The Protection of the Marine Environment against Alien Invasive Species

Acknowledgements xi
List of Abbreviations xiii
Introduction xv

1 What Are ‘Alien Invasive Species’? 1
1.1 Difficulties in Defining Alien Invasive Species 1
1.2 The IUCN Guidelines and the CBD Guiding Principles 2
1.2.1 The Notion of ‘Alien’ Species 3
1.2.2 The Notion of Alien ‘Invasive’ Species 5
1.3 Manners of Alien Invasive Species Introduction 6
1.3.1 Intentional Introduction of Invasive Species 6
1.3.1.1 Aquaculture 7
1.3.1.2 Other Manners 8
1.3.2 Unintentional Introduction of Invasive Species 9
1.3.2.1 Ballast Water 9
1.3.2.2 Ships’ Hull Fouling 10
1.3.2.3 Unintentional Introduction via Aquaculture 11
1.3.3 Conditions that Facilitate the Establishment of Invasive Species 11
1.3.4 Impact of Climate Change on the Spread of Alien Species 12
1.4 Problems Caused by Alien Invasive Species 13
1.4.1 Environmental Problems 14
1.4.2 Economic Consequences 15
1.4.3 Health Effects 16

2 International Responses to Alien Invasive Species 17
2.1 The United Nations Convention on the Law of the Sea 18
2.1.1 Art. 196 (1) of the UNCLOS 19
2.1.1.1 Are Alien Invasive Species ‘Pollution’? 20
2.1.1.1.1 Ordinary Meaning of the Text 21
2.1.1.1.2 Contextual Interpretation 22
2.1.1.1.3 Object and Purpose 23
2.1.1.1.4 Negotiation History / Travaux Préparatoires 23
2.1.1.2 Conclusion 24
2.1.2 Other Relevant UNCLOS Provisions 25
2.1.3 Jurisdiction in the Law of the Sea 28
2.2 The International Maritime Organization (IMO) 31
2.2.1 Guidelines for the Control and Management of Ships’ Ballast Water to the Transfer of Harmful Aquatic Organisms and Pathogens 32
2.2.2 The International Convention for the Control and Management of Ships’ Ballast Water and Sediments (BWM Convention) 33
2.2.2.1 Application of the Convention 33
2.2.2.2 Management of Ballast Water 34
2.2.2.3 Compliance 37
2.2.2.4 Enforcement 38
2.2.2.5 Shortcomings of the BWM Convention 40
2.2.2.6 Entry into Force 41
2.2.2.7 Conclusion 42
2.3 The 1992 Convention on Biological Diversity (CBD) 43
2.3.1 Art. 8 (h) of the CBD 46
2.3.2 Guiding Principles for the Prevention, Introduction and Mitigation of Impacts of Alien Species That Threaten Ecosystems, Habitats or pecies (CBD Guiding Principles) 47
2.4 The 1971 International Convention on Wetlands of International Importance Especially As Waterfowl Habitat (Ramsar Convention) 48
2.4.1 Resolution VII.14 on Invasive Species and Wetlands (1999) 49
2.4.2 Resolution VIII.18 (2002) 49
2.5 The 1979 Convention on Migratory Species of Wild Animals (Bonn Convention) 50
2.5.1 Art. III (4) (c) of the Bonn Convention 50
2.5.2 Art. V (5) (e) of the Bonn Convention 51
2.6 Regulation on the EU Level 52
2.6.1 Developing Knowledge on Alien Invasive Species 52
2.6.2 The Legal Framework 53
2.6.3 Implementation 56
2.7 Other International Fora and Initiatives Addressing Alien Invasive Species 58
2.7.1 Global Invasive Species Programme (GISP) 58
2.7.2 Food and Agriculture Organization (FAO) 58
2.7.2.1 Code of Conduct for Responsible Fisheries (FAO 1995 Code of Conduct) 59
2.7.2.2 Technical Guidelines on the Precautionary Approach to Capture Fisheries and Species Introduction (FAO 1996 Guidelines) 59
2.7.3 Invasive Species Specialist Group 60
2.7.4 IUCN Guidelines for the Prevention of Biodiversity Loss Caused by Alien Invasive Species 61
2.7.5 International Council for the Exploration of the Sea (ICES) 62

3 Regulatory Options 63
3.1 Negotiation of a New Comprehensive Treaty or Further Development of Existing Regimes? 63
3.2 Strengthening Coordination of Efforts Addressing Alien Invasive Species 66
3.2.1 Creation of a Coordinating Institution 68
3.2.2 Streamlining Policies Concerning Alien Invasive Species 68
3.2.2.1 The Precautionary Principle 69
3.2.2.2 The Ecosystem Approach 70
3.3 Protection of Particularly Vulnerable Areas 72
3.3.1 Zoning of the Sea – A Useful Tool? 72
3.3.2 The Concept of Specially Protected Marine Areas 73
3.3.3 Marine Protected Areas 74
3.3.3.1 Marine Protected Areas at the Global Level 74
3.3.3.1.1 Requirements for the Establishment of Marine Protected Areas under the CBD 75
3.3.3.1.2 Protected Areas Established According to the Ramsar Convention 75
3.3.3.2 Marine Protected Areas at the EU Level 76
3.3.3.2.1 Natura 2000 76
3.3.3.2.2 Marine Strategy Framework Directive 76
3.3.3.3 Protected Areas under Regional Instruments 78
3.3.3.3.1 Protection under the Regional Seas Programme 78
3.3.3.3.2 Protection under Regional Fisheries Management Organizations 78
3.3.4 Measures Regarding Shipping Activities 79
3.3.4.1 Shipping Restrictions in Coastal Waters and the Exclusive Economic Zone 79
3.3.4.2 Special Areas under MARPOL 73/78 80
3.3.4.3 Routing Obligations under SOLAS 80
3.3.4.4 Designation of Particularly Sensitive Sea Areas 80
3.3.4.5 Specially Protected Areas under the Ballast Water Convention 81
3.3.4.5.1 Two-Tier Approach 81
3.3.4.5.2 Protected Areas 82
3.3.5 Measures Relating to Aquaculture Activities 82
3.3.6 Protection of the Polar Environment 83
3.3.6.1 Antarctica 85
3.3.6.1.1 The Antarctic Treaty System 85
3.3.6.1.2 Marine Protected Areas in the Antarctic Region 86
3.3.6.2 Arctic 87
3.3.6.2.1 The Current Legal Regime Governing the Arctic 87
3.3.6.2.2 The Role of the Arctic States 90
3.3.6.2.3 The Particular Role of Indigenous Peoples 90
3.3.6.2.4 The Role of Non-Arctic Actors 91
3.3.6.2.5 Arctic Treaty Option 92
3.3.6.2.6 Multilateral Treaty 92
3.3.6.2.7 Law of the Sea Approach 93
3.4 Development of the Legal Framework Regarding Particular Vectors of Introduction 94
3.4.1 Addressing the Threat of Invasive Species Introduction via Aquaculture Facilities 94
3.4.2 Addressing the Threat of Alien Invasive Species Introduction via Hull Fouling 96
3.4.2.1 Guidelines 98
3.4.2.2 Negotiation of a Convention 99
3.5 Addressing the Impact of Climate Change on Alien Species Invasions 100
3.5.1 Mitigation 100
3.5.2 Adaptation 103

4 Ensuring Compliance 105
4.1 Liability and Responsibility for Environmental Harm Caused by the Introduction of Alien Invasive Species 105
4.1.1 State Responsibility 106
4.1.2 Civil Liability of Private Actors 107
4.2 Improving Compliance with the Alien Invasive Species Regime 110
4.2.1 Improving Port State Control 110
4.2.2 Fostering Capacity Building in Developing Countries 112
4.2.3 Economic Instruments as a Means to Improve Compliance 113
4.3 Economic Instruments 114
4.3.1 Establishment of a Fund 116
4.3.2 Compulsory Insurance 117
4.3.3 Pathway User Fees 117

5 Conclusion 123
5.1 Part 1. What Are ‘Alien Invasive Species’? 123
5.2 Part 2. International Responses to Alien Invasive Species 124
5.2.1 The Framework of the UN Convention on the Law of the Sea 124
5.2.2 The BWM Convention as an Important Step Forward 125
5.2.3 The Convention on Biological Diversity as a Starting Point 125
5.2.4 The Ramsar Convention on Wetlands 125
5.2.5 The Bonn Convention on Migratory Species 126
5.2.6 Regulation on the EU Level 126
5.3 Part 3. Regulatory Options 127
5.3.1 Enforcing and Improving Coordination between Different Actors 127
5.3.2 Particularly Vulnerable Areas – To Some Extent, a Useful Tool 127
5.3.3 Introduction via Aquaculture Facilities 128
5.3.4 Addressing Introductions via Hull Fouling 128
5.3.5 Climate Change as an Important Factor 129
5.4 Part 4. Ensuring Compliance 129
5.4.1 Difficulties in Establishing Liability and State Responsibility 129
5.4.2 Tools for Improving Compliance 129
5.4.3 Economic Instruments as a Tool to Foster Compliance 130
5.5 Outlook 130

Bibliography 133
Index 151