Promoting Sustainable Fisheries: The International Legal and Policy Framework to Combat Illegal, Unreported and Unregulated Fishing Book

Series Editor's Preface

Foreword

Authors

List of International Instruments

List of Cases

List of Abbreviations

Chapter One Introduction 1

1.1 Concept of IUU Fishing 4

1.1.1 Extent of IUU Fishing 5

1.1.2 Impacts and Causes of IUU Fishing 9

1.2 Legal and Policy Framework to Address IUU Fishing 14

1.2.1 The IPOA-IUU 16

1.2.2 Measures to Address IUU Fishing 20

1.3 Purpose and Outline of the Book 22

Chapter Two History and Scope of IUU Fishing 25

2.1 History of IUU Fishing Terminology 25

2.1.1 UNCED and Agenda 21 25

2.1.2 CCAMLR Sessions 26

2.1.3 UN General Assembly 28

2.1.4 FAO Sessions 29

2.1.5 UN Commission on Sustainable Development 31

2.1.6 IMO Sessions 31

2.1.7 Sydney Experts Consultation Meeting 32

2.1.8 FAO Technical Consultations 33

2.1.9 Joint FAO/IMO Ad Hoc Working Group on IUU Fishing 33

2.1.10 FAO Twenty-Fourth Session 34

2.2 Scope of Illegal, Unreported, and Unregulated Fishing 34

2.2.1 Definitions of "Fishing" and "Fishing Vessel" 34

2.2.1.1 Fishing Vessel 34

2.2.1.2 Fishing 36

2.2.2 IUU Fishing 37

2.2.2.1 Illegal Fishing 38

2.2.2.2 Unreported Fishing 44

2.2.2.3 Unregulated Fishing 47

Chapter Three The International Legal and Policy Framework for Sustainable Fisheries 55

3.1 Introduction 55

3.2 International Fisheries Specific Instruments Supporting the Implementation of the IPOA-IUU 56

3.2.1 Legally Binding Instruments 57

3.2.1.1 United Nations Convention on the Law of the Sea 58

3.2.1.2 FAO Compliance Agreement 60

3.2.1.3 UN Fish Stocks Agreement 61

3.2.1.4 FAO Port State Measures Agreement 63

3.2.2 Non-binding Instruments 64

3.2.2.1 UN Resolutions on Driftnet Fishing 65

3.2.2.2 The Declaration of Cancun 66

3.2.2.3 The Rome Consensus on World Fisheries 66

3.2.2.4 FAO Code of Conduct 67

3.2.2.5 IPOA-Capacity 67

3.2.2.6 IPOA-Seabirds 68

3.2.2.7 IPOA-Sharks 69

3.2.2.8 UN Resolutions on Sustainable Fisheries 69

3.2.2.9 FAO Model Scheme on Port State Measures to Combat IUU Fishing 71

3.2.2.10 Rome Declaration on IUU Fishing 72

3.2.2.11 FAO Guidelines 73

3.3 Environment Related Instruments 74

3.3.1 Ramsar Convention 75

3.3.2 CITES 76

3.3.3 Bonn Convention 78

3.3.4 Convention on the Conservation of Biological Diversity 79

3.3.5 Johannesburg Plan of Implementation 81

3.4 Trade Related Agreements 82

3.4.1 GATT 1994 82

3.4.2 Agreement on Technical Barriers to Trade 83

3.4.3 Agreement on Pre-shipment Inspection 84

3.4.4 Agreement on Rules of Origin 84

3.4.5 Agreement on Import Licensing Procedures 85

3.4.6 Agreement on the Application of Sanitary and Phytosanitary Measures 86

3.4.7 Agreement on Subsidies and Countervailing Measures 87

3.4.8 Draft WTO Rules on Fisheries Subsidies 88

3.5 Maritime Safety and Labour related Agreements 89

3.5.1 Torremolinos Convention and its Protocol 90

3.5.2 STCW-F 91

3.5.3 The 2007 Work in Fishing Convention 91

3.5.4 Voluntary Codes and Guidelines 92

Chapter Four All State Measures 93

4.1 General Framework for All State Responsibilities 93

4.2 Ratification and Implementation of International Instruments 93

4.3 Adoption of National Legislation and National Plan of Action 95

4.3.1 Legislative Measures 96

4.3.2 National Plans of Action 96

4.3.3 Regional Plans of Action 98

4.4 State Control over Nationals 102

4.5 Elimination of Economic Incentives 106

Chapter Five Flag State Measures 109

5.1 Freedom of the High Seas and Flag State Jurisdiction 109

5.2 Fishing Vessel Registration 111

5.3 Authorisation to Fish 121

5.4 Record of Fishing Vessels 124

5.5 Flag State Enforcement 128

Chapter Six Coastal State Measures 131

6.1 General Framework for Coastal State Measures 131

6.2 Coastal State Fisheries Jurisdictional Framework 132

6.2.1 Coastal State Measures to Combat IUU Fishing in Maritime Zones under Sovereignty 133

6.2.2 Coastal State Measures to Combat IUU Fishing in Maritime Zones under Sovereign Rights 134

6.3 Monitoring, Control and Surveillance 136

6.3.1 Licensing of Fishing Vessels in the EEZ 138

6.3.2 Observer Programmes 141

6.3.3 Vessel Monitoring Systems 143

6.3.4 Requiring Entry and Exit Reports in the EEZ 146

6.4 Enforcement of Fisheries Laws and Regulations 147

6.4.1 Boarding, Inspection, and Arrest of Vessels 147

6.4.2 Hot Pursuit 148

6.4.3 Application of Sanctions 149

6.5 Cooperation with Other States 152

Chapter Seven Port State Measures 157

7.1 The Importance of Port States in Addressing IUU Fishing 157

7.2 Application of Port State Measures 159

7.3 Port State Measures to Combat IUU Fishing 161

7.3.1 Advanced Notice of Port Entry 162

7.3.2 Designation of Ports 163

7.3.3 Inspection of Fishing Vessels 163

7.3.4 Enforcement Actions 165

7.3.4.1 Denial of Landing and Transshipment of Fish in Ports 166

7.3.4.2 Denial of Entry into or Use of Port 166

7.3.5 Cooperation with Flag States 168

7.3.6 Other Port State Measures 170

Chapter Eight Trade and Market Measures 173

8.1 International Fish Trade and IUU Fishing Concerns 173

8.2 Legal Framework for International Trade and Fisheries 175

8.2.1 International Trade in Fish and Fishery Products under the WTO and FAO 175

8.2.1.1 Maintaining Food Safety and Quality 177

8.2.1.2 Ensuring Food Security 180

8.2.1.3 Sustainable Development and Utilisation of Fisheries Resources 181

8.2.1.4 Promoting International Trade Consistent with WTO Agreements 182

8.2.2 The International Trade of Endangered Aquatic Species under CITES and FAO 184

8.3 Internationally Agreed Market related Measures to Address IUU Fishing 187

8.3.1 Traceability of Fish 188

8.3.2 Harmonized Commodity Description and Coding System 191

8.3.3 Trade Related Measures Adopted by RFMOs 193

8.3.4 Trade Restrictive Measures 193

8.3.5 Other Market Measures 195

8.3.5.1 Eco-labelling of Fish Products 195

8.3.5.2 Market Measures by Private Companies 199

8.3.5.3 Measures to Deter Business with IUU Fishers 200

Chapter Nine RFMO Measures to Address IUU Fishing 201

9.1 The Duty to Cooperate and Regional Fisheries Organisations 201

9.2 The Role of Regional Fisheries Organisations in Addressing IUU Fishing 203

9.3 RFMO Measures to Combat IUU Fishing 204

9.3.1 Authorisations to Fish and Transshipment of Fish 204

9.3.2 Record of Fishing Vessels and Vessels Authorised to Transship Fish 209

9.3.3 IUU Vessel Listing 210

9.3.3.1 Listing of Non-Member Vessels 212

9.3.3.2 Vessels Owned or Under the Control of Owners of IUU-listed Vessels 213

9.3.3.3 Procedure for the Listing and Deletion of vessels on the IUU List 214

9.3.3.4 Record of Fishing Vessels vis a vis IUU Vessel List 216

9.3.3.5 Reciprocal Recognition of IUU Vessel Lists 216

9.3.4 Other Schemes for Non-Member Vessels 217

9.3.5 Regulations on Chartering of Fishing Vessels 219

9.3.6 Vessel Monitoring System 220

9.3.7 Observer Programme 222

9.3.8 Boarding and Inspection 224

9.3.9 Trade Documentation and Catch Certification 226

9.3.10 Trade Restrictive Measures 229

9.3.11 Port State Measures 230

9.3.11.1 Designation of Ports 230

9.3.11.2 Advanced Notice of Port Entry 231

9.3.11.3 Prior Authorisation to Land or Tranship Fish 231

9.3.11.4 Inspection of Fishing vessels 232

9.3.11.5 Port Enforcement Actions 233

9.3.11.6 Other Enforcement Measures Against IUU Fishing Vessels 234

9.3.12 Control of Fishing Capacity 236

9.4 Measures Adopted by Other Regional Fisheries Organisations 237

Chapter Ten Current State Practice to Combat IUU Fishing 239

10.1 U.S. Measures to Combat IUU Fishing 239

10.1.1 Procedures for the Identification of States Whose Vessels Have Engaged in IUU Fishing and By-catch of Protected Living Marine Resources 241

10.1.2 Alternative Procedures 244

10.1.3 Effect of Certification Determination 244

10.1.4 Initial Implementation of the High Seas Driftnet Fishing Moratorium Protection Act 245

10.2 EU Regulation to Combat IUU Fishing 246

10.2.1 Port State Control over Third Country Fishing Vessels 247

10.2.2 Catch Certification 249

10.2.3 IUU Vessel Listing 251

10.2.4 Identification of Non-cooperating Third Countries 252

10.2.5 Control of Nationals 253

10.2.6 The Community Alert System 254

Chapter Eleven Conclusion 255

11.1 The Need for an Effective Domestic and Regional Framework 256

11.2 Emerging Issues in the Global Framework to Address IUU Fishing 258

11.2.1 IUU Fishing and Marine Biodiversity Conservation 259

11.2.2 IUU Fishing as an International Environmental Crime and a Maritime Security Concern 260

11.2.3 Flag State Responsibility and Liability 263

Appendix 269

Bibliography 291

Index 327