The Prevention of Gross Human Rights Violations Under International Human Rights Law Nienke van der Have The Prevention of Gross Human Rights Violations Under International Human Rights Law Nienke van der Have The Prevention of Gross Human Rights Violations Under International Human Rights Law 123 Nienke vanderHave Ministry of the Interior andKingdom Relations ofThe Netherlands TheHague TheNetherlands ISBN978-94-6265-230-9 ISBN978-94-6265-231-6 (eBook) https://doi.org/10.1007/978-94-6265-231-6 LibraryofCongressControlNumber:2017957668 PublishedbyT.M.C.ASSERPRESS,TheHague,TheNetherlandswww.asserpress.nl ProducedanddistributedforT.M.C.ASSERPRESSbySpringer-VerlagBerlinHeidelberg ©T.M.C.ASSERPRESSandtheauthor2018 Nopartofthisworkmaybereproduced,storedinaretrievalsystem,ortransmittedinanyformorbyany means, electronic, mechanical, photocopying, microfilming, recording or otherwise, without written permissionfromthePublisher,withtheexceptionofanymaterialsuppliedspecificallyforthepurposeof beingenteredandexecutedonacomputersystem,forexclusiveusebythepurchaserofthework. Theuse ofgeneraldescriptivenames,registerednames,trademarks,servicemarks,etc. inthis publi- cationdoesnotimply,evenintheabsenceofaspecificstatement,thatsuchnamesareexemptfromthe relevantprotectivelawsandregulationsandthereforefreeforgeneraluse. Printedonacid-freepaper ThisT.M.C.ASSERPRESSimprintispublishedbySpringerNature TheregisteredcompanyisSpringer-VerlagGmbHGermany Theregisteredcompanyaddressis:HeidelbergerPlatz3,14197Berlin,Germany Acknowledgements This book is based on a Ph.D. dissertation, written at the Amsterdam Center for InternationalLawattheUniversityofAmsterdam.Iwouldthereforeliketothankmy two supervisors and co-supervisor. André, you were an awe-inspiring researcher to workwithandagood-humoredbosstoworkfor.Ihavealwaysfeltthatyoutookmy work and opinions seriously. Yvonne, you are the mater familias of the Ph.D. communityatACILandIgreatlyappreciatealltheguidanceyouhaveprovided,both in terms of content and process management. The way you combine your warm personality with a professional attitude is a great example to me. Rosanne, your tirelessanddiligentsupervisionhavebeenofindescribablevaluetomywork.Iwant to thank all of my supervisors for always expressing their faith in my ability to complete this process. During the process of writing this book, I have enjoyed several great opportu- nities to broaden my horizon to other countries, cultures, and schools of thought. Iappreciatetheopportunitytohavetakenpartintwoinspiringsummerprogramsin human rights law at the Åbo Akademi in Turku, Finland and the European University Institute in Florence, Italy. I also greatly enjoyed the Ph.D. program organized by the School of Human Rights Research and am grateful for the wonderfulgroupofyoungresearchersImetthere.Myappreciationgoesouttothe GriffithUniversityandtheAsiaPacificCenterfortheResponsibilitytoProtectfora great research visit to Brisbane, Australia. I am particularly indebted to Alex Bellamy, for sharing his impressive knowledge and enthusiasm. At the University of Amsterdam, I was lucky enough to find myself in the company of many other young researchers. In particular, I want to thank Yedan, Chris, Isabelle, Maria Laura, Vigjilenca, João, Krit, Tim, and Anne for all the laughter and insights we shared. Thank you to all other members of ACIL and ACELG for letting me be a part of such a welcoming and inspiring academic community. Behind every completed Ph.D. process is an army offriends. Selma, Vera, Julie, Famke, Hyke, Luisa, Lotte, Odile, Marit, Jorja, Marco, Bob and Tim thank youfor yourpatience, cheerfulsarcasm, andfor simply always being onmy side. I am indebted to my family members, in particular my mother Anita, father Jan, and brother Lucas. Special mention should also be made of my grandmother Anneke Schreurs. Her strength and positive outlook in life were an important example and I loved her dearly. Rik, throughout this process you have been my closest companion, confidant, and a complete support network in your own right. Thank you for always making me feel understood. v Contents 1 Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1 1.1 Context: Shift Towards Prevention . . . . . . . . . . . . . . . . . . . . . . . 4 1.1.1 Conflict Prevention . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4 1.1.2 Responsibility to Protect . . . . . . . . . . . . . . . . . . . . . . . . . 6 1.1.3 International Human Rights Law . . . . . . . . . . . . . . . . . . . 7 1.2 The Problem: The Content and Scope of Obligations to Prevent . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 10 1.3 Research Question and Design . . . . . . . . . . . . . . . . . . . . . . . . . . 13 1.3.1 Delineation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 13 1.3.2 Temporal Phases . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 16 1.3.3 Territory, Jurisdiction and Beyond . . . . . . . . . . . . . . . . . . 18 1.3.4 Determining the Content and Scope of Obligations to Prevent . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 21 1.4 Structure . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 23 References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 24 2 Obligations to Prevent Within State Territory . . . . . . . . . . . . . . . . . 29 2.1 Introduction to the Prohibitions and Obligations to Prevent. . . . . . 31 2.1.1 Torture . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 31 2.1.2 Arbitrary Deprivation of Life . . . . . . . . . . . . . . . . . . . . . . 35 2.1.3 Genocide. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 37 2.2 Obligations to Prevent Torture, Arbitrary Death and Genocide Within State Territory . . . . . . . . . . . . . . . . . . . . . . 39 2.2.1 Long-Term Prevention. . . . . . . . . . . . . . . . . . . . . . . . . . . 40 2.2.2 Short-Term Prevention. . . . . . . . . . . . . . . . . . . . . . . . . . . 53 2.2.3 Preventing Continuation. . . . . . . . . . . . . . . . . . . . . . . . . . 71 2.2.4 Preventing Recurrence . . . . . . . . . . . . . . . . . . . . . . . . . . . 78 2.3 Conclusion. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 84 References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 87 vii viii Contents 3 Extraterritorial Obligations to Prevent Based on Jurisdiction . . . . . 93 3.1 Extraterritorial Jurisdiction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 95 3.1.1 Instruments . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 97 3.1.2 Jurisdiction as a Threshold and Basis for Extraterritorial Obligations . . . . . . . . . . . . . . . . . . . . . 110 3.2 Corresponding Obligations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 115 3.2.1 The Role of Capacity. . . . . . . . . . . . . . . . . . . . . . . . . . . . 117 3.2.2 Factors Towards Realistic Application . . . . . . . . . . . . . . . 120 3.3 Extraterritorial Obligations to Prevent Torture, Arbitrary Death and Genocide Based on Jurisdiction. . . . . . . . . . . . . . . . . . 124 3.3.1 Long-Term Prevention. . . . . . . . . . . . . . . . . . . . . . . . . . . 125 3.3.2 Short-Term Prevention. . . . . . . . . . . . . . . . . . . . . . . . . . . 134 3.3.3 Preventing Continuation. . . . . . . . . . . . . . . . . . . . . . . . . . 144 3.3.4 Preventing Recurrence . . . . . . . . . . . . . . . . . . . . . . . . . . . 148 3.4 Conclusion. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 153 References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 156 4 Extraterritorial Obligations to Prevent Beyond Jurisdiction. . . . . . . 161 4.1 Extraterritorial Applicability of Treaty Provisions Beyond Jurisdiction. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 163 4.1.1 CAT and IACPPT . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 164 4.1.2 Genocide Convention. . . . . . . . . . . . . . . . . . . . . . . . . . . . 166 4.2 Extraterritorial Obligations to Prevent Torture and Genocide Beyond Jurisdiction. . . . . . . . . . . . . . . . . . . . . . . . 171 4.2.1 Long-Term Prevention. . . . . . . . . . . . . . . . . . . . . . . . . . . 172 4.2.2 Short-Term Prevention. . . . . . . . . . . . . . . . . . . . . . . . . . . 176 4.2.3 Preventing Continuation. . . . . . . . . . . . . . . . . . . . . . . . . . 184 4.2.4 Preventing Recurrence . . . . . . . . . . . . . . . . . . . . . . . . . . . 184 4.3 Shift Towards Third State Obligations . . . . . . . . . . . . . . . . . . . . . 190 4.3.1 Economic, Social and Cultural Rights. . . . . . . . . . . . . . . . 191 4.3.2 Corporations Acting Abroad. . . . . . . . . . . . . . . . . . . . . . . 197 4.3.3 Article 41 of the Articles on State Responsibility . . . . . . . 201 4.3.4 The Responsibility to Protect . . . . . . . . . . . . . . . . . . . . . . 206 4.4 Conclusion. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 211 References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 214 5 Conclusion . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 221 5.1 Overview of Obligations to Prevent Gross Human Rights Violations: Four Temporal Phases and Three Spatial Layers . . . . . 223 5.1.1 Territory . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 223 5.1.2 Extraterritorial Jurisdiction . . . . . . . . . . . . . . . . . . . . . . . . 226 5.1.3 Beyond Territory and Jurisdiction. . . . . . . . . . . . . . . . . . . 229 5.2 Capacity in Territorial and Extraterritorial Settings . . . . . . . . . . . . 232 5.3 Applying Existing Typologies Within the New Framework. . . . . . 235 Contents ix 5.4 Appraisal . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 238 5.4.1 Challenges . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 238 5.4.2 Room for Development . . . . . . . . . . . . . . . . . . . . . . . . . . 244 References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 247 Table of Cases. .... .... .... ..... .... .... .... .... .... ..... .... 251 Index .... .... .... .... .... ..... .... .... .... .... .... ..... .... 257 Abbreviations APB Atrocity Prevention Board ACHPR African Charter on Human and Peoples’ Rights ACHR American Convention on Human Rights AComHPR African Commission on Human and Peoples’ Rights AU African Union Basic Principles BasicPrinciplesontheUseofForceandFirearmsbyLaw Enforcement Officials CAT Convention Against Torture and other Cruel, Inhuman or Degrading Treatment or Punishment CESCR Committee on Economic, Social and Cultural Rights Code of Conduct Code of Conduct for Law Enforcement Officials CPA Coalition of Provisional Authorities CP rights Civil and Political Rights CRC Convention on the Rights of the Child CRPD Convention on the Rights of Persons with Disabilities ECHR EuropeanConventionfortheProtectionofHumanRights and Fundamental Freedoms ECOSOC Economic and Social Council ECPT European Convention for the Prevention of Torture and Inhuman or Degrading Treatment or Punishment ECtHR European Court of Human Rights ESC rights Economic, Social and Cultural Rights GA General Assembly Genocide Convention Convention for the Prevention and Punishment of the Crime of Genocide Hague Regulations Respecting the Laws and Customs of War on Land HRCee/HRC (fn) Human Rights Committee HRC Human Rights Council IAComHR Inter-American Commission on Human Rights IACPPT Inter-AmericanConventiontoPreventandPunishTorture xi xii Abbreviations IACtHR Inter-American Court of Human Rights ICC International Criminal Court ICCPR International Covenant on Civil and Political Rights ICERD InternationalConventionontheElimination ofAllForms of Racial Discrimination ICESCR International Covenant on Economic, Social and Cultural Rights ICISS International Commission on Intervention and State Sovereignty ICJ International Court of Justice ICJ Statute Statute of the International Court of Justice ICPPED InternationalConventionfortheProtectionofAllPersons from Enforced Disappearance ICTR International Criminal Tribunal for Rwanda ICTY InternationalCriminalTribunalfortheformerYugoslavia ILC International Law Commission IO International Organization Maastricht Principles MaastrichtPrinciplesonExtraterritorialObligationsinthe Area of Economic, Social and Cultural Rights MRT Moldovian Republic of Transdniestria NATO North Atlantic Treaty Organization NGO Non-governmental Organization OGPRtoP Office on Genocide Prevention and the Responsibility to Protect OHCHR Office of the High Commissioner for Human Rights OP Optional Protocol OSAPG Office of the Special Adviser on the Prevention of Genocide Rome Statute Rome Statute of the International Criminal Court RtoP Responsibility to Protect SC Security Council TRNC Turkish Republic of Northern Cyprus UDHR Universal Declaration of Human Rights UK United Kingdom UN United Nations UN Charter Charter of the United Nations UNMISS United Nations Mission in the Republic of South Sudan UNPROFOR United Nations Protection Force in Bosnia and Herzegovina US United States VCLT Vienna Convention on the Law of Treaties VRS Army of Republika Srpska WSOD World Summit Outcome Document