Authorizations, Clearances and Permits

Introduction

Diplomatic Authorizations, clearances, and permits (hereafter referred to as "permits") are typically required to work in the waters of coastal states, marine protected areas, and marine sanctuaries.  Most common permitting requirements include, but are not limited to:

1. Working in a coastal state's Exclusive Economic Zone (EEZ) 

2. Working in a coastal state’s protected area (i.e. marine reserves and monuments)

3. Undertaking special activities (e.g. sound sources such as seismic operations or drone operations)

4. Collecting biological and sediment samples from the seafloor within a coastal state’s EEZ

5. Bringing permits that were collected in international waters into a country’s port

6. Exporting samples collected in a coastal state’s waters out of the country following an expedition

Permits may also be needed when importing or exporting equipment, supplies, and samples, such as, but not limited to:

1. Export of economically or militarily sensitive technologies regulated by dictates such as International Traffic in Arms Regulations (ITAR) and Export Administration Regulations (EAR)

2. Importing, exporting and shipping hazardous and regulated materials and samples and specimens out of the nation

3. Disposing of hazardous and regulated materials

Working in Coastal State Exclusive Economic Zones

Permits are needed to conduct marine scientific research in a nation's Exclusive Economic Zone (EEZ).  A nation's EEZ typically extends 200 miles from the nearest land claimed by the nation.  It is important to note that this includes islands and outcroppings, not part of the contiguous nation.

Permits to work in a foreign nation's Exclusive Economic Zone (EEZ) are coordinated with the expedition’s Chief Scientist and Schmidt Ocean Institute’s Senior Director of Operations and Research Portfolio Senior Manager. The process for applying for permits varies considerably depending on the nation holding the rights to the EEZ. 

Depending on the requested cruise track, permits may be required from multiple nations and may be required even if your primary work is in international waters.

Authorization to work in foreign waters of a coastal state is obtained through official channels and often requires that all paperwork be submitted to the coastal state at least seven (7) months prior to the expedition taking place.  Not following submission timelines and reporting requirements may result in the applicant and R/V Falkor (too) being unable to conduct future work in the area.

Schmidt Ocean Institute will allocate one berth on an expedition in a coastal state’s waters for a foreign government observer to sail on board the expedition.  One copy of the data will be given to the coastal state’s observer by Schmidt Ocean Institute.  Additionally, coastal states may require some portion of the samples remain in the coastal state, as well as copies of all data and logs. Requirements might also include that copies of all reports and publications are shared with the coastal state. Schmidt Ocean Institute will help the Chief Scientist as much as possible to fulfill post-cruise reporting requirements.  If possible, published papers should give credit to the host nation (in the acknowledgements section), including the clearance document number. 

Other Authorizations, Clearances and Permits

Permits are often required for operating in the vicinity of reserves, marine monuments and other specially protected areas.  These may be found close to shore or at sea such as surrounding areas of known hydrothermal vents. 

Additionally, permits may be required for certain activities, such as sampling, drone operations, and other unique activities.

It is the responsibility of the science party to identify and obtain permits for any area in which they wish to work, and for any data collection activity that they wish to perform.

Shipping, Export and Other Permits

ITAR (International Traffic in Arms Regulations) and the closely related EAR (Export Administration Regulations) are regulations put in place by the United States government (Department of State and Bureau of Industry and Security, respectively) to regulate the export of sensitive technologies.

Oceanographic equipment or components may be subject to these regulations.  Items that can be used for mapping, and data collection relevant to naval warfare, navigation, or guidance systems (often found on ROVs and AUVs) are most commonly regulated. More information is available at https://en.wikipedia.org/wiki/International_Traffic_in_Arms_Regulations and https://en.wikipedia.org/wiki/Export#United_States.

While these regulations pertain only to the United States, other nations have similar restrictions.  It is the responsibility of the science party and equipment providers to ensure that all such regulations are complied with.  If you are unsure, please research these regulations - the manufacturer or supplier is a good place to start - and bring up any unknowns or questions during the planning process with Schmidt Ocean Institute.  Sanctions for violating ITAR, EAR, and other nations’ versions of these regulations are very severe.

Permits may be needed for shipping, importing/exporting, or disposing of other specialty items, especially hazardous materials, scientific samples, and specimens.  The science party is responsible for identifying and obtaining permits for any items and samples that will be shipped, stored, or disposed of.