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ASSESSING THE FEASIBILITY OF A BUSINESS AND HUMAN RIGHTS TREATY

Published online by Cambridge University Press:  23 November 2016

Lee McConnell
Lee McConnell*
Affiliation:
lee.j.mcconnell@northumbria.ac.uk
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Abstract

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

Keywords

business and human rightsformalisminternational human rightsinternational law-makinglegal analogylegal theorynon-State actorspure theory of law
Type
Articles
Information
International & Comparative Law Quarterly , Volume 66 , Issue 1 , January 2017 , pp. 143 - 180
Copyright
Copyright © British Institute of International and Comparative Law 2016 

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

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

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

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

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

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

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

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

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

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

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

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

122 Bosnian Genocide (n 84) [432].

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

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

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

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127 Aust (n 96) 231.

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129 Lanovoy (n 98) 140.

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

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

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

134 Bolvin (n 130) 471–2.

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

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

137 Aust (n 96) 232.

138 ibid 246.

139 Velásquez Rodríguez (n 125).

140 ibid [166].

141 Aust (n 96) 246.

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

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

144 Jackson (n 45) 195.

145 ibid 196.

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

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

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

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

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

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

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

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

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

155 ibid at [67].

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

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160 Gibney, ‘Litigating Transnational Human Rights Abuses’ (n 110) 96–7.

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

162 Brownlie, I, Principles of Public International Law (OUP 2008) 436; Wyler and Castellanos-Jankiewicz (n 136) 303Google Scholar.

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

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

165 Noyes and Smith (n 12) 226.

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167 While Brownlie disputed the relevance of this principle in international law, scholars have provided detailed accounts of its prevalence in Western common law and civil jurisdictions, Eastern jurisdictions and Islamic law: Brownlie, I, System of the Law of Nations: State Responsibility (Clarendon Press 1983) 189; Noyes and Smith (n 12) 249–58Google Scholar; Verheyen, R, Climate Change Damage and International Law: Prevention Duties and State Responsibility (Martinus Nijhoff 2005) 270–2Google Scholar.

168 Statute of the International Court of Justice, as annexed to Charter of the United Nations (26 June 1945) 1 UNTS XVI, art 38(1)(c); Noyes and Smith (n 12) 250.

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

170 ibid art 5.

171 ibid art 4.

172 ibid art 4(2).

173 Noyes and Smith (n 12) 259.

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

175 Plakokefalos, I, ‘Shared Responsibility Aspects of the Dispute Settlement Procedures in the Law of the Sea Convention’ (2013) 4 JIDS 396 Google Scholar.

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

178 Responsibilities and Obligations of States Sponsoring Persons and Entities with

Respect to Activities in the Area (No 17) (Advisory Opinion of 01 February 2011) 11 ITLOS Rep 2011 10, 201 (hereafter, ITLOS Case No 17).

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

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

181 Plakokefalos (n 175) 397–8.

182 Fry (n 100) 128–133.

183 Plakokefalos (n 175) 397.

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

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

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

187 A Nollkaemper, ‘The Seabed Disputes Chamber’ (SHARES Project, 25 November 2011) <http://www.sharesproject.nl/the-seabed-disputes-chamber-clarified-the-meaning-of-joint-and-several-liability-but-also-raised-new-questions/>.

188 UNCLOS (n 177) art 22 Annexe 3.

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191 Plakokefalos (n 175) 404.

192 ibid 401.

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

194 Nollkaemper and Jacobs (n 62) 423.

195 JG Ruggie, ‘A UN Business and Human Rights Treaty?’ (Harvard Kennedy School, 28 January 2014) 3 <https:// www.hks.harvard.edu/m-rcbg/CSRI/UNBusinessandHumanRightsTreaty.pdf>; M Addo, UN Working Group on Business and Human Rights, ‘Human Rights and Transnational Corporations: Paving the Way for a Legally Binding Instrument’ (Geneva, 11–12 March 2014) 4 <http://www.ohchr.org/Documents/Issues/Business/WGStatementEcuadorWorkshop12Mar2014.pdf>.

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198 United Nations Convention against Corruption (31 October 2003) UN Doc A/58/422, art 26.

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

200 Nollkaemper, A, ‘Responsibility of Transnational Corporations in International Environmental Law: Three Perspectives’ in Winter, G (ed), Multilevel Governance of Global Environmental Change – Perspectives from Science, Sociology and Law (CUP 2006) 196Google Scholar.

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208 ‘The exercise of jurisdiction is a necessary condition for a Contracting State to be able to be held responsible for acts or omissions imputable to it which would give rise to an allegation of the infringement of rights and freedoms set forth in the Convention.’ Al-Skeini and Others v United Kingdom, App No 55721/07 (ECtHR 2011) at [130] (hereafter, Al-Skeini); Karavias, Corporate Obligations (n 2) 85–9.

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213 ibid 525–6.

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

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

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221 Karavias, ‘Shared Responsibility’ (n 61) 113.

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223 UNGPs (n 1) Commentary to Principle 17.

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

225 ibid 6, paras 10–13.

226 Karavias, Corporate Obligations (n 2) 173.

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229 Al-Saadoon and Mufdhi v United Kingdom, App No 61498/08 (ECtHR 2009); Al-Skeini (n 208); Medvedyev and Others v France, App No 3394/03 (ECtHR 2010).

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

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

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233 Karavias, Corporate Obligations (n 2) 174.

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

239 Ruggie, ‘A UN Business and Human Rights Treaty?’ (n 195); P Muchlinski, ‘Beyond the Guiding Principles? Examining New Calls for a Legally Binding Instrument on Business and Human Rights’ (Institute for Business and Human Rights, 15 October 2013) <http://www.ihrb.org/commentary/guest/beyond-the-guiding-principles.html>.

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

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

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

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

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

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

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

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

258 ibid.

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

260 Plakokefalos (n 175) 398.

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265 ibid 227.

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