©2023盟盟务⼝盟研愿副纸映盟去务纸盟务模去盟务导:务务聚副盟务筛务务筛⼜筛撰送务务©G:HUB2023Thisreportisfreetouseandreproduceforyourownpublication,aslongastheyarenotforcommercialuse.Asthecopyrightholder,G:HUBdoesrequestdueacknowledgementandacopyofyourpublication.Pleasecontactauthorforcitationofthedataorfigures.Foronlinepublication,G:HUBrequestsdirectlinktotheoriginalresourceontheG:HUBwebsite.ThispaperonlyrepresentstheviewsofG:HUB.Pleasecontactusifthere’reanyquestionsorproblems.AcknowledgementsThisreportwasproducedbyG:HUB.WewouldparticularlyliketoacknowledgeWorldWildlifeFundforNatureBeijingOfficefortheirfundingsupportforthisreport.Specialthankstothefollowingexpertswhosupportedthisresearchbycontributingtexttothediscussionsection,participatingintheprojectworkshopand/orprovidingfeedbackinthereviewproces.(innoparticularorder):XUEDayuanProfessorCollegeofLifeandEnvironmentalScience,MinzuUniversityofChinaCHENYitongA/ProfessorLawSchool,OceanUniversityofChinaXUEGuifangProfessorKoguanSchoolofLaw,ShanghaiJiaoTongUniversityQINTianbaoProfessorSchoolofLaw,WuhanUniversityZHENGMiaozhuangResearcherChinaInstituteforMarineAffairsTheleadauthorofthisreportisYAODan,graduatestudentfromChinaUniversityofPoliticalScienceandLaw.CHENJiliang,DINGYutian,andYANGShuaiprovidedresearchsupervisionandreviewedthisreport.WewouldliketothankourcolleaguesProgramOfficerYANGHaitao,andCommunicationOfficerLIMinghuifortheproductionanddisseminationofthisreport.AboutG:HUBRegisteredwiththeBeijingMunicipalCivilAffairsBureau,GreenovationHub(GHub)isanindependentenvironmentalthinktankwithaglobaloutlook,advancingresearchandpolicydiscussionandinnovationforanet-zero,climate-resilientandnature-positivefuture.GHubadvancesthepolicydevelopmentanddialoguesincutting-edgeareasofsustainabledevelopment,seeksinnovativesolutionstoqualitygrowth,climateresilienceandcarbonneutralityinChinaandbeyond,contributingtoanet-zeroandnature-positivefuture.i确ABNJMGR纸BBNJ盟副20236BBNJ纸BBNJ筛副ABNJ务导1CBD2MGR3纸45盟矿纸词副告BBNJ模矿纸研BBNJ务副纸务纸太20233务筛副BBNJMGR副关键词：纸BBNJiiExecutiveSummaryTheadvanceinscienceandtechnologyhasmadedeepseabioprospectingpossible.Suchactivities,particularlytheaccesstomarinegeneticresources(MGR)inareasbeyondnationaljurisdictions(ABNJ),lackregulationandthusbecameoneofthekeyissuesoftheUnitedNations'processonbiodiversityonthehighseas(BBNJ).ThisreportreviewsthemaindifferencesinnationalpositionsandthereasonsbehindthemintheUNnegotiation.ItalsooffersobservationontheemergingregulationbasedontheBBNJAgreementadoptedattheinter-governmentalconference(IGC)inJune2023.TheBBNJAgreementisanimportantstepforwardafteralmosttwodecadesofnegotiation.TheconsensusreflectedintheagreementonMGRincludes(1)ReferringtotheterminologyofCBD;(2)Clarifyingthescopeofnon-monetarybenefit-sharing,commercialuse,andmonetarybenefit-sharingforMGR;(3)excluding"fisheriesandfishingactivities"fromtheapplicationoftheMGRmechanism;(4)Arrangementfordigitalsequenceinformation(DSI);and(5)Establishingthenotificationandclearing-housemechanism.TheprolongedstagnationinthenegotiationonMGRreflectsthedifferencesinnationalinterestsandvalues.However,theBBNJAgreementprovesthatthesegapsarebridgeable.Theagreementreacheddemonstratedthespiritofpragmatismandcompromise:Theclearing-housemechanismavoidsthehighcostsanduncertaintiesofafulltraceabilityprocess.Itprotectsthefreedomofscientificresearchandprovidesabasisformonetarybenefit-sharing.BenefitsharingintheBBNJAgreementisessentiallyopportunitysharingfordevelopmentandresourcesharingfortheagreement'simplementation.Suchanarrangementdemonstratesasignificantconcessionfromdevelopingcountries.Thedevelopedcountrieshavealsomadesomecommitmentstofinance.Yetthedetailsofthefinancemechanismhavetobeworkedout.Theimplementationofthefinancialcommitmentsalsoremainstobeseen.ThedraftagreementreachedinMarch2023goesthroughformaladoptioninJune.Itisforeseeablethatthedifferencesininterestsandvalueswillpersistinthesubsequentnegotiations.Nevertheless,theBBNJAgreementprovidesaframeworkforcontinuousdialogueandconvergence.WiththepoliticalwillforcooperationevidentatthelastIGC,theBBNJAgreementcancontributepositivelytotheregulationofMGR-relatedactivitiesonthehighseas.Keywords:MGR;DSI;AccessandBenefit-SharingMechanism;BBNJiiiContentsExecutiveSummary.......................................................................................................................................i1BBNJ务MarineGeneticResourcesintheBBNJAgreement.....................................................................................11.1BBNJTheNegotiationProcessoftheBBNJAgreement......................................................................................21.2BBNJTheInclusionofMarineGeneticResources..............................................................................................32MainFactorsAffectingtheNegotiationsonMarineGeneticResources.......................................................52.1DifferencesbetweenValuesofFreedomandEquity..................................................................................62.2PracticalConsiderationsonOperatingCostsandtheProtectionofInnovation..............................................73CoreConceptsofMarineGeneticResources..............................................................................................93.1AccessandUtilization..........................................................................................................................103.2Benefit-SharingandMonitoring.............................................................................................................114筛ProgressontheAccessandBenefit-Sharingatthe5thIGCs......................................................................124.1ArrangementforDigitalSequenceInformation........................................................................................134.2AdjustmentofWordingandArticleStructure...........................................................................................144.3ClarificationoftheApplication...............................................................................................................144.4纸MechanismsforAccess,UtilizationandMonetaryBenefit-Sharing............................................................154.5Conclusion.........................................................................................................................................175DiscussionandProspects.......................................................................................................................182AreasBeyondNationalJurisdiction,ABNJ撰BBNJ副1.1BBNJ副研(UNCLOS)ABNJABNJ研64%11000副landingvalue160副15%2ABNJ导太覆ABNJ撰190撰群3ABNJ撰ABNJ撰撰MarineBiodiversityBeyondAreasofNationalJurisdiction,BBNJBBNJ120042015200459/24尼BBNJBBNJ492BBNJ够5220162017研69/292尼BBNJ愿6务副77务BBNJA/BA去撰去B太匮732018筛研72/249尼BBNJ映872/249尼筛去⼜202281526RenaLee务副去⼜⾝920228202322033副Lee去副去3034620BBNJ1参见GlobalOceanCommission,FromDeclinetoRecovery:ARescuePackagefortheGlobalOcean,Report2014,p.4-6.2同前注。3参见EmanueleBigagli,Theinternationallegalframeworkforthemanagementoftheglobaloceanssocial-ecologicalsystem,68MarinePolicy155(2016),p.157.4UNGA,OceansandtheLawoftheSea,A/RES/59/24,2004.5UNGA,OceansandtheLawoftheSea,A/66/119,2011.6UNGA,OceansandtheLawoftheSea,A/RES/69/292,2015.7参见郑苗壮：《国家管辖范围以外区域海洋生物多样性国际协定谈判与中国参与》，载《环境保护》2020年第48期，第71页。8UNGA,OceansandtheLawoftheSea,A/72/249,2017.9BBNJIGC-5Highlights:Monday,15August2022,IISD(2022),https://enb.iisd.org/marine-biodiversity-beyond-national-jurisdiction-bbnj-igc5-daily-report-15aug2022.31.2BBNJ确确去确务10太11副90去去尽纸Hoodiagordonii⼜务12确确筛匮盟34,000务82825013确尽确2018ScienceAdvances221尽84%12%筛纸纸4%141尽1988201847%220尽37%⼝15298%49%13%12%16356%7717务务务务务副BBNJABNJ副太撰18确撰ConventiononBiologicalDiversityCBDAccessandBenefit-Sharing纸告CBDABNJ告CBD确CBD覆覆TheInternationalTreatyonPlantGeneticResourcesforFoodandAgricultureITPGRFACBDABNJ副ABNJ纸BBNJ10参RusselPaterson&NelsonLimaeds.,Bioprospecting:Success,PotentialandConstraints,Springer(2017),p.1-14.11同前注.12参见RachelWynberg&RogerChennells,GreenDiamondsoftheSouth:AnOverviewoftheSan-HoodiaCase,inRachelWynberg,DorisSchroeder&RogerChennellseds.,IndigenousPeople,ConsentandBenefitSharing:LessonsfromtheSan-HoodiaCase,Springer(2009).13参见R.Blasiaketal.,Theoceangenomeandfutureprospectsforconservationandequity,3NATURESUSTAINABILITY588(2020).14参见RobertBlasiaketal.,Corporatecontrolandglobalgovernanceofmarinegeneticresources,4SCIENCE.ADVANCES.eaar5237(2018).15同前注.16同前注.17同前注.18参见袁雪、廖宇程：《国家管辖范围以外区域海洋遗传资源获取和惠益分享的制度化构建》，载《南昌大学学报（人文社会科学版）》2019年第5期，第74页。5BBNJ务2.1BBNJ务务ABNJ⼦撰19告ABNJ太⼜BBNJ务埋研ABNJ太务ABNJ太太MareLiberum匮映剧务副20资太去ABNJ太21研剧太太ABNJ22去去筛务太ABNJ太23太太77+务务1967·撰ArvidPardo太太匮匮务2460务太太19671979太务去副199225务BBNJ太太77+务太BBNJ19参见EmilleBoulot&JoshuaSterlin,StepsTowardsaLegalOntologicalTurn:ProposalsforLaw’sPlacebeyondtheHuman,11TRANSNATIONALENVIRONMENTALLAW13(2022),p.4-7.20参见A.B.M.Vadrot,A.Langlet&I.Tessnow-vonWysocki,Whoownsmarinebiodiversity?Contestingtheworldorderthroughthe‘commonheritageofhumankind’principle,31ENVIRONMENTALPOLITICS226(2022),p.228-229.21参见ElizabethMendenhalletal.,Asofttreaty,hardtoreach:Thesecondinter-governmentalconferenceforbiodiversitybeyondnationaljurisdiction,108MARINEPOLICY103664(2019),p.3.22参见PenelopeRidings,Redefiningenvironmentalstewardshiptodelivergovernanceframeworksformarinebiodiversitybeyondnationaljurisdiction,75ICESJOURNALOFMARINESCIENCE435(2018),p.436-437.23Mendenhalletal.,supranote22.24参见JohnHannigan,theGeopoliticsofDeepOceans,Wiley,2016,p.51.25参见StevenBernstein&HamishvanderVen,Continuityandchangeinglobalenvironmentalpolitics,inKarlOrfeoFioretosed.,InternationalPoliticsandInstitutionsinTime,OxfordUniversityPress,2017,p.6-12.6撰26太副太ABNJ副务筛纸务27副太埋28太太29务ANBJ筛⼜务副BBNJ30去确ABNJ纸31去BBNJ务dueregard务太32筛副告⼜务ABNJ副副务务筛BBNJ务太太剧太太UNCLOS33BBNJ太务2.2BBNJ覆筛去导⼜纸34CBDITPGRFAABNJ告⼜BBNJABNJ副导纸务去⼜26Groupof77andChina’sWrittensubmissiononDevelopmentofaninternationallegallybindinginstrumentundertheUNCLOSontheconservationandsustainableuseofmarinebiologicaldiversityofareasbeyondnationaljurisdiction,2016,https://www.un.org/depts/los/biodiversity/prepcom_files/rolling_comp/Group_of_77_and_China.pdf.27参见张磊：《论国家管辖范围以外区域海洋生物多样性治理的柔化》，载《复旦学报》2018年第2期，第170-171页。28参见胡斌：《国家管辖范围以外区域海洋遗传资源开发的国际争议与消解》，载《太平洋学报》2020年第6期，第62页。29同2730同2831参见DavidLeary,Agreeingtodisagreeonwhatwehaveorhavenotagreedon:ThecurrentstateofplayoftheBBNJnegotiationsonthestatusofmarinegeneticresourcesinareasbeyondnationaljurisdiction,99MARINEPOLICY21(2019),p.24.32同23p.3-4.33AgreementundertheUnitedNationsConventionontheLawoftheSeaontheconservationandsustainableuseofmarinebiologicaldiversityofareasbeyondnationaljurisdiction.https://www.un.org/bbnj/sites/www.un.org.bbnj/files/draft_agreement_advanced_unedited_for_posting_v1.pdf34同前注,p.4.7identifiercheckpoint研CBDITPGRFA--BBNJ副35务CBDITPGRFABBNJ36告导37研CBD匮priorinformedconsentmutualagreedterm副导CBDBBNJ去ABNJCBDABNJ副ABNJ38CBDITPGRFAITPGRFA64撰撰务⼝39ITPGRFA撰务ITPGRFA撰2008告BBNJ撰40去撰筛撰匮纸ABNJ”41务太匮务务去⼜BBNJ务务撰⼜CBD匮匮匮⼜ITPGRFA35参见FranHumphries,MurielRabone&MarcelJaspars,TraceabilityApproachesforMarineGeneticResourcesUndertheProposedOcean(BBNJ)Treaty,8FRONT.MAR.SCI.661313(2021).36参见Leary,supranote32,p.25.37参见SubmissionoftheGovernmentofJamaicaonAccessandBenefitSharingRegimeforMarineGeneticResourcesinANBJ,2016,https://www.un.org/depts/los/biodiversity/prepcom_files/rolling_comp/Jamaica-access_and_benefit_sharing.pdf;AllianceofSmallIslandStatessubmissionattheendofthethirdsessionofthepreparatorycommitteeonthedevelopmentofaninternationallegallybindinginstrumentundertheUnitedNationsConventionontheLawoftheSeaontheConservationandSustainableUseofMarineBiologicalDiversity,2017,https://www.un.org/depts/los/biodiversity/prepcom_files/streamlined/AOSIS.pdf.38参见袁雪、廖宇程：《国家管辖范围以外区域海洋遗传资源的获取和惠益分享：机制选择与中国方案》，载《中国海洋大学学报》2019年第5期，第49-50版页。39同前注，第50-51页。40同前注。41同369筛FifthIntergovernmentalConference,IGC5映42务4344BBNJ45⼜尊BBNJ去⼜副去⼜3.1确够insituexsitu纸insilico研BBNJABNJ太ABNJ务纸去研纸务矿纸ITPGRFACBD匮BBNJ确研副BBNJ匮埋匮46纸⼜导务研研⼜务撰ABNJABNJ副告撰4748覆BBNJ纸务矿纸42DrafttextofanagreementundertheUnitedNationsConventionontheLawoftheSeaontheconservationandsustainableuseofmarinebiologicaldiversityofareasbeyondnationaljurisdiction–NotebythePresidenthttps://documents-dds-ny.un.org/doc/UNDOC/GEN/N19/146/28/PDF/N1914628.pdf?OpenElement43FurtherreviseddrafttextofanagreementundertheUnitedNationsConventionontheLawoftheSeaontheconservationandsustainableuseofmarinebiologicaldiversityofareasbeyondnationaljurisdictionhttps://documents-dds-ny.un.org/doc/UNDOC/GEN/N22/368/56/PDF/N2236856.pdf?OpenElement44FurtherrefresheddrafttextofanagreementundertheUnitedNationsConventionontheLawoftheSeaontheconservationandsustainableuseofmarinebiologicaldiversityofareasbeyondnationaljurisdiction(Resumedfifthsession)https://documents-dds-ny.un.org/doc/UNDOC/GEN/N22/467/94/PDF/N2246794.pdf?OpenElement45同33。46同28。47参见JoannaMossop&CliveSchofield,Adjacencyanddueregard:TheroleofcoastalStatesintheBBNJtreaty,122MARINEPOLICY103877(2020),p.18.48参见FranHumphries&HarrietHarden-Davies,PracticalpolicysolutionsforthefinalstageofBBNJtreatynegotiations,122MARINEPOLICY104214(2020),p.6.103.2副纸ABNJ研的纸务副副副49务务导告覆纸纸务匮盟纸纸盟矿纸纸盟矿纸务纸告矿纸纸纸BBNJ纸矿纸纸盟BBNJ导太务⾝49同28。12筛副导务务送纸4.1BBNJ副导CBD告CBD务尊务去务⼜CBD去送DigitalSequenceInformationDSIBBNJ纸务⾝CBD50CBDITPGRFA纸研务研DNA纸51DSI纸太纸告研DSI纸DSI研52CBDITPGRFADSI副BBNJ副的——纸筛DSI53研54研55筛映DSI副务务纸撰⼜DSI务太DSI去DSI务导匮导研务DSIBBNJ告务DSIMGRDSI社DSIfindable,accessible,interoperableandreusable,FAIR研纸研纸50参见Digitalsequenceinformationongeneticresources,2022,https://www.cbd.int/dsi-gr/.51参见CharlesLawson&MichelleRourke,DigitalsequenceinformationasamarinegeneticresourceundertheproposedUNCLOSlegallybindinginstrument,122MARINEPOLICY103878(2020),p.1-2.52同前注。53同前注,p.4-5.54同42。55同前注。134.2筛纸去⼜太纸尊ABNJ务DSI太ABNJ去⼜太副撰告务研太务匮匮撰撰去尊务矿纸BBNJ去⼜太BBNJ务矿纸务纸纸务研告纸⼜务矿纸去副覆BBNJ务尊覆纸Notificationclause4.3BBNJ副去纸太务务56太撰告去去⼜副副筛务告⼜太BBNJ务筛匮56参见同36,p.26.14研太副BBNJABNJBBNJ太的BBNJ副告务BBNJMGRMGRDSI4.4BBNJ副撰撰⾝去⼜务尊去的模57盟副告⼜纸副导研务DSI务尊MGRDSI务告⼜IGC5-I夫务纸BBNJ纸58BBNJ务BBNJ务纸告⼜务去研CBDITPGRFAIGC5-I副撰⼜ABNJ研撰副告⼜IGC5-II务去确夫映务57ViewsexpressedbytheUnitedStatesDelegationRelatedtoCertainKeyIssuesUnderDiscussionattheSecondSessionofthePreparatoryCommitteeontheDevelopmentofanInternationalLegallyBindingInstrumentundertheUNCLOSontheConservationandSustainableUseofMarineBiologicalDiversity,2016,https://www.un.org/depts/los/biodiversity/prepcom_files/USA_Submission_of_Views_Expressed.pdf.58英国国家提案，https://www.un.org/bbnj/igc-5th-proposals.15务撰BBNJ务务撰MGRDSI纸4.5副副务务⼝务太太务太务务撰4-5-1务副映告务务164-5-1务BBNJ务导DSIMGRMGR务DSI去DSIDSIBBNJ告务导MGRMGRMGR务剧太太太BBNJMGR的MGRMGRDSIMGRDSI,导研务DSI纸(insitu,exsituandinsilico)MGRDSIABNJ的导撰务务182023620BBNJBBNJ120COPCOP太太COPCOPMGR太纸COPPrepComm务模BBNJ纸纸纸纸纸矿纸BBNJ纸研务副纸纸BBNJBBNJ矿纸DSI矿纸MGR矿纸BBNJMGRDSIMGRDSI太BBNJ务MGR盟纸务知知太纸MGR历筛太务送太告纸MGR务纸BBNJCOP映研副⼜映副务太副告务副务纸务纸导筛副BBNJDSI映19去告筛送去务告筛副BBNJMGR副BBNJ务MGR务确副务副副筛告尊副务务撰副务告太副副太