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:

 

Select a country:

 

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.

See UN website:

https://www.un.org/securitycouncil/sanctions/1718#current%20sanction%20measures


Select a country:


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.

See UN website:

https://www.un.org/securitycouncil/sanctions/1718#current%20sanction%20measures


Member states implementation obligations: Somalia

  • 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:

A voluntary, multinational naval partnership operates in the region and 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.

Banned charcoal exports from Somalia generate millions of dollars each year for al-Qaida-linked al-Shabab. It fuels insecurity by generating funds for extremists and accelerates environmental degradation as trees are cut down in areas vulnerable to drought, flood and famine.

The charcoal is made from acacia trees and is cherished by the Gulf region countries for the sweet aroma it infuses into meat cooked on the grill and in traditional waterpipes.

See article at:

https://www.maritime-executive.com/article/charcoal-smuggling-finances-somali-terrorist-groups

The proliferation of firearms in Somalia, particularly to clan militias and al-Qaida-linked al-Shabab, threatens human security in the war-ravaged country. This, combined with the lack of control over arms and ammunition of government forces, also undermines any initiatives to control weapons. The abundance of illicit firearms enables high levels of violence to persist and drives armed conflict between clans, competition over natural resources, and cross-border incursions by Al Shabab and affiliates.

See article at:

https://www.nbcnews.com/news/world/australia-navy-finds-2-000-weapons-somalia-bound-fishing-dhow-n533196

See UN Website:

https://www.un.org/securitycouncil/sanctions/751


Member states’ implementation obligations: Democratic Republic of the Congo

  • 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:

Prevent the direct or indirect supply, sale or transfer, from your territories, jurisdiction or by your nationals, or using their flag vessels or aircraft, of arms and any related materiel

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.

See UN website:

https://www.un.org/securitycouncil/sanctions/1533#current%20measures


Member states’ implementation obligations: Libya

  • 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:
The transportation of petroleum products whose export is not authorized by the focal point of the Government of Libya is banned. Specific prohibitions include:
  • The Flag State of a designated vessel must prevent the vessel from loading, transporting, or discharging petroleum (including crude oil and refined petroleum products) emanating from Libya if it does not have permission of the Government of Libya focal point;
  • Deny permission for designated vessels to enter into ports;
  • Deny bunkering services for designated vessels, such as the provision of fuel or other supplies and services;
  • Financial transactions for petroleum deliveries by designated vessels.

See UN website:

https://www.un.org/securitycouncil/sanctions/1970#current%20sanctions%20measures


Member states’ implementation obligations: Sudan/Darfur

  • What is covered under the sanctions restrictions on aviation transportation?
  • Summary of restrictions framed in the context of specific objectives of a sanctions regime:

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.

See UN website:

https://www.un.org/securitycouncil/sanctions/1591#measures