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Forced Population Transfers, Mass Expulsions, and Migration: The Law and its Claw

Dr. Nafees Ahmad

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Human inception with autochthonic affinities coated in political proclivities harbingered and vouched for exclusivity of ethnicity, race,and religion in every part of the world. But civilizations have been interacting, intermingling andintermixingever since the people have accomplished the art of movements from one place to another by utilizing and developing the transport technologies of all kinds. However, in the contemporary circumstances, humanity is at war per se that pandered to a catena of causes of population movements across the human spectrum. Population transfers, expulsions, and forced migrations that take place in inconsistent conditions and a wide diversity of circumstances at the moment are coordinatedby a convoluted hodge-podge of legal labyrinth comprising the IHRL—International Human Rights Law, IRL— International Refugee Law, IHL—International Humanitarian Law, and IDL—International Development Law.The population transfer is allowed only in rare and restricted circumstances, with the standards of lawful transfer determined by explicit or implicit prohibitions contemplated predominantly in IHRL and IHL.

The Draft Population Transfer Declaration (PTD) defines illegal Population Transfer and the Implantation of Settlers, 1997 annexed to the Final Report of Special Rapporteur Al-Khasawneh, which was acceptedby the UNCHR (UN Commission on Human Rights) and ECOSOC in 1998. The PTDwas drafted by the UNCHR’s Sub-Commission on Prevention of Discrimination and Protection of Minorities, which was renamed as Sub-Commission on the Promotion and Protection of Human Rights in 1999 until its functions and responsibilities were assumed in 2006 by the United Nations Human Rights Council (UNHRC). The Article 3 of the PTD defines “unlawful population transfer” as “a policy or practice having the goal or result of transferring the people into or out of a territory either within or across an international boundary or within into or out of an occupied territorywithout the informed and free consent of such transferred population and any obtaining population.”The focus of this entry is, first, in those circumstances in which expulsions and transfers may be lawful; and, second, upon the preconditions, limitations, and other requirements, including most notably the right to compensation which needs to be satisfied to render such transfers lawful. However, the forced population transfers have been ruminated upon separately.

The Genesis of the Legal Norms

History is replete with instances of population transfer and its devastating effects on communities and individuals. There is no shortage of examples: population transfer and slavery; dispossession of indigenous peoples; population transfers as a result of treaties. Forthree centuries, before the slave trade was legally prohibited in Britain in 1807,  and afterwards, at the international level,by the General Act of the Brussels Conference Relating to the African Slave Trade-1890, the Slavery Convention-1926 and the Supplementary Convention on the Abolition of Slavery, the Slave Trade and Institutions and Practice Similar to Slavery-1956, was banned. The transatlantic slave traders enslaved and transported at least 12 million Africans to the Americas. The American Colonization Society, established in 1816, organized the transportation of free black Americans and manumittedand emancipated the slaves to Liberia, a policy which generated significant debate and which had been disputedat the time by many African-Americans. While deportation for slave labourwas rightly condemned as a war crime at Nuremberg, the failure of the Tokyo Tribunal to condemn the transfer of “Comfort Women” into sexual slavery during World War-II has been justly castigated.It has been highlighted in the Gender-Based Crimes judgment handed down by the non-governmental organization calledWomen’s International War Crimes Tribunal that conducted the Trial of Japan’s Military establishment’s Sexual Slavery in 2001.

Indigenous people have been subject to widespread population transfers. Colonialism and Colonization led to the large-scale dispossession of indigenous peoples. Beginning with the Indian Removal Act, 1830[28 May 1830] whereunder an Exchange of Lands instead of the Indians Residing in any of the States, or Territories, and for Their Removal from the West of the Mississippi Riverwas provided.Consequently, series of statutes in the United States of America provided for the forcible removal of an estimated 100,000 Native Americans to reservations to make way for the settlers. Segregationist practices and policies in South Africa saw the creation of reserves for Africans and eventually led a system of apartheid based on Racial and Religious Discrimination popularly also known as South African Bantustan Policy to the establishment of the much-criticized homelands. Article-II (d) of the International Convention on the Suppression and Punishment of the Crime of Apartheid, 1973 prohibits, among other things, the creation of separate reserves on racial grounds. However, indigenous people continue to suffer population transfers often as a result of development projects reported by the Royal Commission on Aboriginal People, 1996 of administrative and development relocations of Canadian aboriginal people.

The population transfers have also been provided for by treaty. Greece and Bulgaria agreed to the consensual exchange of minorities in the 1919 Convention Respecting Reciprocal Emigration. The Convention relating to the Exchange of Greek and Turkish Populations-1923whereunder compulsory transfer of 1.5 million ethnic Greek population of Turkish nationality, and 400,000 ethnic Turks of Greek citizenshipwas provided. The treaty provided for a commission of representatives from Greece, Turkey, and the Council of the League of Nations to supervise transfers and the payment of compensation. However, controversy ascended over its scope ratione personae.  When the treaty’s compensation provisions proved unworkable, they were replaced by lump sum agreements.

The Legality of Forced Population Transfers

The legality of forced or compulsory population transfer was robustly contested at the time both at and beyond the conference table. Extensive population transfers took place before, during, and after World War-II, including those resulting from some bilateral population transfer treaties between the Reich and, for example, Italy, the Baltics, and the Soviet Union. Typically these deals included an “option clause” although it has been disputedwhether, in practice, consent was freely given. It is more accurate to categorize these events as a forced population transfer, as millions of individuals were in fact forcibly expelled (whether from the German-occupied territory, or within the Soviet Union) in blatant and unprecedented violations of international law.

At the conclusion of World War II, compulsory population transfers continued on a massive scale in Europe by inter-State agreement. A few weeks after the Allies adopted the UN Charter, the Soviet Union, the United Kingdom, and the US agreed at the Potsdam Conference-1945 that transfer to Germany of the German population in Czechoslovakia, Hungary, and Poland “will have to be undertaken” as per the Article XIII of the Potsdam Protocol and should “be effected in an orderly and humane manner” although in practice it was neither. The legality of the Potsdam Protocol under international law, as well as the subsequent forced population transfer, was stronglycontested at that time.Particularly, Article 7 of the PTD provides that international agreement can not legalize population transfers which violate fundamental human rights norms. Post-World War-II population transfers were not limited to German minorities: the agreement between Hungary and Czechoslovakia to exchange 200,000 Magyars and 200,000 Slovaks in February 1946 represents just one of some bilateral population exchange agreements of the impugned period.

The Potsdam Protocol has been regardedas an attempt to validate expulsions already in progress, as much as an endeavour to regulate future population transfers. Similarly, the Agreement between India and Pakistan on Minorities designated as “New Delhi Accord”-1950 served more like a “formal recognition of a fait accompli of the population transfer of about ten million population of Hindus and Muslims between India and Pakistanin the wake of the partition of the Indian Sub-continent in 1947. As the Preliminary Report observes, while such transfers were in some degree consensual and aimed at avoiding inter-ethnic conflict, they involved “a tragic human rights trade-off.” During the armed conflict in the former Yugoslavia, numerous resolutions by the UN Security Council (UNSC), including UNSC Resolution 826 (1993) and 859 (1993) called for the reversal of the effects of ethnic cleansing in Yugoslavia in its post-dissolution stage. However, some commentators criticized the General Framework Agreement for Peace in Bosnia, and Herzegovina popularly designated as Dayton Peace Agreement that ended the war in 1995, for affirming territorial changes brought about by ethnic cleansing.

With the entrenchment of IHRL in the second half of the 20th century, it is increasingly accepted that population transfers violate a series of human rights guarantees as identified in the judgments of Cyprus v. Turkey delivered by the European Court of Human Rights (ECtHR) on May 10, 2001. The Cyprus v. Turkeywas decided by the European Commission of Human Rights on October 04, 1992.The Sub-Commission constituted forthe Prevention of Discrimination and Protection of Minorities,and its Special Rapporteur studied the population transfer from the early 1990s, and his Final Report was published in 1997. The Final Report had recommended the adoption of a Comprehensive International Instrument on Population Transfer and appended the Model Declaration on Population Transfer to apply in all situations, and to all persons, groups, and authorities under Articles 1 and 2wherein a number of its terms reflect the current customary international law.Moreover, the jurisprudence developed by the International Criminal Tribunal for the Former Yugoslavia (ICTY) has also significantly influenced the development of the law on forced population transfer.

The Current Legal Phantasmagoria

If the international legal policy has changed over time to restrict the legality of population transfer, history offers valuable lessons. Firstly, it regrettably demonstrates the recurrent use of population transfers in State and nation-building. Secondly, it shows the international community’s all-too-frequent de facto acceptance of population transfer or its effects in pursuit of its perception of how the interests of peace are best served. Thirdly, as instances of population transfer demonstrate, the enforcement of law poses considerable challenges. But it is also worth emphasizing the existence of significant new problems, including the question of climatic displacement identified in the UNHCR “Forced Displacement in the Context of Climate Change: Challenges for States under International Law.” Therefore, the Forced population transfers are, as the Preliminary Report concluded, prima facie unlawful because they violate core norms of IHRL and IHL. A vast pool of human rights instruments prohibit the mass expulsion of nationals and aliens, and the rights of Internally Displaced Persons (IDPs) not to be arbitrarily displaced is recognized in the authoritative soft law developed by the UN Secretary-General’s Representative on Internal Displacement adopted as UN ECOSOC “Guiding Principles on Internal Displacement” in 1998.

As Article 3 of the PTD makes clear, the concept of population transfer encompasses settler infusion such as the implantation of Moroccan, Indonesian, and Chinese settlers into Western Sahara, East Timor, and Tibet respectively. By altering the demographic composition of host populations, settler infusions can jeopardize the exercise of the right to self-determination. In practice settler infusion and expulsion are often related, as is illustrated by the illegal expulsion under the government of late Saddam Hussein of ethnic minorities from oil-rich regions of northern Iraq, accompanied by the resettlement of Arabs in furtherance of a policy of “Arabization.” However, in certain assiduouslydefined circumstances, population transfers may be lawful. Article 3 of the PTD makes the legality of population transfer dependent on the informed consent of host and transferred populations. In areview of Special Rapporteur Al-Khasawneh’s “Progress Report” under Para 25 along with international jurisprudence and international conventions, concludes that this principle of consent has reached the status of a general principle of international law. The transfer is non-consensual where it is forcible, coerced, or induced.  As obtaining informed consent often presents considerable difficulty, the Progress Report rightly emphasizes the need for monitoring mechanisms to ensure officialapproval.

International Human Rights Law

Additionally, population transfers may be lawful in certain situations such as national emergency, public disorder, or environmental crises, but in each case only subject to the fulfillment of conditions for lawful derogation from non-derogable human rights in thestate of emergency. For example, while it follows from the protection of freedom of movement under Article 12 of International Covenant on Civil and Political Rights-1966 (ICCPR), Article 13 of Universal Declaration of Human Rights (1948) (UDHR), and Article 5 of International Convention on the Elimination of All Forms of Racial Discrimination (ICERD) that population transfer within a State or across an international border is prohibited, derogations from the right to freedom of movement, to the choice of residence, to leave, and to return are permitted. Such derogations are tightly circumscribed and limited to the public interest and compensation must be awarded as expounded by the “Inter-American Commission on Human Rights Report of November 29, 1983,ona section of the Nicaraguan population of Miskito origin and their Human Rights conditions. Similarly, Article 4 of the PTD permits displacement only where either the safety of the transferred population or imperative military reasons demand. In such circumstances, displaced persons should be allowed to return immediately when the conditions rendering their displacement imperatively cease. Transfers must not interfere with minority and indigenous rights of the host population.  Where the purpose or means of population transfer violate norms of jus cogens (peremptorynorms of international law), it is, indeed, prohibited.

Forced Population Transfer & Indigenous Peoples

The Preliminary Report states that population transfer is the primary cause of land loss of the indigenous people as it constitutes a principal factor in the process of ethnocide as discussed at Para 101 of the Report. However, while Article16 (1) of International Labour Organization (ILO) Convention No. 169 Concerning Indigenous and Tribal Peoples in Independent Countries (1989) states that indigenous peoples should not be removed from the lands they inhabit. This fundamental principle is subject to the exception and prerequisites detailed in Article16 (2) of ILO Convention No 169 as follows:Where the relocation of these peoples is considered to be necessary as an exceptional measure, therefore, such kind of relocation shall take place only with their free and informed consent. Where their consent cannot be obtained or ascertained, such relocation shall take place just following appropriate procedures or due process established by the national laws and regulationsincluding public inquiries where necessary, which provide the opportunity for valid representation of the peoples concerned.

If relocation occurs, indigenous peoples are entitled to be compensated for loss or injury as provided under Article 16 (5) of ILO Convention No 169 and they enjoy a right to return “wherever possible” once the reasons for relocation cease to apply [(Art. 16 (3) ILO Convention No 169)]. Where areturn is impossible, indigenous peoples should be provided with comparable alternative lands or, should they prefer, compensation (Art. 16 (4) ILO Convention No 169). These provisions concerning consent and compensation represent international custom (Progress Report Para. 27). Many indigenous groups have disassociated themselves from the convention, in part because of the overly permissive tenor of Article 16 of ILO Convention No 169 favours the State. The convention has also been criticized for failing to acknowledge the importance of the relationship of indigenous peoples to a particular place (Preliminary Report Para. 257). The non-binding Declaration on the Rights of Indigenous Peoples, adopted by the UN General Assembly (UNGA) on 13 September 2007, addresses some of these criticisms. Having noted in its Preamble the concern for the historical injustices indigenous people have suffered, among other things through colonization and the dispossession of lands, Article 10 of the Declaration on the Rights of Indigenous Peoples subjects relocation of indigenous people to their “free, prior and informed consent” in unqualified terms after “agreement on just and fair compensation” with an option to return where possible.“The Declaration on the Indigenous Peoples’ Rights” further provides that indigenous peoples have a right to redress and reparation for lands that have been taken or used in the past without their consent under Article 28. The Declarationobliges States to provide effective mechanisms to prevent and contain redress for forced population transfer under Article 8 (c) of the Declaration on the Rights of Indigenous Peoples regarding Environment and Indigenous Peoples also.

Population Transfer and Development

Beyond the context of indigenous people’s rights, the legality of population transfers carried out to make way for development projects is not currently subject to specific regulation by international treaties on the progressive development of International Law. However, referring to sources such as the principle of self-determination enshrined in Article 1 of the ICCPR-1966.UN resolutions on the development and human rights and development and the environment, the Preliminary Report authoritatively argues that customary international law already governs these incidences of population transfer (at Paras 300–311). The Final Report concludes that the legality of such population transfers depends on them being non-discriminatory, in the public interest, that they do not deprive people of their means of subsistence, and are subject to the consent of the people to be transferred. Their consent must be procured after dialogue and negotiation with the population’s elected representatives on “terms of equality, fairness,and transparency” (Article 68, Final Report). The transferred people should be provided with monetary compensation as well as equivalent land, housing, occupation, and employment.

Since 1980 the World Bank has responded to international pressure by developing a policy on involuntary resettlement documented by the World Bank Group. Operational Directive 4.30 (1990) was replaced in 2001 by Operational Policy 4.12 on-Involuntary Resettlement, as revised in February 2011. Reports have documented great enforcement difficulties, however, and resettlement has faced popular resistance as recorded on pages 211–212. The transnational coalition against the Narmada river dams contributed to the World Bank withdrawing its funding in 1993. A cross-border campaign, together with a negative World Bank Inspection Panel Report, led the Bank to withdraw its support for the China Western Poverty Reduction Project, which would have involved the settler infusion of around 58,000 Chinese into Tibet.

Population Transfer in Armed Conflict

Apart from voluntary transfers during international armed conflicts, under Article 49 of the 4thGeneva Convention Relating to the Protection of Civilian Persons in Time of War-1949 provides that during hostilities, temporary evacuation is permissible only where it is necessary for the “security of the population” or where “imperative military reasons do demand.”  Similar arguments are also advanced in situations of International Armed Conflicts and Military Necessity etc. Even then, temporary evacuation is subject to some conditions. Firstly, displacement is not permitted outside the territorial boundaries of the occupied State unless impossible to avoid “for material reasons” (Article 49, Geneva Convention-IV). Secondly, on the cessation of hostilities evacuees should be returned home. Thirdly, occupying powers are obliged to provide “to the greatest practicable extent” proper accommodation for those evacuated, and evacuations should be carried out “in satisfactory conditions of hygiene, health, safety,and nutrition.” Fourthly, family members should not be separated, and finally, protecting powers should be informed of all kinds of population transfers.

The transfer of acivilian population by an occupying power of its civilian population into occupied territory is also prohibited. However, there arefew disputes as to whether it constitutes a grave breach of the customary international law?In 2004, the ICJ held in the case of the Construction of a Wall in the Occupied Territory of Palestine and its Legal Consequences [2004] ICJ Rep. 136 Para 134 popularly called “Israeli Wall Advisory Opinion Case” that the construction of the wall and “its associated régime” violated the rights of the people of the Occupied Territory to freedom of movement, work, an adequate standard of living, education, and healthas well as the Jus Cogens right of self-determination.

In non-international armed conflicts, displacement is permitted only where it is required for the security of the transferees or imperative military necessity. In this case, Article 17 of the Additional Protocol-II, 1977 to Geneva Conventions-1949 requires that “all possible measures” must be taken to ensure the transferred population is “received under satisfactory conditions of shelter, safety, health, hygiene,and nutrition.” Otherwise, population transfers “for reasons relatingto the conflict” are forbidden. The Final Report calls for the parameters of the concept of “military necessity” to be further developed to prevent abuse advocated at Para. 39. However, the belligerents have “broad powers” to expel enemy nationals during an armed conflict as documented and titled under Civilians Claims: Eritrea’s Claims 15, 16, 23, 27–32 Para. 81 and further Paras 82 and 99; Civilians Claims: Ethiopia’s Claim 5 Para. 121. These powers are not, however, unlimited. Belligerents must ensure the application of humanitarian law,and humanitarian standards, including those contained in Articles 35 and 36 Geneva Convention IV enshrined in the Civilians Claims: Ethiopia’s Claim 5 Para. 122) but “Indiscriminate rounds-ups and expulsions based on ethnicity” are unlawful.

Remedies and Enforcement

Unlawful population transfer gives rise to State responsibility and individual criminal responsibility under Article 9 of the PTD where population transfers occur within the territorial boundaries of a single State, it may be difficult if not impossible to identify a State that is injured and, therefore, entitled to bring a claim under the traditional principles of State responsibility. However, third States may incur duties of non-recognition and non-assistance (the Construction of a Wall and itsLegal Consequences in the Occupied Palestinian Territory Case [Advisory Opinion, Para. 136]. From Britain’s naval interdiction of slave traders in the first part of the 19thcentury through to the use of force by the North Atlantic Treaty Organization (NATO) against Yugoslavia wherein the right of humanitarian intervention to prevent population transfer has been contested in the case popularly known as Legality of the Use of Force Case (Yugoslavia v Spain, Provisional Measures Order).

The right to return is central to restitution in inter-regnum under Article 8 of the PTD. Evidence for its customary international law status can be drawn from some international instruments such as provisions in human rights instruments, e.g. Article 13 (2) of the UDHR, Article 5 of the ICERD, Article 12 (4) of the ICCPR, Article 22 (5) of the American Convention on Human Rights, 1969, and Article 12 (2) of the African Charter on Human and Peoples’ Rights, 1981as well as UN Resolutions, Peace Agreements and Soft Law relating to IDPs (UN Guiding Principles on Internal Displacement, 1998). The Final Report considers that the State of origin is obliged to facilitate return (at Para. 60). The Dayton Peace Agreement made the return of refugees and displaced persons an “important objective of the settlement and resolution of the conflict in Bosnia and Herzegovina”as enunciated in Annexure 7, Article 1 (1) of Dayton Peace Agreement. It provides for refugees and displaced people to return to their “homelands of origin,” leaving the choice of destination to the returnees, and for the return of their property and compensation.

The practice of return has proved problematic with multi-dimensional ramifications as the right has been insufficiently enforced is illustrated by repeated failures to implement UNGA Resolution 194 (III) (1948) concerning the return of Palestinian refugees, and to secure the return of refugees in Cyprus. Likewise, security concerns and delay in resolving property claims have proved formidable obstacles to implementing return provisions in the Dayton Peace Agreement. Moreover, the scope of the right to return, particularly the effect of the passage of time, is unclear. As the Final Report states, “peace is ultimately an act of compromise” as noted at Para 63.Thus, the ECtHR has observed that:

“It cannot be within this Court’s purview in interpreting and applying the provisions of the Convention to execute an unconditional obligation on a Government to get on on the forcible ejection and rehousing of possibly large numbers of people (men, women, and children) even with the aim of justifying the rights of victims of violations of the Convention” (Demopoulos v. Turkey, Para. 116).

Of significant legal contestation is the effect of the Oslo Accords, which do not refer to UNGA Resolution 194 (III) on the right to return of Palestinian refugees. In 2003, the Danish Supreme Court refused to grant a right of return to the Thule tribe who were relocated in 1953 to facilitate the establishment of a US airbase, although it did order the payment of compensation (Hingitaq 53 v Prime Minister’s Office, Danish Supreme Court [28 November 2003] (2004) 98 AJIL 572).Similarly, on a number of occasions the whilst English courts have ruled that Britain’s removal of the Chagos Islanders between 1965 and 1973 to make way for an American Military Base, and the Orders in Council (2004) preventing their return, are illegal (R. [Bancoult] v. Secretary of State for Foreign and Commonwealth Affairs [No 2] [2007] EWCA Civ 498). The British government has opposed long-term resettlement, and the House of Lords has subsequently, on appeal, upheld the legality of prerogative orders preventing the unrestricted return of the Chagos Islanders (R [Bancoult] v. Secretary of State, Foreign and Commonwealth Affairs [No 2] [2008] UKHL 61).

Entitlement to compensation for unlawful population transfer forms part of duty on the part of the responsible State to compensate victims of human rights abuses, which is increasingly gaining recognition in modern international law (Report of the International Commission of Inquiry on Darfur Paras 590–603). Such a right is also recognized in specific international instruments, sometimes as a prerequisite to the lawfulness of transfer, but also for loss and injury arising from the transfer (Article 16, ILO Convention No 169; Article 8 of the PTD; Principle 29of UN Guiding Principles, 1998). The Progress Report suggests that in the case of lawful transfer damage should be compensated “as a matter of equity” as per Para137 that analyses the Equity in International Law. There is also judicial recognition of a victim’s right to receive compensation for loss arising out of population transfer as stipulated in the Loizidou Case. This right may require general measures to be taken at the national level according to the Broniowski Case, Xenides-Arestis v. Turkey [ECtHR]). Further, in Demopoulos v. Turkey, the ECtHR dismissed the claims of Greek Cypriots based on the EuropeanConvention on Human Rights(ECHR) under its Article 8 and Article 1 of the Additional Protocol to the ECHR on grounds of non-exhaustion of domestic remedies, holding that the Turkish Republic of Northern Cyprus Immovable Property Commission provided “an accessible and practical framework of redressal in regarding complaints about interference with the property owned by Greek Cypriots adumbrated at Para 127. Amongst the recommendations of the Final Report at Para 74 is the establishment of an International Trust Fund (ITF) for rehabilitation of population transfer survivors. The issue of reparations for the slave trade remains contested which has been shown by discussions taking place during the World Conference against Racism, Racial Discrimination, Xenophobia and Related Intolerance in Durban in 2001.

Conclusion

It may aptly be understood that presently many regions in the world mainly Balkans and the Caucasus in Europe, South Asia (Statelessness) and South East Asia  (displaced persons—Rohingya refugees) have been devastated by ethnic and racial conflicts. The global conflicts in Gulf region, Syria, Yemen, Congo, Rwanda, South Sudan, Lebanon, etc. have triggered massive human displacements, refugee migration and asylum seekers that have been forcing people to flee within their homelands or abroad owing to fear of persecution.The absence of a single global instrument on population transfer leads to overlap, inaccessibility, and disparity in the level of protection available to victims of different forms of population transfer. Some of these problems would be overcome if States were to adopt the Population Transfer Declaration. Given the deleterious consequences of population transfer and the difficulties of enforcing the law on consent, return, and compensation, it might be questioned whether legal provisions still weigh too heavily in favor of States and entities seeking to transfer.

Ph. D., LL.M, Faculty of Legal Studies, South Asian University (SAARC)-New Delhi, Nafees Ahmad is an Indian national who holds a Doctorate (Ph.D.) in International Refugee Law and Human Rights. Author teaches and writes on International Forced Migrations, Climate Change Refugees & Human Displacement Refugee, Policy, Asylum, Durable Solutions and Extradition Issus. He conducted research on Internally Displaced Persons (IDPs) from Jammu & Kashmir and North-East Region in India and has worked with several research scholars from US, UK and India and consulted with several research institutions and NGO’s in the area of human displacement and forced migration. He has introduced a new Program called Comparative Constitutional Law of SAARC Nations for LLM along with International Human Rights, International Humanitarian Law and International Refugee Law & Forced Migration Studies. He has been serving since 2010 as Senior Visiting Faculty to World Learning (WL)-India under the India-Health and Human Rights Program organized by the World Learning, 1 Kipling Road, Brattleboro VT-05302, USA for Fall & Spring Semesters Batches of US Students by its School for International Training (SIT Study Abroad) in New Delhi-INDIA nafeestarana[at]gmail.com,drnafeesahmad[at]sau.ac.in

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A sea and thousands of concerns

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The name of the “Caspian Sea” has been recently heard more than any other time! In the meantime, there are rumors, ambiguities and, of course, concerns that need to be described in the Convention on the Legal Status of the Caspian Sea which was signed on August 12 in the port city of Aktau, Kazakhstan.

Accordingly, there are some important points that calls for attention and scrutiny. In general, over the past 21 years, several meetings have been held on the Caspian Sea and how the coastal countries should be benefited from its resources. In these meetings, legal, security, economic, and even cultural cooperation were discussed among the littoral countries.

After more than two decades of fraught diplomatic efforts, the five littoral Caspian nations – Russia, Iran, Kazakhstan, Azerbaijan and Turkmenistan – agreed upon a legal framework for sharing the world’s largest inland body of water. However, as long as all disputes, especially legal conflicts between the participating countries aren’t resolved, it is impossible to talk about the establishment and continuity of sustainable relations among these countries. It should be noted that over the past two decades, one of the main tasks of our country’s Ministry of Foreign Affairs has been to direct this case and determine its legal convention.

1) Prolongation of the finalizing process of a case is not undesirable if it’s the result of scrutiny in the legal and technical parts. This is the case with determining the legal dimensions of the Caspian Sea Convention. After the collapse of the Soviet Union, we witnessed a kind of transformation in the Caspian legal regime. The Soviet Union was divided into 15 countries.

Consequently, Russia, Kazakhstan, Azerbaijan and Turkmenistan each became a separate and independent variable in this equation. Undoubtedly, the transformation of a two-variable legal equation into a “legal-security” multivariable equation is not considered a simple transformation. Therefore, we should understand the complexities of the Caspian case.

The countries of Iran, Azerbaijan, Turkmenistan, Russia and Kazakhstan each have specific demands regarding their share of the Caspian Sea resources. Making a balance between these demands and subsequently realizing them is very difficult and complicated. What is important in this context is to strengthen the “principle of cooperation” among the Caspian coastal nations, and to define joint maritime projects among all neighboring countries to protect the Caspian Sea.

Another point to be taken into consideration here is about the draft of the Caspian Sea Legal Convention and the role of the Foreign Ministry in this process. As mentioned above, the Caspian Sea Case has been open for more than two decades and has not yet come to a complete conclusion. Negotiations held among the Caspian Sea littoral states should distract our attention from the realities.

It should be noted that the establishment of the Caspian Sea Legal Convention is the basis for solving the existing disagreements over the Caspian Sea and defining concrete and conclusive cooperation among the littoral countries. A remarkable part of such security and economic cooperation will be the result of this convention.
In other words, the Convention on the Legal Status of the Caspian Sea can’t and shouldn’t be taken as in the same level with “defining the security and economic cooperation” between the coastal countries. Undoubtedly, the definition of economic, security and even cultural cooperation between the coastal countries depends on the settlement of legal disputes between these countries and setting of a common legal convention.

2) Speaking of controversial issues such as Iran’s 50 percent share of the Caspian Sea, which couldn’t be fulfilled even before the collapse of the Soviet Union, and the creation of false subjectivities in the country, by those who claim to be the representatives of our people, has no result except for the weakening of national security.

his is while the Iranian president, Hassan Rouhani, had emphasized that “we should recognize there are more important issues that need to be addressed.”
This is a legal process, and one of the main tasks of our country’s diplomacy and foreign policy system is to manage and direct this complex process. Obviously, under the current circumstances, expressing biased and targeted words will only lead to the loss of focus of our country’s diplomatic apparatus on this critical case.

Finally, it should be noted that good commitments were made during the meeting among the countries involved in this case. Today, the ministers of foreign affairs of the Caspian littoral states, unanimously emphasize on the necessity of the absence of foreign forces in this region, which is a positive trend. Moreover, from the statements made by the foreign ministers of the Caspian littoral states, we understand that their cooperation on resolving existing disputes has become faster than before.

However, until all legal conflicts between the Caspian littoral countries are not totally resolved and the Convention of the Caspian Sea Law Convention is not perfectly codified, we can’t think of this legal and strategic case as closed and settled. Therefore, in this critical situation, all efforts should be made so that Iran can benefit most.
It is emphasized here that even one singled legal disagreement should not remain among the players involved in the case. Meanwhile, the mechanism for resolving disputes should be carefully decided. Therefore, while welcoming the settlement of the existing disagreements over the Caspian Sea, there shouldn’t be any haste in completing this process.

First published in our partner Tehran Times

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Iran has to be very careful in future negotiations on Caspian Sea

Payman Yazdani

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Professor of political science says although the text of the Caspian Sea Treaty signed on August 12, 2018 in Kazakhstan does not define the share of each of the littoral states, Iran has to be very careful in future negotiations.

Five Caspian Sea littoral states signed Caspian Sea Treaty on August 12, 2018 in Kazakhstan. The agreement has created many debates about the share of Iran in Iran.

To know more about the issue we reached out to Nader Entessar Professor Emeritus of Political Science in University of South Alabama.

There are many debates on the legal regime of the Caspian Sea. Some argue that according to the treaties of 1921 and 1940 between Iran and the USSR, the share of Iran equals to 50% of this sea. Is Iran’s share stipulated in those treaties?

Nader Entessar

No.  Neither the 1921 nor the 1940 treaties specify that Iran and the USSR each share 50 per cent ownership of the Caspian Sea.  Both of these treaties talk in general terms about the resources of the Caspian Sea being the used by Iran and the USSR without stipulating the exact ownership of the seabed, boundary delimitation, and other related issues.  We have to remember that these two treaties were signed well before the United Nations Convention on the Law of the Sea (UNCLOS) was drafted and came into force.  Therefore, the 1921 and 1940 treaties could not have foreseen the complex issues of maritime boundaries that were discussed in UNCLOS.

Based on the international law, what is the legal status of the Caspian Sea after the collapse of the USSR and the sharing of the Caspian Sea by the five littoral states? Some bring about the idea of 20% sharing? Is there any base for this idea in the international law? 

The answer to this question depends on if the Caspian is defined as a “sea” or a “lake.”  If one classifies the Caspian as a lake, then according to international law its resources should be divided equally among the five riparian states.  However, if the Caspian is designated as a sea, then the five littoral states should draw lines extending from their shores to the midway point with littoral neighbors.  This explains why for many years Iran had insisted on defining the Caspian as a lake.  However, it appears that the five littoral states agreed in Aktau that the Caspian is a sea.  That is why some observers have argued that in the final delimitation agreement, Iran will end up getting not only about 13 per cent of the Caspian but also the saltiest and deepest part of it.

Is the share of each of the littoral states from the Caspian Sea defined in the convention signed on August 12 in Kazakhstan?

No, the text of the Caspian Sea Treaty signed on August 12, 2018 in Kazakhstan does not define the share of each of the littoral states.  In so far as Iran is concerned, this issue will have to be determined in a future agreement with Azerbaijan and Turkmenistan.  Iran has to be very careful in future negotiations with its two neighbors because the resulting boundary agreement will determine Iran’s final Caspian share.

What is the main achievement of the Aktau Convention, signed on August 12 in Kazakhstan, in regards to the legal regime and status of the Caspian Sea?

Although some reports have referred to the Caspian Sea Convention as a “landmark agreement,” I don’t view this agreement as such.  Its main achievement was that after more than 20 years of contentious diplomatic efforts, the five littoral states of the Caspian Sea finally agreed on a legal framework for sharing the resources of this significant body of water.  There are some clear and specific agreements in the Convention.  For example, all five littoral states agreed to 15 miles of sovereign waters, plus a further 10 nautical miles of fishing area.  But the wording of the Convention remains vague in many parts of the document, thus delaying divisive decisions that have to be made in future negotiations.

First published in our partner MNA

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International Law

Fifty Years of NPT: Weaknesses over the course

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NPT is a landmark treaty that lies at the heart of non-proliferation regime (NPR). In July 2018, Fiftieth anniversary of the NPT has been celebrated. Theoretically, NPT is committed to the goal of arms control and aims to accomplish the nuclear disarmament. For this purpose, the NPT member states are devoted to pursue three key objectives of the treaty: prevent horizontal proliferation, state’s right to use nuclear energy for peaceful objectives, and nuclear disarmament. However practically due to shifting US’ alliances, major power politics, and growing arms race, the fifty years of NPT has only delivered “Distress, Conflict and discrimination”.

Loopholes and weaknesses exist in NPT which are being misused by Nuclear Weapon States (NWS) and Non-Nuclear Weapons States (NNWS) of the treaty. Despite the NPT’s presence for 50 years and an expansion in its membership, atomic weapons have not been wiped out from the world. All the NWS aim to maintain their nuclear weapon state status due to their security or strategic concerns. Despite the dialogues of arms control, all major and smaller nuclear weapon states are committed to maintaining credible deterrence and strategic balance. Such aspirations of NWS demonstrate that major powers party to the arms control and disarmament treaty are merely the silent spectators to the existing weakened structure of the so called universal treaty of 191 member states due to their own vested interests.

The fifty years of NPT have reaffirmed that the universal mechanism to fight with nuclear proliferation and achieving the objective of disarmament is not adequate for two reasons: first, the international mechanism of non-proliferation has failed to deal with the few potential proliferators; secondly, strategic and security concerns of NWS and NNWS has undermined the Articles I, II, IV, VI and X of the treaty. In spite of the fact that until the 1980s worldwide measures to counteract atomic multiplication were generally more effective, yet in the subsequent years the NPT was not much successful to counter the aspirants of nuclear capability such as North Korea, Iran, Libya and Syria. Due to inadequate mechanism and weaknesses of the treaty, now nine states possess nuclear weapon capability and approximately 30 states have the technical ability to acquire it that is viewed as serious threat to the NPT.

Despite the potentials of non-proliferation, since 1968 with participation of 191 states and various agreements and talks, an efficient and effective regime stresses on pin pointing the weaknesses and restructuring, re-evaluation and reformation of the treaty structure.  The key setback to the NPT is that the articles of the treaty are not fairly adopted by the member states due to which the regime has failed to address the significant objectives of horizontal proliferation, arms control and disarmament. For instance under Article I of the treaty, transfer of nuclear material and technology by NWS to NNWS is prohibited. But treaty has failed to address the transfer of fissile material and nuclear technology from one NWS to another NWS. Such dynamic have increased the insecurities of NNWS and resultantly forces them to take extreme measures to ensure their security .e.g. North Korea. Simultaneously, despite being the member of the treaty, the US has been providing nuclear related technology to India since 1990s under the umbrella of various bilateral treaties or agreements. India-US nuclear agreement and granting of NSG waiver to India is viewed as an intentional measure to help India increase its military buildup to carry forward strategic ambitions of the US in the Asian region.

Furthermore, the US agreement with India for joint production and development of  military related technology such as mini UAVs , distinctive kits for C130 and designing/ development of jet engine technology has played central role in speedy development of India’s nuclear program. Such development is not only the violation of NPT by the US but also compels the NNWS to acquire nuclear capability to address their security concerns.  Right of all states to use nuclear energy for peaceful objectives played key role as bargaining chip and is viewed as major loophole in the treaty due to technical similarities in peaceful use of nuclear technology and technology for military purposes. North Korea Withdrew from the NPT in 2003.Article X of the treaty provides the right to member states to withdraw from the treaty if their sovereignty is on stake. However not accepting the states’ right to withdraw from the treaty is denial of their right of self defence and violation of treaty. Therefore, discriminatory attitude, special treatment and country specific treatment pose serious question mark on the implementation and standards of NPR.It demonstrates that the regime is just an instrument of major powers to fulfill their strategic and foreign policy objectives.

The current doctrines of NWS comprise of elements warfare, which shows hegemonic mindsets of major powers and explains their reluctance to give up on their “nuclear assets”. These factors have posed negative impact on the process of non-proliferation and disarmament. Therefore it can be inferred that the above mentioned scenarios have played central role in keeping Pakistan away from joining the NPR. If NPT states want to attract non-NPT states for the membership of regime then the current member states will have to pursue non-discriminatory approach towards non-proliferation themselves.

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