Appendix B

Recommended Checklist for Foreign Clearances

(Bracketed citations refer to section numbers in the body of the handbook)

Early planning phases of the project (more than one year in advance):

• Discuss clearance requirements with appropriate administrators at your institution (and, if different from yours, the institution which operates the research vessel you will be using). Review pertinent NTRVOS. [Part 7]
• Seek advice from the State Department and your funding agency for any unfamiliar or unusual clearance problems. (For example, NSF's Division of Polar Programs should be consulted when planning any research in the Antarctic.) [Part 4]
• Be aware of actual or potential areas of conflict with other states (including the general political atmosphere as well as more specific problems such as boundary disputes); the State Department can usually provide this information.
• Plan on shipboard accommodation for at least two participants from each country from which clearance is being sought, as well as points of embarkation/debarkation for foreign participants. [Section 4.2 and Section 10. 11
• If the program involves multiple cruises to the same country, consult the State Department regarding the submission of a single request for the entire program. (Even if this is not done, the initial request should contain as much information as possible on the scope and duration of the program as a whole.)
• In some instances it may be advantageous to submit the request as far in advance of the research as possible, particularly to afford the greatest possible opportunity for coastal state involvement. Early submission is normally advisable only when plans are relatively firm. Even when such firm information is not available at an early date, it may be useful nonetheless to notify the coastal state of the objectives and tentative schedule of the planned research and to provide the coastal state with information on how its scientists can become involved in the planning and conduct of the research. This can be done as early as possible. Advance notice of this kind does not obviate the need for submission of a formal request but may facilitate the clearance approval process. [Part 8]
• Consult the Department of State and your funding agency if you expect to encounter any unusual clearance problems or of you intend to seek clearance privately or through other unusual channels.
• Develop a backup plan, particularly where clearance problems are likely to be encountered.
• Include the cost of foreign participants' travel in the funding proposal, together with other costs associated with foreign clearance (for example, unusual costs associated with the sharing of data results). [Appendix A and Section 10. I]

Writing the clearance request: (at least eight months in advance)

• Seek advice and obtain clearance forins from the appropriate individual at the operating institution.
• Use UNOLS clearance forms (see NTRVO #67, Appendix D).
• Provide about a one-page description of the research in clear, nontechnical terms; emphasize the purpose, objectives, and expected scientific contribution of the project. (Part 8]
• Describe the research in a manner that provides flexibility where needed (for equipment to be used, inclusion of ancillary projects, trackline, etc.)
• Attach a clear, page-size track chart of appropriate scale.
• Submit the clearance request to the Department of State no later than seven months in advance of the research. The request should normally be submitted by the operating institution.
• Ensure that the Department of State has acknowledged receipt of clearance documents.

While awaiting a response:

• Contact the Department of State within one month of submitting the clearance request to confirm that it has been received by the country(ies) concerned.
• Avoid changes in program; when changes cannot be avoided, notify the State Department immediately (normally through operating institution) of the nature and reason for change. [Section 9. 1 ]
• Do not attempt to influence the clearance process in another country without first consulting the State Department.
• Contact the Department of State regarding the status of clearance three weeks before clearance is due, or earlier if difficulties are expected and you are considering switching to a contingency plan.

Before research begins:

• Through the vessel-operating institution, ensure that necessary clearance is received. (It is useful though not usually essential to have documentation of clearance aboard ship).
• If official participant(s) have been named, vessel must not depart unless participants are aboard or their absence has been explained through official channels. [Part 7 and Part 9. 1]

While research is in progress:

• Adhere to the research plan approved by the host government. If deviations from the approved research plan are necessary, the prior consent of the host government must first be obtained. (This includes, but is not limited to, timing, trackline, equipment, measurements, etc.) The Department of State can provide advice as to the procedures which should be followed to obtain such consent. [Part 8]
• Comply fully with any conditions or restrictions imposed by the host government.

Upon completion of at-sea research:

• Within 30 days, submit a preliminary cruise report (normally via the operating institution) which contains a schedule for meeting postcruise obligations (see NTRVO #66). Forward subsequent data according to this schedule; otherwise, notify the State Department of delay together with reason for same. [Part 10] - Share any samples requested by the host government.
• Forward publications to the host government as they become available. [Part 10 and Appendix C]
• Clearance obligations end only with the submission of the final results of the research. [Part 10]