cfr_sections
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91 rows where part_number = 971 sorted by section_id
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| section_id ▼ | title_number | title_name | chapter | subchapter | part_number | part_name | subpart | subpart_name | section_number | section_heading | agency | authority | source_citation | amendment_citations | full_text |
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| 15:15:4.1.2.4.21.1.29.1 | 15 | Commerce and Foreign Trade | IX | D | 971 | PART 971—DEEP SEABED MINING REGULATIONS FOR COMMERCIAL RECOVERY PERMITS | A | Subpart A—General | § 971.100 Purpose. | NOAA | The purpose of this part is to implement the responsibilities and authorities of the Administrator of the National Oceanic and Atmospheric Administration (NOAA) pursuant to Public Law 96-283, the Deep Seabed Hard Mineral Resources Act (the Act), to issue to eligible United States citizens permits for the commercial recovery of deep seabed hard minerals. | ||||
| 15:15:4.1.2.4.21.1.29.2 | 15 | Commerce and Foreign Trade | IX | D | 971 | PART 971—DEEP SEABED MINING REGULATIONS FOR COMMERCIAL RECOVERY PERMITS | A | Subpart A—General | § 971.101 Definitions. | NOAA | [54 FR 525, Jan. 6, 1989, as amended at 91 FR 2672, Jan. 21, 2026] | For purposes of this part, the term (a) Act means the Deep Seabed Hard Mineral Resources Act (Pub. L. 96-283; 94 Stat. 553; 30 U.S.C. 1401 et seq. ); (b) Administrator means the Administrator of the National Oceanic and Atmospheric Administration, or the Administrator's designee; (c) Affected State means any State with a coastal zone management program approved under Section 306 of the Coastal Zone Management Act, as amended, where coastal zone land and water uses are affected by the issuance of a commercial recovery permit under the provisions of the Act or this part; (d) Applicant means an applicant for a commercial recovery permit pursuant to the Act and this part; as used in § 971.214, applicant means an applicant using the consolidated exploration license and commercial recovery permit application process; as used in subparts H, I and J of this part, “applicant” also means an applicant for an exploration license pursuant to the Act and part 970 of this chapter. “Applicant” also means a proposed permit transferee; (e) Commercial recovery means— (1) Any activity engaged in at sea to recover any hard mineral resource at a substantial rate for the primary purpose of marketing or commercially using such resource to earn a net profit, whether or not such net profit is actually earned; (2) If such recovered hard mineral resource will be processed at sea, such processing; and (3) If the waste of such activity to recover any hard mineral resource, or of such processing at sea, will be disposed of at sea, such disposal; (f) Continental Shelf means— (1) The seabed and subsoil of the submarine areas adjacent to the coast, but outside the area of the territorial sea, to a depth of 200 meters or, beyond that limit to where the depth of the superjacent waters admits of the exploitation of the natural resources of such submarine area; and (2) The seabed and subsoil of similar submarine areas adjacent to the coast of islands; (g) Controlling interest, for purposes of paragraph (v)(3) of this sectio… | |||
| 15:15:4.1.2.4.21.1.29.3 | 15 | Commerce and Foreign Trade | IX | D | 971 | PART 971—DEEP SEABED MINING REGULATIONS FOR COMMERCIAL RECOVERY PERMITS | A | Subpart A—General | § 971.102 Nature of permits. | NOAA | (a) A permit issued under this part authorizes the holder thereof to engage in commercial recovery within a specific portion of the sea floor consistent with the provisions of the Act and this part and consistent with the specific terms, conditions, and restrictions (TCRs) applied to the permit by the Administrator. (b) A permit issued under this part is exclusive with respect to the holder thereof as against any other United States citizen or any citizen, national or governmental agency of, or any legal entity organized or existing under the laws of, any reciprocating state. (c) A valid existing license under 15 CFR part 970 will entitle the holder, if otherwise eligible under the provisions of the Act and implementing regulations, to a permit for commercial recovery from an area selected from within the license area. Such a permit will recognize the right of the holder to recover hard mineral resources, and to own, tranport, use, and sell hard mineral resources recovered under the permit and in accordance with the requirements of the Act and this part. | ||||
| 15:15:4.1.2.4.21.1.29.4 | 15 | Commerce and Foreign Trade | IX | D | 971 | PART 971—DEEP SEABED MINING REGULATIONS FOR COMMERCIAL RECOVERY PERMITS | A | Subpart A—General | § 971.103 Prohibited activities and restrictions. | NOAA | (a) Prohibited activities and exceptions. (1) No United States citizen may engage in any commercial recovery unless authorized to do so under— (i) A permit issued pursuant to the Act and implementing regulations; (ii) A license, permit or equivalent authorization issued by a reciprocating state; or (iii) An international agreement which is in force with respect to the United States. (2) The prohibitions of paragraph (a)(1) of this section do not apply to any of the following activities: (i) Scientific research, including that concerning hard mineral resources; (ii) Mapping, or the taking of any geophysical, geochemical, oceanographic, or atmospheric measurements or random bottom samplings of the deep seabed, if such taking does not significantly alter the surface or subsurface of the seabed or significantly affect the environment; (iii) The design, construction, or testing of equipment and facilities which will or may be used for exploration or commercial recovery, if such design, construction or testing is conducted onshore, or does not involve the recovery of any but incidental hard mineral resources; (iv) The furnishing of machinery, products, supplies, services, or materials for any exploration or commercial recovery conducted under a license or permit issued under the Act and implementing regulations, a license or permit or equivalent authorization issued by a reciprocating state, or any relevant international agreement; and (v) Activities, other than exploration or commercial recovery activities, of the Federal Government. (3) No United States citizen may interfere or participate in interference with any activity conducted by any permittee which is authorized to be undertaken under a permit issued by the Administrator to a permittee under the Act or with any activity conducted by the holder of, and authorized to be undertaken under, a license or permit or equivalent authorization issued by a reciprocating state for the commercial recovery of hard mineral resources. For purposes of this section, … | ||||
| 15:15:4.1.2.4.21.1.29.5 | 15 | Commerce and Foreign Trade | IX | D | 971 | PART 971—DEEP SEABED MINING REGULATIONS FOR COMMERCIAL RECOVERY PERMITS | A | Subpart A—General | § 971.104 OMB control number. | NOAA | The information collection requirements and reporting and recordkeeping requirements contained in this part were approved by the Office of Management and Budget under control number 0648-0170. | ||||
| 15:15:4.1.2.4.21.10.33.1 | 15 | Commerce and Foreign Trade | IX | D | 971 | PART 971—DEEP SEABED MINING REGULATIONS FOR COMMERCIAL RECOVERY PERMITS | J | Subpart J—Enforcement | § 971.1000 General. | NOAA | (a) Purpose and scope. (1) Section 302 of the Act authorizes the Administrator to assess a civil penalty, in an amount not to exceed $25,000 for each violation, against any person found to have committed an act prohibited by section 301 of the Act. Each day of a continuing violation is a separate offense. (2) Section 106 of the Act describes the circumstances under which the Administrator may suspend or revoke a license or permit, or suspend or modify activities under a license or permit, in addition to or in lieu of imposing of a civil penalty, or in addition to imposing a fine. (3) Section 306 of the Act makes provisions of the customs laws relating to, among other things, the remission or mitigation of forfeitures, applicable to forfeitures of vessels and hard mineral resources. The Administrator is authorized to entertain petitions for administrative settlement of property seizures made under the Act which would otherwise proceed to judicial forfeiture. (4) Section 114 of the Act authorizes the Administrator to place observers on vessels used by a licensee or permittee under the Act to monitor compliance and environmental effects of activities under the license or permit. (5) Section 117 of the Act describes the circumstances under which a person may bring a civil action against an alleged violator or against the Administrator for failure to perform a nondiscretionary duty, and directs the Administrator to issue regulations governing procedures prerequisite to such a civil action. (6) The regulations in this subpart provide uniform rules and procedures for the assessment of civil penalties (§§ 971.1001-971.1002), and license and permit sanctions (§ 971.1003); the remission or mitigation of forfeitures (§ 971.1004); observers (§ 971.1005); protection of certain information related to enforcement (§ 971.1006); and procedures requiring persons planning to bring a civil action under section 117 of the Act to give advance notice (§ 971.1007). (b) Filing and service of documents. (1) Except as otherwise p… | ||||
| 15:15:4.1.2.4.21.10.33.2 | 15 | Commerce and Foreign Trade | IX | D | 971 | PART 971—DEEP SEABED MINING REGULATIONS FOR COMMERCIAL RECOVERY PERMITS | J | Subpart J—Enforcement | § 971.1001 Assessment procedure. | NOAA | Subpart B of 15 CFR part 904 governs the procedures for assessing a civil penalty under the Act, and the rights of any person against whom a civil penalty is assessed. | ||||
| 15:15:4.1.2.4.21.10.33.3 | 15 | Commerce and Foreign Trade | IX | D | 971 | PART 971—DEEP SEABED MINING REGULATIONS FOR COMMERCIAL RECOVERY PERMITS | J | Subpart J—Enforcement | § 971.1002 Hearing and appeal procedures. | NOAA | (a) Beginning of hearing procedures. Following receipt of a written request for a hearing timely filed under 15 CFR 904.102, the Administrator will begin procedures under this section by forwarding the request, a copy of the NOVA, and any response thereto to the Department of Commerce, Office of Administrative Law Judges. (b) Subpart C of 15 CFR part 904 governs the hearing and appeal procedures for civil penalties assessed under the Act. | ||||
| 15:15:4.1.2.4.21.10.33.4 | 15 | Commerce and Foreign Trade | IX | D | 971 | PART 971—DEEP SEABED MINING REGULATIONS FOR COMMERCIAL RECOVERY PERMITS | J | Subpart J—Enforcement | § 971.1003 License and permit sanctions. | NOAA | (a) Application of this section. This section governs the suspension or revocation of any license or permit issued under the Act, or the suspension or modification of any particular activity or activities under a license or permit, which suspension, revocation or modification is undertaken in addition to, or in lieu of, imposing a civil penalty under this subpart, or in addition to imposing a fine. (b) Basis for sanctions. The Administrator may act under this section with respect to a license or permit issued under the Act, or any particular activity or activities under such a license or permit, if the licensee or permittee substantially fails to comply with any provision of the Act, any regulation or order issued under the Act, or any term, condition, or restriction in the license or permit. (c) Nature of sanctions. In the Administrator's discretion and subject to the requirements of this section, the Administrator may take any of the following actions or combinations thereof with respect to a license or permit issued under the Act: (1) Revoke the license or permit; (2) Suspend the license or permit, either for a specified period of time or until certain stated requirements are met, or both; or (3) Modify any activity under the license or permit, as by imposing additional requirements or restraints on the activity. (d) Notice of sanction. (1) The Administrator will prepare a notice of sanction (NoS) setting forth the sanction to be imposed and the basis therefore. The NoS will state: (i) A concise statement of the facts believed to show a violation; (ii) A specific reference to the provisions of the Act, regulation, license or permit, or order allegedly violated; (iii) The nature and duration of the proposed sanction; (iv) The effective date of the sanction, which is 30 days after the date of the notice unless the Administrator establishes a different effective date under paragraph (d)(4) or paragraph (e) of this section; (v) That the licensee or permittee has 30 calendar days from receipt of … | ||||
| 15:15:4.1.2.4.21.10.33.5 | 15 | Commerce and Foreign Trade | IX | D | 971 | PART 971—DEEP SEABED MINING REGULATIONS FOR COMMERCIAL RECOVERY PERMITS | J | Subpart J—Enforcement | § 971.1004 Remission or mitigation of forfeitures. | NOAA | (a) Authorized enforcement officers are empowered by section 304 of the Act to seize any vessel (together with its gear, furniture, appurtenances, stores, and cargo) which reasonably appears to have been used in violation of the Act, if necessary to prevent evasion of the enforcement of this Act, or of any regulation, order or license or permit issued pursuant to the Act. Enforcement agents may also seize illegally recovered or processed hard mineral resources, as well as other evidence related to a violation. Section 306 of the Act provides for the judicial forfeiture of vessels and hard mineral resources. (b) Subpart F of 15 CFR part 904 governs procedures regarding seized property that is subject to forfeiture or has been forfeited under the Act, including the remission or mitigation of forfeitures. (c) Unless otherwise directed in a notice concerning the seized property, a petition for relief from forfeiture under the Act and pursuant to 15 CFR 904.506(b) shall be addressed to the Administrator and filed with the Ocean Minerals and Energy Division at the address specified in § 971.200(b). | ||||
| 15:15:4.1.2.4.21.10.33.6 | 15 | Commerce and Foreign Trade | IX | D | 971 | PART 971—DEEP SEABED MINING REGULATIONS FOR COMMERCIAL RECOVERY PERMITS | J | Subpart J—Enforcement | § 971.1005 Observers. | NOAA | (a) Purpose of observers. Each licensee and permittee shall allow, at such times and to such extent as the Administrator deems reasonable and necessary, an observer (as used in this section, the term “observer” means “one or more observers”) duly authorized by the Administrator to board and accompany any vessel used by the licensee or permittee in exploration or commercial recovery activities (hereafter referred to in this section as a “vessel”), for the purpose of observing, evaluating and reporting on: (1) The effectiveness of the terms, conditions, and restrictions of the license or permit; (2) Compliance with the Act, regulations and orders issued under the Act, and the license or permit terms, conditions, and restrictions; and (3) The environmental and other effects of the licensee's or permittee's activities under the license or permit. (b) Notice to licensee or permittee. (1) If the Administrator plans to place an observer aboard a vessel, the Administrator will so notify the affected licensee or permittee. (2) The Administrator normally will issue any such notice as far in advance of placement of the observer as is practicable. (3) Contents of notice. The notice given by the Administrator will include, among other things: (i) The name of the observer, if known at the time notice is issued; (ii) The length of time which the observer likely will be aboard the vessel; (iii) Information concerning activities the observer is likely to conduct, such as: (A) Identification of special activities that the observer will monitor; (B) Planned tests of equipment used for monitoring; (C) Activities of the observer that are likely to require assistance from the vessel's personnel or crew or use of the vessel's equipment; and (D) Planned tests of alternative operating procedures or technologies for mitigation of environmental effects. (iv) Information concerning the equipment that will be brought aboard the vessel, such as a description of the monitoring equipment, and any special requirements concern… | ||||
| 15:15:4.1.2.4.21.10.33.7 | 15 | Commerce and Foreign Trade | IX | D | 971 | PART 971—DEEP SEABED MINING REGULATIONS FOR COMMERCIAL RECOVERY PERMITS | J | Subpart J—Enforcement | § 971.1006 Proprietary enforcement information. | NOAA | (a) Proprietary and privileged information seized or maintained under Title III of the Act concerning a person or vessel engaged in commercial recovery will not be made available for general or public use or inspection. (b) Although presentation of evidence in a proceeding under this subpart is not deemed general or public use of information, the Administrator will, consistent with due process, move to have records sealed, under 15 CFR part 904 subpart C, or other applicable provisions of law, in any administrative or judicial proceeding where the use of proprietary or privileged information is required to serve the purpose of the Act. | ||||
| 15:15:4.1.2.4.21.10.33.8 | 15 | Commerce and Foreign Trade | IX | D | 971 | PART 971—DEEP SEABED MINING REGULATIONS FOR COMMERCIAL RECOVERY PERMITS | J | Subpart J—Enforcement | § 971.1007 Advance notice of civil actions. | NOAA | (a) Actions against alleged violators. (1) No civil action may be filed in a United States District Court under section 117 of the Act against any person for alleged violation of the Act, or any regulation, or license or permit term, condition, or restriction issued under the Act, until 60 days after the Administrator and any alleged violator receive written and dated notice of alleged violation. (2) The notice shall contain: (i) A concise statement of the facts believed to show a violation; (ii) A specific reference to the provisions of the Act, regulation or license or permit allegedly violated; and (iii) Any documentary or other evidence of the alleged violation. (b) Action against the Administrator. (1) No civil action may be filed in a United States District Court under section 117 of the Act against the Administrator for an alleged failure to perform any act or duty under the Act which is not discretionary until 60 days after receipt by the Administrator of a written and dated notice of intent to file the action. (2) The notice shall contain: (i) A specific reference to the provisions of the Act, regulation or permit believed to require the Administrator to perform a nondiscretionary act or duty; (ii) A precise description of the nondiscretionary act or duty believed to be required by such provision; (iii) A concise statement of the facts believed to show a failure to perform the act or duty; and (iv) Any documentary or other evidence of the alleged failure to perform the act or duty. | ||||
| 15:15:4.1.2.4.21.2.29.1 | 15 | Commerce and Foreign Trade | IX | D | 971 | PART 971—DEEP SEABED MINING REGULATIONS FOR COMMERCIAL RECOVERY PERMITS | B | Subpart B—Applications | § 971.200 General. | NOAA | [54 FR 525, Jan. 6, 1989, as amended at 91 FR 2672, Jan. 21, 2026] | (a) Who may apply; how. Any United States citizen holding a valid exploration license may apply to the Administrator for issuance of a commercial recovery permit for all or part of the area to which the license applies. Any holder of a commercial recovery permit may apply to the Administrator for transfer of the permit. Applications must be submitted in the form and manner described in this subpart. (b) Place, form and copies. An application for the issuance or transfer of a commercial recovery permit shall be submitted in electronic format, verified and signed by an authorized officer or other authorized representative of the applicant, to an email address or website as specified by NOAA. The application format shall be organized according to the specific regulatory topics and sections. For applications received electronically after the close of business, for purposes of computing the Administrator's required response time, the application shall be deemed to be received at 8 a.m. eastern time on the next business day. (c) General contents. The application must contain a proposed commerical recovery plan and the financial, technical, environmental and other information specified in this part, which in total are necessary for the Administrator to make the determinations required by the Act and this part. Although the ultimate standards for determinations under these rules are identical for both transferees and original preexisting licensees, NOAA anticipates that applicants who are transferees will have to supply more information with the application than licensees will [see subsection (e) in this section]. (d) Identification of requirements. Each portion of the application should identify the requirements of this part to which it responds. (e) Information previously submitted in connection with an exploration license. Information previously submitted as part of an exploration license application, as well as information submitted during the course of license activities (such as data included in annua… | |||
| 15:15:4.1.2.4.21.2.29.10 | 15 | Commerce and Foreign Trade | IX | D | 971 | PART 971—DEEP SEABED MINING REGULATIONS FOR COMMERCIAL RECOVERY PERMITS | B | Subpart B—Applications | § 971.209 Processing outside the United States. | NOAA | (a) Except as provided in this section and § 971.408, the processing of hard minerals recovered pursuant to a permit shall be conducted within the U.S., provided that the President or his designee does not determine that this restriction contravenes the overriding national interests of the United States. (b) If foreign processing is proposed, the applicant shall submit a justification demonstrating the basis for a finding pursuant to § 971.408(a)(1). The justification shall include an analysis of each factor which the applicant considers essential to its conclusion that processing at a site within the U.S. is not economically viable. (c) If the Administrator determines that the justification provided by the applicant is insufficient, or if the Administrator receives during the public comment or hearing period what the Administrator determines to be a serious alternative U.S. processing site proposal, the Administrator may require the applicant to supply, within a specified reasonable time, additional information relevant to the § 971.408(a)(1) finding. (d) The applicant must include in its application satisfactory assurances that such resources after processing, to the extent of the permittee's ownership therein, will be returned to the United States for domestic use if the Administrator determines pursuant to § 971.408 that the national interest necessitates such return. Assurances must include proposed arrangements with the host country. | ||||
| 15:15:4.1.2.4.21.2.29.2 | 15 | Commerce and Foreign Trade | IX | D | 971 | PART 971—DEEP SEABED MINING REGULATIONS FOR COMMERCIAL RECOVERY PERMITS | B | Subpart B—Applications | § 971.201 Statement of financial resources. | NOAA | (a) General. The application must contain information sufficient to demonstrate to the Administrator pursuant to § 971.301 that, upon issuance or transfer of the permit, the applicant will have access to the financial resources to carry out, in accordance with this part, the commercial recovery program set forth in the applicant's commercial recovery plan. (b) Specific. In particular, the information on financial resources is expected to be general in nature but must include the likely sources and timing of funds to meet the applicant's scheduled expenditures in the recovery plan. These sources may include cash flow, reserves, and outside funding. | ||||
| 15:15:4.1.2.4.21.2.29.3 | 15 | Commerce and Foreign Trade | IX | D | 971 | PART 971—DEEP SEABED MINING REGULATIONS FOR COMMERCIAL RECOVERY PERMITS | B | Subpart B—Applications | § 971.202 Statement of technological experience and capabilities. | NOAA | (a) General. The application must contain information sufficient to demonstrate to the Administrator pursuant to § 971.301 that, upon issuance or transfer of the permit, the applicant will have the technological capability to carry out, in accordance with the regulations contained in this part, the commercial recovery program set out in the applicant's commercial recovery plan. (b) Specific. In particular, the information submitted pursuant to this section must describe the equipment, knowledge, and skills the applicant possesses, or to which it can demonstrate access [see § 971.200(e)]. The information must include: (1) A description of the technology or the equipment and methods to be used by the applicant in carrying out each step in the mining process, including nodule collection, retrieval, transfer to ship, environmental monitoring, transport to processing facilities, nodule processing, waste disposal and compliance with applicable water quality standards. The description must include: (i) An analysis of the performance of experimental systems, sub-systems, or analogous machinery; (ii) The rationale for extrapolating from test results to commercial mining. The more test data offered with the application the less analysis will be expected; and (iii) Anticipated system reliability within the context of anticipated production time lost through equipment failure. (2) A functional description of the types of technical persons on whom the applicant will rely to operate its equipment. | ||||
| 15:15:4.1.2.4.21.2.29.4 | 15 | Commerce and Foreign Trade | IX | D | 971 | PART 971—DEEP SEABED MINING REGULATIONS FOR COMMERCIAL RECOVERY PERMITS | B | Subpart B—Applications | § 971.203 Commercial recovery plan. | NOAA | (a) General. The application must include a proposed commercial recovery plan which describes the applicant's projected commercial recovery activities, in a general way, for the twenty year period to be covered by the proposed permit. Although preliminary and subject to change, the plan must be more detailed for that portion of the permit term leading up to the initiation of commercial recovery. The plan must include sufficient information for the Administrator, pursuant to this part, to make the necessary determinations pertaining to the certification and issuance or transfer of a permit and to the development and enforcement of the TCRs for a permit. (b) Specific. The plan must include: (1) A description of the activities proposed to be carried out during the period of the permit; (2) The intended schedule of commercial recovery (see “Diligent commercial recovery,” § 971.503); (3) Environmental safeguards and monitoring systems, which must take into account requirements under subpart F of this part, including best available technologies (BAT) (§ 971.604) and monitoring (§ 971.603); (4) Details of the area or areas proposed for commercial recovery, which meet requirements for diligence (§ 971.503) and conservation of resources pursuant to subpart E (especially § 971.502); (5) A resource assessment of the area or areas proposed for commercial recovery which meets the requirements for resource assessment and logical mining unit (§ 971.501); (6) A description of the methods and technology to be used for commercial recovery and processing (see § 971.202(b)(1)); and (7) The methods to be used for disposal of wastes from recovery and processing, including the areas for disposal and identification of any toxic substances in wastes. | ||||
| 15:15:4.1.2.4.21.2.29.5 | 15 | Commerce and Foreign Trade | IX | D | 971 | PART 971—DEEP SEABED MINING REGULATIONS FOR COMMERCIAL RECOVERY PERMITS | B | Subpart B—Applications | § 971.204 Environmental and use conflict analysis. | NOAA | (a) Environmental information submission. The application must be supported by sufficient marine environmental information for the Administrator to prepare an environmental impact statement (EIS) on the proposed mining activities, and to determine the appropriate permit TCRs based on environmental characteristics of the requested minesite. The Administrator may require the submission of additional data, in the event he determines that the basis for a suitable EIS, or a determination of appropriate TCRs, is not available. (b)(1) In preparing the EIS, the Administrator will attempt to characterize the environment in such a way as to provide a basis for judging the potential for significant adverse effects or irreparable harm triggered by commercial mining (see subpart F). In compiling these data, the Administrator will utilize existing information including the relevant license EIS, additional exploration data acquired by the applicant, and other data in the public domain. (2) The EIS must present adequate physical, chemical, and biological information for the permit area. If the permit area lies within the area of NOAA's Deep Ocean Mining Environmental Study (DOMES), the parameters listed in NOAA's Technical Guidance Document pertaining to the upper and lower water column should be included. Specifically, these parameters include: (i) Upper water column— Nutrients Endangered species Salinity, temperature, density Currents. Nutrients Endangered species Salinity, temperature, density Currents. (ii) Lower water column and seafloor— Currents Suspended particulate matter dispersion Sediment characteristics (mineralogy, particle size, shape and density, and water content) Topography Benthos. Currents Suspended particulate matter dispersion Sediment characteristics (mineralogy, particle size, shape and density, and water content) Topography Benthos. (3) For a permit area outside the DOMES area, the applicant is encouraged to consult with NOAA at the earliest opportunity in order to … | ||||
| 15:15:4.1.2.4.21.2.29.6 | 15 | Commerce and Foreign Trade | IX | D | 971 | PART 971—DEEP SEABED MINING REGULATIONS FOR COMMERCIAL RECOVERY PERMITS | B | Subpart B—Applications | § 971.205 Vessel safety and documentation. | NOAA | In order to provide a basis for the necessary determinations with respect to the safety of life and property at sea, pursuant to § 971.407, § 971.422 and Subpart G of this part, the application must contain the following information for vessels used in commercial recovery, except for those vessels under 300 gross tons which are engaged in oceanographic research: (a) U.S. flag vessel. All mining ships and at least one of the transport ships used by each permittee must be documented under the laws of the United States. To the extent that the applicant knows which United States flag vessels it will use, it must include with its application copies of the vessels' current valid Coast Guard Certificates of Inspection. (b) Foreign flag vessels. To the extent that the applicant knows which foreign flag vessel(s) it will be using for other purposes, the application must include evidence of the following: (1) That any foreign flag vessel whose flag state is party to the International Convention for the Safety of Life at Sea, 1974 (SOLAS 74) possesses current valid SOLAS 74 certificates; (2) That any foreign flag vessel whose flag state is not party to SOLAS 74 but is party to the International Convention for the Safety of Life at Sea, 1960 (SOLAS 60) possesses current valid SOLAS 60 certificates; and (3) That any foreign flag vessel whose flag state is not a party to either SOLAS 74 or SOLAS 60 meets all applicable structural and safety requirements contained in the published rules of a member of the International Association of Classification Societies (IACS). (c) Supplemental certificates. If the applicant does not know at the time of submitting an application which vessels it will be using, it must submit the applicable certification for each vessel before the cruise on which it will be used. | ||||
| 15:15:4.1.2.4.21.2.29.7 | 15 | Commerce and Foreign Trade | IX | D | 971 | PART 971—DEEP SEABED MINING REGULATIONS FOR COMMERCIAL RECOVERY PERMITS | B | Subpart B—Applications | § 971.206 Statement of ownership. | NOAA | (a) General. The application must include sufficient information to demonstrate that the applicant is a United States citizen. (b) Specific. In particular, the application must include: (1) Name, address, and telephone number of the United States citizen responsible for commercial recovery operations; (2) A description of the citizen or citizens engaging in commercial recovery, including: (i) Whether the citizen is a natural person, partnership, corporation, joint venture, or other form of association; (ii) The state of incorporation or state in which the partnership or other business entity is registered; (iii) The name and place of business of the registered agent or equivalent representative to whom notices and orders are to be delivered; (iv) Copies of all essential and nonproprietary provisions in articles of incorporation, charter or articles of association; and (v) The name of each member of the association, partnership, or joint venture, including information about the participation and/or ownership of stock of each partner or joint venturer. | ||||
| 15:15:4.1.2.4.21.2.29.8 | 15 | Commerce and Foreign Trade | IX | D | 971 | PART 971—DEEP SEABED MINING REGULATIONS FOR COMMERCIAL RECOVERY PERMITS | B | Subpart B—Applications | § 971.207 Antitrust information. | NOAA | In order to support the antitrust review referenced in § 971.211, the application must contain information sufficient, in the applicant's view and based on preapplication consultations pursuant to § 971.200(g), to identify the applicant and describe any significant existing market share it has with respect to the mining or marketing of the metals proposed to be recovered under the permit. | ||||
| 15:15:4.1.2.4.21.2.29.9 | 15 | Commerce and Foreign Trade | IX | D | 971 | PART 971—DEEP SEABED MINING REGULATIONS FOR COMMERCIAL RECOVERY PERMITS | B | Subpart B—Applications | § 971.208 Fee. | NOAA | [54 FR 525, Jan. 6, 1989, as amended at 91 FR 2672, Jan. 21, 2026] | (a) General. Section 104 of the Act provides that no application for the issuance or transfer of a permit will be certified unless the applicant pays to NOAA an administrative fee which reflects the reasonable administrative costs incurred in reviewing and processing the application. (b) Amount. A fee payment of $100,000 payable to the National Oceanic and Atmospheric Administration, Department of Commerce, shall be submitted prior to or concurrent with each application; the application should state the method of payment and the date the payment was submitted. If the administrative costs of reviewing and processing the application are significantly less than or in excess of $100,000, the Administrator, after determining the amount of the under- or over-charge, as applicable, will refund the difference or require the applicant to pay the additional amount before issuance or transfer of the permit. In the case of an application for transfer of a permit to, or for a significant change to a permit held by, an entity which has previously been found qualified for a permit, the Administrator may reduce the fee in advance by an appropriate amount which reflects costs avoided by reliance on previous findings made in relation to the proposed transferee. | |||
| 15:15:4.1.2.4.21.2.30.11 | 15 | Commerce and Foreign Trade | IX | D | 971 | PART 971—DEEP SEABED MINING REGULATIONS FOR COMMERCIAL RECOVERY PERMITS | B | Subpart B—Applications | § 971.210 Determination whether application is complete for further processing. | NOAA | Upon receipt of an application, the Administrator will review it to determine whether it includes information specifically identifiable with and fully responsive to each requirement in § 971.201 through § 971.209. The Administrator will notify the applicant whether the application is complete within 60 days after it is received. The notice will identify, if applicable, in what respects the application is not complete, and will specify the information which the applicant must submit in order to make it complete, why the additional information is necessary, and a reasonable date by which the application must be completed. Application processing will not begin until the Administrator determines that the application is complete. | ||||
| 15:15:4.1.2.4.21.2.30.12 | 15 | Commerce and Foreign Trade | IX | D | 971 | PART 971—DEEP SEABED MINING REGULATIONS FOR COMMERCIAL RECOVERY PERMITS | B | Subpart B—Applications | § 971.211 Consultation and cooperation with Federal agencies. | NOAA | (a) Promptly after receipt of an application that the Administrator has determined pursuant to § 971.210 is complete, the Administrator will distribute a copy of the application to every Federal agency or department which, pursuant to section 103(e) of the Act, has identified programs or activities within its statutory responsibilities which would be affected by the activities proposed in the application (e.g., the Departments of State, Transportation, Justice, Interior, Defense, Treasury and Labor, as well as the Environmental Protection Agency, Federal Trade Commission, International Trade Administration and National Science Foundation). Based on its legal responsibilities and authorities, each such agency or department may, not later than 60 days after it receives a copy of the application, recommend certification of the application, issuance or transfer of the permit, or denial of such certification, issuance or transfer. The advice or recommendation by the Attorney General or Federal Trade Commission on antitrust review, pursuant to section 103(d) of the Act, must be submitted within 90 days after their receipt of a copy of the application. (b) NOAA will use this process of consultation and cooperation to facilitate necessary Federal decisions on proposed commercial recovery activities, pursuant to the mandate of section 103(e) of the Act to reduce the number of separate actions required to satisfy Federal agencies' statutory responsibilities. The Administrator will not issue or transfer the permit during the 90 day period after receipt by the Attorney General and the Federal Trade Commission except upon written confirmation of the Attorney General and the Federal Trade Commission that neither intends to submit further comments or recommendations with respect to the application. (c) In any case in which a Federal agency or department recommends a denial, it must set forth in detail the manner in which the application does not comply with any law or regulation within its area of responsibility and how the a… | ||||
| 15:15:4.1.2.4.21.2.30.13 | 15 | Commerce and Foreign Trade | IX | D | 971 | PART 971—DEEP SEABED MINING REGULATIONS FOR COMMERCIAL RECOVERY PERMITS | B | Subpart B—Applications | § 971.212 Public notice, hearing and comment. | NOAA | (a) Notice and comments. The Administrator will publish in the Federal Register, for each complete application for issuance or transfer of a commercial recovery permit, notice that the application has been received. Subject to § 971.802, interested persons will be allowed to examine the materials relevant to the application, and will have at least 60 days after publication of notice to submit written comments to the Administrator. (b) Hearings. After preparation of the draft environmental impact statement (EIS) on an application, the Administrator will hold a public hearing on the application and the draft EIS in an appropriate location and may employ additional methods he/she deems appropriate to inform interested persons about each application and to invite comments thereon. A hearing will be conducted in any State in which a processing plant or any of its ancillary facilities (such as a marine terminal or a waste disposal facility) are proposed to be located. (c) If the Administrator determines there exist one or more specific and material factual issues which require resolution by formal processes, at least one formal hearing will be held in the District of Columbia metropolitan area in accordance with the provisions of Subpart I of this part. The record developed in any such formal hearing will be part of the basis of the Administrator's decisions on an application. (d) Hearings held pursuant to this section and other procedures will be consolidated, if practicable, with hearings held and procedures employed by other Federal and State agencies. | ||||
| 15:15:4.1.2.4.21.2.30.14 | 15 | Commerce and Foreign Trade | IX | D | 971 | PART 971—DEEP SEABED MINING REGULATIONS FOR COMMERCIAL RECOVERY PERMITS | B | Subpart B—Applications | § 971.213 Amendment to an application. | NOAA | After an application has been submitted to the Administrator, but before a determination is made on the issuance or transfer of a permit, the applicant must submit an amendment to the application if there is a significant change in the circumstances represented in the original application which affects the requirements of this subpart. Applicants should consult with NOAA to determine if changes in circumstances are sufficiently significant to require submission of an amendment. The application, as amended, would then serve as the basis for determinations by the Administrator under this part. For each amendment judged by the Administrator to be significant, the Administrator will provide a copy of that amendment to each other Federal agency and department which received a copy of the original application, and also will provide for public notice, hearing and comment on the amendment pursuant to § 971.212. After the issuance or transfer of a permit, any revision of the permit will be made pursuant to § 971.413. Any amendment or modification which would cause coastal zone effects substantially different than those originally reviewed by the state agency would be subject to Federal consistency review as prescribed in 15 CFR part 930. | ||||
| 15:15:4.1.2.4.21.2.30.15 | 15 | Commerce and Foreign Trade | IX | D | 971 | PART 971—DEEP SEABED MINING REGULATIONS FOR COMMERCIAL RECOVERY PERMITS | B | Subpart B—Applications | § 971.214 Consolidated license and permit procedures. | NOAA | [91 FR 2672, Jan. 21, 2026] | (a) Applicability and Order of Precedence. This section shall govern all consolidated applications that seek both an exploration license and a commercial recovery permit under the Act. Consolidated license and permit applications shall follow the requirements in this section and not the requirements set forth in §§ 970.200 through 970.208 of this chapter, §§ 970.400 through 970.408 of this chapter, and §§ 971.200 through 971.210, and 971.300 through 971.303. All other requirements set forth in 15 CFR parts 970 and 971 that are not in conflict with the requirements of this section shall apply to a consolidated license and permit application, and all the sections in part 970 of this chapter and this part, except for this section, shall continue to apply to individual license or permit applications. With respect to consolidated applications filed under this section, in the event of any conflict or inconsistency between any provision of this section and any provision of part 970 of this chapter and this part, the provision of this section shall control. (b) Who may apply; how. Any United States citizen who can demonstrate that he, she, or it possesses the scientific, technical, and financial resources to pursue commercial recovery activities in an expeditious and diligent manner may apply to the Administrator for issuance or transfer of an exploration license and a commercial recovery permit using the “consolidated license and permit procedures” as set out in this section. Under these consolidated procedures, a qualified applicant may submit a single consolidated application that seeks both an exploration license and a commercial recovery permit. The Administrator shall issue an exploration license and a commercial recovery permit to the applicant if the application complies with the Act and regulations. The Administrator shall consolidate public hearings and other proceedings for the concurrent processing of the issue or transfer of the license or permit to the extent practicable. The Administrator may prepare … | |||
| 15:15:4.1.2.4.21.3.31.1 | 15 | Commerce and Foreign Trade | IX | D | 971 | PART 971—DEEP SEABED MINING REGULATIONS FOR COMMERCIAL RECOVERY PERMITS | C | Subpart C—Certification of Applications | § 971.300 General. | NOAA | (a) Certification is an intermediate step between receipt of an application for issuance or transfer of a permit and actual issuance or transfer. It is a determination which focuses on the eligibility of the applicant. (b) Before the Administrator may certify an application for issuance or transfer of a permit, the Administrator must determine that issuance of the permit would not violate any of the restrictions in § 971.103(b). The Administrator also must make written determinations with respect to the requirements with respect to the requirements set forth in § 971.301. (c) To the maximum extent possible, the Administrator will endeavor to complete certification within 100 days after receipt of a complete application. If final certification or denial of certification has not occurred within 100 days after receipt of the application, the Administrator will inform the applicant in writing of the pending unresolved issues, the efforts to resolve them, and an estimate of the time required to do so. | ||||
| 15:15:4.1.2.4.21.3.31.2 | 15 | Commerce and Foreign Trade | IX | D | 971 | PART 971—DEEP SEABED MINING REGULATIONS FOR COMMERCIAL RECOVERY PERMITS | C | Subpart C—Certification of Applications | § 971.301 Required findings. | NOAA | Before the Administrator may certify an application for a commercial recovery permit, the Administrator must: (a) Approve the size and location of the commercial recovery area selected by the applicant, and this approval will occur unless the Administrator determines that (1) the area is not a logical mining unit under § 971.501, or (2) commercial recovery activities in the proposed area would result in a significant adverse environmental effect which cannot be avoided by imposition of reasonable restrictions; and (b) Find that the applicant— (1) Has demonstrated that, upon issuance or transfer of the permit, the applicant will be financially responsible to meet all obligations which may be required to engage in its proposed commercial recovery activities; (2) Has demonstrated that, upon permit issuance or transfer, it will possess, or have access to, the technological capability to engage in the proposed commercial recovery; (3) Has satisfactorily fulfilled all past obligations under any license or permit previously issued or transferred to the applicant under the Act; (4) Has a commercial recovery plan which meets the requirements of § 971.203; and (5) Has paid the permit fee specified in § 971.208. | ||||
| 15:15:4.1.2.4.21.3.31.3 | 15 | Commerce and Foreign Trade | IX | D | 971 | PART 971—DEEP SEABED MINING REGULATIONS FOR COMMERCIAL RECOVERY PERMITS | C | Subpart C—Certification of Applications | § 971.302 Denial of certification. | NOAA | (a) The Administrator may deny certification of an application if the Administrator finds that the requirements of this subpart, or the requirements for issuance or transfer under § 971.403 through § 971.408, have not been met. (b) When the Administrator proposes to deny certification the Administrator will send to the applicant, via certified mail, return receipt requested, and publish in the Federal Register, written notice of intention to deny certification. The notice will include: (1) The basis upon which the Administrator proposes to deny certification; and (2) If the basis for the proposed denial is a deficiency which the Administrator believes the applicant can correct: (i) The action believed necessary to correct the deficiency; and (ii) The time within which any correctable deficiency must be corrected (not to exceed 180 days except as specified by the Administrator for good cause). (c) The Administrator will deny certification: (1) On the 30th day after the date the notice is received by the applicant, under paragraph (b) of the section, unless before the 30th day the applicant files with the Administrator a written request for an administrative review of the proposed denial; or (2) On the last day of the period established under paragraph (b)(2)(ii) in which the applicant must correct a deficiency, if that deficiency has not been corrected before that day and an administrative review requested pursuant to paragraph (c)(1) is not pending or in progress. (d) If a timely request for administrative review of the proposed denial is made by the applicant under paragraph (c)(1) of this section, the Administrator will promptly begin a formal hearing. If the proposed denial is the result of a correctable deficiency, the administrative review will proceed concurrently with any attempts to correct the deficiency, unless the parties agree otherwise or the administrative law judge orders differently. (e) If the Administrator denies certification, he will send to the applicant written notice of the deni… | ||||
| 15:15:4.1.2.4.21.3.31.4 | 15 | Commerce and Foreign Trade | IX | D | 971 | PART 971—DEEP SEABED MINING REGULATIONS FOR COMMERCIAL RECOVERY PERMITS | C | Subpart C—Certification of Applications | § 971.303 Notice of certification. | NOAA | Upon making a final determination to certify an application for a commercial recovery permit, the Administrator will promptly send written notice of the determination to the applicant. | ||||
| 15:15:4.1.2.4.21.4.31.1 | 15 | Commerce and Foreign Trade | IX | D | 971 | PART 971—DEEP SEABED MINING REGULATIONS FOR COMMERCIAL RECOVERY PERMITS | D | Subpart D—Issuance/Transfer: Terms, Conditions and Restrictions | § 971.400 General. | NOAA | [54 FR 525, Jan. 6, 1989, as amended at 91 FR 2676, Jan. 21, 2026] | (a) Proposal. After certification of an application pursuant to subpart C of this part, or, as applicable, § 971.214(e), the Administrator shall proceed with a proposal to issue or transfer a permit for the commercial recovery activities described in the application. (b) Terms conditions and restrictions. (1) Within 180 days after certification (or such longer period as the Administrator may establish for good cause shown in writing), the Administrator will propose terms and conditions for, and restrictions on, the proposed commercial recovery which are consistent with the provisions of the Act and this part as set forth in §§ 971.418 through 971.430. Proposed and final TCRs will be uniform in all permits, except to the extent that differing physical and environmental conditions and/or mining methods require the establishment of special TCRs for the conservation of natural resources, protection of the environment, or the safety of life and property at sea. The Administrator will propose TCRs in writing to the applicant, and public notice thereof will be provided pursuant to § 971.401. The proposed TCRs will be included with the draft of the EIS on permit issuance. (2) If the Administrator does not propose TCRs within 180 days after certification, the Administrator will notify the applicant in writing of the reasons for delay and of the approximate date on which the proposed TCRs will be completed. (c) Findings. Before issuing or transferring a commercial recovery permit, the Administrator must make written findings in accordance with the requirements of § 971.403 through § 971.408. These findings will be made after considering all information submitted with respect to the application and proposed issuance or transfer. The Administrator will make a final determination of issuance or transfer of a permit, and will publish a final EIS on that action, within 180 days (or such longer period of time as the Administrator may establish for good cause shown in writing) following the date on which proposed TCRs an… | |||
| 15:15:4.1.2.4.21.4.31.10 | 15 | Commerce and Foreign Trade | IX | D | 971 | PART 971—DEEP SEABED MINING REGULATIONS FOR COMMERCIAL RECOVERY PERMITS | D | Subpart D—Issuance/Transfer: Terms, Conditions and Restrictions | § 971.409 Denial of issuance or transfer. | NOAA | (a) The Administrator may deny issuance or transfer of a permit if he finds that the applicant or the proposed commercial recovery activities do not meet the rquirements of this part for the issuance or transfer of a permit. (b) When the Administrator proposes to deny issuance or transfer, he will send to the applicant, via certified mail, return receipt requested, and publish in the Federal Register, written notice of his intention to deny issuance or transfer. The notice will include: (1) The basis upon which the Administrator proposes to deny issuance or transfer; and (2) If the basis for the proposed denial is a deficiency which the Administrator believes the applicant can correct: (i) The action believed necessary to correct the deficiency; and (ii) The time within which any correctable deficiency must be corrected (not to exceed 180 days except as specified by the Administrator for good cause). (c) The Administrator will deny issuance or transfer: (1) On the 30th day after the date the notice is received by the applicant under paragraph (b) of this section, unless before the 30th day the applicant files with the Administrator a written request for an administrative review of the proposed denial; or (2) On the last day of the period established under paragraph (b)(2)(ii) in which the applicant must correct a deficiency, if the deficiency has not been corrected before that day and an administrative review requested pursuant to paragraph (c)(1) is not pending or in progress. (d) If a timely request for administrative review of the proposed denial is made by the applicant under paragraph (c)(1) of this section, the Administrator will promptly begin a formal hearing in accordance with subpart I. If the proposed denial is the result of a correctable deficiency, the administrative review will proceed concurrently with any attempt to correct the deficiency, unless the parties agree otherwise or the administrative law judge orders differently. (e) If the Administrator denies issuance or transfer, the Adm… | ||||
| 15:15:4.1.2.4.21.4.31.11 | 15 | Commerce and Foreign Trade | IX | D | 971 | PART 971—DEEP SEABED MINING REGULATIONS FOR COMMERCIAL RECOVERY PERMITS | D | Subpart D—Issuance/Transfer: Terms, Conditions and Restrictions | § 971.410 Notice of issuance or transfer. | NOAA | If the Administrator finds that the requirements of this subpart have been met, he will issue or transfer the permit along with the appropriate TCRs. Notice of issuance or transfer will be made in writing to the applicant and published in the Federal Register. | ||||
| 15:15:4.1.2.4.21.4.31.12 | 15 | Commerce and Foreign Trade | IX | D | 971 | PART 971—DEEP SEABED MINING REGULATIONS FOR COMMERCIAL RECOVERY PERMITS | D | Subpart D—Issuance/Transfer: Terms, Conditions and Restrictions | § 971.411 Objections to terms, conditions and restrictions. | NOAA | (a) The permittee may file a notice of objection to any TCR in the permit. The permittee may object on the grounds that any TCR is inconsistent with the Act or this part, or on any other grounds which may be raised under applicable provisions of law. If the permittee does not file notice of an objection within the 60-day period immediately following the permittee's receipt of the notice of issuance or transfer under § 971.410, the permittee will be deemed conclusively to have accepted the TCRs in the permit. (b) Any notice of objection filed under paragraph (a) of this section must be in writing, must indicate the legal or factual basis for the objection, and must provide information relevant to any underlying factual issues deemed by the permittee as necessary to the Administrator's decision upon the objection. (c) Within 90 days after receipt of the notice of objection, the Administrator will act on the objection and publish in the Federal Register, as well as provide to the permittee, written notice of the decision. (d) If, after the Administrator takes final action on an objection, the permittee demonstrates that a dispute remains on a material issue of fact, the Administrator will provide for a formal hearing which will proceed in accordance with Subpart I of this part. (e) Any final determination by the Administrator on an objection to TCRs in a permit, after the formal hearing provided in paragraph (d), is subject to judicial review as provided in chapter 7 of title 5, United States Code. | ||||
| 15:15:4.1.2.4.21.4.31.13 | 15 | Commerce and Foreign Trade | IX | D | 971 | PART 971—DEEP SEABED MINING REGULATIONS FOR COMMERCIAL RECOVERY PERMITS | D | Subpart D—Issuance/Transfer: Terms, Conditions and Restrictions | § 971.412 Changes in permits and permit terms, conditions, and restrictions. | NOAA | [54 FR 525, Jan. 6, 1989, as amended at 91 FR 2676, Jan. 21, 2026] | (a) During the duration of a commercial recovery permit, changes in the permit or its associated commercial recovery plan may be initiated by either the permittee or the Administrator. (b) A significant change is one which, if approved, would result in: (1) An increase of more than five percent in the size of the commercial recovery area; or (2) A change in the location of five percent or more of the commercial recovery area. (c) A major change is one affecting one or more of: (1) The bases for certifying the original application pursuant to § 971.301 or, as applicable, pursuant to § 971.214(e); (2) The bases for issuing or transferring the permit pursuant to § 971.403 through § 971.408; (3) The TCRs issued as part of the permit pursuant to §§ 971.418 through 971.430; or (4) The ownership of a permittee (or the membership of the joint venture, partnership or other entity on whose behalf the permit was issued); and which change is sufficiently broad in scope to raise a question as to: (i) The permittee's ability to meet the requirements of the sections cited in paragraphs (c)(1) and (2) of this section; (ii) The sufficiency of the TCRs to accomplish their intended purpose; or (iii) The antitrust characteristic of the permittee. (d) A minor change is one that is clearly more modest in scope than the changes described in paragraph (b) or (c) of this section. (e) A permittee may not implement a significant or major change, as defined in paragraphs (b) and (c) of this section, until an application for revision of the permit or its associated commercial recovery plan has been approved by the Administrator. However, advance notice of proposed major changes in a permittee's corporate membership or legal structure is not required, unless practicable, but the Administrator expects prompt notification of the occurrence of such a major change. (f) A proposed significant or major change, as defined in paragraphs (b) and (c) of this section, may trigger the need for additional review, under the Federal consistenc… | |||
| 15:15:4.1.2.4.21.4.31.14 | 15 | Commerce and Foreign Trade | IX | D | 971 | PART 971—DEEP SEABED MINING REGULATIONS FOR COMMERCIAL RECOVERY PERMITS | D | Subpart D—Issuance/Transfer: Terms, Conditions and Restrictions | § 971.413 Revision of a permit. | NOAA | [54 FR 525, Jan. 6, 1989, as amended at 91 FR 2676, Jan. 21, 2026] | (a) During the term of a commercial recovery permit, the permittee may submit to the Administrator an application for a revision of the permit or the commercial recovery plan associated with it to accommodate changes desired by the permittee. In some cases, it may be advisable to recognize at the time of filing the original permit application that, although the essential information for issuing or transferring a permit as specified in §§ 971.201 through 971.209, or as applicable, § 971.214(d), shall be included in such application, some details may have to be provided in the future in the form of a revision. In such instances, the Administrator may issue or transfer a permit which would authorize commercial recovery activities and plans only to the extent described in the application. (b) An application by a permittee for a revision of a permit or its associated commercial recovery plan involving a significant change, as defined in § 971.412(b), must be followed by the full application procedures in this part, including a public hearing. (c) An application by a permittee for a revision of a permit or its associated commercial recovery plan involving a major change, as defined in § 971.412(c) (See also § 971.425 of this part), will be acted on after notice thereof is published by the Administrator in the Federal Register with a 60-day opportunity for public comment and consultation with appropriate Federal agencies. (d)(1) The Administrator will approve a revision if the Administrator finds in writing that the revision will comply with the requirements of the Act and this part. (2) Notice of the Administrator's decision on the proposed revision will be provided to the permittee in writing and published in the Federal Register. (e) A permittee may notify the Administrator of minor changes, as defined in § 971.412(d), subsequently in the annual report (See § 971.801 of this part). (f) If the relative importance of the change is unclear to the permittee, the Administrator should be notified in advance so tha… | |||
| 15:15:4.1.2.4.21.4.31.15 | 15 | Commerce and Foreign Trade | IX | D | 971 | PART 971—DEEP SEABED MINING REGULATIONS FOR COMMERCIAL RECOVERY PERMITS | D | Subpart D—Issuance/Transfer: Terms, Conditions and Restrictions | § 971.414 Modification of permit terms, conditions, and restrictions. | NOAA | (a) After issuance or transfer of any permit, the Administrator, after consultation with appropriate Federal agencies and the permittee, may modify the TCRs in a permit for the following purposes: (1) To avoid unreasonable interference with the interests of other nations in their exercise of the freedoms of the high seas, as recognized under general principles of international law. This determination will take into account the considerations listed in § 971.403; (2) If relevant data and information (including, but not limited to, data resulting from activities under a permit) indicate that modification is required to protect the quality of the environment or to promote the safety of life and property at sea; (3) To avoid a conflict with any international obligation of the United States, established by any treaty or convention in force with respect to the United States, as determined in writing by the President; or (4) To avoid any situation which may reasonably be expected to lead to a breach of international peace and security involving armed conflict, as determined in writing by the President. (b) A proposal by the Administrator to modify the TCRs in a permit is significant and must be followed by the full application procedures in this part, including a public hearing, if it would result in either of the changes identified in § 971.412(b). (c) All proposed modifications other than those described in paragraph (b) of this section will be acted on after the Administrator provides: (1) Written notice of the proposal to the permittee; and (2) Publication of this proposal in the Federal Register with a 60-day opportunity for comment. (d)(1) The Administrator will effect a modification of the TCRs if the Administrator finds in writing that the proposed modification will comply with the requirements of the Act and this part. (2) Upon adopting a TCR modification, the Administrator shall issue to the permittee an amended permit including the modified TCRs, and shall publish notice of issuance in the Federa… | ||||
| 15:15:4.1.2.4.21.4.31.16 | 15 | Commerce and Foreign Trade | IX | D | 971 | PART 971—DEEP SEABED MINING REGULATIONS FOR COMMERCIAL RECOVERY PERMITS | D | Subpart D—Issuance/Transfer: Terms, Conditions and Restrictions | § 971.415 Duration of a permit. | NOAA | (a) Unless suspended or revoked pursuant to §§ 971.406 and 971.417, each commercial recovery permit will be issued for a period of 20 years and for so long thereafter as hard mineral resources are recovered annually in commercial quantities from the area listed in the permit. (b) If the permittee has substantially complied with the permit and its associated recovery plan and requests an extension of the permit, the Administrator will extend the permit with appropriate TCRs, consistent with the Act, for so long thereafter as hard mineral resources are recovered annually in commercial quantities from the area to which the recovery plan associated with the permit applies. The Administrator may make allowance for deviation from the recovery plan for good cause, such as significantly changed market conditions. However, a request for extension must be accompanied by an amended recovery plan to govern the activities by the permittee during the extended period. (c) Successive extensions may be requested, and will be granted by the Administrator, based on the criteria specified in paragraphs (a) and (b). | ||||
| 15:15:4.1.2.4.21.4.31.17 | 15 | Commerce and Foreign Trade | IX | D | 971 | PART 971—DEEP SEABED MINING REGULATIONS FOR COMMERCIAL RECOVERY PERMITS | D | Subpart D—Issuance/Transfer: Terms, Conditions and Restrictions | § 971.416 Approval of permit transfers. | NOAA | (a) The Administrator may transfer a permit after a written request by the permittee. After a permittee submits a transfer request to the Administrator, the proposed transferee will be deemed an applicant for a commercial recovery permit, and will be subject to the requirements and procedures of this part. (b) The Administrator will transfer a permit if the proposed transferee is a United States citizen and proposed commercial recovery activities meet the requirements of the Act and this part, and if the proposed transfer is in the public interest. The Administrator will presume that the transfer is in the public interest if it meets the requirements of the Act and this part. In case of mere change in the form or ownership of a permittee, the Administrator may waive relevant determinations for requirements for which no changes have occurred since the preceding application. | ||||
| 15:15:4.1.2.4.21.4.31.18 | 15 | Commerce and Foreign Trade | IX | D | 971 | PART 971—DEEP SEABED MINING REGULATIONS FOR COMMERCIAL RECOVERY PERMITS | D | Subpart D—Issuance/Transfer: Terms, Conditions and Restrictions | § 971.417 Suspension or modification of activities; suspension or revocation of permits. | NOAA | (a) The Administrator may: (1) In addition to, or in lieu of, the imposition of any civil penalty under subpart J of this part, or in addition to the imposition of any fine under subpart J, suspend or revoke any permit issued under this part, or suspend or modify any particular activities under such a permit, if the permittee substantially fails to comply with any provision of the Act, this part, or any term, condition or restriction of the permit; and (2) Suspend or modify particular activities under any permit, if the President determines that such suspension or modification is necessary: (i) To avoid any conflict with any international obligation of the United States established by any treaty or convention in force with respect to the United States; or (ii) To avoid any situtation which may reasonably be expected to lead to a breach of international peace and security involving armed conflict. (b) Any action taken by the Administrator in accordance with paragraph (a)(1) will proceed pursuant to the procedures in § 971.1003. Any action taken in accordance with paragraph (a)(2) will proceed pursuant to paragraphs (c) through (i) of this section, other than paragraph (h)(2). (c) Prior to taking any action specified in paragraph (a)(2) the Administrator will publish in the Federal Register, and send to the permittee, written notice of the proposed action. The notice will include: (1) The basis of the proposed action; and (2) If the basis for the proposed action is a deficiency which the Administrator believes the permittee can correct: (i) The action necessary to correct the deficiency; and (ii) The time within which any correctable deficiency must be corrected (not to exceed 180 days except as specified by the Administrator for good cause). (d) The Administrator will take the proposed action: (1) On the 30th day after the date notice is sent to the permittee, under paragraph (c) of this section, unless before the 30th day the permittee files with the Administrator a written request for an administra… | ||||
| 15:15:4.1.2.4.21.4.31.2 | 15 | Commerce and Foreign Trade | IX | D | 971 | PART 971—DEEP SEABED MINING REGULATIONS FOR COMMERCIAL RECOVERY PERMITS | D | Subpart D—Issuance/Transfer: Terms, Conditions and Restrictions | § 971.401 Proposal to issue or transfer and proposed terms, conditions and restrictions. | NOAA | (a) Notice and comment. The Administrator will publish in the Federal Register notice of each proposal to issue or transfer, including notice of a draft EIS, and of proposed terms and conditions for, and restrictions on, a commercial recovery permit that will be included with the draft EIS [see § 971.400(b)]. Subject to § 971.802, interested persons will be permitted to examine the materials relevant to such proposals. Interested persons and affected States will have at least 60 days after publication of such notice to submit written comments to the Administrator. (b) Hearings. (1) The Administrator will hold the public hearing(s) required by § 971.212(b) in an appropriate location and may employ such additional methods as he deems appropriate to inform interested persons about each proposal and to invite their comments thereon. A copy of the notice and draft EIS will be provided to the affected State agency. Information provided by NOAA may be used to supplement information provided by the applicant, however it will not affect schedules for State agency review and decisions with respect to consistency determinations as required in 15 CFR part 930, subpart D. (2) If the Administrator determines there exist one or more specific and material factual issues which require resolution by formal processes, at least one formal hearing, which may be consolidated with a hearing held by another agency, will be held in the District of Columbia metropolitan area in accordance with the provisions of subpart I of this part. The record developed in any such formal hearing will be part of the basis for the Administrator's decisions on issuance or transfer of, and on TCRs for, the permit. | ||||
| 15:15:4.1.2.4.21.4.31.3 | 15 | Commerce and Foreign Trade | IX | D | 971 | PART 971—DEEP SEABED MINING REGULATIONS FOR COMMERCIAL RECOVERY PERMITS | D | Subpart D—Issuance/Transfer: Terms, Conditions and Restrictions | § 971.402 Consultation and cooperation with Federal and State agencies. | NOAA | Before issuance or transfer of a commercial recovery permit, the Administrator will conclude any consultations in cooperation with other Federal and State agencies which were initiated pursuant to §§ 971.211 and 971.200(g). These consultations will be held to assure compliance with, as applicable and among other statutes, the Endangered Species Act of 1973, as amended, the Marine Mammal Protection Act of 1972, as amended, the Fish and Wildlife Coordination Act, and the Coastal Zone Management Act of 1972, as amended. The Administrator also will consult, before any issuance, transfer, modification or renewal of a permit, with any affected Regional Fishery Management Council established pursuant to section 302 of the Magnuson Fishery Conservation and Management Act of 1976 (16 U.S.C. 1852) if the activities undertaken pursuant to the permit could adversely affect any fishery within the Fishery Conservation Zone (now known as the Exclusive Economic Zone), or any anadromous species or Continental Shelf fishery resource subject to the exclusive management authority of the United States beyond that zone. | ||||
| 15:15:4.1.2.4.21.4.31.4 | 15 | Commerce and Foreign Trade | IX | D | 971 | PART 971—DEEP SEABED MINING REGULATIONS FOR COMMERCIAL RECOVERY PERMITS | D | Subpart D—Issuance/Transfer: Terms, Conditions and Restrictions | § 971.403 Freedom of the high seas. | NOAA | (a) Before issuing or transferring a commercial recovery permit, the Administrator must find the recovery proposed in the application will not unreasonably interfere with the exercise of the freedoms of the high seas by other nations, as recognized under general principles of international law. (b) In making this finding, the Administrator will recognize that commercial recovery of hard mineral resources of the deep seabed is a freedom of the high seas. In the exercise of this right, each permittee shall act with reasonable regard for the interests of other nations in their exercise of the freedoms of the high seas. (c)(1) In the event of a conflict between the commercial recovery program of an applicant or permittee and a competing use of the high seas by another nation or its nationals, the Administrator, in consultation and cooperation with the Department of State and other interested agencies, will enter into negotiations with that nation to resolve the conflict. To the maximum extent possible the Administrator will endeavor to resolve the conflict in a manner that will allow both uses to take place such that neither will unreasonably interfere with the other. (2) If both uses cannot be conducted harmoniously in the area subject to the recovery plan, the Administrator will decide whether to issue or transfer the permit. | ||||
| 15:15:4.1.2.4.21.4.31.5 | 15 | Commerce and Foreign Trade | IX | D | 971 | PART 971—DEEP SEABED MINING REGULATIONS FOR COMMERCIAL RECOVERY PERMITS | D | Subpart D—Issuance/Transfer: Terms, Conditions and Restrictions | § 971.404 International obligations of the United States. | NOAA | Before issuing or transferring a commercial recovery permit, the Administrator must find that the commercial recovery proposed in the application will not conflict with any international obligation of the United States established by any treaty or international convention in force with respect to the United States. | ||||
| 15:15:4.1.2.4.21.4.31.6 | 15 | Commerce and Foreign Trade | IX | D | 971 | PART 971—DEEP SEABED MINING REGULATIONS FOR COMMERCIAL RECOVERY PERMITS | D | Subpart D—Issuance/Transfer: Terms, Conditions and Restrictions | § 971.405 Breach of international peace and security involving armed conflict. | NOAA | Before issuing or transferring a commercial recovery permit, the Administrator must find that the recovery proposed in the application will not create a situation which may reasonably be expected to lead to a breach of international peace and security involving armed conflict. | ||||
| 15:15:4.1.2.4.21.4.31.7 | 15 | Commerce and Foreign Trade | IX | D | 971 | PART 971—DEEP SEABED MINING REGULATIONS FOR COMMERCIAL RECOVERY PERMITS | D | Subpart D—Issuance/Transfer: Terms, Conditions and Restrictions | § 971.406 Environmental effects. | NOAA | Before issuing or transferring a commercial recovery permit, the Administrator must find that the commercial recovery proposed in the application cannot reasonably be expected to result in a significant adverse environmental effect, taking into account the analyses and information in any applicable EIS and any TCRs associated with the permit. This finding also will be based upon the requirements in subpart F. However, as also noted in subpart F, if a determination on this question cannot be made on the basis of available information, and it is found that irreparable harm will not occur during a period when an approved monitoring program is undertaken to further examine the significant adverse environmental effect issue, a permit may be granted, subject to modification or suspension and, if necessary and appropriate, revocation pursuant to § 971.417(a), or subject to emergency suspension pursuant to § 971.417(h). | ||||
| 15:15:4.1.2.4.21.4.31.8 | 15 | Commerce and Foreign Trade | IX | D | 971 | PART 971—DEEP SEABED MINING REGULATIONS FOR COMMERCIAL RECOVERY PERMITS | D | Subpart D—Issuance/Transfer: Terms, Conditions and Restrictions | § 971.407 Safety at sea. | NOAA | [91 FR 2676, Jan. 21, 2026] | Before issuing or transferring a commercial recovery permit, the Administrator shall find that the commercial recovery proposed in the application shall not pose an inordinate threat to the safety of life and property at sea. This finding shall be based on the requirements in § 971.205, or as applicable, § 971.214(d)(7), and subpart G of this part. | |||
| 15:15:4.1.2.4.21.4.31.9 | 15 | Commerce and Foreign Trade | IX | D | 971 | PART 971—DEEP SEABED MINING REGULATIONS FOR COMMERCIAL RECOVERY PERMITS | D | Subpart D—Issuance/Transfer: Terms, Conditions and Restrictions | § 971.408 Processing outside the United States. | NOAA | (a) Before issuing or transferring a commercial recovery permit which authorizes processing outside the U.S., the Administrator must find, after the opportunity for an agency hearing required by § 971.212(b), that: (1) The processing of the quantity concerned of hard mineral resource at a place other than within the United States is necessary for the economic viability of the commercial recovery activities of the permittee; and (2) Satisfactory assurances have been given by the permittee that such resources, after processing, to the extent of the permittee's ownership therein, will be returned to the United States for domestic use, if the Administrator so requires after determining that the national interest necessitates such return. (b) At or after permit issuance the Administrator may determine, or revise a prior determination, that the national interest necessitates return to the U.S. of a specified amount of hard mineral resource recovered pursuant to the permit and authorized to be processed outside the United States. Considerations in making this determination may include: (1) The national interest in an adequate supply of minerals; (2) The foreign policy interests of the United States; and (3) The multi-national character of deep seabed mining operations. (c) As appropriate, TCRs will incorporate provisions to implement the decision of the Administrator made pursuant to this section. (d) Environmental considerations of the proposed activity will be addressed in accordance with § 971.606(c). | ||||
| 15:15:4.1.2.4.21.4.32.19 | 15 | Commerce and Foreign Trade | IX | D | 971 | PART 971—DEEP SEABED MINING REGULATIONS FOR COMMERCIAL RECOVERY PERMITS | D | Subpart D—Issuance/Transfer: Terms, Conditions and Restrictions | § 971.418 Diligence requirements. | NOAA | The TCRs in each commercial recovery permit must include provisions to assure diligent development consistent with § 971.503, including a requirement that recovery at commercial scale be underway within ten years from the date of permit issuance unless that deadline is extended by the Administrator for good cause. | ||||
| 15:15:4.1.2.4.21.4.32.20 | 15 | Commerce and Foreign Trade | IX | D | 971 | PART 971—DEEP SEABED MINING REGULATIONS FOR COMMERCIAL RECOVERY PERMITS | D | Subpart D—Issuance/Transfer: Terms, Conditions and Restrictions | § 971.419 Environmental protection requirements. | NOAA | (a) Each commercial recovery permit must contain TCRs established by the Administrator pursuant to subpart F which prescribe actions the permittee must take in the conduct of commercial recovery activities to assure protection of the environment. Factors to be taken into account regarding the potential for significant adverse environmental effects are discussed in §§ 971.601 and 971.602. (b) Before establishing the TCRs pertaining to environmental protection, the Administrator will consult with the Administrator of the Environmental Protection Agency, the Secretary of State and the Secretary of the department in which the Coast Guard is operating. The Administrator also will take into account and give due consideration to formal comments received from the public, including those from the State agency, and to the information contained in the final site-specific EIS prepared with respect to the proposed permit. | ||||
| 15:15:4.1.2.4.21.4.32.21 | 15 | Commerce and Foreign Trade | IX | D | 971 | PART 971—DEEP SEABED MINING REGULATIONS FOR COMMERCIAL RECOVERY PERMITS | D | Subpart D—Issuance/Transfer: Terms, Conditions and Restrictions | § 971.420 Resource conservation requirements. | NOAA | For the purpose of conservation of natural resources, each permit issued under this part will contain, as needed, TCRs which have due regard for the prevention of waste and the future opportunity for the commercial recovery of the unrecovered balance of the hard mineral resources in the recovery area. The Administrator will establish these requirements pursuant to § 971.502. | ||||
| 15:15:4.1.2.4.21.4.32.22 | 15 | Commerce and Foreign Trade | IX | D | 971 | PART 971—DEEP SEABED MINING REGULATIONS FOR COMMERCIAL RECOVERY PERMITS | D | Subpart D—Issuance/Transfer: Terms, Conditions and Restrictions | § 971.421 Freedom of the high seas requirements. | NOAA | Each permit issued under this part must include appropriate restrictions to ensure that commercial recovery activities do not unreasonably interfere with the interests of other nations in their exercise of the freedoms of the high seas, as recognized under general principles of international law. The Administrator will consider the factors in § 971.403 in establishing these restrictions. | ||||
| 15:15:4.1.2.4.21.4.32.23 | 15 | Commerce and Foreign Trade | IX | D | 971 | PART 971—DEEP SEABED MINING REGULATIONS FOR COMMERCIAL RECOVERY PERMITS | D | Subpart D—Issuance/Transfer: Terms, Conditions and Restrictions | § 971.422 Safety at sea requirements. | NOAA | The Secretary of the department in which the Coast Guard is operating, in consultation with the Administrator, will require in any permit issued under this part, in conformity with principles of international law, that vessels documented under the laws of the United States and used in activities authorized under the permit comply with conditions regarding design, construction, alteration, repair, equipment, operation, manning and maintenance relating to vessel and crew safety and the promotion of safety of life and property at sea. These requirements will be established with reference to subpart G of this part. | ||||
| 15:15:4.1.2.4.21.4.32.24 | 15 | Commerce and Foreign Trade | IX | D | 971 | PART 971—DEEP SEABED MINING REGULATIONS FOR COMMERCIAL RECOVERY PERMITS | D | Subpart D—Issuance/Transfer: Terms, Conditions and Restrictions | § 971.423 Best available technology. | NOAA | The Administrator will require in all activities under new permits, and wherever practicable in activities under existing permits, the use of the best available technologies for the protection of safety, health, and the environment wherever such activities would have a significant adverse effect on safety, health, or the environment, (see §§ 971.203(b)(3), 971.602(f), and 971.604(a)), except where the Administrator determines that the incremental benefits are clearly insufficient to justify the incremental costs of using such technologies. | ||||
| 15:15:4.1.2.4.21.4.32.25 | 15 | Commerce and Foreign Trade | IX | D | 971 | PART 971—DEEP SEABED MINING REGULATIONS FOR COMMERCIAL RECOVERY PERMITS | D | Subpart D—Issuance/Transfer: Terms, Conditions and Restrictions | § 971.424 Monitoring requirements. | NOAA | Each commercial recovery permit will require the permittee: (a) To allow the Administrator to place appropriate Federal officers or employees as observers aboard vessels used by the permittee in commercial recovery activities to: (1) Monitor activities at times, and to the extent, the Administrator deems reasonable and necessary to assess the effectiveness of the TCRs of the permit; and (2) Report to the Administrator whenever those officers or employees have reason to believe there is a failure to comply with the TCRs; (b) To cooperate with Federal officers and employees in the performance of monitoring functions; and (c) To monitor the environmental effects of the commercial recovery activities in accordance with a monitoring plan approved and issued by NOAA as permit TCRs and to submit data and other information as necessary to permit evaluation of environmental effects. The environmental monitoring plan and reporting will respond to the concerns and procedures discussed in subpart F. | ||||
| 15:15:4.1.2.4.21.4.32.26 | 15 | Commerce and Foreign Trade | IX | D | 971 | PART 971—DEEP SEABED MINING REGULATIONS FOR COMMERCIAL RECOVERY PERMITS | D | Subpart D—Issuance/Transfer: Terms, Conditions and Restrictions | § 971.425 Changes of circumstances. | NOAA | Each permit must require the permittee to advise the Administrator of any changes of circumstances which might constitute a revision which would be a major change under § 971.412(c). Changes in ownership, financing, and use conflicts are examples, as are technology or methodology changes including those which might result in significant adverse environmental effects. | ||||
| 15:15:4.1.2.4.21.4.32.27 | 15 | Commerce and Foreign Trade | IX | D | 971 | PART 971—DEEP SEABED MINING REGULATIONS FOR COMMERCIAL RECOVERY PERMITS | D | Subpart D—Issuance/Transfer: Terms, Conditions and Restrictions | § 971.426 Annual report and records maintenance. | NOAA | Each permit will require the permittee to submit an annual report and maintain information in accordance with § 971.801 including compliance with the commercial recovery plan and the quantities of hard mineral resources recovered and the disposition of such resources. | ||||
| 15:15:4.1.2.4.21.4.32.28 | 15 | Commerce and Foreign Trade | IX | D | 971 | PART 971—DEEP SEABED MINING REGULATIONS FOR COMMERCIAL RECOVERY PERMITS | D | Subpart D—Issuance/Transfer: Terms, Conditions and Restrictions | § 971.427 Processing outside the United States. | NOAA | If appropriate TCRs will incorporate provisions to implement the decision of the Administrator regarding the return of resources processed outside the United States, in accordance with § 971.408. | ||||
| 15:15:4.1.2.4.21.4.32.29 | 15 | Commerce and Foreign Trade | IX | D | 971 | PART 971—DEEP SEABED MINING REGULATIONS FOR COMMERCIAL RECOVERY PERMITS | D | Subpart D—Issuance/Transfer: Terms, Conditions and Restrictions | § 971.428 Other necessary permits. | NOAA | Each permit will provide that securing the deep seabed mining permit for activities described in the recovery plan and accompanying application does not eliminate the need to secure all other necessary Federal, State, and local permits. | ||||
| 15:15:4.1.2.4.21.4.32.30 | 15 | Commerce and Foreign Trade | IX | D | 971 | PART 971—DEEP SEABED MINING REGULATIONS FOR COMMERCIAL RECOVERY PERMITS | D | Subpart D—Issuance/Transfer: Terms, Conditions and Restrictions | § 971.429 Special terms, conditions and restrictions. | NOAA | Although the general criteria and standards to be used in establishing TCRs for a permit are set forth in this part, as referenced in §§ 971.418 through 971.428, the Administrator may impose special TCRs for the conservation of natural resources, protection of the environment, or the safety of life and property at sea when required by differing physical and environmental conditions. | ||||
| 15:15:4.1.2.4.21.4.32.31 | 15 | Commerce and Foreign Trade | IX | D | 971 | PART 971—DEEP SEABED MINING REGULATIONS FOR COMMERCIAL RECOVERY PERMITS | D | Subpart D—Issuance/Transfer: Terms, Conditions and Restrictions | § 971.430 Other Federal requirements. | NOAA | Pursuant to § 971.211, another Federal agency, or a State acting under Federal authority, upon review of a commercial recovery permit application submitted under this part, may propose that certain TCRs be added to the permit, to assure compliance with any law or regulation within that agency's area of responsibility. The Administrator will include appropriate TCRs in a permit. | ||||
| 15:15:4.1.2.4.21.5.33.1 | 15 | Commerce and Foreign Trade | IX | D | 971 | PART 971—DEEP SEABED MINING REGULATIONS FOR COMMERCIAL RECOVERY PERMITS | E | Subpart E—Resource Development | § 971.500 General. | NOAA | Several provisions in the Act relate to appropriate mining techniques or mining efficiency. These raise what could be characterized as resource development issues. In particular, section 103(a)(2)(C) requires a resource assessment to be provided with the recovery plan. Section 103(a)(2)(D) of the Act provides that the applicant will select the size and location of the area of a recovery plan, which will be approved unless the Administrator finds that the area is not a “logical mining unit” or the commercial recovery activities in the proposed site would result in a significant adverse environmental effect which cannot be avoided by the imposition of reasonable restrictions. Also, pursuant to section 108 of the Act, the applicant's recovery plan and the TCRs of each permit must be designed to ensure diligent development. In addition, for the purpose of conservation of natural resources, section 110 of the Act provides that each permit is to contain, as needed, terms, conditions, and restrictions which have due regard for the prevention of waste and the future opportunity for the commercial recovery of the unrecovered balance of the resources. | ||||
| 15:15:4.1.2.4.21.5.33.2 | 15 | Commerce and Foreign Trade | IX | D | 971 | PART 971—DEEP SEABED MINING REGULATIONS FOR COMMERCIAL RECOVERY PERMITS | E | Subpart E—Resource Development | § 971.501 Resource assessment, recovery plan, and logical mining unit. | NOAA | (a) The applicant must submit with the application a resource assessment to provide a basis for assessing the area applied for. This assessment must include a discussion of mineable and unmineable areas, taking into account nodule grade, nodule concentration, and other factors such as seafloor topography. These areas may be delineated graphically. The resources in the area must be described in relation to the applicant's production requirements, operating period, and recovery efficiency in order to justify the area applied for. (b) The applicant shall select the size and location of the area of the recovery plan, which area shall be approved unless the Administrator finds that, among other considerations (see § 971.301(a)), the area is not a logical mining unit. In the case of a commercial recovery permit, a logical mining unit is an area of the deep seabed: (1) In which hard mineral resources can be recovered in sufficient quantities to satisfy the permittee's estimated production requirements over the initial 20-year term of the permit in an efficient, economical, and orderly manner with due regard for conservation and protection of the environment, taking into consideration the resource data, other relevant physical and environmental characteristics, and the state of the technology of the applicant set out in the recovery plan; (2) Which is not larger than necessary to satisfy the permittee's estimated production requirements over the initial 20-year term of the permit; and (3) In relation to which the permittee's estimated production requirements are not found by the Administrator to be unreasonable. (c) Approval by the Administrator of a proposed logical mining unit will be based on a case-by-case review of each application. The area need not consist of contiguous segments, as long as each segment would be efficiently mineable and the total proposed area constitutes a logical mining unit. (d) In describing the area, the applicant must present the geodetic coordinates of the points defining the boundari… | ||||
| 15:15:4.1.2.4.21.5.33.3 | 15 | Commerce and Foreign Trade | IX | D | 971 | PART 971—DEEP SEABED MINING REGULATIONS FOR COMMERCIAL RECOVERY PERMITS | E | Subpart E—Resource Development | § 971.502 Conservation of resources. | NOAA | (a) If the Administrator establishes terms, conditions and restrictions relating to conservation of resources, he will employ a balancing process in the consideration of the state of the technology being developed, the processing system utilized and the value and potential use of any waste, the environmental effects of the recovery activities, economic and resource data, and the national need for hard mineral resources. (b) The application must set forth how the applicant's proposed method of collecting nodules will conserve resources by providing for the future opportunity for commercial recovery of the unrecovered balance of the resources in the proposed permit area. Although preliminary and subject to change, the discussion must include a plan for the chronology of areas to be mined. This is needed in order for the Administrator to determine if selective mining, expected to be carried out in the early years to improve cash flow, is part of a long range recovery plan. (c) If the applicant proposes a refining process that does not include the use of manganese in a productive manner, it may not render the manganese unavailable to future users by dispersing the tailings over a vast area unless such a scheme is necessary for the financial practicability of the commercial recovery activities of the applicant. A permittee must advise the Administrator in the annual report of the location, composition and quantity of manganese in tailings which remain after processing. Should national needs for manganese develop during the duration of a permit, e.g., in case of national emergency, the Administrator may cancel the exception granted involving dispersion of tailings. Applicants seeking an exception would be required to demonstrate how and in what time frame their commercial recovery processing activities could be modified to respond to new national needs. | ||||
| 15:15:4.1.2.4.21.5.33.4 | 15 | Commerce and Foreign Trade | IX | D | 971 | PART 971—DEEP SEABED MINING REGULATIONS FOR COMMERCIAL RECOVERY PERMITS | E | Subpart E—Resource Development | § 971.503 Diligent commercial recovery. | NOAA | [54 FR 525, Jan. 6, 1989, as amended at 91 FR 2677, Jan. 21, 2026] | (a) Each permittee must pursue diligently the activities described in its approved commercial recovery plan. This requirement applies to the full scope of the plan, including environmental safeguards and monitoring systems. Permit TCRs will require periodic reasonable expenditures for commercial recovery by the permittee, taking into account the size of the area of the deep seabed to which the recovery plan applies and the amount of funds estimated by the Administrator to be required to initiate commercial recovery of hard mineral resources within the time limit established by the Administrator. However, required expenditures will not be established at a level which would discourage commercial recovery or operational efficiency. (b) To meet the diligence requirement, the applicant shall propose to the Administrator an estimated schedule of activities and expenditures pursuant to § 971.203(b)(2), or as applicable, pursuant to § 971.214(d)(2) and (d)(4)(iii). The schedule(s) shall show, and the Administrator must be able to make a reasonable determination, that the applicant can reasonably develop the resources in the permit area within the term of the permit. There must be a reasonable relationship between the size of the recovery area and the financial and technological resources reflected in the application. The permittee shall initiate the recovery of nodules in commercial quantities within ten years of the issuance of the permit unless this deadline is extended by the Administrator for good cause. (c) Once commercial recovery is achieved, the permittee must, within reasonable limits and taking into consideration all relevant factors, maintain commercial recovery throughout the period of the permit. However, the Administrator will, for good cause shown, authorize temporary suspension of commercial recovery activities. The duration of any suspension will not exceed one year, unless the Administrator determines that conditions justify an extension of the suspension. (d) Ultimately, the diligence requirement wi… | |||
| 15:15:4.1.2.4.21.6.33.1 | 15 | Commerce and Foreign Trade | IX | D | 971 | PART 971—DEEP SEABED MINING REGULATIONS FOR COMMERCIAL RECOVERY PERMITS | F | Subpart F—Environmental Effects | § 971.600 General. | NOAA | The Act contains several provisions which relate to environmental protection. For example, section 105(a)(4) requires that, before the Administrator may issue a commercial recovery permit, he must find that the commercial recovery proposed in the application cannot reasonably be expected to result in a significant adverse environmental effect. In addition, each permit issued must contain TCRs which prescribe actions the permittee must take in the conduct of commercial recovery activities to assure protection of the environment (section 109(b)). The Act also provides for modification by the Administrator of any TCR if relevant data and information indicate that modification is required to protect the quality of the environment (section 105(c)(1)(B)). The Administrator also may order an immediate suspension or modification of activities (section 106(c)), or require use of best available technologies (section 109(b)), to prevent a significant adverse environmental effect. Furthermore, each permit issued under the Act must require the permittee to monitor the environmental effects of commercial recovery activities in accordance with guidelines issued by the Administrator, and to submit information the Administrator finds necessary and appropriate to assess environmental effects and to develop and evaluate possible methods of mitigating adverse effects (section 114). | ||||
| 15:15:4.1.2.4.21.6.33.2 | 15 | Commerce and Foreign Trade | IX | D | 971 | PART 971—DEEP SEABED MINING REGULATIONS FOR COMMERCIAL RECOVERY PERMITS | F | Subpart F—Environmental Effects | § 971.601 Environmental requirements. | NOAA | Before issuing a permit for the commercial recovery of deep seabed hard mineral resources, the Administrator must find that: (a) The issuance of a permit cannot reasonably be expected to result in a significant adverse environmental effect, or, if there is insufficient information to make that determination, that no irreparable harm will result during a period when monitoring of commerical recovery is undertaken to gather sufficient information in order to determine the potential for or occurrence of any significant adverse environmental effect. In examining this issue, NOAA will give consideration to the following Ocean Discharge Criteria of the Clean Water Act (40 CFR part 125, subpart M), as they may pertain to discharges and other environmental perturbations related to the commercial recovery operations: (1) The quantities, composition and potential for bioaccumulation or persistence of the pollutants to be discharged; (2) The potential transport of such pollutants by biological, physical or chemical processes; (3) The composition and vulnerability of the biological communities which may be exposed to such pollutants including the presence of unique species or communities of species, the presence of species identified as endangered or threatened pursuant to the Endangered Species Act, or the presence of those species critical to the structure or function of the ecosystem such as those important for the food chain; (4) The importance of the receiving water area to the surrounding biological community, including the presence of spawning sites, nursery/forage areas, migratory pathways, or areas necessary for other functions or critical stages in the life cycle of an organism; (5) The existence of special aquatic sites including but not limited to marine sanctuaries and refuges, parks, national and historic monuments, national seashores, wilderness areas and coral reefs; (6) The potential impacts on human health through direct and indirect pathways; (7) Existing or potential recreational and commercial fi… | ||||
| 15:15:4.1.2.4.21.6.33.3 | 15 | Commerce and Foreign Trade | IX | D | 971 | PART 971—DEEP SEABED MINING REGULATIONS FOR COMMERCIAL RECOVERY PERMITS | F | Subpart F—Environmental Effects | § 971.602 Significant adverse environmental effects. | NOAA | (a) Determination of significant adverse environmental effects. The Administrator will determine the potential for or the occurrence of any significant adverse environmental effect or impact (for the purposes of sections 103(a)(2)(D), 105(a)(4), 106(c) and 109(b) (second sentence) of the Act), on a case-by-case basis. (b) Basis for determination. Determinations will be based upon the best information available, including relevant environmental impact statements, NOAA-collected data, monitoring results, and other data provided by the applicant or permittee, as well as consideration of the criteria in § 971.601(a). (c) Related considerations. In making a determination the Administrator may take into account any TCRs or other mitigation measures. (d) Activities with no significant adverse environmental effect. NOAA believes that exploration-type activities, as listed in the license regulations (15 CFR 970.701), require no further environmental assessment. (e) Activities with potential for significant adverse environmental effects. NOAA research has identified at-sea testing of recovery equipment, the recovery of manganese nodules in commercial quantities from the deep seabed, and the construction and operation of commercial-scale processing facilities as activities which may have some potential for significant adverse envirnomental effects. (f) Related terms, conditions and restrictions. Permits will be issued with TCRs containing environmental requirements with respect to protection (pursuant to § 971.419), mitigation (pursuant to § 971.419), or best available technology requirements (pursuant to § 971.423), as appropriate, and monitoring requirements (pursuant to § 971.424) to acquire more information on the environmental effects of deep seabed mining. | ||||
| 15:15:4.1.2.4.21.6.33.4 | 15 | Commerce and Foreign Trade | IX | D | 971 | PART 971—DEEP SEABED MINING REGULATIONS FOR COMMERCIAL RECOVERY PERMITS | F | Subpart F—Environmental Effects | § 971.603 At-sea monitoring. | NOAA | (a) An applicant must submit with its application a monitoring plan designed to enable the Administrator to assess environmental impacts and to develop and evaluate possible methods of mitigating adverse environmental effects, to validate assessments made in the EIS, and to assure compliance with the environmental protection requirements of this part. (b) The monitoring plan shall include a characterization of the proposed mining system in terms of collector contact, benthic discharge and surface discharge. (c) The monitoring plan shall include determination of (1) the spatial and temporal characteristics of the mining ship discharges; (2) the spatial extent and severity of the benthic impact, including recovery rate and pattern of benthic recolonization; and (3) any secondary effects that result from the impact of the mining collector and benthic plume. (d) The monitoring of benthic impact shall involve the study of two types of areas, each selected by the permittee in consultation with NOAA, which areas shall be representative of the environmental characteristics of the permittee's site: (1) An impact reference area, located in a portion of a permit area tentatively scheduled to be mined early in a commercial recovery plan; and (2) An interim preservational reference area, located in a portion of a permit area tentatively determined: to be non-mineable, not to be scheduled for mining during the commercial recovery plan, or to be scheduled for mining late in the plan. Reference areas may be selected provisionally prior to application for a commercial recovery permit. (e) The following specific environmental parameters must be proposed for examination in the applicant's monitoring plan: (1) Discharges— (i) Salinity, temperature, density. (ii) Suspended particulates concentration and density. (iii) Particulate and dissolved nutrients and metals. (iv) Size, configuration, and velocities of discharge. (2) Upper water column— (i) Nutrients. (ii) Endangered species (observations). (iii) Salinity, tempe… | ||||
| 15:15:4.1.2.4.21.6.33.5 | 15 | Commerce and Foreign Trade | IX | D | 971 | PART 971—DEEP SEABED MINING REGULATIONS FOR COMMERCIAL RECOVERY PERMITS | F | Subpart F—Environmental Effects | § 971.604 Best available technologies (BAT) and mitigation. | NOAA | (a) The Administrator shall require in all activities under new permits, and wherever practicable in activities under existing permits, the use of the best available technologies for the protection of safety, health, and the environment wherever such activities would have a significant adverse effect on safety, health, or the environment, except where the Administrator determines that the incremental benefits are clearly insufficient to justify the incremental costs of using such technologies. Because of the embryonic nature of the industry, NOAA is unable either to specify particular equipment or procedures comprising BAT or to define performance standards. Until such experience exists, the applicant shall submit such information as is necessary to indicate, as required above, the use of BAT, the alternatives considered to the specific equipment or procedures proposed, and the rationale as to why one alternative technology was selected in place of another. This analysis shall include a discussion of the relative costs and benefits of the technologies considered. (b) NOAA is not specifying particular mitigation methodologies or techniques at this time (such as requiring the sub-surface release of mining vessel discharges), but expects applicants and permittees to develop and carry out their operations, to the extent possible, to minimize adverse environmental effects and to be able to demonstrate efforts to that end. The applicant must submit a plan describing how he would mitigate a problem, if it were caused by the surface release of mining vessel discharges, including a plan for the monitoring of any discharges. Based upon monitoring results, NOAA may find it necessary in the future to specify particular procedures for minimizing adverse environmental effects. These procedures would be incorporated into permit TCRs. (c) NOAA will require the permittee to report, prior to implementation, any proposed technological or operational changes that will increase or have unknown environmental effects. Changes in comp… | ||||
| 15:15:4.1.2.4.21.6.33.6 | 15 | Commerce and Foreign Trade | IX | D | 971 | PART 971—DEEP SEABED MINING REGULATIONS FOR COMMERCIAL RECOVERY PERMITS | F | Subpart F—Environmental Effects | § 971.605 Stable Reference Areas. [Reserved] | NOAA | |||||
| 15:15:4.1.2.4.21.6.33.7 | 15 | Commerce and Foreign Trade | IX | D | 971 | PART 971—DEEP SEABED MINING REGULATIONS FOR COMMERCIAL RECOVERY PERMITS | F | Subpart F—Environmental Effects | § 971.606 Onshore information. | NOAA | (a) To assist the Administrator in complying with NEPA requirements and to enable NOAA to function as lead agency in preparing permit site-specific environmental impact statements (EISs) and facilitating the preparation and processing of other environmental documents and permits, the applications must include the following information: (1) The location and affected environment of port, transport, processing and waste disposal facilities and associated facilities (e.g., maps, land use and layout); (2) A description of the environmental consequences and socio-economic effects of construction and operation of the facilities, including waste characteristics and toxicity; (3) Any mitigating measures that may be proposed; (4) Certification of consistency with the federally approved State coastal management program, where applicable, and evidence of the status of compliance with other State or local requirements relating to protection of the environment; and (5) Alternative sites and technologies considered by the applicant and the considerations which eliminate their selection. (b) The applicant must consult with NOAA as early as possible concerning the information to be submitted to NOAA to prepare an adequate environmental impact statement. The applicant is encouraged to consult with potentially affected States as early as is practicable [see also §§ 971.200(g) and 971.213]. (c) The requirements of paragraphs (a)(1)-(3) and (5) of this section also apply if approval of processing outside the United States is requested by the applicant, in accordance with Executive Order 12114 which requires the environmental review of major Federal actions abroad. Information detailing the socio-economic impacts of foreign processing activities is not required. | ||||
| 15:15:4.1.2.4.21.7.33.1 | 15 | Commerce and Foreign Trade | IX | D | 971 | PART 971—DEEP SEABED MINING REGULATIONS FOR COMMERCIAL RECOVERY PERMITS | G | Subpart G—Safety of Life and Property at Sea | § 971.700 General. | NOAA | The Act contains several requirements that relate to assuring the safety of life and property at sea. For example, before the Administrator may issue a permit, he must find that the proposed recovery will not pose an inordinate threat to the safety of life and property at sea (section 105(a)(5)). The Coast Guard, in consultation with NOAA, must require in any permit issued under the Act, in conformity with principles of international law, that vessels documented in the United States and used in activities authorized under the permit comply with conditions regarding the design, construction, alteration, repair, equipment, operation, manning and maintenance relating to vessel and crew safety and the safety of life and property at sea (section 112(a)). The Administrator may impose or modify TCRs for a permit if required to promote the safety of life and property at sea (section 105(c)(1)(B)). | ||||
| 15:15:4.1.2.4.21.7.33.2 | 15 | Commerce and Foreign Trade | IX | D | 971 | PART 971—DEEP SEABED MINING REGULATIONS FOR COMMERCIAL RECOVERY PERMITS | G | Subpart G—Safety of Life and Property at Sea | § 971.701 Criteria for safety of life and property at sea. | NOAA | [54 FR 525, Jan. 6, 1989, as amended at 91 FR 2677, Jan. 21, 2026] | Response to the safety at sea requirements in essence will involve vessel inspection requirements, as identified by present laws and regulations. The primary inspection statutes pertaining to United States flag vessels are: 46 App. U.S.C. 86 (Loadlines) and 46 U.S.C. 3301 (Inspection of Seagoing Barges, Seagoing Motor Vessels, and Freight Vessels). United States flag vessels shall be required to meet all applicable regulatory requirements, including the requirement for a current valid Coast Guard Certificate of Inspection (pursuant to § 971.205(a) or, as applicable, pursuant to § 971.214(d)(7)(i)). United States flag vessels are under United States jurisdiction on the high seas and subject to domestic enforcement procedures. With respect to foreign flag vessels, the SOLAS 74 or SOLAS 60 certificate requirements specified in § 971.205(b), or, as applicable, specified in § 971.214(d)(7)(ii), apply. | |||
| 15:15:4.1.2.4.21.8.33.1 | 15 | Commerce and Foreign Trade | IX | D | 971 | PART 971—DEEP SEABED MINING REGULATIONS FOR COMMERCIAL RECOVERY PERMITS | H | Subpart H—Miscellaneous | § 971.800 General. | NOAA | The subpart contains miscellaneous provisions pursuant to the Act which are applicable to exploration licenses and commercial recovery permits. | ||||
| 15:15:4.1.2.4.21.8.33.2 | 15 | Commerce and Foreign Trade | IX | D | 971 | PART 971—DEEP SEABED MINING REGULATIONS FOR COMMERCIAL RECOVERY PERMITS | H | Subpart H—Miscellaneous | § 971.801 Records to be maintained and information to be submitted by licensees and permittees. | NOAA | (a)(1) In addition to the information specified elsewhere in the part and in 15 CFR part 970, each licensee and permittee must keep such records, consistent with standard accounting principles, as specified by the Administrator in the license or permit. Such records shall include information which will fully disclose expenditures for exploration for, or commercial recovery of hard mineral resources in the area under license or permit, and any other information which will facilitate an effective audit of these expenditures. (2) The Administrator and the Comptroller General of the United States, or any of their duly authorized representatives, shall have access, for purposes of audit and examination to any books, documents, papers, and records of licensees and permittees which are necessary and directly pertinent to verification of the expenditures referred to in paragraph (a)(1) of this section. (b) In addition to the information specified elsewhere in this part and in 15 CFR part 970, each applicant, licensee or permittee will be required to submit to the Administrator, upon request, data or other information the Administrator may reasonably need for purposes of: (1) Making determinations with respect to the issuance, revocation, modification, or suspension of the license or permit in question; (2) Evaluating the effectiveness of license or permit TCRs; (3) Compliance with the biennial Congressional report requirement contained in section 309 of the Act; and (4) Evaluation of the exploration or commercial recovery activities conducted by the licensee or permittee. At a minimum, licensees and permittees shall submit an annual written report within 90 days after each anniversary of the license or permit issuance or transfer, discussing exploration or commercial recovery activities and expenditures. The report shall address diligence requirements (see § 971.503 and 15 CFR 970.602), implementation of any approved monitoring plan (see § 971.602 and 15 CFR 970.522(c) and 970.702(a)), and applicable changes which… | ||||
| 15:15:4.1.2.4.21.8.33.3 | 15 | Commerce and Foreign Trade | IX | D | 971 | PART 971—DEEP SEABED MINING REGULATIONS FOR COMMERCIAL RECOVERY PERMITS | H | Subpart H—Miscellaneous | § 971.802 Public disclosure of documents received by NOAA. | NOAA | [54 FR 525, Jan. 6, 1989, as amended at 91 FR 2677, Jan. 21, 2026] | (a) General. Procedures for requesting confidential treatment of information submitted to, reported to, or collected by the Administrator pursuant to this part and 15 CFR part 970 shall be in accordance with 15 CFR part 4. Procedures for requesting records and handling requests for records containing information submitted to, reported to, or collected by the Administrator pursuant to this part and 15 CFR part 970 shall also be in accordance with 15 CFR part 4. (b) Protection of confidential information transmitted by the Administrator to other agencies. Each copy of information for which confidential treatment has been requested which is transmitted by the Administrator to other Federal agencies will be accompanied by a cover letter containing: (1) A request that the other Federal agency maintain the information in confidence in accordance with applicable law (including the Trade Secret Act, 18 U.S.C. 1905) and any applicable protective agreement entered into by the Administrator and the Federal agency receiving the information; (2) A request that the other Federal agency notify the Administrator immediately upon receipt of any request for disclosure of the information; and (3) A request that all copies of the information be returned to the Administrator for secure storage or disposal promptly after the Federal agency determines that it no longer needs the information for its official use. (c) When satisfied that adequate protection against public disclosure exists, applicants should provide the State agency with confidential and proprietary information which the State agency maintains is necessary to make a reasoned decision on the consistency of the proposal. State agency requests for such information must be related to the necessity of having such information to assess adequately the coastal zone effects of the proposal. | |||
| 15:15:4.1.2.4.21.8.33.4 | 15 | Commerce and Foreign Trade | IX | D | 971 | PART 971—DEEP SEABED MINING REGULATIONS FOR COMMERCIAL RECOVERY PERMITS | H | Subpart H—Miscellaneous | § 971.803 Relinquishment and surrender of licenses and permits. | NOAA | (a) Any licensee or permittee may at any time, without penalty: (1) Surrender to the Administrator a license or permit issued to the licensee or permittee; or (2) Relinquish to the Administrator, in whole or in part, any right to conduct any exploration or commercial recovery activities authorized by the license or permit. (b) Any licensee or permittee who surrenders, or relinquishes any right under, a license or permit will remain liable with respect to all violations and penalties incurred, and damage to persons or property caused, by the licensee or permittee as a result of activities engaged in by the licensee or permittee under the license or permit. | ||||
| 15:15:4.1.2.4.21.8.33.5 | 15 | Commerce and Foreign Trade | IX | D | 971 | PART 971—DEEP SEABED MINING REGULATIONS FOR COMMERCIAL RECOVERY PERMITS | H | Subpart H—Miscellaneous | § 971.804 Amendment to regulations for conservation, protection of the environment, and safety of life and property at sea. | NOAA | The Administrator may amend the regulations in this part and 15 CFR part 970 at any time as the Administrator determines to be necessary and appropriate in order to provide for the conservation of natural resources, protection of the environment, or the safety of life and property at sea. The amended regulations will apply to all exploration or commercial recovery activities conducted under any license or permit issued or maintained pursuant to this part or 15 CFR part 970, except that amended regulations which provide for conservation of natural resources will apply to activities conducted under an existing license or permit during the present term of that license or permit only if the Administrator determines that the amended regulations providing for conservation of natural resources will not impose serious or irreparable economic hardship on the licensee or permittee. Any amendment to regulations under this section will be made pursuant to the procedures in subpart I of this part. | ||||
| 15:15:4.1.2.4.21.8.33.6 | 15 | Commerce and Foreign Trade | IX | D | 971 | PART 971—DEEP SEABED MINING REGULATIONS FOR COMMERCIAL RECOVERY PERMITS | H | Subpart H—Miscellaneous | § 971.805 Computation of time. | NOAA | Except where otherwise specified, Saturdays, Sundays and Federal Government holidays will be included in computing the time period allowed for filing any document or paper under this part or 15 CFR part 970, but when a time period expires on any of these days, that time period will be extended to include the next following Federal Government work day. Filing periods expire at the close of business on the day specified, for the office specified. | ||||
| 15:15:4.1.2.4.21.9.33.1 | 15 | Commerce and Foreign Trade | IX | D | 971 | PART 971—DEEP SEABED MINING REGULATIONS FOR COMMERCIAL RECOVERY PERMITS | I | Subpart I—Uniform Procedures | § 971.900 Applicability. | NOAA | [54 FR 525, Jan. 6, 1989, as amended at 91 FR 2677, Jan. 21, 2026] | The regulations of this subpart govern the following hearings conducted by NOAA under this part and under 15 CFR part 970: (a) All adjudicatory hearings required by section 116(b) of the Act to be held on the following actions upon a finding by the Administrator that one or more specific and material issues of fact exist which require resolution by formal process, including but not limited to: (1) All applications for issuance or transfer of licenses or permits; (2) All proposed TCRs on a license or permit; and (3) All proposals to modify significantly a license or permit; (b) Hearings conducted under section 105(b)(3) of the Act on objection by a licensee or permittee to any term, condition or restriction in a license or permit, or to modification thereto, where the licensee or permittee demonstrates, after final action by the Administrator on the objection, that a dispute remains as to a material issue of fact; (c) Hearings conducted in accordance with section 106(b) of the Act pursuant to a timely request by an applicant or a licensee or permittee for review of: (1) A proposed denial of issuance or transfer of a license or permit; or (2) A proposed suspension or modification of particular activities under a license or permit after a Presidential determination pursuant to section 106(a)(2)(B) of the Act; (d) Hearings conducted in accordance with section 308(c) of the Act to amend regulations for the purpose of conservation of natural resources, protection of the environment, and safety of life and property at sea; (e) Hearings conducted in accordance with § 971.302 or 15 CFR 970.407, or, as applicable, in accordance with § 971.214(f) on a proposal to deny certification of an application; (f) Hearings conducted in accordance with 15 CFR part 970, subpart C to determine priority of right among preenactment explorers. | |||
| 15:15:4.1.2.4.21.9.33.2 | 15 | Commerce and Foreign Trade | IX | D | 971 | PART 971—DEEP SEABED MINING REGULATIONS FOR COMMERCIAL RECOVERY PERMITS | I | Subpart I—Uniform Procedures | § 971.901 Formal hearing procedures. | NOAA | (a) General. (1) All hearings described in § 971.900 are governed by subpart C of 15 CFR part 904, as modified by this section. The rules in this subpart take precedence over 15 CFR part 904, subpart C, to the extent there is a conflict. (2) Hearings held under this section will be consolidated insofar as practicable with hearings held by other agencies. (3) For the purposes of this subpart, involved applicant, licensee or permittee means an applicant, licensee or permittee the status of whose application, license, permit or activities conducted under the license or permit may be altered by the Administrator as a result of proceedings under this subpart. (b) Decision to hold a hearing. Whenever the Administrator finds that a formal hearing is required by the provisions of this part or 15 CFR part 970, he will provide for a formal hearing. Upon deciding to hold a formal hearing, the Administrator will refer the proceeding to the Department of Commerce Office of Administrative Law Judges for assignment to an Administrative Law Judge to serve as presiding officer for the hearing. (c) Notice of formal hearing. (1) The Administrator will publish notice of the formal hearing in the Federal Register at least 15 days before the beginning of the hearing, and will send written notice by registered or certified mail to any involved applicant, licensee or permittee and to all persons who submitted written comments upon the action in question, or who testified at any prior informal hearing on the action or who filed a request for the formal hearing under this part or 15 CFR part 970. (2) Notice of a formal hearing will include, among other things: (i) Time and place of the hearing and the name of the presiding judge, as determined under paragraph (b) of this section; (ii) The name and address of the person(s) requesting the formal hearing or a statement that the formal hearing is being held by order of the Administrator; (iii) The issues in dispute which are to be resolved in the formal hearing; (iv) The du… | ||||
| 24:24:4.1.3.1.17.0.5.1 | 24 | Housing and Urban Development | IX | 971 | PART 971—ASSESSMENT OF THE REASONABLE REVITALIZATION POTENTIAL OF CERTAIN PUBLIC HOUSING REQUIRED BY LAW | § 971.1 Purpose. | HUD | Section 202 of the Omnibus Consolidated Rescissions and Appropriations Act of 1996 (Pub.L. 104-134, approved April 26, 1996) (“OCRA”) requires PHAs to identify certain distressed public housing developments that cost more than Section 8 rental assistance and cannot be reasonably revitalized. Households in occupancy that will be affected by the activities will be offered tenant-based or project-based assistance (that can include other public housing units) and will be relocated, to other decent, safe, sanitary, and affordable housing which is, to the maximum extent practicable, housing of their choice. After residents are relocated, the distressed developments (or affected buildings) for which no reasonable means of revitalization exists will be removed from the public housing inventory. | |||||||
| 24:24:4.1.3.1.17.0.5.2 | 24 | Housing and Urban Development | IX | 971 | PART 971—ASSESSMENT OF THE REASONABLE REVITALIZATION POTENTIAL OF CERTAIN PUBLIC HOUSING REQUIRED BY LAW | § 971.3 Standards for identifying developments. | HUD | (a) PHAs shall use the following standards for identifying developments or portions thereof which are subject to section 202's requirement that PHAs develop and carry out plans for the removal over time from the public housing inventory. These standards track section 202(a) of OCRA. The development, or portions thereof, must: (1) Be on the same or contiguous sites. (OCRA Sec. 202(a)(1)). This standard and the standard set forth in paragraph (a)(2) of this section refer to the actual number and location of units, irrespective of HUD development project numbers. (2) Total more than 300 dwelling units. (OCRA Sec. 202(a)(2)). (3) Have a vacancy rate of at least ten percent for dwelling units not in funded, on-schedule modernization. (OCRA Sec. 202(a)(3)). For this determination, PHAs and HUD shall use the data the PHA relied upon for its last Public Housing Management Assessment Program (PHMAP) certification, as reported on the Form HUD-51234 (Report on Occupancy), or more recent data which demonstrates improvement in occupancy rates. Units in the following categories shall not be included in this calculation: (i) Vacant units in an approved demolition or disposition program; (ii) Vacant units in which resident property has been abandoned, but only if State law requires the property to be left in the unit for some period of time, and only for the period stated in the law; (iii) Vacant units that have sustained casualty damage, but only until the insurance claim is adjusted; and (iv) Units that are occupied by employees of the PHA and units that are utilized for resident services. (4) Have an estimated cost of continued operation and modernization of the developments as public housing in excess of the cost of providing tenant-based assistance under section 8 of the United States Housing Act of 1937 for all families in occupancy, based on appropriate indicators of cost (such as the percentage of total development cost required for modernization). (OCRA Sec. 202(a)(5)). (i) For purposes of this determin… | |||||||
| 24:24:4.1.3.1.17.0.5.3 | 24 | Housing and Urban Development | IX | 971 | PART 971—ASSESSMENT OF THE REASONABLE REVITALIZATION POTENTIAL OF CERTAIN PUBLIC HOUSING REQUIRED BY LAW | § 971.5 Long-term viability. | HUD | (a) Reasonable investment. (1) Proposed revitalization costs for viability must be reasonable. Such costs must not exceed, and ordinarily would be substantially less than, 90 percent of HUD's total development cost limit for the units proposed to be revitalized (100 percent of the total development cost limit for any “infill” new construction subject to this regulation). The revitalization cost estimate used in the PHA's most recent comprehensive plan for modernization is to be used for this purpose, unless a PHA demonstrates or HUD determines that another cost estimate is clearly more realistic to ensure viability and to sustain the operating costs that are described in paragraph (a)(2) of this section. (2) The overall projected cost of the revitalized development must not exceed the Section 8 cost under the method contained in the Appendix to this part, even if the cost of revitalization is a lower percentage of the TDC than the limits stated in paragraph (a)(1) of this section. (3) The source of funding for such a revitalization program must be identified and already available. In addition to other resources already available to the PHA, a PHA may assume that future formula funds provided through the Comprehensive Grant Program are available for this purpose, provided that they are sufficient to permit completion of the revitalization within the statutory five year time frame. (Comprehensive plans must be amended accordingly.) (b) Density. Density reduction measures would have to result in a public housing community with a density approaching that which prevails in the community for similar types of housing (typically family), or a lower density. If the development's density already meets this description, further reduction in density is not a requirement. (c) Income mix. (1) Measures generally will be required to broaden the range of resident incomes to include over time a significant mix of households with at least one full-time worker (for example, at least 20 percent with an income at least 30 pe… | |||||||
| 24:24:4.1.3.1.17.0.5.4 | 24 | Housing and Urban Development | IX | 971 | PART 971—ASSESSMENT OF THE REASONABLE REVITALIZATION POTENTIAL OF CERTAIN PUBLIC HOUSING REQUIRED BY LAW | § 971.7 Plan for removal of units from public housing inventories. | HUD | (a) Time frames. Section 202 is a continuing requirement, and the Secretary will establish time frames for submission of necessary information annually through publication of a Federal Register notice. (b) Plan for removal. With respect to any development that meets all of the standards listed, the PHA shall develop a plan for removal of the affected public housing units from the inventory. The plan should consider relocation alternatives for households in occupancy, including other public housing and Section 8 tenant-based assistance, and shall provide for relocation from the units as soon as possible. For planning purposes, PHAs shall assume that HUD will be able to provide in a timely fashion any necessary Section 8 rental assistance. The plan shall include: (1) A listing of the public housing units to be removed from the inventory; (2) The number of households to be relocated, by bedroom size; (3) Identification and obligation status of any previously approved CIAP, modernization, or major reconstruction funds for the distressed development and PHA recommendations concerning transfer of these funds to Section 8 or alternative public housing uses; (4) The relocation resources that will be necessary, including a request for any necessary Section 8 and a description of actual or potential public or other assisted housing vacancies that can be used as relocation housing; (5) A schedule for relocation and removal of units from the public housing inventory; (6) Provision for notifying families residing in the development, in a timely fashion, that the development shall be removed from the public housing inventory; informing such families that they will receive tenant-based or project-based assistance; providing any necessary counselling with respect to the relocation, including a request for any necessary counseling funds; and assuring that such families are relocated as necessary to other decent, safe, sanitary and affordable housing which is, to the maximum extent possible, housing of their choice; … | |||||||
| 24:24:4.1.3.1.17.0.5.5 | 24 | Housing and Urban Development | IX | 971 | PART 971—ASSESSMENT OF THE REASONABLE REVITALIZATION POTENTIAL OF CERTAIN PUBLIC HOUSING REQUIRED BY LAW | § 971.9 Tenant and local government consultation. | HUD | (a) PHAs are required to proceed in consultation with affected public housing residents. PHAs must provide copies of their submissions complying with §§ 971.3(a) (1) through (3) to the appropriate tenant councils and resident groups before or immediately after these submissions are provided to HUD. (b) PHAs must: (1) Hold a meeting with the residents of the affected sites and explain the requirements of section 202 of OCRA; (2) Provide an outline of the submission(s) complying with § 971.3(a) (4) and (5) to affected residents; and (3) Provide a reasonable comment period for residents and must provide a summary of the resident comments to HUD. (c) PHAs must prepare conversion plans in consultation with affected tenants and must: (1) Hold a meeting with affected residents and provide draft copies of the plan; and (2) Provide a reasonable comment period for residents and must provide a summary of the resident comments to HUD. (d) The conversion plan must be approved by the local officials as not inconsistent with the Consolidated Plan. | |||||||
| 24:24:4.1.3.1.17.0.5.6 | 24 | Housing and Urban Development | IX | 971 | PART 971—ASSESSMENT OF THE REASONABLE REVITALIZATION POTENTIAL OF CERTAIN PUBLIC HOUSING REQUIRED BY LAW | § 971.11 HOPE VI developments. | HUD | Developments with HOPE VI implementation grants that have approved HOPE VI revitalization plans will be treated as having shown the ability to achieve long-term viability with reasonable revitalization plans. Future HUD actions to approve or deny proposed HOPE VI implementation grant revitalization plans will be taken with consideration of the standards for section 202. Developments with HOPE VI planning or implementation grants, but without approved HOPE VI revitalization plans, are fully subject to section 202 standards and requirements. | |||||||
| 24:24:4.1.3.1.17.0.5.7 | 24 | Housing and Urban Development | IX | 971 | PART 971—ASSESSMENT OF THE REASONABLE REVITALIZATION POTENTIAL OF CERTAIN PUBLIC HOUSING REQUIRED BY LAW | § 971.13 HUD enforcement authority. | HUD | Section 202 provides HUD authority to ensure that certain distressed developments are properly identified and removed from PHA inventories. Specifically, HUD may: (a) Direct a PHA to cease additional spending in connection with a development which meets or is likely to meet the statutory criteria, except as necessary to ensure decent, safe and sanitary housing until an appropriate course of action is approved; (b) Identify developments which fall within the statutory criteria where a PHA has failed to do so properly; (c) Take appropriate actions to ensure the removal of developments from the inventory where the PHA has failed to adequately develop or implement a plan to do so; and (d) Authorize or direct the transfer of capital funds committed to or on behalf of the development (including comprehensive improvement assistance, comprehensive grant amounts attributable to the development's share of funds under the formula, and major reconstruction of obsolete projects funds) to tenant-based assistance or appropriate site revitalization for the agency. |
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title_number INTEGER,
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chapter TEXT,
subchapter TEXT,
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