Background document for Workshop: Towards an ISA …€¦ · the development decision-making...

BackgrounddocumentforWorkshop:TowardsanISAEnvironmentalManagementStrategyfortheArea

Berlin,March2017

Discussionpaperon"Project-specificEnvironmentalImpactAssessments”

PreparedbyMalcolmR.Clark

Background

TheLawoftheSeaConvention(UNCLOS)hasgeneralprovisionsforStatestoprotectandpreservethemarineenvironmentfromactivities(Articles145,192),andmorespecificallyArticle206statesthatwhenplannedactivitiescouldcausesignificantandharmfulchanges,thepotentialeffectsofactivitiesshould be assessed and reported. Contractors, sponsoring States and other interested States orentitiesarealsorequiredduringeitherprospectingorexplorationtocooperatewiththe ISA in theestablishmentandimplementationofprogrammesformonitoringandevaluatingtheimpactsofdeepseabedmining on themarine environment (ISA, 2013a). Best environmental practices need to befollowed fordeep-seamining activities toproceed, and theneed to assess environmental impactsrequires thedevelopmentand implementationofa robustEnvironmental ImpactAssessment (EIA)process.

WhatisanEIA?

TherearemanydefinitionsofEIA,butacommonlyusedoneisthatofTheInternationalAssociationforImpactAssessment(IAIA)(Senécaletal.,1999)whichdefinesanEIAas"theprocessofidentifying,predicting,evaluatingandmitigatingthebiophysical,social,andotherrelevanteffectsofdevelopmentproposalspriortomajordecisionsbeingtakenandcommitmentsmade."Followingonfromthis,theIAIAdescribesfourkeyobjectivesofanEIA:

• Toensurethatenvironmentalconsiderationsareexplicitlyaddressedandincorporated intothedevelopmentdecision-makingprocess;

• Toanticipateandavoid,minimizeoroffsettheadversesignificantbiophysical,socialandotherrelevanteffectsofdevelopmentproposals;

• Toprotecttheproductivityandcapacityofnaturalsystemsandtheecologicalprocesseswhichmaintaintheirfunctions;and

• To promote development that generates less destruction and optimizes resource use andmanagementopportunities.

EIAisnotasinglereport,itispartofawiderprocess,withanumberofgeneralactivitiesthatanEIAprocessshouldinclude(Senécaletal.,1999):

• Screening:todetermineifanEIAisrequired

• Scoping:identifytheissuesandimpactsforanEIA

• Examinationofalternatives:lookatseveraloptionstoachieveprojectobjectives

• Impactanalysis:identifyandpredicteffectsoftheproposal

Background:EnvironmentalImpactAssessments

TowardsanEnvironmentalStrategy,

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• Mitigationandimpactmanagement:establishmeasurestomanageimpacts

• Evaluationofsignificance:whataretheresidualimpacts?

• Preparationofreport:documentalltheissuesandmeasures

• Reviewoftheassessment:whethertheEIAmeetsthecriteria

• Decisionmaking:approve,reject,ormodifyproposal

• Follow-up:ifapproved,ensurecomplianceandmonitoringofconditionsandimpacts.

However,asenvironmentalassessmentfordeep-seaminingisstilldeveloping,itisanappropriatetimetoevaluatewhatisrequiredforarobustEIAprocessandthenatureandextentofEIAsfortherangeofdeep-seamineralresourcesandenvironments.

Challenges/Problems

ThereisawealthofinternationalexperienceintheseactivitiesandreportscarryingoutEIAs(Glassonet al., 2012). However,whereas the EIA process iswell developed inmany terrestrial and coastalmarinesituations(Glassonetal.,2012;Petts,1999),andforoffshorehydrocarbonresources(HuskyOil, 2001), guidance for mineral resources is still developing (Ellis et al., 2014; Ellis et al., 2017).Although it can be tailored to specific national legislation (CEAA, 2012;USDepartment of Energy,2004),thereareanumberofgenericissues:

ProceduralissueswithEIAprocesses;

Preconditionsfor,andallstepstobetakenduring,anEIAprocesspriortopermittingminingtestsoroperations need to be defined, including the overall scope of the EIA, roles, timelines, scopingprocedures,publicparticipationandreview,aswellassettingperformancecriteriaforenvironmentalreportingandassessment.Fundingandinstitutionalmechanismsandproceduresneedtobeclarifiedin order to ensure an independent EIA. There are several models for EIA procedures in nationallegislationandinternationallaw,andtheGriffith-ISAWorkshop(ISA,2017)consideredsomeofthese.ThereshouldbeasingleprocesswhereappropriatetomakeiteasierforbothapplicantsandtheISAmanagingtheprocess.

Technicalissues

Toomuchdescription,notenoughfocusonkeyelementsofimpacts

Theeffectivenessof EIAshasbeen found tobe limitedwhen theyhave toomuch focusonoverlydescriptive baselinework andnot enough emphasis on key impacts of the activity (Glasson et al.,2012).Toooftenitisdifficulttowadethroughlong-windedaccountsoftheenvironmentthatlackagoodinterpretationoftherelevancetoimpactsfromtheproposedactivities.Inthedevelopmentofimpactassessments,keyimpactsfromoffshoreminingactivitiesshouldbestructuredby“receptor”anddepthrangetoenableanunderstandingofthesourceandnatureofimpactscausedbythevariouscomponents of the operation at the surface or seafloor, and help to focus the EIA and potentialmitigationmeasures.



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Insufficientaccountofapriorriskassessment

LinkedwiththeaboveissuethatEIAsareoftentoodominatedbycompilationsofeverythingknownaboutanarea,ratherthankeyimpacts,anEcologicalRiskAssessment(ERA)shouldbeanintegralpartoftheprocess.However,thisisoftennotdoneearlyenoughintheprocesstoguidedatacollectionduringexplorationthatcaninformamorerobustEIA(Clarketal.,2014;ISA,2017).

Availabledatashortcomings

MostEIAssufferfromincompletedata,orinformationthatisinadequatetofullyassesstheimpactsofactivitiesononeormorereceptors.AlonglistispossibleofissuesthatEIAscanhaveinthedeepsea,andinpracticaltermsthereislittleonecandoaboutsomeofthem-wehavetoacceptadata-limitedsituation.However,commonandavoidableproblemsrelateto:

• lackofstandardizationofdataorsamplingprocedures• poorintegrationofallavailabledata• noassessmentofwhatisanadequatebaselinedataset• inadequatebaselinesurveydesign(oftennotenoughthought)• insufficientregionalsettingforstudiesdoneatasmaller-scalesiteofinterest• insufficientassessmentofpotentialcumulativeimpacts• limitedexpressionoracknowledgementofuncertainty.

Lackofstandardmonitoringprotocols

Everylocation,resourcetype,andhabitatcanhavedifferentcharacteristics.HenceEIAshavetobeflexibletoensuretheyarefitforpurpose.However,incollectingdataduringexplorationtosupportthebaselinedefinition,andsubsequentmonitoring,thereshouldbealevelofconsistencysothatcoredeep-seaecologicalinformationdemandsaremet,andthesearecomparableandcanbecombinedbetweencontractorstoformaregionalpicture.Aspectsinclude:

• whatparametersshouldbemeasuredfromtheoutset,andhow• whatismeasuredtoacceptablestandards(accuracyandprecision)• what are the key ecological indicators that need to be assessed in transitioning from the

baselinedatatomeasuring/monitoringfuturechangesundertheEMP



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• what levelofchangemightbeacceptable intermsofmitigation(againstgenericecologicallimitsandthresholds,notmanagementtargets).

Variableformatsandcontent

EIAscancomeinallshapesandsizes,asdifferentcontractors,consultantsandinstituteshavetheirownwayofdoingthings.However,adegreeofhigherlevelstructuralstandardizationcanmakethetaskofcontractorsandthereviewingregulatorybodymucheasier,becausetheformerknowwhattheyneedtoprovide,andthelatterwhattoexpect.

While an EIA essentially focuses on thebiophysical environment, increasingly EIAs are consideringeconomic,socialandculturalfactorsaswellasecologicalandphysicalcomponents.ThesocialandeconomicfactorscanbeconsideredwithinanEIAorasa separatereport,dependingonthedetailrequiredbytherelevantlegislationandregulations.

TheISAdevelopedaprovisionalEIAtemplatefordeep-seaminingactivities(ISA,2012),partlybasedonthestructureofanEnvironmentalImpactStatementpreparedforSeafloorMassiveSulphide(SMS)miningoffPapuaNewGuinea(CoffeyNaturalSystems/NautilusMineralsLtd,2008).TheISAtemplateisintendedtoguidecontractorstoachieveconsistencyinEIAinformation.TheISAtemplatehassincebeenmodifiedbySwaddling(2016),anditwasalsousedindevelopingguidelinesforEIAsthatcouldbridgetheinternationaltemplateandtherequirementsoftheEEZActinNewZealand(Clarketal.,2014;Clarketal.,2017).

Uncertainty

Therearenumeroustechnical/scientificchallengesforanydeep-seaEIA.Theunderlyingcauseofthisdifficultyisthenatureoftheenvironment.Thedeep-seaisdifficulttoaccessbecauseofitsremotenessand depth. Ecosystems are open, both horizontally and vertically, and community definition andboundariesaredifficulttoestablish.Manyecologicalprocessesareslow,andhencenaturalvariabilitycantakealongtimetomeasure.Sogiventhese,andother,issues,datawillinvariablybelimitingforanEIAincomparisonwithterrestrialormanyinshoreenvironments.Thismakestheissueofexpressinguncertaintyandconfidenceparticularlyimportant.

Therearemanykindsofuncertainty,anditcanbehelpfultodefinedifferentsourcesofuncertaintysothattheycanbebetterunderstoodandmanaged.Thesecanbedefinedinseveralgroups:

• Knowledge uncertainty arises where there is incomplete understanding of processes,interactionsorsystembehaviours

• Unpredictability arises from chaotic (often random) components of complex systems or ofhumanbehaviour

• Structuraluncertaintyarisesfrominadequatemodels,ambiguoussystemboundaries,oroversimplificationoromissionofprocessesfrommodels

• Valueuncertaintyarises frommissingor inaccuratedata, inappropriatespatialor temporalresolution,orpoorlyknownmodelparameters

• Uncertaininterpretations,arisewhenvaluesortermsareinterpreteddifferentlybydifferentusergroups.



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Thesetypesofuncertaintiesmayallberelevanttoassessingwhateffectanimpactmayhave.Manyofthe techniques used in preparing an EIA, such asmodels used tomake predictions, will have thepotentialfor associateduncertainty,asdomonitoringprogrammemeasurementsandinformationduetoprecisionofinstruments,orifnewandlessproventechnologiesareused.

Cumulativeimpacts

Policy and regulatory requirements in many countries include the requirement that EIAs identify,analyseandevaluatecumulativeeffects.However,although theyhave longbeen recognisedasanimportantcomponentofEIAs,theyarepoorlyassessedasarule(BurrisandCanter,1997).Therearemanystressorscausedbyanthropogenicactivitiesthatcanaffectthemarineenvironmentinanumberofways,andthereisalargebodyofliteraturedealingwiththisfieldofresearch(Glassonetal.,2012;SolanandWhiteley,2016).Resultsofnumerousstudiesindicatethatinteractionsbetweenstressorscan be variable, and hard to predict (Crain et al., 2008; Darling and Cote, 2008). Nevertheless,cumulativeeffectsshouldbeexploredasmuchaspossiblegivenavailabledata,andconsideredearlyonduringtheexplorationphasesoappropriateinformationcanbecollected.

Theassessmentofcumulativeimpactsneedstoconsiderthreekeyelements:

• Multiplesourcesofimpact(eitherdifferenttypesofminingoperation,ordifferentsectors)

• Additiveorinteractiveprocesses(repetitionleadingtoaccumulationofimpacts)

• Differenttypesofcumulativeeffects(e.g.,directphysical,indirect,natural).

Thereisnowincreasingguidanceonwhattodescribeandevaluate(Banetal.,2010;Crainetal.,2008;SmitandSpaling,1995).However, thekey to improvingEIAs lies intheability toacknowledgeandmanagetheresidual(unavoidable)uncertainty.RouseandNorton(2010)stresstheneedforgreateruse of statistical measures and probabilistic methods to estimate the likelihood of the predictedoutcomehappening.

AreviewbySadler (1996),althoughabitdatednow,stillservesasagoodexampleofsomeofthegood,thebad,andtheuglyfeaturesfoundinEIAs,thattheEIAprocessandstructurecanlearnfrom.



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Whatarethequestionstobediscussedandsolved?

There are a lot of potential discussionpointswith EIAs that could be considered.However, in theworkshopweproposetofocusonsomeofthekeyaspectsthataremostrelevanttodeep-seamining,andaretractablewithinacoupleofsessions.Legal/proceduralissues

• WhichspecificformofEIAprocessshouldbeinitiatedafterexploration?Orshouldtheprocessbeintegratedacrossexplorationandexploitation

• What steps (by the ISA and interested parties) are required prior to submission of anapplicationtomine,includingpublicandscientificreview?

• What is the governance framework associated with the decisions to be made on EIAssubmittedwithminingapplications?

• Whatarethebestwaystoensuresufficienttransparencyintheprocess?• Should the requirements foranEIArelated to testminingbe thesameas those relatedto

exploitationoperations?• Howdosite-specificEIAslinkwithregionaland/orstrategicenvironmentalassessments(SEA)

ormanagementplans?



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AcceptanceofanagreedEIAprocessThis needs to balance existing procedures and regulations of the ISA, with accepted international“standards”.Anoptionispresentedbelow.AnissuetoconsideristhatscopingfortheEIAmustoccurasearlyintheprocessaspossible,andthescopingreportinthisschemeisperhapsbettersitedatthestartof exploration.The scoping should include apreliminary ERA (or someassessmentof risk) toensurethatdatacollectionwillsupporttheEIAinfocusingonthekeyelementsofimpact.

RoleoftheISASecretariatinreviewingEIAsTheScientificReviewandPublicConsultationstepsareclearintheoverallprocessoutlinedabove,buthowtheseareactuallyundertakenisnot.TheroleoftheISAasaninvolved,regulatory,orfacilitatorybody,needsclarification.Ithasbeensuggested(ISA,2017)thatafundamentalchangeintheISAwillbe required to undertake a greater regulatory function. This will need to include a number ofadministrative tasks ranging from defining step-by-step EIA submission procedures, through todeterminingwhetherthedetailedreviewprocessisundertakenbythe(expanded)ISASecretariat(anInspectoratesection),acontractedmultidisciplinarypanelofexpertsconvenedwhenrequiredbytheISA,ortenderedouttoanindependentreviewbody.

Roleofumbrellaassessmentsandplans

AlthoughSEAsandregionalplansarearelativelynewconsiderationinthecontextofdeep-seaminingintheArea,theyareanimportantcontextformultipleEIAsthatmayneedtobeconsideredtogether.Hence the procedural and institutional setting of these activities at different scales and involvingdifferentagenciesneedstobeclarified(linkswithbackgrounddocumentonRegionalGovernance).



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Technicalaspects

Thereareanumberoftechnicalenvironmentalconditionsforenteringinto,andcarryingout,anEIAprocess.Theseincludetheneedfor:

Adequateenvironmentalbaselineinformation

Baseline data collection, and short-termmonitoring studies, are important aspects of explorationactivities,astheyunderpinthepreparationofanEIA,priortoanyapplicationforafullminingpermit.Itisexpectedthatsomeinformationwillbeavailablefromanareabeforeanyexplorationoccurs,anddesk-topstudieswillformthebasisofinitialscopingoftheactivity/project.However,availabledatawill invariably be inadequate to describe and characterise the receiving environment of any likelyminingsite.Hencebaselinesurveysandtargetedscientificstudieswillbeneededtoprovidethepre-miningstateoftheenvironment,aswellassomemonitoringofconditionsovertimetounderstandtemporal variability of key environmental factors. Such studieswill need to cover awide rangeofresearchaspects,andbecarriedoutusingcurrent“bestpractice“approachesandmethods.TheISAhaspublishedtworeportsthatdescribeandgivesomeadviceonthesortsofstudies,typeofdata,andnatureofsampling required forbothbaselinemeasurementsandongoingmonitoring.Thesecovermanganesenodule(ISA,1999),seafloormassivesulphide,andcobalt-richcrustresources(ISA,2007),withanadditionalreportonsamplingstandardisation(ISA,2002).ProtocolsandstandardshavealsobeenreviewedaspartoftheEuropeanMIDASproject(Billettetal.,2015).ThesesourceshavebeenupdatedandreworkedinanSPC-EU-NIWAreport(Swaddlingetal.,2016),andISArecommendationsarecurrentlybeingconsideredbytheLTC.

Theroleoftestmininghasalsonotyetbeentrialled.Thisisanimportantelementofthetransitionfromexplorationtoexploitation,aswithout ittherecanbeonly limitedunderstandingofthelikelynatureandextentofimpactsbecausethespatialscaleofmostpotentialminingoperationsisverylargerelativetoexploration.However,whiletestminingcanbeanimportantcontributiontounderstandingimpacts, it will not provide all the solutions to address the long-term sustainability of deep-seaecosystemsintheminedregion.Afundamentalquestioniswhetherbaselinedata,whichinthedeepsea will typically be incomplete or limited, will be adequate to support a robust EIA. Knowledgeuncertaintywillneedtoflowthroughintomeasurestobeadoptedintheenvironmentalmanagementprocess(seealso:backgrounddocumentsonPilotMiningTestsandAdaptiveManagement).

Requirementforpriorecologicalriskassessment(ERA)

Asdescribedearlier,animportantcomponentoftheEIAprocessistoensuretheEIAfocusesonthemainsourcesof impact,anddoesnotspendunduetimeonelementsof littlerisk.TherearemanyapproachesandmethodstoERA.Arealisticapproachatthebeginningoftheexplorationphase,giventheoftenlimitedamountofinformationavailable,istoconductaqualitative(Level1)assessmentinlinewithacceptedstandards(AS/NZSISO31000,2009).Thistypeofassessmentcommonlyusesanexpert panel to consider the likelihood of an impact occurring, and the consequences if it does(MacDiarmid et al., 2012). The results of this risk assessment should guide data collection duringexplorationactivities,asamorequantitativeassessmentislikelytoberequiredbeforeprogressingtoamining licenceapplicationstage.Soa level1assessment identifies themain issues,anda level2assessmentappliesamorerigorousevaluationofthoseidentifiedashighrisk.

Otheroptionsthatembedariskassessmentofsomeformincludeenvironmentalassessmentscopingreports,orenvironmentalhazardandimpactidentifications(ENVID)toidentifybothaccidentalevents



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andplannedoperationalproceduresrelatedtoaminingoperationthatcanimpacttheenvironment(RecommendedPracticeDNVGL-RP-O601,2016).

DesiredformalstructureoftheEIA/EISreport

Thiscanbuildon input fromseveral reportsanddraft templates (Clarketal.,2014; ISA,2012; ISA,2017;Swaddling,2016).A reviewofexistingEIAguidancewasundertakenbyMIDAS (Billettetal.,2015).Recently,Clarketal.(2017)haveupdatedthetemplateandguidancetoalignwiththe2016Griffith-ISAworkshop,anditwillbeanaimoftheBerlinWorkshoptofinalizethisdrafttemplate.

AcceptablecontentofanEIA

TherehasbeenadevelopingtrendtowidenthescopeofEIAs,possiblyattheexpenseoftheirfocusandthequalityofeachcomponent.Thistrend is thecase, forexample, inNewZealandwheretheexpectationisthatan“ImpactAssessment“willincludea“wholeofenvironment“approach,withabalanced consideration of both biophysical and socio-economic impacts (including cultural), or atriangular“integratedassessment“(biophysical,societal,economicassessments)),plususingEIAtoidentifyenvironmentallimitsandconstraintsontheprojectratherthanjustidentifyingtheprojects‘impacts on the environment (Glasson et al., 2012). Draft templates (Clark et al., 2017; ISA, 2017;Swaddling,2016)currentlyinclude“socialimpactassessment”aswellasconsiderationofculturalandeconomicfactors,althoughthesearelessdevelopedandextensivethanenvironmentalimpacts.ThesemaybelessimportantintheAreathaninnationalsituations,butthisissomethingtheISAwillneedtoconsiderwithdevelopingexploitationregulations.

Giventhevariabilityinenvironmentalcharacteristicsbetweenresourcetypesandlocations,thereisacarefulbalancerequiredbetweenEIAguidelinesbeinghighlyprescriptive(whichmaynotfitcertainsituations)andbeingtoogeneral(whereadequatestandardsaren’tclear).Clarketal.(2017)providemore explanation on what should be included under the template headings, useful data andinformation sources, and advice on a number of general issues across EIAs (such as uncertainty,cumulativeimpacts,adaptivemanagement).IthasafocusonNewZealandlegislativerequirements,butisintendedalsotoapplymoreinternationally,andcouldbeabasedocumenttoconsider.AdoptionofproceduralcheckstoensureEIAcriteriaareacceptable

ThekeyprinciplesandcriteriaofanEIAareoftennotfulfilled,anditisrelativelystraightforwardforanapplicanttokeepinmindthebasicsofanEIA,andcheckthemoffastheyreviewtheapplication.AnEIAshouldbe:

• Purposive:beinformativefordecision-making

• Rigorous:applybestpracticablescience

• Practical:resultinusefulinformationandoutputs

• Relevant:provideuseableinformation

• Cost-effective:achieveEIAobjectiveswithinacceptableresourceandtimelimits

• Efficient:processshouldminimisecostburdens

• Focused:concentrateonsignificantissues



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• Adaptive:adjustabletothespecificsituationbutnotcompromisetheprocess

• Participative:informandinvolveinterestedandaffectedparties

• Interdisciplinary:involvemultipletechniquesandexpertsacrossarangeoffields

• Credible:aprofessionalprocess,subjecttoindependentchecks/verification

• Integrated:interrelationshipsofsocial,economicandbiophysicalaspects

• Transparent:anopenandinformativeprocess

• Systematic:considerallrelevantinformationandoptions.

Need for a compulsory standard environmentalmonitoring programme during exploration, testminingandtheexploitationphase

Therearetwo“categories”ofmonitoringtoconsider:

• Operationalmonitoring: includingminingor drilling location and rate, volumesdischarged,hazardousdischargeeventsandquantityofminedmaterialremoved.

• Effects monitoring: including physical (e.g., clarity, sediment deposition), chemistry (e.g.,analytical suite of contaminants, zone of initialmixing for guideline comparisons, relevantwater and sediment quality guidelines, bioaccumulation assessment) and biologicalmonitoring(e.g.,sentinelspecies,surveyapproaches).

The second, which is focussed on environmental aspects, can build on available environmentalassessment guidance (ISA, 2013b)and more recent work. The main aspects to be included, andparameterstobemeasured,forbothbaselineandmonitoringsurveyprogrammesaredescribedintheguidelinesonscientificresearchdevelopedbytheSPC-EUDSMprojectandNIWA(Swaddlingetal.,2016).This reportcoverssurveydesign,samplingequipment,and“bestscientificpractices” fordeep-seasamplingrelevanttomarineminerals.Asummarytablefromthatreportonrecommendedscientificstudies,theirrationale,andmethods, isreproducedasAnnex2,whichprovidesastartingpointfordeterminingthestudiesthatneedtobeconductedformonitoringimpactsandenvironmentalchanges.

Recommendations,includingpotentialnextsteps

Theworkshopdiscussionswillundoubtedlyproducemanygoodideasandactionpoints.However,thesessions are short, and the focus needs to be constrained. Several things for which clearrecommendations and ways to define the issues include the points below grouped in 3 “similar”clusters:Cluster1:TheEIAprocessandstructure

• A defined/adopted EIA process that is consistent with ISA responsibilities and can beincorporated into thedeveloping exploitation regulations. Thismay include revisionof theprocesswhereitlinkswithexistingexplorationregulations(e.g.,inclusionofaninitialscopingreport,withapreliminaryriskassessment).Thiscanstartwiththeprocessschemeabove,andbecomparedwithotheroptionsgiveninISA(2017).



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• AnagreedlistofpreconditionsrequiredforenteringintoanEIAprocess.ThiswouldspecifytheoutputsofworkundertakenduringexplorationthatareessentialforarobustEIAtobecarriedout(e.g.,baselinesurveys,test-miningresults).

• ClarityonwhatanEIAcontainsintermsofitsgeneral(notdetailed)scope.DoestheEIAfocuson just environmental issues, extend to include a general account of social, economic andculturalaspectswhereappropriate,orexpandfurthertoencompassalltypesofassessments.

• AgreementonanEIA/EIStemplate(tomatchdefinedscope).ThiscanbetakenfromthelatestISAreport,andsupplementedbyNIWAguidelines(Clarketal.,2017;ISA,2017).

• Clarificationofrolesofvariousend-usersandinterestedpartiesintheEIAprocess,especiallypublicengagementandreviewprocesses.ThelattercouldincludeproceduresforevaluationoftheresultsoftheEIA.

• Definition of the consequences of the evaluation of an EIA. This links with issues of howresidual risks and general scientific uncertainty are managed in the environmentalmanagementplanprocess.Itisalargeissue,andbeyondthescopeofthisworkshop.However,aplan forward toaddress the issuecouldbediscussed,andpotentially termsof referencescopedoutforaspecificworkshop.

Cluster2:Environmentalmonitoring

• Definitionofthegeneralnatureofbaselinedatarequiredduringexplorationthatwillsupportthe EIA. This can draw on recommendations from ISA, SPC-NIWA, andMIDAS reports. Animportantaspectistheimportanceoftemporalchanges,astheseareascriticalasdescriptionofthespatialcharacteristicsoffaunalcommunities.

• Specificationofthegeneralnatureofastandardmonitoringprogrammefortestminingandexploitation phases. This aspect links with baseline data requirements, and defining keyenvironmentalindicatorstomeasure,togetherwithconsiderationoffrequencyandduration.This will be site specific, but general principles and approaches (e.g., BACI-before-after-control-impact)canbedetermined.RelevanttothisisaspartofareviewoftheCCZEMP,aworkshop was recommended by the LTC to investigate the survey design and samplingrequirementsforImpactReferenceZonesandPreservationReferenceZones.

Both these are unlikely to be resolved in detail during theworkshop, and could require a furtherworkshop/s to consider the development of standard baseline and environmental monitoringschemes.Takingthisforwardwillalsorequireconsiderationofhowmuchdataarerequiredtosupportafull“ecosystemapproach”andmovemoretowardsecosystemstructureandfunctionthanpartialcommunitydescriptions.

Cluster3:Developmentoftermsofreferenceforexpertworkinggroupstoconsider:

• Toolstobeusedforenvironmentalassessment.Howmuchcanwestandardisethecollectionfield data (survey design, sampling gear) as well as modelling approaches (e.g., speciesdistributionmodels,hydrodynamicoceanographicmodels), aspromotedby ISA (2002)andSwaddlingetal.(2016).

• Cankeyenvironmentalindicatorsofimpactsbedefined,togetherwithcriteriaforidentifyingthem, thresholds of acceptable levels of change, and how to recognize and measurecumulativeimpacts.



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• How to determine best environmental practice and best available technologies. Incombinationwiththeprecedingaspects,canexistingbaselinedatareportsprovidesufficientguidanceoncurrentbestpractice?

• What are appropriate impactminimization strategies, howmuch can be reduced byminedesignandtechnologyversusoptionsofspatialmanagement,howdoresponseexpectationsgetincorporatedintoadaptivemanagementandenvironmentalmanagementplans?

• Managinguncertainty intheEIAandsubsequentEMPdesign isacritical issuefordeep-seaenvironmentswheredatalimitationswillalwaysexist.Linkedwithsessionsonenvironmentalstandardsandadaptivegovernance,optionsoffunctionalecosystemrole(ratherthanspecies-levelbiodiversity),speciesdistributionmodelling,riskassessment,andadaptivemanagementcanbedeveloped.

• Developmentofastandardenvironmentalassessmentandmonitoringscheme,linkedtosomeoftheconsiderationsaboveinCluster2,andaddressingdefiningvalidbaselines,identifyingappropriatemonitoring indicators, guidelines for adaptivemanagement indecisionmakingduringmonitoring,andperformancecriteria.

Theabovebulletpointscanrapidlybecomealongwish-listofthingsthatshouldbedonetosatisfydatarequirementsunderafullecosystemapproach.Theworkshopcanhopefullykeepsomeoftheseissuesinmindanddeveloparoad-mapforgovernmentsandtheISAtoconsiderinprogressingalonga practical path that uses the suite of tools under ERA, EIA and EMP options to develop a robustassessmentprocess.

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ISA.(2013b)RecommendationsfortheguidanceofcontractorsfortheassessmentofthepossibleenvironmentalimpactsarisingfromexplorationformarinemineralsintheAreaISA.

ISA.(2017)EnvironmentalassessmentandmanagementforexploitationofmineralsintheArea.ISATechnicalStudyNo16:66.

MacDiarmidA.,BeaumontJ.,BostockH.,BowdenD.,ClarkM.,HadfieldM.,HeathP.,LamarcheG.,NodderS.,OrpinA.,StevensC.,ThompsonD.,TorresL.,WysoczanskiR.(2012)ExpertRiskAssessmentofActivitiesintheNewZealandExclusiveEconomicZoneandExtendedContinentalShelf,NIWAClientreport.pp.106.

PettsJ.(1999)HandbookofenvironmentalimpactassessmentWiley-Blackwell,Oxford,UK.

RouseH.L.,NortonN.(2010)ManagingscientificuncertaintyforresourcemanagementplanninginNewZealand.AustralasianJournalofEnvironmentalManagement17:66-76.

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USDepartment of Energy. (2004) Recommendations for the preparation of Environmental Assessments andEnvironmentalImpactStatements.



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Annex1:

Tab.1:Summarytableofrecommendedscientificmethodologies,includingtheaspecttobecoveredduringthesurveyprogramme,parameterstobemeasured,andappropriatemethodstoconsidergiventhelocalenvironmentalconditions(Swaddlingetal.,2016)

Aspect Reason MainParameters Sampling

Geolog

y

Topography Seabed characteristics, classification ofhabitats for assessment, surveystratification, selection of test and controlareas

Bathymetry,morphometry,seafloortype Shipboard/towed acousticsystems,opticalsensors,dredges,box-corer,drillingequipment

Backscatter Seabed characteristics, classification ofhabitats for assessment, surveystratification, selection of test and controlareas

Acousticreflectivity Shipboard/towed acousticsystems; sidescan sonar,hyperspectralimaging

Sub-seafloor Petrology, geochemistry, and mineralogyforresourcecharacterisation

Penetration layers, rock properties, mineral andchemicalcomposition

Seismic, drilling, rock sampling(dredges,coring)

Sedimen

tcha

racteristics

Sedimentproperties

Sedimentplumedynamics,classificationofhabitats

Substrate type, sediment and pore watermeasurements:watercontent,grainsize,specificgravity, porosity, depth of oxic layer, carboncontent, chemical composition (trace and heavymetals)

Sediment cores (box corer ormulitcorer)

Bioturbationrates

Naturalmixingofsediments Bioturbation depth, faunal zonation, Pb210activity

Sediment cores (box corer ormulitcorer)



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Sedimentationrates

Distribution and concentration of naturalsuspension,settlementrates

Particle flux, suspended particle concentrations,settlementrates

Mooringsandsedimenttraps

Pelagicc

ommun

ity

Deepwaterpelagic(plankton andnekton)

Impactsofsedimentplumeanddischargeson midwater communities, verticalmigrators,andnear-bottomhyper-benthos

Species composition, distribution, abundance.Biological characteristics (sensitivity,recoverabilityparameters)

Opening/closingnetsforplankton(Remotely Operated Vehicle(ROV) also possible). Pelagictrawls/commercial records forfish

Surfacefauna Effects of surface discharges, presence ofvesselsandequipment


Opening/closing nets, surfaceplankton nets, remote-senseddata

Marinemammals/seabirds

Effects of surface discharges, presence ofvesselsandequipment


Marine Mammal Observerprotocols

Seafloorco

mmun

ity

Megafauna Impactsonbenthiccommunities Species composition, distribution, abundance.Biological characteristics (sensitivity,recoverabilityparameters)

Photographic surveys fromROV/towed camera; directsampling fromdredge/sled/trawl/ROV

Macrofauna Impactsonbenthiccommunities Species composition, distribution, abundance.Biological characteristics (sensitivity,recoverabilityparameters)

Muliticorer or box corer, andepibenthic sled; photographicsurveysfromROV/towedcamera;direct sampling fromdredge/sled/trawl/ROV



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Meiofauna Impactsonbenthiccommunities Biodiversity,distribution,abundance Multicorer or box corer; directsampling fromdredge/sled/trawl/ROV

Microfauna Impactsonbenthiccommunities Biodiversity,distribution,abundance Sediment cores (box corer ormulitcorer)

Specificresourcefauna

Endemicspeciesorcommunities, sensitivehabitats(includingbiogenichabitats)

Speciescomposition,distribution,abundance ROV/towed camera, epibenthicsled;directsamplingbyROV,boxcorerfornoduleenvironments

Scavenger/demersalfish

Impactsonbenthiccommunities Speciescomposition,distribution,abundance Baited lander, fish trawls, traps,ROVobservations

Ecotoxicity Impacts of heavymetals/contaminants onbenthic communities, accumulationthroughfoodchainpotential

Tissuesamplesfromrepresentativeandabundantfauna

Various direct samplingmethods(asabove)

Physicalocean

ograph

y

Currents Dispersalofimpacts,biologicalconnectivity Current speed, direction, depth variation, tidaldynamics, Sea Surface Temperature (SST), SeaSurfaceHeight(SSH),oceancolour

Conductivity Temperature Depthprofiler (CTD), current meters,AcousticDopplerCurrentProfiler(ADCP), remote-sensed data,profilingmoorings

Hydrodynamicmodelling

Dispersal of impacts, sediment plumedynamics,biologicalconnectivity

Oceanographicparameters(temperature,salinity,currentflowanddirection),turbulence,turbidity,bathymetry

Various models applicable: e.g.RegionalOceanModellingSystem(ROMS),HybridCoordinateOceanModel (HYCOM), CORMIX(discharges)



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Chem

icalocean

ograph

y

Waterquality Effectsofdischarges,sedimentplume Chemicalcomposition(includingheavymetalsandtoxic contaminants), turbidity, suspendedsediment,dissolvedoxygen,pH

Water samples (from CTD),surfaceremote-senseddata,coresamples, nephelometer,transmissiometer, opticalbackscattersensors

Visualcharacteristics

Effectsofdischarges,sedimentplume Optical backscatter, light attenuation, black discdistance

Transmissiometer, opticalbackscatter sensors, remotesensing

Bottom waterchemistry

Effects of sediment/rock disturbance,releaseofchemicals,effluentdischarge

Elutriation for chemical and toxicity testing, pH,trace and heavymetal concentrations, dissolvedoxygen

Water samplers (CTD-Niskinbottles),coresamples

Water columnchemistry

Effects on chemical characteristics due tosedimentplumeanddischarges

Nutrients(P,N,Si,C),dissolvedoxygen,traceandheavymetalconcentrations

Water samplers (CTD-Niskinbottles)

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