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International Law

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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International Law

Legal framework of the Caspian Sea and the interests of Iran

Javad Heirannia

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Authors: Javad Heirannia and Omid Shokri Kalehsar*

In international law, the concept of power is inevitably alongside with the principles of the law.

In other words, since there is no judiciary reference in the international judiciary conflicts, the law is affected by the concept of power in international system. There are different opinions about the relationship between power and law.

Different legal schools of thought differ in their views towards the relativity of power and rights.

Realists believe that power is the main core of international law and takes the main role in the basic norms and principles of international law and relations. So; law should be in compliant with national interests and accordingly it takes prominence. Contrary to realists, scholars from the Yale University Law School do not accept power as the core of international law and emphasize global social commonalities instead of the traditional notion of power. But in general, we cannot ignore the role of power in creating international rules among governments.

Therefore, due to the importance of power in politics, when we want to determine Caspian Sea legal status, at the same time that we pay attention to previous legal contracts, including the treaties of 1921 and 1940 between Iran, Russia and the former Soviet Union, we have to also consider the political conditions. According to the text of an agreement between the presidents of Iran, Russia, Azerbaijan, Turkmenistan and Kazakhstan, signed on August 5 in Aktau, Kazakhstan, the five countries agreed on issues such as military, security, shipping and economic matters, but delineating seabed and sub-seabed postponed to bilateral agreements between countries. However, the announcement of the signing of an agreement between the government of Iran and the other four countries after nearly three decades of the collapse of the Soviet Union Led to the critical reactions of many Iranians, especially those saying that Iran had enjoyed 50% share of Caspian Sea during the former Soviet Union.

Russo-Persian Treaty of Friendship (1921), Treaty of Commerce and Navigation (1940)

The 1921 treaty is one of the agreements between Iran and Russia on the Caspian Sea. According to the treaty, the Caspian Sea is a common sea between Iran and Russia, both enjoying equal rights of free navigation. According to Article 40 of the treaty, 10 miles were considered as an exclusive fishing zone and the rest was shared between Iran and Russia. Of course, in this treaty, Iran was requested to surrender fishing privilege to Russia to help Russian livelihoods, and the privilege was awarded to them in 1925 for 25 years. But Iran’s Prime Minister, Mohammad Mosaddeq, did not extend the second period of 25 years, although the Soviets continued fishing in all areas and waters of the Caspian, but Iran was usually fishing only in the coastal zone. This continued, and although the fishing privilege for the Russians was not renewed, Russia and Iran both operated at the sea.

Before signing 1921 contract, only the Russians could have military naval forces in the Caspian on the basis of Treaty of Turkmenchay and Treaty of Gulistan, the privilege of which was awarded to Russians by two above-mentioned treaties. In fact, after the oppressive and one-sided Treaty of Turkmenchay and Gulistan between Iran and Tsardom in the first quarter of the nineteenth century, 1921 contract between Iran and the Russian government was the first formal agreement with almost equal status in the Caspian Sea. But the 1940 contract was a little different from the 1921 in which the Russians set to be in a higher position in the contract clinched during Stalin and Iran, the difference of which is totally clear by contrasting them. Parts of the 1940 treaty were on commercial and customs rights between the two countries and other clauses were about the shipping rights of the two sides over the Caspian Sea. The position of Iran in this contract was slightly better than the one in what were signed during the Tsardom of the Russian era.

Dividing the seabed and sub-seabed; ignoring Iran’s viewpoints

After the collapse of the Soviet Union and the founding of the Russian Federation, three other new countries around the Caspian Sea were created from the Soviet heritage, including Kazakhstan, Azerbaijan and Turkmenistan. Although Iran and Russia at this stage were set for the Caspian Sea to treat a shared one, the Russians took a dual stance in this case. In this regard, Russia from one side stroke a bilateral deal with Kazakhstan in 1988 dividing the northern seabed and its resources and from the other side clinched similar contract with the Republic of Azerbaijan. It led to Iran’s protest maintaining that because both countries enjoy the joint ownership of the Caspian Sea, then any decisions have to be taken jointly in this regard.

According to the joint ownership principle, resources are considered jointly and therefore would have to be divided equally based on an agreement signed by all the Caspian coastal countries. Hence, what the Russians did in dividing Caspian seabed and its resources bilaterally ran contrary to joint ownership principle. In fact, when we consider the Caspian Sea as a common sea, all the resources of this sea are divided equally among all members. Therefore, the Russians’ attempts to conclude bilateral agreements and the division of the continental shelf is contrary to the being common sea of the Caspian.

Under Mohammad Khatami, the then president of Iran, it was proposed that the Caspian Sea be divided equally having 20% share by each coastal country, but four others did not accept the offer, after which Iran declared that it will not allow any interference by other countries in 20% of its adjacent waters So, the Russian vessel left waters of Iran. Since that time, Iran has emphasized its 20% share, but Azerbaijan and Turkmenistan were dissatisfied with this situation, especially in the Alborz field with oil resources, making it a dispute and the disagreement has prolonged so far.

After Kazakhstan’s Aktau agreement on the Caspian Sea, Iran declared to continue governing its 20% share of waters as long as its share with Azerbaijan and Turkmenistan is not determined well.

After the meeting, Iranian President Hassan Rouhani stated: “There are still issues in the southern part of the sea between Turkmenistan, Iran and Azerbaijan. We had good agreements with Azerbaijan that are in operation, but some of these issues have not been resolved yet. At the recent Caspian Summit, some serious issues concerning Iran and many other countries were resolved the most important of which was security in the Caspian Sea.

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The talks between Iran and Azerbaijan and Turkmenistan on the Caspian Sea have been Unsuccessful. Recently, Russia has announced a new plan with coastal states accepting it with the exception ofIran. According to the Russian plan, 15 miles would be considered as the territorial sea and 10 more miles as the exclusive fishing zone. The surface water would be for shared shipping, but seabed and sub-seabed resources are divided according to the 1998 contract.

In Kazakhstan’s Aktau agreement, Caspian Sea navigation was calculated according to the Convention on the Law of the Sea(1982). According to the Convention, 15 miles considered as coastal waters and 10 miles as the exclusive fishing zone putting the rest as a common area. This means that the sovereign right of Iran in the Caspian will be less than 13%.

Because the Caspian Sea doesn’t have any link to open waters, it is in fact considered as a great lake the rules of which are regulated on the basis of the coastal states multilateral agreements.

Based on Kazakhstan’s Aktau agreement, the baseline of the Caspian Sea has been identified; therefore, it is impossible for Iran to determine its share of the seabed and sub-seabed resources in upcoming negotiations. Also, since the deeper part of the Caspian Sea is located in the southern part, the Iranian side, Iran’s share of internal waters will be much less. In the other words, Iran’s baseline in Caspian Sea will not be so distant from the coast, something that can bring about security consequences for the country.

Sharing seabed and sub-seabed in accordance with bilateral agreements among other countries expect for Iranis detrimental to Tehran. However, when the rule over a sea is deemed as joint ownership, its mineral resources, oil and gas are to be taken into consideration fully and then the achieved interests are divided among 5 countries. According to the Convention on the legal status of the Caspian Sea, the areas beyond the territorial waters and exclusive fishing zone of each country are to be known as a common or joint zone. In this case, the use of seabed resources in the Caspian Sea remains unclear.

This is especially true in the southern part of the Caspian Sea, because the fate of the resources in the northern part of the Caspian Sea is determined in the bi-and-trilateral agreements of Russia, Kazakhstan and Azerbaijan. So, the existing disputes are only among Iran with two countries including Azerbaijan and Turkmenistan. As a result, declaring the area beyond the territorial waters and the exclusive fishing zone as a joint ownership means destroying the sovereignty of Iran over the energy field of the Alborz in the Caspian Sea. Based on bilateral agreements signed between Russians with Kazakhstan and then with Azerbaijan and also between Kazakhstan with Turkmenistan in 1998, seabed and sub-seabed resources were divided between themselves, making the share of Iran negligible.

Russia, in fact, by signing the above bilateral contracts violated the joint ownership agreed upon with Iran and the case ended in Tehran’s detriment. Since the presidency of Khatami, Iran has emphasized that it has 20% share in Caspian Sea and announced not to allow others to do any kind of activity in its territorial waters. That’s why the Azerbaijani oil operation in the joint oil field with Iran was stopped. While before Kazakhstan’s Aktau agreement, Iran rejected the joint exploitation with Azerbaijan, Tehran approved 50-50 division of the oil field of Alborz with the country in this convention.

One of the criticisms leveled against Aktau convention is that the determination of the share of each Caspian coastal state in the seabed and sub- seabed and put to future bilateral negotiations.

In other words, the convention only discusses surface water and since the convention has determined the baseline, Iran cannot determine its share in seabed and sub-seabed.

Of course, the Kazakhstan’s Aktau agreement calls for a revision of the previous bilateral agreements between 4other Caspian Sea states, which can be in Iran’s favor. The review not to be based on the length of the beaches, since the contracts of 1921 and 1940 were not based on the length of the coasts, but all the sea was reckoned as common. Therefore, Iran’s share in Seabed and sub- Seabed resources should be more than what is now mentioned in the Aktau convention. Accordingly, if there is a review in the agreement, it can make a revision in Iran’s right and share in the Caspian Sea. While, due to the ordinary practice that making any decision is based on bi-and-multilateral negotiations, bilateral agreements clinched between some coastal countries have led to the violation of Iran’s rights in the Caspian Sea.

“Taking dual role, unfriendly and sensitive-inducing of Russia in the issue as well as sharing method of seabed based on bilateral agreements with new adjacent neighbors is one of the most important reasons Iran encounters a crucial problem in the Caspian Sea whereof”, Mohsen Aminzadeh, former deputy for foreign minister of Iran during the presidency of Mohammad Khatami, believes. In reaction to Russia on dividing the resources of the Caspian sub-seabed without any coordination with Tehran, Iran announced that the final acceptance of the Caspian Sea enjoying joint ownership in the legal regime is conditional to determine the Caspian sub-seabed resources. This is while Iran for the first time formally abandoned the condition at the second meeting of the Caspian Sea in Tehran accepting the joint ownership of everything in the Caspian Sea but the sub-seabed tacitly.

Iran also accepted the crossing of the pipeline and energy transmission through the Caspian Sea in the Aktau agreement. This is while the crossing from Turkmenistan and Azerbaijan could have been done through Iran instead. Consequently, from one hand, Iran lost this opportunity and on the other hand, accepting the crossing of the pipeline through the Caspian Sea will have environmental risks. Regarding security issues, The Kazakhstan’s Aktau agreement says that the Caspian Sea is not a military one, resolving Iran and Russia’s concerns over the presence of NATO in the sea. Of course, the very issue was in the previous treaties, but it was discussed more extensively in the Kazakhstan Convention. So, foreign powers cannot run for any military and naval bases on the Caspian shore and making any threats against other coastal states.

Prior to the Aktau agreement, When Iran had any disagreement over the Caspian Sea, it relied on both historical background and the 1921 treaties with Russia and 1940 treaties with the Soviet Union. Iran has always put emphasis on this historical background making its status one of two historical claimants of the Caspian Sea. Iran ignored these two historical contracts in Aktau convention by giving them up in its text.

Earlier, during the formal declaration of Tehran Summit, being the first joint document of the five leaders, no reference was made to the above-mentioned historical background and contracts.

The President of Kazakhstan formally stated in his speech that the previous treaties over the Caspian Sea have become null and void making it deemed accepted indirectly by Iran’s silence.

The newly independent coastal states are not interested in the historical background of the Caspian Sea, so they are trying to forgo the historical claimants of the two countries -Iran and the Soviet Union. They are more willing to Institutionalize the trends of the five countries instead of the historical background, but this doesn’t justify Iran’s withdrawal from its substantiated claims on the Caspian Sea.

“Iran could at least register its own stance alone concerning the historical background of its claims on the Caspian Sea in Tehran Summit putting emphasis on it. Therefore, it is really unclear why such a negligence was made in spite of the great importance of these backgrounds over Iran’s endless legal disputes over the Caspian Sea.” Mohsen Aminzadeh, former deputy for foreign minister of Iran during the presidency of Mohammad Khatami, believes.

*Omid Shokri Kalehsar, Senior Energy Security Analyst

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International Law

UN Global Compact on Migration: Toward a Resurrection of International Refugee Law

Dr. Nafees Ahmad

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International Refugee Law (IRL) stands on a humanitarian platform that is, unfortunately, derisory and insufficient for the contemporary time, but one, which remains a terra incognita despite the frequency and enormity of current refugee crises. The problem of the refugee is today profoundly different. The persecutors are not defeated and defunct regimes.  Instead, persecutors are existing governments, able to insist on the prerogatives of sovereignty while creating or helping to generate refugee crises.  When labeled as persecutors, they react as governments always react. They assert their sovereignty and castigate as politically motivated the human rights claims made against them.  To criticize these governments as persecutors are often the surest route to exacerbating a refugee crisis because it shrinks the opportunity to garner their requisite cooperation. In the face of dramatically and cataclysmically changed social and economic conditions, States felt obliged to abandon the centuries-old practice of permitting the free immigration of persons fleeing dangerous circumstances in their home countries. To limit the number of persons to be classified as refugees while still offering sanctuary to those in greatest need, international legal accords were enacted which imposed conditions requisite to a declaration of refugee status.

The Global Compact for Safe, Orderly and the Regular Migration (GCM) is slated to be unprecedented inter-governmental agreement secured by the United Nations Organization (UNO) addressing all dimensions of international migration. It provides an extraordinary occasion to enhance the Global Governance of International Migration within the Framework of Sovereignty, Safety, and Sustainable Development. In the contemporary international migration patterns, migrants have become a resource to sustainable development. The idea of GCM mooted in April 2017 would be crystallized at the end of 2018 by adopting the GCM at the United Nations General Assembly (UNGA) sponsored inter-governmental conference on international migration.

GCM Genesis: The New York Declaration

On 19 September 2016, Heads of State and Government congregated to regurgitate at the global level within the UNGA, challenges presented by the international migration and refugees’ flows across the globe. It evolved a political understanding that international migration and refugee issues must have visible priority in the global agenda. Thus, 193 UN nation-states have committed and recognized the necessity for greater cooperation coupled with a holistic and consolidated approach to address the human mobility and adopted the New York Declaration for Refugees and Migrants (NY-DRM). The NY-DRM envisages the protection, safety, dignity, human rights and fundamental freedoms of all migrants irrespective of their migratory status at all times by supporting nation-states who are receiving, rescuing and hosting large populations of migrants and refugees. It undertakes to integrate migrants with the host communities by addressing the requirements and capabilities of both migrants and host states within the framework of sovereignty, safety, and sustainable development. It requires combating xenophobia, abolishing the racism and eliminating discrimination towards all migrants by developing a state-driven process of non-binding principles and voluntary guidelines regarding the treatment of migrants in vulnerable situations. The NY-DRM stipulates the strengthening the global governance of international migration, including by bringing International Organization of Migration (IOM) into the UN orbit and through the accelerated development of a Global Compact for Safe, Orderly and Regular Migration.

GCM Aims: Agenda For Sustainable Development

The NY-DRM under its Annex II has commenced an inter-governmental process of consultations and parleys culminating in the scheduled adoption of the Global Compact for Migration at an intergovernmental conference on international migration in 2018.The GCM has been contemplated consistent with Target 10.7 of the 2030 Agenda for Sustainable Development in which UN Member States pledged to have global cooperation to enable safe, orderly and regular migration as per the mandate enunciated in Annex II of the NY-DRM. The Annex II proposes to address all dimensions of international migration, including the developmental, environmental, human rights-oriented, humanitarian, and other dimensions. It is bound to contribute to global governance and improve coordination on international migration by envisaging a framework for comprehensive international cooperation on human mobility and migrants. The impugned GCM framework would have a range of actionable commitments that might ensure the implementation, follow-up structure, and review among the UN Member States regarding international migration in all its dimensions propelled by the 2030 Agenda for Sustainable Development. Further, the Addis Ababa Action Agenda and the Declaration of the 2013 High-Level Dialogue on International Migration and Development would create an informed international community.

GCM Development: The Rule of Law, Transparency and Inclusion Process

The place of the rule of law in the global governance of international migration has been duly identified as an appropriate lego-institutional response to migratory movements. However, the rule of law required its application and interpretation in the municipal jurisdiction and as well as international courts and tribunals particularly in the context of human rights of migrants and refugees and forcibly displaced persons. Therefore, the rule of law must also be reflected in the reception policies of migrants, refugees, and forcibly displaced persons. The role of international and regional organizations like SAARC in supporting the incorporation the rule of law in municipal legal, administrative and judicial processes in the wake of global migration governance issues. Consequently, the process of consultations and negotiations for developing the GCM is being evolved with elements of openness, transparency, and inclusion. GCM subscribes to the active participation of all the stakeholders in its process such as civil society organizations, NGOs, the private sector, academic institutions, legislative bodies, diaspora communities, and migrant organizations. These elements have been postulated in the Modalities Resolution for GCM inter-governmental parleys.

Conclusion

The GCM is slated to explore the multi-layered dimensions of protection that international human rights law (IHRL), international humanitarian law (IHL), and customary international law (CIL) along with IRL offer to asylum-seekers, refugees, and the forcibly displaced migrants. The ambition of the GCM framework is to guarantee a defined range of protection to all human beings, and thus resurrect the IRL foundation from normative entitlement on the ground of exclusive reliance on national membership to substantive architecture of Safe, Orderly and Regular Migration Governance with a vision of common humanity. The GCM is a comprehensive initiative of international perspective that should not remain formally tied to States rather it must operate as a collective regarding its inception and implementation. The GCM norms must visualize the integration threshold with the empirical world while crystallizing the responsibilities for practical delivery. The GCM should remain predictable that the expectations raised by the normative reach of the IRL are often dashed in the multifaceted and problematic human world of contributory power, politics, and conflict. The mandate of the GCM ought to adumbrate the IHRL, IHL, CIL and IRL context, and allude the laxities and limitations for the resurrection of the IRL for ensuring the protection of refugees and asylum-seekers and to enhance the global governance of international migration.

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International Law

Celebrate United Nation’s Anniversary Today

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Human history is full of wars, invasions, disasters, injustice and biases among human beings. However the World War I and II are the major disasters for human kind. But there was always a desire for peace, justice, equality and mutual respect. To achieve such goals, many efforts have been witnessed in the history such as the creation of “International Committee of the Red Cross” and “The Hague Conventions of 1899 and 1907”. Following the catastrophic loss of life in the First World War, “the Paris Peace Conference” established the “League of Nations” to maintain harmony between countries. But all efforts were in vain and peace could not be achieved. World War II, was a major catastrophe and number of loss of human life crossed all the records.

United nation was established on 24 October 1945, with its headquarters at New York, USA and further main offices in Nairobi and Geneva and Vienna. It has following six principal organs : the General Assembly (the main deliberative assembly); the Security Council (for deciding certain resolutions for peace and security); the Economic and Social Council (ECOSOC; for promoting international economic and social co-operation and development); the Secretariat (for providing studies, information, and facilities needed by the UN); the International Court of Justice (the primary judicial organ); and the UN Trusteeship Council (inactive since 1994). UN System agencies include the World Bank Group, the World Health Organization, the World Food Programme, UNESCO, and UNICEF.

UN charter was drafted very well, it covers almost all possible aspect of human protection and was based on mutual consultation. It was agreed upon and accepted by all major powers of that time.

The UN is led by Secretary-General, which is tenure post and keep on rotation among the member states based on merit and vote. Currently the post is held by Portuguese politician and diplomat António Guterres since 2017.

UN has few success stories and major achievements in its credit like the role of UN in providing Food Aid to famine hit area, looking after the refugees, protection of children, peace keeping among the warring factions & nations, running free & fair elections, re-productive health & population management, war crimes prosecution, fighting AID, and bringing invisible ignored issues in forefront. No doubt, these are big achievements and UN performed very well.

However, there are so many issues not solved yet. UN failed to narrow down the gap between the rich and poor, small and big nations. It failed to stop wars and invasion by strong countries like: Iraq War, Libya War, and Afghanistan and Syrian issues. UN also failed to implement its resolution of Palestine and Kashmir yet. Although Millennium development goals were defined very well, but still not achieved as per scheduled.

With the changes occurred in the 7 decades, the nature of issues and complication of problems has also changed to a large extent. With creation of new knowledge and new technologies, the world has become more complex. The awareness among human kind has enhanced and they are demanding much more. It might be appropriate that the UN may under-go a comprehensive revision and reforms. There may an open debate and news ideas to make UN more effective should be encouraged. Any reforms backed by masses and intellectuals may be welcomed. Especially the five permanent members of the Security Council may under-goes major structural reforms. As it does not represent Africa, the major continent by population as well as resources. Middle East was ignored, it may be compensated by providing a permanent seat in Security Council. European Union is already very well developed and very strong, but enjoying 2 seats in Security Council permanently. I am not biased and may not give any specific suggestion and do not want to offend any country or nation. But, rather recommend to open a debate and try to find the ways and means to strengthen UN and make it so powerful that, no single country or nation dare to violate its Charter. The objective is to make our world more peaceful and protected.

However, we are elder generation and have a moral obligation to hand-over the world to our young generation, where they can live respectfully, peacefully and fearlessly. Let’s celebrate the UN Day with a wish to make UN more powerful and fruitful.

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