Abstract
After years of informal efforts, the parties to the United Nations Convention on the Law of the Sea (UNCLOS) are negotiating an international legally binding instrument to address governance gaps that have impeded attempts to conserve biodiversity in areas beyond national jurisdiction (ABNJ). Though these discussions were initiated in response to concerns about biodiversity, states have used them to advance competing claims regarding rights of access, ownership, and control of ocean spaces and resources. This paper examines how states have discussed ocean space in negotiations regarding area-based management tools (ABMTs) and marine genetic resources (MGRs) at the first three intergovernmental conferences regarding biodiversity in ABNJ. ABMTs, which have become widespread in governing ocean space for conservation, are premised on an ontological framing that ocean space can be divided by geographical boundaries into territories for management. MGRs, on the other hand, are newly recognized governance objects that cross existing spatial boundaries: between areas of national and international jurisdiction, between the seafloor and water column, and between the ocean and the laboratory. Through their mobility, MGRs reveal how territorial forms of governance over material resources intersect with other forms of exclusion, control, and rights-based institutions, suggesting the need to develop creative management regimes that go beyond territorial approaches.
Keywords
Although resources found in ABNJ are framed as the common property of all and beyond the jurisdictional authority of a single state (Anderson and Peters, 2016; Steinberg, 2001; UNCLOS), they have increasingly been subjected to control by both state and non-state actors (Peters, 2020). Ocean management initiatives frequently divide ocean spaces into geographically defined territories (Acton et al., 2019; Gray, 2018), often resulting in the enclosure of ocean space and the establishment of private property rights over physical resources such as fisheries products and seabed minerals (Campling and Havice, 2014; Mallin and Barbesgaard, 2020; Zalik, 2018). This enclosure and the ensuing development of markets often allow powerful private actors to take ownership over space and resources (Fairbanks et al., 2018). These territorial approaches to ocean governance are rarely questioned, even though the oceans are dynamic and fluid across time and space, with mobile resources often crossing jurisdictional boundaries (Peters, 2020).
In addition to this territorial appropriation of physical ocean space and resources, intellectual property rights enclose and privatize knowledge about ocean resources and their uses (Blasiak et al., 2018; see also Runge and Defrancesco, 2006). For example, myriad marine organisms (called “Marine Genetic Resources” or MGRs) have been identified as having genetic material that is potentially valuable for a broad range of commercial purposes, including in the pharmaceutical, biofuel, and chemical industries (Blasiak et al., 2018). Under the current status quo, these resources are subject to state-sanctioned intellectual property rights, and private entities currently own the vast majority of patents relating to MGRs (Blasiak et al., 2018; Vadrot et al., 2021). As with many ocean resources, MGRs are often mobile, and they cross territorial boundaries in ways that are not reflected within existing intellectual property regimes.
This study investigates how the mobility of ocean resources across territorial boundaries is (and is not) addressed in the context of the United Nations Intergovernmental Conference on Marine Biodiversity Beyond National Jurisdiction (“BBNJ Negotiations”). During the BBNJ Negotiations, parties debate mechanisms used to manage ocean space, such as boundaries, rights and control over physical resources, and rights and control over knowledge relating to those resources. These negotiations, therefore, provide a unique opportunity to examine how territorial approaches to ocean governance intersect with intellectual property rights and the implications for conservation, sustainable use, and equity. In particular, the mobility of MGRs provides an opportunity to re-examine existing approaches to resource management, including institutions governing the knowledge emerging from human–MGR interactions.
We find that while discussions pertaining to ABMTs largely extend traditional landed ontologies of ocean governance (see Peters, 2020), brief mentions of mobility suggest an opportunity for considering other forms of governance that go beyond static boundaries. At the same time, negotiations over MGRs consider how resources cross established geographic boundaries in three ways: horizontally (across exclusive economic zones, or EEZs, and into ABNJ); vertically (through the water column to the sea floor, and vice versa); and in ways that extend beyond ocean space (taken from the ocean into scientific laboratories). For this last aspect, discussions address not only MGR conservation within ocean space but also their use and translation in marine scientific research outside ocean space through intellectual property rights regimes. These three dimensions of mobility complicate questions of property rights, including management and control not only of the material resources (i.e., physical resources consumed or used by humans), but also of the benefits and knowledge that flow from them. This suggests possibilities for developing new approaches to ocean governance that consider boundaries as more fluid and dynamic, such as by providing new forms of compensation or Access and Benefits Sharing (ABS) mechanisms.
In the first part of the paper, we provide background regarding the governance and control of ABNJ and why it matters for understanding ocean and resource governance more broadly. We then describe the BBNJ Negotiations and the methods we employed to study them in the second part. In the third part, we discuss our findings relating to ABMTs; while discussions largely extend traditional land-based ontologies of ocean governance, parties briefly acknowledge ocean materialities that challenge this extension. In the fourth part, we turn to MGRs, tracing their mobility within and beyond national jurisdiction, between the seafloor and the water column, and between the ocean and the laboratory, and analyzing the implications of each of these elements of mobility on management. In the fifth part, we analyze how the mobility of MGRs provides opportunities to initiate new discussions of marine resource governance. Finally, the sixth part concludes by discussing the potential ways in which MGRs promote rethinking territorial governance more broadly.
Governance, territory, and enclosure of ocean space and resources
Oceans support human life in critical ways, providing a source of food, a transportation surface, storage for carbon cultural meaning, and spaces for economic activities and recreation (Jouffray et al., 2020, 2021; Österblom et al., 2020). In recent years, human activity in ocean environments has accelerated, leading to both increased capacity for industrialization and heightened risks of anthropogenic impacts (Jouffray et al., 2020, 2021). This growth has spurred concerns over inequitable distributions of the benefits and burdens of ocean development both within and among nations (Bennett et al. 2021; Haas et al., 2022; Jouffray et al., 2020, 2021). Concerns over global inequity are particularly pronounced in ABNJ (Campbell et al., 2022a), which are often framed as a “final frontier” rife with development opportunities (Claudet et al., 2021).
ABNJ account for approximately 64% of the ocean and are critical to the function of the biosphere, providing important resources for industries such as fisheries and the biotechnology and data sectors (Österblom et al., 2020). While ABNJ are produced as spaces of freedom beyond state control (Steinberg, 2001), territorial and non-territorial forms of control over resources and knowledge have served to privilege powerful actors, including private enterprise and nongovernmental organizations (NGOs), at the expense of developing nations and marginalized communities (Peters, 2020; Vadrot et al., 2021). Through international institutions, states and private actors produce territories for management in ways that project power and relationships onto ocean space and limit regulatory options (Acton et al., 2019; Campbell et al., 2022a). At the same time, state and regional patent offices grant exclusive rights to use knowledge and information within their jurisdictional boundaries (WIPO, 2020). These governance systems enable states to extend their reach beyond static boundaries (see Bradley, 1996; Chisum, 1996), revealing the fluidity of actor roles and power relationships (see Havice, 2018). This section examines existing approaches to control over ocean space and resources, first discussing the territorialization of ocean space beyond national jurisdiction as a political act before turning to the enclosure of knowledge relating to ocean resources.
Designation of ocean territories as a political act
UNCLOS creates EEZs, bounded territories that define the extent of state power over ocean space and resources (Steinberg, 2001). Offshore ocean spaces beyond these boundaries are located outside of single state control. They are subjected to the Freedom of the High Seas Principle (FHSP), through which all are relatively free to use ocean space for peaceful purposes such as navigation and fishing (Broggiato et al., 2018; Rothwell and Stephens, 2010; Steinberg, 2001; Tiller et al., 2020). While states collectively have an obligation under UNCLOS to preserve and protect the marine environment, governance regimes implementing that obligation are often weak in comparison to the dominant FHSP (Freestone et al., 2014; Gjerde et al., 2016).
The UN was able, however, to territorialize the seabed and subsoil beyond national jurisdiction, known as “the Area” (UNCLOS Art. 1(1)) for managing mineral resources. Under UNCLOS, these resources are considered the common heritage of humankind and must be managed for the benefit of all (Peters, 2020; Rothwell and Stephens, 2010; UNCLOS). This Common Heritage of Humankind Principle (CHP) was incorporated into UNCLOS after developing nations expressed concerns that technologically advanced countries would exploit and deplete seabed minerals for their own benefit, causing price drops and disadvantaging the countries that relied on the export of terrestrial minerals for their economies (Rothwell and Stephens, 2010; Tiller et al., 2020). The CHP is intended to neutralize the traditional “first-come first-served” logic that typically applies to the resources of ABNJ by mitigating the technological advantage of certain states and helping to close the gap between nations of the Global North and Global South (Vadrot et al., 2021). While the CHP serves as an important check on the FHSP, it does not expressly apply to the water column of ABNJ nor to the biological resources of the Area (Tiller et al., 2020; Vadrot et al., 2021).
More recently, international negotiations surrounding ocean conservation are producing new territories to achieve governance outcomes on the high seas, such as through the creation and management of marine protected areas (MPAs) (Acton et al., 2019; Freestone et al., 2014; Gjerde and Rulska-Domino, 2012; Gray, 2018). For example, science and technology have been used to discursively recreate ocean space as subject to bounding and territorial control through area-based international agreements (Acton et al., 2019; Campbell et al., 2022b; Gray, 2018). Though regulatory and enforcement capacity to manage these areas is often limited, the designation of boundaries for management impacts ocean governance outcomes and future possibilities. These territorial approaches often create static boundaries for management that fail to account for the dynamism and mobility of ocean resources (Acton et al., 2019; Peters, 2020).
Bounded territories have become a “blueprint” of ocean governance, creating a discourse “so powerful that it is rarely questioned” (Peters, 2020: 4). MPAs, for example, have become “go-to” methods of conservation, such that few alternatives are typically considered (Campbell and Gray, 2019; Peters, 2020). These territorial approaches can and have led to “ocean grabbing” and capitalist exploitation of resources (Bennett et al., 2015; Peters, 2020).
Enclosure of knowledge related to ocean resources
Beyond territorial control of the resources themselves, the privatization of knowledge through the creation of intellectual property rights (specifically patents) has resulted in “the enclosure of the intangible commons of the mind” (Boyle, 2003: 37). Although an international agreement known as the Patent Cooperation Treaty (PCT), negotiated within WIPO, provides a streamlined mechanism for filing patent applications globally, patent rights remain state-sanctioned and territorial in nature (Chisum, 1996; WIPO, 2020). An entity seeking patent protection may file an international application under the PCT, but it must ultimately seek protection within individual state or, in some cases, regional patent offices (Patent Cooperation Treaty, 1970; WIPO, 2020). Once granted, these national or regional patent rights provide the patent-owner with the exclusive right to make, sell, and use inventions within that state territory or region (Bradley, 1996; Chisum, 1996; WIPO, 2020). Importantly, for our purposes, the territorial nature of these rights is connected to the manufacture, sale, importation, and/or use of the end product that is subject to the patent rights (or the product of a patented process); under the status quo, it is not related to the source of the information that led to patentable material nor to broader global markets (see Chisum, 1996).
Although intellectual property rights have often been promoted as necessary to incentivize innovation, critics have questioned whether they are effective in doing so as currently constituted (Boyle, 2003; Runge and Defrancesco, 2006). In the life sciences, in particular, scholars have asserted that patent claims encroach on the culture of academia, challenge the tradition of collaboration in science, and create barriers to researchers in accessing new tools and results (Boyle, 2003; David, 2004). The right to access streams of information is particularly critical to investment in new research frontiers (Runge and Defrancesco, 2006).
The enclosure of knowledge relating to marine resources has already begun (Blasiak et al., 2018, 2020; Vadrot et al., 2021). As a result of technological advances in numerous sectors over the past decade, including pharmaceutical and industrial products, increasing attention is being paid to the value of marine life not just as a material resource but as a source for valuable knowledge derived from genetic material. The private sector is already capitalizing on this value through intellectual property rights; as of a 2018 study, 12,998 genetic sequences from 862 marine species, ranging from plankton to sperm whales, had been subject to patent applications filed under the PCT (Blasiak et al., 2018). Although 221 companies have registered 84% of all patents, a single company accounts for 47% of all applications. International patent claims have been made by entities in 30 countries and the European Union, with 74% of applicants coming from Germany, the United States, and Japan. However, it is unclear whether these MGRs were collected from within national jurisdiction or ABNJ (Österblom et al., 2020; Tiller et al., 2020).
Under existing governance regimes, a state has control over MGRs collected within its borders. The state not only has control over the material resources through fisheries regulations or other management approaches, but it also has control over all genetic resources (terrestrial and marine) through the Nagoya Protocol on Access to Genetic Resources and the Fair and Equitable Sharing of Benefits Arising from their Utilization (“Nagoya Protocol”), negotiated within the Convention on Biological Diversity (CBD). The Nagoya Protocol is intended to prevent biopiracy and reduce global inequalities resulting from the imbalanced distribution and exploitation of genetic resources (Deplazes-Zemp et al., 2018). While the resources are often found in the biodiverse countries of the Global South with low capacity to extract them, users are often industrialized countries in the Global North. Under the Nagoya Protocol, when genetic resources are accessed within a state's jurisdictional borders, the state controls access to that resource in exchange for sharing the resulting benefits, including financial benefits that may result from patented products, wherever those patent rights are granted (Buck and Hamilton, 2011; Deplazes-Zemp et al., 2018). However, the Nagoya Protocol does not extend to ABNJ, where no state has sovereign control (Blasiak, 2019). Instead, the default regime remains FHSP and a first-come first-served approach whereby property rights of both the material and genetic resources are established by possession (Humphries et al., 2021; Vadrot et al., 2021). Additionally, the traceability regimes of the Nagoya protocol may give rise to competing claims to resources harvested in ABNJ among the state of the flag vessel, states through which MGRs transit, and the state in which the MGRs are ultimately landed (Humphries et al., 2021).
Thus, ABS regimes under the Nagoya Protocol and intellectual property rights (i.e., patent rights) are both territorial, but that territoriality is not commensurate. The Nagoya Protocol allows states to gain subsequent benefit from the use of knowledge gained from resources extracted within their borders. On the other hand, patent rights allow states to control the products made, imported, used, and sold within their borders, without regard to the geographic origin of the resources used to produce the knowledge that led to those patent rights. Under the status quo, states can therefore sanction patent rights controlling the use of knowledge within their borders, privatizing the use of knowledge gleaned from MGRs of ABNJ.
The BBNJ Negotiations as a case study for interrogating ocean governance: Case description and methods
In November 2004, recognizing the need to protect biodiversity from growing anthropogenic threats, the UN convened an informal working group to study issues of marine biodiversity in ABNJ (Blasiak et al., 2017). That working group met nine times between 2006 and 2015, identifying critical issues and defining elements of a proposed negotiation package. In 2015, the UN General Assembly formally adopted a resolution to begin negotiations to manage biodiversity in ABNJ (hereafter, the BBNJ Negotiations; see Table 1 for a list of other relevant acronyms) (De Santo, 2018). The mandate of the BBNJ Negotiations, formally initiated in 2017, is to develop a new legally binding instrument, or “Implementing Agreement,” under UNCLOS, to address the conservation and sustainable use of biodiversity in ABNJ without undermining existing instruments, frameworks, or global, regional, and sectoral bodies (Scanlon, 2018). After preparatory committee meetings, organizers planned a series of formal negotiations; five have occurred as of this writing (see De Santo, 2018; De Santo et al., 2020; Mendenhall et al., 2019; Tiller et al., 2019, 2020 for details). The fourth session, originally intended to be the final round of negotiations and scheduled for spring 2020, was postponed due to the COVID-19 pandemic. Parties conducted intersessional work via an online platform in the interim but have failed to reach agreement on a final treaty in either the fourth round or the first half of the fifth round of negotiations (held in March 2022 and August 2022, respectively). Delegates plan to convene the second half of the fifth round of negotiations in early 2023.
Acronyms relevant to the BBNJ negotiations.
The BBNJ Negotiations include four informal working groups that each addresses a separate “package element”: MGRs, ABMTs (including MPAs), Environmental Impact Assessments, and Capacity Building and Technology Transfer (CB&TT) (Tiller et al., 2020; Vadrot et al., 2021). They are attended by state representatives—who speak on behalf of their individual nations and/or alliances of states (see Table 2)—as well as representatives from NGOs and global, sectoral, and regional bodies. Although the mandate is specific to the conservation and sustainable use of biodiversity in ABNJ, actors from the developing world insisted on the inclusion of MGRs and CB&TT in an effort to reduce global inequalities surrounding the use of marine resources (Vadrot et al., 2021). Thus, the BBNJ Negotiations have emerged as a forum not only for considering biodiversity conservation but also for contesting the world economic order, as developing countries seek to share in the economic benefits of future exploitation of the resources of ABNJ. Nonetheless, questions remain regarding the equity of the negotiations themselves, as least developed countries (LDCs) and small island developing states are underrepresented in negotiations due to technical and legal capacity constraints (Blasiak et al., 2016, 2017; Österblom et al., 2020).
Acronyms of relevant state alliances.
The parties agree that MGRs include material originating from marine plant, animal, microbial, or other sources containing functional units of heredity that have actual or potential value. Although the parties rarely discuss specific examples of MGRs, hundreds of marine species have already been subjected to patent claims as of 2018 (Blasiak et al., 2018). This potentially represents a mere subset of the species that could plausibly fall within the scope of the new Implementing Agreement—genomic sequences from these and other species may have “value” or “potential value” for purposes that are not subjected to patents, and it is unknown how many species may have “potential value” that has not yet been identified, whether patentable or not. Discussions also continue about the extent to which fisheries products and/or biological commodities, which may have value both for their genetic properties and as a material resource, should be excluded from this definition; these issues are beyond the scope of this paper but have been described by others (De Santo et al., 2020; Mendenhall et al., 2019; Tiller et al., 2019).
For this study, we focus on the work and discussions conducted by the informal working groups regarding ABMTs and MGRs. Through them, we examine the discursive intersections between property rights, ocean space, and territory in the BBNJ Negotiations. We build on previous research findings related to ocean territoriality through ABMTs (see Acton et al., 2019; Gray et al., 2014, 2020) by examining what the discussions about ABMTs and MGRs in the BBNJ Negotiations reveal about evolving territorial approaches in the oceans. Data collection included watching and taking detailed notes on available recorded sessions of the Informal Working Groups on ABMTs and MGRs from the first, second, and third intergovernmental conferences. This included 52 sessions of approximately 3 hours each, for a total of approximately 156 hours of negotiations. One 3-hour session on MGRs from the first conference lacked interpreters, and statements from Argentina, Colombia, Peru, and China from this session were therefore omitted from the analysis. The topic of this session, which took place the afternoon of 11 September 2018, concerned the scope of the MGR provisions of the new instrument. We also collected and reviewed supplemental information from the Earth Negotiations Bulletin (International Institute for Sustainable Development, n.d.) as well as the draft documents that guided the negotiations and statements submitted during intersessional work to better understand the context of our observations. Our analysis, however, focuses on our observation notes.
We coded our notes from the sessions with QSR NVivo software, using an iterative approach combining both deductive and inductive coding. We began with several codes for spatial issues based on the literature (e.g., “dynamism of ocean space,” “3D aspects of ocean space”), and further refined them for spatial issues that arose during the discussions (e.g., “adjacency,” “spatial extent of the CHP”), separating each coded field into ABMTs and MGRs. We report the findings from this analysis in the following two sections.
Emerging dynamism in the land-based governance strategies of ABMTs
During the BBNJ Negotiations, discussions of ABMTs have largely followed territorial approaches of defining geographic spaces for management that seek to protect the material resources within bounded ocean spaces. Proposed definitions of ABMTs focused on geographically defined areas, including MPAs and other forms of marine spatial planning. In the case of MPAs, the parties discussed two distinct types: those that would be designated to rehabilitate so-called sick areas of the ocean, and those to help already healthy areas remain that way. A few parties’ suggestions present opportunities for reconsidering these traditional territorial approaches in ways that better reflect the dynamism of ocean space and resources.
Specifically, the dynamic nature of ocean space emerged in these discussions through concepts including connectivity, adjacency, and temporal change (see Table 3). For example, several parties have proposed including “connectivity” among the guiding principles of the Implementing Agreement. Another suggestion included creating networks of MPAs that address the way resources may flow among them. One popular proposal combined the two ideas by recommending global networks of connected MPAs, although this proposal was not universally accepted. Other parties, including Canada, Iceland, and Russia, favored a regional approach to ABMTs instead. For example, Russia expressed skepticism over the concept of a global MPA network because some areas are not experiencing negative impacts while others are seeing significant risks.
With respect to adjacency, discussions centered on the concern that what happens in ABNJ can affect, and be affected by, spaces within national jurisdiction. This resulted in a dispute over whether to include a system of notice and/or consent when adjacent states would be impacted by a proposed ABMT. While several parties proposed requirements to consult and/or obtain the consent of impacted states, other parties, including China and the United States, opposed any formal recognition of coastal states’ rights with respect to adjacency.
Finally, the temporal dynamism of ocean space was reflected in two ways. First, the parties discussed the duration of MPAs, with several parties proposing that at least some MPAs would be reevaluated once their objective(s) had been satisfied. Second, some parties proposed dynamic MPAs to reflect seasonal and long-term changes in ocean materialities, such as migratory patterns or changes in spatial ranges due to climate change. For instance, Algeria, on behalf of the African group, proposed that “dynamic MPAs … could happen with a move in biomass or a moving system of coral reef because of climate change.” Israel likewise proposed that MPAs could include “dynamic closures on a spatial or a temporal basis. MPA[s] could designate closed areas such as protected, sensitive nursery areas, or there could be areas designated on a seasonal basis to be fully closed [MPAs] that would operate as no take zone[s] only during important migratory seasons or spawning periods.”
In all these cases, the disagreements centered not on whether ABMTs are appropriate solutions, but rather how they would relate to each other, who should have a say in their designation, how they would be managed, and/or how long they would last (Table 3). Nonetheless, these references to dynamism and mobility suggest emergent avenues for reconsidering traditional tools of territorial ocean governance to include the fluid materiality of ocean resources and spaces. We now turn to MGRs, which, as newly recognized objects of governance, provide a specific case to interrogate those opportunities.
How dynamism of ocean space has been addressed in the context of ABMTs.
MGRs as challenges to territorial boundaries
Discussions surrounding MGRs have focused on ABS regimes and how to define which MGRs would be subject to them. The mobility of MGRs serves to complicate these discussions in numerous ways. Many MGRs come from species that are mobile or found in different areas of the ocean at different phases of their life cycles. Management of MGRs challenges traditional area-based ocean governance approaches because MGRs defy boundaries in three different ways: (1) they straddle horizontal boundaries and move within and beyond national jurisdiction; (2) they move between the water column and the seafloor, where different regimes have historically applied; and (3) they are transferred from ocean space to laboratory space and beyond in their translation from material to informational resources. Given states’ diverse interests related to MGR governance, this mobility complicates states’ attempts to define MGRs and articulate related ABS regimes. We unpack these complications in the following three sections.
Within versus beyond national jurisdiction: What is an MGR “of” ABNJ?
One challenge facing the parties to the BBNJ Negotiations surrounds defining whether and how the Implementing Agreement will govern MGRs sourced from species that straddle jurisdictional boundaries or that move between them. During the BBNJ Negotiations, parties discussed whether the provisions of the Implementing Agreement should apply to MGRs “accessed in,” “collected in,” “of,” or “originating in” ABNJ. Although the parties were often imprecise about the meaning of these terms, the proposals took one of two perspectives: (1) those who proposed that MGRs collected or accessed in ABNJ should be the only MGRs subject to the Implementing Agreement; and (2) those who sought to include some broader definition that could include MGRs found in ABNJ at some stage of their life cycle, even if collected elsewhere.
Many parties proposed that samples collected or accessed in ABNJ would be subject to the Implementing Agreement, while those collected or accessed within state jurisdictions would be subject to state management. These parties argued that such a definition was necessary to avoid the complexity of dealing with MGRs that may be found both within national jurisdiction and ABNJ. For example, Norway stated that focusing on where MGRs are “accessed” would “help us in a few of these situations where we discuss MGRs that can be sometimes in national waters and sometimes outside, they can be on the bottom on the national shelf, they can be in the water column. If we focus on where they are accessed, that will solve a few of those issues.” Others cited the need to protect the rights of coastal states to access MGRs within their own EEZs. For example, Australia expressed concern that the term “of the high seas and the Area” would “potentially cover … MGRs accessed by a state within its own EEZ” in the case of MGRs that may move between the high seas and a state's EEZ over time. Canada agreed that “this is not about MGR[s] potentially accessed in waters of a coastal state.”
On the other hand, some parties proposed that the point of collection or access should not be a limiting factor in determining which MGRs are subject to the Implementing Agreement. Indonesia made the most specific argument for expansive coverage, arguing that, if an MGR is found in the ABNJ, the provisions should apply regardless of where it is collected. Iran similarly favored including both “accessed in” and “originating from” ABNJ, citing the need to protect MGRs “wherever they could be found.”
These proposals were met with skepticism from other delegations. For example, Singapore stated: If “originating from” is going to be interpreted as basically where the life of the organism originates, we have some rather odd situations so that an organism that started life in an area within national jurisdiction but is subsequently picked up in [ABNJ] somehow falls outside the instrument which I don’t think is the intent of this instrument. And the converse is an organism that starts life outside, in [ANBJ], and is subsequently collected in situ in an area within national jurisdiction falls within the instrument. Again, I’m not sure that's the intent of the instrument.
Japan similarly indicated that it objected to requiring consent from a coastal state to exploit MGRs in ABNJ where the identical MGRs are also present within state jurisdiction, highlighting the “interesting scenario in which an identical MGR collected in ABNJ [is] found later in [the] territorial sea or EEZ of coastal states—if such [an] MGR in ABNJ is to be designated as a common heritage of [hu]mankind, we wonder whether these MGRs should be regarded as the common heritage of [hu]mankind living in a coastal state's EEZ.”
Thus, MGRs’ mobility across horizontal ocean space demonstrates the limitations of fixed area-based boundaries in ocean management. Many organisms from which MGRs are sourced cross jurisdictional boundaries throughout their life cycles, and some populations straddle these boundaries. For example, sperm whales (whose genomes have been subject to patents (Blasiak et al., 2018)) have the broadest distribution of any marine mammals, with males making long migrations from tropical to temperate waters (NOAA Fisheries, 2021). Likewise, invertebrates can be carried on ocean currents across jurisdictional boundaries.
The collection of MGRs within the EEZ of a coastal state currently triggers the Nagoya Protocol's ABS mechanisms, and the coastal state can share in the benefits of the resource in exchange for permitting access. However, under the status quo, if the organism crosses into ABNJ, private actors can freely collect and utilize it (Thambisetty, 2018). Competing claims to benefits may arise based on the subsequent movement of the resource by those who collect and use it (Humphries et al., 2021), as opposed to the movement of the organism during its life. Thus, even if an organism spends most of its life cycle within state waters, the state may gain no benefit from the resource if it is collected in ABNJ, regardless of how temporary or transient its presence in ABNJ is. Conversely, an organism that spends most of its life cycle in ABNJ, where it belongs to either no one (under the FHSP) or everyone (under the CHP), comes under state control when it crosses into the state's EEZ. This leads to concerns, such as those expressed by Japan, as to whether MGRs become the common heritage of humankind living within a state's EEZ. This becomes further complicated because the spatial application of the CHP is also disputed, as we now discuss.
The seafloor versus the water column: Common heritage of humankind versus freedom of the high seas
MGRs’ vertical mobility likewise poses challenges to existing regimes, complicated by tensions between the CHP and the FHSP. This tension was particularly evident in the first two rounds of negotiations, when the draft objectives relating to MGRs expressly included the CHP. The CHP was absent from the text during the third round of negotiations despite widespread support in earlier negotiations; after developing countries heavily criticized its removal, the principle is now reflected in the draft text for future rounds of negotiations (Vadrot et al., 2021).
As described in more detail by Vadrot et al. (2021), the dispute over the CHP and its application to MGRs influences the degree to which mandatory ABS provisions can be imposed. Some parties, including the United States, Japan, and Russia, asserted that because the CHP has historically applied only to the mineral resources of the Area, it should not be applied to living resources, including MGRs, at all. Our analysis reveals that a spatial component was also relevant in the dispute. Some parties asserted that only the Area (i.e., the seabed and subsoil beyond national jurisdiction) was subject to the CHP, while the water column above it was subject to open access under the FHSP. Under this reasoning, the instrument's ABS provisions would apply only to MGRs of the Area, and not those of the water column.
Many developing countries opposed this assertion and argued for the broad applicability of the CHP to all MGRs, wherever found. For example, Algeria, on behalf of the African Group, noted that there was “a sense of astonishment from this side of the room” that MGRs in the water column would not be covered by the provisions of the Article relating to ABS. This representative noted: There are some gaps in UNCLOS. We are supposed to close them with this process. When UNCLOS was negotiated, we were not aware of the economic value of MGRs. [The] water column and the Area are the same for us. Wherever there are MGRs in ABNJ, they should be covered by the scope.
Barbados, on behalf of CARICOM, similarly stated that there was “no scientific basis to distinguish between benthic formation and organisms in the Area or other organisms in the high seas.” This view was not limited to developing countries; New Zealand expressed a similar statement, noting that “the geographical scope of the [Implementing] Agreement would likely need to cover both the Area and the high seas given the mobility of [MGRs]. Otherwise, there will continue to be gaps in the legal regime applying to MGRs in ABNJ.”
One party, Bangladesh, proposed a hybrid approach where the Implementing Agreement would apply to MGRs “of the Area, including the waters superjacent to the seabed and subsoil thereof.” This proposal related to parties’ claims to the extended continental shelf, which, under UNCLOS, is subject to state control. While the proposal did not define the term “superjacent,” Bangladesh suggested that MGRs in the water column immediately above the continental shelf would be subject to the Implementing Agreement due to potential confusion arising from their mobility. “Otherwise, if you have [MGRs] on the high seas above the continental shelf, those free-floating [MGRs] on the high seas but above the continental shelf … who owns it? Sometimes it will fall to the continental shelf, sometimes it will be free floating there. That will create problems [under the existing options].”
Eventually, the draft text dropped this hybrid proposal and the proposal limiting ABS provisions to the Area. Instead, both the proposal for the third round of negotiations and the drafts released for the fourth and fifth rounds read that the provisions of the Articles relating to MGRs would apply to both the high seas and the Area. Notwithstanding the apparent simplification in the text in that regard, the reintroduction of the CHP into negotiations (see Vadrot et al., 2021) suggests that the dispute is not resolved. Because UNCLOS expressly applies the CHP to the mineral resources of the Area, the parties were unable to agree whether the principle is limited to those mineral resources, applicable to all resources of the Area alone, or should apply to the water column as well. Indeed, despite the absence of the CHP from the text in the third round of negotiations, developing nations continued to raise the principle as critical to their concerns relating to ABS and MGRs.
The outcome of this dispute in future negotiations could have important implications. If the parties agree that all MGRs, whether in the water column or on the seafloor, are subject to the CHP, MGRs’ vertical mobility will matter little for their governance because they will be subject to this principle whether in the water column or on the sea floor. It will also have little impact on governance if the parties agree that only mineral resources (i.e., not MGRs) of the seabed are subject to the CHP, while all MGRs are governed by the FHSP wherever found in ABNJ.
If, on the other hand, the CHP applies to MGRs found on the seabed, while the FHSP applies to those found in the water column, MGRs’ mobility may complicate their governance. In this scenario, the CHP would require that access to MGRs on the seafloor be managed such that benefits could be shared among current and future generations worldwide. Yet, when that same MGR moved to the high seas, benefits could accrue to its harvesters with no mandate to share them. This could lead to two parallel and conflicting regimes, with confusion concerning in which circumstances ABS regimes apply and in which cases private actors would be free to benefit from the resource without obligation to the international community.
The history and context of the negotiations are important in understanding the impacts of these regimes and approaches. The uncertain benefits of seabed minerals and considerations of global equity served as the premise behind the CHP as applied to seabed minerals (Vadrot et al., 2021). As discussed further by Vadrot et al. (2021), many similar arguments are reflected here. MGRs reveal the tensions between the FHSP and CHP when historically constructed spatial distinctions muddy their application. These issues become further complicated when the focus becomes not on the material resource itself, but on the knowledge gained from that resource, the issue to which we now turn.
The ocean versus the laboratory: Conservation in situ versus sustainable use ex situ
One of the dominant disputes relating to MGRs surrounds whether the Implementing Agreement will only regulate ABS and MGRs access in situ, or whether ABS provisions will also apply to MGRs as they are transferred and translated beyond ocean space. This includes samples of MGRs ex situ; information gleaned from MGRs (referred to as MGRs in silico, digital sequence information, and/or genetic sequence data); and derivative products created from that information. While some parties seek to limit the scope of the Implementing Agreement to MGRs in situ, focusing on their use and conservation within ocean space, others seek to extend ABS regimes to the knowledge that flows from MGRs beyond ocean space.
The parties seeking to limit the scope of the Implementing Agreement's ABS provisions for MGRs often rely on arguments that conservation of the material resource requires restrictions only to in situ access, while access to ex situ samples and knowledge gleaned from the resources should remain unrestricted to promote conservation and sustainable use more broadly. The United States, for example, stated that “the BBNJ Instrument is focused on the conservation and sustainable use of marine biological diversity and therefore we should focus on where the [MGRs] are found, which is in the ocean.” Japan highlighted the potential benefits that knowledge gleaned from MGRs might have for conservation, stating that: by researching on MGR[s], we can obtain important data which is essential for studying the degree of advanced impact on the marine environment…. Enabling all states, including developing countries, to promote conservation and sustainable use of BBNJ through analysis of MGR[s] should be the true benefit to be realized under the new instrument.
Parties that espoused these views further argued that ABS provisions should be limited to MGRs in situ due to concerns that control of access to knowledge beyond ocean space could hamper scientific research for conservation purposes.
Although MGRs have been derived from thousands of organisms, including large migratory species like sperm whales and manta rays (Blasiak et al., 2018), many parties favoring this position presented MGRs as small, renewable resources that do not need to be conserved within ocean space, particularly those resources in the water column. For example, Japan stated that “unlike mineral resources, MGR[s are] renewable…. Research of MGRs is conducted using a sample of MGR in [a] small amount of water so it does not deplete MGR[s]…. Usually we don’t need to conduct an [environmental impact assessment] before taking a bucket full of water from the sea.” China similarly stated that “collection of MGR[s] is small and they tend to be replicable, so this can barely impact upon the biodiversity in the marine environment or its habitats.” These parties often favor ABS regimes that extend only to MGRs in situ.
Other parties, particularly developing nations, have focused on the expanded risks to equity among states that could arise without a mandatory ABS regime extending to the knowledge flowing from MGRs beyond ocean space. For example, Fiji (on behalf of P-SIDS) objected to the views that collecting small samples causes no harm. According to Fiji, this view of “harm” is too limited because it: ignores informational and functional content. It is what you do with that small sample that is being discussed here. The intellectual property rights applied to the informational and functional content in the small samples of water is what is harmful because it is exclusionary, disadvantages those who want to use that information in the future, and in our view threatens equity.
These parties seek to ensure that the use of MGRs is not only sustainable, but also that the benefits of that use are equitably shared. This extends not only to uses for purposes of conservation, but also to potential commercial uses of the resource.
Uncertain property rights: Where Competing claims to resources meet competing claims to knowledge
MGRs create challenges to territorially defined property rights because uncertainty over the ownership of the underlying material resource is combined with a lack of certainty over the ownership of knowledge derived from that material resource. Under the status quo, knowledge relating to MGRs is currently subject to property rights through patents, leading to concerns about benefits and equity such as those expressed by Fiji. Patent rights are territorial in ways that are disconnected from the spatial distribution of the resource itself and ignore the tensions surrounding ownership over the material resource discussed above. The intellectual property system grants rights based on the location of the product—not the source of the product (Chisum, 1996); yet, questions related to intellectual property are inextricably linked to the ownership of the underlying material resource (Thambisetty, 2022). In other words, states grant exclusivity to products derived from MGRs that cross boundaries and, depending on the applicable regimes, belong at once to specific states as well as to everyone and no one. In this way, patent rights enable states to project their power beyond their physical territory and into ABNJ by controlling knowledge that flows from ocean resources originating in that space.
Many parties to the BBNJ Negotiations view the commercial value of MGRs as highly speculative. They focus instead on MGRs as they are used for marine scientific research aimed at improving conservation, e.g., providing “important data which is essential for studying the degree of advanced impact on the marine environment,” as stated by Japan. These parties have expressed a preference for a voluntary ABS regime that they argue would promote scientific research and increase inclusion in that research among developing nations by combining the sharing of non-monetary benefits and information with CB&TT. MGRs can indeed prove useful in underscoring the need for conservation, leading to new discoveries that can benefit marine environments (Sigwart et al., 2021). However, MGRs are not currently translated into knowledge solely for conservation purposes; scientists produce knowledge that can lead to the development of commercial products as well.
As of 2021, 35,000 marine natural products had already been identified, with approximately 1500 new products described each year (Sigwart et al., 2021). These products have the potential to provide wide-reaching human benefits that go beyond conservation and may be inaccessible from other sources; drugs discovered from marine sources have a fourfold higher rate of success than other compounds. Yet the pathway to identifying these products is long, risky, and speculative. There are also practical challenges to traceability, and it is currently unknown to what extent these commercial products incorporate MGRs of ABNJ (Humphries et al., 2021). Absent certainty in the applicable legal regimes, there is a risk that realizing the benefits of these resources for humankind will be impracticable (Tiller et al., 2020).
This lack of certainty may also have profound impacts for global equity. In the absence of new legislation, the status quo first-come first-served approach will allow the perpetuation of conversion of this knowledge to patent rights in ways that will disproportionately benefit the developed world (Thambisetty, 2018, 2022; Vadrot et al., 2021). Global gaps in the capacity to exploit MGRs are pronounced, with only a handful of (mostly, but not all developed) countries having access to MGRs due to the cost of technology to sample and access samples, scientific skills needed for research on biodiversity, the cost of skills needed for molecular screening, and the scientific skills necessary for data analysis (Broggiato et al., 2018).
Given the uncertain distinction between “commercial activity” and “conservation,” patent rights may limit access to knowledge in ways that could hamper scientific research and academic enterprises (Boyle, 2003; David, 2004). While, theoretically, knowledge from MGRs developed through academic research should enter the public domain, as a practical matter, the sheer volume of genetic material available makes examining patents difficult and gives private entities an advantage that may result in this material ultimately being patented and unavailable for use by researchers (Thambisetty, 2018). This result would be diametrically opposed to the expressed intent of most parties to the BBNJ Negotiations, who often highlight the protection of scientific research as a key concern of the new Implementing Agreement. Thus, many developing countries seek a broader ABS regime that includes the sharing of monetary benefits from all products resulting from the use of knowledge gleaned from MGRs.
While the potential commercial value of this conversion to knowledge may be speculative, the enclosure of knowledge is not speculative. MGRs have already been subjected to patent rights worldwide (Blasiak et al., 2018; Runge and Defrancesco, 2006), which could undermine attempts to meaningfully incorporate CB&TT into the Implementing Agreement. This ongoing activity has led to the concerns, like those expressed by Fiji, that the exclusionary nature of these rights is harmful.
Regardless of whether the parties to the BBNJ Negotiations intend it or not, the inclusion or omission of ABS regimes relating to commercial products from the Implementing Agreement will impact the distribution of financial benefits from these potentially valuable resources. The omission of new regulations from the Implementing Agreement is therefore a choice that will privilege the current knowledge of some actors over others and have continuing impacts for global equity. Just as territorial modes of governance are political acts that allocate space and the resources therein for a particular purpose (Peters, 2020), patent rights allocate the knowledge associated with those resources to private actors. Given these concerns, it is necessary to critically examine these existing and emerging forms of governance and how they converge to understand who has benefitted and who will continue to benefit (Peters, 2020).
The mobility of MGRs complicates their management, particularly due to the incongruencies regarding the territorial nature of patent rights and the traditional territorial regimes governing the control of ocean resources. However, as we now discuss, the ensuing uncertainty also creates new opportunities for management. In particular, MGRs provide a way of opening possibilities not only for the management of MGRs themselves but also for the use of ABMTs in ABNJ governance. In the case of the latter, these openings may lead to more mobile conceptualizations of boundaries that better account for the dynamism of ocean spaces and materialities.
Unsettling the institutional stability of ABMTs through the mobility of MGRs
Examining the introduction of MGRs as newly discovered objects of governance in the BBNJ Negotiations reveals an opportunity for rethinking the conventional use of ABMTs in ocean governance. Traditional ABMTs such as static MPAs, which often depend “on the fixity of nature” (Acton et al., 2019: 86), are ill-equipped to deal with MGRs and other oceanic resources that cannot be fixed in space, either as material objects or as they are translated into knowledge and information. The proliferation of ABMTs has led to institutional stability such that the suitability of ABMTs as management tools is rarely questioned (Peters, 2020). This is further demonstrated in the BBNJ Negotiations surrounding ABMTs, where the parties are coalescing around a mechanism for designating conventional (i.e., fixed) ABMT boundaries under a shared understanding that such boundaries are appropriate, and sometimes even necessary, to achieve conservation.
Yet, even within the context of ABMTs, the parties to the BBNJ Negotiations have begun to consider the fluid materiality of oceans and oceanic resources through references to concepts such as connectivity, adjacency, and temporality. While the management implications of considering those concepts are often imprecise or absent from discussions entirely, the inclusion of these references in BBNJ Negotiations suggests an opportunity to consider the permeability of conventional boundaries in future ocean management, both in policy negotiations and in practice. Indeed, as described above, parties have already begun to propose mechanisms to unsettle traditional static boundaries in ways that reflect dynamism and mobility (e.g., temporary or seasonal ABMTs). MGRs, which the parties acknowledge are neither fixed in time nor space, present a concrete example to further unsettle, and productively rethink, those boundaries.
The fluidity of ocean resources is, of course, not limited to MGRs. However, because the value of MGRs lies in their conversion to knowledge, rather than the consumption of the material resource itself, MGRs demonstrate mobility and its implications in ways that are different from material resources. For example, the fish governed by regional fisheries management organizations (RFMOs) are mobile and cross boundaries. The removal of these fish from ocean space for use as a material resource and their translation to commodity chains occurs through relatively long-standing, conventional mechanisms of production and consumption that lend themselves (arguably) to more traditional management tools. RFMOs deal with mobility by engaging in collective management among states and creating property rights to fish catch that can be allocated across states (Campling and Havice, 2014) (although these management regimes are often criticized as being inequitable (Österblom et al., 2020)).
On the other hand, the future value of MGRs is uncertain, making allocation of rights (and their future benefits) across nations more challenging. Tiller et al. (2020) have argued that “wealth blindness” surrounding the value of MGRs has served as an impediment to reaching consensus in the BBNJ Negotiations. This “wealth blindness” is threefold: (1) a lack of understanding of the monetary value of MGRs; (2) insufficient market understanding necessary to realize that value; and (3) lack of awareness regarding the extent of the resources that exist. While “wealth blindness” also has impacts on traditional tools for managing resources like fisheries, it is more pronounced in the context of MGRs, where there is an “utter uncertainty” globally about what the resources are and how to market them (Tiller et al., 2020: 7). Indeed, the diplomats themselves may lack knowledge of the underlying technology, and even the companies that own MGR patents lack certainty of their market value. While these complexities introduce uncertainty and difficulties for policymakers, the novelty of MGRs as objects of governance also creates an opportunity to approach their management, and related ocean governance, differently.
How this opportunity will shape possibilities for MGR governance in practice remains to be seen, and the mobility of MGRs makes disputes over their management difficult to resolve. If MGRs are the property of an individual state while within state jurisdiction, who owns the same MGRs located in ABNJ, where resources are the property of no state? If MGRs on the seabed, but not those in the water column, are subject to the CHP, what regime is applicable to MGRs that exist in both spaces? If material resources are designated as the common heritage of humankind, who shares in the benefits when knowledge relating to those resources is developed by private actors? As is highlighted in the statements from the Japanese delegate, parties have argued that the value that MGRs bring to biodiversity protection comes not from “fixing” them in ocean space but from translating them through marine scientific research to new knowledge. Yet, that same knowledge can be commercially valuable as well. Is there a difference between the right to access knowledge for conservation and the right to access knowledge for commercial use?
Addressing these questions head on may lead to revised governance regimes that better reflect the mobility and dynamism of ocean space and resources, not only for MGRs but for ABMTs as well. For example, identifying the mobility of many resources between the seafloor and the water column calls into question the proposed spatial distinction of the CHP and may lead to its broader application for the management of marine resources, potentially at the expense of the FHSP. Might the Implementing Agreement present an opening to consider ABMTs that are co-managed with bodies such as the International Seabed Authority and reach vertically from the water column into the Area, for some or all resources? After all, the FHSP became dominant at a time when states were generally unconcerned about protecting marine resources beyond the seafloor (Tiller et al., 2020), but the ongoing declines in resources such as high-seas fish stocks (Decker Sparks and Sliva, 2019) call this into question. MGRs may therefore serve to unsettle the historical spatial distinction between these regimes. Furthermore, given that ABMTs include not only MPAs but also the management of commercial activity through efforts like marine spatial planning, perhaps MGRs highlight a need to incorporate ABS regimes into other forms of ABNJ management, promoting the global sharing of benefits from commercial activity in ABNJ beyond just those relating to MGRs. Likewise, recognizing that the territoriality of patent rights is not commensurate with the rights over material resources could lead to new hybrid forms of governance that provide at least partial compensation to coastal states that are home to MGRs or other resources for part of their life cycle.
Answering these questions could improve the equitable management of myriad ABNJ resources, which could have important impacts on coastal communities. For example, many fisheries in ABNJ target highly migratory species that cross into the EEZs of low-income, food-deficient countries that are highly reliant on fish for macronutrients and human health (Österblom et al., 2020). Poor governance in ABNJ, therefore, results in negative health outcomes and lost livelihoods in these communities, which often depend on access fees from other nations who fish their waters. In some ways, the longstanding application of existing regimes for managing these resources may hamper new approaches from being developed (see Peters, 2020). If the novelty of MGRs can allow decision-makers to rethink existing regimes and develop new forms of governance, perhaps these lessons could enable us to revisit established management practices for other resources and revise them in more equitable ways.
Conclusion
The long-established prevalence of ABMTs has led actors to view these territorial forms of governance as “natural,” creating “ontological stability and ontological assumptions of what can exist” (Peters, 2020). On the other hand, MGRs are newly discovered objects of governance and therefore lack the institutional stability underpinning ABMTs. They thus provide an opportunity to unlock new ways of thinking about ocean mobility and consider the ways in which jurisdictional and other area-based boundaries might better take mobility and dynamism into account. MGRs lead to questions over the ownership of material resources as a result of their horizontal and vertical mobility, and those questions are further complicated as they are translated to knowledge production and access. That knowledge can be translated into proprietary patent rights that are territorial yet disconnected from the spatial distribution of the material resource from which it came.
Thus, MGRs provide opportunities to rethink territoriality and, in particular, how different territorial regimes may have intersecting impacts yet be incommensurate with each other. This will require considering not only the new Implementing Agreement on its own, but how its implementation will intersect with other regimes, such as those managed by the CBD and WIPO. The parties to the BBNJ Negotiations have been heavily focused on the mandate to “not undermine” existing institutions, frameworks, and bodies (Scanlon, 2018). Yet, far from undermining other institutions, the BBNJ Negotiations provide a rare opportunity to bring different institutions together and consider how they might work collectively to achieve more effective ocean management. As we have seen with ABMTs, early decisions regarding governance approaches can have lasting impacts that affect management choices for decades (Gray et al., 2014). The decisions made with MGRs may not only impact the way actors govern these resources, but future ocean governance approaches and possibilities more broadly.
Highlights
Ocean governance, including ABMTs, has historically relied on landed ontologies of territorial governance and static boundaries.
Brief discussions of mobility in the BBNJ Negotiations pertaining to ABMTs suggest opportunities for management that go beyond static boundaries.
MGRs cross historically constructed boundaries horizontally, vertically, and in ways that extend beyond ocean space.
Mobility complicates property rights and control over MGRs and the knowledge and benefits that flow from them.
MGRs provide opportunities to rethink territoriality, including how incommensurate management regimes have intersecting impacts on governance, equity, and benefit distribution.
Supplemental Material
sj-docx-1-ene-10.1177_25148486221132832 - Supplemental material for (Un)claiming rights, resources, and ocean spaces: Marine genetic resources and area-based management tools in high seas governance negotiations
Supplemental material, sj-docx-1-ene-10.1177_25148486221132832 for (Un)claiming rights, resources, and ocean spaces: Marine genetic resources and area-based management tools in high seas governance negotiations by Emily C Melvin, Leslie Acton and Lisa M Campbell in Environment and Planning E: Nature and Space
Footnotes
Acknowledgment
The authors would like to thank two anonymous reviewers and the editors for their feedback, which improved this manuscript, and the journal's editorial and administrative staff for their work moving the manuscript through to publication.
Declaration of conflicting interests
The author(s) declared no potential conflicts of interest with respect to the research, authorship, and/or publication of this article.
Funding
The author(s) received no financial support for the research, authorship, and/or publication of this article.
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