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ASSESSING THE FEASIBILITY OF A BUSINESS AND HUMAN RIGHTS TREATY

Published online by Cambridge University Press:  23 November 2016

Abstract

In light of a recent shift in dialogue to hard law standards in the domain of business and human rights, this article provides an in-depth examination of the viability of a business and human rights treaty. It seeks to advance a valid theoretical model for a treaty that directly addresses non-State actors, explores the allocation of responsibility among multiple duty-bearers, and contemplates the scope, content, and enforcement of the potential obligations. By supplementing this analysis with analogies drawn from existing treaty regimes, the article aims to contribute positively to the normative development of international law in the field.

Type
Articles
Copyright
Copyright © British Institute of International and Comparative Law 2016 

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71 ibid arts 4, 5 and 6.

72 ibid art 7.

73 Ilaşcu and Others v Moldova and Russia, App No 48787/99 (ECtHR 2004) [319].

74 I Tófalo, ‘Overt and Hidden Accomplices: Transnational Corporations’ Range of Complicity for Human Rights Violations’ in De Schutter, Transnational Corporations (n 2) 336–9; Arts 16–18, which deal with relations between two States have also been used by analogy vis-à-vis States and private entities: Ratner, S, ‘Corporations and Human Rights: A Theory of Legal Responsibility’ (2001) 111 YaleLJ 500–6Google Scholar.

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84 In Tadić, the acts of an armed group were attributable where it ‘has a role in organizing, coordinating, or planning the military actions’, rather than controlling particular operations: Prosecutor v Tadić, (Appeals Chamber) IT-94-1-A (15 July 1999) 1541 [117], [137]; cf Bosnian Genocide (Bosnia and Herzegovina v Serbia and Montenegro) ICJ Reports [2007] [392] (hereafter, Bosnian Genocide).

85 ILC, ‘Report on the Work of Its Fifty-Third Session’ (n 76) 48.

86 Ratner (n 74) 500.

87 Cronogue (n 69) 365–88.

88 Ratner (n 74) 493–4.

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99 This situation is captured under ASRIWA (n 70) art 47.

100 Nollkaemper and Jacobs (n 62) 396–7; Vandenhole, ‘Shared Responsibility’ (n 59) 60–1; J Fry, ‘Attribution of Responsibility’ in Nollkaemper and Plakokefalos (n 63) 99.

101 Nolte and Aust (n 96) 7–8; Crawford, ‘The ILC's Articles’ (n 68) 879.

102 Bosnian Genocide (n 84); Jackson (n 45) 202–3.

103 Convention on the Prevention and Punishment of the Crime of Genocide (9 December 1948) 78 UNTS 277, art 1.

104 Bosnian Genocide (n 84) [167]; The approach was extended to art 3 of the Genocide Convention, which lists other punishable acts such as conspiracy, direct and public incitement, and attempt to commit genocide: Jackson (n 45) 203.

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109 Jackson (n 45) 210.

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112 ILC, ‘Report on the Work of its Fifty-Third Session’ (n 76) 66 para 5.

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114 ILC, ‘Report on the Work of its Fifty-Third Session’ (n 76) 67 para 10.

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117 For the UK, assistance would include ‘planning with others … training others … agreeing Rules of Engagement [and] operational plans permitting the use of APM [anti-personnel landmines] … requests to non-State actors to use APM; and providing security or transport for APM’. United Kingdom Intervention on Article 1, Statement in the Standing Committee of 16 May 2003, <http://www.apminebanconvention.org/fileadmin/APMBC/IWP/SC_may03/speeches_gs/UK_Art_1.pdf>.

118 Jackson (n 45) 158; Nolte and Aust (n 96) 12.

119 Convention on the Prohibition of the Use, Stockpiling, Production and Transfer of Anti-Personnel Mines and on their Destruction (Ottawa Convention) (18 September 1997) 2056 UNTS 211, art 1(1)(c).

120 Cluster Munitions Convention (30 May 2008) 2688 UNTS 39, art 1(c).

121 Proposal by the United Kingdom for the Amendment of Article 1, CCM/14 (19 May 2008) <http://www.clusterconvention.org/files/2013/01/CCM14_001.pdf>.

122 Bosnian Genocide (n 84) [432].

123 Ago, ‘Seventh Report on State Responsibility’ (n 108) 53 para 57.

124 Jackson (n 45) 211; Aust (n 96) 230.

125 ‘An illegal act which violates human rights and which is initially not directly imputable to a State… can lead to the international responsibility of the State… because of the lack of due diligence to prevent or respond to it’. Velasquez Rodriguez v Honduras, Inter-American Court of Human Rights Series C No 4 (29 July 1988) [166]–[174]; Barnidge, RP, ‘The Due Diligence Principle under International Law’ (2006) 8 IntCLRev 81 Google Scholar.

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127 Aust (n 96) 231.

128 Jackson (n 45) 160.

129 Lanovoy (n 98) 140.

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131 A State is only responsible if ‘the relevant State organ intended, by the aid or assistance given, to facilitate the occurrence of the wrongful conduct’. Crawford, J, The International Law Commissions Articles on State Responsibility: Introduction, Text and Commentaries (Cambridge University Press 2002) 149 para 5; Nolte and Aust (n 96) 13–15; ibidGoogle Scholar.

132 For Lowe, it is ‘unlikely that a tribunal would permit a State to avoid responsibility by deliberately holding back from inquiring into clear indications that its aid would probably be employed in an unlawful manner’. Lowe (n 113) 10; Lanovoy (n 98) 153; Gibney, ‘Litigating Transnational Human Rights’ (n 110) 98.

133 See generally: R Suda, ‘The Effect of Bilateral Investment Treaties on Human Rights Enforcement and Realisation’ in De Schutter, Transnational Corporations (n 2) 73.

134 Bolvin (n 130) 471–2.

135 Crawford, The ILC's Articles on State Responsibility (n 131) 13.

136 It is interesting to note the variance between standards within the ASRIWA, art 41(2) providing a similar aid or assistance provision in relation to serious breaches of peremptory norms, without the requirement of intent or knowledge of the principal wrong: ASRIWA (n 70) art 41(2); E Wyler and L Castellanos-Jankiewicz, ‘Serious Breaches of Peremptory Norms’ in Nollkaemper and Plakokefalos (n 63) 284–311.

137 Aust (n 96) 232.

138 ibid 246.

139 Velásquez Rodríguez (n 125).

140 ibid [166].

141 Aust (n 96) 246.

142 ‘[I]t must be ascertained whether the acts of the individuals implicated in the incident in violating such fundamental rights … are attributable to the State … [I]t is sufficient to show that the infringement … has been supported or tolerated by the government.’ Riofrío Massacre, Inter-American Commission on Human Rights Report No 62/01 (6 April 2001) [48].

143 ‘[T]he acts of private individuals involved in said acts can be attributed to the State … for which it is sufficient to prove that there has been support or tolerance by the public authorities in the breach of the rights embodied in the Convention.’ Mapiripán Massacre (Columbia) Inter-American Court of Human Rights Series C No 134 (15 September 2005) [98a].

144 Jackson (n 45) 195.

145 ibid 196.

146 For extensive discussion: Aust (n 96) 230–49; ibid 159–62.

147 Gibney, M, ‘Genocide and State Responsibility’ (2007) 7 HRLRev 760 Google Scholar.

148 Gibney, ‘Litigating Transnational Human Rights Abuses’ (n 110) 110.

149 International Covenant on Civil and Political Rights (16 December 1966) 999 UNTS 171, art 2(1).

150 ‘An illegal act which violates human rights and which is initially not directly imputable to a State … can lead to the international responsibility of the State … because of the lack of due diligence to prevent or respond to it.’ Velásquez Rodríguez (n 125) at [166]–[174]; Barnidge, ‘The Due Diligence Principle under International Law’ (n 125) 81.

151 UN Human Rights Commission, ‘General Comment No 31 [80] – The Nature of the General Legal Obligation Imposed on States Parties to the Covenant’ (26 May 2004) UN Doc CCPR/C/21/Rev.1/Add.13 para 8.

152 Hopu and Bessert v France, Communication 549/1993, UN Doc CPR/C/60/D/549/1993/Rev.1 (1997); Love et al v Australia, Communication 983/2001, UN Doc CCPR/C/77/983/2001 (2003); Ilmari Länsman et al v Finland, Communication 511/1992, UN Doc CCPR/C/52/D/511/1992 (1994).

153 Chief Bernard Ominayak and the Lubicon Lake Band v Canada, Communication 167/1984, UN Doc CCPR/C/38/D/167/1984 (1990).

154 Social and Economic Rights Action Centre (SERAC) and Another v Nigeria, African Commission on Human and Peoples’ Rights, Communication 155/96 (2001).

155 ibid at [67].

156 Karavias, Corporate Obligations (n 2) 49–52.

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161 Vandenhole, ‘Shared Responsibility’ (n 59) 68–9; ‘It is a principle of international law that the breach of an engagement involves an obligation to make reparation in adequate form.’ Chorzów Factory Case (Claim for Indemnity; jurisdiction) (Germany v Poland), 1927 PCIJ (Ser. A) No 9, 21.

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163 ‘“Public” and “Private” are indistinguishable; the treaty is an undifferentiated instrument, and so is the law of responsibility.’ Crawford, ‘The ILC's Articles’ (n 68) 878.

164 Nollkaemper and Jacobs (n 62) 398–9.

165 Noyes and Smith (n 12) 226.

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169 Convention on International Liability for Damage Caused by Space Objects (29 March 1972) 961 UNTS 187.

170 ibid art 5.

171 ibid art 4.

172 ibid art 4(2).

173 Noyes and Smith (n 12) 259.

174 In Martini, a State's compensation payment was vastly reduced to reflect the independent acts of revolutionaries during the Venezuelan civil war which contributed significantly to the injury incurred: Martini Case (Italy v Venezuela) 10 RIAA 666–8.

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177 Convention on the Law of the Sea (10 December 1982) 1833 UNTS 3, art 139(2) (hereafter, UNCLOS).

178 Responsibilities and Obligations of States Sponsoring Persons and Entities with

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179 ASRIWA (n 70) art 47; While this provision may appear to mirror the concept of joint and several liability in the ASRIWA, the ILC advises to make such an analogy ‘with care’: ILC, ‘Report on the Work of its Fifty-Third Session’ (n 76) 124 para 3; Verheyen (n 167) 268–76.

180 ITLOS Case No 17 (n 178) at [192].

181 Plakokefalos (n 175) 397–8.

182 Fry (n 100) 128–133.

183 Plakokefalos (n 175) 397.

184 ITLOS Case No 17 (n 178) at [204].

185 Vandenhole, ‘Shared Responsibility’ (n 59) 70.

186 UNCLOS (n 177) art 139(2).

188 UNCLOS (n 177) art 22 Annexe 3.

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192 ibid 401.

193 Okowa (n 60) 196–7; States have ‘diplomatic and other legal means as a substitute’ in the absence of an express regime in international law for joint tortfeasors to recover damages: Verheyen (n 167) 277.

194 Nollkaemper and Jacobs (n 62) 423.

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199 ‘Each State Party shall adopt such measures as may be necessary … to establish the liability of legal persons’ (emphasis added) ibid.

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213 ibid 525–6.

214 Human Rights Council, ‘Clarifying the Concepts of “Sphere of influence” and “Complicity”’, Report of the Special Representative of the Secretary-General on the Issue of Human Rights and Transnational Corporations and other Business Enterprises, John Ruggie, UN Doc A/HRC/8/16, 6 para 15.

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218 Friends of the Earth, ‘Outcome appeal against Shell’ (18 December 2015) <http://www.foei.org/news/outcome-appeal-shell-victory-environment-nigerian-people-friends-earth-netherlands#>.

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223 UNGPs (n 1) Commentary to Principle 17.

224 Human Rights Council, ‘Clarifying the Concepts’ (n 214) 4.

225 ibid 6, paras 10–13.

226 Karavias, Corporate Obligations (n 2) 173.

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230 ‘The Court does not consider that jurisdiction… arose solely from the control exercised by the contracting state over the buildings, aircraft or ship in which the individuals were held. What is decisive in such cases is the exercise of physical power and control over the person in question.’ Al-Skeini (n 208) at [136] (emphasis added); Andreou v Turkey, App No 45653/99 (ECtHR 2009) at [25].

231 In Jamaa the ‘custody’ requirement was effectively resurrected: Jamaa and Others v Italy, App No 22765/09 (ECtHR 2012) at [73]; In Jaloud, jurisdiction was established on the basis of the use of force by State agents, but Dutch control of the checkpoint at which the acts occurred was also critical: Jaloud v The Netherlands, App No 47708/08 (ECtHR 2015) at [152].

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238 A Dolidze, ‘The Arctic Sunrise and NGOs in International Judicial Proceedings’ (2014) 18(1) ASIL Insights <http://www.asil.org/insights/volume/18/issue/1/arctic-sunrise-and-ngos-international-judicial-proceedings> International Status of South West Africa (Advisory Opinion, Pleadings) ICJ Reports [1949] 324 is the sole instance in which the ICJ has permitted an amicus brief from an NGO (the International League for Human Rights); GI Hernández, ‘Non-State Actors from the Perspective of the International Court of Justice’ in d'Aspremont, Multiple Perspectives (n 17) 140–63; S Tully, Corporations and International Lawmaking (Martinus Nijhoff 2007) 242–5.

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240 A Kassam, ‘Spain's campaigning judge seeks change in law to prosecute global corporations’ (Guardian, 20 August 2015) <http://www.theguardian.com/world/2015/aug/20/spain-judge-baltasar-garzon-prosecute-global-corporations>.

241 Clapham, Human Rights Obligations (n 2) 245–7; C Chiomenti, ‘Corporations and the International Criminal Court’ in De Schutter, Transnational Corporations (n 2) 306–7.

242 Draft Statute for the International Criminal Court and Draft Final Act, UN Doc A/CONF.183/2/Add.1, arts 23, 49 para 5.

243 Clapham, Human Rights Obligations (n 2) 246.

244 O De Schutter, ‘The Accountability of Multinationals for Human Rights Violations in European Law’ in Alston, Non-State Actors (n 18) 232.

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250 Rome Statute of the International Criminal Court (17 July 1998) UN Doc A/CONF.183/9, art 28(b) (hereafter, ICC Statute)

251 McBeth (n 67) 308; ibid art 28(b).

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257 C Cronstedt and D Rönnegard, ‘International Tribunal on Business & Human Rights – Reshaping the Judiciary’ (September 2013) <http://www.l4bb.org/news/tribunal.pdf>.

258 ibid.

259 ‘Any inter-governmental and non-governmental organization, including any business corporation, which has made a specific declaration in accordance with article 37, shall fully cooperate with the Court in any proceedings.’ Nowak and Kozma (n 256) art 33.

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265 ibid 227.

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