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University of Southampton Faculty of Humanities Department of Archaeology THE 2001 UNESCO CONVENTION ON THE PROTECTION OF THE UNDERWATER CULTURAL HERITAGE: IMPLEMENTATION AND EFFECTIVENESS Robert Finlay MacKintosh Thesis submitted for the degree of Doctor of Philosophy March 2018 UNIVERSITY OF SOUTHAMPTON ABSTRACT FACULTY OF HUMANITIES Archaeology Doctor of Philosophy THE 2001 UNESCO CONVENTION ON THE PROTECTION OF THE UNDERWATER CULTURAL HERITAGE: IMPLEMENTATION AND EFFECTIVENESS by Robert Finlay MacKintosh The 2001 UNESCO Convention on the Protection of the Underwater Cultural Heritage entered into force in 2009. Little is known of how, or even if, it is being implemented. This study examines the implementation of the Convention in its States Parties and investigates the reasons behind the observed levels of implementation. Through an investigation of the presence or absence of certain indicators in the national legislation of States Parties to the Convention, it is apparent that there is a low level of compliance with the 2001 Convention. Further, the Convention has so far had a very limited legal effect. From this examination of legal effectiveness, conclusions about the interpretation of certain ambiguous provisions of the Convention are also possible. In particular, there are a small number of indications that the ambiguities in Articles 9 and 10 of the Convention are being interpreted in favour of the coastal State, suggesting an increasing territorialisation of the EEZ. Interviews of relevant actors were conducted in five case study States. This allowed an examination of the other effects of the Convention and causes of the lack of implementation to be suggested. It is concluded that it is largely factors relating to the States themselves, most notably issues with capacity, that are causing this lack of effect. Finally, suggestions are made which could improve the effectiveness of the Convention and increase the protection of underwater cultural heritage around the world. i Contents Contents ................................................................................................................................. iii Table of Cases .................................................................................................................... ix Table of Domestic Legislation .................................................................................. xi Table of Treaties and other International Instruments ..................... xxxiii Table of International Organisation Documents .................................. xxxvii List of Figures .................................................................................................................... xli List of Tables...................................................................................................................... xli Author’s Declaration ................................................................................................... xliii Acknowledgements ...................................................................................................... xlv List of Abbreviations .................................................................................................. xlvi Introduction .......................................................................................................................... 1 Chapter 1 - An International Problem ............................................................ 3 1.1 The Threat to Underwater Cultural Heritage ............................... 3 1.2 A Legal Vacuum ......................................................................... 6 1.2.1 The Legal Context .......................................................... 6 1.2.2 The UNCLOS Regime ..................................................... 12 1.3 Conclusion .............................................................................. 27 Chapter 2 - An International Solution? ....................................................... 29 2.1 The Formation of the 2001 Convention .................................... 29 2.1.1 Desirability ................................................................... 29 2.1.2 Elaboration, Negotiation and Formulation ..................... 30 2.1.3 Adoption and Authentication ........................................ 32 2.2 The 2001 Convention .............................................................. 32 2.3 Rate of Adoption ..................................................................... 36 2.3.1 The Positions of the Major Maritime States .................... 38 2.3.2 Compatibility with UNCLOS ........................................... 39 2.3.3 State Vessels and the Rights of the Flag State ................ 49 iii 2.3.4 Salvage and Finds ......................................................... 55 2.3.5 Constructive Ambiguities ............................................. 65 2.4 Implementation ....................................................................... 66 2.4.1 Current Knowledge....................................................... 69 2.5 This Study ............................................................................... 72 2.5.1 Implementation and Compliance .................................. 72 2.5.2 Legal Concerns ............................................................ 73 2.5.3 Exploring the Implementation Gap................................ 73 2.6 Conclusion .............................................................................. 74 Chapter 3 – Methodology .................................................................................... 75 3.1.1 Definitions ................................................................... 76 3.2 Levels of Analysis .................................................................... 79 3.3 Data sources ........................................................................... 83 3.3.1 National Legislation ...................................................... 83 3.3.2 Qualitative interviews ................................................... 84 3.4 Structure of the Study .............................................................. 89 3.4.1 Legal Effectiveness ....................................................... 89 3.4.2 Political Effectiveness ................................................... 91 3.4.3 Improving the Effectiveness .......................................... 93 3.5 Concerns ................................................................................ 94 3.5.1 National Legislation ...................................................... 94 3.5.2 Qualitative Interviews ................................................... 97 3.6 Conclusion .............................................................................. 98 Chapter 4 – Legal Effectiveness ................................................................... 101 4.1 Indicators .............................................................................. 101 4.2 National Legislation ............................................................... 104 4.2.1 Underwater Cultural Heritage Specific Laws ................ 108 4.2.2 General Cultural Heritage Laws ................................... 112 4.2.3 Archaeological Regulations ......................................... 123 iv 4.2.4 Maritime Laws ............................................................ 125 4.2.5 Maritime Delimitation ................................................. 127 4.2.6 Other Relevant Laws ................................................... 134 4.2.7 The Level of Implementation ....................................... 135 4.3 Compliance ........................................................................... 142 4.3.1 Reporting System in the EEZ, on the Continental Shelf and in the Area ................................................................. 143 4.3.2 Authorisations in the EEZ, on the Continental Shelf, and in the Area ..................................................................... 154 4.3.3 State Vessels and Aircraft ........................................... 168 4.3.4 Salvage and Finds ....................................................... 173 4.4 Conclusion ............................................................................ 178 Chapter 5 – Legal Implications ...................................................................... 181 5.1 Territorialisation of the EEZ and Continental Shelf .................. 181 5.2 Jurisdiction and the Implementation of the 2001 Convention .. 184 5.3 Developing UNCLOS ............................................................... 186 5.3.1 Scientific Research