Consult the Department of State (OES/OMS) early in the planning phases of a research program which is likely to require foreign clearance, regardless of whether funding has been awarded or whether the ship schedule has been finalized. The Department is able to provide useful advice regarding specific requirements and prior experience with the countries involved which can allow persons conducting research to take into account the vagaries of the international political system so as to minimize the need for last-minute changes.
Many countries now require that research requests be submitted at least six months in advance of the date on which the research is scheduled to begin. The State Department should be given at least one additional month to act on and forward a request (see "Diplomatic Channels" below). Requests must include a thorough description of the research, the name of the chief scientist and his/her institution, the dates of arrival and departure of the research vessel, type of equipment to be used, technical information (name, tonnage, type, and class) about the ship, and a chart depicting the ship's track (see clearance forms, Appendix D). If the principal investigator will not participate in the at-sea portion of the research, the name of the senior scientist aboard the vessel(s) must also be provided. Certain states require even more detailed information than this. The State Department monitors the clearance requirements of individual countries and advises operating institutions of such requirements through NTRVOs and upon request.
4.1 Private Channels. Unless a public vessel (see definition in Part 5) is used, it may be possible to submit research requests directly to foreign governments; however, most governments require that such requests be submitted through diplomatic channels. If the individual conducting research is certain that a country will accept direct submission of requests and wishes to take it upon himself to ensure that the necessary procedures are followed, then private channels may be used. There are, however, greater uncertainties and few advantages associated with this approach and it is generally preferable to submit requests through the State Department. It is rare that conditions or obligations imposed by the coastal state are more favorable when private channels, rather than diplomatic channels, are used. In any event, persons planning research should consult the State Department before submitting a request through private channels.
Investigators are cautioned that problems have often been encountered with well-meaning colleagues in the coastal state who offer to obtain clearance on behalf of their U.S. counterparts. It is frequently and unfortunately the case that such direct approaches are not successful.
In the event that an attempt to obtain clearance through private channels ultimately fails, it is difficult for the Department of State to salvage a clearance on short notice. The Department is particularly reluctant to approach a host state on an urgent basis when there is a strong possibility that such action might jeopardize other U.S. requests which were submitted with adequate notice. It is therefore preferable in the vast majority of cases to seek access through diplomatic channels.
4.2 Diplomatic Channels. Investigators wishing to use diplomatic channels should submit the necessary documents to the Department of State at least one month in advance of the deadline imposed by the coastal state (in general, clearance documents should reach the Department of State no later than seven months prior to the date on which the research will begin-see Appendix E). The State Department and the University-National Oceanographic Laboratory System (UNOLS) have agreed that all requests submitted through diplomatic channels must include a commitment to share research results with the foreign government and that a minimum of two berths be made available for participation by representatives of the country granting clearance. These basic requirements are binding on all investigators.
The Department of State normally submits requests through the U.S. embassy which is responsible for diplomatic relations with the country involved, although in special cases requests are handled in Washington, D.C., through approaches to foreign embassies there. It is the normal practice of the Department of State to advise the individual conducting research of any developments while the request is pending (this occurs most commonly when additional information is required). The Department immediately notifies the vessel's operating institution of clearance approval or denial and provides written confirmation to the principal scientist as soon as possible, with a copy to the ship's operating institution. After the research has been completed, the State Department will also monitor compliance with procedures for meeting postcruise obligations. (See NTRVO #66 at Appendix C.)
Those involved with projects for which diplomatic channels are used should not attempt to influence the clearance process directly through contacts with foreign counterparts or governments unless the approval of the Department of State is first obtained. Such approaches, unless they are approved and carefully coordinated in advance, can be highly disruptive to the clearance process and confusing to both State Department and foreign government officials. This should in no way deter scientist-to-scientist cooperation in the scientific planning and implementation of a project.
It is also inadvisable to contact clearance authorities in U.S. embassies except in cases of extreme urgency, or unless State Department approval is first obtained. Embassies do not normally take action on clearance matters except on instructions from the State Department. It is useful in emergencies, however, to have on hand a current copy of the quarterly booklet "Key Officers of U.S. Foreign Service Posts," which contains the addresses and telephone numbers of all U.S. diplomatic missions overseas. This booklet may be obtained free of charge from the Bureau of Public Affairs, U.S. Department of State, Washington, D.C. 20520.
4.3 International Organization Channels. The Intergovernmental Oceanographic Commission (IOC) of UNESCO has formulated a mechanism for assisting member nations with research vessel access to the zones of jurisdiction of other member states (IOC Recommendation VI-13). Although this procedure is not often used by U.S. scientists, it may prove helpful, especially in cases of large, multinational programs.
Under Article 247 of the LOS Convention, the coastal state is deemed to have authorized access for participants in a research project under the auspices of an appropriate intergovernmental organization if (a) the coastal state is a member of such an organization and approved the project when adopted within that organization; (b) the coastal state has not expressed objection to the project within four months of notification by the organization; and (c) the project occurs on the continental shelf or entirely beyond the territorial sea.
It is the responsibility of the Department of State to determine whether the IOC approach can be used and to monitor projects approved by intergovernmental organizations.