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Citation:
William T. Burke, Highly Migratory Species in the New
Law of the Sea, 14 Ocean Dev. & Int'l L. 273
(1984)
Copyright Information
This paper is a revised and updated version of a paper prepared by the author as a
consultant for the Department of Fisheries of FAO. It is reproduced with the permission
of FAO. The views expressed herein are solely those of the author.
273
274 William T Burke
nonsignatory who does not recognize coastal state jurisdiction
over tuna but claims sovereign rights over all other highly
migratory species within its recently proclaimed exclusive eco-
nomic zone.
ample evidence that the priority goes to the coastal state in the
choice of whose interests are to be served when an appropriate
yield is determined. Article 61 authority to set an allowable
catch can be exercised, in light of Article 62(1), at whatever level
the coastal state determines to be in the interest of its harvesting
industry or its other relevant interests. The only legal exception
to this is the Article 64 obligation to "co-operate" which is inter-
preted to mean to negotiate and actively take into account other
state interests and to respond thereto. This exception to coastal
discretion affects only the required decision-making process; the
coastal state might ultimately fix the same allowable catch as if
no such obligation pertained. Nonetheless, the obligation to
cooperate established by Article 64 takes on special emphasis
because of the factual consideration that HMS, especially some
species of tuna, move from one zone to another or to an area
outside any zone and are subject to exploitation by a noncoastal
state. Unless this factor is taken into account by all participants,
coastal and distant-water fishing nations, no state's or partici-
pant's interests can be assured and all might be frustrated.
Article 62(2) declares that the coastal state shall determine its
own capacity to harvest the living resources of the EEZ. Where
this capacity is insufficient to harvest the allowable catch, the
coastal state is obliged to ("shall") "through agreements or other
arrangements and pursuant to the terms, conditions, laws and
regulations referred to in paragraph 4, give other States access to
the surplus of the allowable catch, having particular regard to
the provisions of Articles 69 and 70, especially in relation to the
developing States mentioned therein." This obligation, however,
must be read in light of the later provisions on terms and condi-
tions. Article 62(4) enumerates a variety of terms and conditions
and in doing so further establishes and emphasizes the wide
range of discretion accorded to the coastal state in managing the
fishery and, in particular, in determining who gets access where
there is a surplus. No single state can insist that it has a right of
Migratory Species in New Law of the Sea 279
access to a surplus in light of the fact that the coastal state is
authorized to establish reasonable conditions that may, when
fairly applied, exclude any particular state from the fishery. Fee
payments, for example, particularly if implemented through an
auction system, may quite reasonably result in allowing only one
or a handful of states to have access to a surplus while all others
can be excluded. Other conditions mentioned in Article 62(4)
might have the same effect.
Neither Article 62 nor the provisions on the nationality of
ships appear to place any restriction on the coastal state's au-
thority to acquire harvesting capacity by registration of foreign
fishing vessels or by other means. If capacity in this instance
refers to vessels flying the national flag, the Convention provides
that there is to be a "genuine link" between a vessel and its state
of registration, but this requirement has no teeth under the treaty
and is not likely to be an obstacle to states wishing to create
harvesting capacity. There are, of course, other less formal
means of acquiring that capacity. If capacity simply means
foreign vessels recognized by some criteria to be "local" for
fishing purposes, while otherwise retaining their national charac-
ter, then the coastal state's discretion is also unaffected by the
treaty. In the latter instance, the CLOS is irrelevant-the coastal
state can define a vessel for the purpose of privileged access to
fisheries in any way that state prefers, unless it has in some other
agreement accepted limitations on that power.
5. Allocation of a Surplus
Articles 61(1) and 62(2) together accord the coastal state virtu-
ally unlimited discretion in allocating a surplus to other states.
Who gets what is the coastal state's decision in light of its own
interests, first and foremost. Article 62(3) says that the coastal
state "shall take into account all relevant factors" and lists some
of them. "Taking into account" in this context is not language
that directs the coastal state to give weight to any single factor
mentioned (or not mentioned).
The "relevant factors" the coastal state is to "take into ac-
count" in giving access to a surplus include, inter alia, "the
280 William T Burke
long as these terms and conditions are consistent with the Con-
vention, there would be no legal basis under the treaty for com-
plaint.
A remaining important question, then, concerns the possibil-
ity that DWFN might seek to operate only within a high seas
area, beyond any EEZ, and to do so independently of coastal
state control. What, if any, obligation does the fishing state have
vis-h-vis the coastal state in light of the provision of Article 116
that the right to fish there is subject to coastal rights, duties, and
interests?
Articles 64 and 116-119 might be interpreted in a number of
very different ways having very different consequences con-
cerning the situation in which coastal and fishing states are un-
able to agree on conservation measures affecting high seas
fishing for stocks that are also found within the EEZ.
One interpretation is that failure to agree is not necessarily the
same as the end of cooperation and that so long as the parties
continue to cooperate, neither the coastal state nor the fishing
state can independently promulgate conservatio) measures ap-
plicable on the high seas. This interpretation should be rejected
because it deprives Articles 64 and 116 of any meaning at all.
One practical effect of adhering to this interpretation would be to
leave high seas fishing unregulated, while the coastal state or
states prescribe measures for fishing within 200 miles. If high
seas catches are a significant part of the overall catch in the
region, this approach would frustrate any meaningful manage-
ment program. It emasculates the coastal states' rights under
Articles 56, 61, and 62 and ensures not conservation but that no
conservation measures can be implemented successfully by any
state. In providing for cooperation "with a view to ensuring
conservation and promoting optimum utilization," the treaty
anticipates the doing of finite tasks associated with a particular
fishing season and with conditions as nearly actual as feasible.
Once parties are unable to "cooperate" on that finite season and
for those specific conditions, then further "cooperation" does
not serve the purpose in mind and should not be a prerequisite to
action. Coastal states should not be inhibited from acting when
"cooperation" can no longer serve a timely purpose.
Migratory Species in New Law of the Sea .287
Another possible effect of this interpretation is to encourage
the coastal state to terminate cooperation on some plausible
pretext, because continuation of any form of cooperation might
be considered to disable that state from needed measures of
conservation.
Another interpretation of the relevant articles is that when
good faith negotiations for a season fail to produce agreed mea-
sures, the coastal states concerned are authorized by these pro-
visions to establish an allowable catch for the entire region,
including the high seas; the DWFN are obliged to observe these
provisions under Article 116 and following. Such action must be
based on the precondition that the negotiations were genuine
and pursued in good faith. The implications of this interpretation
are that the DWFN must fish within the allowable catch and
would be required to observe the measures reasonably neces-
sary to ascertain compliance. Refusal to cooperate to observe
the allowable catch for the region could be made subject to
sanctions adopted by coastal states of the region. Any such mea-
sures applicable to the high seas could be made the subject of
compulsory dispute settlement either by coastal states or
DWFN, as discussed below.
To express this interpretation another way and more suc-
cinctly, a DWFN, party to CLOS, fishing for HMS only in the
region outside EEZs would be required to observe an allowable
catch that would include harvesting on the high seas and derived
by coastal state consideration of all fishing including that within
EEZs. The assumption is that good faith negotiations do not
produce agreed timely measures.
The difficulty with this interpretation and any other implying
the exercise of enforcement jurisdiction is that the treaty con-
tains no provision at all for any such authority on the high seas
beyond the zone. While the coastal state could prescribe for
activity beyond the EEZ, its only enforcement power would be
within the EEZ, not beyond.
Another interpretation is that in the absence of agreement on
measures applicable within the EEZ and beyond, the coastal
states are entitled to establish an allowable catch for each EEZ
in the region, as well as determinations of each state's harvesting
288 William T Burke
capacity, so long as they take account of all fishing in the region.
If the collective capacity of coastal states (or the effort au-
thorized) is insufficient to harvest the allowable catch while
operating solely within the EEZ, high seas fishing would be per-
missible up to the allowable catch. If the allowable catch can be
harvested within 200 nautical miles, there could be no high seas
fishing at all.
This interpretation might be supported specifically by refer-
ence to Article 117 of the treaty which provides that "All States
have the duty to take, or to co-operate with other States in
taking, such measures for their nationals as may be necessary
for the conservation of the living resources of the high seas."
Since coastal states are entitled to establish an allowable catch
for tuna within the EEZ and the fishing state's right is subject to
that, it follows that the fishing state is required to conserve tuna
on the high seas in light of the collective allowable catch of all
coastal states in the region. In this context conservation means
observing the allowable catch established by coastal states.
The major problem with this interpretation is that it is prob-
ably impractical or even impossible to forecast where tuna or
any other HMS will be caught. It seems unfair to foreclose any
fishing in the high seas area on the basis of predictions by coastal
states that the allowable catch can be taken within the EEZ. This
appears to be a theoretical calculation entirely-where the fish
are available for harvesting may vary from week to week, or
even more frequently.
As noted, a difficulty with any interpretation of Article 116 is
that the coastal state has no enforcement authority beyond 200
nautical miles. Nonetheless, the treaty contains provisions that
may assist both coastal and distant-water states regarding the
appropriate measures to observe in this area. Either the coastal
or the distant-water state is competent under the treaty to invoke
compulsory dispute settlement procedures concerning fishing in
this region. Even if the coastal state has not been able to enforce
measures it believes DWFN should be observing beyond 200
nautical miles, it would be entitled to use these procedures to
contest the DWFN refusal to observe its regulations. The exclu-
sion of fishing disputes-in Article 297(3)(a)-from compulsory
Migratory Species in New Law of the Sea 289
binding procedures would not include those which relate to high
seas fishing rights, even though they also simultaneously relate
to the sovereign rights of the coastal state with respect to living
resources in the EEZ." While the exclusion of Article 297 is
applicable only to disputes over fishing relating to living re-
sources subject to coastal state sovereign rights within the EEZ,
as a practical matter a dispute settlement proceedings concern-
ing measures applicable to HMS on the high seas would prob-
ably not be limited solely to the measures applicable on the high
seas. Such measures would probably be inseparable from those
applicable in the EEZ, and the settlement tribunal could not
responsibly ignore the components of the management scheme
applicable within 200 nautical miles since they would very likely
be one part of an integral scheme. Accordingly, a coastal state
invoking compulsory procedures may necessarily subject its en-
tire regulatory system to third-party review.
Distant-water states facing coastal demands regarding the
regulations to be observed in high seas fishing probably can avail
themselves of the same compulsory and binding procedures, at
least with respect to the high seas elements of the coastal
scheme. While the Article 297 exception raises a question about
this, it can be interpreted as applying to disputes limited solely to
EEZ fishing. If the exception is more broadly construed to ex-
clude even disputes that center upon fishing on the high seas, but
which "relate" to EEZ resources and fishing, it would remove at
least certain high seas disputes from compulsory procedures.
This seems to be unnecessary in terms of the scope of the inter-
ests affected and the inseparability of the activities involved.
The above interpretations of the treaty seek to make sense out
of articles that apply to a nearly impossible situation that seems
all too likely to occur, namely one in which the states concerned
cannot agree on concerted action even though the lawful alterna-
tive of independent action by the coastal state would reduce
benefits available to all. Unregulated high seas fishing appears to
be inconsistent with a coastal state's rights to set the allowable
catch in its own zone and to ensure that stocks are not en-
dangered by exploitation. On the other hand, coastal state mea-
sures, adopted without the agreement of fishing states, also
290 William T Burke
cannot accomplish these objectives if high seas fishing remains
unregulated. There must be some way out of this dilemma con-
sistent with the treaty.
While it may not be clear how Article 64 and Article 116
should be interpreted to provide for conservation when the par-
ties disagree, it is clear that unregulated foreign fishing cannot
occur without infringing coastal rights as formulated in the
treaty.
Although coastal states under the treaty scheme have wide
discretion regarding fisheries in the EEZ and, in the interpreta-
tions offered here, have some degree of authority over high seas
fishing, it needs emphasis that these states are obliged to act
reasonably in decisions that include high seas fishing. Coastal
states have very wide leeway in managing fisheries occurring
wholly within 200 miles, but they do not have such unreviewable
discretion under the treaty when their management measures
impact upon high seas fishing rights. The latter rights are subject
to coastal rights under the treaty, but the coastal rights must be
exercised reasonably. For example, while the coastal state may
establish the allowable catch for HMS in its EEZ, as noted
above, this determination must reflect the range of the stock and
the fishing effort expended on it.
For over thirty years, since the first extended jurisdictional claims
were made by states neighboring tuna resources, the U.S. has re-
jected the notion that a coastal state may establish sovereign rights
over tuna beyond 12 nautical miles off the coast. U.S. law, policy,
and practice have been consistent on tuna.
The rationale behind the U.S. approach is straight-forward. Tuna
are not a resident resource of the EEZ. They are only found within
any EEZ temporarily and may migrate far out into the ocean waters
beyond. Therefore, the coastal state does not have the ability to
manage and conserve tuna, nor does it have a paramount interest in
their development. Although many coastal states claim jurisdiction
over tuna within 200 nautical miles, none exercise conservation and
management authority through purely domestic measures. Only
through international agreements have states actually managed ef-
fectively the highly migratory tuna species. In fact, the U.S. has led
other nations in developing a regime of tuna management through
international agreement such as the recent Eastern Pacific Ocean
Thna Fishing Agreement, signed by Costa Rica, Panama and the
U.S. Accordingly, customary international law precludes the coastal
state from establishing sovereign rights over tuna. In the U.S. view
this is evidenced by Article 64 of the Law of the Sea Convention,
which requires cooperation between coastal states and distant water
fishing nations to manage tuna, both within and outside the EEZ, on
a regional basis, through an international organization. It is the view
of the U.S. that Article 64 precludes the coastal state from establish-
ing sovereign rights over tuna."
1. Historical Record
There is no doubt that the United States has consistently over
the years opposed the extension of coastal state jurisdiction over
fishing for tuna, just as it formerly opposed such extension for
other species of fish. However, in 1976 the United States
changed its policies regarding the extension of national jurisdic-
tion over living resources. The Fishery Conservation and Man-
agement Act of 1976 extended exclusive U.S. fishery manage-
ment authority over all living resources within 200 nautical miles
excepting only highly migratory species of tuna. Whereas until
this time it had been U.S. policy to frame its management mea-
sures in light of knowledge of the stocks subject to management,
its new policy asserted control over all living resources found
within 200 miles irrespective of whether a stock could be effec-
tively managed by the United States. The sole exception to this
new approach was tuna, little of which is caught within the new
area of U.S. jurisdiction. In other words, under the new U.S.
200-mile legislation the United States asserted exclusive author-
ity over the living resources caught within its area but refrained
from claiming that authority over resources that were, in any
case, not there. At the same time, the United States also refused
to recognize the jurisdiction of those other nations within whose
waters tuna are commonly found and caught. To enforce this
view of proper management the United States provided for em-
306 William T Burke
3. State Practice
The State Department acknowledges that "many coastal states
claim jurisdiction over tuna within 200 nautical miles" but con-
tends that "none exercise conservation and management author-
ity through purely domestic measures." The first part of this
statement is true but the second is both inaccurate and mislead-
ing. The exact number of coastal state claims to jurisdiction over
highly migratory species is not known, but it is probably over 80
states. The United States is one of two states distinguishing
among these species for jurisdictional purposes. State Depart-
ment officials themselves recognize that its position is in the
minority.
The assertion that no coastal state exercises conservation or
management authority through purely domestic measures is not
accurate. The numerous successful enforcement measures
308 William T Burke
against U.S. flag vessels in the tuna fishery of the eastern tropical
Pacific provide ample evidence that coastal states do not refrain
from applying domestic measures. However, the fact that coas-
tal nations assert jurisdiction over tuna does not mean they fail
to pursue international management measures. The record
shows that this occurs.28 The argument here is not between
solely domestic measures and international action, but over the
shares of the available harvest that can be negotiated in the
context of broader agreement on internationally accepted mea-
sures for conservation and utilization. The contention by a U.S.
State Department official that only international measures can
be effective is ironic when it is understood that it is the U.S.
position rejecting coastal state jurisdiction which stands in the
way of international measures in some parts of the world. In the
western Pacific the island nations of the region have refused to
permit the United States to join in the international mechanism
being established for the region so long as the United States
continues to threaten economic sanctions against these nations
for enforcing national laws they (and virtually all the rest of the
world) regard as compatible with international law. In this region
the biggest barrier to international cooperation is the United
States. The private group representing U.S. fishermen in this
region (the American Tunaboat Association) has no reservations
about its own recognition of coastal state jurisdiction and is
currently conducting fishing there on that basis."
It is a fact, further, that the United States has recognized
coastal state jurisdiction when it seemed opportune to do so.
The 1983 Eastern Pacific Ocean Tuna Fishing Agreement ex-
pressly recognizes that jurisdiction and promises that the United
States will not invoke the embargo provisions of U.S. law if the
coastal nations concerned act to seize unlicensed U.S. vessels
within their 200-mile zones."
Notes
1. At this writing the relevant document appears still to be A/Conf.
62/122, 7 Oct. 1982, with a number of corrigenda. Hereinafter refer-
ences to provisions of CLOS will simply cite the relevant article. None
of the corrections are known to affect the provisions discussed in this
article.
2. Article 56.
3. But not the only species of commercial importance. Swordfish,
marlin, sailfish, sharks, and some cetaceans are taken for commercial
purposes and are of varying importance to various nations. Recrea-
tional fishing for some of these species is also significant; bluefin tuna,
marlin, and sailfish are prime targets for sports fishermen.
4. Not all tuna move so extensively. Also, some so-called coastal
Migratory Species in New Law of the Sea 311
species migrate more widely than some tuna. I am indebted to John
Gulland of FAO for calling this to my attention.
5. Article 64.
6. Article 116.
7. Article 56(3) provides that Part VI of the treaty (Continental
Shelf) governs in relation to the coastal state's sovereign rights in the
seabed and subsoil of the EEZ and continental shelf.
8. Article 77.
9. As will be discussed below, the United States official position is
that Article 64 precludes coastal state jurisdiction over tuna. The legal
basis for this position is weak. It is true that the Informal Single Negoti-
ating Text specifically referred to coastal state regulation of fishing for
highly migratory species in the EEZ, while the Revised Single Negoti-
ating Text and later texts did not. However, this change is insignificant
because the RSNT and later texts repeat the ISNT in recognizing coas-
tal state sovereign rights over HMS and in declaring that the provision
on international cooperation (now para. I of Article 64) is in addition to
the other provisions of Part V. The reversal of the order of the para-
graphs, which occurred after the ISNT, does not affect the applicability
of Article 56 or other articles to highly migratory species. For a differ-
ent point of view, see Van Dyke and Heftel, "Tuna Management in the
Pacific: An Analysis of the South Pacific Forum Fisheries Agency,"
University of Hawaii Law Review 3 (1981): 42-43, 48-54; "Note, The
Tuna War: Fishery Jurisdiction in International Law," University of
Illinois Law Review 16 (1981): 755.
10. J. Joseph and J. W Greenough, InternationalManagement of
Tuna, Porpoises,and Billfish (1979), p. 44.
11. Article 86 provides that the provisions of Part VII on the High
Seas apply to all parts of the sea that are not included in the exclusive
economic zone, territorial sea, internal waters, or archipelagic waters
of an archipelagic state. The region beyond EEZs is the high seas.
12. For instance, the concept of maximum sustainable yield (MSY)
is usually considered to cover a range of values and not a single abso-
lute figure as the text suggests. John Gulland has identified biological
objections to MSY:
The principal ones are (i) there are natural fluctuations in the abundance and
productivity of many stocks, unrelated to fishing, (ii) the yield that can be
taken from a stock varies with the pattern of fishing (ages and sizes of fish
caught), and (iii) the possible yield from one stock depends on events on
other related stocks (e.g., of species that feed on the first species), including
312 William T Burke
any exploitation of those stocks. Thus it is not possible to determine a
unique and constant value of the MSY from a stock.
Gulland, "Conditions of Access to Fisheries: Some Resource Con-
siderations," Paper presented to FAO Expert Consultation on Condi-
tions for Access to the Fish Resources of the Exclusive Economic
Zone, Rome, 11-15 April 1983, p. 3.
13. U. N. Doc. No. A/AC. 138/SC. II/L.9, in United Nations, Report
of the Committee on the Peaceful Uses of the Sea-bed and the Ocean
Floor Beyond the Limits of National Jurisdiction 175 (27th Sess.,
Supp. No. 21, 1972).
14. This article appears to derive from Article 1(1) of the 1958 Con-
vention on Conservation of the Living Resources of the High Seas
which reads: "All States have the right for their nationals to engage in
fishing. . . ." The difference is that the rights of coastal states in the
1958 Convention were minimal compared to the "sovereign rights"
established in CLOS. While the language is nearly identical, the effect
is quite different in light of the change in coastal state rights.
15. All fishing disputes arising from interpretation or application of
CLOS are subject to compulsory dispute settlement except those relat-
ing to the coastal state's sovereign rights with respect to the living
resources of the EEZ or the exercise of these rights. The interpretation
offered here is that the exception applies to disputes in which only
sovereign rights are at stake. It does not apply where sovereign rights
and high seas rights are both in dispute.
16. See, generally, Joseph and Greenough, supra note 10, at 13-21,
180-197.
17. Id., 136-179.
18. Needs for basic research concerning the tuna-porpoise relation-
ship are discussed in id., at 171 ff.
19. Proper measures would include gear modifications and change in
fishing practices, both of which require potentially costly research and
development.
20. Fish aggregation devices are platforms of bamboo, logs, or what-
ever, that are anchored in the water to attract tuna so that they can be
fished more effectively. This technique is now successfully used in
many parts of the southern and western Pacific and is considered to
raise a variety of domestic and international legal problems. For more
extended discussion, see Robb, "Legal Aspects of Fishing Aggregation
Devices (FADS)," Working Paper 7c, Workshop on the Harmonisation
and Coordination of Fisheries Regimes and Access Agreements, South
Pacific Forum Fisheries Agency, Suva, Fiji, 22 Feb.-5 March 1982. See
Migratory Species in New Law of the Sea 313
also "Report of Proceedings of Workshop on Harmonisation and Coor-
dination of Fisheries Regimes and Access Agreements," South Pacific
Forum Fisheries Agency, attachment VIII (April, 1982) (distribution
restricted; copy in files of author.)
21. Article 60 refers only to "artificial islands, installations and
structures," omitting the term "devices" which had been included in
the 1958 Continental Shelf Convention. This raises a question about
coastal state authority over "devices," and about the difference, if any,
between a "device" and a "structure." In the case of fish aggregation
devices there is no problem because the object is used for fishing
purposes and would therefore unquestionably be subject to coastal
state authority. For discussion, see Treves, "Military Installations,
Structures and Devices on the Seabed," American Journalof Interna-
tional Law 74 (1980): 808.
22. See sources cited note 20 supra.
23. The Japanese law on provisional measures relating to the fishing
zone provides for jurisdiction over fisheries without qualification
within the fishing zone. Article 6 thereof forbids foreigners to catch fish
in the zone without permission except for highly migratory species
prescribed by Cabinet order. Law No. 31, 2 May 1977. Article 3 of the
Enforcement Order of 17 June 1977 identifies some highly migratory
species for the purpose of Article 6. It is apparent, therefore, that
Japan regards these species as a whole as subject to its jurisdiction in
its zone and exercises that jurisdiction to allow foreign fishing for cer-
tain species without the necessity of permission.
24. Weekly Compilation of PresidentialDocuments 19 (1983): 384.
25. "The Question of Sovereign Rights Relative to 'Ibna," Ocean
Science News 25, No. 23 (June 13, 1983): 2.
26. Fisheries of the United States, 1982 (NMFS, Current Fishery
Statistics No. 8300) (April, 1983) p. 10.
27. Id. at 28.
28. A principal illustration is the Nauru Agreement between the
Federated States of Micronesia, the Republic of Kiribati, the Marshall
Islands, the Republic of Nauru, the Republic of Palau, Papua New
Guinea, and Solomon Islands. For text of the Nauru Agreement Con-
cerning Cooperation in the Management of Fisheries of Common Inter-
est (1982), see Report of Hearing on S. 1564 (The American Tbna Act)
before the National Ocean Policy Study, of the Committee on Com-
merce, Science and Transportation, 97th Cong., Ist Sess., Dec. 8,
1981, p. 23.
29. An earlier agreement recorded that the ATA, the Micronesian
314 William T Burke