Hostname: page-component-78c5997874-ndw9j Total loading time: 0 Render date: 2024-11-02T16:11:54.486Z Has data issue: false hasContentIssue false

Emergency and Escape: Explaining Derogations from Human Rights Treaties

Published online by Cambridge University Press:  07 October 2011

Emilie M. Hafner-Burton
Affiliation:
University of California, San Diego. E-mail: [email protected]
Laurence R. Helfer
Affiliation:
Duke University School of Law, Durham, N.C. E-mail: [email protected]
Christopher J. Fariss
Affiliation:
Department of Political Science, University of California, San Diego. E-mail: [email protected]
Get access

Abstract

Several prominent human rights treaties seek to minimize violations during emergencies by authorizing states to “derogate”—that is, to suspend certain civil and political liberties—in response to crises. The drafters of these treaties envisioned that international restrictions on derogations, together with international notification and monitoring mechanisms, would limit rights suspensions during emergencies. This article analyzes the behavior of derogating countries using new global data sets of derogations and states of emergency from 1976 to 2007. We argue that derogations are a rational response to domestic political uncertainty. They enable governments facing serious threats to buy time and legal breathing space from voters, courts, and interest groups to confront crises while signaling to these audiences that rights deviations are temporary and lawful. Our findings have implications for studies of treaty design and flexibility mechanisms, and compliance with international human rights agreements.

Type
Research Article
Copyright
Copyright © The IO Foundation 2011

Access options

Get access to the full version of this content by using one of the access options below. (Log in options will check for institutional or personal access. Content may require purchase if you do not have access.)

References

REFERENCES

Allain, Jean. 2004. International Law in the Middle East: Closer to Power Than Justice. Burlington, Vt.: Ashgate.Google Scholar
Archer, Ronald P., and Shugart, Matthew Soberg. 1997. The Unrealized Potential of Presidential Dominance in Colombia. In Presidentialism and Democracy in Latin America, edited by Mainwaring, Scott and Shugart, Matthew Soberg, 110–59. New York: Cambridge University Press.CrossRefGoogle Scholar
Banks, Arthur S. 2010. Cross-National Time-Series Data Archive. Databanks International. Jerusalem, Israel. Available at ⟨http://www.databanksinternational.com⟩. Accessed 7 April 2011.Google Scholar
Barbieri, Katherine, Keshk, Omar, and Pollins, Brian. 2008. Correlates of War Project Trade Data Set Codebook, Version 2.0. Available at ⟨http://correlatesofwar.org⟩. Accessed 18 April 2011.Google Scholar
Barbieri, Katherine, Keshk, Omar, and Pollins, Brian. 2009. Trading Data: Evaluating Our Assumptions and Coding Rules. Conflict Management and Peace Science 26 (5):471–91.CrossRefGoogle Scholar
Beck, Nathaniel, Gleditsch, Kristian Skrede, and Beardsley, Kyle. 2006. Space Is More Than Geography: Using Spatial Econometrics in the Study of Political Economy. International Studies Quarterly 50 (1):2744.Google Scholar
Beck, Nathaniel, and Katz, Jonathan N.. 1995. What to Do (and Not to Do) with Time-Series Cross-Section Data. American Political Science Review 89 (3):634–47.CrossRefGoogle Scholar
Beck, Nathaniel, Katz, Jonathan N., and Tucker, Richard. 1998. Taking Time Seriously: Time-Series-Cross-Section Analysis with a Binary Dependent Variable. American Journal of Political Science 42 (4):1260–88.CrossRefGoogle Scholar
Box-Steffensmeier, Janet M., and Jones, Bradford S.. 1997. Time Is of the Essence: Event History Models in Political Science. American Journal of Political Science 41 (4):1414–61.Google Scholar
Carlson, Matthew, and Listhaug, Ola. 2007. Citizens' Perceptions of Human Rights Practices: An Analysis of 55 Countries. Journal of Peace Research 44 (4):465–83.Google Scholar
Carter, David B., and Signorino, Curtis S.. 2010. Back to the Future: Modeling Time Dependence in Binary Data. Political Analysis 18 (3):271–92.CrossRefGoogle Scholar
Cole, David D. 2003. Judging the Next Emergency: Judicial Review and Individual Rights in Times of Crisis. Michigan Law Review 101 (8):2565–95.CrossRefGoogle Scholar
Council of Europe. 2010. List of Declarations Made with Respect to Treaty No. 005: Complete Chronology. Available at ⟨http://conventions.coe.int/Treaty/Commun/ListeDeclarations.asp?NT=005&CV=0&NA=&PO=999&CN=8&VL=1&CM=9&CL=ENG⟩. Accessed April 2011.Google Scholar
Dickson, Brice. 2010. The European Convention on Human Rights and the Conflict in Northern Ireland. New York: Oxford University Press.Google Scholar
Farber, Daniel A. 2002. Rights as Signals. Journal of Legal Studies 31 (1):8398.Google Scholar
Fitzpatrick, Joan. 1994. Human Rights in Crisis: The International System for Protecting Human Rights during States of Emergency. Philadelphia: University of Pennsylvania Press.CrossRefGoogle Scholar
Fitzpatrick, Joan. 1998. States of Emergency in the Inter-American Human Rights System. In The Inter-American System of Human Rights, edited by Harris, David J. and Livingstone, Stephen, 371–94. New York: Oxford University Press.CrossRefGoogle Scholar
Goldsmith, Jack L., and Posner, Eric A.. 2005. The Limits of International Law. New York: Oxford University Press.Google Scholar
Gross, Oren. 2003. Chaos and Rules: Should Responses to Violent Crises Always Be Constitutional? Yale Law Journal 112 (5):1011–134.Google Scholar
Gross, Oren, and Ní Aoláin, Fionnuala. 2006. Law in Times of Crisis: Emergency Powers in Theory and Practice. Cambridge: Cambridge University Press.Google Scholar
Guzman, Andrew T. 2005. Trading Human Rights: How Preferential Trade Agreements Influence Government Repression. International Organization 59 (3):593629.Google Scholar
Guzman, Andrew T. 2009. The Design of International Agreements. European Journal of International Law 16 (4):579612.CrossRefGoogle Scholar
Guzman, Andrew T. 2008. How International Law Works: A Rational Choice Theory. New York: Oxford University Press.Google Scholar
Hafner-Burton, Emilie M. 2005. Trading Human Rights: How Preferential Trade Agreements Influence Government Repression. International Organization 59 (3):593629.CrossRefGoogle Scholar
Hafner-Burton, Emilie M. 2009. Forced to Be Good: Why Trade Agreements Boost Human Rights. Ithaca, N.Y.: Cornell University Press.Google Scholar
Hafner-Burton, Emilie M., Mansfield, Edward D., and Pevehouse, Jon C.. 2011. Human Rights Institutions, Sovereignty Costs and Democratization. Unpublished manuscript, University of California, San Diego, University of Pennsylvania, Philadelphia, and University of Wisconsin, Madison.Google Scholar
Hafner-Burton, Emilie M., and Tsutsui, Kiyoteru. 2005. Human Rights in a Globalizing World: The Paradox of Empty Promises. American Journal of Sociology 110 (5):1373–411.CrossRefGoogle Scholar
Hafner-Burton, Emilie M., and Tsutsui, Kiyoteru. 2007. Justice Lost! The Failure of International Human Rights Law to Matter Where Needed Most. Journal of Peace Research 44 (4):407–25.CrossRefGoogle Scholar
Hathaway, Oona A. 2002. Do Human Rights Treaties Make a Difference? Yale Law Journal 111 (8):19352042.Google Scholar
Hathaway, Oona A. 2005. Between Power and Principle: An Integrated Theory of International Law. University of Chicago Law Review 72 (2):469536.Google Scholar
Heckman, James J. 1976. The Common Structure of Statistical Models of Truncation, Sample Selection and Limited Dependent Variables and a Sample Estimator for Such Models. Annals of Economic and Social Measurement 5 (4):475–92.Google Scholar
Helfer, Laurence R. 2002. Overlegalizing Human Rights: International Relations Theory and the Commonwealth Caribbean Backlash Against Human Rights Regimes. Columbia Law Review 102 (7):1832–911.Google Scholar
Helfer, Laurence R. 2005. Exiting Treaties. Virginia Law Review 91 (7):1579–648.Google Scholar
Hertel, Shareen, Scruggs, Lyle, and Heidkamp, C. Patrick. 2009. Human Rights and Public Opinion: From Attitudes to Action. Political Science Quarterly 124 (3):443–59.Google Scholar
Ho, Daniel E., Imai, Kosuke, King, Gary, and Stuart, Elizabeth A.. 2007. Matching as Nonparametric Preprocessing for Reducing Model Dependence in Parametric Causal Inference. Political Analysis 15 (3):199236.Google Scholar
Human Rights Watch. 2007. Venezuela: Disturbing Plan to Suspend Due Process. Chávez Supporters Seek to Suspend Rights in Emergencies, 15 October 2007. Available at ⟨http://www.hrw.org/en/news/2007/10/15/venezuela-disturbing-plan-suspend-due-process⟩. Accessed 7 April 2011.Google Scholar
Imai, Kosuke, King, Gary, and Lau, Olivia. 2008. Toward a Common Framework for Statistical Analysis and Development. Journal of Computational and Graphical Statistics 17 (4):892913.CrossRefGoogle Scholar
International Law Association. 1984. The Paris Minimum Standards of Human Rights Norms in a State of Emergency. Report of the 61st Conference of the International Law Association, August–September, Paris, France.Google Scholar
Joseph, Sarah, Schultz, Jenny, and Castan, Melissa. 2005. The International Covenant on Civil and Political Rights: Cases, Materials, and Commentary. 2d ed. New York: Oxford University Press.Google Scholar
Kahler, Miles. 2000. Conclusion: The Causes and Consequences of Legalization. International Organization 54 (3):661–83.CrossRefGoogle Scholar
King, Gary, Honaker, James, Joseph, Anne, and Scheve, Kenneth. 2001. Analyzing Incomplete Political Science Data: An Alternative Algorithm for Multiple Imputation. American Political Science Review 95 (1):4969.CrossRefGoogle Scholar
Koremenos, Barbara. 2005. Contracting Around International Uncertainty. American Political Science Review 99 (4):549–65.Google Scholar
Koremenos, Barbara, Lipson, Charles, and Snidal, Duncan. 2001. The Rational Design of International Institutions. International Organization 55 (4):761–99.Google Scholar
Kucik, Jeffrey, and Reinhardt, Eric. 2008. Does Flexibility Promote Cooperation? An Application to the Global Trade Regime. International Organization 62 (3):477505.CrossRefGoogle Scholar
Mansfield, Edward D., and Snyder, Jack. 2002. Democratic Transitions, Institutional Strength, and War. International Organization 56 (2):297337.CrossRefGoogle Scholar
Marshall, Monty G. 2010. Major Episodes of Political Violence (MEPV) and Conflict Regions, 1946–2008. Codebook. Center for Systemic Peace. Available at ⟨http://www.systemicpeace.org/inscr/MEPVcodebook2008.pdf⟩. Accessed 25 April 2011.Google Scholar
Marshall, Monty G., and Jaggers, Keith. 2007. Polity IV Project: Political Regime Characteristics and Transitions, 1800–2006. Dataset Users' Manual. Center for Systemic Peace. Available at ⟨http://www.systemicpeace.org/polity/polity4.htm⟩. Accessed 7 April 2011.Google Scholar
McGoldrick, Dominic. 2004. The Interface Between Public Emergency Powers and International Law. International Journal of Constitutional Law 2 (2):380429.Google Scholar
Moravcsik, Andrew. 2000. The Origins of Human Rights Regimes: Democratic Delegation in Postwar Europe. International Organization 54 (2):217–52.CrossRefGoogle Scholar
Neumayer, Eric. 2003. Do Human Rights Matter in Bilateral Aid Allocation? A Quantitative Analysis of 21 Donor Countries. Social Science Quarterly 84 (3):650–66.CrossRefGoogle Scholar
Neumayer, Eric. 2005. Do International Human Rights Treaties Improve Respect for Human Rights? Journal of Conflict Resolution 49 (6):925–53.CrossRefGoogle Scholar
Neumayer, Eric. 2007. Qualified Ratification: Explaining Reservations to International Human Rights Treaties. Journal of Legal Studies 36 (2):397429.Google Scholar
Neumayer, Eric. 2010. Do Governments Mean Business When They Derogate? Human Rights Violations During Declared States of Emergency. Unpublished manuscript, London School of Economics, London, England. Available at ⟨http://www2.lse.ac.uk/geographyAndEnvironment/whosWho/profiles/neumayer/pdf/Derogations.pdf⟩. Accessed 7 April 2011.Google Scholar
Ní Aoláin, Fionnuala. 1995. The Emergence of Diversity: Differences in Human Rights Jurisprudence. Fordham International Law Journal 19 (1):101–42.Google Scholar
Nowak, Manfred. 2005. UN Covenant on Civil and Political Rights: CCPR Commentary. 2d rev. ed. Arlington, Va.: N.P. Engel.Google Scholar
Omar, Imtiaz. 1996. Rights, Emergencies, and Judicial Review. The Hague, The Netherlands: Kluwer Law International.Google Scholar
Oràà, Jaime. 1992. Human Rights in States of Emergency in International Law. New York: Oxford University Press.Google Scholar
Parrish, Scott. 1998. Presidential Decree Authority in Russia, 1991–95. In Executive Decree Authority, edited by Carey, John M. and Shugart, Matthew Soberg, 62103. New York: Cambridge University Press.Google Scholar
Pelc, Krzysztof J. 2009. Seeking Escape: The Use of Escape Clauses in International Trade Agreements. International Studies Quarterly 53 (2):349–68.CrossRefGoogle Scholar
Posner, Eric A., and Vermeule, Adrian. 2007. Terror in the Balance: Security, Liberty, and the Courts. New York: Oxford University Press.CrossRefGoogle Scholar
Powell, Emilia Justyna, and Staton, Jeffrey K.. 2009. Domestic Judicial Institutions and Human Rights Treaty Violation. International Studies Quarterly 53 (1):149–74.CrossRefGoogle Scholar
Ramraj, Victor V., ed. 2008. Emergencies and the Limits of Legality. New York: Cambridge University Press.Google Scholar
Raustiala, Kal. 2005. Form and Substance in International Agreements. American Journal of International Law 99 (3):581614.Google Scholar
Regan, Patrick M., Frank, Richard W., and Clark, David H.. 2009. New Datasets on Political Institutions and Elections, 1972–2005. Conflict Management and Peace Science 26 (3):286304.CrossRefGoogle Scholar
Risse, Thomas, Ropp, Stephen C., and Sikkink, Kathryn. 1999. The Power of Human Rights: International Norms and Domestic Change. New York: Cambridge University Press.CrossRefGoogle Scholar
Rosendorff, B. Peter, and Milner, Helen V.. 2001. The Optimal Design of International Trade Institutions: Uncertainty and Escape. International Organization 55 (4):829–57.Google Scholar
Russett, Bruce M. 1990. Controlling the Sword: The Democratic Governance of National Security. Cambridge, Mass.: Harvard University Press.Google Scholar
Schreuer, Christoph. 1982. Derogation of Human Rights in Situations of Public Emergency: The Experience of the European Convention on Human Rights. Yale Journal of World Public Order 9 (1):113–32.Google Scholar
Sepúlveda, M. Magdalena. 2003. The Nature of the Obligations Under the International Covenant on Economic, Social, and Cultural Rights. Antwerpen, The Netherlands: Intersentia.Google Scholar
Shelton, Dinah. 2002. Hierarchy of Norms and Human Rights: Of Trumps and Winners. Saskatchewan Law Review 65 (2):301–32.Google Scholar
Signorino, Curtis S. 2003. Structure and Uncertainty in Discrete Choice Models. Political Analysis 11 (4):316–44.Google Scholar
Simmons, Beth A. 2009. Mobilizing for Human Rights: International Law in Domestic Politics. New York: Cambridge University Press.CrossRefGoogle Scholar
Simpson, A. W. Brian. 2001. Human Rights and the End of Empire: Britain and the Genesis of the European Convention. Oxford, England: Oxford University Press.Google Scholar
Sykes, Alan O. 1991. Protectionism as a ‘Safeguard’: A Positive Analysis of the GATT ‘Escape Clause’ with Normative Speculations. University of Chicago Law Review 58 (1):255305.Google Scholar
United Nations Commission on Human Rights. 1984. The Siracusa Principles on the Limitation and Derogation Provisions in the International Covenant on Civil and Political Rights. United Nations Document E/CN.4/1985/4 28 September.Google Scholar
World Bank. 2009. World Development Indicators 2009. Washington, D.C.: World Bank.Google Scholar
Zorn, Christopher J. W. 2001. Generalized Estimating Equation Models for Correlated Data: A Review with Applications. American Journal of Political Science 45 (2):470–90.Google Scholar
Supplementary material: PDF

Hafner-Burton et al. supplementary material

Appendix

Download Hafner-Burton et al. supplementary material(PDF)
PDF 207.5 KB