The procedures established by the Department of State for meeting postcruise obligations are contained in the State Department's Notice to Research Vessel Operators No. 66, which has been distributed to all UNOLS institutions (attached, Appendix C). The chief scientist or principal investigator is required to submit a preliminary cruise report through the operating institution to the Department of State within 30 days of the completion of the cruise (or, where applicable, the cruise leg on which the research was conducted). The preliminary report must contain a brief explanation of the cruise results and a complete list of the types of data collected. The chief scientist or principal investigator must also include a schedule of his/her own devising for meeting all postcruise obligations. 'This schedule must include the estimated date(s) by which report(s), journal article(s) and/or other results will be provided. Only when the final results of the research are provided to the government(s) which granted clearance has the investigator met his/her postcruise obligations. Accordingly, it is advisable for investigators to note specifically in submitting final results that they regard clearance responsibilities as having been fulfilled. It is preferable for data and results to be sent to the State Department (OES/OMS) for forwarding via diplomatic pouch. An alternative, but less desirable, method is to send these materials to the U.S. embassy in the country concerned (with a copy of the transmittal letter to the Department of State). Sharing data with scientific colleagues from the host country usually does not meet the requirement of providing data to the government of the host country. It can be assumed that the foreign government is free to disseminate research results (including data and samples) as it wishes.
Sharing of samples taken during the research is necessary only if specifically requested by the coastal state (usually in advance), and then only if samples can be divided without detriment to their scientific value. However, the U.S. scientist may be required to take duplicate samples (and, in some cases, make duplicate prints of photographic data) for the benefit of the coastal state. Samples can often be provided to the coastal state through the coastal state's designated participants on the cruise. In such cases a receipt should be obtained identifying the persons to whom the samples were entrusted and the precise nature of the samples given. It would be prudent to include a copy of this receipt with the preliminary cruise report forwarded to the Department of State.
A notation should be made in the original clearance request if data results will be provided in a form that is unusually large, bulky, or difficult to interpret. If the intent is to provide research results in the form of a computer tape, every effort should be made by the individual in charge of the research to ensure that the tape is compatible with data processing systems in the coastal state. It is generally desirable to provide as much information as possible on the expected research results in the initial request for clearance in order to reduce the possibility of later misunderstandings.
Certain countries have very specific requirements regarding the institution to which research results must be sent in order to fulfill postcruise obligations. In other instances it is usually desirable to forward the research results through the foreign ministry of the coastal state. In either case the results should be forwarded through the State Department or the appropriate U.S. embassy if clearance was obtained through diplomatic channels. In any event, it is of critical importance for the individual conducting research to retain copies of any letters of transmittal should questions arise at a later time. In virtually no circumstance can postcruise obligations be met by sharing research results with a coastal state scientist of the U.S. investigator's own choosing unless previously agreed to by the foreign government.
Some countries may request that, consistent with the LOS Convention (see Appendix A), U.S. investigators provide an assessment of data, samples, and research results or assistance in their assessment or interpretation. Such a request would normally be conveyed through official channels. Every effort should be made to comply with such a request. Investigators for whom a request of this kind poses unreasonable difficulties should consult the Department of State or, where appropriate, their funding agency.
The failure to fulfill postcruise obligations is a serious matter. It would be consistent with the LOS Convention for states to use the failure of a single U.S. scientist to share results as a basis for denial of clearance for any or all future U.S. requests, regardless of institutional affiliation. It is of great importance, therefore, to notify the coastal state of any changes in the schedule for meeting postcruise obligations so that this eventuality can be avoided.
The failure of a U.S. scientist to fulfill his/her postcruise obligations carries with it the danger that the coastal state will impose sanctions upon subsequent requests for access from other U.S. investigators. Based on past experience, it seems most likely that the coastal state would impose sanctions against the operating institution for whose vessel the clearance was issued. Noncompliance with postcruise obligations can have a harmful effect on the entire U.S. marine science community. Accordingly, funding agencies of the U.S. government may take into account the failure of an investigator to meet his/her postcruise obligations in deciding whether to support subsequent research proposals submitted by that investigator. Such decisions are taken by funding agencies on a case-by-case basis in accordance with the policies and procedures in effect at each individual agency.