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Bioprospecting of Genetic Resources in the Deep Seabed: Scientific, Legal and Policy Aspects

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The Institute of Advanced Studies of United Nations University (UNU-IAS) was inaugurated in April 1996. We conduct research, postgradu- ate education, and capacity development, both in-house and in cooperation with an interactive network of academic institutions and international organisations. The Institute's research concentrates on exploring the key catalysts and drivers of sustainable development which often depend on our capacity to harmonize, if not optimise, the interaction between societal and natural systems. This includes the development and UNU-IAS Report use of new technologies, information, and biotechnology; major trends and pressures such as urbanisation, regionalisation, and globalisa- tion; as well as the exploration of integrated Bioprospecting of Genetic Resources approaches to policy-making, decision making and environmental governance. in the Deep Seabed: Scientific, Legal and Policy Aspects United Nations University Institute of Advanced Studies 6F, International Organizations Center Pacifico-Yokohama, 1-1-1 Minato Mirai Nishi-ku, Yokohama 220-0012, Japan Tel: +81 45 221 2300 Fax: +81 45 221 2302 Email: [email protected] URL http://www.ias.unu.edu This report was written by Salvatore Arico and Charlotte Salpin Acknowledgements The authors wish to thank the following individuals: W. Bradnee Chambers William Fenical Jessica F. Green Sam Johnston Lee Kimball Dagmar Lohan Paul Oldham Alex Rogers Census of Marine Life The Japan Agency for Marine-Earth Science and Technology The Secretariat of the Convention on Biological Diversity The Secretariat of the International Seabed Authority The United Nations Department of Economic and Social Affairs The United Nations Division for Ocean Affairs and the Law of the Sea The United Nations Educational Scientific and Cultural Organization Copyright © 2005 UNU-IAS All Rights Reserved UNU-IAS Report Bioprospecting of Genetic Resources in the Deep Seabed: Scientific, Legal and Policy Aspects 1 2 Contents Foreword 6 Executive Summary 7 1 Introduction 8 2 Characteristic features of deep seabed ecosystems 9 2.1. Various deep seabed ecosystems 9 2.1.1. Hydrothermal vents 9 2.1.2. Cold seeps and other similar deep sea ecosystems 11 2.1.3. Seamounts 11 2.1.4. Similarities and differences between deep seabed ecosystems 12 2.2. Deep seabed ecosystems and the origin of life 13 2.3. Information on researched sites 13 3 Review of bioprospecting activities in the deep seabed 15 3.1. The object and nature of bioprospecting 15 3.1.1. Marine bioprospecting and marine scientific research 15 3.1.2. Genetic resources, genetic material and microorganisms 16 3.2. Analysis of the type and level of activities involving genetic resources from the deep seabed 16 3.2.1 Review of relevant research programmes 16 3.2.2. Review of various uses of deep seabed genetic resources 19 3.2.2.1. The role of patents with regard to deep seabed genetic resources 19 3.2.2.2. Review of patents related to deep seabed genetic resources 20 3.3. Information on recorded or potential impacts of research activities carried out in the deep seabed 21 3.4. Technological constraints and opportunities for deep seabed bioprospecting 22 3.5. Consequences for management resulting from the features of, and threats to, deep seabed ecosystems, as well as from technological aspects 24 4 Overview of global biotechnology and bioprospecting trends 25 4.1. General industry trends 25 4.2. Bioprospecting for marine resources 27 4.3. Bioprospecting for extremophiles: the case of Antarctica 28 5 International instruments and ongoing activities relevant to deep seabed bioprospecting 30 5.1. United Nations Convention on the Law of the Sea 30 5.1.1. Genetic resources under the UN Convention on the Law of the Sea 30 5.1.2. Bioprospecting in the High Seas: the regime of living resources under Part VII 30 5.1.3. Bioprospecting in the Area: Part XI and the role of the International Seabed Authority 31 5.1.4. The Regulations of the International Seabed Authority 32 5.1.5. Part XIII: Marine scientific research 33 5.1.6. Part XIV: Development and transfer of marine technology 34 5.1.7. Part XII: Protection and preservation of the marine environment 34 5.2. The UN General Assembly and the UN Informal Consultative Process on Oceans and the Law of the Sea 35 5.2.1. UN General Assembly resolutions and reports of the Secretary-General 35 5.2.2. Further activities of the General Assembly, including the UN Informal Consultative Process on the Law of the Sea 36 3 5.3. The Convention on Biological Diversity 38 5.3.1. Deep seabed genetic resources under the Convention on Biological Diversity 38 5.3.2. Bioprospecting under the Convention on Biological Diversity 40 5.4. Intellectual property rights instruments 41 5.4.1. Intellectual property rights and genetic resources 41 5.4.2. Activities of the World Intellectual Property Organization 42 5.4.3. The Agreement on Trade-Related Aspects of Intellectual Property Rights of the World Trade Organization 43 5.5. Other relevant international instruments and activities 44 5.5.1. Regional marine environmental-related instruments 44 5.5.1.1. Convention for the Protection of the Marine Environment of the North-East Atlantic 44 5.5.1.2. Noumea Convention 44 5.5.1.3. The Mediterranean Action Plan 45 5.5.1.4. The Antarctic Treaty System 45 5.5.2. The World Summit on Sustainable Development 47 5.5.3. Intergovernmental Oceanographic Commission of UNESCO 47 5.6. Non governmental initiatives 47 5.6.1. Codes of conduct 47 5.6.2. Other initiatives 48 5.7. Reporting requirements under international instruments 48 5.7.1. Reporting requirements under the UN Convention on the Law of the Sea 48 5.7.2. Reporting requirements under the Convention on Biological Diversity 49 5.7.3. Reporting requirements under other instruments 49 6 Outline of domestic measures of selected countries 51 6.1. Domestic measures on marine scientific research and bioprospecting 51 6.2. Indirect regulation of bioprospecting: marine protected areas 51 6.2.1. Canada: the Endeavour Marine Protected Area 51 6.2.2. Portugal: the Lucky Strike and Menez Gwen Marine Protected Areas 52 7 Conclusions and possible approaches to bioprospecting in the deep seabed 53 7.1. Main findings of the report 53 7.1.1. Status of, and threats to, deep seabed ecosystems 53 7.1.2. The value of deep seabed ecosystems and resources 53 7.1.3. Trends in deep seabed research 54 7.1.4. Current legal and policy framework 55 7.1.4.1. Bioprospecting within national jurisdiction 55 7.1.4.2. Bioprospecting beyond national jurisdiction 55 7.2. Issues to be addressed and areas requiring further study 57 7.3. Feasible approaches to designing a regime for bioprospecting in the deep seabed 58 7.3.1. Retaining the status quo 58 7.3.2. Using regional frameworks 58 7.3.3. Adoption of guidelines by the General Assembly 59 7.3.4. Using the framework of the Convention on Biological Diversity 59 7.3.5. Applying the regime of the Area 60 Endnotes 62 4 Abbreviations AIMS Australian Institute of Marine Science ATS Antarctic Treaty System CCAMLR Convention on the Conservation of Antarctic Marine Living Resources CRAMRA Convention on the Regulation of Antarctic Mineral Resources Activities CBD Convention on Biological Diversity CNRS French National Scientific Research Center CoML Census of Marine Life COP Conference of the Parties DSRV Deep Submergence Research Vehicle EEZ Exclusive Economic Zone EIA Environmental impact assessment FAO Food and Agriculture Organization of the United Nations GEOSS Global Earth Observing System of Systems HBOI Harbor Branch Oceanographic Institution ICP (also UNICPOLOS) United Nations Informal Consultative Process on the Law of the Sea IDA International Depositary Authorities IFREMER French Research Institute for the Exploitation of the Sea IGC WIPO’s Intergovernmental Committee on Intellectual Property and Genetic Resources, Traditional Knowledge and Folklore INSERM French National Institute of Health and Medical Research IOC Intergovernmental Oceanographic Commission IPRs Intellectual Property Rights ISA International Seabed Authority JAMSTEC Japan Agency for Marine-Earth Science and Technology LTC ISA’s Legal and Technical Commission MA Millennium Ecosystem Assessment MAP Mediterranean Action Plan MarBEC Marine Bioproducts Engineering Center MATs Mutually agreed terms MPA Marine protected area MSR Marine scientific research NCI US National Cancer Institute NOAA US National Oceanic and Atmospheric Administration NSF US National Science Foundation OSPAR Organization for the Protection of the Marine Environment of the North-East Atlantic PIC Prior informed consent R&D Research & development ROV Remote Operation Vehicles SBSTTA Subsidiary Body on Scientific Technical and Technological Advice TRIPS Agreement on Trade-Related Aspects of Intellectual Property Rights UNCLOS United Nations Convention on the Law of the Sea UNDOALOS United Nations Division for Ocean Affairs and the Law of the Sea UNEP United Nations Environment Programme WIPO World Intellectual Property Organization WSSD World Summit on Sustainable Development WTO World Trade Organization XBR Extremobiosphere Research Center of JAMSTEC 5 Foreword The growing commercial interest in deep seabed research This study aims to provide a factual review of the scientific, and the use of the unique genetic resources that this legal and policy aspects related to bioprospecting in seabed research has discovered raises key policy, ethical and moral areas beyond national jurisdiction. questions. For example, who owns these resources, how should they be used and how should the benefits of this The United Nations University Institute of Advanced research be distributed, are just some of the issues that Studies (UNU-IAS) was established in 1996 as a research need attention. and training centre of UNU to undertake research and postgraduate education on emerging issues of strategic Although some aspects of this type of use are adequately importance for the United Nations and its Member States.
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