Presentation on theme: "26/29 June - Dipartimento di Scienze Giuridiche Unisalento Room R 24"— Presentation transcript:
1 26/29 June - Dipartimento di Scienze Giuridiche Unisalento Room R 24 International legal framework for environmental maritime crime: UNCLOS, IMO and MARPOL Dr. Alla Pozdnakova Scandinavian Institute of Maritime Law, University of Oslo26/29 June - Dipartimento di Scienze Giuridiche Unisalento Room R 24
2 International rules of criminal jurisdiction over perpetrators of ship-source pollution How to ascertain what these rules are?No international (global) treaty on criminal jurisdiction1952 Brussels Convention on Penal Jurisdiction in matters of collision and other incidents of navigationUNCLOS Part XII «Protection and preservation of the marine environment»Flag StatesCoastal StatesPort States
3 International law generally - ? UNCLOS does not resolve all questions pertaining to the exercise of criminal jurisdictionInternational law generally - ?State practice (not extensive and not easily available)
4 Flag States – principal jurisdiction Coastal and port States – concurrent jurisdiction + limitations on:the substantive contents of the national rulesThe geographical reach of national criminal lawTerritorial versus extra-territorial jurisdictionPrescriptive jurisdiction and enforcement jurisdiction
5 Selected UNCLOS provisions Article 211 UNCLOS «Pollution from vessels»Article 217 Enforcement by flag StatesArticle 218 Enforcement by port StatesArticle 220 Enforcement by coastal StatesArticle 228 Suspension and restrictions on institution of proceedingsArticle 230 Monetary penalties and recognized rights of accused
6 Prescriptive jurisdiction Legality principle – essential to have a proper national provision!Territorial jurisdiction versus extraterritorial jurisdiction: can a State extend its criminal legislation to conduct beyond its borders?Yes but Lotus judgment (1935, P.C.I.J.) is not popularGenerally, some interests must be affected or certain connections presentE.g., Draft convention on Jurisdiction with respect to crime
7 Exlusive economic zone (EEZ) – right of the coastal State to protect the marine environment UNCLOS permits coastal State to legislate within its EEZ but only to the extent of «international rules and standards» (Article 211 «Pollution from vessels»)Erika case (can France apply national rules (allegedly) exceeding international treaty for accident beyond its territorial sea?)
8 Can a non-flag State enact criminal sanctions applicable to conduct committed beyond its territorial sea/EEZ – i.e. on the high seas and other States’ waters?The answer is positiveState of nationalityWith regard to pollution which produced effects within legislating State’s territory (objective territorial principle/effects doctrine)Article 218 UNCLOS
9 Enforcement jurisdiction More limited than prescriptive jurisdictionIn principle, only territorial enforcement + coastal State enforcement in EEZTwo aspects of enforcement:Jurisdiction to stop, inspect and detain a foreign shipJurisdiction to prosecute and impose criminal punishment
10 Jurisdiction to stop, inspect and detain: Location of the vessel and location of the pollution violation (proximity/distance to the shore)UNCLOS is very specific on this aspect: see Article 220 (coastal State jurisdiction)Internal watersTerritorial seaEEZ
11 Jurisdiction to prosecute and impose penalties UNCLOS is not as specificArticle 230 UNCLOS (only monetary penalties unless «wilful and serious pollution in the territorial sea»)Article 228 take over of proceedings by flag State
12 Coastal State jurisdiction Internal waters and ports – full jurisdictionTerritoriality principle of jurisdiction«French principle» or US/UK (internal affairs) approachTerritorial sea – full jurisdictionNB the coastal state must not hinder the innocent passageThere must be «clear grounds» for believing that a violation has taken place
13 Coastal State jurisdiction (cont’d) EEZ – inspection and detention only in special circumstances (post factum depending on the severity of damage)It is only possible to request information about the ship (Article 220(3)substantial pollution – physical inspection (Article 220(5)Detention if major damage to the marine environment of the coastal State (Article 220(6))
14 Coastal State jurisdiction (cont’d) High seasNon-flag States have no right to interdict polluter except in cases of hot pursuitIntervention in case of a maritime casualty and Article 221
15 Article 2205. Where there are clear grounds for believing that a vessel navigating in the exclusive economic zone or the territorial sea of a State has, in the exclusive economic zone, committed a violation referred to in paragraph 3 resulting in a substantial discharge causing or threatening significant pollution of the marine environment, that State may undertake physical inspection of the vessel for matters relating to the violation if the vessel has refused to give information or if the information supplied by the vessel is manifestly at variance with the evident factual situation and if the circumstances of the case justify such inspection.
16 6. Where there is clear objective evidence that a vessel navigating in the exclusive economic zone or the territorial sea of a State has, in the exclusive economic zone, committed a violation referred to in paragraph 3 resulting in a discharge causing major damage or threat of major damage to the coastline or related interests of the coastal State, or to any resources of its territorial sea or exclusive economic zone, that State may, subject to section 7, provided that the evidence so warrants, institute proceedings, including detention of the vessel, in accordance with its laws.
17 Consequences of detention of a foreign vessel and crew Must be released promptly upon posting a reasonable bondArticle 226Prompt release procedure in ITLOS
18 Article 2301. Monetary penalties only may be imposed with respect to violations of national laws and regulations or applicable international rules and standards for the prevention, reduction and control of pollution of the marine environment, committed by foreign vessels beyond the territorial sea.
19 2. Monetary penalties only may be imposed with respect to violations of national laws and regulations or applicable international rules and standards for the prevention, reduction and control of pollution of the marine environment, committed by foreign vessels in the territorial sea, except in the case of a wilful and serious act of pollution in the territorial sea.3. In the conduct of proceedings in respect of such violations committed by a foreign vessel which may result in the imposition of penalties, recognized rights of the accused shall be observed.
20 Examples of enforcement by coastal State Full City (Norway, 2010)Negligent pollution (grounding) in the internal watersOmmision to notify the emergencyImprisonment changed to probation for the master, long detention prior to trial
21 Royal Caribbean Cruises (USA, 1998) Arisan (1992, Norway)Imprisonment for accidental pollution in the territorial sea (UNCLOS not yet in force)Royal Caribbean Cruises (USA, 1998)Intentional pollution in other State’s watersFalse statement (fairy – tale book)Alambra (Sweden, 2004)Punishment can be imposed even if the delinquent vessel was not detained on spot
22 Allocation of jurisdiction between coastal States How to allocate criminal jurisdiction between two or more coastal States affected by the same pollution violation?UNCLOS does not address such situations in any detailThe State which detained the ship first? The State with the strongest link to the incident/greatest interest should be allowed to prosecuteThe Eurojust decision in the Prestige case (2003) – convenience of litigation
23 Port State enforcement (Article 218) What if the foreign vessel committed pollution on the high seas or within other States’ waters?or sailed out of the coastal State’s maritime zones after having polluted there?The offender may later return within the coastal State’s territorial limitsOr a port State may institute proceedings under Article 218
24 Article 2181. When a vessel is voluntarily within a port or at an off- shore terminal of a State, that State may undertake investigations and, where the evidence so warrants, institute proceedings in respect of any discharge from that vessel outside the internal waters, territorial sea or exclusive economic zone of that State in violation of applicable international rules and standards established through the competent international organization or general diplomatic conference.
25 Port State enforcement (cont’d) Delinquent foreign vessel must be voluntarily in the port of the port StateUnlawful seizure - ex injuria ius non oritur or male captus bene detentus?
26 Article 218 (cont’d)No effects on the port State (or connecting factors) are required under Article 218Decision by port State to inspect/institute proceedings is voluntaryRequest by the coastal or flag State is required with regard to pollution in the coastal State’s watersImportant: port States could prosecute pollution violations on the high seas, where flag State is not taking measures – no enthusiasm in practice!
27 Suspension and restrictions on the institution of proceedings (Article 228) Flag State may request transmittal of proceedings from the port StateThe coastal State may request transmittal of proceedings if violation occured in its internal waters, territorial sea or EEZArticle 228Transfer of proceedings to the flag StateNe bis in idemExpiry of the right to institute proceedings against a foreign vessel (three years)
28 Article 228Can a coastal State refuse to transfer/suspend proceedings?Pollution committed within territorial seaPollution committed beyond territorial sea ifCase of major damage to the coastal StateThe State has repeatedly disregarded its obligation to enforce effectively the applicable international rules and standards in respect of violations committed by its vessels
29 Final remarksNeed to harmonize and develop the definition of a pollution crime and penaltiesNeed to ensure better protection to the master and the crew (UNCLOS does not achieve this)States must use Articles 220 and 218 more assertivelyTo achieve this, more clarification of international law is necessaryMore research on State practice is required!