Maritime Security

 

Sanctions and Compliance

 

There are currently 14 sanctions regimes in force, some with common measures but most with specific measures pertaining to a particular country. This section unpacks measures that are involved with or have links to the maritime space.

The intention of this section is to support effective implementation by answering:

  • What are the implementation obligations resulting from the UN resolutions?
  • What are the activities and trends utilized by bad actors and the related complexities?
  • How can compliance be enhanced, or its effectiveness be improved ?
  • Where source materials to support heightened vigilance and due diligence be found?

 

Member states implementation obligations

 

What is covered under the sanctions restrictions on maritime and aviation transportation?

Summary of restrictions framed in the context of specific objectives of a sanctions regime:

  • Somalia A voluntary, multinational naval partnership operating in the region is mandated to interdict charcoal and weapons on vessels in Somali territorial waters and on the high seas, including the Arabian sea and the Persian Gulf.
  • Democratic Republic of the Congo Regional civil aviation authorities must ground an aircraft that is operated without registration, a valid airworthiness certificate issued by the State's aircraft registry, or a certification of the design of the operated aircraft conforming with the approved manufacturer’s criteria. Further inspection and certification are required whenever an aircraft undergoes modifications. Authorities must also verify that pilots operating aircraft in the region are properly licensed.
  • Sudan/Darfur Offensive military overflights, for example over towns, and camps of refugees and internally displaced persons (IDPs) undertaken by the Sudan Defense Force, should lead to the grounding of aircraft.
  • Democratic People’s Republic of Korea (DPRK) The following restrictions on the DPRK’s sovereign rights over its transportation corridors and companies apply:
    • The right to inspect or seize a vessel suspected to have transported prohibited cargo to or from the DPRK;
    • The right to de-flag vessel(s) by the flag State;
    • Directing the vessel(s) to a port identified by the Committee (in coordination with the port State) by the flag State for inspection;
    • Denying vessel(s) access to ports;
    • Denying bunkering services, including fuel, supplies, or other services to DPRK vessels where there are reasonable grounds to believe that the vessel was involved in the transport of prohibited cargo;
    • Inspections of suspicious cargo transported by ships and aircraft, and individual passengers through any transit points, or in the case of maritime transport, on the high seas in conjunction with the flag state;
    • Prohibitions against leasing, chartering of or buying DPRK vessels, aircraft and crewing services;
    • An obligation to de-register any DPRK-owned or operated vessel, or any vessel believed to have been used for the transport of prohibited cargo, and an obligation not to re-register vessels previously de-registered anywhere in the world;
    • Prohibition of certification, associated services, insurance or re-insurance of DPRK-flagged, owned, controlled or operated vessels, or of vessels where there are reasonable grounds to believe that they were involved in the transport of prohibited cargo;
    • Deny permission to aircraft to take off, land or overflight rights where there are reasonable grounds to believe that they were involved in the transport of prohibited cargo; and
    • Deny vessels permission to enter port where there are reasonable grounds to believe that a vessel was involved in the transport of prohibited cargo or is owned, controlled (directly or indirectly) by a designated individual and/or entity.
  • Libya The transportation of petroleum products whose export is not authorized by the focal point of the Government of Libya is banned. Specific prohibitions include:
    • Permission to load, transport, or discharge petroleum products;
    • Permission to enter into ports;
    • Bunkering services, such as the provision of fuel or other supplies and services;
    • Financial transactions for petroleum deliveries by designated vessels.

What are implementation obligations of States with regards to the UN restrictions on maritime, aviation, and land- transportation?

Regime-specific implementation obligations include:

  • Somalia. Physical inspection of cargo holds, examination of customs documentation and their comparision with invoices and certificates of origin are required at all border crossings and ports.
  • DRC. Inspection of all airplanes incoming from the DRC, including all licenses, inspection reports and certificates that verify the legal operation of the aircraft.
  • Sudan/Darfur. Any aircraft involved in offensive military overflights must be grounded (this measure is at best theoretical as it can be implemented only by the authorities of Sudan, who order these overflights).
  • DPRK. Member States’ naval forces, maritime and airport authorities, border control on their ports, train and road crossings, as well as bunkering service providers at maritime ports, insurance companies, crewing agencies, and fleet owners are obliged to:
    • Inspect the cargo of any vessel suspected of transport-prohibited or embargoed items, and, if confirmed, seize the items, block the vessel under the asset freeze provision, and request the flag State to de-flag and deregister the vessel;
    • Direct any vessel suspected of transporting prohibited or embargoed items, in coordination with the flag State, to a port identified by the sanctions committee for inspection;
    • Deny any vessel designated for sanctions, or suspected of transporting prohibited or embargoed items access to ports, and if already docked at a part, deny bunkering services;
    • Deny vessels permission to enter port where there is reasonable grounds to believe that a vessel is owned, controlled—directly or indirectly—by a designated individual, company, or entity;
    • Deny take off, landing or overflight permission to any aircraft where there is reasonable grounds to believe that it was involved in the transport of prohibited cargo;
    • Conduct inspections of any vessels on the high seas, in coordination with the flag State and the sanctions committee, if suspected of transporting prohibited or embargoed items;
    • Conduct inspection of aircraftand individual passengers (and their luggage) at any transit point, if suspected of transporting prohibited or embargoed items;
    • Issue prohibitions against leasing, chartering of or purchasingDPRK flagged vessels, aircraft, and crewing services;
    • Prevent the purchase of vessels by the DPRK or entities/individuals acting on their behalf;
    • De-register any vessel believed to have been used for the transport of prohibited cargo, and prevent any attempt to re-register or re-certify it, and block the underwriting of insurances or re-insurances.
    • Prevent vessels sailing with a DPRK crew onboard.
  • Libya. Border control agencies and their counterparts in the private sector, which include shipping and customs brokers, shipping and airline agencies, maritime vessel and airplane owners, crewing agencies, as well as operators of ports, related storage facilities, and land-transporters, must deny designated vessels:
    • Rights to load, transport, or discharge petroleum products;
    • Permission to enter into ports;
    • Bunkering services;
    • Financial transactions for petroleum deliveries by designated vessels.