Europe and extraterritorial asylum
Heijer, M. den
Citation
Heijer, M. den. (2011, April 7). Europe and extraterritorial asylum. Meijers-reeks.
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Europe and Extraterritorial Asylum
Europe and
Extraterritorial Asylum
PROEFSCHRIFT
ter verkrijging van
de graad van Doctor aan de Universiteit Leiden,
op gezag van Rector Magnificus prof. mr. P.F. van der Heijden, volgens besluit van het College voor Promoties
te verdedigen op donderdag 7 april 2011 klokke 16.15 uur
door
Maarten den Heijer
geboren te Voorburg in 1979
Promotiecommissie:
Promotores: prof. mr. P. Boeles prof. dr. R.A. Lawson
Overige leden: prof. mr. H. Battjes (Vrije Universiteit Amsterdam) prof. mr. R. Fernhout (Radboud Universiteit Nijmegen) prof. mr. C.A.P. Hillion (Universiteit Leiden en
Stockholm University, Sweden)
prof. dr. G. Noll (Lund University, Sweden)
prof. dr. P.A. Nollkaemper (Universiteit van Amsterdam) prof. mr. N.J. Schrijver
prof. mr. P.R. Rodrigues
Lay-out: Anne-Marie Krens – Tekstbeeld – Oegstgeest
© 2011 M. den Heijer
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Table of contents
LIST OF ABBREVIATIONS IX
1 INTRODUCTION 1
1.1 Thesis of the study 1
1.2 Genesis of the study 1
1.3 Scope of the study 5
1.4 Goal of the study 7
1.5 Research questions and structure of the study 9
1.6 Delimitations of the study 12
1.7 Sources of the study 15
1.8 Scientific context of the study 16
1.9 Terminology 18
2 THE EXTRATERRITORIAL APPLICABILITY OF HUMAN RIGHTS 21
2.1 Introduction 21
2.2 The concept of jurisdiction in international law 25 2.3 The concept of jurisdiction in human rights law 28 2.4 On the different functions of jurisdiction in general international law and
human rights law 32
2.5 International case law on the extraterritorial applicability of human rights 35 2.5.1 Jurisdiction resulting from control over territory 35 2.5.2 Jurisdiction resulting from control over persons 41
2.5.3 Jurisdiction and positive obligations 52
2.6 Human rights treaties not containing a jurisdictional clause 55
2.7 Final remarks 60
3 THE RESPONSIBLE ACTOR 65
3.1 Outline of the chapter 65
3.2 Independent responsibility 69
3.2.1 Attribution and the act of state 69
3.2.2 Attribution of acts of natural persons and groups of persons to
the state 70
3.2.2.1 Attribution of acts of de jure and de facto state organs to the state 71 3.2.2.2 Attribution of acts of private persons or entities 74 3.2.2.3 Attribution of conduct directed or controlled by a state 75
VI Table of contents
3.2.2.4 Positive obligations and due diligence 83 3.2.3 Attribution of state conduct to another state 90 3.2.4 Attribution of joint conduct to the state 94
3.2.4.1 Multiple state responsibility 94
3.2.4.2 Attributing joint conduct to a state 96
3.3 Derived responsibility for aiding and assisting another state 100
3.3.1 Derived responsibility 100
3.3.2 Aid and assistance 102
3.4 Final remarks 110
4 EXTRATERRITORIAL ASYLUM UNDER INTERNATIONAL LAW 113
4.1 Outline of the chapter 113
4.2 The right to grant asylum 115
4.2.1 State sovereignty and extraterritorial asylum 115 4.2.2 Extraterritorial asylum as humanitarian exception to state
sovereignty 120
4.2.3 Immunities and extraterritorial asylum 124
4.2.4 Interim conclusion 128
4.3 The right to obtain asylum 129
4.3.1 Extraterritorial application of the prohibition of refoulement
under the Refugee Convention 132
4.3.1.1 The judgments in Sale and Roma Rights 134
4.3.1.2 Interim conclusion 141
4.3.2 Extraterritorial application of the prohibition of refoulement
under the Convention Against Torture 142
4.3.3 Extraterritorial application of the prohibition of refoulement
under the ECHR and ICCPR 145
4.4 The right to seek asylum 155
4.4.1 The right to seek asylum in international law 155 4.4.2 The right to leave in international law 153 4.4.3 The right to leave and the right to enter 158 4.4.4 Extraterritorial migration control and the right to leave 160 4.4.5 Permitted restrictions to the right to leave 162
4.4.6 Asylum-seekers and the right to leave 165
4.5 A right to be protected but no right to protect? 167
4.6 Final remarks 173
5 EXTRATERRITORIAL ASYLUM UNDEREUROPEANUNION LAW 175
5.1 Outline of the chapter 175
5.2 The EU’s external dimension of asylum and migration 177 5.2.1 The external dimension as a policy strategy of the Union: from
Tampere to Stockholm 177
5.2.2 Integrated Border Management and pre-border controls 181
5.2.2.1 The EU visa regime 182
5.2.2.2 Carrier sanctions 184
Table of contents VII
5.2.2.3 Immigration Liaison Officers 187
5.2.2.4 Frontex 190
5.2.3 The EU’s external asylum policy 195
5.3 The territorial scope of EU law on border control and asylum 198 5.3.1 Some observations on the territorial scope of European Union
law 199
5.3.2 The territorial scope of the Schengen border control regime 204
5.3.2.1 Council Decision 2010/252/EU 210
5.3.3 The territorial scope of the asylum acquis 214
5.4 Final remarks 217
6 INTERDICTION AT SEA 221
6.1 Introduction 221
6.2 The European interdiction programme 223
6.3 Migrant interdiction and the Law of the Sea 227
6.3.1 The right to interdict 229
6.3.1.1 The territorial sea 229
6.3.1.2 The contiguous zone 233
6.3.1.3 The high seas 234
6.3.1.4 The problem of stateless vessels 235
6.3.1.5 The UN Protocol on Migrant Smuggling and extraterritorial
criminal jurisdiction 239
6.3.2 Obligations of search and rescue 242
6.3.2.1 The duty of search and rescue 244
6.3.2.2 Disembarkation and a ‘place of safety’ 247
6.4 Human rights at sea 252
6.4.1 Non-refoulement obligations arising out of interdiction at sea 254
6.4.2 The right to leave at sea 258
6.4.3 The right to liberty at sea 262
6.5 Issues of attribution and allocation of responsibility 267
6.6 Final remarks 270
7 EXTERNAL PROCESSING 273
7.1 Introduction 273
7.2 The logic of external containment under US and Australian practices 277
7.2.1 The US offshore programme 277
7.2.2 Australia’s excised territories and offshore processing 280
7.3 The feasibility of procedural containment 282
7.4 The feasibility of physical containment 287
7.5 Issues of attribution and allocation of responsibility 292
7.6 Final remarks 294
VIII Table of contents
8 CONCLUSIONS 297
8.1 Sovereignty, territory and human rights: towards a general proposition 299
8.1.1 Conflicting sovereignties 303
8.1.2 Conflating sovereignties 304
8.2 The implementation of a human rights strategy: towards
recommendations 306
8.2.1 Clarifying the law 308
8.2.2 Clarifying reality 311
8.2.3 Clarifying political aims 313
8.3 The European Union as a panacea for upholding refugee rights? 316
SAMENVATTING 319
BIBLIOGRAPHY 323
LIST OF CASES 335
INDEX 341
CURRICULUM VITAE 347
List of abbreviations
ACHR American Convention on Human Rights AJIL American Journal of International Law BYIL British Yearbook of International Law
CAT Convention against Torture and Other Cruel, Inhuman or Degrading Treatment or Punishment
CEDAW Convention on the Elimination of All Forms of Racial Discrimination against Women
CESCR United Nations Committee on Economic, Social and Cultural Rights CERD United Nations Committee on the Elimination of Racial
Discrimination
ComAT United Nations Committee against Torture
ComRC United Nations Committee on the Rights of the Child COREPER Committee of Permanent Representatives
CPT European Committee for the Prevention of Torture and Inhuman or Degrading Treatment or Punishment
CRC Convention on the Rights of the Child
EC European Community
ECHR European Convention for the Protection of Human Rights and Fundamental Freedoms
ECJ Court of Justice of the European Communities/European Union EComHR European Commission of Human Rights
ECOSOC United Nations Economic and Social Council ECtHR European Court of Human Rights
EEC European Economic Community EEZ Exclusive Economic Zone
EJIL European Journal of International Law EJML European Journal of Migration and Law EP European Parliament
ETS European Treaty Series
EU European Union
EUROSUR European Border Surveillance System EWCA England and Wales Court of Appeal EWHC England and Wales High Court
EXCOM Executive Committee of the High Commissioner’s Programme FRY Federal Republic of Yugoslavia
Frontex European Agency for the Management of Operational Cooperation at the External Borders of the Member States of the European Union HRC United Nations Human Rights Committee
IAComHR Inter-American Commission on Human Rights
X List of abbreviations
IACtHR Inter-American Court of Human Rights ICC International Criminal Court
ICCPR International Covenant on Civil and Political Rights
ICERD International Convention on the Elimination of All Forms of Racial Discrimination
ICESCR International Covenant on Economic, Social and Cultural Rights ICJ International Court of Justice
ICLQ International & Comparative Law Quarterly
ICTY International Criminal Tribunal for the former Yugoslavia IDP Internally Displaced Person
IJRL International Journal of Refugee Law ILC International Law Commission ILO Immigration Liaison Officer ILO International Labour Organization IMO International Maritime Organization IOM International Organization for Migration LNTS League of Nations Treaty Series
NATO North Atlantic Treaty Organization OAS Organization of American States PCIJ Permanent Court of International Justice PEP Protected Entry Procedure
RABIT Rapid Border Intervention Teams RPP Regional Protection Programme
SAR International Convention on Maritime Search and Rescue SBC Schengen Borders Code
SIA Schengen Implementing Agreement
SOLAS International Convention for the Safety of Life at Sea TFEU Treaty on the Functioning of the European Union TRNC Turkish Republic of Northern Cyprus
UDHR Universal Declaration of Human Rights UKHL United Kingdom House of Lords UN United Nations
UNCLOS United Nations Convention on the Law of the Sea UNHCR United Nations High Commissioner for Refugees
UNTOC United Nations Convention Against Transnational Organised Crime UNTS United Nations Treaty Series
UNRIAA United Nations Reports of International Arbitral Awards VCCR Vienna Convention on Consular Relations
VCDR Vienna Convention on Diplomatic Relations VCLT Vienna Convention on the Law of Treaties
VRS Army of the Republika Srpska (Vojska Republike Srpske)
