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Shared obligations in international law
Nedeski, N.
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Citation for published version (APA):Nedeski, N. (2017). Shared obligations in international law.
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Download date: 28 Jul 2020
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SHAREDOBLIGATIONSININTERNATIONALLAW
NatašaNedeski
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Copyright2017byNatašaNedeskiCoverimage:WatercolorartbyLagartixa(www.lagartixashop.com)Coverandlayout:ArnoudEnsPrinting:IpskampPrinting,Enschede
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SHAREDOBLIGATIONSININTERNATIONALLAW
ACADEMISCHPROEFSCHRIFT
terverkrijgingvandegraadvandoctoraandeUniversiteitvanAmsterdamopgezagvandeRectorMagnificus
prof.dr.ir.K.I.J.MaextenoverstaanvaneendoorhetCollegevoorPromotiesingesteldecommissie,
inhetopenbaarteverdedigenindeAgnietenkapelopdonderdag2november2017,te12:00uur
doorNatašaNedeskigeborenteUtrecht
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Promotiecommissie:
Promotor: prof.dr.P.A.Nollkaemper UniversiteitvanAmsterdamCopromotor: dr.C.M.Brölmann UniversiteitvanAmsterdamOverigeleden: prof.dr.P.J.Kuijper UniversiteitvanAmsterdam prof.dr.J.d'Aspremont UniversiteitvanAmsterdam dr.R.vanAlebeek UniversiteitvanAmsterdam dr.S.Trevisanut UniversiteitUtrecht prof.dr.C.M.J.Ryngaert UniversiteitUtrecht prof.dr.P.Palchetti UniversitàdiMacerata FaculteitderRechtsgeleerdheid
The research leading to this thesis received funding from the European ResearchCouncil under the European Union’s Seventh Framework Program for Research(FP7/2007-2013)/ERCgrantagreementn°249499,aspartoftheResearchProjecton Shared Responsibility in International Law (SHARES), carried out at theAmsterdamCenterforInternationalLaw(ACIL)oftheUniversityofAmsterdam.
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AACKNOWLEDGEMENTS
First and foremost, Iwould like to thankmypromotorAndréNollkaemperand co-promotorKikiBrölmann.Being(inKiki'swords)somewhatofan'introvertscholar'ithasbeenwonderfultohavehadtwosupervisorswhogavemethedesiredfreedomtogothroughpartsoftheprocessofwritingaPhDthesisonmyown,butwhowerealsotherewheneverIwasinneedofadiscussionontheseeminglynever-endingnumberofconceptsandcategorizationspotentiallyrelevantforthisstudy.Bothofyouhavesucceededinmakingmefeelthatyoubelieveinmeandmyproject,whichhasbeenparticularlyhelpfulduringthosetimesthatIwasn'tquitesureofeithermyself.Ihavetrulyenjoyedworkingwithyouboth.André,yourexpertguidanceastheinitiatoroftheSHARESprojecthasbeeninvaluable.Thankyouforyourincessantcuriosity,openmind and your faith inmy ability to tackle this topic.Kiki, I have greatly benefitedfrom your sharp and analytical mind and dedication, and deeply appreciated yourcontinuouswordsofencouragementandsenseofhumour.Asistrueformostpeoplethathavebeeninmyposition,thereisadiversegroupofpeople behind the scenes that have directly or indirectly contributed to thecompletionofthisPhD.Withoutnaminganyone(andtherebyconvenientlymitigatingtheriskofforgettingsomeone),Iwanttothankallthathaveinspiredandencouragedme to pursue a doctorate degree, and all that have supported me throughout theprocess. (Former)professors, colleagues, friendsand family: thankyou.ThanksaredueinparticulartothemembersoftheSHARESproject.Myownworkhascertainlybenefitedfromallofour(officialandunofficial)SHARESmeetingsand,what'smore,beingapartofthisteamofwonderfulpeoplehasmadetheprocessofwritingaPhDthesisalesssolitaryendeavour.Other important contributors tomy on-the-job support system have beenmy two'roomies' Chris and Yu. Chris, when I joined the department of International andEuropean Law youwere the first to takeme under yourwing. Yu, you joined ouroffice a coupleof years later andperfectly fitted thedynamicsofE4.10.Thankyouboth for your companionship. I thoroughly enjoyed ourmany conversations aboutanything but our research, and will always remember our times in E4.10 fondly.Finally,Jessica,IwasexcitedwhenyoujoinedtheSHARESprojectandsadtoseeyourelocate overseas. The distance notwithstanding, I was lucky to be the continuedbeneficiaryofyourkindnessandsupport,whicheventuallyculminatedinyouacting
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asmyparanymph.Thankyou,andIhopetobeasimilarsourceofsupportwhileyouembarkuponyourownPhDjourney.It is only appropriate to end these acknowledgements by mentioning my twofavouritepersonsintheworld.Snežana,my sister andbest friend, I admire yougreatly. Evenwhile going throughchallenging times yourself you have always been there forme. I find it difficult toidentifytherightwordstoexpresshowmuchourconnectionmeanstome,butoneofthe(many)plussidesofthatconnectionisthatIdon'tnecessarilyneedto:youmostlikelyknowwhatImean.Arnoud,mypartner-in-life,youareunlikeanyoneIhaveevermet.Calmandcaring,smart and creative, driven and adventurous: these are only a few of the traits youpossessthat,allcombined,haveproventobeaforceforgoodinmylife.Thereseemto be no limits to what you would do forme. It is impossible to do justice to thecontribution you havemade tomy overall happiness and wellbeing with a simpleparagraphinanacknowledgementssection.Nonetheless,Iwanttoexpressthatyouhaveundoubtedlybeenmybiggestsourceofsupport, forwhichIoweyoumymostheartfeltgratitude.
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AABBREVIATIONS
ARIO ArticlesontheResponsibilityofInternationalOrganizationsASR ArticlesonStateResponsibilityCAT ConventionAgainstTortureCPA CoalitionProvisionalAuthorityDCFR DraftCommonFrameofReferenceEC EuropeanCommunityECHR EuropeanConventiononHumanRightsECJ EuropeanCourtofJusticeEU EuropeanUnionGATT GeneralAgreementonTariffsandTradeICCPR InternationalCovenantonCivilandPoliticalRightsICESCR InternationalCovenantonEconomic,SocialandCulturalRightsICJ InternationalCourtofJusticeIGC IntergovernmentalCommissionILC InternationalLawCommissionIO InternationalOrganizationIOM InteroceanmetalJointOrganizationIWA InternationallyWrongfulActLOSC LawoftheSeaConventionNPT NuclearNon-ProliferationTreatyPECL PrinciplesofEuropeanContractLawPETL PrinciplesofEuropeanTortLawPICC PrinciplesofInternationalCommercialContractsPNG PapuaNewGuineaSR SpecialRapporteurUK UnitedKingdomUN UnitedNationsUNHCR UnitedNationsHighCommissionerforRefugeesUS UnitedStatesVCDR ViennaConventiononDiplomaticRelationsVCLT ViennaConventionontheLawofTreatiesWTO WorldTradeOrganization
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T
TABLEOFCONTENTS
ACKNOWLEDGEMENTS 3
ABBREVIATIONS 5
1.INTRODUCTION 111.1 Scopeoftheresearch 161.1.1 Internationalobligationsandinternationalresponsibility 161.1.2 Theinternationallawofobligations 171.1.3 Duty-bearers 18i.Statesasduty-bearers 19ii.Internationalorganizationsasduty-bearers 19iii.Duty-bearerswhenstatesactthroughacommonorgan 22
1.1.4 Sharedobligations 241.1.5 Divisibleandindivisiblesharedobligations 251.1.6 Sharedresponsibility 26i.Legalresponsibility 26ii.Asingleharmfuloutcome 28iii.Contributions:oneorseveralinternationallywrongfulacts 30
1.2 Researchquestionandapproach 301.2.1 Theconceptualizationofsharedobligations 31i.Thedistinctionbetweenbilateralandmultilaterallegalrelations 32ii.Categoriesofobligationsandmultilaterallegalrelationsintheinternationallawofobligations 33iii.Aniterativeprocess 35
1.2.2 Ananalysisonthebasisofthepositivelawofinternational responsibility 35i.Theexistinglegalframeworkofinternationalresponsibility 36ii.Inthelightofthepresentstudy'sconceptualizationofsharedobligations 37
1.3 Relevanceoftheresearch 391.4 Structureofthethesis 41
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PARTI 45
2.THEMOVEBEYONDABILATERALVIEWOFLEGALRELATIONSINTHEINTERNATIONALLAWOFOBLIGATIONS 472.1 Commoninterests,multilateraltreatiesandmultilaterallegalrelations 502.1.1 Theprotectionofcommoninterests 512.1.2 Theriseofmultilateraltreaties 522.1.3 Theemergenceofmultilaterallegalrelations 53
2.2 Thedistinctionbetweenbilateralandmultilaterallegalrelations 552.1.1 Hohfeld'sanalysisoflegalrelations 562.2.2 Thecorrelationbetweenobligationsandrightsininternationallaw 592.1.3 Analysis:distinguishingbetweenbilateralandmultilaterallegal relations 61i.Theperspectiveoftheright-holders 64ii.Theperspectiveoftheduty-bearers 66
2.3 Multilaterallegalrelationsandthelawoftreaties 672.3.1 Reciprocal,interdependentandintegralobligations 68i.Reciprocalobligations 70ii.Interdependentobligations 71iii.Integralobligations 72
2.3.2 Peremptorynorms 742.3.3 Theapproachtomultilaterallegalrelationsinthelawoftreaties 75
2.4 Multilaterallegalrelationsandthelawofinternationalresponsibility 772.4.1 Crimesanddelicts:thefirststepawayfromanexclusivelybilateral viewoflegalrelations 782.4.2 Bilateral,multilateralandergaomnes(partes)obligations 82i.Bilateralobligations 83ii.Multilateralandergaomnes(partes)obligations 84
2.4.3 Seriousbreachesofobligationsunderperemptorynorms 872.4.4 Theapproachtomultilaterallegalrelationsinthelawofinternational responsibility 88
2.5 Conclusions 90
3.THECONCEPTOFSHAREDOBLIGATIONSININTERNATIONALLAW 933.1 Sources,rules,normsandobligations 943.1.1 Sourcesofinternationallaw 943.1.2 Internationallegalrulesornorms 953.1.3 Internationallegalobligations 96i.Internationalobligationsinthelawoftreaties 97ii.Internationalobligationsinthelawofinternationalresponsibility 97
3.1.4 Relevancefortheconceptualizationofsharedobligations 983.2. Elementsofasharedobligation 993.2.1 Multipleduty-bearers 100
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3.2.2 Boundtoasimilarinternationalobligation 1013.2.3 Pertainingtothesameconcretecase 107i.Multiplestatesand/orIOsagreetoanobligationtoworktowardsorachieveacommongoal 109ii.Multiplestatesand/orIOsarefactuallylinkedtoacommonsituation 110
3.3 Conclusions 116
4.DIVISIBLEANDINDIVISIBLESHAREDOBLIGATIONSININTERNATIONALLAW 1194.1 Introducingtwotypesofsharedobligations 1204.1.1 Indivisiblesharedobligations 1214.1.2 Divisiblesharedobligations 125
4.2 Indicatorsforqualifyingasharedobligationasdivisibleorindivisible 1284.2.1 Positiveobligationsandnegativeobligations 1294.2.2 Obligationsofresultandobligationsofconduct 130i.Thedistinctionbetweenobligationsofresultandconductinthe1996DraftASR 130ii.Thecivillawunderstandingofobligationsofconductandresult 132iii.Difficultiesencounteredwhenapplyingthedistinctioninpractice 135
4.2.3 Categoriesofobligationsasindicatorsforqualifyingashared obligationasdivisibleorindivisible 141
4.3 Someconsiderationsinthechoicebetweendivisibleandindivisibleshared obligations 1484.4 Conclusions 150
CONCLUSIONSTOPARTI 153
PARTII 157
5.BREACHESOFSHAREDOBLIGATIONSANDTHEDETERMINATIONOFSHAREDRESPONSIBILITY 1595.1. Sharedresponsibilityforoneorseveralinternationallywrongfulacts 1625.1.1 Sharedresponsibilityforoneinternationallywrongfulact 1635.1.2 Sharedresponsibilityforseveralinternationallywrongfulacts 166
5.2 Breachesofindivisiblesharedobligationsandthedeterminationofshared responsibility 1685.2.1 Breachofanindivisiblesharedobligation 1685.2.2 Attributionofconductinbreachofanindivisiblesharedobligation 1705.2.3 Summary 174
5.3 Breachesofdivisiblesharedobligationsandthedeterminationofshared responsibility 1745.3.1 Breachofadivisiblesharedobligation 1755.3.2 Attributionofconductinbreachofadivisiblesharedobligation 177i.Divisiblesharedobligationsofapositivecharacterandattributionofconduct 178
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ii.Divisiblesharedobligationsofanegativecharacterandattributionofconduct180
5.3.3 Overview 1815.4 Applyingthedistinctionbetweendivisibleandindivisibleshared obligations 1835.4.1 ThesharedobligationtorehabilitateNauru'sworkedout phosphatelands 1835.4.2 Thesharedobligationtotakeappropriatestepstomaintainsecurity andpublicorderinandaroundtheCoquellesterminal 1855.4.3 Thesharedobligationtotakeappropriatemeasurestopreventthe looting,plunderingandexploitationofnaturalresourcesinIraq 1885.4.4 Thesharedobligationtoprovide12.000millionECUinfinancial assistancetotheACPstates 1895.4.5 Thesharedobligationtostrictlylimitpollutionfromland-based sourcesinlakeEtangdeBerre 1915.4.6 Thesharedobligationtoachievea20percentreductionof aggregategreenhousegasemissions 1935.4.7 Thesharedobligationtotakeallmeasureswithinone'spowerto preventtheSrebrenicagenocide 1955.4.8 ThesharedobligationtoensurethatactivitiesintheAreaare carriedoutinaccordancewithPartXILOSC 197
5.5 Conclusions 197
6.BREACHESOFSHAREDOBLIGATIONSANDTHECONTENTOFSHAREDRESPONSIBILITY 2016.1 Breachesofsharedobligationsandthenatureoftheobligationof cessation 2036.1.1 Sharedresponsibilityforoneinternationallywrongfulactand cessation 2056.1.2 Sharedresponsibilityforseveralinternationallywrongfulacts andcessation 2086.1.3 Summary 210
6.2 Breachesofsharedobligationsandthenatureoftheobligationtomake reparation 2106.2.1 Thenotionofjointandseveralliability 2136.2.2 Sharedresponsibilityforoneinternationallywrongfulactand reparation 2176.2.3 Sharedresponsibilityforseveralinternationallywrongfulacts andreparation 2216.2.4 Summary 225
6.3 Conclusions 225
7.MAINFINDINGSANDCONCLUDINGREMARKS 2277.1 Mainfindings 228
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7.1.1 Theconceptualizationofsharedobligations 228i.Theone-sidedapproachtomultilaterallegalrelationsintheinternationallawofobligations228ii.Thedistinctionbetweensharedobligationsandobligationsthatarenotshared229iii.Thedistinctionbetweentwotypesofsharedobligations:divisibleandindivisiblesharedobligations230iv.Indicatorsforqualifyingasharedobligationasdivisibleorindivisible 231
7.1.2 Therelationshipbetweensharedobligationsandshared responsibility 232i.Breachesofindivisiblesharedobligationsandsharedresponsibility 233ii.Breachesofdivisiblesharedobligationsandsharedresponsibility 234
7.2 Sharedobligationsininternationallaw:concludingremarks 235
BIBLIOGRAPHY 241
SUMMARY 267
SAMENVATTING 275