U.S. GOVERNMENT PRINTING OFFICE

WASHINGTON : 

1 

19–118 

" ! SENATE 

112TH CONGRESS

1st Session 

TREATY DOC. 

2011

112–4 

AGREEMENT ON PORT STATE MEASURES 

TO PREVENT, DETER, AND ELIMINATE ILLEGAL, 

UNREPORTED, AND UNREGULATED FISHING 

MESSAGE 

FROM

THE PRESIDENT OF THE UNITED STATES 

TRANSMITTING

AGREEMENT ON PORT STATE MEASURES TO PREVENT, DETER, 

AND ELIMINATE ILLEGAL, UNREPORTED, AND UNREGULATED 

FISHING, DONE AT THE FOOD AND AGRICULTURE ORGANIZATION OF THE UNITED NATIONS, IN ROME, ITALY, ON NOVEMBER 22, 2009 (THE ‘‘AGREEMENT’’) 

NOVEMBER 14, 2011.—Treaty was read the first time, and together with 

the accompanying papers, referred to the Committee on Foreign Relations and ordered to be printed for the use of the Senate 


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LETTER OF TRANSMITTAL 

THE WHITE HOUSE, 

Washington, November 14, 2011. 

To the Senate of the United States: 

I transmit herewith, for the advice and consent of the Senate to 

its ratification, the Agreement on Port State Measures to Prevent, 

Deter, and Eliminate Illegal, Unreported, and Unregulated Fishing, 

done at the Food and Agriculture Organization of the United Nations, in Rome, Italy, on November 22, 2009 (the ‘‘Agreement’’). I 

also transmit, for the information of the Senate, the report of the 

Department of State with respect to the Agreement. 

The Agreement established, for the first time at the global level, 

legally binding minimum standards for port states to control port 

access by foreign fishing vessels, as well as by foreign transport 

and supply ships that support fishing vessels. The Agreement also 

encourages Parties to apply similar measures to their own vessels. 

Involved Federal agencies and stakeholders strongly support the 

Agreement. The Agreement establishes practical provisions to prevent fish from illegal, unreported, and unregulated fisheries from 

entering the stream of commerce. If widely ratified and properly 

implemented, the Agreement will thereby serve as a valuable tool 

in combating illegal, unreported, and unregulated fishing worldwide. 

The legislation necessary to implement the Agreement will be 

submitted separately to the Congress. I recommend that the Senate 

give early and favorable consideration to this Agreement and give 

its advice and consent to ratification. 

BARACK OBAMA. 


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LETTER OF SUBMITTAL 

DEPARTMENT OF STATE, 

Washington, March 18, 2011. 

The PRESIDENT, The White House. 

THE PRESIDENT: I have the honor to submit to you, with a view 

to its transmission to the Senate for advice and consent to ratification, the Agreement on Port State Measures to Prevent, Deter and 

Eliminate Illegal, Unreported and Unregulated Fishing, done in 

Rome, Italy, on November 22, 2009 (the ‘‘Agreement’’). 

The Agreement establishes the first legally binding global minimum standards for port States to control port access by foreign 

fishing vessels, as well as transport and supply ships that support 

fishing vessels. The Agreement also encourages Parties to apply 

similar measures to their own vessels. 

States, on their own and through regional mechanisms, have in 

recent years begun to limit and regulate access to their ports as a 

means to control illegal, unreported, and unregulated (IUU) fishing. The international community agreed to initiate a process within the United Nations Food and Agriculture Organization (FAO) to 

develop a legally binding instrument on port State measures. These 

negotiations concluded in August 2009. The Agreement was adopted by the FAO Conference and opened for signature on November 

22, 2009; the United States was one of the first States to sign. 

The Agreement requires Parties to designate ports to which foreign vessels may request entry and to require such vessels to provide advance notice for such requests. Parties are generally required to deny port entry to vessels known to have engaged in or 

supported IUU fishing, as well as to prohibit vessels in their ports 

from landing, transshipping, packaging, or processing fish where 

there is evidence the vessels engaged in or supported IUU fishing. 

Additionally, the Agreement includes commitments to assist developing States Parties to fulfill their obligations under it. 

The Agreement establishes practical provisions to prevent IUUcaught fish from entering the stream of commerce. If widely ratified and properly implemented, the Agreement will thereby serve 

as a valuable tool in combating IUU fishing worldwide. 

The Agreement is not self-executing. The recommended legislation necessary to implement the Agreement will be submitted separately to the Congress. 


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An overview of the Agreement, including a detailed article by article analysis, is enclosed with this report. The U.S. Department of 

State, the U.S. Department of Commerce, the U.S. Coast Guard, 

environmental NGOs, and the U.S. fishing industry strongly support the Agreement. The U.S. Department of Commerce and the 

U.S. Coast Guard join the Department of State in recommending 

that the proposed Agreement be transmitted to the Senate as soon 

as possible for its advice and consent to ratification. 

Respectfully submitted, 

HILLARY RODHAM CLINTON. 

Enclosure: As stated. 


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AGREEMENT ON PORT STATE MEASURES TO PREVENT, DETER AND

ELIMINATE ILLEGAL, UNREPORTED AND UNREGULATED FISHING

OVERVIEW

The Agreement on Port State Measures to Prevent, Deter and 

Eliminate Illegal, Unreported and Unregulated Fishing, done in 

Rome, Italy, November 22, 2009 (the ‘‘Agreement’’), establishes the 

first legally binding global minimum standards for port States to 

control port access by foreign fishing vessels, as well as foreign 

transport and supply ships that support such fishing vessels. The 

Agreement also encourages Parties to apply similar measures to 

their own vessels. 

Article 1, Use of terms, contains several definitions. Among the 

most important of those is the definition of ‘‘illegal, unreported, and 

unregulated fishing’’ (IUU), which the Agreement notes refers to 

the activities outlined in paragraph 3 of the United Nations Food 

and Agriculture Organization’s (FAO) 2001 International Plan of 

Action to Prevent, Deter, and Eliminate Illegal, Unreported, and 

Unregulated Fishing (IPOA). The IPOA provides a reasonable and 

widely accepted description of activities that constitute IUU fishing. The specific reference in Article 1 to the 2001 IPOA would not 

incorporate any future changes to the description of IUU fishing in 

the IPOA. 

The definition of IUU fishing incorporated by reference into the 

Agreement applies to the following activities: Illegal fishing is fishing conducted by vessels in waters under the jurisdiction of a State, 

without permission of that State or in contravention of the State’s 

laws and regulations; by vessels of a State member to a Regional 

Fisheries Management Organization (RFMO) in contravention of 

that RFMO’s conservation and management measures; or in contravention of other relevant international laws. Unreported fishing 

is fishing that has not been reported, or that has been misreported 

to the relevant national authority or to a relevant RFMO. Unregulated fishing is fishing in an area managed by an RFMO, when 

done by vessels that are not flagged to one of the Members of that 

RFMO and when done in a manner that is inconsistent with or in 

contravention of the RFMO’s management measures. Unregulated 

fishing also includes fishing in an area or on stocks for which there 

are no conservation and management measures, where that fishing 

is done in a manner inconsistent with States’ responsibilities to 

conserve living marine resources under international law. There 

are certain clarifications made to the application of the IUU definition in Article 3, Scope, that are described further below. 

Also of note in this Article are the broad definitions of ‘‘fish’’ (all 

species of living marine resources), and ‘‘fishing related activities’’ 

(including not only fishing and landing, but also ‘‘packaging, processing, transshipping . . .’’ and ‘‘provisioning of personnel, fuel, 

gear and other supplies at sea’’). The latter definition furthers the 

core purposes of the Agreement of combating IUU fishing by addressing not just the fishing vessels, but also supply and transport 

vessels that support IUU fishing. 

Article 2, Objective, notes the straightforward objective of the 

Agreement is to ‘‘prevent, deter, and eliminate IUU fishing through 

the implementation of effective port State measures . . .’’ 


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Article 3, Application, requires a Party to apply the Agreement 

to all vessels not entitled to fly that Party’s flag that are seeking 

to use its ports. It carves out exceptions for vessels from a neighboring State engaged in artisanal fishing for subsistence and, in 

certain circumstances, for container vessels. A Party is not required 

to apply the Agreement to its own flag vessels. A Party may choose 

not to apply the Agreement to vessels chartered by its nationals exclusively for fishing in areas under that Party’s national jurisdiction. Article 3, paragraph 3, provides that the Agreement applies 

to ‘‘fishing conducted in marine areas that is illegal, unreported or 

unregulated . . .’’. Thus, the Agreement would not apply to nonmarine areas such as the Great Lakes or other internal waters. 

Just as importantly, the use of the disjunctive ‘‘or’’ with respect to 

IUU fishing in paragraph 3, in conjunction with the reference in 

the definition of IUU fishing to ‘‘activities set out’’ in the IPOA 

(rather than simply adopting the IPOA definition), clarifies that a 

fishing activity need only qualify as one of the categories (illegal, 

unreported, or unregulated) to be IUU fishing. Finally, Article 3 

also requires Parties to encourage other entities to apply measures 

consistent with the Agreement and provides that those that may 

not otherwise become Parties, such as Taiwan, may express a commitment to act consistently with the Agreement. 

Article 4, Relationship with international law and other international instruments, provides that the Agreement will not prejudice ‘‘rights, jurisdiction, and duties of Parties under international 

law.’’ This Article specifies that the Agreement does not affect a 

Party’s jurisdiction over its internal, archipelagic, or territorial 

waters, or its rights over its Exclusive Economic Zones and continental shelf. It also specifies that by joining the Agreement, Parties 

would not bind themselves to the measures of RFMOs to which 

they are not members. 

Article 5, Integration and coordination at the national level, requires a Party to integrate fisheries-related port measures within 

its larger system of port controls, to integrate its port measures 

with other efforts to combat IUU fishing, and to coordinate activities amongst its national agencies in implementing the Agreement. 

Article 6, Cooperation and exchange of information, provides 

basic obligations for a Party to cooperate and exchange information 

with relevant States, the FAO, and other international organizations and regional fisheries management organizations. In addition 

to the information exchange, each Party is obligated ‘‘to the greatest extent possible’’ to take measures in support of conservation 

and management measures adopted by other States or relevant 

international organizations. This obligation reflects the fact that 

the minimum standards in port measures established by the Agreement (and to be applied by the Parties for vessels not entitled to 

fly its flag) are intended to combat fishing that is IUU because it 

is inconsistent with the flag State or coastal State’s laws, or inconsistent with the measures of a relevant RFMO. Finally, Parties are 

obligated to cooperate at sub-regional, regional, and global levels to 

promote the effective implementation of the Agreement. 

Article 7, Designation of ports, obligates Parties to designate and 

publicize ports to which vessels can request entry under the Agreement, and, to the greatest extent possible, to ensure that those 


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ports have sufficient capacity to conduct inspections pursuant to 

the Agreement. 

Article 8, Advance request for port entry, obligates Parties to require from a vessel not entitled to fly its flag, at a minimum, the 

information listed in Annex A sufficiently in advance to allow adequate time to examine that information, before granting entry to 

that vessel into its port. 

Article 9, Port entry, authorization or denial, requires that when 

a Party has received the relevant information to be provided under 

Article 8, and such other information as it may require, it will 

make a decision whether to authorize entry, and communicate that 

decision to the vessel. When a Party has ‘‘sufficient proof’ that a 

vessel has engaged in IUU fishing or fishing-related activities, the 

Party is required to deny that vessel entry into its ports. ‘‘Sufficient 

proof’’ in particular includes a vessel being on the IUU list of a relevant fisheries management organization, adopted in accordance 

with the procedures of that organization and in accordance with 

international law. If entry is denied, the Party denying entry is required to communicate that decision to the vessel’s flag State, and, 

if relevant, coastal States, RFMOs, and other international organizations. A Party may allow such vessel entry into its port for purposes of inspecting the vessel and taking other appropriate action 

in conformity with international law that is at least as effective as 

denial of port entry in preventing, deterring, and eliminating IUU 

fishing or fishing-related activities. 

Article 10, Force majeure or distress, provides that the Agreement does not affect the entry of vessels into port for reasons of 

force majeure or distress, in accordance with international law. 

Article 11, Use of ports, outlines circumstances where a Party is 

required to deny a vessel that is already in its port the use of the 

port for landing, transshipping, packaging, processing, and other 

port services (e.g., refueling, drydocking, etc.). Such circumstances 

include: lack of authorization for the vessel’s activities from its flag 

State, or from a relevant coastal State; receipt of clear evidence 

that the fish on the vessel was taken in contravention of applicable 

coastal State requirements; failure by the flag State to confirm that 

the vessel took fish onboard in accordance with relevant RFMO 

measures; or the existence of reasonable grounds to believe the vessel was engaged in IUU fishing or fishing-related activities. This 

Article also confirms that Parties will not deny such vessels the use 

of port services essential to the safety or health of the crew, the 

safety of the vessel, or, where appropriate, the scrapping of the vessel. 

Article 12, Levels and priorities for inspection, provides that each 

Party shall inspect an unspecified number of vessels in its ports 

necessary to ‘‘achieve the objective of this Agreement.’’ This allows 

a Party to tailor the level and frequency of inspections to the circumstances in its particular port(s) or to particular fisheries. The 

Article also provides that Parties shall seek to agree on minimum 

levels of inspection, as appropriate, through RFMOs, the FAO, or 

otherwise. The process of seeking such agreement has already 

begun at RFMOs in the year since the text of the Agreement was 

finalized. Finally, the Article outlines priorities for determining 

which vessels should be inspected, giving priority to vessels denied 


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entry or use of port, vessels that other relevant Parties or entities 

request be inspected, and vessels for which clear grounds exist for 

suspecting a vessel has engaged in IUU fishing or fishing-related 

activities. 

Article 13, Conduct of inspections, specifies minimum requirements for carrying out inspections. These include that inspectors be 

properly qualified and examine all relevant areas of the vessel, and 

that Parties require from the vessel master all necessary assistance 

and information. Parties must make all positive efforts to avoid 

undue delay to the vessel, and to facilitate communications with 

the master of the vessel, ensure inspections are fair, transparent, 

and nondiscriminatory, and not interfere with the ability of the 

master to communicate with the vessel’s flag State. Minimum functions of the inspectors are included in Annex B of the Agreement, 

which provides, inter alia, that the inspector should verify the vessel’s identification documentation, flag and markings, and authorizations for conducting fishing or fishing-related activities. Inspections must also encompass review of other documentation (such as 

VMS data), fishing gear and any fish on board, and an evaluation 

of whether there is clear evidence for believing the vessel was conducting or supporting IUU fishing or fishing-related activities. 

Article 14, Results of inspections, requires Parties, at a minimum, 

to include the information in Annex C in each inspection report. 

Article 15, Transmittal of inspection results, specifies to which 

entities inspection reports are to be sent, including the vessel’s flag 

State, and, as appropriate, other Parties, States, RFMOs, and the 

FAO or other international organizations. 

Article 16, Electronic exchange of information, provides that each 

Party, where possible, must establish an electronic communication 

mechanism to facilitate implementation of the Agreement. Annex D 

outlines specific elements of such an electronic communication 

mechanism. This Article also encourages Parties to establish a centralized mechanism (preferably at the FAO) for such purposes. 

Article 17, Training of inspectors, requires inspectors to be properly trained, taking into account guidelines for such training set 

out in Annex E. 

Article 18, Port State actions following inspection, provides that 

if, following an inspection, there are ‘‘clear grounds’’ for believing 

a vessel engaged in IUU fishing or fishing-related activities, then 

the inspecting Party shall notify the flag State and other appropriate entities, and deny use of the port and port services to the 

vessel, other than those services essential for the safety or health 

of the crew or the safety of the vessel. This Article also confirms 

that nothing in the Agreement prevents a Party from taking other 

measures in conformity with international law. 

Article 19, Information on recourse in the port State, requires 

that information be provided to an affected vessel upon request 

with regard to potential recourse under a Party’s national laws, as 

well as information on whether, in the event of loss or damage 

caused by unlawful action by the port State, there is any right to 

seek compensation under the Party’s national laws. The Article is 

only a requirement to provide information on existing remedies. It 

does not create a right of action for an affected vessel, nor does it 

require any Party to create a right of action. 


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Article 20, Role of flag States, specifies duties of a Party with regard to vessels entitled to fly its flag. The duties include: requiring 

such vessels to cooperate with port States; requesting port States 

to investigate such a vessel if the Party has clear grounds to believe the vessel was involved in IUU fishing; encouraging such vessels to utilize the ports of States that are acting in accordance with 

the Agreement; conducting investigations following up on inspections conducted by port States that indicate clear grounds to believe that such a vessel was involved in IUU fishing; reporting on 

actions taken in its role as flag State against such vessels determined to have engaged in IUU fishing; and ensuring that measures 

applied to such vessels are at least as effective as measures applied 

to foreign flag vessels pursuant to the Agreement. 

Article 21, Requirements of developing States, requires Parties to 

provide assistance to developing States Parties to enhance their 

ability to implement effective port State measures, and to ensure 

that a disproportionate burden is not imposed upon them. While no 

particular form of assistance is mandated, examples of such assistance include providing technical and financial assistance through 

bilateral and multilateral channels. Parties are required to cooperate to establish funding mechanisms, and to create an ad hoc working group to report and make recommendations to the Parties on 

the development of assistance opportunities. 

Article 22, Peaceful settlement of disputes, provides that any 

Party may seek consultations with any other Party or Parties on 

any dispute with regard to the interpretation or application of the 

Agreement, and, where the dispute is not resolved through such 

consultations, requires such Parties to consult with a view to settling it through the peaceful means of their choice. The Article also 

provides that the parties to a dispute that is not resolved through 

such consultations may refer the dispute to the International Court 

of Justice, the International Tribunal for the Law of the Sea, or arbitration, but only with the consent of all of the Parties to that dispute. 

Article 23, Non-Parties to this Agreement, specifies that Parties 

must encourage non-Parties to join or to act consistent with the 

Agreement, and must take fair, non-discriminatory, and transparent measures to deter the activities of non-Parties that undermine the Agreement. 

Article 24, Monitoring, review and assessment, requires Parties, 

through the framework of the FAO, to ensure regular review and 

monitoring of the implementation of the Agreement, and specifically to convene a meeting of the Parties for this purpose four years 

after the entry into force. 

Article 25, Signature, specifies that the Agreement will be open 

for signature by all States and regional economic integration organizations (REIOs) from November 22, 2009 to November 21, 2010. 

During this period, the Agreement was signed by 22 States and one 

REIO, the European Union. 

Article 26, Ratification, acceptance or approval, states that the 

Agreement is subject to ratification, acceptance, or approval by the 

signatories, and that such instruments are to be deposited with the 

Depositary. 


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Article 27, Accession, provides that the Agreement will be open 

to accession by all States or REIOs, reflecting the objective of global coverage for the Agreement, and that all instruments of accession are to be deposited with the Depositary. 

Article 28, Participation by Regional Economic Integration Organizations, provides for the participation of either an REIO and/or 

its member States, and is drawn from the 1995 UN Fish Stocks 

Agreement. It specifies that at the time of signature or accession, 

an REIO must either declare that it has competence for its member 

States for all matters governed by the Agreement, or, if there is 

mixed competence between the REIO and its member States. When 

the European Union (currently the only REIO) signed the Agreement, it declared sole competence for its member States. 

Article 29, Entry into force, provides for the entry into force thirty days after the twenty-fifth deposit of an instrument of ratification, acceptance, approval, or accession. As of February 1, 2011, no 

such instruments have been deposited. 

Article 30, Reservations or exceptions, precludes making ‘‘reservations or exceptions.’’ The article is drawn from Article 42 of the 

1996 UN Fish Stocks Agreement, which reflects standard practice 

(and terminology) in fisheries-related agreements. 

Article 31, Declarations and statements, confirms that Article 30 

does not preclude States from making declarations or statements 

at the time of their signature, ratification, acceptance, or approval 

for the purpose of harmonizing their laws and regulations with the 

Agreement, so long as those declarations or statements do not purport to exclude or modify the legal effect of the provisions of the 

Agreement. 

Article 32, Provisional application, provides for provisional application of the Agreement by those States that so notify the Depositary. 

Article 33, Amendments, provides that amendments will be 

adopted and approved only by the Parties to the Agreement, not by 

the FAO or its bodies. Parties may propose amendments two years 

after the Agreement enters into force. Amendments may be adopted only by consensus and will enter into force for those Parties that 

have ratified, accepted, or approved them 90 days after the deposit 

of instruments of ratification, acceptance, or approval from twothirds of the Parties based on the number of Parties on the date 

of the amendment’s adoption, and thereafter for other Parties 90 

days following deposit of their instrument of ratification, acceptance, or approval. 

Article 34, Annexes, provides that the annexes are an integral 

part of the Agreement. It also specifies that amendments to the annexes may be adopted by two-thirds of the Parties present at a 

meeting where the proposed annex amendment is considered. An 

annex amendment enters into force for Parties that accept the 

annex amendment on the date that the depositary receives notice 

of acceptance from one-third of the Parties based on the number of 

Parties on the date of adoption of the amendment, and thereafter 

for other Parties on the date of receipt by the Depositary of their 

acceptance. The expedited procedure for amending annexes reflects 

the technical and administrative nature of the annexes, which include specification of the information to be provided when a vessel 


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is requesting port entry, an outline of port inspection procedures, 

a form for reporting the results of a port inspection, description of 

information systems, and guidelines for training port inspectors. 

Article 35, Withdrawal, notes that a Party may withdraw from 

the Agreement anytime after the Agreement has been in force for 

that Party for one year. Withdrawal becomes effective one year 

after receipt by the Depositary of the notice of withdrawal. 

Article 36, The Depositary, designates the Director-General of 

FAO as Depositary for the Agreement and sets forth the functions 

of the Depositary. 

Article 37, Authentic texts, establishes the Arabic, Chinese, 

English, French, Russian, and Spanish texts as equally authentic. 


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