Article(id=1236276108107247868, tenantId=1146029695717560320, journalId=1235980550691926019, issueId=1236276104999268557, articleNumber=null, orderNo=null, doi=10.3969/j.issn.0253-6099.2025.04.002, pmid=null, cstr=null, oa=null, hot=null, price=null, onlineType=0, articleFormat=0, articleType=null, articleTypeStr=null, receivedDate=1739289600000, receivedDateStr=2025-02-12, revisedDate=null, revisedDateStr=null, acceptedDate=null, acceptedDateStr=null, onlineDate=1772680793072, onlineDateStr=2026-03-05, pubDate=1753977600000, pubDateStr=2025-08-01, doiRegisterDate=null, doiRegisterDateStr=null, onlineIssueDate=1772680793072, onlineIssueDateStr=2026-03-05, onlineJustAcceptDate=null, onlineJustAcceptDateStr=null, onlineFirstDate=null, onlineFirstDateStr=null, sourceXml=null, magXml=null, createTime=1772680793072, creator=13701087609, updateTime=1772680793072, updator=13701087609, issue=Issue{id=1236276104999268557, tenantId=1146029695717560320, journalId=1235980550691926019, year='2025', volume='45', issue='4', pageStart='1', pageEnd='200', issueExtLink='null', onlineDate='null', pubDate='null', beforeIssueId=null, nextIssueId=null, price=null, status=1, issueComplete=1, articleOrder=1, issueType=1, specialIssue=null, createTime=1772680792331, creator=13701087609, updateTime=1772681498687, updator=13701087609, preIssue=null, nextIssue=null, ext={EN=IssueExt(id=1236279067746562719, tenantId=1146029695717560320, journalId=1235980550691926019, issueId=1236276104999268557, language=EN, specialIssueTitle=, coverIllustrator=null, specialIssueEditor=, specialIssueAbout=), CN=IssueExt(id=1236279067746562720, tenantId=1146029695717560320, journalId=1235980550691926019, issueId=1236276104999268557, language=CN, specialIssueTitle=, coverIllustrator=null, specialIssueEditor=, specialIssueAbout=)}, issueFiles=null}, startPage=8, endPage=13, ext={EN=ArticleExt(id=1236276112658067868, articleId=1236276108107247868, tenantId=1146029695717560320, journalId=1235980550691926019, language=EN, title=Competitive Landscape and Coping Strategies for International Seabed Exploration Areas, columnId=1236276106018484431, journalTitle=Mining and Metallurgical Engineering, columnName=MINING, runingTitle=null, highlight=null, articleAbstract=

Based on the characteristics of the exploration contracts approved by the International Seabed Authority (ISA), the global competition status and variation trend of the exploration contract areas are analyzed in terms of temporal changes, spatial distribution and mineral types. Based on the analysis results, strategies to cope with the variation in the situation of ISA exploration contract areas are proposed, including commercial companies acting as the main players, strengthening international cooperation with African countries and the Enterprise of ISA, giving priority to exploration of polymetallic nodules, cultivating advantageous contractors and safeguarding the rights and interests of contractors.

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通过梳理国际海底管理局(ISA)已核准的国际海底矿区勘探合同特征,从时间变化、空间分布、矿种类型等不同视角分析了国际海底矿区竞争状态和变化趋势。基于分析结果,提出以商业公司为主体、加强与非洲和ISA企业部国际合作、优先开发多金属结核、培育优势承包者、维护承包者权益等应对国际海底矿区形势变化的策略。

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李满红(1977—),男,湖南邵阳人,高级工程师,主要研究方向为深海采矿装备与海洋工程。E-mail:
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刘成军(1987—),男,河北邯郸人,高级工程师,主要研究方向为深海采矿战略与技术经济评价等。E-mail:

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Exploitation of resources in the Area and the sponsoring state responsibility: New developments in China's legislative work concerning the deep sea[J]. 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tableContent=null), ArticleFig(id=1236348227931394324, tenantId=1146029695717560320, journalId=1235980550691926019, articleId=1236276108107247868, language=CN, label=图1, caption=国际海底矿区勘探合同效力状态占比分布, figureFileSmall=7l5WbNnq6fBXiwnh1AYiaw==, figureFileBig=7bDlLmO3yJaXXtadK3OkCw==, tableContent=null), ArticleFig(id=1236348228115943715, tenantId=1146029695717560320, journalId=1235980550691926019, articleId=1236276108107247868, language=EN, label=Fig.2, caption=Variation in the number of exploration contracts approved by ISA over time, figureFileSmall=aCNnEBvvdIUUy97TQfbI2Q==, figureFileBig=V2/2MN0FFpHB8XV/prksYw==, tableContent=null), ArticleFig(id=1236348228233384238, tenantId=1146029695717560320, journalId=1235980550691926019, articleId=1236276108107247868, language=CN, label=图2, caption=ISA核准矿区数量随时间变化趋势, figureFileSmall=aCNnEBvvdIUUy97TQfbI2Q==, figureFileBig=V2/2MN0FFpHB8XV/prksYw==, tableContent=null), ArticleFig(id=1236348228355019060, tenantId=1146029695717560320, 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sponsoring states, figureFileSmall=oZOx96oBVS8JTfAIPS+jpQ==, figureFileBig=lvbk1eZ7Y4RLnQJVxu1lvg==, tableContent=null), ArticleFig(id=1236348229319709061, tenantId=1146029695717560320, journalId=1235980550691926019, articleId=1236276108107247868, language=CN, label=图6, caption=各国持有的国际海底矿区面积占比分布, figureFileSmall=oZOx96oBVS8JTfAIPS+jpQ==, figureFileBig=lvbk1eZ7Y4RLnQJVxu1lvg==, tableContent=null), ArticleFig(id=1236348229441343889, tenantId=1146029695717560320, journalId=1235980550691926019, articleId=1236276108107247868, language=EN, label=Fig.7, caption=Variation in number of ISA exploration contracts by type of mineral resources, figureFileSmall=TiXNcGu5W01hV4KpqxGkMw==, figureFileBig=mwgKFeFuNjC8sJj8eoRJDg==, tableContent=null), ArticleFig(id=1236348229554590104, tenantId=1146029695717560320, journalId=1235980550691926019, articleId=1236276108107247868, language=CN, label=图7, caption=不同矿种类型深海矿区累计数量变化趋势, figureFileSmall=TiXNcGu5W01hV4KpqxGkMw==, figureFileBig=mwgKFeFuNjC8sJj8eoRJDg==, tableContent=null), ArticleFig(id=1236348229672030622, tenantId=1146029695717560320, journalId=1235980550691926019, articleId=1236276108107247868, language=EN, label=Table 1, caption=

Distribution of ISA exploration contract areas in each ocean

, figureFileSmall=null, figureFileBig=null, tableContent=
大洋名称矿区数量/块
多金属结核多金属硫化物富钴结壳合计
太平洋180422
印度洋1506
大西洋0314
北冰洋0000
), ArticleFig(id=1236348229839802795, tenantId=1146029695717560320, journalId=1235980550691926019, articleId=1236276108107247868, language=CN, label=表1, caption=

各大洋海底矿区数量分布

, figureFileSmall=null, figureFileBig=null, tableContent=
大洋名称矿区数量/块
多金属结核多金属硫化物富钴结壳合计
太平洋180422
印度洋1506
大西洋0314
北冰洋0000
), ArticleFig(id=1236348229965631923, tenantId=1146029695717560320, journalId=1235980550691926019, articleId=1236276108107247868, language=EN, label=Table 2, caption=

ISA exploration contract areas and reserved areas by type of mineral resources

, figureFileSmall=null, figureFileBig=null, tableContent=
矿区类型矿区数量/块
多金属结核多金属硫化物富钴结壳
原始区域矿区1285
保留区矿区700
), ArticleFig(id=1236348230066295230, tenantId=1146029695717560320, journalId=1235980550691926019, articleId=1236276108107247868, language=CN, label=表2, caption=

不同矿种类型深海矿区在原始区域和保留区数量分布

, figureFileSmall=null, figureFileBig=null, tableContent=
矿区类型矿区数量/块
多金属结核多金属硫化物富钴结壳
原始区域矿区1285
保留区矿区700
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国际海底矿区竞争格局与应对策略
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刘成军 , 李满红 , 郑皓 , 双志
矿冶工程杂志 | 采矿 2025,45(4): 8-13
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矿冶工程杂志 | 采矿 2025, 45(4): 8-13
国际海底矿区竞争格局与应对策略
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刘成军 , 李满红 , 郑皓, 双志
作者信息
  • 长沙矿冶研究院有限责任公司 深海矿产资源开发利用技术国家重点实验室,湖南 长沙 410012
  • 刘成军(1987—),男,河北邯郸人,高级工程师,主要研究方向为深海采矿战略与技术经济评价等。E-mail:

通讯作者:

李满红(1977—),男,湖南邵阳人,高级工程师,主要研究方向为深海采矿装备与海洋工程。E-mail:
Competitive Landscape and Coping Strategies for International Seabed Exploration Areas
Chengjun LIU , Manhong LI , Hao ZHENG, Zhi SHUANG
Affiliations
  • State Key Laboratory of Exploitation and Utilization of Deep Sea Mineral Resources, Changsha Research Institute of Mining and Metallurgy Co, Ltd, Changsha 410012, Hunan, China
出版时间: 2025-08-01 doi: 10.3969/j.issn.0253-6099.2025.04.002
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通过梳理国际海底管理局(ISA)已核准的国际海底矿区勘探合同特征,从时间变化、空间分布、矿种类型等不同视角分析了国际海底矿区竞争状态和变化趋势。基于分析结果,提出以商业公司为主体、加强与非洲和ISA企业部国际合作、优先开发多金属结核、培育优势承包者、维护承包者权益等应对国际海底矿区形势变化的策略。

海洋资源  /  深海采矿  /  国际海底矿区  /  勘探合同  /  竞争格局  /  应对策略

Based on the characteristics of the exploration contracts approved by the International Seabed Authority (ISA), the global competition status and variation trend of the exploration contract areas are analyzed in terms of temporal changes, spatial distribution and mineral types. Based on the analysis results, strategies to cope with the variation in the situation of ISA exploration contract areas are proposed, including commercial companies acting as the main players, strengthening international cooperation with African countries and the Enterprise of ISA, giving priority to exploration of polymetallic nodules, cultivating advantageous contractors and safeguarding the rights and interests of contractors.

seabed resources  /  deep-sea mining  /  international seabed exploration area  /  exploration contract  /  competitive landscape  /  coping strategies
刘成军, 李满红, 郑皓, 双志. 国际海底矿区竞争格局与应对策略. 矿冶工程杂志, 2025 , 45 (4) : 8 -13 . DOI: 10.3969/j.issn.0253-6099.2025.04.002
Chengjun LIU, Manhong LI, Hao ZHENG, Zhi SHUANG. Competitive Landscape and Coping Strategies for International Seabed Exploration Areas[J]. Mining and Metallurgical Engineering, 2025 , 45 (4) : 8 -13 . DOI: 10.3969/j.issn.0253-6099.2025.04.002
随着清洁能源等产业快速发展,全球对铜、钴、镍等战略性矿产资源的需求迅猛增长,资源供需矛盾日益突出[1]。国际海底区域面积约2.5亿km2,蕴藏着丰富的多金属结核、富钴结壳、多金属硫化物和深海稀土等矿产资源,富含锰、镍、铜、钴等数十种金属,资源量远超陆地,可作为社会经济发展所需的接替资源[2-3]。目前仅24.9%的深海海底得到了绘制,而大部分海底区域尚未勘探[4]。21世纪以来,国际海底区域经历新一轮“跑马圈地”,海底矿区逐渐成为大国博弈的重要领域,竞争态势日趋激烈[5]
本文聚焦国际海底管理局(简称ISA)已核准的勘探合同,通过统计ISA相关报告数据[6-7],系统分析国际海底矿区勘探合同的特征,并从时间变化、空间分布、矿种类型等多维度解析国际海底矿区的竞争态势。据此提出应对策略,为我国优化深海采矿战略布局、深化参与国际海底矿区开发提供决策支持。
ISA是根据《联合国海洋法公约》所设立的国际组织,代表全人类对国家管辖范围以外的国际海底区域内的资源行使一切权利[8]。ISA先后于2000年、2010年和2012年颁布了《“区域”内多金属结核探矿和勘探规章》《“区域”内多金属硫化物探矿和勘探规章》和《“区域”内富钴铁锰结壳探矿和勘探规章》[9],出台了一系列指导矿区承包者和担保国参与国际海底活动的指南建议,并积极制定《“区域”内矿物资源开发规章》(简称开发规章)[10-11]。这些制度的实施深刻影响着深海采矿产业的国际格局。国际海底矿区制度中的“平行开发制”,尤其是其中的“保留区制度”,为ISA的企业部和发展中国家直接参与勘探开发活动提供了有利条件[12]。当前,ISA依据勘探规章制度,与承包者订立勘探合同,授予其国际海底矿区勘探权。由于缺少开发规章,ISA尚未签订任何开采合同。
随着海底矿产商业开发前景逐渐明朗,各大国竞相谋划获取更多的国际海底权益。截至2024年12月,ISA共核准32份勘探工作计划,涉及21个国家的22个承包者,覆盖国际海底矿区面积高达148万km2[6-7]。国际海底矿区勘探合同效力状态占比分布如图1所示,其中30份勘探合同处于有效期,约占已获核准勘探工作计划的94%。大多数勘探合同属于首次签订,1/4勘探合同在原合同到期后签订了延期协议,除德国的多金属结核勘探合同处于首次延期状态外,7个先驱投资者的多金属结核勘探合同均处于二次延期状态。印度政府在2024年7月新获批1块多金属硫化物矿区,待签订勘探合同[13]。巴西富钴结壳勘探合同自2022年起已处于失效状态,当事方仍在协商处理合同原生效期间的履约责任[7]
ISA核准的矿区数量随时间变化趋势如图2所示。由图2可知,ISA核准的矿区数量随时间呈现初始集中涌现、中期急剧上升、后期增长逐渐放缓的变化趋势。2001—2010年为首批承包者阶段,在多金属结核勘探规章出台后,8个承包者先后获得了多金属结核矿区。2011—2020年,多个国家对3种资源勘探工作计划提出申请,国际海底矿区竞争进一步加剧[14],ISA核准的矿区累计数量快速增长至30块。2021年后各国博弈聚焦于开发规章磋商,国际海底矿区数量仅新增2块,增长速度趋缓。
矿区承包者主体随时间变化趋势如图3所示。前期以缔约国政府或其国有实体(协会组织或研究机构等非企业实体)为主,后期商业公司(国营企业或私营企业)逐渐成为多数。目前,商业公司承包者在多金属结核矿区中占比63%,在富钴结壳矿区中占比40%,而多金属硫化物矿区的承包者均为政府或国有实体。
各大洋海底矿区数量分布如表1所示。68.75%的矿区位于太平洋,主要包括东太平洋克拉里昂-克利珀顿区(Clarion-Clipperton Fracture Zone,简称CC区)和西太平洋的多金属结核矿区,以及西太平洋、太平洋麦哲伦山区和北马里亚纳群岛东的富钴结壳矿区;18.75%的矿区位于印度洋,主要包括中印度洋、西南印度洋和东南印度洋洋脊的多金属硫化物矿区,以及中印度洋海盆的多金属结核矿区;12.50%的矿区位于大西洋,主要包括大西洋中脊的多金属硫化物矿区,以及南大西洋里奥格兰德海隆的富钴结壳矿区。
各大洲所获得的国际海底矿区数量和面积情况如图4所示。由图4可知,各大洲拥有的国际海底矿区并未实现洲域之间的地理平衡,亚洲和欧洲获得的国际海底矿区数量和面积均占全部矿区的70%以上。大洋洲的小岛国家持有4块多金属结核矿区。北美洲和南美洲各拥有1块矿区,矿区数量较少,主要是受陆地采矿国家反对以及发展中国家条件限制。非洲因技术与经济水平限制,尚未获取国际海底矿区。此外,国际海洋金属联合组织的1块矿区由欧洲的保加利亚、捷克、波兰、俄罗斯、斯洛伐克以及北美洲的古巴6个国家共同持有。
各国持有的国际海底矿区数量分布如图5所示,各国持有的国际海底矿区面积占比分布如图6所示。各国持有的国际海底矿区数量分布与矿区面积均表现出严重的地理失衡现象,其中发达国家矿区数量占50%,发展中国家矿区数量占47%,由保加利亚等6个国家共同担保的国际海洋金属联合组织矿区数量占3%。中国持有5块国际海底矿区,矿区面积23.48万km2,是全球矿区数量最多、面积最大、矿种最全的国家[15]。俄罗斯和韩国同属于持有3块深海资源矿区的国家。印度近年来申请新矿区的积极性明显提高[16],已获核准的3块矿区全部位于印度洋,是唯一获批2块多金属硫化物矿区的国家。英国持有2块多金属结核矿区,矿区面积仅次于中国。欧盟国家持有3块多金属结核矿区和3块多金属硫化物矿区,还参与国际海洋金属联合组织的多金属结核矿区。日本非常重视海洋资源的利用,在着力开发专属经济区内多种深海矿产资源的同时还持有2块国际海底矿区[3]。此外,基里巴斯、牙买加、瑙鲁、汤加、库克群岛、新加坡、巴西等发展中国家各自也持有1块矿区。
多金属结核是各国竞争最激烈的深海矿产资源,不同矿种类型深海矿区累计数量变化趋势如图7所示。ISA已核准19块多金属结核矿区,矿区面积138.59万km2,涉及20个国家的18个承包者,其中自2011年起新增的11块矿区的承包者均为商业公司,其开发多金属结核的商业意图十分明确。
多金属硫化物矿区已被核准8块,矿区面积8万km2,涉及7个国家的7个承包者。根据勘探规章规定,承包者在获得多金属硫化物勘探合同的第8年需放弃合同面积的50%,第10年需放弃面积累计至75%[9]。截至2024年12月,中国和俄罗斯已完成区域放弃义务,韩国、法国和德国已完成第一次区域放弃义务。
富钴结壳是竞争力度较小的深海矿产资源,已被核准矿区5块,矿区面积1.5万km2,涉及5个国家的5个承包者。根据勘探规章规定,承包者在获得富钴结壳勘探合同的第8年需放弃合同面积的1/3,第10年需放弃面积累计至2/3[9]。截至2024年12月,日本和中国已完成区域放弃义务,俄罗斯已完成第一次区域放弃义务。目前富钴结壳剩余有效矿区面积仅7000 km2
不同矿种类型深海矿区在原始区域和保留区数量分布如表2所示,近80%的国际海底矿区来源于原始区域,而保留区矿区仅7块,保留区矿区总面积50.24万km2[17],全部为CC区的多金属结核矿区。在多金属硫化物和富钴结壳方面,除俄罗斯提供了1块富钴结壳保留区外,其他承包者均选择了分享股份模式[18],因此可供发展中国家申请的这两类资源的保留区非常有限。截至2024年5月,ISA仍有83.92万km2的多金属结核和3 000 km2的富钴结壳保留区可供发展中国家申请矿区[19],主要分布在CC区、西太平洋和印度洋。
《联合国海洋法公约》没有明确定义“有效控制”,ISA在以往审查矿区申请者资格时常以监管控制为判定依据,并未对经济控制要素进行实质性审查[20-21]。加拿大金属公司(The Metals Company,TMC)等西方跨国公司通过在发展中国家注册子公司、参股、成为分包商或合作伙伴等方式申获国际海底矿区,占用了ISA企业部和发展中国家在保留区的勘探开发权[21-26],进一步加剧了国际海底矿区竞争的复杂程度。
2016年正式施行的《中华人民共和国深海海底区域资源勘探开发法》为我国企业参与国际海底区域资源勘探和开发活动提供了有力保障[27]。国际海底区域及其资源是人类共同继承财产[8],开发深海矿产资源战略意义重大。面对国际海底矿区形成的竞争格局,建议从以下几个层面强化应对措施。
1)以企业承包者为主体开发国际海底矿区。我国企业承包者在国际海底活动的参与度尚显不足,亟须构建以大型金属矿业企业、船运巨头或海洋工程公司为核心的全链条深海矿产资源开发商业模式,遵循商业健全原则,推行国际化经营,充分发挥商业公司在促进国际海底矿区开发中的作用。
2)加强与非洲和ISA企业部在深海空间的国际合作。非洲至今仍未持有国际海底矿区,从公平性角度来看,非洲国家或其实体在未来成为承包者的潜力巨大,我国可与非洲共同申请国际海底矿区,深化中非发展中国家之间在海洋资源开发领域的合作。企业部是ISA的重要机构,可独自开发或与其他合作实体以联营企业开发保留区资源,ISA已设立企业部临时总干事,与企业部合作也将成为我国获取保留区矿区的有效途径之一。
3)优先推动多金属结核资源开发,逐步拓展其他深海资源。目前关于开发规章中缴费机制的磋商主要围绕多金属结核,尚未将多金属硫化物和富钴结壳纳入讨论范畴。在已签订的企业承包者勘探合同中,多金属结核矿区占比达85%,表明多金属结核资源或将率先进入商业化开发阶段。多金属硫化物和富钴结壳作为东亚、欧盟以及俄罗斯等竞相争夺的战略资源,也展现出良好的商业开发前景。
4)培育具有全球竞争力优势的国际海底矿区承包者。与TMC等实控多块矿区的商业公司相比,我国2个企业承包者各自仅持有单块矿区,难以掌控深海资源开发的主动权。只有通过向ISA申请新矿区、收购其他承包者已有的矿区、开辟南太岛国专属经济区内的矿区等方式,圈定2~3块新矿区,才能为我国承包者在未来进行商业化开采时形成规模效益提供足够的储备资源。
5)维护我国承包者在国际海底矿区的合法权益。我国作为持有国际海底矿区数量最多的国家,也是相关金属矿产的最大消费国,应积极参与制定国际规则,促进深海矿产资源开发和海洋环境保护平衡发展。
1)竞争格局分析表明,在《联合国海洋法公约》及国际海底管理局勘探规章框架下,国际海底矿区勘探已形成以太平洋多金属结核资源为核心、亚欧国家承包者为主导的竞争格局。发达国家不仅在已核准矿区数量上占据优势,还通过规避“有效控制”规则占有保留区资源。承包者需具备多块矿区的资源储备,方能在未来的商业化开采阶段维持竞争优势。
2)国际海底矿区当前阶段面临的挑战在于,尽管ISA已核准32份勘探工作计划,但开发规章目前仍未确定,导致承包者难以从勘探阶段向开发阶段顺利过渡。目前已有约1/4勘探合同进入延期状态,新矿区申请活动亦呈放缓趋势。勘探阶段的高额资金投入与长期无法获得采矿收益之间的矛盾日渐凸显,尤其对企业承包者构成明显压力,可能导致其放弃或转让勘探权。可以预见,开发规章一旦出台,国际海底矿区竞争的焦点将从勘探权的获取转向采矿权的争夺。
3)在此关键转型期,我国亟须强化深海矿产资源开发的战略布局。一方面,应兼顾深海资源开发与海洋环境保护,实现可持续发展;另一方面,需深度参与国际海底治理进程,积极推动构建海洋命运共同体。具体应对策略包括:支持以商业公司为开发主体、深化与非洲国家及ISA企业部的国际合作、优先推进多金属结核资源开发、培育具有国际竞争力的优势承包者以及有效维护我国承包者在国际海域的合法权益。
  • 湖南省自然科学基金(2021JC0010)
  • 国家重点研发计划(2022YFC2806700)
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2025年第45卷第4期
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doi: 10.3969/j.issn.0253-6099.2025.04.002
  • 接收时间:2025-02-12
  • 首发时间:2026-03-05
  • 出版时间:2025-08-01
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  • 收稿日期:2025-02-12
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湖南省自然科学基金(2021JC0010)
国家重点研发计划(2022YFC2806700)
作者信息
    长沙矿冶研究院有限责任公司 深海矿产资源开发利用技术国家重点实验室,湖南 长沙 410012

通讯作者:

李满红(1977—),男,湖南邵阳人,高级工程师,主要研究方向为深海采矿装备与海洋工程。E-mail:
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2种不同金属材料的力学参数

Family
属数
Number of
genus
种数
Number of
species
占总种数比例
Percentage of
total species (%)

Genus
种数
Number of
species
占总种数比例
Percentage of total
species (%)
鹅膏菌科Amanitaceae 2 11 5.26 鹅膏菌属 Amanita 10 4.78
小菇科 Mycenaceae 2 12 5.74 丝盖伞属 Inocybe 5 2.39
多孔菌科 Polyporaceae 8 14 6.70 蜡蘑属 Laccaria 5 2.39
红菇科 Russulaceae 3 23 11.00 小皮伞属 Marasmius 6 2.87
小菇属 Mycena 11 5.26
光柄菇属 Pluteus 5 2.39
红菇属 Russula 17 8.13
栓菌属 Trametes 5 2.39
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