REGIONAL SCIENTIFIC RESEARCH GUIDELINES

Table 5. DSM scientific research components that SHOULD be addressed in national policy and law.
WHAT?
Specify that no DSM scientific research
activities can be conducted without first
obtaining a permit for those activities,
and explain the application process for
how such a permit can be obtained.
Explain what the rights and obligations
of a permit-holder are, set out what preconditions,
performance standards and
other requirements a permit-holder must
adhere to, and explain the government’s
role as the permitting authority.
Identify to what extent a permit-holder
will be permitted to extract mineral and/
or biological samples, and how those
samples must be handled.
Indicate the likely and/or maximum
duration of a permit.
Specify what reports and data (type,
format and national agency to submit the
data to) the permit-holder must provide
to government, when, and also describe
how government may use this data.
For an exploration permit, give:
(i) exclusive rights to the specific area
of the seabed. This means that
no other explorers, researchers or
marine users will be permitted rights
over the same seabed area; and
(ii) a presumption of ‘first refusal’, in
relation to future mining rights for the
same site.
WHY?
It will be important for government to:
(i) obtain information about the person applying for a permit, and the
activities they wish to carry out, in order to decide whether or not to
issue a permit; and
(ii) enable monitoring and ongoing coordination and correspondence,
if the permit is issued and the activities proceed. A list of information
that should be required at application stage is provided, in Annex
1: Application Form for DSM Scientific Research Permit to these
guidelines.
Failure by the government to protect and preserve the marine environment
through the adoption, implementation and enforcement of appropriate
rules for DSM scientific research activities within its national jurisdiction
could lead to environmental damage, and possible State liability to third
parties for that damage, or for clean-up costs. The rules should, therefore,
set out what operational standards must be adhered to by a permit-holder,
and any activities or impacts that are prohibited.
Government is effectively the owner of any resources contained within
national jurisdiction and may exercise control over how those resources are
used. At the DSM scientific research stage, the permit-holder should not
be using any resources extracted for profit, as there are no mechanisms in
place for the State to share in profits (such as royalties, which would only
be triggered at a later mining phase). If DSM scientific research activity
does not lead to mining, government may wish to retain the samples or a
subset of each sample for its own study or use. Controls can be placed
on the number and size of samples taken, and their removal from the
national jurisdiction.
This may vary for different activity types; for example an exploration
campaign may require years of study, in order to collect requisite baseline
data for an Environmental Impact Assessment (EIA) (see Part 2 of these
guidelines).
In establishing the terms of DSM scientific research permits (and how
these may be renewed or terminated), government should seek to strike
a balance between:
(i) providing a predictable and secure operating environment for the
permit-holder, which will incentivise DSM scientific research; and
(ii) not giving a third party too much freedom to operate within the
national jurisdiction without regular checks and approvals to maintain
effective control and regulation.
Regular self-reporting by a permit-holder is one means for government
to monitor activities. Receipt and review of research data and reports 43
will also improve national knowledge about geological and biological
resources, and assist government resource development and
environmental management decisions in the future. Publishing such data,
where they are not commercially sensitive, will enable scrutiny and analysis
by the international community, which may also assist government to
take informed decisions about future activities within national jurisdiction
waters. Reports (i.e. period, quarterly, progress, annual, and technical
reports) submitted to government must contain raw and processed data 44 .
An applicant for an exploration permit would usually require that the permit
give exclusivity and preferential mining rights to protect their future interest
from competitors. Exploration requires high investment, which the explorer
hopes to recoup by future mining of the same site.
Before issuing an exploration permit, with exclusive rights, government
may wish to check whether this will disrupt any existing or important
alternative uses or environmental/biological values of that area.
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43
Assistance with interpretation and review of submitted data and reports is available to Pacific Island States through regional
agencies such as SPC. The Geoscience Division of SPC currently provides this service regarding DSM activities.
44
Reporting that also follows the methodologies, standards, and regulations from ISA will be beneficial for ensuring data are
comparable. Receipt of data in consistent formats supports easy storage and analysis.