15 CFR Part 971

15 CFR Part 971 (up to date as of 6/13/2025)
Deep Seabed Mining Regulations for Commercial Recovery Permits

15 CFR Part 971 (June 13, 2025)

This content is from the eCFR and is authoritative but unofficial.

Title 15 —Commerce and Foreign Trade
Subtitle B —Regulations Relating to Commerce and Foreign Trade
Chapter IX —National Oceanic and Atmospheric Administration, Department of Commerce
Subchapter D —General Regulations of the Environmental Data Service
Part 971 Deep Seabed Mining Regulations for Commercial Recovery Permits
Subpart A General
§ 971.100 Purpose.
§ 971.101 Definitions.
§ 971.102 Nature of permits.
§ 971.103 Prohibited activities and restrictions.
§ 971.104 OMB control number.
Subpart B Applications
§ 971.200
General.
Contents
§ 971.201 Statement of financial resources.
§ 971.202 Statement of technological experience and capabilities.
§ 971.203 Commercial recovery plan.
§ 971.204 Environmental and use conflict analysis.
§ 971.205 Vessel safety and documentation.
§ 971.206 Statement of ownership.
§ 971.207 Antitrust information.
§ 971.208 Fee.
§ 971.209 Processing outside the United States.
Procedures
§ 971.210 Determination whether application is complete for further processing.
§ 971.211 Consultation and cooperation with Federal agencies.
§ 971.212 Public notice, hearing and comment.
§ 971.213 Amendment to an application.
§ 971.214 Consolidated license and permit procedures. [Reserved]
Subpart C Certification of Applications
§ 971.300 General.
§ 971.301 Required findings.
§ 971.302 Denial of certification.
§ 971.303 Notice of certification.
Subpart D Issuance/Transfer: Terms, Conditions and Restrictions
§ 971.400
General.
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Issuance/Transfer, Modification/Revision; Suspension/Revocation
§ 971.401 Proposal to issue or transfer and proposed terms, conditions and restrictions.
§ 971.402 Consultation and cooperation with Federal and State agencies.
§ 971.403 Freedom of the high seas.
§ 971.404 International obligations of the United States.
§ 971.405 Breach of international peace and security involving armed conflict.
§ 971.406 Environmental effects.
§ 971.407 Safety at sea.
§ 971.408 Processing outside the United States.
§ 971.409 Denial of issuance or transfer.
§ 971.410 Notice of issuance or transfer.
§ 971.411 Objections to terms, conditions and restrictions.
§ 971.412 Changes in permits and permit terms, conditions, and restrictions.
§ 971.413 Revision of a permit.
§ 971.414 Modification of permit terms, conditions, and restrictions.
§ 971.415 Duration of a permit.
§ 971.416 Approval of permit transfers.
§ 971.417 Suspension or modification of activities; suspension or revocation of permits.
Terms, Conditions and Restrictions
§ 971.418 Diligence requirements.
§ 971.419 Environmental protection requirements.
§ 971.420 Resource conservation requirements.
§ 971.421 Freedom of the high seas requirements.
§ 971.422 Safety at sea requirements.
§ 971.423 Best available technology.
§ 971.424 Monitoring requirements.
§ 971.425 Changes of circumstances.
§ 971.426 Annual report and records maintenance.
§ 971.427 Processing outside the United States.
§ 971.428 Other necessary permits.
§ 971.429 Special terms, conditions and restrictions.
§ 971.430 Other Federal requirements.
Subpart E Resource Development
§ 971.500 General.
§ 971.501 Resource assessment, recovery plan, and logical mining unit.
§ 971.502 Conservation of resources.
§ 971.503 Diligent commercial recovery.
Subpart F Environmental Effects
§ 971.600 General.
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§ 971.601 Environmental requirements.
§ 971.602 Significant adverse environmental effects.
§ 971.603 At-sea monitoring.
§ 971.604 Best available technologies (BAT) and mitigation.
§ 971.605 Stable Reference Areas. [Reserved]
§ 971.606 Onshore information.
Subpart G Safety of Life and Property at Sea
§ 971.700 General.
§ 971.701 Criteria for safety of life and property at sea.
Subpart H Miscellaneous
§ 971.800 General.
§ 971.801 Records to be maintained and information to be submitted by licensees and
permittees.
§ 971.802 Public disclosure of documents received by NOAA.
§ 971.803 Relinquishment and surrender of licenses and permits.
§ 971.804 Amendment to regulations for conservation, protection of the environment, and
safety of life and property at sea.
§ 971.805 Computation of time.
Subpart I Uniform Procedures
§ 971.900 Applicability.
§ 971.901 Formal hearing procedures.
Subpart J Enforcement
§ 971.1000 General.
§ 971.1001 Assessment procedure.
§ 971.1002 Hearing and appeal procedures.
§ 971.1003 License and permit sanctions.
§ 971.1004 Remission or mitigation of forfeitures.
§ 971.1005 Observers.
§ 971.1006 Proprietary enforcement information.
§ 971.1007 Advance notice of civil actions.

PART 971—DEEP SEABED MINING REGULATIONS FOR
COMMERCIAL RECOVERY PERMITS
Authority: 30 U.S.C. 1401 et seq.
Source: 54 FR 525, Jan. 6, 1989, unless otherwise noted.

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15 CFR 971.100

Subpart A—General
§ 971.100 Purpose.
The purpose of this part is to implement the responsibilities and authorities of the Administrator of the National
Oceanic and Atmospheric Administration (NOAA) pursuant to Public Law 96-283, the Deep Seabed Hard Mineral
Resources Act (the Act), to issue to eligible United States citizens permits for the commercial recovery of deep
seabed hard minerals.

§ 971.101 Definitions.
For purposes of this part, the term
(a) Act means the Deep Seabed Hard Mineral Resources Act (Pub. L. 96-283; 94 Stat. 553; 30 U.S.C. 1401 et
seq.);
(b) Administrator means the Administrator of the National Oceanic and Atmospheric Administration, or the
Administrator's designee;
(c) Affected State means any State with a coastal zone management program approved under Section 306 of
the Coastal Zone Management Act, as amended, where coastal zone land and water uses are affected by
the issuance of a commercial recovery permit under the provisions of the Act or this part;
(d) Applicant means an applicant for a commercial recovery permit pursuant to the Act and this part; as used
in subparts H, I and J of this part, “applicant” also means an applicant for an exploration license pursuant
to the Act and part 970 of the title. “Applicant” also means a proposed permit transferee;
(e) Commercial recovery means—
(1) Any activity engaged in at sea to recover any hard mineral resource at a substantial rate for the
primary purpose of marketing or commercially using such resource to earn a net profit, whether or
not such net profit is actually earned;
(2) If such recovered hard mineral resource will be processed at sea, such processing; and
(3) If the waste of such activity to recover any hard mineral resource, or of such processing at sea, will
be disposed of at sea, such disposal;
(f) Continental Shelf means—
(1) The seabed and subsoil of the submarine areas adjacent to the coast, but outside the area of the
territorial sea, to a depth of 200 meters or, beyond that limit to where the depth of the superjacent
waters admits of the exploitation of the natural resources of such submarine area; and
(2) The seabed and subsoil of similar submarine areas adjacent to the coast of islands;
(g) Controlling interest, for purposes of paragraph (v)(3) of this section, means a direct or indirect legal or
beneficial interest in or influence over another person arising through ownership of capital stock,
interlocking directorates or officers, contractual relations, or other similar means, which substantially
affect the independent business behavior of such person;
(h) Deep seabed means the seabed, and the subsoil thereof to a depth of ten meters, lying seaward of and
outside—
(1) The Continental Shelf of any nation; and
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15 CFR 971.101(h)(2)

(2) Any area of national resource jurisdiction of any foreign nation, if such area extends beyond the
Continental Shelf of such nation and such jurisdiction is recognized by the United States;
(i)

Environment or environmental as used in the definitions of “irreparable harm” and “significant adverse
environmental effect” means or pertains to the deep seabed and ocean waters lying at and within the
permit area, and in surrounding areas including transportation corridors to the extent that they might be
affected by the commercial recovery activities, and the living and non-living resources of those areas;

(j)

Exploration means—
(1) Any at-sea observation and evaluation activity which has, as its objective, the establishment and
documentation of—
(i)

The nature, shape, concentration, location, and tenor of a hard mineral resource; and

(ii) The environmental, technical, and other appropriate factors which must be taken into account
to achieve commercial recovery; and
(2) The taking from the deep seabed of such quantities of any hard mineral resource as are necessary
for the design, fabrication and testing of equipment which is intended to be used in the commercial
recovery and processing of such resource;
(k) Hard mineral resource means any deposit or accretion on, or just below, the surface of the deep seabed of
nodules which include one or more minerals, at least one of which is manganese, nickel, cobalt, or copper;
(l)

Irreparable harm means significant undesirable effects to the environment occurring after the date of the
permit issuance which will not be reversed after cessation or modification of the activities authorized
under the permit;

(m) Licensee means the holder of a license issued under NOAA regulations to engage in exploration;
(n) NOAA means the National Oceanic and Atmospheric Administration;
(o) Permittee means the holder of a permit issued or transferred under this part to engage in commercial
recovery;
(p) Person means any United States citizen, any individual, and any corporation, partnership, joint venture,
association, or other entity organized or existing under the laws of any nation;
(q) Reciprocating state means any foreign nation designated as such by the Administrator under section 118
of the Act;
(r) Recovery plan or commercial recovery plan means the plan submitted by an applicant for a commercial
recovery permit pursuant to § 971.203;
(s) Significant adverse environmental effect means:
(1) Important adverse changes in ecosystem diversity, productivity, or stability of the biological
communities within the environment;
(2) threat to human health through direct exposure to pollutants or through consumption of exposed
aquatic organisms; or
(3) important loss of aesthetic, recreational, scientific or economic values;
(t) State agency means the agency responsible for implementing the responsibilities of section 306(c)(5)
under the Coastal Zone Management Act, as amended, and 15 CFR part 930;
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15 CFR 971.101(u)

(u) United States means the several States, the District of Columbia, the Commonwealth of Puerto Rico,
American Samoa, the United States Virgin Islands, Guam, and any other Commonwealth, territory, or
possession of the United States; and
(v) United States citizen means—
(1) Any individual who is a citizen of the United States;
(2) Any corporation, partnership, joint venture, association, or other entity organized or existing under the
laws of any of the United States; and
(3) Any corporation, partnership, joint venture, association, or other entity (whether organized or existing
under the laws of any of the United States or a foreign nation) if the controlling interest in such entity
is held by an individual or entity described in paragraph (v)(1) or (v)(2).

§ 971.102 Nature of permits.
(a) A permit issued under this part authorizes the holder thereof to engage in commercial recovery within a
specific portion of the sea floor consistent with the provisions of the Act and this part and consistent with
the specific terms, conditions, and restrictions (TCRs) applied to the permit by the Administrator.
(b) A permit issued under this part is exclusive with respect to the holder thereof as against any other United
States citizen or any citizen, national or governmental agency of, or any legal entity organized or existing
under the laws of, any reciprocating state.
(c) A valid existing license under 15 CFR part 970 will entitle the holder, if otherwise eligible under the
provisions of the Act and implementing regulations, to a permit for commercial recovery from an area
selected from within the license area. Such a permit will recognize the right of the holder to recover hard
mineral resources, and to own, tranport, use, and sell hard mineral resources recovered under the permit
and in accordance with the requirements of the Act and this part.

§ 971.103 Prohibited activities and restrictions.
(a) Prohibited activities and exceptions.
(1) No United States citizen may engage in any commercial recovery unless authorized to do so under—
(i)

A permit issued pursuant to the Act and implementing regulations;

(ii) A license, permit or equivalent authorization issued by a reciprocating state; or
(iii) An international agreement which is in force with respect to the United States.
(2) The prohibitions of paragraph (a)(1) of this section do not apply to any of the following activities:
(i)

Scientific research, including that concerning hard mineral resources;

(ii) Mapping, or the taking of any geophysical, geochemical, oceanographic, or atmospheric
measurements or random bottom samplings of the deep seabed, if such taking does not
significantly alter the surface or subsurface of the seabed or significantly affect the
environment;
(iii) The design, construction, or testing of equipment and facilities which will or may be used for
exploration or commercial recovery, if such design, construction or testing is conducted
onshore, or does not involve the recovery of any but incidental hard mineral resources;

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15 CFR 971.103(a)(2)(iv)

(iv) The furnishing of machinery, products, supplies, services, or materials for any exploration or
commercial recovery conducted under a license or permit issued under the Act and
implementing regulations, a license or permit or equivalent authorization issued by a
reciprocating state, or any relevant international agreement; and
(v) Activities, other than exploration or commercial recovery activities, of the Federal Government.
(3) No United States citizen may interfere or participate in interference with any activity conducted by
any permittee which is authorized to be undertaken under a permit issued by the Administrator to a
permittee under the Act or with any activity conducted by the holder of, and authorized to be
undertaken under, a license or permit or equivalent authorization issued by a reciprocating state for
the commercial recovery of hard mineral resources. For purposes of this section, interference
includes physical interference with activities authorized by the Act, this part, and a license or permit
issued pursuant thereto; the filing of a specious claim in the United States or any other nation; and
any other activity designed to harass, or which has the effect of harassing, persons conducting deep
seabed mining activities authorized by law. Interference does not include the exercise of any
superior rights granted to United States citizens by the Constitution of the United States, or any
Federal or State law, treaty, or agreement or regulation promulgated pursuant thereto.
(4) United States citizens shall exercise their rights on the high seas with reasonable regard for the
interests of other states in their exercise of the freedoms of the high seas.
(b) Restrictions on issuance of permits. The Administrator will not issue any permit—
(1) After the date on which any relevant international agreement is ratified by and enters into force with
respect to the United States, except to the extent that issuance of the permit is not inconsistent with
that agreement.
(2) The recovery plan of which, submitted pursuant to the Act and implementing regulations, would
apply to an area to which applies, or would conflict with:
(i)

Any exploration plan or recovery plan submitted with any pending application to which priority
of right for issuance applies under 15 CFR part 970 or this part;

(ii) Any exploration plan or recovery plan associated with any existing license or permit; or
(iii) An equivalent authorization which has been issued, or for which formal notice of application
has been submitted, by a reciprocating state prior to the filing date of any relevant application
for licenses or permits pursuant to the Act and implementing regulations;
(3) Authorizing commercial recovery within any area of the deep seabed in which exploration is
authorized under a valid existing license if such permit is issued to a person other than the licensee
for such area;
(4) Which authorizes commercial recovery to commence before January 1, 1988;
(5) The recovery plan for which applies to any area of the deep seabed if, within the 3-year period before
the date of application for that permit:
(i)

The applicant therefor surrendered or relinquished such area under an exploration plan or
recovery plan associated with a previous license or permit issued to such applicant; or

(ii) A permit previously issued to the applicant had an exploration plan or recovery plan which
applied to such area and such license or permit was revoked under section 106 of the Act;
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15 CFR 971.103(b)(6)

(6) Or approve the transfer of a permit, except to a United States citizen; or
(7) That would authorize commercial recovery activities in an area other than for which the applicant
therefore holds a valid exploration license under part 970 of this title.

§ 971.104 OMB control number.
The information collection requirements and reporting and recordkeeping requirements contained in this part were
approved by the Office of Management and Budget under control number 0648-0170.

Subpart B—Applications
§ 971.200 General.
(a) Who may apply; how. Any United States citizen holding a valid exploration license may apply to the
Administrator for issuance of a commercial recovery permit for all or part of the area to which the license
applies. Any holder of a commercial recovery permit may apply to the Administrator for transfer of the
permit. Applications must be submitted in the form and manner described in this subpart.
(b) Place, form and copies. An application for the issuance or transfer of a commerical recovery permit must
be in writing, verified and signed by an authorized officer or other authorized representative of the
applicant. The application and 25 copies thereof must be submitted to:
Ocean Minerals and Energy Division, Office of Ocean and Coastal Resource Management, National Oceanic and
Atmospheric Administration, Suite 710, 1825 Connecticut Avenue, NW., Washington, DC 20235.
The Administrator may waive in whole or in part, at his discretion, the requirement that 25 copies of an
application be filed with NOAA.
(c) General contents. The application must contain a proposed commerical recovery plan and the financial,
technical, environmental and other information specified in this part, which in total are necessary for the
Administrator to make the determinations required by the Act and this part. Although the ultimate
standards for determinations under these rules are identical for both transferees and original preexisting
licensees, NOAA anticipates that applicants who are transferees will have to supply more information with
the application than licensees will [see subsection (e) in this section].
(d) Identification of requirements. Each portion of the application should identify the requirements of this part
to which it responds.
(e) Information previously submitted in connection with an exploration license. Information previously
submitted as part of an exploration license application, as well as information submitted during the
course of license activities (such as data included in annual reports to NOAA), may be incorporated in the
commercial recovery permit application by reference.
(f) Request for confidential treatment of information. If an applicant wishes to have any information in its
application not be subject to public disclosure, it must so request, at the time of submitting the
information, pursuant to § 971.802 which will govern disposition of the request.
(g) Pre-application consultation. The Administrator will make NOAA staff available to potential applicants for
pre-application consultations on how to respond to the provisions of this part. In appropriate
circumstances, the Administrator will provide written confirmation to the applicant of oral guidance

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15 CFR 971.200(h)

resulting from such consultations. Such consultation is required for the purpose of § 971.207. The
applicant is encouraged to consult with affected States as early as is practicable [see also §§ 971.213
and 971.606(b)].
(h) Compliance with Federal consistency requirements. An applicant for a commercial recovery permit must
comply with all necessary requirements, including procedures, pursuant to 15 CFR part 930, subpart D.
Applications and other necessary data and information must be transmitted to the designated State
agency as prescribed under 15 CFR 930.50.

CONTENTS
§ 971.201 Statement of financial resources.
(a) General. The application must contain information sufficient to demonstrate to the Administrator pursuant
to § 971.301 that, upon issuance or transfer of the permit, the applicant will have access to the financial
resources to carry out, in accordance with this part, the commercial recovery program set forth in the
applicant's commercial recovery plan.
(b) Specific. In particular, the information on financial resources is expected to be general in nature but must
include the likely sources and timing of funds to meet the applicant's scheduled expenditures in the
recovery plan. These sources may include cash flow, reserves, and outside funding.

§ 971.202 Statement of technological experience and capabilities.
(a) General. The application must contain information sufficient to demonstrate to the Administrator pursuant
to § 971.301 that, upon issuance or transfer of the permit, the applicant will have the technological
capability to carry out, in accordance with the regulations contained in this part, the commercial recovery
program set out in the applicant's commercial recovery plan.
(b) Specific. In particular, the information submitted pursuant to this section must describe the equipment,
knowledge, and skills the applicant possesses, or to which it can demonstrate access [see § 971.200(e)].
The information must include:
(1) A description of the technology or the equipment and methods to be used by the applicant in
carrying out each step in the mining process, including nodule collection, retrieval, transfer to ship,
environmental monitoring, transport to processing facilities, nodule processing, waste disposal and
compliance with applicable water quality standards. The description must include:
(i)

An analysis of the performance of experimental systems, sub-systems, or analogous
machinery;

(ii) The rationale for extrapolating from test results to commercial mining. The more test data
offered with the application the less analysis will be expected; and
(iii) Anticipated system reliability within the context of anticipated production time lost through
equipment failure.
(2) A functional description of the types of technical persons on whom the applicant will rely to operate
its equipment.

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15 CFR 971.203

§ 971.203 Commercial recovery plan.
(a) General. The application must include a proposed commercial recovery plan which describes the
applicant's projected commercial recovery activities, in a general way, for the twenty year period to be
covered by the proposed permit. Although preliminary and subject to change, the plan must be more
detailed for that portion of the permit term leading up to the initiation of commercial recovery. The plan
must include sufficient information for the Administrator, pursuant to this part, to make the necessary
determinations pertaining to the certification and issuance or transfer of a permit and to the development
and enforcement of the TCRs for a permit.
(b) Specific. The plan must include:
(1) A description of the activities proposed to be carried out during the period of the permit;
(2) The intended schedule of commercial recovery (see “Diligent commercial recovery,” § 971.503);
(3) Environmental safeguards and monitoring systems, which must take into account requirements
under subpart F of this part, including best available technologies (BAT) (§ 971.604) and monitoring
(§ 971.603);
(4) Details of the area or areas proposed for commercial recovery, which meet requirements for
diligence (§ 971.503) and conservation of resources pursuant to subpart E (especially § 971.502);
(5) A resource assessment of the area or areas proposed for commercial recovery which meets the
requirements for resource assessment and logical mining unit (§ 971.501);
(6) A description of the methods and technology to be used for commercial recovery and processing
(see § 971.202(b)(1)); and
(7) The methods to be used for disposal of wastes from recovery and processing, including the areas for
disposal and identification of any toxic substances in wastes.

§ 971.204 Environmental and use conflict analysis.
(a) Environmental information submission. The application must be supported by sufficient marine
environmental information for the Administrator to prepare an environmental impact statement (EIS) on
the proposed mining activities, and to determine the appropriate permit TCRs based on environmental
characteristics of the requested minesite. The Administrator may require the submission of additional
data, in the event he determines that the basis for a suitable EIS, or a determination of appropriate TCRs,
is not available.
(b)
(1) In preparing the EIS, the Administrator will attempt to characterize the environment in such a way as
to provide a basis for judging the potential for significant adverse effects or irreparable harm
triggered by commercial mining (see subpart F). In compiling these data, the Administrator will
utilize existing information including the relevant license EIS, additional exploration data acquired by
the applicant, and other data in the public domain.
(2) The EIS must present adequate physical, chemical, and biological information for the permit area. If
the permit area lies within the area of NOAA's Deep Ocean Mining Environmental Study (DOMES), the
parameters listed in NOAA's Technical Guidance Document pertaining to the upper and lower water
column should be included. Specifically, these parameters include:
(i)

Upper water column—

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15 CFR 971.204(b)(2)(ii)

Nutrients
Endangered species
Salinity, temperature, density
Currents.
(ii) Lower water column and seafloor—
Currents
Suspended particulate matter dispersion
Sediment characteristics (mineralogy, particle size, shape and density, and water content)
Topography
Benthos.
(3) For a permit area outside the DOMES area, the applicant is encouraged to consult with NOAA at the
earliest opportunity in order to determine the specific parameters to be measured based on the
location and specific environmental characteristics of the permit area. The Administrator, in
consultation with the Administrator of the Environmental Protection Agency and with the assistance
of other appropriate Federal agencies, may determine that a programmatic EIS is required for any
new area.
(c) The application must include a monitoring plan for test mining and at-sea commercial recovery activities
which meets the objectives and requirements of § 971.603.
(d) Use conflict analysis. The application must include information known to the applicant on other uses of
the proposed mining area to support the Administrator's determination regarding potential use conflicts
between commercial mining activities and those activities of other nations or of other U.S. citizens.
(e) Onshore information. Because of NEPA requirements, the Administrator must include in the EIS on the
proposed permit the complete spectrum of activities resulting from the issuance of a permit. Therefore,
onshore information including the location and operation of nodule processing facilities must be
submitted with the application in accordance with the details in § 971.606.

§ 971.205 Vessel safety and documentation.
In order to provide a basis for the necessary determinations with respect to the safety of life and property at sea,
pursuant to § 971.407, § 971.422 and Subpart G of this part, the application must contain the following information
for vessels used in commercial recovery, except for those vessels under 300 gross tons which are engaged in
oceanographic research:
(a) U.S. flag vessel. All mining ships and at least one of the transport ships used by each permittee must be
documented under the laws of the United States. To the extent that the applicant knows which United
States flag vessels it will use, it must include with its application copies of the vessels' current valid Coast
Guard Certificates of Inspection.
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15 CFR 971.205(b)

(b) Foreign flag vessels. To the extent that the applicant knows which foreign flag vessel(s) it will be using for
other purposes, the application must include evidence of the following:
(1) That any foreign flag vessel whose flag state is party to the International Convention for the Safety of
Life at Sea, 1974 (SOLAS 74) possesses current valid SOLAS 74 certificates;
(2) That any foreign flag vessel whose flag state is not party to SOLAS 74 but is party to the
International Convention for the Safety of Life at Sea, 1960 (SOLAS 60) possesses current valid
SOLAS 60 certificates; and
(3) That any foreign flag vessel whose flag state is not a party to either SOLAS 74 or SOLAS 60 meets all
applicable structural and safety requirements contained in the published rules of a member of the
International Association of Classification Societies (IACS).
(c) Supplemental certificates. If the applicant does not know at the time of submitting an application which
vessels it will be using, it must submit the applicable certification for each vessel before the cruise on
which it will be used.

§ 971.206 Statement of ownership.
(a) General. The application must include sufficient information to demonstrate that the applicant is a United
States citizen.
(b) Specific. In particular, the application must include:
(1) Name, address, and telephone number of the United States citizen responsible for commercial
recovery operations;
(2) A description of the citizen or citizens engaging in commercial recovery, including:
(i)

Whether the citizen is a natural person, partnership, corporation, joint venture, or other form of
association;

(ii) The state of incorporation or state in which the partnership or other business entity is
registered;
(iii) The name and place of business of the registered agent or equivalent representative to whom
notices and orders are to be delivered;
(iv) Copies of all essential and nonproprietary provisions in articles of incorporation, charter or
articles of association; and
(v) The name of each member of the association, partnership, or joint venture, including
information about the participation and/or ownership of stock of each partner or joint venturer.

§ 971.207 Antitrust information.
In order to support the antitrust review referenced in § 971.211, the application must contain information sufficient,
in the applicant's view and based on preapplication consultations pursuant to § 971.200(g), to identify the applicant
and describe any significant existing market share it has with respect to the mining or marketing of the metals
proposed to be recovered under the permit.

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§ 971.208 Fee.
(a) General. Section 104 of the Act provides that no application for the issuance or transfer of a permit will be
certified unless the applicant pays to NOAA an administrative fee which reflects the reasonable
administrative costs incurred in reviewing and processing the application.
(b) Amount. A fee payment of $100,000, payable to the National Oceanic and Atmospheric Administration,
Department of Commerce, must accompany each application. If the administrative costs of reviewing and
processing the application are significantly less than or in excess of $100,000, the Administrator, after
determining the amount of the under- or over-charge, as applicable, will refund the difference or require
the applicant to pay the additional amount before issuance or transfer of the permit. In the case of an
application for transfer of a permit to, or for a significant change to a permit held by, an entity which has
previously been found qualified for a permit, the Administrator may reduce the fee in advance by an
appropriate amount which reflects costs avoided by reliance on previous findings made in relation to the
proposed transferee.

§ 971.209 Processing outside the United States.
(a) Except as provided in this section and § 971.408, the processing of hard minerals recovered pursuant to a
permit shall be conducted within the U.S., provided that the President or his designee does not determine
that this restriction contravenes the overriding national interests of the United States.
(b) If foreign processing is proposed, the applicant shall submit a justification demonstrating the basis for a
finding pursuant to § 971.408(a)(1). The justification shall include an analysis of each factor which the
applicant considers essential to its conclusion that processing at a site within the U.S. is not
economically viable.
(c) If the Administrator determines that the justification provided by the applicant is insufficient, or if the
Administrator receives during the public comment or hearing period what the Administrator determines to
be a serious alternative U.S. processing site proposal, the Administrator may require the applicant to
supply, within a specified reasonable time, additional information relevant to the § 971.408(a)(1) finding.
(d) The applicant must include in its application satisfactory assurances that such resources after
processing, to the extent of the permittee's ownership therein, will be returned to the United States for
domestic use if the Administrator determines pursuant to § 971.408 that the national interest
necessitates such return. Assurances must include proposed arrangements with the host country.

PROCEDURES
§ 971.210 Determination whether application is complete for further processing.
Upon receipt of an application, the Administrator will review it to determine whether it includes information
specifically identifiable with and fully responsive to each requirement in § 971.201 through § 971.209. The
Administrator will notify the applicant whether the application is complete within 60 days after it is received. The
notice will identify, if applicable, in what respects the application is not complete, and will specify the information
which the applicant must submit in order to make it complete, why the additional information is necessary, and a
reasonable date by which the application must be completed. Application processing will not begin until the
Administrator determines that the application is complete.

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§ 971.211 Consultation and cooperation with Federal agencies.
(a) Promptly after receipt of an application that the Administrator has determined pursuant to § 971.210 is
complete, the Administrator will distribute a copy of the application to every Federal agency or
department which, pursuant to section 103(e) of the Act, has identified programs or activities within its
statutory responsibilities which would be affected by the activities proposed in the application (e.g., the
Departments of State, Transportation, Justice, Interior, Defense, Treasury and Labor, as well as the
Environmental Protection Agency, Federal Trade Commission, International Trade Administration and
National Science Foundation). Based on its legal responsibilities and authorities, each such agency or
department may, not later than 60 days after it receives a copy of the application, recommend
certification of the application, issuance or transfer of the permit, or denial of such certification, issuance
or transfer. The advice or recommendation by the Attorney General or Federal Trade Commission on
antitrust review, pursuant to section 103(d) of the Act, must be submitted within 90 days after their
receipt of a copy of the application.
(b) NOAA will use this process of consultation and cooperation to facilitate necessary Federal decisions on
proposed commercial recovery activities, pursuant to the mandate of section 103(e) of the Act to reduce
the number of separate actions required to satisfy Federal agencies' statutory responsibilities. The
Administrator will not issue or transfer the permit during the 90 day period after receipt by the Attorney
General and the Federal Trade Commission except upon written confirmation of the Attorney General and
the Federal Trade Commission that neither intends to submit further comments or recommendations with
respect to the application.
(c) In any case in which a Federal agency or department recommends a denial, it must set forth in detail the
manner in which the application does not comply with any law or regulation within its area of
responsibility and how the application may be amended, or how TCRs might be added to the permit, to
assure compliance with such law or regulation.
(d) NOAA will cooperate with such agencies and with the applicant with the goal of resolving any concerns
raised and satisfying the statutory responsibilities of these agencies.
(e) If the Administrator decides to issue or transfer a permit with respect to which denial of the issuance or
transfer has been recommended by the Attorney General or the Federal Trade Commission, or to issue or
transfer a permit without imposing TCRs recommended by the Attorney General or the Federal Trade
Commission, as appropriate, the Administrator will, before or at issuance or transfer of the permit, notify
the Attorney General and the Federal Trade Commission of the reasons for his decision.

§ 971.212 Public notice, hearing and comment.
(a) Notice and comments. The Administrator will publish in the FEDERAL REGISTER, for each complete
application for issuance or transfer of a commercial recovery permit, notice that the application has been
received. Subject to § 971.802, interested persons will be allowed to examine the materials relevant to the
application, and will have at least 60 days after publication of notice to submit written comments to the
Administrator.
(b) Hearings. After preparation of the draft environmental impact statement (EIS) on an application, the
Administrator will hold a public hearing on the application and the draft EIS in an appropriate location and
may employ additional methods he/she deems appropriate to inform interested persons about each
application and to invite comments thereon. A hearing will be conducted in any State in which a
processing plant or any of its ancillary facilities (such as a marine terminal or a waste disposal facility)
are proposed to be located.
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(c) If the Administrator determines there exist one or more specific and material factual issues which require
resolution by formal processes, at least one formal hearing will be held in the District of Columbia
metropolitan area in accordance with the provisions of Subpart I of this part. The record developed in any
such formal hearing will be part of the basis of the Administrator's decisions on an application.
(d) Hearings held pursuant to this section and other procedures will be consolidated, if practicable, with
hearings held and procedures employed by other Federal and State agencies.

§ 971.213 Amendment to an application.
After an application has been submitted to the Administrator, but before a determination is made on the issuance or
transfer of a permit, the applicant must submit an amendment to the application if there is a significant change in
the circumstances represented in the original application which affects the requirements of this subpart. Applicants
should consult with NOAA to determine if changes in circumstances are sufficiently significant to require
submission of an amendment. The application, as amended, would then serve as the basis for determinations by
the Administrator under this part. For each amendment judged by the Administrator to be significant, the
Administrator will provide a copy of that amendment to each other Federal agency and department which received a
copy of the original application, and also will provide for public notice, hearing and comment on the amendment
pursuant to § 971.212. After the issuance or transfer of a permit, any revision of the permit will be made pursuant to
§ 971.413. Any amendment or modification which would cause coastal zone effects substantially different than
those originally reviewed by the state agency would be subject to Federal consistency review as prescribed in 15
CFR part 930.

§ 971.214 Consolidated license and permit procedures. [Reserved]
Subpart C—Certification of Applications
§ 971.300 General.
(a) Certification is an intermediate step between receipt of an application for issuance or transfer of a permit
and actual issuance or transfer. It is a determination which focuses on the eligibility of the applicant.
(b) Before the Administrator may certify an application for issuance or transfer of a permit, the Administrator
must determine that issuance of the permit would not violate any of the restrictions in § 971.103(b). The
Administrator also must make written determinations with respect to the requirements with respect to the
requirements set forth in § 971.301.
(c) To the maximum extent possible, the Administrator will endeavor to complete certification within 100
days after receipt of a complete application. If final certification or denial of certification has not occurred
within 100 days after receipt of the application, the Administrator will inform the applicant in writing of the
pending unresolved issues, the efforts to resolve them, and an estimate of the time required to do so.

§ 971.301 Required findings.
Before the Administrator may certify an application for a commercial recovery permit, the Administrator must:
(a) Approve the size and location of the commercial recovery area selected by the applicant, and this
approval will occur unless the Administrator determines that
(1) the area is not a logical mining unit under § 971.501, or

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(2) commercial recovery activities in the proposed area would result in a significant adverse
environmental effect which cannot be avoided by imposition of reasonable restrictions; and
(b) Find that the applicant—
(1) Has demonstrated that, upon issuance or transfer of the permit, the applicant will be financially
responsible to meet all obligations which may be required to engage in its proposed commercial
recovery activities;
(2) Has demonstrated that, upon permit issuance or transfer, it will possess, or have access to, the
technological capability to engage in the proposed commercial recovery;
(3) Has satisfactorily fulfilled all past obligations under any license or permit previously issued or
transferred to the applicant under the Act;
(4) Has a commercial recovery plan which meets the requirements of § 971.203; and
(5) Has paid the permit fee specified in § 971.208.

§ 971.302 Denial of certification.
(a) The Administrator may deny certification of an application if the Administrator finds that the requirements
of this subpart, or the requirements for issuance or transfer under § 971.403 through § 971.408, have not
been met.
(b) When the Administrator proposes to deny certification the Administrator will send to the applicant, via
certified mail, return receipt requested, and publish in the FEDERAL REGISTER, written notice of intention to
deny certification. The notice will include:
(1) The basis upon which the Administrator proposes to deny certification; and
(2) If the basis for the proposed denial is a deficiency which the Administrator believes the applicant can
correct:
(i)

The action believed necessary to correct the deficiency; and

(ii) The time within which any correctable deficiency must be corrected (not to exceed 180 days
except as specified by the Administrator for good cause).
(c) The Administrator will deny certification:
(1) On the 30th day after the date the notice is received by the applicant, under paragraph (b) of the
section, unless before the 30th day the applicant files with the Administrator a written request for an
administrative review of the proposed denial; or
(2) On the last day of the period established under paragraph (b)(2)(ii) in which the applicant must
correct a deficiency, if that deficiency has not been corrected before that day and an administrative
review requested pursuant to paragraph (c)(1) is not pending or in progress.
(d) If a timely request for administrative review of the proposed denial is made by the applicant under
paragraph (c)(1) of this section, the Administrator will promptly begin a formal hearing. If the proposed
denial is the result of a correctable deficiency, the administrative review will proceed concurrently with any
attempts to correct the deficiency, unless the parties agree otherwise or the administrative law judge
orders differently.

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(e) If the Administrator denies certification, he will send to the applicant written notice of the denial, including
the reasons therefor.
(f) Any final determination by the Administrator granting or denying certification is subject to judicial review
as provided in chapter 7 of title 5, United States Code.

§ 971.303 Notice of certification.
Upon making a final determination to certify an application for a commercial recovery permit, the Administrator will
promptly send written notice of the determination to the applicant.

Subpart D—Issuance/Transfer: Terms, Conditions and Restrictions
§ 971.400 General.
(a) Proposal. After certification of an application pursuant to subpart C of this part, the Administrator will
proceed with a proposal to issue or transfer a permit for the commercial recovery activities described in
the application.
(b) Terms conditions and restrictions.
(1) Within 180 days after certification (or such longer period as the Administrator may establish for good
cause shown in writing), the Administrator will propose terms and conditions for, and restrictions on,
the proposed commercial recovery which are consistent with the provisions of the Act and this part
as set forth in §§ 971.418 through 971.430. Proposed and final TCRs will be uniform in all permits,
except to the extent that differing physical and environmental conditions and/or mining methods
require the establishment of special TCRs for the conservation of natural resources, protection of
the environment, or the safety of life and property at sea. The Administrator will propose TCRs in
writing to the applicant, and public notice thereof will be provided pursuant to § 971.401. The
proposed TCRs will be included with the draft of the EIS on permit issuance.
(2) If the Administrator does not propose TCRs within 180 days after certification, the Administrator will
notify the applicant in writing of the reasons for delay and of the approximate date on which the
proposed TCRs will be completed.
(c) Findings. Before issuing or transferring a commercial recovery permit, the Administrator must make
written findings in accordance with the requirements of § 971.403 through § 971.408. These findings will
be made after considering all information submitted with respect to the application and proposed
issuance or transfer. The Administrator will make a final determination of issuance or transfer of a permit,
and will publish a final EIS on that action, within 180 days (or such longer period of time as the
Administrator may establish for good cause shown in writing) following the date on which proposed TCRs
and the draft EIS are published.

ISSUANCE/TRANSFER, MODIFICATION/REVISION; SUSPENSION/REVOCATION
§ 971.401 Proposal to issue or transfer and proposed terms, conditions and restrictions.
(a) Notice and comment. The Administrator will publish in the FEDERAL REGISTER notice of each proposal to
issue or transfer, including notice of a draft EIS, and of proposed terms and conditions for, and restrictions
on, a commercial recovery permit that will be included with the draft EIS [see § 971.400(b)]. Subject to §

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971.802, interested persons will be permitted to examine the materials relevant to such proposals.
Interested persons and affected States will have at least 60 days after publication of such notice to
submit written comments to the Administrator.
(b) Hearings.
(1) The Administrator will hold the public hearing(s) required by § 971.212(b) in an appropriate location
and may employ such additional methods as he deems appropriate to inform interested persons
about each proposal and to invite their comments thereon. A copy of the notice and draft EIS will be
provided to the affected State agency. Information provided by NOAA may be used to supplement
information provided by the applicant, however it will not affect schedules for State agency review
and decisions with respect to consistency determinations as required in 15 CFR part 930, subpart D.
(2) If the Administrator determines there exist one or more specific and material factual issues which
require resolution by formal processes, at least one formal hearing, which may be consolidated with
a hearing held by another agency, will be held in the District of Columbia metropolitan area in
accordance with the provisions of subpart I of this part. The record developed in any such formal
hearing will be part of the basis for the Administrator's decisions on issuance or transfer of, and on
TCRs for, the permit.

§ 971.402 Consultation and cooperation with Federal and State agencies.
Before issuance or transfer of a commercial recovery permit, the Administrator will conclude any consultations in
cooperation with other Federal and State agencies which were initiated pursuant to §§ 971.211 and 971.200(g).
These consultations will be held to assure compliance with, as applicable and among other statutes, the
Endangered Species Act of 1973, as amended, the Marine Mammal Protection Act of 1972, as amended, the Fish
and Wildlife Coordination Act, and the Coastal Zone Management Act of 1972, as amended. The Administrator also
will consult, before any issuance, transfer, modification or renewal of a permit, with any affected Regional Fishery
Management Council established pursuant to section 302 of the Magnuson Fishery Conservation and Management
Act of 1976 (16 U.S.C. 1852) if the activities undertaken pursuant to the permit could adversely affect any fishery
within the Fishery Conservation Zone (now known as the Exclusive Economic Zone), or any anadromous species or
Continental Shelf fishery resource subject to the exclusive management authority of the United States beyond that
zone.

§ 971.403 Freedom of the high seas.
(a) Before issuing or transferring a commercial recovery permit, the Administrator must find the recovery
proposed in the application will not unreasonably interfere with the exercise of the freedoms of the high
seas by other nations, as recognized under general principles of international law.
(b) In making this finding, the Administrator will recognize that commercial recovery of hard mineral
resources of the deep seabed is a freedom of the high seas. In the exercise of this right, each permittee
shall act with reasonable regard for the interests of other nations in their exercise of the freedoms of the
high seas.
(c)
(1) In the event of a conflict between the commercial recovery program of an applicant or permittee and
a competing use of the high seas by another nation or its nationals, the Administrator, in
consultation and cooperation with the Department of State and other interested agencies, will enter

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into negotiations with that nation to resolve the conflict. To the maximum extent possible the
Administrator will endeavor to resolve the conflict in a manner that will allow both uses to take place
such that neither will unreasonably interfere with the other.
(2) If both uses cannot be conducted harmoniously in the area subject to the recovery plan, the
Administrator will decide whether to issue or transfer the permit.

§ 971.404 International obligations of the United States.
Before issuing or transferring a commercial recovery permit, the Administrator must find that the commercial
recovery proposed in the application will not conflict with any international obligation of the United States
established by any treaty or international convention in force with respect to the United States.

§ 971.405 Breach of international peace and security involving armed conflict.
Before issuing or transferring a commercial recovery permit, the Administrator must find that the recovery proposed
in the application will not create a situation which may reasonably be expected to lead to a breach of international
peace and security involving armed conflict.

§ 971.406 Environmental effects.
Before issuing or transferring a commercial recovery permit, the Administrator must find that the commercial
recovery proposed in the application cannot reasonably be expected to result in a significant adverse environmental
effect, taking into account the analyses and information in any applicable EIS and any TCRs associated with the
permit. This finding also will be based upon the requirements in subpart F. However, as also noted in subpart F, if a
determination on this question cannot be made on the basis of available information, and it is found that irreparable
harm will not occur during a period when an approved monitoring program is undertaken to further examine the
significant adverse environmental effect issue, a permit may be granted, subject to modification or suspension and,
if necessary and appropriate, revocation pursuant to § 971.417(a), or subject to emergency suspension pursuant to
§ 971.417(h).

§ 971.407 Safety at sea.
Before issuing or transferring a commercial recovery permit, the Administrator must find that the commercial
recovery proposed in the application will not pose an inordiante threat to the safety of life and property at sea. This
finding will be based on the requirements in § 971.205 and subpart G.

§ 971.408 Processing outside the United States.
(a) Before issuing or transferring a commercial recovery permit which authorizes processing outside the U.S.,
the Administrator must find, after the opportunity for an agency hearing required by § 971.212(b), that:
(1) The processing of the quantity concerned of hard mineral resource at a place other than within the
United States is necessary for the economic viability of the commercial recovery activities of the
permittee; and
(2) Satisfactory assurances have been given by the permittee that such resources, after processing, to
the extent of the permittee's ownership therein, will be returned to the United States for domestic
use, if the Administrator so requires after determining that the national interest necessitates such
return.

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(b) At or after permit issuance the Administrator may determine, or revise a prior determination, that the
national interest necessitates return to the U.S. of a specified amount of hard mineral resource recovered
pursuant to the permit and authorized to be processed outside the United States. Considerations in
making this determination may include:
(1) The national interest in an adequate supply of minerals;
(2) The foreign policy interests of the United States; and
(3) The multi-national character of deep seabed mining operations.
(c) As appropriate, TCRs will incorporate provisions to implement the decision of the Administrator made
pursuant to this section.
(d) Environmental considerations of the proposed activity will be addressed in accordance with § 971.606(c).

§ 971.409 Denial of issuance or transfer.
(a) The Administrator may deny issuance or transfer of a permit if he finds that the applicant or the proposed
commercial recovery activities do not meet the rquirements of this part for the issuance or transfer of a
permit.
(b) When the Administrator proposes to deny issuance or transfer, he will send to the applicant, via certified
mail, return receipt requested, and publish in the FEDERAL REGISTER, written notice of his intention to deny
issuance or transfer. The notice will include:
(1) The basis upon which the Administrator proposes to deny issuance or transfer; and
(2) If the basis for the proposed denial is a deficiency which the Administrator believes the applicant can
correct:
(i)

The action believed necessary to correct the deficiency; and

(ii) The time within which any correctable deficiency must be corrected (not to exceed 180 days
except as specified by the Administrator for good cause).
(c) The Administrator will deny issuance or transfer:
(1) On the 30th day after the date the notice is received by the applicant under paragraph (b) of this
section, unless before the 30th day the applicant files with the Administrator a written request for an
administrative review of the proposed denial; or
(2) On the last day of the period established under paragraph (b)(2)(ii) in which the applicant must
correct a deficiency, if the deficiency has not been corrected before that day and an administrative
review requested pursuant to paragraph (c)(1) is not pending or in progress.
(d) If a timely request for administrative review of the proposed denial is made by the applicant under
paragraph (c)(1) of this section, the Administrator will promptly begin a formal hearing in accordance with
subpart I. If the proposed denial is the result of a correctable deficiency, the administrative review will
proceed concurrently with any attempt to correct the deficiency, unless the parties agree otherwise or the
administrative law judge orders differently.
(e) If the Administrator denies issuance or transfer, the Administrator will send to the applicant written notice
of final denial, including the reasons therefor.

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(f) Any final determination by the Administrator granting or denying issuance or transfer of a permit is
subject to judicial review as provided in chapter 7 of title 5, United States Code.

§ 971.410 Notice of issuance or transfer.
If the Administrator finds that the requirements of this subpart have been met, he will issue or transfer the permit
along with the appropriate TCRs. Notice of issuance or transfer will be made in writing to the applicant and
published in the FEDERAL REGISTER.

§ 971.411 Objections to terms, conditions and restrictions.
(a) The permittee may file a notice of objection to any TCR in the permit. The permittee may object on the
grounds that any TCR is inconsistent with the Act or this part, or on any other grounds which may be
raised under applicable provisions of law. If the permittee does not file notice of an objection within the
60-day period immediately following the permittee's receipt of the notice of issuance or transfer under §
971.410, the permittee will be deemed conclusively to have accepted the TCRs in the permit.
(b) Any notice of objection filed under paragraph (a) of this section must be in writing, must indicate the legal
or factual basis for the objection, and must provide information relevant to any underlying factual issues
deemed by the permittee as necessary to the Administrator's decision upon the objection.
(c) Within 90 days after receipt of the notice of objection, the Administrator will act on the objection and
publish in the FEDERAL REGISTER, as well as provide to the permittee, written notice of the decision.
(d) If, after the Administrator takes final action on an objection, the permittee demonstrates that a dispute
remains on a material issue of fact, the Administrator will provide for a formal hearing which will proceed
in accordance with Subpart I of this part.
(e) Any final determination by the Administrator on an objection to TCRs in a permit, after the formal hearing
provided in paragraph (d), is subject to judicial review as provided in chapter 7 of title 5, United States
Code.

§ 971.412 Changes in permits and permit terms, conditions, and restrictions.
(a) During the duration of a commercial recovery permit, changes in the permit or its associated commercial
recovery plan may be initiated by either the permittee or the Administrator.
(b) A significant change is one which, if approved, would result in:
(1) An increase of more than five percent in the size of the commercial recovery area; or
(2) A change in the location of five percent or more of the commercial recovery area.
(c) A major change is one affecting one or more of:
(1) The bases for certifying the original application pursuant to § 971.301;
(2) The bases for issuing or transferring the permit pursuant to § 971.403 through § 971.408;
(3) The TCRs issued as part of the permit pursuant to §§ 971.418 through 971.430; or
(4) The ownership of a permittee (or the membership of the joint venture, partnership or other entity on
whose behalf the permit was issued); and which change is sufficiently broad in scope to raise a
question as to:

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(i)

15 CFR 971.412(c)(4)(i)

The permittee's ability to meet the requirements of the sections cited in paragraphs (c)(1) and
(2) of this section;

(ii) The sufficiency of the TCRs to accomplish their intended purpose; or
(iii) The antitrust characteristic of the permittee.
(d) A minor change is one that is clearly more modest in scope than the changes described in paragraph (b)
or (c) of this section.
(e) A permittee may not implement a significant or major change, as defined in paragraphs (b) and (c) of this
section, until an application for revision of the permit or its associated commercial recovery plan has
been approved by the Administrator. However, advance notice of proposed major changes in a permittee's
corporate membership or legal structure is not required, unless practicable, but the Administrator expects
prompt notification of the occurrence of such a major change.
(f) A proposed significant or major change, as defined in paragraphs (b) and (c) of this section, may trigger
the need for additional review, under the Federal consistency provisions of the Coastal Zone Management
Act of 1972, as amended.

§ 971.413 Revision of a permit.
(a) During the term of a commercial recovery permit, the permittee may submit to the Administrator an
application for a revision of the permit or the commercial recovery plan associated with it to
accommodate changes desired by the permittee. In some cases it may be advisable to recognize at the
time of filing the original permit application that, although the essential information for issuing or
transferring a permit as specified in § 971.201 through § 971.209 must be included in such application,
some details may have to be provided in the future in the form of a revision. In such instances, the
Administrator may issue or transfer a permit which would authorize commercial recovery activities and
plans only to the extent described in the application.
(b) An application by a permittee for a revision of a permit or its associated commercial recovery plan
involving a significant change, as defined in § 971.412(b), must be followed by the full application
procedures in this part, including a public hearing.
(c) An application by a permittee for a revision of a permit or its associated commercial recovery plan
involving a major change, as defined in § 971.412(c) (See also § 971.425 of this part), will be acted on
after notice thereof is published by the Administrator in the FEDERAL REGISTER with a 60-day opportunity for
public comment and consultation with appropriate Federal agencies.
(d)
(1) The Administrator will approve a revision if the Administrator finds in writing that the revision will
comply with the requirements of the Act and this part.
(2) Notice of the Administrator's decision on the proposed revision will be provided to the permittee in
writing and published in the FEDERAL REGISTER.
(e) A permittee may notify the Administrator of minor changes, as defined in § 971.412(d), subsequently in
the annual report (See § 971.801 of this part).
(f) If the relative importance of the change is unclear to the permittee, the Administrator should be notified in
advance so that the Administrator can decide whether a revision in accordance with § 971.412(e) is
required.
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15 CFR 971.414

§ 971.414 Modification of permit terms, conditions, and restrictions.
(a) After issuance or transfer of any permit, the Administrator, after consultation with appropriate Federal
agencies and the permittee, may modify the TCRs in a permit for the following purposes:
(1) To avoid unreasonable interference with the interests of other nations in their exercise of the
freedoms of the high seas, as recognized under general principles of international law. This
determination will take into account the considerations listed in § 971.403;
(2) If relevant data and information (including, but not limited to, data resulting from activities under a
permit) indicate that modification is required to protect the quality of the environment or to promote
the safety of life and property at sea;
(3) To avoid a conflict with any international obligation of the United States, established by any treaty or
convention in force with respect to the United States, as determined in writing by the President; or
(4) To avoid any situation which may reasonably be expected to lead to a breach of international peace
and security involving armed conflict, as determined in writing by the President.
(b) A proposal by the Administrator to modify the TCRs in a permit is significant and must be followed by the
full application procedures in this part, including a public hearing, if it would result in either of the changes
identified in § 971.412(b).
(c) All proposed modifications other than those described in paragraph (b) of this section will be acted on
after the Administrator provides:
(1) Written notice of the proposal to the permittee; and
(2) Publication of this proposal in the FEDERAL REGISTER with a 60-day opportunity for comment.
(d)
(1) The Administrator will effect a modification of the TCRs if the Administrator finds in writing that the
proposed modification will comply with the requirements of the Act and this part.
(2) Upon adopting a TCR modification, the Administrator shall issue to the permittee an amended permit
including the modified TCRs, and shall publish notice of issuance in the FEDERAL REGISTER.
(3) The procedures for objection to modification of the TCRs are the same as those for objection to a
TCR under § 971.411 of this part.

§ 971.415 Duration of a permit.
(a) Unless suspended or revoked pursuant to §§ 971.406 and 971.417, each commercial recovery permit will
be issued for a period of 20 years and for so long thereafter as hard mineral resources are recovered
annually in commercial quantities from the area listed in the permit.
(b) If the permittee has substantially complied with the permit and its associated recovery plan and requests
an extension of the permit, the Administrator will extend the permit with appropriate TCRs, consistent with
the Act, for so long thereafter as hard mineral resources are recovered annually in commercial quantities
from the area to which the recovery plan associated with the permit applies. The Administrator may make
allowance for deviation from the recovery plan for good cause, such as significantly changed market
conditions. However, a request for extension must be accompanied by an amended recovery plan to
govern the activities by the permittee during the extended period.

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(c) Successive extensions may be requested, and will be granted by the Administrator, based on the criteria
specified in paragraphs (a) and (b).

§ 971.416 Approval of permit transfers.
(a) The Administrator may transfer a permit after a written request by the permittee. After a permittee
submits a transfer request to the Administrator, the proposed transferee will be deemed an applicant for a
commercial recovery permit, and will be subject to the requirements and procedures of this part.
(b) The Administrator will transfer a permit if the proposed transferee is a United States citizen and proposed
commercial recovery activities meet the requirements of the Act and this part, and if the proposed
transfer is in the public interest. The Administrator will presume that the transfer is in the public interest if
it meets the requirements of the Act and this part. In case of mere change in the form or ownership of a
permittee, the Administrator may waive relevant determinations for requirements for which no changes
have occurred since the preceding application.

§ 971.417 Suspension or modification of activities; suspension or revocation of permits.
(a) The Administrator may:
(1) In addition to, or in lieu of, the imposition of any civil penalty under subpart J of this part, or in
addition to the imposition of any fine under subpart J, suspend or revoke any permit issued under
this part, or suspend or modify any particular activities under such a permit, if the permittee
substantially fails to comply with any provision of the Act, this part, or any term, condition or
restriction of the permit; and
(2) Suspend or modify particular activities under any permit, if the President determines that such
suspension or modification is necessary:
(i)

To avoid any conflict with any international obligation of the United States established by any
treaty or convention in force with respect to the United States; or

(ii) To avoid any situtation which may reasonably be expected to lead to a breach of international
peace and security involving armed conflict.
(b) Any action taken by the Administrator in accordance with paragraph (a)(1) will proceed pursuant to the
procedures in § 971.1003. Any action taken in accordance with paragraph (a)(2) will proceed pursuant to
paragraphs (c) through (i) of this section, other than paragraph (h)(2).
(c) Prior to taking any action specified in paragraph (a)(2) the Administrator will publish in the FEDERAL
REGISTER, and send to the permittee, written notice of the proposed action. The notice will include:
(1) The basis of the proposed action; and
(2) If the basis for the proposed action is a deficiency which the Administrator believes the permittee
can correct:
(i)

The action necessary to correct the deficiency; and

(ii) The time within which any correctable deficiency must be corrected (not to exceed 180 days
except as specified by the Administrator for good cause).
(d) The Administrator will take the proposed action:

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(1) On the 30th day after the date notice is sent to the permittee, under paragraph (c) of this section,
unless before the 30th day the permittee files with the Administrator a written request for an
administrative review of the proposed action; or
(2) On the last day of the period established under paragraph (c)(2)(ii) in which the permittee must
correct the deficiency, if such deficiency has not been corrected before that day and an
administrative review requested pursuant to paragraph (d)(1) is not pending or in progress.
(e) If a timely request for administrative review of the proposed denial is made by the permittee under
paragraph (d)(1) of this section, the Administrator will promptly begin a formal hearing in accordance with
subpart I of this part. If the proposed denial is the result of a correctable deficiency, the administrative
review will proceed concurrently with any attempt to correct the deficiency, unless the parties agree
otherwise or the administrative law judge orders differently.
(f) The Administrator will serve on the permittee, and publish in the FEDERAL REGISTER, written notice of the
action taken including the reasons therefor.
(g) Any final determination by the Administrator to take the proposed action is subject to judicial review as
provided in chapter 7 of title 5, United States Code.
(h) The issuance of any notice of proposed action under this section will not affect the continuation of
commercial recovery activities by a permittee. The provisions of paragraphs (c), (d), (e) and the first
sentence of this paragraph (h) of this section will not apply when:
(1) The President determines by Executive Order that an immediate suspension or modification of
particular activities under that permit, is necessary for the reasons set forth in paragraph (a)(2); or
(2) The Administrator determines that immediate suspension of such a permit or immediate suspension
or modification of particular activities under a permit, is necessary to prevent a significant adverse
environmental effect or to preserve the safety of life or property at sea, and the Administrator issues
an emergency order in accordance with § 971.1003(d)(4).
(i)

The Administrator will immediately rescind the suspension order as soon as he has determined that the
cause for suspension has been removed.

TERMS, CONDITIONS AND RESTRICTIONS
§ 971.418 Diligence requirements.
The TCRs in each commercial recovery permit must include provisions to assure diligent development consistent
with § 971.503, including a requirement that recovery at commercial scale be underway within ten years from the
date of permit issuance unless that deadline is extended by the Administrator for good cause.

§ 971.419 Environmental protection requirements.
(a) Each commercial recovery permit must contain TCRs established by the Administrator pursuant to
subpart F which prescribe actions the permittee must take in the conduct of commercial recovery
activities to assure protection of the environment. Factors to be taken into account regarding the potential
for significant adverse environmental effects are discussed in §§ 971.601 and 971.602.

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(b) Before establishing the TCRs pertaining to environmental protection, the Administrator will consult with
the Administrator of the Environmental Protection Agency, the Secretary of State and the Secretary of the
department in which the Coast Guard is operating. The Administrator also will take into account and give
due consideration to formal comments received from the public, including those from the State agency,
and to the information contained in the final site-specific EIS prepared with respect to the proposed
permit.

§ 971.420 Resource conservation requirements.
For the purpose of conservation of natural resources, each permit issued under this part will contain, as needed,
TCRs which have due regard for the prevention of waste and the future opportunity for the commercial recovery of
the unrecovered balance of the hard mineral resources in the recovery area. The Administrator will establish these
requirements pursuant to § 971.502.

§ 971.421 Freedom of the high seas requirements.
Each permit issued under this part must include appropriate restrictions to ensure that commercial recovery
activities do not unreasonably interfere with the interests of other nations in their exercise of the freedoms of the
high seas, as recognized under general principles of international law. The Administrator will consider the factors in
§ 971.403 in establishing these restrictions.

§ 971.422 Safety at sea requirements.
The Secretary of the department in which the Coast Guard is operating, in consultation with the Administrator, will
require in any permit issued under this part, in conformity with principles of international law, that vessels
documented under the laws of the United States and used in activities authorized under the permit comply with
conditions regarding design, construction, alteration, repair, equipment, operation, manning and maintenance
relating to vessel and crew safety and the promotion of safety of life and property at sea. These requirements will
be established with reference to subpart G of this part.

§ 971.423 Best available technology.
The Administrator will require in all activities under new permits, and wherever practicable in activities under
existing permits, the use of the best available technologies for the protection of safety, health, and the environment
wherever such activities would have a significant adverse effect on safety, health, or the environment, (see §§
971.203(b)(3), 971.602(f), and 971.604(a)), except where the Administrator determines that the incremental
benefits are clearly insufficient to justify the incremental costs of using such technologies.

§ 971.424 Monitoring requirements.
Each commercial recovery permit will require the permittee:
(a) To allow the Administrator to place appropriate Federal officers or employees as observers aboard
vessels used by the permittee in commercial recovery activities to:
(1) Monitor activities at times, and to the extent, the Administrator deems reasonable and necessary to
assess the effectiveness of the TCRs of the permit; and
(2) Report to the Administrator whenever those officers or employees have reason to believe there is a
failure to comply with the TCRs;
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(b) To cooperate with Federal officers and employees in the performance of monitoring functions; and
(c) To monitor the environmental effects of the commercial recovery activities in accordance with a
monitoring plan approved and issued by NOAA as permit TCRs and to submit data and other information
as necessary to permit evaluation of environmental effects. The environmental monitoring plan and
reporting will respond to the concerns and procedures discussed in subpart F.

§ 971.425 Changes of circumstances.
Each permit must require the permittee to advise the Administrator of any changes of circumstances which might
constitute a revision which would be a major change under § 971.412(c). Changes in ownership, financing, and use
conflicts are examples, as are technology or methodology changes including those which might result in significant
adverse environmental effects.

§ 971.426 Annual report and records maintenance.
Each permit will require the permittee to submit an annual report and maintain information in accordance with §
971.801 including compliance with the commercial recovery plan and the quantities of hard mineral resources
recovered and the disposition of such resources.

§ 971.427 Processing outside the United States.
If appropriate TCRs will incorporate provisions to implement the decision of the Administrator regarding the return
of resources processed outside the United States, in accordance with § 971.408.

§ 971.428 Other necessary permits.
Each permit will provide that securing the deep seabed mining permit for activities described in the recovery plan
and accompanying application does not eliminate the need to secure all other necessary Federal, State, and local
permits.

§ 971.429 Special terms, conditions and restrictions.
Although the general criteria and standards to be used in establishing TCRs for a permit are set forth in this part, as
referenced in §§ 971.418 through 971.428, the Administrator may impose special TCRs for the conservation of
natural resources, protection of the environment, or the safety of life and property at sea when required by differing
physical and environmental conditions.

§ 971.430 Other Federal requirements.
Pursuant to § 971.211, another Federal agency, or a State acting under Federal authority, upon review of a
commercial recovery permit application submitted under this part, may propose that certain TCRs be added to the
permit, to assure compliance with any law or regulation within that agency's area of responsibility. The
Administrator will include appropriate TCRs in a permit.

Subpart E—Resource Development

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§ 971.500 General.
Several provisions in the Act relate to appropriate mining techniques or mining efficiency. These raise what could be
characterized as resource development issues. In particular, section 103(a)(2)(C) requires a resource assessment
to be provided with the recovery plan. Section 103(a)(2)(D) of the Act provides that the applicant will select the size
and location of the area of a recovery plan, which will be approved unless the Administrator finds that the area is not
a “logical mining unit” or the commercial recovery activities in the proposed site would result in a significant
adverse environmental effect which cannot be avoided by the imposition of reasonable restrictions. Also, pursuant
to section 108 of the Act, the applicant's recovery plan and the TCRs of each permit must be designed to ensure
diligent development. In addition, for the purpose of conservation of natural resources, section 110 of the Act
provides that each permit is to contain, as needed, terms, conditions, and restrictions which have due regard for the
prevention of waste and the future opportunity for the commercial recovery of the unrecovered balance of the
resources.

§ 971.501 Resource assessment, recovery plan, and logical mining unit.
(a) The applicant must submit with the application a resource assessment to provide a basis for assessing
the area applied for. This assessment must include a discussion of mineable and unmineable areas,
taking into account nodule grade, nodule concentration, and other factors such as seafloor topography.
These areas may be delineated graphically. The resources in the area must be described in relation to the
applicant's production requirements, operating period, and recovery efficiency in order to justify the area
applied for.
(b) The applicant shall select the size and location of the area of the recovery plan, which area shall be
approved unless the Administrator finds that, among other considerations (see § 971.301(a)), the area is
not a logical mining unit. In the case of a commercial recovery permit, a logical mining unit is an area of
the deep seabed:
(1) In which hard mineral resources can be recovered in sufficient quantities to satisfy the permittee's
estimated production requirements over the initial 20-year term of the permit in an efficient,
economical, and orderly manner with due regard for conservation and protection of the environment,
taking into consideration the resource data, other relevant physical and environmental
characteristics, and the state of the technology of the applicant set out in the recovery plan;
(2) Which is not larger than necessary to satisfy the permittee's estimated production requirements over
the initial 20-year term of the permit; and
(3) In relation to which the permittee's estimated production requirements are not found by the
Administrator to be unreasonable.
(c) Approval by the Administrator of a proposed logical mining unit will be based on a case-by-case review of
each application. The area need not consist of contiguous segments, as long as each segment would be
efficiently mineable and the total proposed area constitutes a logical mining unit.
(d) In describing the area, the applicant must present the geodetic coordinates of the points defining the
boundaries referred to the World Geodetic System (WGS) Datum. A boundary between points must be a
geodesic. If grid coordinates are desired, the Universal Transverse Mercator Grid System must be used.

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§ 971.502 Conservation of resources.
(a) If the Administrator establishes terms, conditions and restrictions relating to conservation of resources,
he will employ a balancing process in the consideration of the state of the technology being developed,
the processing system utilized and the value and potential use of any waste, the environmental effects of
the recovery activities, economic and resource data, and the national need for hard mineral resources.
(b) The application must set forth how the applicant's proposed method of collecting nodules will conserve
resources by providing for the future opportunity for commercial recovery of the unrecovered balance of
the resources in the proposed permit area. Although preliminary and subject to change, the discussion
must include a plan for the chronology of areas to be mined. This is needed in order for the Administrator
to determine if selective mining, expected to be carried out in the early years to improve cash flow, is part
of a long range recovery plan.
(c) If the applicant proposes a refining process that does not include the use of manganese in a productive
manner, it may not render the manganese unavailable to future users by dispersing the tailings over a vast
area unless such a scheme is necessary for the financial practicability of the commercial recovery
activities of the applicant. A permittee must advise the Administrator in the annual report of the location,
composition and quantity of manganese in tailings which remain after processing. Should national needs
for manganese develop during the duration of a permit, e.g., in case of national emergency, the
Administrator may cancel the exception granted involving dispersion of tailings. Applicants seeking an
exception would be required to demonstrate how and in what time frame their commercial recovery
processing activities could be modified to respond to new national needs.

§ 971.503 Diligent commercial recovery.
(a) Each permittee must pursue diligently the activities described in its approved commercial recovery plan.
This requirement applies to the full scope of the plan, including environmental safeguards and monitoring
systems. Permit TCRs will require periodic reasonable expenditures for commercial recovery by the
permittee, taking into account the size of the area of the deep seabed to which the recovery plan applies
and the amount of funds estimated by the Administrator to be required to initiate commercial recovery of
hard mineral resources within the time limit established by the Administrator. However, required
expenditures will not be established at a level which would discourage commercial recovery or
operational efficiency.
(b) To meet the diligence requirement, the applicant must propose to the Administrator an estimated
schedule of activities and expenditures pursuant to § 971.203(b)(2). The schedule must show, and the
Administrator must be able to make a reasonable determination, that the applicant can reasonably
develop the resources in the permit area within the term of the permit. There must be a reasonable
relationship between the size of the recovery area and the financial and technological resources reflected
in the application. The permittee must initiate the recovery of nodules in commerical quantities within ten
years of the issuance of the permit unless this deadline is extended by the Administrator for good cause.
(c) Once commercial recovery is achieved, the permittee must, within reasonable limits and taking into
consideration all relevant factors, maintain commercial recovery throughout the period of the permit.
However, the Administrator will, for good cause shown, authorize temporary suspension of commercial
recovery activities. The duration of any suspension will not exceed one year, unless the Administrator
determines that conditions justify an extension of the suspension.

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(d) Ultimately, the diligence requirement will involve a retrospective determination by the Administrator, based
on the permittee's reasonable conformance to the approved recovery plan. This determination, however,
will take into account the need for some degree of flexibility in a recovery plan. It also will include
consideration of the needs and stage of development of the permittee based on the approved recovery
plan; legitimate periods of time when there is no or very low expenditure; and allowance for a certain
degree of flexibility for changes encountered by the permittee in market conditions or other factors.
(e) The permittee must submit a report annually reflecting its conformance to the schedule of activities and
expenditures contained in the permit and its associated recovery plan. In case of any changes requiring a
revision to an approved permit and recovery plan, the permittee must advise the Administrator in
accordance with § 971.413.

Subpart F—Environmental Effects
§ 971.600 General.
The Act contains several provisions which relate to environmental protection. For example, section 105(a)(4)
requires that, before the Administrator may issue a commercial recovery permit, he must find that the commercial
recovery proposed in the application cannot reasonably be expected to result in a significant adverse environmental
effect. In addition, each permit issued must contain TCRs which prescribe actions the permittee must take in the
conduct of commercial recovery activities to assure protection of the environment (section 109(b)). The Act also
provides for modification by the Administrator of any TCR if relevant data and information indicate that modification
is required to protect the quality of the environment (section 105(c)(1)(B)). The Administrator also may order an
immediate suspension or modification of activities (section 106(c)), or require use of best available technologies
(section 109(b)), to prevent a significant adverse environmental effect. Furthermore, each permit issued under the
Act must require the permittee to monitor the environmental effects of commercial recovery activities in
accordance with guidelines issued by the Administrator, and to submit information the Administrator finds
necessary and appropriate to assess environmental effects and to develop and evaluate possible methods of
mitigating adverse effects (section 114).

§ 971.601 Environmental requirements.
Before issuing a permit for the commercial recovery of deep seabed hard mineral resources, the Administrator must
find that:
(a) The issuance of a permit cannot reasonably be expected to result in a significant adverse environmental
effect, or, if there is insufficient information to make that determination, that no irreparable harm will
result during a period when monitoring of commerical recovery is undertaken to gather sufficient
information in order to determine the potential for or occurrence of any significant adverse environmental
effect. In examining this issue, NOAA will give consideration to the following Ocean Discharge Criteria of
the Clean Water Act (40 CFR part 125, subpart M), as they may pertain to discharges and other
environmental perturbations related to the commercial recovery operations:
(1) The quantities, composition and potential for bioaccumulation or persistence of the pollutants to be
discharged;
(2) The potential transport of such pollutants by biological, physical or chemical processes;

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(3) The composition and vulnerability of the biological communities which may be exposed to such
pollutants including the presence of unique species or communities of species, the presence of
species identified as endangered or threatened pursuant to the Endangered Species Act, or the
presence of those species critical to the structure or function of the ecosystem such as those
important for the food chain;
(4) The importance of the receiving water area to the surrounding biological community, including the
presence of spawning sites, nursery/forage areas, migratory pathways, or areas necessary for other
functions or critical stages in the life cycle of an organism;
(5) The existence of special aquatic sites including but not limited to marine sanctuaries and refuges,
parks, national and historic monuments, national seashores, wilderness areas and coral reefs;
(6) The potential impacts on human health through direct and indirect pathways;
(7) Existing or potential recreational and commercial fishing, including finfishing and shellfishing;
(8) Any applicable requirements of an approved Coastal Zone Management plan;
(9) Such other factors relating to the effects of the discharge as may be appropriate;
(10) Marine water quality criteria developed pursuant to section 304(a)(1) of the Clean Water Act; and
(b) The applicant has an approved monitoring plan (§ 971.603) and the resources and other capabilities to
implement it.

§ 971.602 Significant adverse environmental effects.
(a) Determination of significant adverse environmental effects. The Administrator will determine the potential
for or the occurrence of any significant adverse environmental effect or impact (for the purposes of
sections 103(a)(2)(D), 105(a)(4), 106(c) and 109(b) (second sentence) of the Act), on a case-by-case
basis.
(b) Basis for determination. Determinations will be based upon the best information available, including
relevant environmental impact statements, NOAA-collected data, monitoring results, and other data
provided by the applicant or permittee, as well as consideration of the criteria in § 971.601(a).
(c) Related considerations. In making a determination the Administrator may take into account any TCRs or
other mitigation measures.
(d) Activities with no significant adverse environmental effect. NOAA believes that exploration-type activities,
as listed in the license regulations (15 CFR 970.701), require no further environmental assessment.
(e) Activities with potential for significant adverse environmental effects. NOAA research has identified at-sea
testing of recovery equipment, the recovery of manganese nodules in commercial quantities from the
deep seabed, and the construction and operation of commercial-scale processing facilities as activities
which may have some potential for significant adverse envirnomental effects.
(f) Related terms, conditions and restrictions. Permits will be issued with TCRs containing environmental
requirements with respect to protection (pursuant to § 971.419), mitigation (pursuant to § 971.419), or
best available technology requirements (pursuant to § 971.423), as appropriate, and monitoring
requirements (pursuant to § 971.424) to acquire more information on the environmental effects of deep
seabed mining.

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§ 971.603 At-sea monitoring.
(a) An applicant must submit with its application a monitoring plan designed to enable the Administrator to
assess environmental impacts and to develop and evaluate possible methods of mitigating adverse
environmental effects, to validate assessments made in the EIS, and to assure compliance with the
environmental protection requirements of this part.
(b) The monitoring plan shall include a characterization of the proposed mining system in terms of collector
contact, benthic discharge and surface discharge.
(c) The monitoring plan shall include determination of
(1) the spatial and temporal characteristics of the mining ship discharges;
(2) the spatial extent and severity of the benthic impact, including recovery rate and pattern of benthic
recolonization; and
(3) any secondary effects that result from the impact of the mining collector and benthic plume.
(d) The monitoring of benthic impact shall involve the study of two types of areas, each selected by the
permittee in consultation with NOAA, which areas shall be representative of the environmental
characteristics of the permittee's site:
(1) An impact reference area, located in a portion of a permit area tentatively scheduled to be mined
early in a commercial recovery plan; and
(2) An interim preservational reference area, located in a portion of a permit area tentatively determined:
to be non-mineable, not to be scheduled for mining during the commercial recovery plan, or to be
scheduled for mining late in the plan.
Reference areas may be selected provisionally prior to application for a commercial recovery permit.
(e) The following specific environmental parameters must be proposed for examination in the applicant's
monitoring plan:
(1) Discharges—
(i)

Salinity, temperature, density.

(ii) Suspended particulates concentration and density.
(iii) Particulate and dissolved nutrients and metals.
(iv) Size, configuration, and velocities of discharge.
(2) Upper water column—
(i)

Nutrients.

(ii) Endangered species (observations).
(iii) Salinity, temperature, density.
(iv) Currents and direct current shear.
(v) Vertical distribution of light.
(vi) Suspended particulate material advection and diffusion.
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(vii) In-situ settling velocities of suspended particulates.
(viii) Zooplankton and trace metals uptake.
(ix) Fish larvae.
(x) Behavior of biota, including commercially and recreationally valuable fish.
(3) Lower water column and seafloor—
(i)

Currents.

(ii) Suspended particulate material advection and diffusion.
(iii) In-situ settling velocities of suspended particulates.
(iv) Benthic scraping and blanketing, and their impacts and recovery.
(f) The monitoring plan shall include provision for monitoring those areas impacted by the permittee's mining
activities, even if such areas fall outside its minesite, where the proposed activities have the potential to
cause significant adverse environmental effect or irreparable harm in the outside area.
(g) After the Administrator's approval of the monitoring plan, this plan will become a permit TCR. The
monitoring plan TCR will include, to the maximum extent practicable, identification of those activities or
events that could cause suspension or modification due to environmental effects under § 971.417, or
permit revocation in the event that these effects cannot be adequately mitigated. The TCR also will
authorize refinement of the monitoring plan prior to testing and commercial-scale recovery, and at other
appropriate times, if refinement is necessary to reflect accurately proposed operations or to incorporate
recent research or monitoring results.
(h) If test mining is proposed, the applicant shall include in the monitoring plan a monitoring plan for the
test(s) as well as a strategy for using the result to monitor more effectively commercial-scale recovery.
This monitoring shall address concerns expressed in the PEIS and in the permit EIS.
(i)

The monitoring plan shall include a sampling strategy that assures: that it is based on sound statistical
methods, that equipment and methods be scientifically accepted, that the personnel who are planning,
collecting and analyzing data be scientifically well qualified, and that the resultant data be submitted to
the Administrator in accordance with formats of the National Oceanographic Data Center and other
formats as may be specified by the Administrator.

(j)

Pursuant to section 114(1) of the Act, the Administrator intends to place observers onboard mining
vessels, not only to ensure that permit TCRs are followed, but also to evaluate the effectiveness of
monitoring strategies, both in terms of protecting the environment and in being cost-effective (See §
971.1005), and if necessary, to develop potential mitigation measures. If modification of permit TCRs or
regulations is required to protect the quality of the environment, the Administrator may modify TCRs
pursuant to § 971.414, or the regulations pursuant to § 971.804.

§ 971.604 Best available technologies (BAT) and mitigation.
(a) The Administrator shall require in all activities under new permits, and wherever practicable in activities
under existing permits, the use of the best available technologies for the protection of safety, health, and
the environment wherever such activities would have a significant adverse effect on safety, health, or the
environment, except where the Administrator determines that the incremental benefits are clearly
insufficient to justify the incremental costs of using such technologies. Because of the embryonic nature
of the industry, NOAA is unable either to specify particular equipment or procedures comprising BAT or to
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define performance standards. Until such experience exists, the applicant shall submit such information
as is necessary to indicate, as required above, the use of BAT, the alternatives considered to the specific
equipment or procedures proposed, and the rationale as to why one alternative technology was selected
in place of another. This analysis shall include a discussion of the relative costs and benefits of the
technologies considered.
(b) NOAA is not specifying particular mitigation methodologies or techniques at this time (such as requiring
the sub-surface release of mining vessel discharges), but expects applicants and permittees to develop
and carry out their operations, to the extent possible, to minimize adverse environmental effects and to be
able to demonstrate efforts to that end. The applicant must submit a plan describing how he would
mitigate a problem, if it were caused by the surface release of mining vessel discharges, including a plan
for the monitoring of any discharges. Based upon monitoring results, NOAA may find it necessary in the
future to specify particular procedures for minimizing adverse environmental effects. These procedures
would be incorporated into permit TCRs.
(c) NOAA will require the permittee to report, prior to implementation, any proposed technological or
operational changes that will increase or have unknown environmental effects. Changes in composition,
concentration or size distribution of suspended particulates discharged from the mining vessel, water
depth of vessel discharges, depth of cut in the seafloor of the mining collector, and direction or amount of
sediment discharged at the seafloor are factors of concern to NOAA. In reporting any such change, the
permittee shall submit information to indicate the use of BAT, alternatives considered, and rationale for
selecting one technology in place of another, in a manner comparable to and to the extent required in
paragraph (a) of this section. If proposed changes have a high potential for increasing adverse
environmental effects, the Administrator may disapprove or require modification of the changes.

§ 971.605 Stable Reference Areas. [Reserved]
§ 971.606 Onshore information.
(a) To assist the Administrator in complying with NEPA requirements and to enable NOAA to function as lead
agency in preparing permit site-specific environmental impact statements (EISs) and facilitating the
preparation and processing of other environmental documents and permits, the applications must include
the following information:
(1) The location and affected environment of port, transport, processing and waste disposal facilities
and associated facilities (e.g., maps, land use and layout);
(2) A description of the environmental consequences and socio-economic effects of construction and
operation of the facilities, including waste characteristics and toxicity;
(3) Any mitigating measures that may be proposed;
(4) Certification of consistency with the federally approved State coastal management program, where
applicable, and evidence of the status of compliance with other State or local requirements relating
to protection of the environment; and
(5) Alternative sites and technologies considered by the applicant and the considerations which
eliminate their selection.
(b) The applicant must consult with NOAA as early as possible concerning the information to be submitted to
NOAA to prepare an adequate environmental impact statement. The applicant is encouraged to consult
with potentially affected States as early as is practicable [see also §§ 971.200(g) and 971.213].
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(c) The requirements of paragraphs (a)(1)-(3) and (5) of this section also apply if approval of processing
outside the United States is requested by the applicant, in accordance with Executive Order 12114 which
requires the environmental review of major Federal actions abroad. Information detailing the socioeconomic impacts of foreign processing activities is not required.

Subpart G—Safety of Life and Property at Sea
§ 971.700 General.
The Act contains several requirements that relate to assuring the safety of life and property at sea. For example,
before the Administrator may issue a permit, he must find that the proposed recovery will not pose an inordinate
threat to the safety of life and property at sea (section 105(a)(5)). The Coast Guard, in consultation with NOAA,
must require in any permit issued under the Act, in conformity with principles of international law, that vessels
documented in the United States and used in activities authorized under the permit comply with conditions
regarding the design, construction, alteration, repair, equipment, operation, manning and maintenance relating to
vessel and crew safety and the safety of life and property at sea (section 112(a)). The Administrator may impose or
modify TCRs for a permit if required to promote the safety of life and property at sea (section 105(c)(1)(B)).

§ 971.701 Criteria for safety of life and property at sea.
Response to the safety at sea requirements in essence will involve vessel inspection requirements, as identified by
present laws and regulations. The primary inspection statutes pertaining to United States flag vessels are: 46 App.
U.S.C. 86 (Loadlines) and 46 U.S.C. 3301 (Inspection of Seagoing Barges, Seagoing Motor Vessels, and Freight
Vessels). United States flag vessels will be required to meet all applicable regulatory requirements, including the
requirement for a current valid Coast Guard Certificate of Inspection (pursuant to § 971.205(a)). United States flag
vessels are under United States jurisdiction on the high seas and subject to domestic enforcement procedures.
With respect to foreign flag vessels, the SOLAS 74 or SOLAS 60 certificate requirements specified in § 971.205(b)
apply.

Subpart H—Miscellaneous
§ 971.800 General.
The subpart contains miscellaneous provisions pursuant to the Act which are applicable to exploration licenses and
commercial recovery permits.

§ 971.801 Records to be maintained and information to be submitted by licensees and
permittees.
(a)
(1) In addition to the information specified elsewhere in the part and in 15 CFR part 970, each licensee
and permittee must keep such records, consistent with standard accounting principles, as specified
by the Administrator in the license or permit. Such records shall include information which will fully
disclose expenditures for exploration for, or commercial recovery of hard mineral resources in the
area under license or permit, and any other information which will facilitate an effective audit of
these expenditures.

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(2) The Administrator and the Comptroller General of the United States, or any of their duly authorized
representatives, shall have access, for purposes of audit and examination to any books, documents,
papers, and records of licensees and permittees which are necessary and directly pertinent to
verification of the expenditures referred to in paragraph (a)(1) of this section.
(b) In addition to the information specified elsewhere in this part and in 15 CFR part 970, each applicant,
licensee or permittee will be required to submit to the Administrator, upon request, data or other
information the Administrator may reasonably need for purposes of:
(1) Making determinations with respect to the issuance, revocation, modification, or suspension of the
license or permit in question;
(2) Evaluating the effectiveness of license or permit TCRs;
(3) Compliance with the biennial Congressional report requirement contained in section 309 of the Act;
and
(4) Evaluation of the exploration or commercial recovery activities conducted by the licensee or
permittee.
At a minimum, licensees and permittees shall submit an annual written report within 90 days after each anniversary
of the license or permit issuance or transfer, discussing exploration or commercial recovery activities and
expenditures. The report shall address diligence requirements (see § 971.503 and 15 CFR 970.602),
implementation of any approved monitoring plan (see § 971.602 and 15 CFR 970.522(c) and 970.702(a)), and
applicable changes which do not constitute revisions (see § 971.413(e) and 15 CFR 970.513(c)). Permittees must
also report the tonnage of nodules recovered (§ 971.426) and discuss manganese conservation measures (see §
971.502).

§ 971.802 Public disclosure of documents received by NOAA.
(a) Purpose. This section provides a procedure by which persons submitting information pursuant to this part
and 15 CFR part 970 may request that certain information not be subject to public disclosure. The
substantiation requested is intended to assure that NOAA has a complete and proper basis for
determining the legality and appropriateness of withholding or releasing the identified information if a
public request for disclosure is received.
(b) Written requests for confidential treatment.
(1) Any person who submits any information pursuant to this part or 15 CFR part 970, which information
is considered by that person to be protected by the Trade Secrets Act (18 U.S.C. 1905) or otherwise
to be a trade secret or commercial or financial information which is privileged or confidential, may
request that the Administrator give the information confidential treatment.
(2)
(i)

Any request for confidential treatment of information:
(A) Should be submitted at the time of submission of information;
(B) Should state the period of time for which confidential treatment is desired (e.g., until a
certain date, or until the occurrence of a certain event, or permanently);
(C) Must be submitted in writing; and

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(D) Must include the name, mailing address, and telephone number of an agent of the
submitter who is authorized to receive notice of requests for disclosure of the information
pursuant to paragraph (d) of this section.
(ii) If information is submitted to the Administrator without an accompanying request for
confidential treatment, the notice referred to in paragraph (d)(2) of this section need not be
given. If a request for confidential treatment is received after the information itself is received,
the Administrator will make efforts to the extent administratively practicable to associate the
request with copies of the previously submitted information in the files of NOAA and the
Federal agencies to which the Administrator distributed the information.
(3)
(i)

Information subject to a request for confidential treatment must be segregated from
information for which confidential treatment is not being requested, and each page (or
segregable portion of each page) subject to the request must be clearly marked with the name
of the person requesting confidential treatment, the name of the applicant, licensee or
permittee, and an identifying legend such as “Proprietary Information” or “Confidential
Treatment Requested.” Where this marking proves impracticable, a cover sheet containing the
identifying names and legend must be securely attached to the compilation of information for
which confidential treatment is requested. Each copy of the information for which confidential
treatment has been requested must be cross-referenced to the appropriate section of the
application or other document. All information for which confidential treatment is requested
pertaining to the same application or other document must be submitted to the Administrator
in a package separate from that information for which confidential treatment is not being
requested.

(ii) Each copy of any application or other document with respect to which confidential treatment of
information has been requested must indicate, at each place in the application or document
where confidential information has been deleted, that confidential treatment of information has
been requested.
(4) Normally, the Administrator will not make a determination as to whether confidential treatment is
warranted until a request for disclosure of the information is received. However, on a case-by-case
basis, the Administrator may make a determination in advance of a request, where it would facilitate
obtaining voluntarily submitted information (rather than information required to be submitted under
this part).
(c) Substantiation of request for confidential treatment.
(1) Any request for confidential treatment may include a statement of the basis for believing that the
information is deserving of confidential treatment, which addresses the issues relevant to a
determination of whether the information is a trade secret, or commercial or financial information
which is privileged or confidential. To the extent permitted by applicable law, part or all of any
substantiation statement submitted will be treated as confidential if so requested, and must be
segregated, marked, and submitted in accordance with the procedure described in paragraph (b)(3)
of this section.
(2) Issues addressed in the statement should include:
(i)

The commercial or financial nature of the information;

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(ii) The nature and extent of the competitive advantage enjoyed as a result of possession of the
information;
(iii) The nature and extent of the competitive harm which would result from public disclosure of the
information;
(iv) The extent to which the information has been disseminated to employees and contractors of
the person submitting the information;
(v) The extent to which persons other than the person submitting the information possesses, or
have access to, the same information; and
(vi) The nature of the measures which have been and are being taken to protect the information
from disclosure.
(d) Requests for disclosure of trade secrets, privileged, or confidential information.
(1) Any request for disclosure of information submitted, reported or collected pursuant to this part must
be made in accordance with 15 CFR 903.7.
(2) Upon receipt of a request for disclosure of information for which confidential treatment has been
requested, the Administrator immediately will issue notice by an expeditious means (such as by
telephone, confirmed by certified or registered mail, return receipt requested) of the request for
disclosure to the person who requested confidential treatment of the information or to the
designated agent. The notice also will:
(i)

Inquire whether that person continues to maintain the request for confidential treatment;

(ii) Notify that person of the date (generally, not later than the close of business on the seventh
working day after issuance of the notice) by which the person is strongly encouraged to deliver
to the Administrator a written statement that the person either:
(A) Waives or withdraws the request for confidential treatment in full or in part; or
(B) Confirms that the request for confidential treatment is maintained;
(iii) Inform that person that by a date the Administrator specifies (generally, not later than the close
of business on the seventh working day after issuance of the notice), the person:
(A) Is strongly encouraged to deliver to the Administrator a written statement addressing the
issues listed in paragraph (c)(2) of this section, describing the basis for believing that the
information is deserving of confidential treatment, if this statement was not previously
submitted;
(B) Is strongly encouraged to deliver to the Administrator an update of or supplement to any
statement previously submitted under paragraph (c) of this section; and
(C) May present to the Administrator in a form the Administrator deems appropriate (such as
by telephone or in an informal conference) agruments against disclosure of the
information; and
(iv) Inform that person that the burden is on him to assure that any response to the notice is
delivered to the Administrator within the time specified in the notice.

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(3) To the extent permitted by applicable law, part or all or of any statement submitted in response to
any notice issued under paragraph (d)(2) will be treated as confidential if so requested by the person
submitting the response. Any response for which confidential treatment is requested must be
segregated, marked and submitted in accordance with the procedures described in paragraph (b)(3)
of this section.
(4) Upon the expiration of the time allowed for response under paragraph (d)(2) of this section, the
Administrator will determine, in consultation with the General Counsel for the Department of
Commerce, whether confidential treatment is warranted based on the information then available to
NOAA.
(5) If the person who requested confidential treatment waives or withdraws that request, the
Administrator will proceed with appropriate disclosure of the information.
(6) If the Administrator determines that confidential treatment is warranted, he will so notify the person
requesting confidential treatment, and will issue an initial denial of the request for disclosure of
records in accordance with 15 CFR 903.8.
(7) If the Administrator determines that confidential treatment is not warranted for part or all of the
information, the Administrator immediately will issue notice by an expeditious means (such as by
telephone, confirmed by certified or registered mail, return receipt requested) to the person who
requested confidential treatment. The notice will state:
(i)

The basis for the Administrator's determination;

(ii) That the Administrator's determination constitutes final agency action on the request for
confidential treatment;
(iii) That the final agency action is subject to judicial review under chapter 7 of title 5, United States
Code; and
(iv) That on the seventh working day after issuance of the notice described in this paragraph (d)(7),
the Administrator will make the information available to the person who requested disclosure
unless the Administrator has first been notified of the filing of an action in a Federal court to
obtain judicial review of the determination, and the court has issued an appropriate order
preventing or limiting disclosure.
(8) The Administrator will keep a record of the date any notice is issued and the date any response is
received, by the Administrator, under this paragraph (d).
(9) In all other respects, procedures for handling requests for records containing information submitted
to, reported to, or collected by the Administrator pursuant to this part will be in accordance with 15
CFR Part 903. For example, if ten working days have passed after the receipt of a request for
disclosure and, despite the exercise of due diligence by the agency, the Administrator cannot make a
determination as to whether confidential treatment is warranted, the Administrator will issue
appropriate notice in accordance with 15 CFR 903.8(b)(5).
(e) Direct submission of confidential information. If any person has reason to believe that it would be
prejudiced by furnishing information required from it to the applicant, licensee or permittee, that person
may file the required information directly with the Administrator. Information for which the person
requests confidential treatment must be segregated, marked, and submitted in accordance with the
procedures described in paragraph (b)(3) of this section.

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(f) Protection of confidential information transmitted by the Administrator to other agencies. Each copy of
information for which confidential treatment has been requested which is transmitted by the
Administrator to other Federal agencies will be accompanied by a cover letter containing:
(1) A request that the other Federal agency maintain the information in confidence in accordance with
applicable law (including the Trade Secret Act, 18 U.S.C. 1905) and any applicable protective
agreement entered into by the Administrator and the Federal agency receiving the information;
(2) A request that the other Federal agency notify the Administrator immediately upon receipt of any
request for disclosure of the information; and
(3) A request that all copies of the information be returned to the Administrator for secure storage or
disposal promptly after the Federal agency determines that it no longer needs the information for its
official use.
(g) When satisfied that adequate protection against public disclosure exists, applicants should provide the
State agency with confidential and proprietary information which the State agency maintains is necessary
to make a reasoned decision on the consistency of the proposal. State agency requests for such
information must be related to the necessity of having such information to assess adequately the coastal
zone effects of the proposal.

§ 971.803 Relinquishment and surrender of licenses and permits.
(a) Any licensee or permittee may at any time, without penalty:
(1) Surrender to the Administrator a license or permit issued to the licensee or permittee; or
(2) Relinquish to the Administrator, in whole or in part, any right to conduct any exploration or
commercial recovery activities authorized by the license or permit.
(b) Any licensee or permittee who surrenders, or relinquishes any right under, a license or permit will remain
liable with respect to all violations and penalties incurred, and damage to persons or property caused, by
the licensee or permittee as a result of activities engaged in by the licensee or permittee under the license
or permit.

§ 971.804 Amendment to regulations for conservation, protection of the environment, and
safety of life and property at sea.
The Administrator may amend the regulations in this part and 15 CFR part 970 at any time as the Administrator
determines to be necessary and appropriate in order to provide for the conservation of natural resources, protection
of the environment, or the safety of life and property at sea. The amended regulations will apply to all exploration or
commercial recovery activities conducted under any license or permit issued or maintained pursuant to this part or
15 CFR part 970, except that amended regulations which provide for conservation of natural resources will apply to
activities conducted under an existing license or permit during the present term of that license or permit only if the
Administrator determines that the amended regulations providing for conservation of natural resources will not
impose serious or irreparable economic hardship on the licensee or permittee. Any amendment to regulations under
this section will be made pursuant to the procedures in subpart I of this part.

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§ 971.805 Computation of time.
Except where otherwise specified, Saturdays, Sundays and Federal Government holidays will be included in
computing the time period allowed for filing any document or paper under this part or 15 CFR part 970, but when a
time period expires on any of these days, that time period will be extended to include the next following Federal
Government work day. Filing periods expire at the close of business on the day specified, for the office specified.

Subpart I—Uniform Procedures
§ 971.900 Applicability.
The regulations of this subpart govern the following hearings conducted by NOAA under this part and under 15 CFR
part 970:
(a) All adjudicatory hearings required by section 116(b) of the Act to be held on the following actions upon a
finding by the Administrator that one or more specific and material issues of fact exist which require
resolution by formal process, including but not limited to:
(1) All applications for issuance or transfer of licenses or permits;
(2) All proposed TCRs on a license or permit; and
(3) All proposals to modify significantly a license or permit;
(b) Hearings conducted under section 105(b)(3) of the Act on objection by a licensee or permittee to any
term, condition or restriction in a license or permit, or to modification thereto, where the licensee or
permittee demonstrates, after final action by the Administrator on the objection, that a dispute remains as
to a material issue of fact;
(c) Hearings conducted in accordance with section 106(b) of the Act pursuant to a timely request by an
applicant or a licensee or permittee for review of:
(1) A proposed denial of issuance or transfer of a license or permit; or
(2) A proposed suspension or modification of particular activities under a license or permit after a
Presidential determination pursuant to section 106(a)(2)(B) of the Act;
(d) Hearings conducted in accordance with section 308(c) of the Act to amend regulations for the purpose of
conservation of natural resources, protection of the environment, and safety of life and property at sea;
(e) Hearings conducted in accordance with § 971.302 or 15 CFR 970.407 on a proposal to deny certification
of an application; and
(f) Hearings conducted in accordance with 15 CFR part 970, subpart C to determine priority of right among
preenactment explorers.

§ 971.901 Formal hearing procedures.
(a) General.
(1) All hearings described in § 971.900 are governed by subpart C of 15 CFR part 904, as modified by
this section. The rules in this subpart take precedence over 15 CFR part 904, subpart C, to the extent
there is a conflict.

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(2) Hearings held under this section will be consolidated insofar as practicable with hearings held by
other agencies.
(3) For the purposes of this subpart, involved applicant, licensee or permittee means an applicant,
licensee or permittee the status of whose application, license, permit or activities conducted under
the license or permit may be altered by the Administrator as a result of proceedings under this
subpart.
(b) Decision to hold a hearing. Whenever the Administrator finds that a formal hearing is required by the
provisions of this part or 15 CFR part 970, he will provide for a formal hearing. Upon deciding to hold a
formal hearing, the Administrator will refer the proceeding to the Department of Commerce Office of
Administrative Law Judges for assignment to an Administrative Law Judge to serve as presiding officer
for the hearing.
(c) Notice of formal hearing.
(1) The Administrator will publish notice of the formal hearing in the FEDERAL REGISTER at least 15 days
before the beginning of the hearing, and will send written notice by registered or certified mail to any
involved applicant, licensee or permittee and to all persons who submitted written comments upon
the action in question, or who testified at any prior informal hearing on the action or who filed a
request for the formal hearing under this part or 15 CFR part 970.
(2) Notice of a formal hearing will include, among other things:
(i)

Time and place of the hearing and the name of the presiding judge, as determined under
paragraph (b) of this section;

(ii) The name and address of the person(s) requesting the formal hearing or a statement that the
formal hearing is being held by order of the Administrator;
(iii) The issues in dispute which are to be resolved in the formal hearing;
(iv) The due date for filing a written request to participate in the hearing in accordance with
paragraphs (f)(2) and (f)(3) of this section; and
(v) Reference to any prior informal hearing from which the issues to be determined arose.
(d) Powers and duties of the administrative law judge. In addition to the powers enumerated in 15 CFR part
904. Subpart C, judges will have the power to:
(1) Regulate the course of the hearing and the conduct of the parties, interested persons and others
submitting evidence, including but not limited to the power to require the submission of part or all of
the evidence in written form if the judge determines a party will not be prejudiced thereby, and if
otherwise in accordance with law;
(2) Rule upon requests submitted in accordance with paragraph (f)(2) of this section to participate as a
party, or requests submitted in accordance with paragraph (f)(3) of this section to participate as an
interested person in a proceeding, by allowing, denying, or limiting such participation; and
(3) Require at or prior to any hearing, the submission and exchange of evidence.
(e) Argument. At the close of the formal hearing, each party will be given the opportunity to submit written
arguments on the issues before the judge.
(f) Hearing participation.
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(1) Parties to the formal hearing will include:
(i)

The NOAA General Counsel;

(ii) Any involved applicant, licensee or permittee; and
(iii) Any other person determined by the judge, in accordance with paragraph (f)(2) below, to be
eligible to participate as a full party.
(2) Any person desiring to participate as a party in a formal hearing must submit a request to the judge
to be admitted as a party. The request must be submitted within ten days after the date of mailing or
publication of notice of a decision to hold a formal hearing, whichever occurs later. Such person will
be allowed to participate if the judge finds that the interests of justice and a fair determination of the
issues would be served by granting the request. The judge may entertain a request submitted after
the expiration of the ten days, but such a request may only be granted upon an express finding on
the record that:
(i)

Special circumstances justify granting the request;

(ii) The interests of justice and a fair determination of the issues would be served by granting the
request;
(iii) The requestor has consented to be bound by all prior written agreements and stipulations
agreed to by the existing parties, and all prior orders entered in the proceedings; and
(iv) Granting the request will not cause undue delay or prejudice the rights of the existing parties.
(3)
(i)

Any interested person who desires to submit evidence in a formal hearing must submit a
request within ten days after the dates of mailing or publication of notice of a decision to hold a
formal hearing, whichever occurs later. The judge may waive the ten day rule for good cause,
such as if the interested person, making this request after the expiration of the ten days, the
formal hearing, and the evidence he proposes to submit may significantly affect the outcome of
the proceedings.

(ii) The judge may permit an interested person to submit evidence at any formal hearing if the
judge determines that such evidence is relevant to facts in dispute concerning the issue(s)
being adjudicated. The fact that an interested person may submit evidence under this
paragraph at a hearing does not entitle the interested person to participate in other ways in the
hearing unless allowed by the judge under paragraph (f)(3)(iii) below.
(iii) The judge may allow an interested person to submit oral testimony, oral arguments or briefs, or
to cross-examine witnesses or participate in other ways, if the judge determines:
(A) That the interests of justice would be better served by allowing such participation by the
interested person; and
(B) That there are compelling circumstances favoring such participation by the interested
person.
(g) Definition of issues.

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(1) Whenever a formal hearing is conducted pursuant to this section the Administrator may certify the
issues for decision to the judge, and if the issues are so certified, the formal hearing will be limited to
those issues.
(2) Whenever a formal hearing is conducted pursuant to a request by an applicant, licensee or permittee
for review of a denial of certification, issuance or transfer of a license or permit in accordance with
section 106(a)(4) of the Act, or pursuant to an objection to any term, condition, or restriction in a
permit in accordance with section 105(b)(3) or (c)(4) of the Act, no issues may be raised by any
party or interested person that were not previously raised in the administrative proceedings on the
action pursuant to any such section, unless the judge determines that good cause is shown for the
failure to raise them. Good cause includes the case where the party seeking to raise the new issues
shows that it could not reasonably have ascertained the issues at a prior stage in the administrative
process, or that it could not have reasonably anticipated the relevance or materiality of the
information sought to be introduced.
(h) Decisions —
(1) Proposed findings of fact and conclusions of law. The judge will allow each party to file with the judge
proposed findings of fact, and in appropriate cases conclusions of law, together with a supporting
brief expressing the reasons for such proposals. Such proposals and briefs must be filed within ten
days after the hearing or within such additional time as the judge may allow. Such proposals and
briefs must refer to all portions of the record and to all authorities relied upon in support of each
proposal. Reply briefs must be submitted within ten days after receipt of the proposed findings and
conclusions to which they respond, unless the judge allows additional time.
(2) Recommended decision.
(i)

As soon as practicable, but normally not later than 90 days after the conclusion of the formal
hearing, the judge will evaluate the record of the formal hearing and prepare and file a
recommended decision with the Administrator. The decision will contain findings of fact, when
appropriate, conclusions regarding all material isuses of law, and a recommendation as to the
appropriate action to be taken by the Administrator. The judge will serve a copy of the decision
on each party and upon the Administrator.

(ii) Within thirty days after the date the recommended decision is served, any party may file with
the Administrator exceptions to the recommended decision. The exceptions must refer to all
portions of the record and to all authorities relied on in support of the exceptions.
(3) Final decision.
(i)

As soon as practicable, but normally not later than 60 days after receipt of the recommended
decision, the Administrator will issue a final decision. The final decision will include findings of
fact and conclusions regarding material issues of law or discretion, as well as reasons therefor.
The final decision may accept or reject all or part of the recommended decision. The
Administrator shall assure that the record shows the ruling on each exception presented.

(ii) With respect to hearings held pursuant to section 116(b), the Administrator may defer
announcement of his findings of fact until the time he takes final action with respect to any
action described in section 116(a).
(iii) The Administrator will base the final decision upon the record already made except that the
Administrator may issue orders:
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(A) Specifying the filing of supplemental briefs; or
(B) Remanding the matter to the judge for the receipt of further evidence, or otherwise
assisting in the determination of the matter.
(i)

Filing and service of documents.
(1) Whenever the regulations in this subpart or an order issued hereunder require a document to be filed
within a certain period of time, such document will be considered filed as of the date of the
postmark, if mailed, or (if not mailed) as of the date actually delivered to the office where filing is
required. Time periods will begin to run on the day following the date of the document, paper, or
event which begins at the time period.
(2) All submissions must be signed by the person making the submission, or by the person's attorney or
other authorized agent or representative.
(3) Service of a document must be made by delivering or mailing a copy of the document to the known
address of the person being served.
(4) Whenever the regulations in this subpart require service of a document, such service may effectively
be made on the agent for the service of process or on the attorney for the person to be served.
(5) Refusal of service of a document by the person, his agent, or attorney will be deemed effective
service of the document as of the date of such refusal.
(6) A certficate of the person serving the document by personal delivery or by mailing, setting forth the
manner of the service, will be proof of the service.

Subpart J—Enforcement
§ 971.1000 General.
(a) Purpose and scope.
(1) Section 302 of the Act authorizes the Administrator to assess a civil penalty, in an amount not to
exceed $25,000 for each violation, against any person found to have committed an act prohibited by
section 301 of the Act. Each day of a continuing violation is a separate offense.
(2) Section 106 of the Act describes the circumstances under which the Administrator may suspend or
revoke a license or permit, or suspend or modify activities under a license or permit, in addition to or
in lieu of imposing of a civil penalty, or in addition to imposing a fine.
(3) Section 306 of the Act makes provisions of the customs laws relating to, among other things, the
remission or mitigation of forfeitures, applicable to forfeitures of vessels and hard mineral
resources. The Administrator is authorized to entertain petitions for administrative settlement of
property seizures made under the Act which would otherwise proceed to judicial forfeiture.
(4) Section 114 of the Act authorizes the Administrator to place observers on vessels used by a licensee
or permittee under the Act to monitor compliance and environmental effects of activities under the
license or permit.

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(5) Section 117 of the Act describes the circumstances under which a person may bring a civil action
against an alleged violator or against the Administrator for failure to perform a nondiscretionary
duty, and directs the Administrator to issue regulations governing procedures prerequisite to such a
civil action.
(6) The regulations in this subpart provide uniform rules and procedures for the assessment of civil
penalties (§§ 971.1001-971.1002), and license and permit sanctions (§ 971.1003); the remission or
mitigation of forfeitures (§ 971.1004); observers (§ 971.1005); protection of certain information
related to enforcement (§ 971.1006); and procedures requiring persons planning to bring a civil
action under section 117 of the Act to give advance notice (§ 971.1007).
(b) Filing and service of documents.
(1) Except as otherwise provided by this subpart, filing and service of documents required by this
subpart will be in accordance with § 971.901(i). The method for computing time periods set forth in
§ 971.901(i) also applies to any action or event, such as payment of a civil penalty, required by this
subpart to take place within a specified period of time.
(2) If an oral or written request is made to the Administrator within ten days after the expiration of a time
period established in this subpart for the required filing of documents, the Administrator may permit
a late filing if the Administrator finds reasonable grounds for an inability or failure to file within the
time periods. All extensions will be in writing. Except as provided by this paragraph, by 15 CFR
904.102 or by order of an administrative law judge, no requests for an extension of time may be
granted.

§ 971.1001 Assessment procedure.
Subpart B of 15 CFR part 904 governs the procedures for assessing a civil penalty under the Act, and the rights of
any person against whom a civil penalty is assessed.

§ 971.1002 Hearing and appeal procedures.
(a) Beginning of hearing procedures. Following receipt of a written request for a hearing timely filed under 15
CFR 904.102, the Administrator will begin procedures under this section by forwarding the request, a copy
of the NOVA, and any response thereto to the Department of Commerce, Office of Administrative Law
Judges.
(b) Subpart C of 15 CFR part 904 governs the hearing and appeal procedures for civil penalties assessed
under the Act.

§ 971.1003 License and permit sanctions.
(a) Application of this section. This section governs the suspension or revocation of any license or permit
issued under the Act, or the suspension or modification of any particular activity or activities under a
license or permit, which suspension, revocation or modification is undertaken in addition to, or in lieu of,
imposing a civil penalty under this subpart, or in addition to imposing a fine.
(b) Basis for sanctions. The Administrator may act under this section with respect to a license or permit
issued under the Act, or any particular activity or activities under such a license or permit, if the licensee
or permittee substantially fails to comply with any provision of the Act, any regulation or order issued
under the Act, or any term, condition, or restriction in the license or permit.

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(c) Nature of sanctions. In the Administrator's discretion and subject to the requirements of this section, the
Administrator may take any of the following actions or combinations thereof with respect to a license or
permit issued under the Act:
(1) Revoke the license or permit;
(2) Suspend the license or permit, either for a specified period of time or until certain stated
requirements are met, or both; or
(3) Modify any activity under the license or permit, as by imposing additional requirements or restraints
on the activity.
(d) Notice of sanction.
(1) The Administrator will prepare a notice of sanction (NoS) setting forth the sanction to be imposed
and the basis therefore. The NoS will state:
(i)

A concise statement of the facts believed to show a violation;

(ii) A specific reference to the provisions of the Act, regulation, license or permit, or order allegedly
violated;
(iii) The nature and duration of the proposed sanction;
(iv) The effective date of the sanction, which is 30 days after the date of the notice unless the
Administrator establishes a different effective date under paragraph (d)(4) or paragraph (e) of
this section;
(v) That the licensee or permittee has 30 calendar days from receipt of the notice in which to
request or waive a hearing, under paragraph (f) of this section; and
(vi) The determination made by the Administrator under paragraph (e)(1) of this section, and any
time period that the Administrator provides the licensee or permittee under paragraph (e)(1) to
correct a deficiency.
(2) If a hearing is requested in a timely manner, the sanction becomes effective as provided in the final
decision of the Administrator issued pursuant to paragraph (g) of this section, unless the
Administrator provides otherwise under paragraph (d)(4) of this section.
(3) The NoS will be served personally or by registered or certified mail, return receipt requested, on the
licensee or permittee. The Administrator will also publish in the FEDERAL REGISTER a notice of his
intention to impose a sanction.
(4) The Administrator may make the sanction effective immediately or otherwise earlier than 30 days
after the date of the NoS if the Administrator finds, and issues an emergency order summarizing
such finding and the basis therefor, that an earlier date is necessary to:
(i)

Prevent a significant adverse environmental effect; or

(ii) Preserve the safety of life and property at sea.
If the Administrator acts under this paragraph (d)(4), the Administrator will serve the emergency
order as provided in paragraph (d)(3) of this section.
(5) The NoS will be accompanied by a copy of this subpart and the applicable provisions of 15 CFR part
904 and 15 CFR part 971, subpart I.
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(e) Opportunity to correct deficiencies.
(1) Prior to issuing the NoS, the Administrator will determine whether the reason for the proposed
sanction is a deficiency which the licensee or permittee can correct. Such determination, and the
basis therefor, will be set forth in the NoS.
(2) If the Administrator determines that the reason for the proposed sanction is a deficiency which the
licensee or permittee can correct, the Administrator will allow the licensee or permittee a reasonable
period of time, up to 180 days from the date of the NoS, to correct the deficiency. The NoS will state
the effective date of the sanction, and that the sanction will take effect on that date unless the
licensee or permittee corrects the deficiency within the time prescribed or unless the Administrator
grants an extension of time to correct the deficiency under paragraph (e)(3) of this section.
(3) The licensee or permittee may, within the time period prescribed by the Administrator under
paragraph (e)(2) of the section, request an extension of time to correct the deficiency. The
Administrator may, for good cause shown, grant an extension. If the Administrator does not grant the
request, either orally or in writing before the effective date of the sanction, the request will be
considered denied.
(4) When the licensee or permittee believes that the deficiency has been corrected, the licensee or
permittee shall so advise the Administrator in writing. The Administrator will, as soon as practicable,
determine whether or not the deficiency has been corrected and advise the licensee or permittee of
such determination.
(5) If the Administrator determines that the deficiency has not been corrected by the licensee or
permittee within the time prescribed under paragraph (e)(2) or (e)(3) of this section, the
Administrator may:
(i)

Grant the licensee or permittee additional time to correct the deficiency, for good cause shown;

(ii) If no hearing has been timely requested under paragraph (f)(1) of this section, notify the
licensee or permittee that the sanction will take effect as provided in paragraph (e)(2) or (e)(3)
of this section; or
(iii) If a request for hearing has been timely filed under paragraph (f)(1) of this section, and hearing
proceedings have not already begun, or if the Administrator determines under paragraph (f)(3)
of this section to hold a hearing, notify the licensee or permittee of the Administrator's intention
to proceed to a hearing on the matter.
(f) Opportunity for hearing.
(1) The licensee or permittee has 30 days from receipt of the NoS to request a hearing. However, no
hearing is required with respect to matters previously adjudicated in an administrative or judicial
hearing in which the licensee or permittee has had an opportunity to participate.
(2) If the licensee or permittee requests a hearing, a written and dated request shall be served either in
person or by certified or registered mail, return receipt requested, at the address specified in the
NoS. The request shall either attach a copy of the relevant NoS or refer to the relevant NOAA case
number.
(3) If no hearing is requested under paragraph (f)(2) of this section, the Administrator may nonetheless
order a hearing if the Administrator determines that there are material issues of fact, law, or equity to
be further explored.
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(g) Hearing and decision.
(1) If a timely request for a hearing under paragraph (f) of this section is received, or if the Administrator
orders a hearing under paragraph (f)(3) of this section, the Administrator will promptly begin
proceedings under this section by forwarding the request, a copy of the NoS and any response
thereto to the Department of Commerce Office of Administrative Law Judges which will docket the
matter for hearing. Written notice of the referral will promptly be given to the licensee or permittee,
with the name and address of the attorney representing the Administrator in the proceedings (the
agency representative). Thereafter, all pleading and other documents must be filed directly with the
Department of Commerce Office of Administrative Law Judges, and a copy must be served on the
opposing party (respondent or agency representative).
(2) Except as provided in this section, the hearing and appeal procedures in 15 CFR part 904, subpart C
apply to any hearing held under this section.
(3) If the proposed sanction is the result of a correctable deficiency, the hearing will proceed
concurrently with any attempt to correct the deficiency unless the parties agree otherwise or the
Administrative Law Judge orders differently.
(4) As soon as practicable, but normally not later than 90 days after the conclusion of the formal
hearing, the judge will file with the Administrator a recommended decision prepared in accordance
with § 971.901(h)(2).
(5) The Administrator will issue a final decision in accordance with § 971.901(h)(3). The decision will be
a final order of the Administrator.
(6) The Administrator will serve notice of the final decision on the licensee or permittee in the manner
described by paragraph (d)(3) of this section.

§ 971.1004 Remission or mitigation of forfeitures.
(a) Authorized enforcement officers are empowered by section 304 of the Act to seize any vessel (together
with its gear, furniture, appurtenances, stores, and cargo) which reasonably appears to have been used in
violation of the Act, if necessary to prevent evasion of the enforcement of this Act, or of any regulation,
order or license or permit issued pursuant to the Act. Enforcement agents may also seize illegally
recovered or processed hard mineral resources, as well as other evidence related to a violation. Section
306 of the Act provides for the judicial forfeiture of vessels and hard mineral resources.
(b) Subpart F of 15 CFR part 904 governs procedures regarding seized property that is subject to forfeiture or
has been forfeited under the Act, including the remission or mitigation of forfeitures.
(c) Unless otherwise directed in a notice concerning the seized property, a petition for relief from forfeiture
under the Act and pursuant to 15 CFR 904.506(b) shall be addressed to the Administrator and filed with
the Ocean Minerals and Energy Division at the address specified in § 971.200(b).

§ 971.1005 Observers.
(a) Purpose of observers. Each licensee and permittee shall allow, at such times and to such extent as the
Administrator deems reasonable and necessary, an observer (as used in this section, the term “observer”
means “one or more observers”) duly authorized by the Administrator to board and accompany any vessel
used by the licensee or permittee in exploration or commercial recovery activities (hereafter referred to in
this section as a “vessel”), for the purpose of observing, evaluating and reporting on:
(1) The effectiveness of the terms, conditions, and restrictions of the license or permit;
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(2) Compliance with the Act, regulations and orders issued under the Act, and the license or permit
terms, conditions, and restrictions; and
(3) The environmental and other effects of the licensee's or permittee's activities under the license or
permit.
(b) Notice to licensee or permittee.
(1) If the Administrator plans to place an observer aboard a vessel, the Administrator will so notify the
affected licensee or permittee.
(2) The Administrator normally will issue any such notice as far in advance of placement of the observer
as is practicable.
(3) Contents of notice. The notice given by the Administrator will include, among other things:
(i)

The name of the observer, if known at the time notice is issued;

(ii) The length of time which the observer likely will be aboard the vessel;
(iii) Information concerning activities the observer is likely to conduct, such as:
(A) Identification of special activities that the observer will monitor;
(B) Planned tests of equipment used for monitoring;
(C) Activities of the observer that are likely to require assistance from the vessel's personnel
or crew or use of the vessel's equipment; and
(D) Planned tests of alternative operating procedures or technologies for mitigation of
environmental effects.
(iv) Information concerning the equipment that will be brought aboard the vessel, such as a
description of the monitoring equipment, and any special requirements concerning the
handling, storage, location or operation of, or the power supply for, the equipment.
(c) Initial monitoring period. The Administrator shall require the placement of an observer on each permittee's
mining vessel(s) at least once during the initial year of the permittee's commercial recovery activities.
(d) Licensee's and permittee's responsibilities for observer placement.
(1) Upon request by the Administrator, a licensee or permittee shall facilitate observer placement by
promptly notifying the Administrator regarding the timing of planned system tests and the departure
date of the next voyage, or, if the vessel is at sea, suggesting a time and method for transporting the
observer to the vessel.
(2) In addition, the licensee or permittee shall notify NOAA of the date of departure of planned cruises
60 days in advance of ship departure from port for purposes of NOAA's determination of whether to
place Federal observers onboard. If cruise plans are changed by more than 30 days from the date
stated by the exploration or commercial recovery plan, the licensee or permittee shall notify NOAA
as soon as such changes are made, or 90 days prior to the previously scheduled departure.
(e) Duties of licensee, permittee, owner or operator. Each licensee, permittee, owner or operator of a vessel
aboard which an observer is assigned shall:
(1) Allow the observer access to and use of the vessel's communications equipment and personnel
when the observer deems such access necessary for the transmission and receipt of messages;
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(2) Allow the observer access to and use of the vessel's navigation equipment and personnel when the
observer deems such access necessary to determine the vessel's location;
(3) Provide all other reasonable cooperation and assistance to enable the observer to carry out the
observer's duties; and
(4) Provide temporary accommodations and food to the observer aboard the vessel which are
equivalent to those provided to officers of the vessel.
(f) Reasonableness of observer activities.
(1) To the maximum extent practicable, observation duties will be planned and carried out in a manner
that minimizes interference with the licensee's or permittee's activities under the license or permit.
(2) The Administrator will assure that equipment brought aboard a vessel by the observer is reasonable
as to size, weight, and electric power and storage requirements, taking into consideration the
necessity of the equipment for carrying out the observer's functions.
(3) The observer will have no authority over the operation of the vessel or its activities, or the officers,
crew, or personnel of the vessel. The observer will comply with all rules and regulations issued by the
licensee or permittee, and all orders of the Master or senior operations official, with respect to
ensuring safe operation of the vessel and the safety of its personnel.
(g) Non-interference with observer. Licensees, permittees and other persons are reminded that the Act (see,
for example, sections 301(3) and 301(4)) makes it unlawful for any person subject to section 301 of the
Act to interfere with any observer in the performance of the observer's duties.
(h) Confidentiality of information. NOAA recognizes the possibility that an observer, in performing observer
functions, will record information which the licensee or permittee considers to be proprietary. NOAA
intends to protect such information consistent with applicable law. The Administrator may in appropriate
cases provide the licensee or permittee an opportunity:
(1) To review those parts of the observer's report which may contain proprietary information; and
(2) To request confidential treatment of such information under § 971.802.

§ 971.1006 Proprietary enforcement information.
(a) Proprietary and privileged information seized or maintained under Title III of the Act concerning a person
or vessel engaged in commercial recovery will not be made available for general or public use or
inspection.
(b) Although presentation of evidence in a proceeding under this subpart is not deemed general or public use
of information, the Administrator will, consistent with due process, move to have records sealed, under 15
CFR part 904 subpart C, or other applicable provisions of law, in any administrative or judicial proceeding
where the use of proprietary or privileged information is required to serve the purpose of the Act.

§ 971.1007 Advance notice of civil actions.
(a) Actions against alleged violators.
(1) No civil action may be filed in a United States District Court under section 117 of the Act against any
person for alleged violation of the Act, or any regulation, or license or permit term, condition, or
restriction issued under the Act, until 60 days after the Administrator and any alleged violator receive
written and dated notice of alleged violation.
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(2) The notice shall contain:
(i)

A concise statement of the facts believed to show a violation;

(ii) A specific reference to the provisions of the Act, regulation or license or permit allegedly
violated; and
(iii) Any documentary or other evidence of the alleged violation.
(b) Action against the Administrator.
(1) No civil action may be filed in a United States District Court under section 117 of the Act against the
Administrator for an alleged failure to perform any act or duty under the Act which is not
discretionary until 60 days after receipt by the Administrator of a written and dated notice of intent to
file the action.
(2) The notice shall contain:
(i)

A specific reference to the provisions of the Act, regulation or permit believed to require the
Administrator to perform a nondiscretionary act or duty;

(ii) A precise description of the nondiscretionary act or duty believed to be required by such
provision;
(iii) A concise statement of the facts believed to show a failure to perform the act or duty; and
(iv) Any documentary or other evidence of the alleged failure to perform the act or duty.

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