CFR-1999-title15-vol3-part970

Pt. 970

15 CFR Ch. IX (1–1–99 Edition)

such item and issue the licensee a Notice of Seizure (NOS) containing:
(1) A description of the object,
record, or report seized;
(2) A concise statement of the facts
believed to show use or possible use in
a violation; and
(3) A specific reference to the provisions of the Act, regulation, or license
allegedly violated.
(b) Within 30 days after receipt of a
NOS, the licensee may request a hearing by serving a written and dated request on the Administrator either in
person or by certified or registered
mail, return receipt requested, at the
address specified in the notice. Such
hearing shall be held in accordance
with the procedures set forth at 15 CFR
part 904, subpart C. For good cause
shown, the Administrator may in his or
her sole discretion return the seized
item pending the outcome of the hearing.

Subpart C—Procedures for Applications
Based on Exploration Commenced
Before June 28, 1980; Resolution of
Conflicts Among Overlapping Applications; Applications by New Entrants
970.300 Purposes and definitions.
970.301 Requirements for applications based
on pre-enactment exploration.
970.302 Procedures and criteria for resolving
conflicts.
970.303 Procedures for new entrants.
970.304 Action on portions of applications or
amendments not in conflict.

Subpart D—Certification of Applications
970.400 General.
970.401 Financial responsibility.
970.402 Technological capability.
970.403 Previous license and permit obligations.
970.404 Adequate exploration plan.
970.405 Appropriate exploration site size and
location.
970.406 Fee payment.
970.407 Denial of certification.
970.408 Notice of certification.

PART 970—DEEP SEABED MINING
REGULATIONS FOR EXPLORATION
LICENSES

Subpart E—Issuance/Transfer/Terms,
Conditions and Restrictions
970.500

Subpart A—General
Sec.
970.100 Purpose.
970.101 Definitions.
970.102 Nature of licenses.
970.103 Prohibited activities
tions.

and

restric-

Subpart B—Applications
970.200

General.

ISSUANCE/TRANSFER; MODIFICATION/REVISION;
SUSPENSION/REVOCATION

General.
CONTENTS

970.201 Statement of financial resources.
970.202 Statement of technological experience and capabilities.
970.203 Exploration plan.
970.204 Environmental and use conflict
analysis.
970.205 Vessel safety.
970.206 Statement of ownership.
970.207 Antitrust information.
970.208 Fee.
PROCEDURES
970.209 Substantial compliance with application requirements.
970.210 Reasonable time for full compliance.
970.211 Consultation and cooperation with
Federal agencies.
970.212 Public notice, hearing and comment.
970.213 Amendment to an application.

970.501 Proposal to issue or transfer and of
terms, conditions and restrictions.
970.502 Consultation and cooperation with
Federal agencies.
970.503 Freedom of the high seas.
970.504 International obligations of the
United States.
970.505 Breach of international peace and
security involving armed conflict.
970.506 Environmental effects.
970.507 Safety at sea.
970.508 Denial of issuance or transfer.
970.509 Notice of issuance or transfer.
970.510 Objections to terms, conditions and
restrictions.
970.511 Suspension or modification of activities; suspension or revocation of licenses.
970.512 Modification of terms, conditions
and restrictions.
970.513 Revision of a license.
970.514 Scale requiring application procedures.
970.515 Duration of a license.
970.516 Approval of license transfers.
TERMS, CONDITIONS, AND RESTRICTIONS
970.517 Diligence requirements.
970.518 Environmental protection requirements.
970.519 Resource conservation requirements.

278

Nat. Oceanic and Atmospheric Adm., Commerce
970.520 Freedom of the high seas requirements.
970.521 Safety at sea requirements.
970.522 Monitoring requirements.
970.523 Special terms, conditions, and restrictions.
970.524 Other Federal requirements.

Subpart F—Resource Development
Concepts
970.600
970.601
970.602
970.603

General.
Logical mining unit.
Diligent exploration.
Conservation of resources.

Subpart G—Environmental Effects
970.700 General.
970.701 Significant adverse environmental
effects.
970.702 Monitoring and mitigation of environmental effects.

Subpart H—Safety of Life and Property at
Sea
970.800 General.
970.801 Criteria for safety of life and property at sea.

Subpart I—Miscellaneous
970.900

Other applicable regulations.

Subparts J–W

[Reserved]

Subpart X—Pre-enactment Exploration
970.2401 Definitions.
970.2402 Notice of pre-enactment
ration.

explo-

Subpart Y—Pre-license Exploration
970.2501 Notice of pre-license exploration
voyages.
970.2502 Post voyage report.
970.2503 Suspension of exploration activities.

Subpart Z—Miscellaneous
970.2601

Additional information.

AUTHORITY: 30 U.S.C. 1401 et seq.

Subpart A—General
SOURCE: 46 FR 45896, Sept. 15, 1981, unless
otherwise noted.

§ 970.100 Purpose.
(a) General. The purpose of this part
is to implement those responsibilities
and authorities of the National Oceanic
and
Atmospheric
Administration

§ 970.100

(NOAA), pursuant to Public Law 96–283,
the Deep Seabed Hard Mineral Resources Act (the Act), to issue to eligible United States citizens licenses for
the exploration for deep seabed hard
minerals.
(b) Purposes of the Act. In preparing
these regulations NOAA has been
mindful of the purposes of the Act, as
set forth in section 2(b) thereof. These
include:
(1) Encouraging the successful conclusion of a comprehensive Law of the
Sea Treaty, which will give legal definition to the principle that the hard
mineral resources of the deep seabed
are the common heritage of mankind
and which will assure, among other
things, nondiscriminatory access to
such resources for all nations;
(2) Establishing, pending the ratification by, and entering into force with
respect to, the United States of such a
treaty, an interim program to regulate
the exploration for and commercial recovery of hard mineral resources of the
deep seabed by United States citizens;
(3) Accelerating the program of environmental assessment of exploration
for and commercial recovery of hard
mineral resources of the deep seabed
and assuring that such exploration and
recovery activities are conducted in a
manner which will encourage the conservation of such resources, protect the
quality of the environment, and promote the safety of life and property at
sea;
(4) Encouraging the continued development of technology necessary to recover the hard mineral resources of the
deep seabed; and
(5) Pending the ratification by, and
entry into force with respect to, the
United States of a Law of the Sea Treaty, providing for the establishment of
an international revenue-sharing fund
the proceeds of which will be used for
sharing with the international community pursuant to such treaty.
(c) Regulatory approach. (1) These regulations incorporate NOAA’s recognition that the deep seabed mining industry is still evolving and that more information must be developed to form
the basis for future decisions by industry and by NOAA in its implementation of the Act. They also recognize the
need for flexibility in order to promote

279

§ 970.101

15 CFR Ch. IX (1–1–99 Edition)

the development of deep seabed mining
technology, and the usefulness of allowing initiative by miners to develop
mining techniques and systems in a
manner compatible with the requirements of the Act and regulations. In
this regard, the regulations reflect an
approach, pursuant to the Act, whereby
their provisions ultimately will be addressed and evaluated on the basis of
exploration plans submitted by applicants.
(2) In addition, these regulations reflect NOAA’s recognition that the difference in scale and effects between exploration for and commercial recovery
of hard mineral resources normally requires that they be distinguished and
addressed separately. This distinction
is also based upon the evolutionary
stage of the seabed mining industry
referenced above. Thus, NOAA will
issue separate regulations pertaining
to commercial recovery, in part 971 of
this chapter.
[46 FR 45896, Sept. 15, 1981; 47 FR 5966, Feb. 9,
1982]

§ 970.101 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 a designee;
(c) Applicant means an applicant for
an exploration license pursuant to the
Act and this part;
(d) Affiliate means any person:
(1) In which the applicant or licensee
owns or controls more than 5% interest;
(2) Which owns or controls more than
5% interest in the applicant or licensee; or
(3) Which is under common ownership
or control with the applicant or licensee.
(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 (t)(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
(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) 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;

280

Nat. Oceanic and Atmospheric Adm., Commerce
(j) 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 contains
manganese, nickel, cobalt, or copper;
(k) International agreement means a
comprehensive agreement concluded
through negotiations at the Third
United Nations Conference on the Law
of the Sea, relating to (among other
matters) the exploration for and commercial recovery of hard mineral resources and the establishment of an
international regime for the regulation
thereof;
(l) Licensee means the holder of a license issued under this part to engage
in exploration;
(m) New entrant means any applicant,
with respect to:
(1) Any application which has not
been accorded a pre-enactment explorer priority of right under § 970.301;
or
(2) Any amendment which has not
been accorded a pre-enactment explorer priority of right under § 970.302.
(n) NOAA means the National Oceanic and Atmospheric Administration;
(o) Permittee means the holder of permit issued under NOAA regulations 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) Pre-enactment explorer means a
person who was engaged in exploration
prior to the date of enactment of the
Act (June 28, 1980);
(r) Reciprocating state means any foreign nation designated as such by the
Administrator under section 118 of the
Act;
(s) 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
(t) United States citizen means
(1) Any individual who is a citizen of
the United States;
(2) Any corporation, partnership,
joint venture, association, or other en-

§ 970.103

tity 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 (t)(1) or (t)(2) of this section.
[46 FR 45896, Sept. 15, 1981, as amended at 47
FR 5967, Feb. 9, 1982]

§ 970.102

Nature of licenses.

(a) A license issued under this part
will authorize the holder thereof to engage in exploration within a specific
portion of the sea floor consistent with
the provisions of the Act, this part, and
the specific terms, conditions and restrictions applied to the license by the
Administrator.
(b) Any license issued under this part
will be 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 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 within the same area of the sea
floor. Such a permit will recognize the
right of the holder to recover hard mineral resources, and to own, transport,
use, and sell hard mineral resources recovered, under the permit and in accordance with the requirements of the
Act.
§ 970.103 Prohibited activities and restrictions.
(a) Prohibited activities and exceptions.
(1) Except as authorized under subpart
C of this part, no United States citizen
may engage in any exploration or commercial recovery unless authorized to
do so under:
(i) A license or a permit issued pursuant to the Act and implementing regulations;
(ii) A license, permit, or equivalent
authorization issued by a reciprocating
state; or

281

§ 970.103

15 CFR Ch. IX (1–1–99 Edition)

(iii) An international agreement
which is in force with respect to the
United States.
(2) The prohibitions of paragraph
(a)(1) of this section will 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 deep 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 on
shore, or does not involve the recovery
of any but incidental hard mineral resources;
(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 under an
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 licensee or permittee which is authorized to be undertaken under a license
or permit issued by the Administrator
to a licensee or 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 exploration
or 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
issued pursuant thereto; the filing of
specious claims in the United States or
any other nation; and any other activity designed to harass deep seabed mining activities authorized by law. Interference does not include the exercise of

any rights granted to United States
citizens by the Constitution of the
United States, any Federal or State
law, treaty, or agreement or regulation
promulgated pursuant thereto.
(4) United States citizens must 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 licenses
or permits. The Administrator will not
issue:
(1) Any license or permit after the
date on which an international agreement is ratified by and enters into
force with respect to the United States,
except to the extent that issuance of
such license or permit is not inconsistent with such agreement;
(2) Any license or permit the exploration plan or 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 this part;
(ii) Any exploration plan or recovery
plan associated with any existing license or permit; or
(iii) Any 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) A permit 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) Any exploration license before
July 1, 1981, or any permit which authorizes commercial recovery to commence before January 1, 1988;
(5) Any license or permit the exploration plan or recovery plan for which
applies to any area of the deep seabed
if, within the 3-year period before the
date of application for such license or
permit:
(i) The applicant therefor surrendered or relinquished such area under

282

Nat. Oceanic and Atmospheric Adm., Commerce
an exploration plan or recovery plan
associated with a previous license or
permit issued to such applicant; or
(ii) A license or 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; or
(6) A license or permit, or approve
the transfer of a license or permit, except to a United States citizen.

Subpart B—Applications
SOURCE: 46 FR 45898, Sept. 15, 1981, unless
otherwise noted.

§ 970.200 General.
(a) Who may apply; how. Any United
States citizen may apply to the Administrator for issuance or transfer of an
exploration license. Applications must
be submitted in the form and manner
prescribed in this subpart.
(b) Place, form and copies. Applications for the issuance or transfer of exploration licenses must be submitted in
writing, verified and signed by an authorized officer or other authorized
representative of the applicant, in 30
copies, to the following address: Office
of Ocean Minerals and Energy, National Oceanic and Atmospheric Administration, suite 410, Page 1 Building, 2001 Wisconsin Avenue, NW., Washington, DC 20235. The Administrator
may waive, in whole or in part, at his
discretion, the requirement that 30
copies of an application be filed with
NOAA.
(c) Use of application information. The
contents of an application, as set forth
below, must provide NOAA with the information necessary to make determinations required by the Act and this
part pertaining to the issuance or
transfer of an exploration license.
Thus, each portion of the application
should identify the requirement in this
part to which it responds. In addition,
the information will be used by NOAA
in its function under the Act of consultation and cooperation with other
Federal agencies or departments in relation to their programs and authorities, in order to reduce the number of
separate actions required to satisfy
Federal agencies’ responsibilities.

§ 970.200

(d) Pre-application consultation. To assist in the development of adequate applications and assure that applicants
understand how to respond to the provisions of this subpart, NOAA will be
available for pre-application consultations with potential applicants. This
includes consultation on the procedures in subpart C. In appropriate circumstances, NOAA will provide written
confirmation to the applicant of any
oral guidance resulting from such consultations.
(e) Priority of right. (1) Priority of
right for issuance of licenses to pre-enactment explorers will be established
pursuant to subpart C of this part.
(2) Priority of right for issuance of licenses to new entrants will be established on the basis of the chronological
order in which license applications,
which are in substantial compliance
with the requirements established
under this subpart, pursuant to
§ 970.209, are filed with the Administrator.
(3) Applications must be received by
the Office of Ocean Minerals and Energy on behalf of the Administrator before a priority can be established.
(4) Upon (i) a determination that:
(A) An application is not in substantial compliance in accordance with
§ 970.209 or subpart C, as applicable;
(B) An application has not been
brought into substantial compliance in
accordance with § 970.210 or subpart C,
as applicable;
(C) A license has been relinquished or
surrendered
in
accordance
with
§ 970.903; or
(ii) A decision to:
(A) Deny certification of a license
pursuant to § 970.407; or
(B) Deny issuance of a license pursuant to § 970.508,
and after the exhaustion of any administrative or judicial review of such determination or decision, the priority of
right for issuance of a license will
lapse.
(f) Request for confidential treatment of
information. If an applicant wishes to
have any information in his application treated as confidential, he must so
indicate pursuant to 15 CFR 971.802.
[46 FR 45898, Sept. 15, 1981, as amended at 47
FR 5968, Feb. 9, 1982; 54 FR 547, Jan. 6, 1989]

283

§ 970.201

15 CFR Ch. IX (1–1–99 Edition)
CONTENTS

§ 970.201 Statement of financial resources.
(a) General. The application must
contain information sufficient to demonstrate to the Administrator the financial resources of the applicant to
carry out, in accordance with this part,
the exploration program set forth in
the applicant’s exploration plan. The
information must show that the applicant is reasonably capable of committing or raising sufficient resources to
cover the estimated costs of the exploration program. The information must
be sufficient for the Administrator to
make a determination on the applicant’s financial responsibility pursuant
to § 970.401.
(b) Contents. In particular, the information on financial resources must include:
(1) A description of how the applicant
intends to finance the exploration program;
(2) The estimated cost of the exploration program;
(3) With respect to the applicant and
those entities upon which the applicant
will rely to finance his exploration activities, the most recent audited financial statement (for publicly-held companies, the most recent annual report
and Form 10–K filed with the Securities
and Exchange Commission will suffice
in this regard); and
(4) The credit rating and bond rating
of the applicant, and such financing entities, to the extent they are relevant.
§ 970.202 Statement of technological
experience and capabilities.
(a) General. The application must
contain information sufficient to demonstrate to the Administrator the
technological capability of the applicant to carry out, in accordance with
the regulations contained in this part,
the exploration program set out in the
applicant’s exploration plan. It must
contain sufficient information for the
Administrator to make a determination on the applicant’s technological
capability pursuant to § 970.402.
(b) Contents. In particular, the information submitted pursuant to this section must demonstrate knowledge and
skills which the applicant either pos-

sesses or to which he can demonstrate
access. The information must include:
(1) A description of the exploration
equipment to be used by the applicant
in carrying out the exploration program;
(2) A description of the environmental monitoring equipment to be
used by the applicant in monitoring
the environmental effects of the exploration program; and
(3) The experience on which the applicant will rely in using this or similar equipment.
§ 970.203 Exploration plan.
(a) General. Each application must include an exploration plan which describes the applicant’s projected exploration activities during the period to
be covered by the proposed license.
Generally, the exploration plan must
demonstrate to a reasonable extent
that the applicant’s efforts, by the end
of the 10-year license period, will likely
lead to the ability to apply for and obtain a permit for commercial recovery.
In particular, 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 license and to the development and enforcement of the terms,
conditions and restrictions for a license.
(b) Contents. The exploration plan
must contain the following information. In presenting this information,
the plan should incorporate the applicant’s proposed individual approach,
including a general description of how
projected participation by other entities will relate to the following elements, if appropriate. The plan must
present:
(1) The activities proposed to be carried out during the period of the license;
(2) A description of the area to be explored, including its delineation according to § 970.601;
(3) The intended exploration schedule
which must be responsive to the diligence requirements in § 970.602. Taking
into account that different applicants
may have different concepts and chronologies with respect to the types of
activities described, the schedule

284

Nat. Oceanic and Atmospheric Adm., Commerce
should include an approximate projection for the exploration activities
planned. Although the details in each
schedule may vary to reflect the applicant’s particular approach, it should
address in some respect approximately
when each of the following types of activities is projected to occur.
(i) Conducting survey cruises to determine the location and abundance of
nodules as well as the sea floor configuration, ocean currents and other physical characteristics of potential commercial recovery sites;
(ii) Assaying nodules to determine
their metal contents;
(iii) Designing and testing system
components onshore and at sea;
(iv) Designing and testing mining
systems which simulate commercial
recovery;
(v) Designing and testing processing
systems to prove concepts and designing and testing systems which simulate
commercial processing;
(vi) Evaluating the continued feasibility of commercial scale operations
based on technical, economic, legal, political and environmental considerations; and
(vii) Applying for a commercial recovery permit and, to the extent
known, other permits needed to construct and operate commercial scale
facilities (if application for such permits is planned prior to obtaining a
commercial recovery permit);
(4) A description of the methods to be
used to determine the location, abundance, and quality (i.e., assay) of nodules, and to measure physical conditions in the area which will affect nodule recovery system design and operations
(e.g.,
seafloor
topography,
seafloor geotechnic properties, and currents);
(5) A general description of the developing recovery and processing technology related to the proposed license,
and of any planned or ongoing testing
and evaluation of such technology. To
the extent possible at the time of application, this description should address such factors as nodule collection
technique, seafloor sediment rejection
subsystem, mineship nodule separation
scheme, pumping method, anticipated
equipment test areas, and details on
the testing plan;

§ 970.204

(6) An estimated schedule of expenditures, which must be responsive to the
diligence requirements as discussed in
§ 970.602;
(7) Measures to protect the environment and to monitor the effectiveness
of environmental safeguards and monitoring systems for commercial recovery. These measures must take into account the provisions in §§ 970.506,
970.518, 970.522 and subpart G of this
part; and
(8) A description of any relevant activity that the applicant has completed
prior to the submission of the application.
§ 970.204 Environmental and use conflict analysis.
(a) Environmental information. To enable NOAA to implement better its responsibility under section 109(d) of the
Act to develop an environmental impact statement (EIS) on the issuance of
an exploration license, the application
must include information for use in
preparing NOAA’s EIS on the environmental impacts of the activities proposed by the applicant. The applicant
must present physical, chemical and
biological information for the exploration area. This information should
include relevant environmental information, if any, obtained during past
exploration activities, but need not duplicate information obtained during
NOAA’s DOMES Project. Planned activities in the area, including the testing of integrated mining systems which
simulate commercial recovery, also
must be described. NOAA will need information with the application on location and boundaries of the proposed exploration area, and plans for delineation of features of the exploration area
including baseline data or plans for acquiring them. The applicant may at his
option delay submission of baseline and
equipment data and system test plans.
However, applicants so electing should
plan to submit this latter information
at least one year prior to the initial
test, to allow time for the supplement
to the site-specific EIS, if one is required, to be prepared by NOAA, circulated, reviewed and filed with EPA.
The submission of this information
with the application is strongly encouraged, however, to minimize the

285

§ 970.205

15 CFR Ch. IX (1–1–99 Edition)

possibility that a supplement will be
required. If such latter information is
submitted subsequent to the original
application such tests may not be undertaken in the absence of concurrence
by NOAA (which, if applicable, will be
required in a term, condition, or restriction in the license). NOAA has developed a technical guidance document
which will provide assistance for the
agency and the applicant, in consultation, to identify the details on information needed in each case. NOAA may
refer to such information for purposes
of other determinations under the Act
as well. NOAA also will seek to facilitate other Federal and, as necessary,
state decisions on exploration activities by functioning as lead agency for
the EIS on the application and related
actions by other agencies, including
those pertaining to any onshore impacts which may result from the proposed exploration activities.
(b) Use conflict information. To assist
the Administrator in making determinations relating to potential use
conflicts between the proposed exploration and other activities in the exploration area, pursuant to §§ 970.503,
970.505, and 970.520, the application
must include information known to the
applicant with respect to such other
activities.

ration activities, which responds to the
following requirements. To the extent
that the applicant knows which foreign
flag vessel he will be using, the application must include evidence of the following:
(1) That any foreign flag vessel whose
flag state is party to the International
Convention for 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 he will be using, he must submit
the applicable certification for each
vessel before the cruise on which it will
be used.
§ 970.206

§ 970.205 Vessel safety.
In order to provide a basis for the
necessary determinations with respect
to the safety of life and property at
sea, pursuant to §§ 970.507, 970.521 and
subpart H of this part, the application
must contain the following information, except for those vessels under 300
gross tons which are engaged in oceanographic research if they are used in
exploration.
(a) U.S. flag vessel. The application
must contain a demonstration or affirmation that any United States flag
vessel utilized in exploration activities
will possess a current valid Coast
Guard Certificate of Inspection (COI).
To the extent that the applicant knows
which United States flag vessel he will
be using, the application must include
a copy of the COI.
(b) Foreign flag vessel. The application
must also contain information on any
foreign flag vessels to be used in explo-

Statement of ownership.

The application must include sufficient information to demonstrate that
the applicant is a United States citizen, as required by § 970.103(b)(6), and as
defined in § 970.101(t). In particular, the
application must include:
(a) Name, address, and telephone
number of the United States citizen responsible for exploration operations to
whom notices and orders are to be delivered; and
(b) A description of the citizen or
citizens engaging in such exploration,
including:
(1) Whether the citizen is a natural
person, partnership, corporation, joint
venture, or other form of association;
(2) The state of incorporation or
state in which the partnership or other
business entity is registered;
(3) The name of registered agent or
equivalent representative and places of
business;

286

Nat. Oceanic and Atmospheric Adm., Commerce
(4) Certification of essential and nonproprietary provisions in articles of incorporation, charter or articles of association; and
(5) The name of each member of the
association, partnership, or joint venture, including information about the
participation of each partner and joint
venturer and/or ownership of stock.
§ 970.207 Antitrust information.
(a) General. Section 103(d) of the Act
specifically provides for antitrust review of applications by the Attorney
General of the United States and the
Federal Trade Commission.
(b) Contents. In order to provide information for this antitrust review, the
application must contain the following:
(1) A copy of each agreement between
any parties to any joint venture which
is applying for a license, provided that
said agreement relates to deep seabed
hard mineral resource exploration or
mining;
(2) The identity of any affiliate of
any person applying for a license; and
(3) For each applicant, its affiliate,
or parent or subsidiary of an affiliate
which is engaged in production in, or
the purchase or sale in or to, the
United States of copper, nickel, cobalt
or manganese minerals or any metals
refined from these minerals:
(i) The annual tons and dollar value
of any of these minerals and metals so
purchased, sold or produced for the two
preceding years;
(ii) Copies of the annual report, balance sheet and income statement for
the two preceding years; and
(iii) Copies of each document submitted to the Securities and Exchange
Commission.
§ 970.208 Fee.
(a) General. Section 104 of the Act
provides that no application for the
issuance or transfer of an exploration
license will be certified unless the applicant pays to NOAA a reasonable administrative fee, which must reflect
the reasonable administrative costs incurred in reviewing and processing the
application.
(b) Amount. In order to meet this requirement, the application must include a fee payment of $100,000, payable
to the National Oceanic and Atmos-

§ 970.209

pheric Administration, Department of
Commerce. If costs incurred by NOAA
in reviewing and processing an application are significantly less than or in
excess of the original fee, the agency
subsequently will determine those differences in costs and adjust the fee accordingly. If the costs are significantly
less, NOAA will refund the difference.
If they are significantly greater, the
applicant will be required to submit
the additional payment prior to issue
or transfer of the license. In the case of
an application for transfer of a license
to an entity which has previously been
found qualified for a license, the Administrator may, on the basis of preapplication consultations pursuant to
§ 970.200(d), 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. If an applicant elects
to pursue the ‘banking’ option under
§ 970.601(d), and exercises that option by
submitting two applications, only one
application fee needs to be submitted
with respect to each use of the ‘banking’ option.
[46 FR 45898, Sept. 15, 1981, as amended at 47
FR 5966, 5968, Feb. 9, 1982]

PROCEDURES
§ 970.209 Substantial compliance with
application requirements.
(a) Priority of right for the issuance
of licenses to new entrants will be established on the basis of the chronological order in which license applications which are in substantial compliance with the requirements established
under this subpart are filed with the
Administrator pursuant to § 970.200.
(b) In order for an application to be
in substantial compliance with the requirements of this subpart, it must include information specifically identifiable with and materially responsive to
each requirement contained in §§ 970.201
through 970.208. A determination on
substantial compliance relates only to
whether the application contains the
required information, and does not constitute a determination on certification of the application, or on
issuance or transfer of a license.

287

§ 970.210

15 CFR Ch. IX (1–1–99 Edition)

(c) The Administrator will make a
determination as to whether the application is in substantial compliance.
Within 30 days after receipt of an application and the opening of coordinates
describing the application area, he will
issue written notice to the applicant
regarding such determination. The notice will identify, if applicable, in what
respects the application is not in either
full or substantial compliance. If the
application is in substantial but not
full compliance, the notice will specify
the information which the applicant
must submit in order to bring it into
full compliance, and why the additional information is necessary.
[46 FR 45898, Sept. 15, 1981, as amended at 47
FR 11513, Mar. 17, 1982]

§ 970.210 Reasonable time for full compliance.
Priority of right will not be lost in
case of any application filed which is in
substantial but not full compliance, as
specified in § 970.209, if the Administrator determines that the applicant,
within 60 days after issuance to the applicant by the Administrator of written notice that the application is in
substantial but not full compliance,
has brought the application into full
compliance with the requirements of
§§ 970.201 through 970.208.
[46 FR 45898, Sept. 15, 1981; 47 FR 5966, Feb. 9,
1982]

§ 970.211 Consultation and cooperation
with Federal agencies.
(a) Promptly after his receipt of an
application and the opening of coordinates describing the application area,
the Administrator will distribute a
copy of the application to each other
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 (i.e.,
the Departments of State, Transportation, Justice, Interior, Defense,
Treasury and Labor, as well as the Environmental Protection Agency, Federal Trade Commission, Small Business
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 which is in full compliance with this subpart, recommend certification of the application, issuance
or transfer of the license, 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 § 970.207, must be submitted
within 90 days after their receipt of a
copy of the application which is in full
compliance with this subpart. NOAA
will use the benefits of this process of
consultation and cooperation to facilitate necessary Federal decisions on the
proposed exploration 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.
(b) In any case in which a Federal
agency or department recommends a
denial, it will set forth in detail the
manner in which the application does
not comply with any law or regulation
within its area of responsibility and
will indicate how the application may
be amended, or how terms, conditions
or restrictions might be added to the
license to assure compliance with such
law or regulation.
(c) A recommendation from another
Federal agency or department for denying or amending an application will
not affect its having been in substantial compliance with the requirements
of this subpart, pursuant to § 970.209,
for purposes of establishing priority of
right. However, pursuant to section
103(e) of the Act, NOAA will cooperate
with such agencies and with the applicant with the goal of resolving the concerns raised and satisfying the statutory responsibilities of these agencies.
[46 FR 45898, Sept. 15, 1981, as amended at 47
FR 11513, Mar. 17, 1982]

§ 970.212 Public notice, hearing and
comment.
(a) Notice and comments. The Administrator will publish in the FEDERAL
REGISTER, for each application for an
exploration license, notice that such
application has been received. Subject
to 15 CFR 971.802, interested persons
will be permitted to examine the materials relevant to such application. Interested persons will have at least 60

288

Nat. Oceanic and Atmospheric Adm., Commerce
days after publication of such notice to
submit written comments to the Administrator.
(b) Hearings. (1) After preparation of
the draft EIS on an application pursuant to section 109(d) of the Act, the Administrator shall hold a public hearing
on the application and the draft EIS in
an appropriate location, and may employ such additional methods as he
deems appropriate to inform interested
persons about each application and to
invite their comments thereon.
(2) If the Administrator determines
there exists 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 15 CFR part 971. The record
developed in any such formal hearing
will be part of the basis of the Administrator’s decisions on an application.
(c) Hearings held pursuant to this
section and other procedures will be
consolidated insofar as practicable
with hearings held and procedures employed by other agencies.
[46 FR 45898, Sept. 15, 1981, as amended at 54
FR 547, Jan. 6, 1989]

§ 970.213 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 license, the applicant
must submit an amendment to the application if required by a significant
change in the circumstances represented in the original application and
affecting 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,
he will provide a copy of such 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 § 970.212. Such amendment, however,

§ 970.300

will not affect the priority of right established by the filing of the original
application. After the issuance of or
transfer of a license, any revision by
the licensee will be made pursuant to
§ 970.513.

Subpart C—Procedures for Applications Based on Exploration
Commenced Before June 28,
1980; Resolution of Conflicts
Among Overlapping Applications; Applications by New
Entrants
SOURCE: 47 FR 24948, July 8, 1982, unless
otherwise noted.

§ 970.300 Purposes and definitions.
(a) This subpart sets forth the procedures which the Administrator will
apply to applications filed with NOAA
covering areas of the deep seabed where
the applicants have engaged in exploration prior to June 28, 1980, and to the
resolution of conflicts arising out of
such applications. This subpart also establishes the date on which NOAA will
begin to accept applications or amendments filed by new entrants, and certain other procedures for new entrants.
(b) For the purposes of this subpart
the term:
(1) Amendment means an amendment
to an application which changes the
area applied for;
(2) Application means an application
for an exploration license which is filed
pursuant to the Act and this subpart;
(3) Conflict means the existence of
more than one application or amendment with the same priority of right:
(i) Which are filed with the Administrator or with the Administrator and a
reciprocating state; and
(ii) In which the deep seabed areas
applied for overlap in whole or part, to
the extent of the overlap;
(4) Original conflict means a conflict
solely between or among applications;
(5) New conflict means a conflict between or among amendments filed
after July 22, 1982, and on or before October 15, 1982;
(6) Domestic conflict means a conflict
solely between or among applications
or amendments which have been filed
with the Administrator.

289

§ 970.301

15 CFR Ch. IX (1–1–99 Edition)

(7) International conflict means a conflict arising between or among applications or amendments filed with the Administrator and a reciprocating state.
§ 970.301 Requirements for applications based on pre-enactment exploration.
(a) Pursuant to section 101(b) of the
Act, any United States citizen who was
engaged in exploration before the effective date of the Act (June 28, 1980)
qualifies as a pre-enactment explorer
and may continue to engage in such exploration without a license:
(1) If such citizen applies under this
part for a license with respect to such
exploration within the time period
specified in paragraph (b) of this section; and
(2) Until such license is issued to
such citizen or a final administrative
or judicial determination is made affirming the denial of certification of
the application for, or issuance of, such
license.
(b) Any application for a license
based upon pre-enactment exploration
must be filed, at the address specified
in § 970.200(b), no later than 5:00 p.m.
EST on March 12, 1982 (or such later
date and time as the Administrator
may announce by regulation). All such
applications filed at or before that
time will be deemed to be filed on such
closing date.
(c) Applications not filed in accordance with this section will not be considered to be based on pre-enactment
exploration, and may be filed only as
new
entrant
applications
under
§ 970.303.
(d) To receive a pre-enactment explore priority of right for issuance of a
license, and application must be, when
filed, in substantial compliance with
requirements described in § 970.209(b).
An application which is in substantial
but not full compliance will not lose its
priority of right if it is brought into
full compliance according to § 970.210.
(e) Any application based on pre-enactment exploration must be for a reasonably compact area with respect to
which the applicant is a pre-enactment
explorer, and, notwithstanding any
part of § 970.601 which indicates otherwise, such area must be bounded by a
single continuous boundary.

(f) The coordinates and any chart of
the logical mining unit applied for in
an application based on a pre-enactment exploration must be submitted in
a separate, sealed envelope.
(g) On or before March 12, 1982, the
applicants must indicate to the Administrator, other than in the sealed portion of the application:
(1) The size of the area applied for;
(2) Whether the applicant or any person on the applicant’s behalf has applied, or intends to apply, for the same
area or substantially the same area to
one or more nations, and the number of
such other applications; and
(3) Whether the other applicant is
pursuing the ‘‘banking’’ option under
§ 970.601(d), and the number of applications filed, or to be filed, in pursuit of
the ‘‘banking’’ option.
§ 970.302 Procedures and criteria for
resolving conflicts.
(a) General. This section governs the
resolution of all conflicts between or
among applications or amendments
having pre-enactment explorer priority
of right.
(b) Identification of applicants. On
June 21, 1982, the Administrator will
meet with representatives of reciprocating states to identify their respective pre-enactment explorer applicants,
and will identify the coordinates of the
application areas applied for by such
applicants.
(c) Initial processing. On or before
July 13, 1982, the Administrator will
determine whether each domestic application is entitled to a priority of
right based on pre-enactment exploration in accordance with § 970.301.
(d) Identification of conflicts. On July
14, 1982, the Administrator will meet
with representatives of reciprocating
states to exchange lists of applications
accorded pre-enactment explorer priorities of right, and will identify any conflicts existing among such applications.
(e) Notification to applicants of conflicts. If the Administrator identifies a
conflict, he will send, no later than
July 22, 1982, written notice of the conflict to each domestic applicant involved in the conflict. The notice will:
(1) Identify each applicant involved
in the conflict in question:

290

Nat. Oceanic and Atmospheric Adm., Commerce
(2) Identify the coordinates of the
portions of the application areas which
are in conflict;
(3) Indicate that the applicant may
request from the Administrator the coordinates of the application areas from
any other applications filed with the
Administrator or with a reciprocating
state (such coordinates will be provided
subject to appropriate confidentiality
arrangements);
(4) State whether;
(i) Each domestic application involved in the conflict is in substantial
or, if known, full compliance with the
requirements described in § 970.209(b);
and
(ii) Each foreign application involved
in the conflict meets, if known, the
legal requirements of the reciprocating
state in which it is filed;
(5) Notify each domestic applicant involved in a conflict that he may, after
July 22, 1982, and on or before November 16, 1982, resolve the conflict voluntarily according to paragraph (f) of this
section, and that on or after November
17, 1982, any unresolved conflict shall
be resolved in accordance with paragraph (j) or (k) of this section, as applicable; and
(6) In the case of an international
conflict, include a copy of any applicable conflict resolution procedures in
force between the United States and its
reciprocating states pursuant to section 118 of the Act.
(f) Voluntary resolution of conflicts.
Each U.S. applicant involved in a conflict may resolve the conflict after
July 22, 1982, and on or before November 16, 1982, by:
(1) Unilaterally, or by agreement
with each other applicant involved in
the conflict, filing an amendment to
the application eliminating the conflict; or
(2) Agreeing in writing with the other
applicant(s) involved in the conflict to
submit it to an agreed binding conflict
resolution procedure.
(g) Amendments. (1) Amendments
must be filed in accordance with the
requirements for applications described
in § 970.200.
(2) The Administrator will:
(i) Accept no amendment prior to
July 23, 1982;

§ 970.302

(ii) Accord pre-enactment explorer
priority of right only to amendments
which:
(A) Pertain to areas with respect to
which the applicant has engaged in preenactment exploration;
(B) Resolve an existing conflict with
respect to that application;
(C) Do not apply for an area included
in an application filed pursuant to
§ 970.301 which is accorded pre-enactment explorer priority of right or an
application identified pursuant to
§ 970.302(b) which has been filed with a
reciprocating state; and
(D) Are filed on or before October 15,
1982; and
(iii) Accord amendments which meet
the requirements of this paragraph (g)
the same priority of right as the applications to which they pertain.
(3) The area applied for in an amendment need not be adjacent to the area
applied for in the original application.
(4) Amendments not accorded pre-enactment explorer priority of right may
be filed as new entrant amendments
under § 970.303.
(h) Notification of amendments and new
conflicts. The Administrator will:
(1) No later than October 25, 1982, notify each reciprocating state of any
amendment accorded pre-enactment
explorer priority of right pursuant to
paragraph (g) of this section and, in cooperation with such states, identify
any new conflicts;
(2) No later than October 27, 1982, notify each domestic applicant who is involved in a new conflict. The notice
will:
(i) Identify each applicant with whom
each new conflict has arisen;
(ii) Identify the coordinates of each
area in which the applicant is involved
in a new conflict;
(iii) Indicate that the applicant may
request from the Administrator the coordinates of each area included in an
amendment accorded pre-enactment
explorer priority of right pursuant to
paragraph (g) of this section, or for
which notice has been received from a
reciprocating state (such coordinates
will be provided subject to appropriate
confidentiality arrangements);
(iv) Notify the applicant that he
may, on or before November 16, 1982,

291

§ 970.302

15 CFR Ch. IX (1–1–99 Edition)

resolve the conflict voluntarily according to paragraph (f) of this section, and
that on or after November 17, 1982, any
unresolved conflict shall be resolved in
accordance with paragraph (j) or (k) of
this section, as applicable; and
(v) In the case of an international
conflict, include a copy of any applicable conflict resolution procedures in
force between the United States and its
reciprocating states pursuant to section 118 of the Act.
(i) Government assistance in resolving
international conflicts. If, by October 26
1982, the applicants have not resolved,
or agreed in writing to a specified binding procedure to resolve, an original
international conflict, or new international conflict, the Administrator,
the Secretary of State of the United
States, and appropriate officials of the
government of the reciprocating state
to which the other applicant involved
in the conflict applied will use their
good offices to assist the applicants to
resolve the conflict. After November 16,
1982, any unresolved international conflicts will be resolved in accordance
with paragraph (k) of this section.
(j) Unresolved domestic conflict—(1)
Procedure. (i) In the case of an original
domestic conflict or a new domestic
conflict, the applicants will be allowed
until April 15, 1983, to resolve the conflict or agree in writing to submit the
conflict to a specified binding conflict
resolution procedure. If, by April 15,
1983, all applicants involved in an original or new domestic conflict have not
resolved that conflict, or agreed in
writing to submit the conflict to a
specified binding conflict resolution
procedure, the conflict will be resolved
in a formal hearing held in accordance
with Subpart I of 15 CFR Part 971, except that:
(A) The General Counsel of NOAA
will not, as a matter of right, be a
party to the hearing; however, the General Counsel may be admitted to the
hearing by the administrative law
judge as a party or as an interested
person pursuant to 15 CFR 971.901 (f)(2)
or (f)(3); and
(B) The administrative law judge will
take such actions as he deems necessary and appropriate to conclude the
hearing and transmit a recommended

decision to the Administrator in an expeditious manner.
(ii) Notwithstanding the above, at
any time on or after November 17, 1982,
and on or before April 14, 1983, the applicants involved in the conflict may,
by agreement, request the Administrator to resolve the conflict in a formal hearing as described above.
(2) Decision principles for NOAA formal
conflict resolution. (i) The Administrator shall determine which applicant
involved in a conflict between or
among pre-enactment explorer applications or amendments shall be awarded
all or part of each area in conflict.
(ii) The determination of the Administrator shall be based on the application of principles of equity which take
into consideration, with respect to
each applicant involved in the conflict,
the following factors:
(A) The continuity and extent of activities relevant to each area in conflict and the application area of which
it is a part;
(B) The date on which each applicant
involved in the conflict, or predecessor
in interest or component organization
thereof, commenced activities at sea in
the application area;
(C) The financial cost of activities
relevant to each area in conflict and to
the application area of which it is a
part, measured in constant dollars;
(D) The time when the activities
were carried out, and the quality of the
activities; and
(E) Such additional factors as the Administrator determines to be relevant,
but excluding consideration of the future work plans of the applicants involved in any conflict.
(iii) For the purposes of this paragraph (j) of this section, the word activities means the undertakings, commitments of resources investigations,
findings, research, engineering development and other activities relevant to
the identification, discovery, and systematic analysis and evaluation of
hard mineral resources and to the determination of the technical and economic feasibility of commercial recovery.
(iv) When considering the factors
specified in paragraph (j)(2)(ii) of this
section, the Administrator shall hear,

292

Nat. Oceanic and Atmospheric Adm., Commerce
and shall (except for purposes of apportionment
pursuant
to
paragraph
(j)(2)(v) of this section) limit his consideration to, all evidence based on the
activities
specified
in
paragraph
(j)(2)(ii) of this section which were conducted on or before January 1, 1982,
Provided, however, That an applicant
must prove at-sea activities in the area
in conflict prior to June 28, 1980, as a
pre-condition to presentation of further evidence to the Administrator regarding activities in the area in conflict.
(v) In making his determination, the
Administrator may award the entire
area in conflict to one applicant involved in the conflict, or he may apportion the area among any or all of the
applicants involved in the conflict. If,
after applying the principles of equity,
the Administrator determines that the
area in conflict should be apportioned,
the Administrator shall (to the maximum extent practicable consistent
with the Administrator’s application of
the principles of equity) apportion the
area in a manner designed to satisfy
the plan of work set forth in the application of each applicant which is
awarded part of the area.
(vi) Each applicant involved in the
conflict must file an amendment to its
application if necessary to implement
the determination made by the Administrator.
(k) Unresolved international conflicts.
(1) If, by November 17, 1982, all applicants involved in an original or new
international conflict have not resolved that conflict, or agreed in writing to submit the conflict to a specified
binding conflict resolution procedure,
the applicants shall proceed in accordance with the conflict resolution procedures agreed to between the United
States and its reciprocating states pursuant to section 118 of the Act.
(2) Each applicant whose application
is involved in an international conflict
shall be responsible for actions required in the conduct of the conflict
resolution procedures, including bearing a proportional cost of implementing the procedures, representing himself in any proceedings, and assisting
in the selection of arbitrators if necessary.

§ 970.303

(l) Continued opportunity for voluntary
resolutions. Each applicant may resolve
any conflict by voluntary procedures
at any time while that conflict persists.
(m) Effect on priorities of new entrants.
(1) A pre-enactment explorer is entitled
to a priority of right over a new entrant for any area in which the pre-enactment explorer has engaged in exploration prior to June 28, 1980 if, with respect to that area, the pre-enactment
explorer files an application in accordance with this part on or after January
25, 1982 and on or before the closing
date for pre-enactment explorer applications established under § 970.301(b).
(2) Any amendment which is filed by
a pre-enactment explorer on or before
October 15, 1982, relates back to the
date of filing of the original application and shall give the pre-enactment
explorer priority of right over all new
entrants if the amendment is accorded
a pre-enactment explorer priority of
right under paragraph (g) of this section.
[47 FR 24948, July 8, 1982, as amended at 54
FR 548, Jan. 6, 1989]

§ 970.303 Procedures for new entrants.
(a) Filing of new entrant applications
or amendments; priority of right. New entrant applications or amendments
must be filed in accordance with
§ 970.200. A new entrant may file an application or amendment only at or
after 1500 hours G.m.t. (11:00 a.m. EDT)
January 3, 1983. All applications or
amendments filed at that time shall be
deemed to be filed simultaneously, and,
if in accordance with § 970.209, shall
have priority of right over any application or amendment filed subsequently.
Priority of right for any application or
amendment filed after that time will
be established as described in § 970.209.
(b) Conflicts. (1) If a domestic conflict
exists between or among new entrant
applications or amendments, the applicants involved in the conflict shall resolve it.
(2) If an international conflict exists
between or among new entrant applications or amendments, the conflict shall
be resolved in accordance with applicable conflict resolution procedures
agreed to between the United States
and its reciprocating States pursuant

293

§ 970.304

15 CFR Ch. IX (1–1–99 Edition)

to section 118 of the Act. The Administrator will provide each domestic applicant involved in an international
conflict a copy of any such procedures
in force when the Administrator issues
notice to the applicant that an international conflict exists. Each applicant
whose application is involved in an
international conflict shall be responsible for actions required in the conduct of the conflict resolution procedures, including bearing a proportional
cost of implementing the procedures,
representing himself in any proceedings, and assisting in the selection of
arbitrators if necessary.
§ 970.304 Action on portions of applications or amendments not in conflict.
If an applicant so requests, the Administrator will proceed in accordance
with this part to review that portion of
an area included in an application or
amendment that is not involved in a
conflict. However, the Administrator
will proceed with such review only if
the applicant advises the Administrator in writing that the applicant
will continue to seek a license for the
proposed exploration activities in the
portion of the application area that is
not in conflict. To the extent practicable, the deadlines for certification
of an application or amendment and
issuance of a license provided in
§ 970.400 and § 970.500, respectively, will
run from the date of filing of the original application.

Subpart D—Certification of
Applications

determinations with respect to the requirements set forth in §§ 970.401
through 970.406. This will be done after
consultation with other departments
and agencies pursuant to § 970.211.
(c) To the maximum extent possible,
the Administrator will endeavor to
complete certification of an application within 100 days after submission of
an application which is in full compliance with Subpart B of this part. If
final certification or denial of certification has not occurred within 100 days
after such submission of the application, the Administrator will inform the
applicant in writing of the pending unresolved issues, the agency’s efforts to
resolve them, and an estimate of the
time required to do so.
§ 970.401

§ 970.402

SOURCE: 46 FR 45902, Sept. 15, 1981, unless
otherwise noted.

§ 970.400 General.
(a) Certification is an intermediate
step between receipt of an application
for issuance or transfer of a license and
its 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 license, he must determine that issuance of the license would
not violate any of the restrictions in
§ 970.103(b). He also must make written

Financial responsibility.

(a) Before the Administrator may
certify an application for an exploration license he must find that the applicant has demonstrated that, upon
issuance or transfer of the license, the
applicant will be financially responsible to meet all obligations which he
may require to engage in the exploration proposed in the application.
(b) In order for the Administrator to
make this determination, the applicant
must show to the Administrator’s satisfaction that he is reasonably capable
of committing or raising sufficient resources to carry out, in accordance
with the provisions contained in this
part, the exploration program set forth
in his exploration plan.
Technological capability.

(a) Before the Administrator may
certify an application for an exploration license, he must find that the
applicant has demonstrated that, upon
issuance or transfer of the license, the
applicant will possess, or have access
to or a reasonable expectation of obtaining, the technological capability to
engage in the proposed exploration.
(b) In order for the Administrator to
make this determination, the applicant
must demonstrate to the Administrator’s satisfaction that the applicant
will possess or have access to, at the
time of issuance or transfer of the license, the technology and expertise, as
needed, to carry out the exploration

294

Nat. Oceanic and Atmospheric Adm., Commerce
program set forth in his exploration
plan.
§ 970.403 Previous license and permit
obligations.
In order to certify an application, the
Administrator must find that the applicant has satisfactorily fulfilled all
past obligations under any license or
permit previously issued or transferred
to the applicant under the Act.
§ 970.404 Adequate exploration plan.
Before he may certify an application,
the Administrator must find that the
proposed exploration plan of the applicant meets the requirements of
§ 970.203.
§ 970.405 Appropriate exploration site
size and location.
Before the Administrator may certify
an application, he must approve the
size and location of the exploration
area selected by the applicant. The Administrator will approve the size and
location of the area unless he determines that the area is not a logical
mining unit pursuant to § 970.601.
§ 970.406 Fee payment.
Before the Administrator may certify
an application, he must find that the
applicant has paid the license fee as
specified in § 970.208.
§ 970.407 Denial of certification.
(a) The Administrator may deny certification of an application if he finds
that the requirements of this subpart
have not been met. If, in the course of
reviewing an application for certification, the Administrator becomes
aware of the fact that one or more of
the requirements for issuance or transfer under §§ 970.503 through 970.507 will
not be met, he may also deny certification of the application.
(b) When the Administrator proposes
to deny certification he will send to
the applicant, and publish in the FEDERAL REGISTER, written notice of intention to deny certification. Such 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 Adminis-

§ 970.408

trator 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
(the period of time may not 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 sent to the applicant, under
paragraph (b) of this section, unless before such 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) of
this section in which the applicant
must correct a deficiency, if such deficiency has not been corrected before
such day and an administrative review
requested pursuant to paragraph (c)(1)
of this section 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 of 15 CFR
part 971. 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.
(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.
[46 FR 45902, Sept. 15, 1981, as amended at 54
FR 547, Jan. 6, 1989]

§ 970.408

Notice of certification.

Upon making a final determination
to certify an application for an exploration license, the Administrator will
promptly send written notice of his determination to the applicant.

295

§ 970.500

15 CFR Ch. IX (1–1–99 Edition)

Subpart E—Issuance/Transfer/
Terms, Conditions and Restrictions
SOURCE: 46 FR 45903, Sept. 15, 1981, unless
otherwise noted.

§ 970.500 General.
(a) Proposal. After certification of an
application pursuant to Subpart D of
this part, the Administrator will proceed with a proposal to issue or transfer a license for the exploration activities described in the application.
(b)(1) Terms, conditions and restrictions. Within 180 days (or such longer
period as the Administrator may establish for good cause shown in writing)
after certification, the Administrator
will propose terms and conditions for,
and restrictions on, the proposed exploration which are consistent with the
provisions of the Act and this part as
set forth in §§ 970.517 through 970.524.
Proposed and final terms, conditions
and restrictions will be uniform in all
licenses, except to the extent that differing physical and environmental conditions require the establishment of
special terms, conditions and restrictions for the conservation of natural
resources, protection of the environment, or the safety of life and property
at sea. The Administrator will propose
these in writing to the applicant. Also,
public notice thereof will be provided
pursuant to § 970.501, and they will be
included with the draft of the EIS on
the issuance of a license which is required by section 109(d) of the Act.
(2) If the Administrator does not propose terms, conditions and restrictions
within 180 days after certification, he
will notify the applicant in writing of
the reasons for the delay and will indicate the approximate date on which
the proposed terms, conditions and restrictions will be completed.
(c) Findings. Before issuing or transferring an exploration license, the Administrator must make written findings in accordance with the requirements of §§ 970.503 through 970.507.
These findings will be made after considering all information submitted
with respect to the application and
proposed issuance or transfer. He will
make
a
final
determination
on
issuance or transfer of a license, and
will publish a final EIS on that action,

within 180 days (or such longer period
of time as he may establish for good
cause shown in writing) following the
date on which proposed terms, conditions and restrictions, and the draft
EIS, are published.
ISSUANCE/TRANSFER; MODIFICATION/
REVISION; SUSPENSION/REVOCATION
§ 970.501 Proposal to issue or transfer
and of terms, conditions and restrictions.
(a) Notice and comment. The Administrator will publish in the FEDERAL
REGISTER notice of each proposal to
issue or transfer, and of terms and conditions for, and restrictions on, an exploration license. Subject to 15 CFR
971.802, interested persons will be permitted to examine the materials relevant to such proposals. Interested persons 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 a public hearing 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.
(2) If the Administrator determines
there exists 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 15 CFR part 971. 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 of terms, conditions
and restrictions for the license.
(c) Hearings held pursuant to this
section will be consolidated insofar as
practicable with hearings held by other
agencies.
[46 FR 45903, Sept. 15, 1981, as amended at 54
FR 548, Jan. 6, 1989]

§ 970.502 Consultation and cooperation
with Federal agencies.
Prior to the issuance or transfer of
an exploration license, the Administrator will continue the consultation
and cooperation with other Federal

296

Nat. Oceanic and Atmospheric Adm., Commerce
agencies which were initiated pursuant
to § 970.211. This consultation will be to
assure compliance with, among other
statutes, the Endangered Species Act
of 1973, as amended, the Marine Mammal Protection Act of 1972, as amended, and the Fish and Wildlife Coordination Act. He also will consult, prior to
any issuance, transfer, modification or
renewal of a license, with any affected
Regional Fishery Management Council
established pursuant to section 302 of
the Fishery Conservation and Management Act of 1976 (16 U.S.C. 1852) if the
activities undertaken pursuant to such
license could adversely affect any fishery within the Fishery Conservation
Zone, or any anadromous species or
Continental Shelf fishery resource subject to the exclusive management authority of the United States beyond
such zone.
§ 970.503 Freedom of the high seas.
(a) Before issuing or transferring an
exploration license, the Administrator
must find that the exploration 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 exploration for hard mineral resources of
the deep seabed is a freedom of the
high seas. In the exercise of this right,
each licensee must 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 exploration program of an
applicant or licensee 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 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 in a
manner in which neither will unreasonably interfere with the other.
(2) If both uses cannot be conducted
harmoniously in the area subject to
the exploration plan, the Adminis-

§ 970.508

trator will decide whether to issue or
transfer the license.
§ 970.504 International obligations of
the United States.
Before issuing or transferring an exploration license, the Administrator
must find that the exploration 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.
§ 970.505 Breach
of
international
peace and security involving armed
conflict.
Before issuing or transferring an exploration license, the Administrator
must find that the exploration 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.
§ 970.506

Environmental effects.

Before issuing or transferring an exploration license, the Administrator
must find that the exploration proposed in the application cannot reasonably be expected to result in a significant adverse effect on the quality of
the environment, taking into account
the analyses and information in any
applicable EIS prepared pursuant to
section 109(c) or 109(d) of the Act. This
finding also will be based upon the considerations and approach in § 970.701.
§ 970.507

Safety at sea.

Before issuing or transferring an exploration license, the Administrator
must find that the exploration proposed in the application will not pose
an inordinate threat to the safety of
life and property at sea. This finding
will be based on the requirements reflected in §§ 970.205 and 970.801.
§ 970.508
fer.

Denial of issuance or trans-

(a) The Administrator may deny
issuance or transfer of a license if he
finds that the applicant or the proposed exploration activities do not
meet the requirements of this part for
the issuance or transfer of a license.

297

§ 970.509

15 CFR Ch. IX (1–1–99 Edition)

(b) When the Administrator proposes
to deny issuance or transfer, he will
send to the applicant, and publish in
the FEDERAL REGISTER, written notice
of such intention to deny issuance or
transfer. Such 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
(the period of time may not exceed 180
days except as specified by the Administrator for good cause).
The FEDERAL REGISTER notice will not
include the coordinates of the proposed
exploration area.
(c) The Administrator will deny
issuance or transfer:
(1) On the 30th day after the date the
notice is sent to the applicant under
paragraph (b) of this section, unless before such 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) of
this section in which the applicant
must correct a deficiency, if such deficiency has not been corrected before
such day and an administrative review
requested pursuant to paragraph (c)(1)
of this section 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 of 15 CFR
part 971. 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, 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
issuance of a license is subject to judicial review as provided in chapter 7 of
title 5, United States Code.
[46 FR 45903, Sept. 15, 1981, as amended at 54
FR 548, Jan. 6, 1989]

§ 970.509 Notice of issuance or transfer.
If the Administrator finds that the
requirements of this part have been
met, he will issue or transfer the license along with the appropriate
terms, conditions and restrictions. Notification thereof will be made in writing to the applicant and in the FEDERAL REGISTER.
§ 970.510 Objections to terms, conditions and restrictions.
(a) The licensee may file a notice of
objection to any term, condition or restriction in the license. The licensee
may object on the grounds that any
term, condition or restriction is inconsistent with the Act or this part, or on
any other grounds which may be raised
under applicable provisions of law. If
the licensee does not file notice of an
objection within the 60-day period immediately following the licensee’s receipt of the notice of issuance or transfer under § 970.509, he will be deemed
conclusively to have accepted the
terms, conditions and restrictions in
the license.
(b) Any notice of objection filed
under paragraph (a) of this section
must be in writing, must contain the
precise legal basis for the objection,
and must provide information relevant
to any underlying factual issues
deemed by the licensee 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 licensee, written notice of
his decision.
(d) If, after the Administrator takes
final action on an objection, the licensee 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 15 CFR part 971.

298

Nat. Oceanic and Atmospheric Adm., Commerce
(e) Any final determination by the
Administrator on an objection to
terms, conditions or restrictions in a
license after the formal hearing provided in paragraph (d) of this section is
subject to judicial review as provided
in chapter 7 of title 5, United States
Code.
[46 FR 45903, Sept. 15, 1981, as amended at 54
FR 548, Jan. 6, 1989]

§ 970.511 Suspension or modification
of activities; suspension or revocation of licenses.
(a) The Administrator may:
(1) In addition to, or in lieu of, the
imposition of any civil penalty under
subpart J of 15 CFR part 971, or in addition to the imposition of any fine
under subpart J, suspend or revoke any
license issued under this part, or suspend or modify any particular activities under such a license, if the licensee
substantially fails to comply with any
provision of the Act, this part, or any
term, condition or restriction of the license; and
(2) Suspend or modify particular activities under any license, 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 situation 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 15 CFR 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) of this section
the Administrator will publish in the
FEDERAL REGISTER, and send to the licensee, 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 Adminis-

§ 970.511

trator believes the licensee can correct:
(i) The action believed necessary to
correct the deficiency; and
(ii) The time within which any correctable deficiency must be corrected
(this period of time may not exceed 180
days except as specified by the Administrator for good cause).
(d) The Administrator will take the
proposed action:
(1) On the 30th day after the date the
notice is sent to the licensee, under
paragraph (c) of this section, unless before such 30th day the licensee 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) of
this section in which the licensee must
correct the deficiency, if such deficiency has not been corrected before
such day and an administrative review
requested pursuant to paragraph (d)(1)
of this section is not pending or in
progress.
(e) If a timely request for administrative review of the proposed action is
made by the licensee under paragraph
(d)(1) of this section, the Administrator
will promptly begin a formal hearing
in accordance with subpart I of 15 CFR
part 971. If the proposed action 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 licensee, 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 exploration
activities by a licensee, except as provided in paragraph (i) of this section.
(i) The provisions of paragraphs (c),
(d), (e) and (h) of this section will not
apply when:

299

§ 970.512

15 CFR Ch. IX (1–1–99 Edition)

(1) The President determines by Executive Order that an immediate suspension of a license, or immediate suspension or modification of particular
activities under such license, is necessary for the reasons set forth in paragraph (a)(2) of this section; or
(2) The Administrator determines
that immediate suspension of such a license, or immediate suspension or
modification of particular activities
under a license, is necessary to prevent
a significant adverse effect on the environment 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).
(j) The Administrator will immediately rescind the emergency order as
soon as he has determined that the
cause for the order has been removed.
[46 FR 45903, Sept. 15, 1981, as amended at 54
FR 548, Jan. 6, 1989]

§ 970.512 Modification of terms, conditions and restrictions.
(a) After issuance or transfer of any
license, the Administrator, after consultation with interested agencies and
the licensee, may modify any term,
condition, or restriction in such license
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 provisions of § 970.503;
(2) If relevant data and other information (including, but not limited to,
data resulting from exploration activities under the license) 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) The procedures for objection to
the modification of a term, condition
or restriction will be the same as those
for objection to an original term, condition or restriction under § 970.510, except that the period for filing notice of
objection will run from the receipt of
notice of proposed modification. Public
notice of proposed modifications under
this section will be made according to
§ 970.514. On or before the date of publication of public notice, written notice
will be provided to the licensee.
[46 FR 45903, Sept. 15, 1981; 47 FR 5966, Feb. 9,
1982]

§ 970.513

Revision of a license.

(a) During the term of an exploration
license, the licensee may submit to the
Administrator an application for a revision of the license or the exploration
plan associated with it. NOAA recognizes that changes in circumstances
encountered, and in information and
technology developed, by the licensee
during exploration may require such
revisions. In some cases it may even be
advisable to recognize at the time of
filing the original license application
that although the essential information for issuing or transferring a license as specified in §§ 970.201 through
920.208 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 license
which would authorize exploration activities and plans only to the extent
described in the application.
(b) The Administrator will approve
such application for a revision upon a
finding in writing that the revision will
comply with the requirements of the
Act and this part.
(c) A change which would require an
application to and approval by the Administrator as a revision is a major
change in one or more of:
(1) The bases for certifying the original application pursuant to §§ 970.401
through 970.406;
(2) The bases for issuing or transferring the license pursuant to §§ 970.503
through 970.507; or
(3) The terms, conditions and restrictions issued for the license pursuant to
§§ 970.517 through 970.524.

300

Nat. Oceanic and Atmospheric Adm., Commerce
A major change is one which is of such
significance so as to raise a question as
to:
(i) The applicant’s ability to meet
the requirements of the sections cited
in paragraphs (c) (1) and (2) of this section; or
(ii) The sufficiency of the terms, conditions and restrictions to accomplish
their intended purpose.
§ 970.514 Scale requiring application
procedures.
(a) A proposal by the Administrator
to modify a term, condition or restriction in a license pursuant to § 970.512,
or an application by a licensee for revision of a license or exploration plan
pursuant to § 970.513, is significant, and
the full application requirements and
procedures will apply, if it would result
in other than an incidental:
(1) Increase in the size of the exploration area; or
(2) Change in the location of the area.
An incidental increase or change is
that which equals two percent or less
of the original exploration area, so
long as such adjustment is contiguous
to the licensed area.
(b) All proposed modifications or revisions other than described in paragraph (a) of this section will be acted
on after a notice thereof is published
by the Administrator in the FEDERAL
REGISTER, with a 60-day opportunity
for public comment. On a case-by-case
basis, the Administrator will determine if other procedures, such as a
public hearing in a potentially affected
area, are warranted. Notice of the Administrator’s decision on the proposed
modification will be provided to the licensee in writing and published in the
FEDERAL REGISTER.
§ 970.515 Duration of a license.
(a) Each exploration license will be
issued for a period of 10 years.
(b) If the licensee has substantially
complied with the license and its associated exploration plan and requests an
extension of the license, the Administrator will extend the license on terms,
conditions and restrictions consistent
with the Act and this part for a period
of not more than 5 years.
In determining substantial compliance
for purposes of this section, the Admin-

§ 970.518

istrator may make allowance for deviation from the exploration plan for
good cause, such as significantly
changed market conditions. However, a
request for extension must be accompanied by an amended exploration plan
to govern the activities by the licensee
during the extended period.
(c) Successive extensions may be requested, and will be granted by the Administrator, based on the criteria, and
for the length of time, specified in
paragraph (b) of this section.
§ 970.516 Approval of license transfers.
(a) The Administrator may transfer a
license after a written request by the
licensee. After a licensee submits such
a request to the Administrator, the
proposed transferee will be deemed an
applicant for an exploration license,
and will be subject to the requirements
and procedures of this part.
(b) The Administrator will transfer a
license if the proposed transferee and
exploration 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 licensee, the Administrator
may waive relevant determinations for
requirements for which no changes
have occurred since the preceding application.
TERMS, CONDITIONS, AND RESTRICTIONS
§ 970.517 Diligence requirements.
The terms, conditions and restrictions in each exploration license must
include provisions to assure diligent
development. The Administrator will
establish these pursuant to § 970.602.
§ 970.518 Environmental protection requirements.
(a) Each exploration license must
contain such terms, conditions and restrictions, established by the Administrator, which prescribe actions the licensee must take in the conduct of exploration activities to assure protection of the environment. The Administrator will establish these pursuant to
§ 970.702.

301

§ 970.519

15 CFR Ch. IX (1–1–99 Edition)

(b) Before establishing the terms,
conditions and restrictions 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. He
also will take into account and give
due consideration to the information
contained in the final EIS prepared
with respect to that proposed license.
§ 970.519 Resource conservation requirements.
For the purpose of conservation of
natural resources, each license issued
under this part will 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 hard
mineral resources in the license area.
The Administrator will establish these
pursuant to § 970.603.
§ 970.520 Freedom of the high seas requirements.
Each license issued under this part
must include such restrictions as may
be necessary and appropriate to ensure
that the exploration 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, such as fishing,
navigation, submarine pipeline and
cable laying, and scientific research.
The Administrator will consider the
provisions in § 970.503 in establishing
these restrictions.
§ 970.521 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 license 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 license comply with conditions regarding the 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 H
of this part.
§ 970.522

Monitoring requirements.

Each exploration license must require the licensee:
(a) To allow the Administrator to
place appropriate Federal officers or
employees as observers aboard vessels
used by the licensee in exploration activities to:
(1) Monitor such activities at such
time, and to such extent, as the Administrator deems reasonable and necessary to assess the effectiveness of the
terms, conditions, and restrictions of
the license; and
(2) Report to the Administrator
whenever such officers or employees
have reason to believe there is a failure
to comply with such terms, conditions,
and restrictions;
(b) To cooperate with such officers
and employees in the performance of
monitoring functions; and
(c) To monitor the environmental effects of the exploration activities in
accordance with a monitoring plan approved and issued by the Administrator
as license terms, conditions and restrictions, and to submit such information as the Administrator finds to be
necessary and appropriate to assess environmental impacts and to develop
and evaluate possible methods of mitigating adverse environmental effects.
This environmental monitoring plan
and reporting will respond to the concerns and procedures discussed in Subpart G of this part.
§ 970.523 Special terms,
and restrictions.

conditions,

Although the general criteria and
standards to be used in establishing
terms, conditions, and restrictions for
a license are set forth in this part, as
referenced in §§ 970.517 through 970.522,
the Administrator may impose special
terms, conditions, and restrictions 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.

302

Nat. Oceanic and Atmospheric Adm., Commerce
§ 970.524 Other Federal requirements.
Pursuant to § 970.211, another Federal
agency, upon review of an exploration
license application submitted under
this part, may indicate how terms, conditions, and restrictions might be
added to the license, to assure compliance with any law or regulation within
that agency’s area of responsibility. In
response to the intent, reflected in section 103(e) of the Act, to reduce the
number of separate actions to satisfy
the statutory responsibilities of these
agencies, the Administrator may include such terms, conditions, and restrictions in a license.

Subpart F—Resource
Development Concepts
SOURCE: 46 FR 45907, Sept. 15, 1981, unless
otherwise noted.

§ 970.600 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, under
section 103(a)(2)(D) of the Act, the applicant will select the size and location
of the area of an exploration plan,
which will be approved unless the Administrator finds that the area is not a
‘‘logical mining unit.’’ Also, pursuant
to section 108 of the Act the applicant’s
exploration plan and the terms, conditions and restrictions of each license
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 license is to contain, but only 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.
§ 970.601 Logical mining unit.
(a) In the case of an exploration license, a logical mining unit is an area
of the deep seabed which can be explored under the license, and within
the 10-year license period, in an efficient, economical and orderly manner
with due regard for conservation and

§ 970.601

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 as set
forth in the exploration plan. In addition, it must be of sufficient size to
allow for intensive exploration.
(b) Approval by the Administrator of
a proposed exploration logical mining
unit will be based on a case-by-case review of each application. In order to
provide a proper basis for this evaluation, the applicant’s exploration plan
should describe the seabed topography,
the location of mineral deposits and
the nature of planned equipment and
operations. Also, the exploration plan
must show the relationship between
the area to be explored and the applicant’s plans for commercial recovery
volume, to the extent projected in the
exploration plan.
(c) In delineating an exploration
area, the applicant need not include
unmineable areas. Thus, 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. 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.
(d) At the applicant’s option, for the
purpose of satisfying a possible obligation under a future Law of the Sea
Treaty, the applicant may propose an
exploration area which includes two
exploration logical mining units. The
applicant should specify in the application if this ‘‘banking’’ option is chosen,
and any applicant choosing this option
and filing an application based on preenactment exploration under § 970.301
shall so notify the Administrator in accordance with § 970.301(g).
(e) Applicants are advised that NOAA
will not accept an application or issue
a license for an exploration area larger
than 150,000 square kilometers unless
the applicant can demonstrate the necessity of a larger area based on factors
such as topography, nodule abundance,

303

§ 970.602

15 CFR Ch. IX (1–1–99 Edition)

distribution and ore grade. If the applicant elects to pursue the ‘‘banking’’
option described in paragraph (d) of
this section, and wishes to apply for an
exploration area larger than 150,000
square kilometers, the applicant must
file a second application with respect
to at least the area in excess of 150,000
square kilometers, unless the applicant
justifies such excess area as part of a
single application under the preceding
sentence.
[46 FR 45907, Sept. 15, 1981, as amended at 47
FR 5968, Feb. 9, 1982]

§ 970.602 Diligent exploration.
(a) Each licensee must pursue diligently the activities described in his
approved exploration plan. This requirement applies to the full scope of
the plan, including environmental safeguards and monitoring systems. To
help assure this diligence, terms, conditions and restrictions which the Administrator issues with a license will
require such periodic reasonable expenditures for exploration by the licensee as the Administrator may establish, taking into account the size of
the area of the deep seabed to which
the exploration plan applies and the
amount of funds which is estimated by
the Administrator to be required during exploration for commercial recovery of hard mineral resources to begin
within the time limit established by
the Administrator. However, such required expenditures will not be established at a level which would discourage exploration by persons with less
costly technology than is prevalently
in use.
(b) In order to fulfill the diligence requirement, the applicant first must
propose to the Administrator an estimated schedule of activities and expenditures pursuant to § 970.203(b) (3)
and (6). The schedule must show, and
the Administrator must be able to
make a reasonable determination, that
the applicant can complete his exploration activities within the term of the
license. In this regard, there must be a
reasonable relationship between the
size of the exploration area and the financial and technological resources reflected in the application. Also, the exploration must clearly point toward developing the ability, by the end of the

10-year license period, to apply for and
obtain a permit for commercial recovery.
(c) Ultimately, the diligence requirement will involve a retrospective determination by the Administrator,
based on the licensee’s reasonable conformance to the approved exploration
plan. Such determination, however,
will take into account the need for
some degree of flexibility in an exploration plan. It also will include consideration of the needs and stage of development of each licensee, again based
on the approved exploration plan. In
addition, the determination will take
account of legitimate periods of time
when there is no or very low expenditure, and will allow for a certain degree
of flexibility for changes encountered
by the licensee in such factors as its resource knowledge and financial considerations.
(d) In order for the Administrator to
make determinations on a licensee’s
adherence to the diligence requirements, the licensee must submit a report annually reflecting his conformance to the schedule of activities and
expenditures contained in the license.
In case of any changes requiring a revision to an approved license and exploration plan, the licensee must advise
the Administrator in accordance with
§ 970.513.
§ 970.603 Conservation of resources.
(a) With respect to the exploration
phase of seabed mining, the requirement for the conservation of natural
resources, encompassing 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 area to
which the license applies, may not be
particularly relevant. Thus, since the
Act requires such terms, conditions
and restrictions only as needed, exploration licenses will require such provisions only as the Administrator deems
necessary.
(b) NOAA views license phase mining
system tests as an opportunity to examine, with industry, the conservation
implications of any mining patterns
used. Thus, in order to develop information needed for future decisions during commercial recovery, NOAA will

304

Nat. Oceanic and Atmospheric Adm., Commerce
include with a license a requirement
for the submission of collector track
and nodule production data. Only if information submitted reflects that the
integrated system tests are resulting
in undue waste or threatening the future opportunity for commercial recovery of the unrecovered balance of hard
mineral resources will the Administrator modify the terms, conditions or
restrictions pertaining to the conservation of natural resources, in order to
address such problems.
(c) If the Administrator so modifies
such 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 exploration
activities, economic and resource data,
and the national need for hard mineral
resources.

Subpart G—Environmental Effects
SOURCE: 46 FR 45908, Sept. 15, 1981, unless
otherwise noted.

§ 970.700 General.
Congress, in authorizing the exploration for hard mineral resources under
the Act, also enacted provisions relating to the protection of the marine environment from the effects of exploration activities. For example, before
the Administrator may issue a license,
pursuant to section 105(a)(4) of the Act
he must find that the exploration proposed in an application cannot reasonably be expected to result in a significant adverse effect on the quality of
the environment. Also, the Act requires in section 109(b) that each license issued by the Administrator
must contain such terms, conditions
and restrictions which prescribe the actions the licensee must take in the
conduct of exploration activities to assure protection of the environment.
Furthermore, the Act in section
105(c)(1)(B) provides for the modification by the Administrator of any term,
condition or restriction if relevant
data and other information indicates
that modification is required to protect
the quality of the environment. In ad-

§ 970.701

dition, section 114 of the Act specifies
that each license issued under the Act
must require the licensee to monitor
the environmental effects of the exploration activities in accordance with
guidelines issued by the Administrator,
and to submit such information as the
Administrator finds to be necessary
and appropriate to assess environmental impacts and to develop and
evaluate possible methods of mitigating adverse environmental effects.
§ 970.701 Significant adverse environmental effects.
(a) Activities with no significant impact.
NOAA believes that exploration activities of the type listed below are very
similar or identical to activities considered in section 6(c)(3) of NOAA Directives Manual 02–10, and therefore
have no potential for significant environmental impact, and will require no
further environmental assessment.
(1) Gravity and magnetometric observations and measurements;
(2) Bottom and sub-bottom acoustic
profiling or imaging without the use of
explosives;
(3) Mineral sampling of a limited nature such as those using either core,
grab or basket samplers;
(4) Water and biotic sampling, if the
sampling does not adversely affect
shellfish beds, marine mammals, or an
endangered species, or if permitted by
the National Marine Fisheries Service
or another Federal agency;
(5) Meteorological observations and
measurements, including the setting of
instruments;
(6) Hydrographic and oceanographic
observations and measurements, including the setting of instruments;
(7) Sampling by box core, small diameter core or grab sampler, to determine
seabed geological or geotechnical properties;
(8) Television and still photographic
observation and measurements;
(9) Shipboard mineral assaying and
analysis; and
(10) Positioning systems, including
bottom transponders and surface and
subsurface buoys filed in Notices to
Mariners.
(b) Activities with potential impact. (1)
NOAA research has identified at-sea
testing of recovery equipment and the

305

§ 970.702

15 CFR Ch. IX (1–1–99 Edition)

operation of processing test facilities
as activities which have some potential
for significant environmental impacts
during exploration. However, the research has revealed that only the following limited effects are expected to
have potential for significant adverse
environmental impact.
(2) The programmatic EIS’s documents three at-sea effects of deep seabed mining which cumulatively during
commercial recovery have the potential for significant effect. These three
effects also occur during mining system tests that may be conducted under
a license, but are expected to be insignificant. These include the following:
(i) Destruction of benthos in and near
the collector track. Present information
reflects that the impact from this effect during mining tests under exploration licenses will be extremely small.
(ii) Blanketing of benthic fauna and dilution of food supply away from mine site
subareas. The settling of fine sediments
disturbed by tests under a license of
scale-model mining systems which simulate commercial recovery could adversely affect benthic fauna by blanketing, diluation of their food supply,
or both. Because of the anticipated
slow settling rate of the sediments, the
affected area could be quite large. However, research results are insufficient
to conclude that this will indeed be a
problem.
(iii) Surface plume effect on fish larvae.
The impact of demonstration-scale
mining tests during exploration is expected to be insignificant.
(3) If processing facilities in the
United States are planned to be used
for testing during exploration, NOAA
also will assess their impacts in the
site-specific EIS developed for each license.
(c) NOAA approach. In making determinations on significant adverse environmental effects, the Administrator
will draw on the above conclusions and
other
findings
in
NOAA’s
programmatic environmental statement
and site-specific statements issued in
accordance with the Act. He will issue
licenses with terms, conditions and restrictions containing, as appropriate,
environmental protection or mitigation
requirements
(pursuant
to
§ 970.518) and monitoring requirements

(pursuant to § 970.522). The focus of
NOAA’s environmental efforts will be
on environmental research and on
monitoring during mining tests to acquire more information on the environmental effects of deep seabed mining. If
these efforts reveal that modification
is required to protect the quality of the
environment, NOAA then may modify
terms, conditions and restrictions pursuant to § 970.512.
§ 970.702 Monitoring and mitigation of
environmental effects.
(a) Monitoring. If an application is determined to be otherwise acceptable,
the Administrator will specify an environmental monitoring plan as part of
the terms, conditions and restrictions
developed for each license. The plan
will be based on the monotoring plan
proposed by the applicant and reviewed
by NOAA for completeness, accuracy
and statistical reliability. This monitoring strategy will be devised to insure that the exploration activities do
not deviate significantly from the approved exploration plan and to determine if the assessment of the plan’s acceptability was sound. The monitoring
plan, among other things, will include
monitoring environmental parameters
relating to verficiation of NOAA’s findings concerning potential impacts, but
relating mainly to the three unresolved
concerns with the potential for significant environmental effect, as identified
in § 970.701(b)(2). NOAA has developed a
technical guidance document, which
includes parameters pertaining to the
upper and lower water column and
operational aspects, which document
will provide assistance in developing
monitoring plans in consultation with
applicants.
(b) Mitigation. Monitoring and continued research may develop information
on future needs for mitigating environmental effects. If such needs are identified, terms, conditions and restrictions
can be modified appropriately.

Subpart H—Safety of Life and
Property at Sea
§ 970.800 General.
The Act contains requirements, in
the context of several decisions, that
relate to assuring the safety of life and

306

Nat. Oceanic and Atmospheric Adm., Commerce
property at sea. For instance, before
the Administrator may issue a license,
section 105(a)(5) of the Act requires
that he find that the proposed exploration will not pose an inordinate
threat to the safety of life and property
at sea. Also, under section 112(a) of the
Act the Coast Guard, in consultation
with NOAA, must require in any license or 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 license 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. In addition, under section 105(c)(1)(B) of the Act, the Administrator may modify terms, conditions
and restrictions for a license if required to promote the safety of life and
property at sea.

Subpart I—Miscellaneous
§ 970.900

Response to the safety at sea requirements in essence will involve vessel inspection requirements. These inspection requirements may be identified by
reference to present laws and regulations. The primary inspection statutes
pertaining to United States flag vessels
are: 46 U.S.C. 86 (Loadlines); 46 U.S.C.
395 (Inspection of seagoing barges over
100 gross tons); 46 U.S.C. 367 (Inspection
of sea-going motor vessels over 300
gross tons); and 46 U.S.C. 404 (Inspection of vessels above 15 gross tons carrying freight for hire). All United
States flag vessels will be required to
meet existing regulatory requirements
applicable to such vessels. This includes the requirement for a current
valid Coast Guard Certificate of Inspection, as specified in § 970.205. Being
United States flag, these vessels will be
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 or
alternative IACS requirements, as
specified in § 970.205, apply.
[46 FR 45909, Sept. 15, 1981]

Other applicable regulations.

The regulations in subparts H, I and
J of 15 CFR part 971 are consolidated
regulations and are applicable both to
licenses under this part and to permits
under 15 CFR part 971. The regulations
in subparts H, I and J of part 971 govern records to be maintained and information to be submitted by licensees
and permittees, public disclosure of
documents received by NOAA, relinquishment and surrender of licenses
and permits, amendment of regulations, competition of time, uniform
hearing procedures, and enforcement
under the Act.
[54 FR 548, Jan. 6, 1989]

Subparts J–W [Reserved]
Subpart X—Pre-enactment
Exploration

[46 FR 45909, Sept. 15, 1981]

§ 970.801 Criteria for safety of life and
property at sea.

§ 970.2402

§ 970.2401

Definitions.

(a) Engage in exploration means:
(1) To cause or authorize exploration
to occur, including but not limited to a
person’s actions as a sponsor, principal,
or purchaser of exploration services; or
(2) To conduct exploration on behalf
of a person described in paragraph
(a)(1) of this section.
(b) [Reserved]
[45 FR 76662, Nov. 20, 1980, as amended at 47
FR 5966, Feb. 9, 1982]

§ 970.2402 Notice of pre-enactment exploration.
(a) General. NOAA encourages any
United States citizen who engaged in
exploration for deep seabed hard mineral resources before June 28, 1980, to
file not later than February 1, 1981, a
written notice with the Administrator,
in care of: The Director, Office of
Ocean Minerals and Energy, National
Oceanic and Atmospheric Administration, Department of Commerce, Page
Building 1, Suite 410, 2001 Wisconsin
Avenue, NW., Washington, DC 20235.
Such notice shall not constitute an application for a license or permit and
shall not confer or confirm any priority of right to any site.

307

§ 970.2501

15 CFR Ch. IX (1–1–99 Edition)

(b) Content of pre-enactment exploration Notice. If a notice of exploration
commenced prior to June 28, 1980, is
filed pursuant to paragraph (a) it
should be in writing and include the
following:
(1) Names, addresses, and telephone
numbers of the United States citizens
responsible for exploration operations
to whom notices and orders are to be
delivered;
(2) A description of the citizen or
citizens engaging in such exploration
including:
(i) Whether the citizen is a natural
person, partnership, corporation, joint
venture, or other form of association;
(ii) The state of incorporation of
state in which the partnership or other
business entity is registered;
(iii) The name of registered agent
and places of business;
(iv) Certification of essential and
non-proprietary provisions in articles
of incorporation, charter, or articles of
association; and
(v) Membership of the association,
partnership, or joint venture, including
information about the participation of
partners and joint venturers, and/or
ownership of stock.
(3) A general description of the exploration activities conducted prior to
June 28, 1980, including:
(i) The approximate date that the citizen, or predecessor in interest, commenced exploration activities;
(ii) A general estimate of expenditures made on the exploration program
prior to June 28, 1980;
(iii) A statement of whether the citizen intends to file an application for an
exploration license pursuant to section
101(b)(1)(A) of the Act after NOAA
issues regulations implementing section 103(a) of the Act; and
(iv) A statement of whether the citizen intends to continue to engage in
exploration as allowed by section 101(b)
of the Act, pending a final determination on his application for an exploration license.
(c) Exclusion of location information.
The information submitted in the notice of pre-enactment exploration required by this section shall not include
the location of past or future exploration or prospective mine sites.
[45 FR 76662, Nov. 20, 1980]

Subpart Y—Pre-license Exploration
SOURCE: 45 FR 76662, Nov. 20, 1980, unless
otherwise noted.

§ 970.2501 Notice of pre-license exploration voyages.
(a) General. Any United States citizen
who schedules an exploration voyage to
begin after November 20, 1980 shall file
written notice with the Administrator
which sets out:
(1) The name, address and telephone
number of the citizen;
(2) The anticipated date of commencement of the voyage and its
planned duration;
(3) The exploration activities to be
carried out on the voyage, including a
general description of the equipment
and methods to be used, and an estimate of the anticipated extent of seabed disturbance and effluent discharge;
and
(4) If the U.S. citizen has not filed a
notice of pre-enactment exploration in
accordance with § 970.2402, the information specified in § 970.2402(b).
(b) When and where to file Notice of future exploration—(1) When. (i) Except as
allowed in paragraph (b)(2) of this section, the notice required by paragraph
(a) of this section must be filed not
later than 45 days prior to the date on
which the exploration voyage is scheduled to begin.
(ii) With respect to filing of the information referred to in paragraph (a)(4)
of this section, the filing dates specified in paragraph (b) of this section
shall prevail over the date specified in
§ 970.2402(a).
(2) Exception. If an exploration voyage is scheduled to begin before January 5, 1981, the notice required by paragraph (a) of this section must be filed
on or before December 22, 1980.
(3) Where. The notice required by
paragraph (a) of this section must be
filed in writing with the Administrator, at the address specified in
§ 970.2402(a) of this part.
§ 970.2502

Post voyage report.

Within 30 days of the conclusion of
each exploration voyage, the United
States citizen engaging in the voyage

308

Nat. Oceanic and Atmospheric Adm., Commerce
shall submit to NOAA a report containing any environmental data or information obtained during that voyage.

Pt. 971

Subpart B—Applications
971.200

General.
CONTENTS

§ 970.2503 Suspension
activities.

of

exploration

(a) The Administrator may issue an
emergency order, either in writing or
orally with written confirmation, requiring the immediate suspension of
exploration activities or any particular
exploration activity when, in his judgment, immediate suspension of such
activity or activities is necessary to
prevent a significant adverse effect on
the environment. Upon receipt of notice of the emergency order, the United
States citizen engaged in the exploration shall immediately cease the activity that is the subject of the emergency order. During any suspension
NOAA will consult with the citizen engaged in the activity suspended concerning appropriate measures to remove the cause of suspension. A suspension may be rescinded at any time
by written notice from the Administrator upon presentation of satisfactory evidence by the citizen that the
activity will no longer threaten a significant adverse effect on the environment.
(b) [Reserved]

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
971.301
971.302
971.303

Subpart D—Issuance/Transfer: Terms,
Conditions and Restrictions
971.400

Subpart Z—Miscellaneous
Any United States citizen filing notice under § 970.2402 or § 970.2501 of this
part shall provide such additional information as the Administrator may
require as necessary and appropriate to
implement section 101 of the Act.
[45 FR 76662, Nov. 20, 1980]

PART 971—DEEP SEABED MINING
REGULATIONS FOR COMMERCIAL RECOVERY PERMITS
Subpart A—General

and

General.

ISSUANCE/TRANSFER, MODIFICATION/REVISION;
SUSPENSION/REVOCATION

§ 970.2601 Additional information.

Sec.
971.100 Purpose.
971.101 Definitions.
971.102 Nature of permits.
971.103 Prohibited activities
tions.
971.104 OMB control number.

General.
Required findings.
Denial of certification.
Notice of certification.

restric-

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.

309