence of the law, while the legally authoritative text is the Statutes at Large (Pub. L. 96-283) — a byte-exact Statutes-at-Large / positive-law capture is a recommended provenance upgrade. Cleaning kept the enacted statutory text and its (Pub. L. …) source credits and dropped the OLRC editorial/statutory notes (clearly non-statutory apparatus); section markers '§NNNN.' are rendered 'Section NNNN.' for machine-readability; no statutory wording was altered. Implementing regulations (15 CFR parts 970/971) and OCSLA/BOEM activity are in scope but not yet ingested.", "text": "Deep Seabed Hard Mineral Resources Act (30 U.S.C. ch. 26, §§ 1401–1473) — United States Code, 2023 edition\n\nSection 1401. Congressional findings and declaration of purpose.\n\n(a) Findings\n\nThe Congress finds that—\n\n(1) the United States' requirements for hard minerals to satisfy national industrial needs will continue to expand and the demand for such minerals will increasingly exceed the available domestic sources of supply;\n\n(2) in the case of certain hard minerals, the United States is dependent upon foreign sources of supply and the acquisition of such minerals from foreign sources is a significant factor in the national balance-of-payments position;\n\n(3) the present and future national interest of the United States requires the availability of hard mineral resources which is independent of the export policies of foreign nations;\n\n(4) there is an alternate source of supply, which is significant in relation to national needs, of certain hard minerals, including nickel, copper, cobalt, and manganese, contained in the nodules existing in great abundance on the deep seabed;\n\n(5) the nations of the world, including the United States, will benefit if the hard mineral resources of the deep seabed beyond limits of national jurisdiction can be developed and made available for their use;\n\n(6) in particular, future access to the nickel, copper, cobalt, and manganese resources of the deep seabed will be important to the industrial needs of the nations of the world, both developed and developing;\n\n(7) on December 17, 1970, the United States supported (by affirmative vote) the United Nations General Assembly Resolution 2749 (XXV) declaring inter alia the principle that the mineral resources of the deep seabed are the common heritage of mankind, with the expectation that this principle would be legally defined under the terms of a comprehensive international Law of the Sea Treaty yet to be agreed upon;\n\n(8) it is in the national interest of the United States and other nations to encourage a widely acceptable Law of the Sea Treaty, which will provide a new legal order for the oceans covering a broad range of ocean interests, including exploration for and commercial recovery of hard mineral resources of the deep seabed;\n\n(9) the negotiations to conclude such a Treaty and establish the international regime governing the exercise of rights over, and exploration of, the resources of the deep seabed, referred to in General Assembly Resolution 2749 (XXV) are in progress but may not be concluded in the near future;\n\n(10) even if such negotiations are completed promptly, much time will elapse before such an international regime is established and in operation;\n\n(11) development of technology required for the exploration and recovery of hard mineral resources of the deep seabed will require substantial investment for many years before commercial production can occur, and must proceed at this time if deep seabed minerals are to be available when needed;\n\n(12) it is the legal opinion of the United States that exploration for and commercial recovery of hard mineral resources of the deep seabed are freedoms of the high seas subject to a duty of reasonable regard to the interests of other states in their exercise of those and other freedoms recognized by general principles of international law;\n\n(13) pending a Law of the Sea Treaty, and in the absence of agreement among states on applicable principles of international law, the uncertainty among potential investors as to the future legal regime is likely to discourage or prevent the investments necessary to develop deep seabed mining technology;\n\n(14) pending a Law of the Sea Treaty, the protection of the marine environment from damage caused by exploration or recovery of hard mineral resources of the deep seabed depends upon the enactment of suitable interim national legislation;\n\n(15) a Law of the Sea Treaty is likely to establish financial arrangements which obligate the United States or United States citizens to make payments to an international organization with respect to exploration or recovery of the hard mineral resources of the deep seabed; and\n\n(16) legislation is required to establish an interim legal regime under which technology can be developed and the exploration and recovery of the hard mineral resources of the deep seabed can take place until such time as a Law of the Sea Treaty enters into force with respect to the United States.\n\n(b) Purposes\n\nThe Congress declares that the purposes of this chapter are—\n\n(1) to encourage the successful conclusion of a comprehensive Law of the Sea Treaty, which will give legal definition to the principle that the hard mineral resources of the deep seabed are the common heritage of mankind and which will assure, among other things, nondiscriminatory access to such resources for all nations;\n\n(2) pending the ratification by, and entering into force with respect to, the United States of such a Treaty, to provide for the establishment of an international revenue-sharing fund the proceeds of which shall be used for sharing with the international community pursuant to such Treaty;\n\n(3) to establish, pending the ratification by, and entering into force with respect to, the United States of such a Treaty, an interim program to regulate the exploration for and commercial recovery of hard mineral resources of the deep seabed by United States citizens;\n\n(4) to accelerate the program of environmental assessment of exploration for and commercial recovery of hard mineral resources of the deep seabed and assure that such exploration and recovery activities are conducted in a manner which will encourage the conservation of such resources, protect the quality of the environment, and promote the safety of life and property at sea; and\n\n(5) to encourage the continued development of technology necessary to recover the hard mineral resources of the deep seabed.\n\n(Pub. L. 96–283, §2, June 28, 1980, 94 Stat. 553.)\n\nSection 1402. International objectives.\n\n(a) Disclaimer of extraterritorial sovereignty\n\nBy the enactment of this chapter, the United States—\n\n(1) exercises its jurisdiction over United States citizens and vessels, and foreign persons and vessels otherwise subject to its jurisdiction, in the exercise of the high seas freedom to engage in exploration for, and commercial recovery of, hard mineral resources of the deep seabed in accordance with generally accepted principles of international law recognized by the United States; but\n\n(2) does not thereby assert sovereignty or sovereign or exclusive rights or jurisdiction over, or the ownership of, any areas or resources in the deep seabed.\n\n(b) Secretary of State\n\n(1) The Secretary of State is encouraged to negotiate successfully a comprehensive Law of the Sea Treaty which, among other things, provides assured and nondiscriminatory access to the hard mineral resources of the deep seabed for all nations, gives legal definition to the principle that the resources of the deep seabed are the common heritage of mankind, and provides for the establishment of requirements for the protection of the quality of the environment as stringent as those promulgated pursuant to this chapter.\n\n(2) Until such a Treaty is concluded, the Secretary of State is encouraged to promote any international actions necessary to adequately protect the environment from adverse impacts which may result from any exploration for and commercial recovery of hard mineral resources of the deep seabed carried out by persons not subject to this chapter.\n\n(Pub. L. 96–283, §3, June 28, 1980, 94 Stat. 555.)\n\nSection 1403. Definitions.\n\nFor purposes of this chapter, the term—\n\n(1) \"commercial recovery\" means—\n\n(A) any activity engaged in at sea to recover any hard mineral resource at a substantial rate for the primary purpose of marketing or commercially using such resource to earn a net profit, whether or not such net profit is actually earned;\n\n(B) if such recovered hard mineral resource will be processed at sea, such processing; and\n\n(C) if the waste of such activity to recover any hard mineral resource, or of such processing at sea, will be disposed of at sea, such disposal;\n\n(2) \"Continental Shelf\" means—\n\n(A) the seabed and subsoil of the submarine areas adjacent to the coast, but outside the area of the territorial sea, to a depth of 200 meters or, beyond that limit, to where the depth of the superjacent waters admits of the exploitation of the natural resources of such submarine area; and\n\n(B) the seabed and subsoil of similar submarine areas adjacent to the coast of islands;\n\n(3) \"controlling interest\", for purposes of paragraph 14(C) of this section, means a direct or indirect legal or beneficial interest in or influence over another person arising through ownership of capital stock, interlocking directorates or officers, contractual relations, or other similar means, which substantially affect the independent business behavior of such person;\n\n(4) \"deep seabed\" means the seabed, and the subsoil thereof to a depth of ten meters, lying seaward of and outside—\n\n(A) the Continental Shelf of any nation; and\n\n(B) any area of national resource jurisdiction of any foreign nation, if such area extends beyond the Continental Shelf of such nation and such jurisdiction is recognized by the United States;\n\n(5) \"exploration\" means—\n\n(A) any at-sea observation and evaluation activity which has, as its objective, the establishment and documentation of—\n\n(i) the nature, shape, concentration, location, and tenor of a hard mineral resource; and\n\n(ii) the environmental, technical, and other appropriate factors which must be taken into account to achieve commercial recovery; and\n\n(B) the taking from the deep seabed of such quantities of any hard mineral resource as are necessary for the design, fabrication, and testing of equipment which is intended to be used in the commercial recovery and processing of such resource;\n\n(6) \"hard mineral resource\" means any deposit or accretion on, or just below, the surface of the deep seabed of nodules which include one or more minerals, at least one of which contains manganese, nickel, cobalt, or copper;\n\n(7) \"international agreement\" means a comprehensive agreement concluded through negotiations at the Third United Nations Conference on the Law of the Sea, relating to (among other matters) the exploration for and commercial recovery of hard mineral resources and the establishment of an international regime for the regulation thereof;\n\n(8) \"licensee\" means the holder of a license issued under subchapter I of this chapter to engage in exploration;\n\n(9) \"permittee\" means the holder of a permit issued under subchapter I of this chapter to engage in commercial recovery;\n\n(10) \"person\" means any United States citizen, any individual, and any corporation, partnership, joint venture, association, or other entity organized or existing under the laws of any nation;\n\n(11) \"reciprocating state\" means any foreign nation designated as such by the Administrator under section 1428 of this title;\n\n(12) \"Administrator\" means the Administrator of the National Oceanic and Atmospheric Administration;\n\n(13) \"United States\" means the several States, the District of Columbia, the Commonwealth of Puerto Rico, American Samoa, the United States Virgin Islands, Guam, and any other Commonwealth, territory, or possession of the United States; and\n\n(14) \"United States citizen\" means—\n\n(A) any individual who is a citizen of the United States;\n\n(B) any corporation, partnership, joint venture, association, or other entity organized or existing under the laws of any of the United States; and\n\n(C) any corporation, partnership, joint venture, association, or other entity (whether organized or existing under the laws of any of the United States or a foreign nation) if the controlling interest in such entity is held by an individual or entity described in subparagraph (A) or (B).\n\n(Pub. L. 96–283, §4, June 28, 1980, 94 Stat. 555.)\n\nSUBCHAPTER I—REGULATION OF EXPLORATION AND COMMERCIAL RECOVERY BY UNITED STATES CITIZENS\n\nSection 1411. Prohibited activities by United States citizens.\n\n(a) Prohibited activities and exceptions\n\n(1) No United States citizen may engage in any exploration or commercial recovery unless authorized to do so under—\n\n(A) a license or a permit issued under this subchapter;\n\n(B) a license, permit, or equivalent authorization issued by a reciprocating state; or\n\n(C) an international agreement which is in force with respect to the United States.\n\n(2) The prohibitions of this subsection shall not apply to any of the following activities:\n\n(A) Scientific research, including that concerning hard mineral resources.\n\n(B) Mapping, or the taking of any geophysical, geochemical, oceanographic, or atmospheric measurements or random bottom samplings of the deep seabed, if such taking does not significantly alter the surface or subsurface of the deep seabed or significantly affect the environment.\n\n(C) The design, construction, or testing of equipment and facilities which will or may be used for exploration or commercial recovery, if such design, construction, or testing is conducted on shore, or does not involve the recovery of any but incidental hard mineral resources.\n\n(D) The furnishing of machinery, products, supplies, services, or materials for any exploration or commercial recovery conducted under a license or permit issued under this subchapter, a license or permit or equivalent authorization issued by a reciprocating state, or under an international agreement.\n\n(E) Activities, other than exploration or commercial recovery activities, of the Federal Government.\n\n(b) Existing exploration\n\n(1) Subsection (a)(1)(A) shall not be deemed to prohibit any United States citizen who is engaged in exploration before June 28, 1980, from continuing to engage in such exploration—\n\n(A) if such citizen applies for a license under section 1413(a) of this title with respect to such exploration within such reasonable period of time, after the date on which initial regulations to implement section 1413(a) of this title are issued, as the Administrator shall prescribe; and\n\n(B) until such license is issued to such citizen or a final administrative or judicial determination is made affirming the denial of certification of the application for, or issuance of, such license.\n\n(2) Notwithstanding paragraph (1), if the President by Executive order determines that immediate suspension of exploration activities is necessary for the reasons set forth in section 1416(a)(2)(B) of this title or the Administrator determines that immediate suspension of activities is necessary to prevent a significant adverse effect on the environment or to preserve the safety of life and property at sea, the Administrator is authorized, notwithstanding any other requirement of this chapter, to issue an emergency order requiring any United States citizen who is engaged in exploration before June 28, 1980, to immediately suspend exploration activities. The issuance of such emergency order is subject to judicial review as provided in chapter 7 of title 5.\n\n(3) The timely filing of any application for a license under paragraph (1)(A) shall entitle the applicant to priority of right for the issuance of such license under section 1413(b) of this title. In any case in which more than one application referred to in paragraph (1) is filed based on exploration plans required by section 1413(a)(2) of this title which refer to all or part of the same deep seabed area, the Administrator shall, in taking action on such applications, apply principles of equity which take into consideration, among other things, the date on which the applicants or predecessors in interest, or component organizations thereof, commenced exploration activities and the continuity and extent of such exploration and amount of funds expended with respect to such exploration.\n\n(c) Interference\n\nNo United States citizen may interfere or participate in interference with any activity conducted by any licensee or permittee which is authorized to be undertaken under a license or permit issued by the United States to the licensee or permittee under this chapter or with any activity conducted by the holder of, and authorized to be undertaken under, a license or permit or equivalent authorization issued by a reciprocating state for the exploration or commercial recovery of hard mineral resources. United States citizens shall exercise their rights on the high seas with reasonable regard for the interests of other states in their exercise of the freedoms of the high seas.\n\n(Pub. L. 96–283, title I, §101, June 28, 1980, 94 Stat. 557.)\n\nSection 1412. Licenses for exploration and permits for commercial recovery.\n\n(a) Authority to issue\n\nSubject to the provisions of this chapter, the Administrator shall issue to applicants who are eligible therefor licenses for exploration and permits for commercial recovery.\n\n(b) Nature of licenses and permits\n\n(1) A license or permit issued under this subchapter shall authorize the holder thereof to engage in exploration or commercial recovery, as the case may be, consistent with the provisions of this chapter, the regulations issued by the Administrator to implement the provisions of this chapter, and the specific terms, conditions, and restrictions applied to the license or permit by the Administrator.\n\n(2) Any license or permit issued under this subchapter shall be exclusive with respect to the holder thereof as against any other United States citizen or any citizen, national or governmental agency of, or any legal entity organized or existing under the laws of, any reciprocating state.\n\n(3) A valid existing license shall entitle the holder, if otherwise eligible under the provisions of this chapter and regulations issued under this chapter, to a permit for commercial recovery. Such a permit recognizes the right of the holder to recover hard mineral resources, and to own, transport, use, and sell hard mineral resources recovered, under the permit and in accordance with the requirements of this chapter.\n\n(4) In the event of interference with the exploration or commercial recovery activities of a licensee or permittee by nationals of other states, the Secretary of State shall use all peaceful means to resolve the controversy by negotiation, conciliation, arbitration, or resort to agreed tribunals.\n\n(c) Restrictions\n\n(1) The Administrator may not issue—\n\n(A) any license or permit after the date on which an international agreement is ratified by and enters into force with respect to the United States, except to the extent that issuance of such license or permit is not inconsistent with such agreement;\n\n(B) any license or permit the exploration plan or recovery plan of which, submitted pursuant to section 1413(a)(2) of this title, would apply to an area to which applies, or would conflict with, (i) any exploration plan or recovery plan submitted with any pending application to which priority of right for issuance applies under section 1413(b) of this title, (ii) any exploration plan or recovery plan associated with any existing license or permit, or (iii) any equivalent authorization which has been issued, or for which formal notice of application has been submitted, by a reciprocating state prior to the filing date of any relevant application for licenses or permits pursuant to this subchapter;\n\n(C) a permit authorizing commercial recovery within any area of the deep seabed in which exploration is authorized under a valid existing license if such permit is issued to other than the licensee for such area;\n\n(D) any exploration license before July 1, 1981, or any permit which authorizes commercial recovery to commence before January 1, 1988;\n\n(E) any license or permit the exploration plan or recovery plan for which applies to any area of the deep seabed if, within the 3-year period before the date of application for such license or permit, (i) the applicant therefor surrendered or relinquished such area under an exploration plan or recovery plan associated with a previous license or permit issued to such applicant, or (ii) a license or permit previously issued to the applicant had an exploration plan or recovery plan which applied to such area and such license or permit was revoked under section 1416 of this title; or\n\n(F) a license or permit, or approve the transfer of a license or permit, except to a United States citizen.\n\n(2) No permittee may use any vessel for the commercial recovery of hard mineral resources or for the processing at sea of hard mineral resources recovered under the permit issued to the permittee unless the vessel is documented under the laws of the United States.\n\n(3) Each permittee shall use at least one vessel documented under the laws of the United States for the transportation from each mining site of hard mineral resources recovered under the permit issued to the permittee.\n\n(4) For purposes of the shipping laws of the United States, any vessel documented under the laws of the United States and used in the commercial recovery, processing, or transportation from any mining site of hard mineral resources recovered under a permit issued under this subchapter shall be deemed to be used in, and used in an essential service in, the foreign commerce or foreign trade of the United States, as defined in section 109 of title 46, and shall be deemed to be a vessel as defined in section 53701(13) 1 of title 46.\n\n(5) Except as otherwise provided in this paragraph, the processing on land of hard mineral resources recovered pursuant to a permit shall be conducted within the United States: *Provided*, That the President does not determine that such restrictions contravene the overriding national interests of the United States. The Administrator may allow the processing of hard mineral resources at a place other than within the United States if he finds, after opportunity for an agency hearing, that—\n\n(A) the processing of the quantity concerned of such resource at a place other than within the United States is necessary for the economic viability of the commercial recovery activities of a permittee; and\n\n(B) satisfactory assurances have been given by the permittee that such resource, after processing, to the extent of the permittee's ownership therein, will be returned to the United States for domestic use, if the Administrator so requires after determining that the national interest necessitates such return.\n\n(Pub. L. 96–283, title I, §102, June 28, 1980, 94 Stat. 558.)\n\nSection 1413. License and permit applications, review, and certification.\n\n(a) Applications\n\n(1) Any United States citizen may apply to the Administrator for the issuance or transfer of a license for exploration or a permit for commercial recovery.\n\n(2)(A) Applications for issuance or transfer of licenses for exploration and permits for commercial recovery shall be made in such form and manner as the Administrator shall prescribe in general and uniform regulations and shall contain such relevant financial, technical, and environmental information as the Administrator may by regulations require as being necessary and appropriate for carrying out the provisions of this subchapter. In accordance with such regulations, each applicant for the issuance of a license shall submit an exploration plan as described in subparagraph (B), and each applicant for a permit shall submit a recovery plan as described in subparagraph (C).\n\n(B) The exploration plan for a license shall set forth the activities proposed to be carried out during the period of the license, describe the area to be explored, and include the intended exploration schedule and methods to be used, the development and testing of systems for commercial recovery to take place under the terms of the license, an estimated schedule of expenditures, measures to protect the environment and to monitor the effectiveness of environmental safeguards and monitoring systems for commercial recovery, and such other information as is necessary and appropriate to carry out the provisions of this subchapter. The area set forth in an exploration plan shall be of sufficient size to allow for intensive exploration.\n\n(C) The recovery plan for a permit shall set forth the activities proposed to be carried out during the period of the permit, and shall include the intended schedule of commercial recovery, environmental safeguards and monitoring systems, details of the area or areas proposed for commercial recovery, a resource assessment thereof, the methods and technology to be used for commercial recovery and processing, the methods to be used for disposal of wastes from recovery and processing, and such other information as is necessary and appropriate to carry out the provisions of this subchapter.\n\n(D) The applicant shall select the size and location of the area of the exploration plan or recovery plan, which area shall be approved unless the Administrator finds that—\n\n(i) the area is not a logical mining unit; or\n\n(ii) commercial recovery activities in the proposed location would result in a significant adverse impact on the quality of the environment which cannot be avoided by the imposition of reasonable restrictions.\n\n(E) For purposes of subparagraph (D), \"logical mining unit\" means—\n\n(i) in the case of a license for exploration, an area of the deep seabed which can be explored under the license in an efficient, economical, and orderly manner with due regard for conservation and protection of the environment, taking into consideration the resource data, other relevant physical and environmental characteristics, and the state of the technology of the applicant as set forth in the exploration plan; or\n\n(ii) in the case of a permit, an area of the deep seabed—\n\n(I) in which hard mineral resources can be recovered in sufficient quantities to satisfy the permittee's estimated production requirements over the initial 20-year term of the permit in an efficient, economical, and orderly manner with due regard for conservation and protection of the environment, taking into consideration the resource data, other relevant physical and environmental characteristics, and the state of the technology of the applicant set out in the recovery plan;\n\n(II) which is not larger than is necessary to satisfy the permittee's estimated production requirements over the initial 20-year term of the permit; and\n\n(III) in relation to which the permittee's estimated production requirements are not found by the Administrator to be unreasonable.\n\n(b) Priority of right for issuance\n\nSubject to section 1411(b) of this title, priority of right for the issuance of licenses to applicants shall be established on the basis of the chronological order in which license applications which are in substantial compliance with the requirements established under subsection (a)(2) of this section are filed with the Administrator. Priority of right shall not be lost in the case of any application filed which is in substantial but not full compliance with such requirements if the applicant thereafter brings the application into conformity with such requirements within such reasonable period of time as the Administrator shall prescribe in regulations.\n\n(c) Eligibility for certification\n\nBefore the Administrator may certify any application for issuance or transfer of a license for exploration or permit for commercial recovery, the Administrator must find in writing, after consultation with other departments and agencies pursuant to subsection (e) of this section, that—\n\n(1) the applicant has demonstrated that, upon issuance or transfer of the license or permit, the applicant will be financially responsible to meet all obligations which may be required of a licensee or permittee to engage in the exploration or commercial recovery proposed in the application;\n\n(2) the applicant has demonstrated that, upon issuance or transfer of the license or permit, the applicant will have the technological capability to engage in such exploration or commercial recovery;\n\n(3) the applicant has satisfactorily fulfilled all obligations under any license or permit previously issued or transferred to the applicant under this chapter; and\n\n(4) the proposed exploration plan or recovery plan of the applicant meets the requirements of this chapter and the regulations issued under this chapter.\n\n(d) Antitrust review\n\n(1) Whenever the Administrator receives any application for issuance or transfer of a license for exploration or permit for commercial recovery, the Administrator shall transmit promptly a complete copy of such application to the Attorney General of the United States and the Federal Trade Commission.\n\n(2) The Attorney General and the Federal Trade Commission shall conduct such antitrust review of the application as they deem appropriate and shall, if they deem appropriate, advise the Administrator of the likely effects of such issuance or transfer on competition.\n\n(3) The Attorney General and the Federal Trade Commission may make any recommendations they deem advisable to avoid any action upon such application by the Administrator which would create or maintain a situation inconsistent with the antitrust laws. Such recommendations may include, without limitation, the denial of issuance or transfer of the license or permit or issuance or transfer upon such terms and conditions as may be appropriate.\n\n(4) Any advice or recommendation submitted by the Attorney General or the Federal Trade Commission pursuant to this subsection shall be submitted within 90 days after receipt by them of the application. The Administrator shall not issue or transfer the license or permit during that 90-day period, except upon written confirmation by the Attorney General and the Federal Trade Commission that neither intends to submit any further advice or recommendation with respect to the application.\n\n(5) If the Administrator decides to issue or transfer the license or permit with respect to which denial of the issuance or transfer of the license or permit has been recommended by the Attorney General or the Federal Trade Commission, or to issue or transfer the license or permit without imposing those terms and conditions recommended by the Attorney General or the Federal Trade Commission as appropriate to prevent any situation inconsistent with the antitrust laws, the Administrator shall, prior to or upon issuance or transfer of the license or permit, notify the Attorney General and the Federal Trade Commission of the reasons for such decision.\n\n(6) The issuance or transfer of a license or permit under this subchapter shall not be admissible in any way as a defense to any civil or criminal action for violation of the antitrust laws of the United States, nor shall it in any way modify or abridge any private right of action under such laws.\n\n(7) As used in this subsection, the term \"antitrust laws\" means the Act of July 2, 1890 (commonly known as the Sherman Act; 15 U.S.C. 1–7); sections 73 through 76 of the Act of August 27, 1894 (commonly known as the Wilson Tariff Act; 15 U.S.C. 8–11); the Clayton Act (15 U.S.C. 12 et seq.); the Act of June 19, 1936 (commonly known as the Robinson-Patman Price Discrimination Act; 15 U.S.C. 13–13b and 21a); and the Federal Trade Commission Act (15 U.S.C. 41 et seq.).\n\n(e) Other Federal agencies\n\nThe Administrator shall provide by regulation for full consultation and cooperation, prior to certification of an application for the issuance or transfer of any license for exploration or permit for commercial recovery and prior to the issuance or transfer of such a license or permit, with other Federal agencies or departments which have programs or activities within their statutory responsibilities which would be affected by the activities proposed in the application for the issuance or transfer of a license or permit. Not later than 30 days after June 28, 1980, the heads of any Federal departments or agencies having expertise concerning, or jurisdiction over, any aspect of the recovery or processing of hard mineral resources shall transmit to the Administrator written comments as to their expertise or statutory responsibilities pursuant to this chapter or any other Federal law. To the extent possible, such agencies shall cooperate to reduce the number of separate actions required to satisfy the statutory responsibilities of these agencies. The Administrator shall transmit to each such agency or department a complete copy of each application and each such agency or department, based on its legal responsibilities and authorities, may, not later than 60 days after receipt of the application, recommend certification of the application, issuance or transfer of the license or permit, or denial of such certification, issuance, or transfer. In any case in which an agency or department recommends such a denial, it shall set forth in detail the manner in which the application does not comply with any law or regulation within its area of responsibility and shall indicate how the application may be amended, or how terms, conditions, or restrictions might be added to the license or permit, to assure compliance with such law or regulation.\n\n(f) Review period\n\nAll time periods for the review of an application for issuance or transfer of a license or permit established pursuant to this section shall, to the maximum extent practicable, run concurrently from the date on which the application is received by the Administrator.\n\n(g) Application certification\n\nUpon making the applicable determinations and findings required in sections 1411, 1412 of this title, and this section with respect to any applicant for the issuance or transfer of a license or a permit and the exploration or commercial recovery proposed by such applicant, after completion of procedures for receiving the application required by this chapter, and upon payment by the applicant of the fee required under section 1414 of this title, the Administrator shall certify the application for the issuance or transfer of the license or permit. The Administrator, to the maximum extent possible, shall endeavor to complete certification action on the application within 100 days after its submission. If final certification or denial of certification has not occurred within 100 days after submission of the application, the Administrator shall inform the applicant in writing of the then pending unresolved issues, the Administrator's efforts to resolve them, and an estimate of the time required to do so.\n\n(Pub. L. 96–283, title I, §103, June 28, 1980, 94 Stat. 560; Pub. L. 107–273, div. C, title IV, §14102(c)(2)(E), Nov. 2, 2002, 116 Stat. 1921.)\n\nSection 1414. License and permit fees.\n\nNo application for the issuance or transfer of a license for exploration or permit for commercial recovery shall be certified unless the applicant pays to the Administrator a reasonable administrative fee which shall be deposited into miscellaneous receipts of the Treasury. The amount of the administrative fee imposed by the Administrator on any applicant shall reflect the reasonable administrative costs incurred in reviewing and processing the application.\n\n(Pub. L. 96–283, title I, §104, June 28, 1980, 94 Stat. 563.)\n\nSection 1415. License and permit terms, conditions, and restrictions; issuance and transfer of licenses and permits.\n\n(a) Eligibility for issuance or transfer of license or permit\n\nBefore issuing or transferring a license for exploration or permit for commercial recovery, the Administrator must find in writing, after consultation with interested departments and agencies pursuant to section 1413(e) of this title, and upon considering public comments received with respect to the license or permit, that the exploration or commercial recovery proposed in the application—\n\n(1) will not unreasonably interfere with the exercise of the freedoms of the high seas by other states, as recognized under general principles of international law;\n\n(2) will not conflict with any international obligation of the United States established by any treaty or international convention in force with respect to the United States;\n\n(3) will not create a situation which may reasonably be expected to lead to a breach of international peace and security involving armed conflict;\n\n(4) cannot reasonably be expected to result in a significant adverse effect on the quality of the environment, taking into account the analyses and information in any applicable environmental impact statement prepared pursuant to section 1419(c) or 1419(d) of this title; and\n\n(5) will not pose an inordinate threat to the safety of life and property at sea.\n\n(b) Issuance and transfer of licenses and permits with terms, conditions, and restrictions\n\n(1) Within 180 days after certification of any application for the issuance or transfer of a license or permit under section 1413(g) of this title, the Administrator shall propose terms and conditions for, and restrictions on, the exploration or commercial recovery proposed in the application which are consistent with the provisions of this chapter and regulations issued under this chapter. If additional time is needed, the Administrator shall notify the applicant in writing of the reasons for the delay and indicate the approximate date on which the proposed terms, conditions, and restrictions will be completed. The Administrator shall provide to each applicant a written statement of the proposed terms, conditions, and restrictions. Such terms, conditions, and restrictions shall be generally specified in regulations with general criteria and standards to be used in establishing such terms, conditions, and restrictions for a license or permit and shall be uniform in all licenses or permits, except to the extent that differing physical and environmental conditions require the establishment of special terms, conditions, and restrictions for the conservation of natural resources, protection of the environment, or the safety of life and property at sea.\n\n(2) After preparation and consideration of the final environmental impact statement pursuant to section 1419(d) of this title on the proposed issuance of a license or permit and subject to the other provisions of this chapter, the Administrator shall issue to the applicant the license or permit with the terms, conditions, and restrictions incorporated therein.\n\n(3) The licensee or permittee to whom a license or permit is issued or transferred shall be deemed to have accepted the terms, conditions, and restrictions in the license or permit if the licensee or permittee does not notify the Administrator within 60 days after receipt of the license or permit of each term, condition, or restriction with which the licensee or permittee takes exception. The licensee or permittee may, in addition to such objections as may be raised under applicable provisions of law, object to any term, condition, or restriction on the ground that the term, condition, or restriction is inconsistent with this chapter or the regulations promulgated thereunder. If, after the Administrator takes final action on these objections, the licensee or permittee demonstrates that a dispute remains on a material issue of fact, the licensee or permittee is entitled to a decision on the record after the opportunity for an agency hearing pursuant to sections 556 and 557 of title 5. Any such decision made by the Administrator shall be subject to judicial review as provided in chapter 7 of title 5.\n\n(c) Modification and revision of terms, conditions, and restrictions\n\n(1) After the issuance or transfer of any license or permit under subsection (b), the Administrator, after consultation with interested agencies and the licensee or permittee, may modify any term, condition, or restriction in such license or permit—\n\n(A) to avoid unreasonable interference with the interests of other states in their exercise of the freedoms of the high seas, as recognized under general principles of international law;\n\n(B) if relevant data and other information (including, but not limited to, data resulting from exploration or commercial recovery activities under the license or permit) indicate that modification is required to protect the quality of the environment or to promote the safety of life and property at sea and if such modification is consistent with the regulations issued to carry out section 1419(b) of this title;\n\n(C) to avoid a conflict with any international obligation of the United States, established by any treaty or convention in force with respect to the United States, as determined in writing by the President; or\n\n(D) to avoid any situation which may reasonably be expected to lead to a breach of international peace and security involving armed conflict, as determined in writing by the President.\n\n(2) During the term of a license or a permit, the licensee or permittee may submit to the Administrator an application for a revision of the license or permit or the exploration plan or recovery plan associated with the license or permit. The Administrator shall approve such application upon a finding in writing that the revision will comply with the requirements of this chapter and the regulations issued under this chapter.\n\n(3) The Administrator shall establish, by regulation, guidelines for a determination of the scale or extent of a proposed modification or revision for which any or all license or permit application requirements and procedures, including a public hearing, shall apply. Any increase in the size of the area, or any change in the location of an area, to which an exploration plan or a recovery plan applies, except an incidental increase or change, must be made by application for another license or permit.\n\n(4) The procedures set forth in subsection (b)(3) of this section shall apply with respect to any modification under this subsection in the same manner, and to the same extent, as if such modification were an initial term, condition, or restriction proposed by the Administrator.\n\n(d) Prior consultations\n\nPrior to making a determination to issue, transfer, modify, or renew a license or permit under this section, the Administrator shall consult with any affected Regional Fishery Management Council established pursuant to section 1852 of title 16, if the activities undertaken pursuant to such license or permit could adversely affect any fishery within the Fishery Conservation Zone, or any anadromous species or Continental Shelf fishery resource subject to the exclusive management authority of the United States beyond such zone.\n\n(Pub. L. 96–283, title I, §105, June 28, 1980, 94 Stat. 563; Pub. L. 96–561, title II, §238(b), Dec. 22, 1980, 94 Stat. 3300; Pub. L. 104–208, div. A, title I, §101(a) [title II, §211(b)], Sept. 30, 1996, 110 Stat. 3009, 3009–41.)\n\nSection 1416. Denial of certification of applications and of issuance, transfer, suspension, and revocation of licenses and permits; suspension and modification of activities.\n\n(a) Denial, suspension, modification, and revocation\n\n(1) The Administrator may deny certification of an application for the issuance or transfer of, and may deny the issuance or transfer of, a license for exploration or permit for commercial recovery if the Administrator finds that the applicant, or the activities proposed to be undertaken by the applicant, do not meet the requirements set forth in section 1413(c) of this title, section 1415(a) of this title, or in any other provision of this chapter, or any regulation issued under this chapter, for the issuance or transfer of a license or permit.\n\n(2) The Administrator may—\n\n(A) in addition to, or in lieu of, the imposition of any civil penalty under section 1462(a) of this title, or in addition to the imposition of any fine under section 1463 of this title, suspend or revoke any license or permit issued under this chapter, or suspend or modify any particular activities under such a license or permit, if the licensee or permittee, as the case may be, substantially fails to comply with any provision of this chapter, any regulation issued under this chapter, or any term, condition, or restriction of the license or permit; and\n\n(B) suspend or modify particular activities under any license or permit, if the President determines that such suspension or modification is necessary (i) to avoid any conflict with any international obligation of the United States established by any treaty or convention in force with respect to the United States, or (ii) to avoid any situation which may reasonably be expected to lead to a breach of international peace and security involving armed conflict.\n\n(3) No action may be taken by the Administrator to deny issuance or transfer of or to revoke any license or permit or, except as provided in subsection (c), to suspend any license or permit or suspend or modify particular activities under a license or permit, unless the Administrator—\n\n(A) publishes in the Federal Register and gives the applicant, licensee, or permittee, as the case may be, written notice of the intention of the Administrator to deny the issuance or transfer of or to suspend, modify, or revoke the license or permit and the reason therefor; and\n\n(B) if the reason for the proposed denial, suspension, modification, or revocation is a deficiency which the applicant, licensee, or permittee can correct, affords the applicant, licensee, or permittee a reasonable time, but not more than 180 days from the date of the notice or such longer period as the Administrator may establish for good cause shown, to correct such deficiency.\n\n(4) The Administrator shall deny issuance or transfer of, or suspend or revoke, any license or permit or order the suspension or modification of particular activities under a license or permit—\n\n(A) on the thirtieth day after the date of the notice given to the applicant, licensee, or permittee under paragraph (3)(A) unless before such day the applicant, licensee, or permittee requests a review of the proposed denial, suspension, modification, or revocation; or\n\n(B) on the last day of the period established under paragraph (3)(B) in which the applicant, licensee, or permittee must correct a deficiency, if such correction has not been made before such day.\n\n(b) Administrative review of proposed denial, suspension, modification, or revocation\n\nAny applicant, licensee, or permittee, as the case may be, who makes a timely request under subsection (a) for review of a denial of issuance or transfer, or a suspension or revocation, of a license for exploration or permit for commercial recovery, or a suspension or modification of particular activities under such a license or permit, is entitled to an adjudication on the record after an opportunity for an agency hearing with respect to such denial or suspension, revocation, or modification.\n\n(c) Effect on activities; emergency orders\n\nThe issuance of any notice of proposed suspension or revocation of a license for exploration or permit for commercial recovery or proposed suspension or modification of particular activities under such a license or permit shall not affect the continuation of exploration or commercial recovery activities by the licensee or permittee. The provisions of paragraphs (3) and (4) of subsection (a) and the first sentence of this subsection shall not apply when the President determines by Executive order that an immediate suspension of a license for exploration or permit for commercial recovery, or immediate suspension or modification of particular activities under such a license or permit, is necessary for the reasons set forth in subsection (a)(2)(B), or the Administrator determines that an immediate suspension of such a license or permit, or immediate suspension or modification of particular activities under such a license or permit, is necessary to prevent a significant adverse effect on the environment or to preserve the safety of life and property at sea, and the Administrator issues an emergency order requiring such immediate suspension.\n\n(d) Judicial review\n\nAny determination of the Administrator, after any appropriate administrative review under subsection (b), to certify or deny certification of an application for the issuance or transfer of, or to issue, deny issuance of, transfer, deny the transfer of, modify, renew, suspend, or revoke any license for exploration or permit for commercial recovery, or suspend or modify particular activities under such a license or permit, or any immediate suspension of such a license or permit, or immediate suspension or modification of particular activities under such a license or permit, pursuant to subsection (c), is subject to judicial review as provided in chapter 7 of title 5.\n\n(Pub. L. 96–283, title I, §106, June 28, 1980, 94 Stat. 565.)\n\nSection 1417. Duration of licenses and permits.\n\n(a) Duration of a license\n\nEach license for exploration shall be issued for a period of 10 years. If the licensee has substantially complied with the license and the exploration plan associated therewith and has requested extensions of the license, the Administrator shall extend the license on terms, conditions, and restrictions consistent with this chapter and the regulations issued under this chapter for periods of not more than 5 years each.\n\n(b) Duration of a permit\n\nEach permit for commercial recovery shall be issued for a term of 20 years and for so long thereafter as hard mineral resources are recovered annually in commercial quantities from the area to which the recovery plan associated with the permit applies. The permit of any permittee who is not recovering hard mineral resources in commercial quantities at the end of 10 years shall be terminated; except that the Administrator shall for good cause shown, including force majeure, adverse economic conditions, unavoidable delays in construction, major unanticipated vessel repairs that prevent the permittee from conducting commercial recovery activities during an annual period, or other circumstances beyond the control of the permittee, extend the 10-year period, but not beyond the initial 20-year term of the permit.\n\n(Pub. L. 96–283, title I, §107, June 28, 1980, 94 Stat. 567.)\n\nSection 1418. Diligence requirements.\n\n(a) In general\n\nThe exploration plan or recovery plan and the terms, conditions, and restrictions of each license and permit issued under this subchapter shall be designed to assure diligent development. Each licensee shall pursue diligently the activities described in the exploration plan of the licensee, and each permittee shall pursue diligently the activities described in the recovery plan of the permittee.\n\n(b) Expenditures\n\nEach license shall require such periodic reasonable expenditures for exploration by the licensee as the Administrator shall establish, taking into account the size of the area of the deep seabed to which the exploration plan associated with the license applies and the amount of funds which is estimated by the Administrator to be required for commercial recovery of hard mineral resources to begin within the time limit established by the Administrator. Such required expenditures shall not be established at a level which would discourage exploration by persons with less costly technology than is prevalently in use.\n\n(c) Commercial recovery\n\nOnce commercial recovery is achieved, the Administrator shall, within reasonable limits and taking into consideration all relevant factors, require the permittee to maintain commercial recovery throughout the period of the permit; except that the Administrator shall for good cause shown, including force majeure, adverse economic conditions, or other circumstances beyond the control of the permittee, authorize the temporary suspension of commercial recovery activities. The duration of such a suspension shall not exceed one year at any one time, unless the Administrator determines that conditions justify an extension of the suspension.\n\n(Pub. L. 96–283, title I, §108, June 28, 1980, 94 Stat. 567.)\n\nSection 1419. Protection of the environment.\n\n(a) Environmental assessment\n\n(1) Deep ocean mining environmental study (DOMES)\n\nThe Administrator shall expand and accelerate the program assessing the effects on the environment from exploration and commercial recovery activities, including seabased processing and the disposal at sea of processing wastes, so as to provide an assessment, as accurate as practicable, of environmental impacts of such activities for the implementation of subsections (b), (c), and (d).\n\n(2) Supporting ocean research\n\nThe Administrator also shall conduct a continuing program of ocean research to support environmental assessment activity through the period of exploration and commercial recovery authorized by this chapter. The program shall include the development, acceleration, and expansion, as appropriate, of studies of the ecological, geological, and physical aspects of the deep seabed in general areas of the ocean where exploration and commercial development under the authority of this chapter are likely to occur, including, but not limited to—\n\n(A) natural diversity of the deep seabed biota;\n\n(B) life histories of major benthic, midwater, and surface organisms most likely to be affected by commercial recovery activities;\n\n(C) long- and short-term effects of commercial recovery on the deep seabed biota; and\n\n(D) assessment of the effects of seabased processing activities.\n\nWithin 160 days after June 28, 1980, the Administrator shall prepare a plan to carry out the program described in this subsection, including necessary funding levels for the next five fiscal years, and shall submit the plan to the Congress.\n\n(b) Terms, conditions, and restrictions\n\nEach license and permit issued under this subchapter shall contain such terms, conditions, and restrictions, established by the Administrator, which prescribe the actions the licensee or permittee shall take in the conduct of exploration and commercial recovery activities to assure protection of the environment. The Administrator shall require in all activities under new permits, and wherever practicable in activities under existing permits, the use of the best available technologies for the protection of safety, health, and the environment wherever such activities would have a significant effect on safety, health, or the environment, except where the Administrator determines that the incremental benefits are clearly insufficient to justify the incremental costs of using such technologies. Before establishing such terms, conditions, and restrictions, the Administrator shall consult with the Administrator of the Environmental Protection Agency, the Secretary of State, and the Secretary of the department in which the Coast Guard is operating, concerning such terms, conditions, and restrictions, and the Administrator shall take into account and give due consideration to the information contained in each final environmental impact statement prepared with respect to such license or permit pursuant to subsection (d).\n\n(c) Programmatic environmental impact statement\n\n(1) If the Administrator, in consultation with the Administrator of the Environmental Protection Agency and with the assistance of other appropriate Federal agencies, determines that a programmatic environmental impact statement is required, the Administrator shall, as soon as practicable after June 28, 1980, with respect to the areas of the oceans in which any United States citizen is expected to undertake exploration and commercial recovery under the authority of this chapter—\n\n(A) prepare and publish draft programmatic environmental impact statements which assess the environmental impacts of exploration and commercial recovery in such areas;\n\n(B) afford all interested parties a reasonable time after such dates of publication to submit comments to the Administrator on such draft statements; and\n\n(C) thereafter prepare (giving full consideration to all comments submitted under subparagraph (B)) and publish final programmatic environmental impact statements regarding such areas.\n\n(2) With respect to the area of the oceans in which exploration and commercial recovery by any United States citizen will likely first occur under the authority of this chapter, the Administrator shall prepare a draft and final programmatic environmental impact statement as required under paragraph (1), except that—\n\n(A) the draft programmatic environmental impact statement shall be prepared and published as soon as practicable but not later than 270 days (or such longer period as the Administrator may establish for good cause shown) after June 28, 1980; and\n\n(B) the final programmatic environmental impact statement shall be prepared and published within 180 days (or such longer period as the Administrator may establish for good cause shown) after the date on which the draft statement is published.\n\n(d) Environmental impact statements on issuance of licenses and permits\n\nThe issuance of, but not the certification of an application for, any license or permit under this subchapter shall be deemed to be a major Federal action significantly affecting the quality of the human environment for purposes of section 4332 of title 42. In preparing an environmental impact statement pursuant to this subsection, the Administrator shall consult with the agency heads referred to in subsection (b) and shall take into account, and give due consideration to, the relevant information contained in any applicable studies and any other environmental impact statement prepared pursuant to this section. Each draft environmental impact statement prepared pursuant to this subsection shall be published, with the terms, conditions, and restrictions proposed pursuant to section 1415(b) of this title, within 180 days (or such longer period as the Administrator may establish for good cause shown in writing) following the date on which the application for the license or permit concerned is certified by the Administrator. Each final environmental impact statement shall be published 180 days (or such longer period as the Administrator may establish for good cause shown in writing) following the date on which the draft environmental impact statement is published.\n\n(e) Effect on other law\n\nFor the purposes of this chapter, any vessel or other floating craft engaged in commercial recovery or exploration shall not be deemed to be \"a vessel or other floating craft\" under section 502(12)(B) of the Clean Water Act [33 U.S.C. 1362(12)(B)] and any discharge of a pollutant from such vessel or other floating craft shall be subject to the Clean Water Act [33 U.S.C. 1251 et seq.].\n\n(f) Stable reference areas\n\n(1) Within one year after June 28, 1980, the Secretary of State shall, in cooperation with the Administrator and as part of the international consultations pursuant to section 1428(f) of this title, negotiate with all nations that are identified in such subsection for the purpose of establishing international stable reference areas in which no mining shall take place: *Provided, however*, That this subsection shall not be construed as requiring any substantial withdrawal of deep seabed areas from deep seabed mining authorized by this chapter.\n\n(2) Nothing in this chapter shall be construed as authorizing the United States to unilaterally establish such reference area or areas nor shall the United States recognize the unilateral claim to such reference area or areas by any State.\n\n(3) Within four years after June 28, 1980, the Secretary of State shall submit a report to Congress on the progress of establishing such stable reference areas, including the designation of appropriate zones to insure a representative and stable biota of the deep seabed.\n\n(4) For purposes of this section \"stable reference areas\" shall mean an area or areas of the deep seabed to be used as a reference zone or zones for purposes of resource evaluation and environmental assessment of deep seabed mining in which no mining will occur.\n\n(Pub. L. 96–283, title I, §109, June 28, 1980, 94 Stat. 568.)\n\nSection 1420. Conservation of natural resources.\n\nFor the purpose of conservation of natural resources, each license and permit issued under this subchapter shall contain, as needed, terms, conditions, and restrictions which have due regard for the prevention of waste and the future opportunity for the commercial recovery of the unrecovered balance of the hard mineral resources in the area to which the license or permit applies. In establishing these terms, conditions, and restrictions, the Administrator shall consider the state of the technology, the processing system utilized and the value and potential use of any waste, the environmental effects of the exploration or commercial recovery activities, economic and resource data, and the national need for hard mineral resources. As used in this chapter, the term \"conservation of natural resources\" is not intended to grant, imply, or create any inference of production controls or price regulation, in particular those which would affect the volume of production, prices, profits, markets, or the decision of which minerals or metals are to be recovered, except as such effects may be incidental to actions taken pursuant to this section.\n\n(Pub. L. 96–283, title I, §110, June 28, 1980, 94 Stat. 570.)\n\nSection 1421. Prevention of interference with other uses of the high seas.\n\nEach license and permit issued under this subchapter shall include such restrictions as may be necessary and appropriate to ensure that exploration or commercial recovery activities conducted by the licensee or permittee do not unreasonably interfere with the interests of other states in their exercise of the freedoms of the high seas, as recognized under general principles of international law.\n\n(Pub. L. 96–283, title I, §111, June 28, 1980, 94 Stat. 571.)\n\nSection 1422. Safety of life and property at sea.\n\n(a) Conditions regarding vessels\n\nThe Secretary of the department in which the Coast Guard is operating, in consultation with the Administrator, shall require in any license or permit issued under this subchapter, in conformity with principles of international law, that vessels documented under the laws of the United States and used in activities authorized under the license or permit comply with conditions regarding the design, construction, alteration, repair, equipment, operation, manning, and maintenance relating to vessel and crew safety and the promotion of safety of life and property at sea.\n\n(b) Applicability of other laws\n\nNotwithstanding any other provision of law, any vessel described in subsection (a) shall be subject to the provisions of chapter 51 of title 46, and to the provisions of titles 52 and 53 of the Revised Statutes and all Acts amendatory thereof or supplementary thereto.\n\n(Pub. L. 96–283, title I, §112, June 28, 1980, 94 Stat. 571.)\n\nSection 1423. Records, audits, and public disclosure.\n\n(a) Records and audits\n\n(1) Each licensee and permittee shall keep such records, consistent with standard accounting principles, as the Administrator shall by regulation prescribe. Such records shall include information which will fully disclose expenditures for exploration and commercial recovery, including processing, of hard mineral resources, and such other information as will facilitate an effective audit of such expenditures.\n\n(2) The Administrator and the Comptroller General of the United States, or any of their duly authorized representatives, shall have access, for purposes of audit and examination, to any books, documents, papers, and records of licensees and permittees which are necessary and directly pertinent to verify the expenditures referred to in paragraph (1).\n\n(b) Submission of data and information\n\nEach licensee and permittee shall be required to submit to the Administrator such data or other information as the Administrator may reasonably need for purposes of making determinations with respect to the issuance, revocation, modification, or suspension of any license or permit; compliance with the reporting requirement contained in section 1469 1 of this title; and evaluation of the exploration or commercial recovery activities conducted by the licensee or permittee.\n\n(c) Public disclosure\n\nCopies of any document, report, communication, or other record maintained or received by the Administrator containing data or information required under this subchapter shall be made available to any person upon any request which (1) reasonably describes such record and (2) is made in accordance with rules adopted by the Administrator stating the time, place, fees (if any, not to exceed the direct cost of the services rendered), and procedures to be followed, except that neither the Administrator nor any other officer or employee of the United States may disclose any data or information knowingly and willingly required under this subchapter the disclosure of which is prohibited by section 1905 of title 18. Any officer or employee of the United States who discloses data or information in violation of this subsection shall be subject to the penalties set forth in section 1463(b) of this title.\n\n(Pub. L. 96–283, title I, §113, June 28, 1980, 94 Stat. 571.)\n\nSection 1424. Monitoring of activities of licensees and permittees.\n\nEach license and permit issued under this subchapter shall require the licensee or permittee—\n\n(1) to allow the Administrator to place appropriate Federal officers or employees as observers aboard vessels used by the licensee or permittee in exploration or commercial recovery activities (A) to monitor such activities at such time, and to such extent, as the Administrator deems reasonable and necessary to assess the effectiveness of the terms, conditions, and restrictions of the license or permit, and (B) to report to the Administrator whenever such officers or employees have reason to believe there is a failure to comply with such terms, conditions, and restrictions;\n\n(2) to cooperate with such officers and employees in the performance of monitoring functions; and\n\n(3) to monitor the environmental effects of the exploration and commercial recovery activities in accordance with guidelines issued by the Administrator and to submit such information as the Administrator finds to be necessary and appropriate to assess environmental impacts and to develop and evaluate possible methods of mitigating adverse environmental effects.\n\n(Pub. L. 96–283, title I, §114, June 28, 1980, 94 Stat. 572.)\n\nSection 1425. Relinquishment, surrender, and transfer of licenses and permits.\n\n(a) Relinquishment and surrender\n\nAny licensee or permittee may at any time, without penalty—\n\n(1) surrender to the Administrator a license or a permit issued to the licensee or permittee; or\n\n(2) relinquish to the Administrator, in whole or in part, any right to conduct any exploration or commercial recovery activities authorized by the license or permit.\n\nAny licensee or permittee who surrenders a license or permit, or relinquishes any such right, shall remain liable with respect to all violations and penalties incurred, and damage to persons or property caused, by the licensee or permittee as a result of activities engaged in by the licensee or permittee under such license or permit.\n\n(b) Transfer\n\nAny license or permit, upon written request of the licensee or permittee, may be transferred by the Administrator; except that no such transfer may occur unless the proposed transferee is a United States citizen and until the Administrator determines that (1) the proposed transfer is in the public interest, and (2) the proposed transferee and the exploration or commercial recovery activities the transferee proposes to conduct meet the requirements of this chapter and regulations issued under this chapter.\n\n(Pub. L. 96–283, title I, §115, June 28, 1980, 94 Stat. 572.)\n\nSection 1426. Public notice and hearings.\n\n(a) Required procedures\n\nThe Administrator may issue regulations to carry out this chapter, establish and significantly modify terms, conditions, and restrictions in licenses and permits issued under this subchapter, and issue or transfer licenses and permits under this subchapter, only after public notice and opportunity for comment and hearings in accordance with the following:\n\n(1) The Administrator shall publish in the Federal Register notice of all applications for licenses and permits, all proposals to issue or transfer licenses and permits, all regulations implementing this chapter, all terms, conditions, and restrictions on licenses and permits, and all proposals to significantly modify licenses and permits. Interested persons shall be permitted to examine the materials relevant to any of these actions, and shall have at least 60 days after publication of such notice to submit written comments to the Administrator.\n\n(2) The Administrator shall hold a public hearing in an appropriate location and may employ such additional methods as the Administrator deems appropriate to inform interested persons about each action specified in paragraph (1) and to invite their comments thereon.\n\n(b) Adjudicatory hearing\n\nIf the Administrator determines that there exists one or more specific and material factual issues which require resolution by formal processes, at least one adjudicatory hearing shall be held in the District of Columbia in accordance with the provisions of section 554 of title 5. The record developed in any such adjudicatory hearing shall be part of the basis for the Administrator's decision to take any action referred to in subsection (a). Hearings held pursuant to this section shall be consolidated insofar as practicable with hearings held by other agencies.\n\n(Pub. L. 96–283, title I, §116, June 28, 1980, 94 Stat. 573.)\n\nSection 1427. Civil actions.\n\n(a) Equitable relief\n\nExcept as provided in subsection (b) of this section, any person may commence a civil action for equitable relief on that person's behalf in the United States District Court for the District of Columbia—\n\n(1) against any person who is alleged to be in violation of any provision of this chapter or any condition of a license or permit issued under this subchapter; or\n\n(2) against the Administrator when there is alleged a failure of the Administrator to perform any act or duty under this chapter which is not discretionary,\n\nif the person bringing the action has a valid legal interest which is or may be adversely affected by such alleged violation or failure to perform. In suits brought under this subsection, the district court shall have jurisdiction, without regard to the amount in controversy or the citizenship of the parties, to enforce the provisions of this chapter, or any term, condition, or restriction of a license or permit issued under this subchapter, or to order the Administrator to perform such act or duty.\n\n(b) Notice\n\nNo civil action may be commenced—\n\n(1) under subsection (a)(1) of this section—\n\n(A) prior to 60 days after the plaintiff has given notice of the alleged violation to the Administrator and to any alleged violator; or\n\n(B) if the Administrator or the Attorney General has commenced and is diligently prosecuting a civil or criminal action with respect to the alleged violation in a court of the United States; except that in any such civil action, any person having a valid legal interest which is or may be adversely affected by the alleged violation may intervene; or\n\n(2) under subsection (a)(2) of this section, prior to 60 days after the plaintiff has given notice of such action to the Administrator.\n\nNotice under this subsection shall be given in such a manner as the Administrator shall prescribe by regulation.\n\n(c) Costs and fees\n\nThe court, in issuing any final order in any action brought under subsection (a) of this section, may award costs of litigation, including reasonable attorney and expert witness fees, to any party whenever the court determines that such an award is appropriate.\n\n(d) Relationship to other law\n\nNothing in this section shall restrict the rights which any person or class of persons may have under other law to seek enforcement or to seek any other relief. All vessel safety and environmental requirements of or under this chapter shall be in addition to other requirements of law.\n\n(Pub. L. 96–283, title I, §117, June 28, 1980, 94 Stat. 573.)\n\nSection 1428. Reciprocating states.\n\n(a) Designation\n\nThe Administrator, in consultation with the Secretary of State and the heads of other appropriate departments and agencies, may designate any foreign nation as a reciprocating state if the Secretary of State finds that such foreign nation—\n\n(1) regulates the conduct of its citizens and other persons subject to its jurisdiction engaged in exploration for, and commercial recovery of, hard mineral resources of the deep seabed in a manner compatible with that provided in this chapter and the regulations issued under this chapter, which includes adequate measures for the protection of the environment, the conservation of natural resources, and the safety of life and property at sea, and includes effective enforcement provisions;\n\n(2) recognizes licenses and permits issued under this subchapter to the extent that such nation, under its laws, (A) prohibits any person from engaging in exploration or commercial recovery which conflicts with that authorized under any such license or permit and (B) complies with the date for issuance of licenses and the effective date for permits provided in section 1412(c)(1)(D) of this title;\n\n(3) recognizes, under its procedures, priorities of right, consistent with those provided in this chapter and the regulations issued under this chapter, for applications for licenses for exploration or permits for commercial recovery, which applications are made either under its procedures or under this chapter; and\n\n(4) provides an interim legal framework for exploration and commercial recovery which does not unreasonably interfere with the interests of other states in their exercise of the freedoms of the high seas, as recognized under general principles of international law.\n\n(b) Effect of designation\n\nNo license or permit shall be issued under this subchapter permitting any exploration or commercial recovery which will conflict with any license, permit, or equivalent authorization issued by any foreign nation which is designated as a reciprocating state under subsection (a).\n\n(c) Notification\n\nUpon receipt of any application for a license or permit under this subchapter, the Administrator shall immediately notify all reciprocating states of such application. The notification shall include those portions of the exploration plan or recovery plan submitted with respect to the application, or a summary thereof, and any other appropriate information not required to be withheld from public disclosure by section 1423(c) of this title.\n\n(d) Revocation of reciprocating state status\n\nThe Administrator, in consultation with the Secretary of State and the heads of other appropriate departments and agencies, shall revoke the designation of a foreign nation as a reciprocating state if the Secretary of State finds that such foreign nation no longer complies with the requirements of subsection (a). At the request of any holder of a license, permit, or equivalent authorization of such foreign nation, who obtained the license, permit, or equivalent authorization while such foreign nation was a reciprocating state, the Administrator, in consultation with the Secretary of State, may decide to recognize the license, permit, or equivalent authorization for purposes of subsection (b).\n\n(e) Authorization\n\nThe President is authorized to negotiate agreements with foreign nations necessary to implement this section.\n\n(f) International consultations\n\nThe Administrator, in consultation with the Secretary of State and the heads of other appropriate departments and agencies, shall consult with foreign nations which enact, or are preparing to enact, domestic legislation establishing an interim legal framework for exploration and commercial recovery of hard mineral resources. Such consultations shall be carried out with a view to facilitating the designation of such nations as reciprocating states and, as necessary, the negotiation of agreements with foreign nations authorized by subsection (e). In addition, the Administrator shall provide such foreign nations with information on environmental impacts of exploration and commercial recovery activities, and shall provide any technical assistance requested in designing regulatory measures to protect the environment.\n\n(Pub. L. 96–283, title I, §118, June 28, 1980, 94 Stat. 574.)\n\nSUBCHAPTER II—TRANSITION TO INTERNATIONAL AGREEMENT\n\nSection 1441. Declaration of Congressional intent.\n\nIt is the intent of Congress—\n\n(1) that any international agreement to which the United States becomes a party should, in addition to promoting other national oceans objectives—\n\n(A) provide assured and nondiscriminatory access, under reasonable terms and conditions, to the hard mineral resources of the deep seabed for United States citizens, and\n\n(B) provide security of tenure by recognizing the rights of United States citizens who have undertaken exploration or commercial recovery under subchapter I before such agreement enters into force with respect to the United States to continue their operations under terms, conditions, and restrictions which do not impose significant new economic burdens upon such citizens with respect to such operations with the effect of preventing the continuation of such operations on a viable economic basis;\n\n(2) that the extent to which any such international agreement conforms to the provisions of paragraph (1) should be determined by the totality of the provisions of such agreement, including, but not limited to, the practical implications for the security of investments of any discretionary powers granted to an international regulatory body, the structures and decisionmaking procedures of such body, the availability of impartial and effective procedures for the settlement of disputes, and any features that tend to discriminate against exploration and commercial recovery activities undertaken by United States citizens; and\n\n(3) that this chapter should be transitional pending—\n\n(A) the adoption of an international agreement at the Third United Nations Conference on the Law of the Sea, and the entering into force of such agreement, or portions thereof, with respect to the United States, or\n\n(B) if such adoption is not forthcoming, the negotiation of a multilateral or other treaty concerning the deep seabed, and the entering into force of such treaty with respect to the United States.\n\n(Pub. L. 96–283, title II, §201, June 28, 1980, 94 Stat. 575.)\n\nSection 1442. Effect of international agreement.\n\nIf an international agreement enters into force with respect to the United States, any provision of subchapter I, this subchapter, or subchapter III, and any regulation issued under any such provision, which is not inconsistent with such international agreement shall continue in effect with respect to United States citizens. In the implementation of such international agreement the Administrator, in consultation with the Secretary of State, shall make every effort, to the maximum extent practicable consistent with the provisions of that agreement, to provide for the continued operation of exploration and commercial recovery activities undertaken by United States citizens prior to entry into force of the agreement. The Administrator shall submit to the Congress, within one year after the date of such entry into force, a report on the actions taken by the Administrator under this section, which report shall include, but not be limited to—\n\n(1) a description of the status of deep seabed mining operations of United States citizens under the international agreement; and\n\n(2) an assessment of whether United States citizens who were engaged in exploration or commercial recovery on the date such agreement entered into force have been permitted to continue their operations.\n\n(Pub. L. 96–283, title II, §202, June 28, 1980, 94 Stat. 576.)\n\nSection 1443. Protection of interim investments.\n\nIn order to further the objectives set forth in section 1441 of this title, the Administrator, not more than one year after June 28, 1980—\n\n(1) shall submit to the Congress proposed legislation necessary for the United States to implement a system for the protection of interim investments that has been adopted as part of an international agreement and any resolution relating to such international agreement; or\n\n(2) if a system for the protection of interim investments has not been so adopted, shall report to the Congress on the status of negotiations relating to the establishment of such a system.\n\n(Pub. L. 96–283, title II, §203, June 28, 1980, 94 Stat. 576.)\n\nSection 1444. Disclaimer of obligation to pay compensation.\n\nSections 1441 and 1442 of this title do not create or express any legal or moral obligation on the part of the United States Government to compensate any person for any impairment of the value of that person's investment in any operation for exploration or commercial recovery under subchapter I which might occur in connection with the entering into force of an international agreement with respect to the United States.\n\n(Pub. L. 96–283, title II, §204, June 28, 1980, 94 Stat. 576.)\n\nSUBCHAPTER III—ENFORCEMENT AND MISCELLANEOUS PROVISIONS\n\nSection 1461. Prohibited acts.\n\nIt is unlawful for any person who is a United States citizen, or a foreign national on board a vessel documented or numbered under the laws of the United States, or subject to the jurisdiction of the United States under a reciprocating state agreement negotiated under section 1428(e) of this title—\n\n(1) to violate any provision of this chapter, any regulation issued under this chapter, or any term, condition, or restriction of any license or permit issued to such person under this chapter;\n\n(2) to engage in exploration or commercial recovery after the revocation, or during the period of suspension, of an applicable license or permit issued under this chapter, to engage in a particular exploration or commercial recovery activity during the period such activity has been suspended under this chapter, or to fail to modify a particular exploration or commercial recovery activity for which modification was required under this chapter;\n\n(3) to refuse to permit any Federal officer or employee authorized to monitor or enforce the provisions of this chapter, as provided in sections 1424 and 1464 of this title, to board a vessel documented or numbered under the laws of the United States, or any vessel for which such boarding is authorized by a treaty or executive agreement, for purposes of conducting any search or inspection in connection with the monitoring or enforcement of this chapter or any regulation, term, condition, or restriction referred to in paragraph (1);\n\n(4) to forcibly assault, resist, oppose, impede, intimidate, or interfere with any such authorized officer or employee in the conduct of any search or inspection described in paragraph (3);\n\n(5) to resist a lawful arrest for any act prohibited by this section;\n\n(6) to ship, transport, offer for sale, sell, purchase, import, export, or have custody, control, or possession of any hard mineral resource recovered, processed, or retained in violation of this chapter or any regulation, term, condition, or restriction referred to in paragraph (1); or\n\n(7) to interfere with, delay, or prevent, by any means, the apprehension or arrest of any other person subject to this section knowing that such other person has committed any act prohibited by this section.\n\n(Pub. L. 96–283, title III, §301, June 28, 1980, 94 Stat. 577.)\n\nSection 1462. Civil penalties.\n\n(a) Assessment of penalty\n\nAny person subject to section 1461 of this title who is found by the Administrator, after notice and an opportunity for a hearing in accordance with section 554 of title 5, to have committed any act prohibited by section 1461 of this title shall be liable to the United States for a civil penalty. The amount of the civil penalty shall not exceed $25,000 for each violation. Each day of a continuing violation shall constitute a separate offense. The amount of such civil penalty shall be assessed by the Administrator by written notice. In determining the amount of such penalty, the Administrator shall take into account the nature, circumstances, extent, and gravity of the prohibited act committed and, with respect to the violator, any history of prior offenses, good faith demonstrated in attempting to achieve timely compliance after being cited for the violation, and such other matters as justice may require.\n\n(b) Review of civil penalty\n\nAny person subject to section 1461 of this title against whom a civil penalty is assessed under subsection (a) may obtain review thereof in an appropriate district court of the United States by filing a notice of appeal in such court within 30 days from the date of such order and by simultaneously sending a copy of such notice by certified mail to the Administrator. The Administrator shall promptly file in such court a certified copy of the record upon which the particular violation was found and such penalty was imposed, as provided in section 2112 of title 28. The findings and order of the Administrator shall be set aside by such court if they are not found to be supported by substantial evidence, as provided in section 706(2)(E) of title 5.\n\n(c) Action upon failure to pay assessment\n\nIf any person subject to section 1461 of this title fails to pay a civil penalty assessed against such person after the penalty has become final, or after the appropriate court has entered final judgment in favor of the Administrator, the Administrator shall refer the matter to the Attorney General of the United States, who shall recover the civil penalty assessed in any appropriate district court of the United States. In such action, the validity and appropriateness of the final order imposing the civil penalty shall not be subject to review.\n\n(d) Compromise or other action by the Administrator\n\nThe Administrator may compromise, modify, or remit, with or without conditions, any civil penalty which is subject to imposition or which has been imposed under this section unless an action brought under subsection (b) or (c) is pending in a court of the United States.\n\n(Pub. L. 96–283, title III, §302, June 28, 1980, 94 Stat. 577.)\n\nSection 1463. Criminal offenses.\n\n(a) Offense\n\nA person subject to section 1461 of this title is guilty of an offense if such person willfully and knowingly commits any act prohibited by section 1461 of this title.\n\n(b) Punishment\n\nAny offense described in paragraphs (1), (2), and (6) of section 1461 of this title is punishable by a fine of not more than $75,000 for each day during which the violation continues. Any offense described in paragraphs (3), (4), (5), and (7) of section 1461 of this title is punishable by a fine of not more than $75,000 or imprisonment for not more than six months, or both. If, in the commission of any offense, the person subject to the jurisdiction of the United States uses a dangerous weapon, engages in conduct that causes bodily injury to any Federal officer or employee, or places any such Federal officer or employee in fear of imminent bodily injury, the offense is punishable by a fine of not more than $100,000 or imprisonment for not more than ten years, or both.\n\n(Pub. L. 96–283, title III, §303, June 28, 1980, 94 Stat. 578.)\n\nSection 1464. Enforcement.\n\n(a) Responsibility\n\nSubject to the other provisions of this subsection, the Administrator shall enforce the provisions of this chapter. The Secretary of the department in which the Coast Guard is operating shall exercise such other enforcement responsibilities with respect to vessels subject to the provisions of this chapter as are authorized under other provisions of law and may, upon the specific request of the Administrator, assist the Administrator in the enforcement of the provisions of this chapter. The Secretary of the department in which the Coast Guard is operating shall have the exclusive responsibility for enforcement measures which affect the safety of life and property at sea. The Administrator and the Secretary of the department in which the Coast Guard is operating may, by agreement, on a reimbursable basis or otherwise, utilize the personnel, services, equipment, including aircraft and vessels, and facilities of any other Federal agency or department, and may authorize officers or employees of other departments or agencies to provide assistance as necessary in carrying out subsection (b). While providing such assistance, these officers and employees shall be under the control, authority, and supervision of the Coast Guard. The Administrator and the Secretary of the department in which the Coast Guard is operating may issue regulations jointly or severally as may be necessary and appropriate to carry out their duties under this section.\n\n(b) Powers of authorized officers\n\nTo enforce this chapter on board any vessel subject to the provisions of this chapter, any officer who is authorized by the Administrator or by the Secretary of the department in which the Coast Guard is operating may—\n\n(1) board and inspect any vessel which is subject to the provisions of this chapter;\n\n(2) search any such vessel if the officer has reasonable cause to believe that the vessel has been used or employed in the violation of any provision of this chapter;\n\n(3) arrest any person subject to section 1461 of this title if the officer has reasonable cause to believe that the person has committed a criminal offense under section 1463 of this title;\n\n(4) seize any such vessel together with its gear, furniture, appurtenances, stores, and cargo, used or employed in, or with respect to which it reasonably appears that such vessel was used or employed in, the violation of any provision of this chapter if such seizure is necessary to prevent evasion of the enforcement of this chapter;\n\n(5) seize any hard mineral resource recovered or processed in violation of any provision of this chapter;\n\n(6) seize any other evidence related to any violation of any provision of this chapter;\n\n(7) execute any warrant or other process issued by any court of competent jurisdiction; and\n\n(8) exercise any other lawful authority.\n\n(c) Definitions\n\nFor purposes of this section, the term \"provisions of this chapter\" or \"provision of this chapter\" means (1) any provision of subchapter I or II or this subchapter, (2) any regulation issued under subchapter I, subchapter II, or this subchapter, and (3) any term, condition, or restriction of any license or permit issued under subchapter I.\n\n(d) Proprietary information\n\nProprietary and privileged information seized or maintained under this subchapter concerning a person or vessel engaged in exploration or commercial recovery shall not be made available for general or public use or inspection. The Administrator and the Secretary of the department in which the Coast Guard is operating shall issue regulations to insure the confidentiality of privileged and proprietary information.\n\n(Pub. L. 96–283, title III, §304, June 28, 1980, 94 Stat. 578.)\n\nSection 1465. Liability of vessels.\n\nAny vessel documented or numbered under the laws of the United States (except a public vessel engaged in noncommercial activities) which is used in any violation of this chapter, any regulation issued under this chapter, or any term, condition, or restriction of any license or permit issued under subchapter I shall be liable in rem for any civil penalty assessed or criminal fine imposed and may be proceeded against in any district court of the United States having jurisdiction thereof.\n\n(Pub. L. 96–283, title III, §305, June 28, 1980, 94 Stat. 579.)\n\nSection 1466. Civil forfeitures.\n\n(a) In general\n\nAny vessel subject to the provisions of sections 1464 and 1465 of this title, including its gear, furniture, appurtenances, stores, and cargo, which is used, in any manner, in connection with or as a result of the commission of any act prohibited by section 1461 of this title and any hard mineral resource which is recovered, processed, or retained, in any manner, in connection with or as a result of the commission of any such act, shall be subject to forfeiture to the United States. All or part of such vessel, and all such hard mineral resources, may be forfeited to the United States pursuant to a civil proceeding under this section. All provisions of law relating to the seizure, judicial forfeiture, and condemnation of a vessel or cargo for violation of the customs laws, and the disposition of the vessel, cargo, or proceeds from the sale thereof and the remission or mitigation of such forfeitures shall apply to seizures and forfeitures incurred or alleged to have been incurred under the provisions of this section insofar as such provisions of law are applicable and not inconsistent with this chapter.\n\n(b) Jurisdiction of courts\n\nAny district court of the United States which has jurisdiction under section 1467 of this title shall have jurisdiction, upon application by the Attorney General on behalf of the United States, to order any forfeiture authorized under subsection (a) and any action provided for under subsection (d).\n\n(c) Judgment\n\nIf a judgment is entered for the United States in a civil forfeiture proceeding under this section, the Attorney General may seize any property or other interest declared forfeited to the United States which has not previously been seized pursuant to this chapter or for which security has not previously been obtained under subsection (d).\n\n(d) Procedure\n\nAny officer authorized to serve any process in rem which is issued by a court having jurisdiction under section 1467 of this title shall stay the execution of such process, or discharge any property seized pursuant to such process, upon the receipt of a satisfactory bond or other security from any person subject to section 1461 of this title claiming such property. Such bond or other security shall be conditioned upon such person (1) delivering such property to the appropriate court upon order thereof, without any impairment of its value; or (2) paying the monetary value of such property pursuant to any order of such court. Judgment shall be recoverable on such bond or other security against both the principal and any sureties in the event that any condition thereof is breached, as determined by such court.\n\n(e) Rebuttable presumption\n\nFor purposes of this section, it shall be a rebuttable presumption that all hard mineral resources found on board a vessel subject to the provisions of sections 1464 and 1465 of this title which is seized in connection with an act prohibited by section 1461 of this title were recovered, processed, or retained in violation of this chapter.\n\n(Pub. L. 96–283, title III, §306, June 28, 1980, 94 Stat. 580.)\n\nSection 1467. Jurisdiction of courts.\n\nThe district courts of the United States shall have exclusive jurisdiction over any case or controversy arising under the provisions of this chapter. These courts may, at any time—\n\n(1) enter restraining orders or prohibitions;\n\n(2) issue warrants, process in rem, or other process;\n\n(3) prescribe and accept satisfactory bonds or other security; and\n\n(4) take such other actions as are in the interest of justice.\n\n(Pub. L. 96–283, title III, §307, June 28, 1980, 94 Stat. 580.)\n\nSection 1468. Regulations.\n\n(a) Proposed regulations\n\nNot later than 270 days after June 28, 1980, the Administrator shall solicit the views of the agency heads referred to in section 1419(b) of this title and of interested persons, and issue, in accordance with section 553 of title 5, such proposed regulations as are required by or are necessary and appropriate to implement subchapters I and II and this subchapter. The Administrator shall hold at least one public hearing on such proposed regulations.\n\n(b) Final regulations\n\nNot later than 180 days after the date on which proposed regulations are issued pursuant to subsection (a), the Administrator shall solicit the views of the agency heads referred to in section 1419(b) of this title and of interested persons, consider the comments received during the public hearing required in subsection (a) and any written comments on the proposed regulations received by the Administrator, and issue, in accordance with section 553 of title 5, such regulations as are required by or are necessary and appropriate to implement subchapters I and II and this subchapter.\n\n(c) Amendments\n\nThe Administrator may at any time amend regulations issued pursuant to subsection (b) as the Administrator determines to be necessary and appropriate in order to provide for the conservation of natural resources within the meaning of section 1420 of this title, protection of the environment, and the safety of life and property at sea. Such amended regulations shall apply to all exploration or commercial recovery activities conducted under any license or permit issued or maintained pursuant to this chapter; except that any such amended regulations which provide for conservation of natural resources shall apply to exploration or commercial recovery conducted under an existing license or permit during the present term of such license or permit only if the Administrator determines that such amended regulations providing for conservation of natural resources will not impose serious or irreparable economic hardship on the licensee or permittee. Any amendment to regulations under this subsection shall be made on the record after an opportunity for an agency hearing.\n\n(d) Consistency\n\nThis chapter and the regulations issued under this chapter shall not be deemed to supersede any other Federal laws or treaties or regulations issued thereunder.\n\n(Pub. L. 96–283, title III, §308, June 28, 1980, 94 Stat. 581.)\n\nSection 1469. Omitted.\n\nSection 1470. Authorization of appropriations.\n\nThere are authorized to be appropriated to the Administrator, for purposes of carrying out the provisions of subchapters I and II and this subchapter, such sums as may be necessary for the fiscal years ending September 30, 1981, and September 30, 1982, and $1,469,000 for the fiscal year ending September 30, 1983, $2,150,000 for the fiscal year ending September 30, 1984, $1,500,000 for each of the fiscal years ending September 30, 1985, and September 30, 1986, $1,500,000 for each of the fiscal years ending September 30, 1987, September 30, 1988, and September 30, 1989, and $1,525,000 for each of the fiscal years 1990, 1991, 1992, 1993, and 1994.\n\n(Pub. L. 96–283, title III, §310, June 28, 1980, 94 Stat. 582; Pub. L. 97–416, Jan. 4, 1983, 96 Stat. 2084; Pub. L. 98–623, title IV, §403, Nov. 8, 1984, 98 Stat. 3408; Pub. L. 99–507, §2, Oct. 21, 1986, 100 Stat. 1847; Pub. L. 101–178, §1, Nov. 28, 1989, 103 Stat. 1297.)\n\nSection 1471. Severability.\n\nIf any provision of this chapter or any application thereof is held invalid, the validity of the remainder of the chapter, or any other application, shall not be affected thereby.\n\n(Pub. L. 96–283, title III, §311, June 28, 1980, 94 Stat. 582.)\n\nSection 1472. Deep Seabed Revenue Sharing Trust Fund; establishment.\n\n(a) Creation of Trust Fund\n\nThere is established in the Treasury of the United States a trust fund to be known as the \"Deep Seabed Revenue Sharing Trust Fund\" (hereinafter in this section referred to as the \"Trust Fund\"), consisting of such amounts as may be appropriated or credited to the Trust Fund as provided in this section.\n\n(b) Transfer to Trust Fund of amounts equivalent to certain taxes\n\n(1) In general\n\nThere are hereby appropriated to the Trust Fund amounts determined by the Secretary of the Treasury to be equivalent to the amounts of the taxes received in the Treasury under section 4495 1 of title 26.\n\n(2) Method of transfer\n\nThe amounts appropriated by paragraph (1) shall be transferred at least quarterly from the general fund of the Treasury to the Trust Fund on the basis of estimates made by the Secretary of the Treasury of the amounts referred to in paragraph (1) received in the Treasury. Proper adjustments shall be made in the amounts subsequently transferred to the extent prior estimates were in excess of or less than the amount required to be transferred.\n\n(c) Management of Trust Fund\n\n(1) Report\n\nIt shall be the duty of the Secretary of the Treasury to hold the Trust Fund, and to report to the Congress for the fiscal year ending September 30, 1980, and each fiscal year thereafter on the financial condition and the results of the operations of the Trust Fund during the preceding year and on its expected condition and operations during the fiscal year and the next five fiscal years after the fiscal year. Such report shall be printed as a House document of the session of the Congress to which the report is made.\n\n(2) Investment\n\n(A) In general\n\nIt shall be the duty of the Secretary of the Treasury to invest such portion of the Trust Fund as is not, in his judgment, required to meet current withdrawals. Such investments may be made only in interest-bearing obligations of the United States. For such purpose, such obligations may be acquired (i) on original issue at the issue price, or (ii) by purchase of outstanding obligations at the market price.\n\n(B) Sale of obligations\n\nAny obligation acquired by the Trust Fund may be sold by the Secretary at the market price.\n\n(C) Interest on certain proceeds\n\nThe interest on, and the proceeds from the sale or redemption of, any obligations held in the Trust Fund shall be credited to and form a part of the Trust Fund.\n\n(d) Expenditures from Trust Fund\n\nIf an international deep seabed treaty is ratified by and in effect with respect to the United States on or before the date ten years after June 28, 1980, amounts in the Trust Fund shall be available, as provided by appropriations Acts, for making contributions required under such treaty for purposes of the sharing among nations of the revenues from deep seabed mining. Nothing in this subsection shall be deemed to authorize any program or other activity not otherwise authorized by law.\n\n(e) Use of funds\n\nIf an international deep seabed treaty is not in effect with respect to the United States on or before the date ten years after June 28, 1980, amounts in the Trust Fund shall be available for such purposes as Congress may hereafter provide by law.\n\n(f) International deep seabed treaty\n\nFor purposes of this section, the term \"international deep seabed treaty\" has the meaning given to such term by section 4498(b) 1 of title 26.\n\n(Pub. L. 96–283, title IV, §403, June 28, 1980, 94 Stat. 584; Pub. L. 99–514, §2, Oct. 22, 1986, 100 Stat. 2095.)\n\nSection 1473. Revenue and customs or tariff treatment of deep seabed mining unaffected.\n\nExcept as otherwise provided in sections 4495 to 4498 1 of title 26, nothing in this chapter shall affect the application of title 26. Nothing in this chapter shall affect the application of the customs or tariff laws of the United States.\n\n(Pub. L. 96–283, title IV, §404, June 28, 1980, 94 Stat. 586; Pub. L. 99–514, §2, Oct. 22, 1986, 100 Stat. 2095.)\n", "n_chars": 103676}