The obligation to respect and to ensure respect in all circumstances pursuant to Common Article 1

203 Pages·2016·1.05 MB·English

The obligation to respect and to ensure respect in all circumstances
pursuant to Common Article 1 of the Four Geneva Conventions of August
1949 and Additional Protocols I and III: an Australian weapons law
perspective
EveMassingham
LLB (Hons)(QUT); Grad Dip Legal Practice(Collegeof Law); Masterof International
Development (DeakinUniversity); LLM (Distinction)(Kings College London)
Athesis submitted for thedegreeof Doctor of Philosophyat
TheUniversityof Queenslandin2016
TC BeirneSchool of Law
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Abstract
Article1,commontothe FourGenevaConventions ofAugust 12,1949 and Article1(1)of
Additional Protocols Iand IIItotheGenevaConventions of1977and2005 respectively,
statethat ‘[t]heHighContractingParties undertake torespect and ensure respect’forthe
Conventions andProtocols ‘inall circumstances’(collectivelyCommonArticle1). This
thesis considers thenatureandscopeoftheobligationfound inCommonArticle1.Common
Article1has twocomponents: theobligationtorespect international humanitarianlaw(IHL);
andtheobligationtoensurerespect for IHL.The obligationtorespect IHLrequires the good
faithimplementationoftheprovisions of IHLbytheHighContractingParties.The
obligationtoensure respect for IHLis concerned withstates actions inrespect ofviolations,
orpotential violations ofIHL,bypartiestoa conflict.That is, thirdpartystates must exercise
duediligenceinrelationtoviolations orpotential violations of IHLbyparties toaconflict.
Thethesis supports theviewthat thescopeofthis obligationis onethat is relativetothe
capacityandinfluenceof astateandthat it should beseenas thesourceofanopportunityfor
states toprovidestrongsupport forhumanitarian outcomes.
Thethesis considers how Australiahas approachedoneaspect of IHL-namelyweapons law
-inrecent history. It notes that Australiahas both underminedCommonArticle1inits
approach (clustermunitions andnuclearweapons prohibitions areusedas examples)and
ignoredCommonArticle 1inits approach(theArms TradeTreatyandnew weapons
technologiesareusedas examples). Thethesis proposes that Australia givegreater
considerationtoCommonArticle1when approachingweapons law,so as not tobreachits
obligationunderCommonArticle1andtobe anationwithcredibilityandinfluenceinthis
field.Australiamust work tofullyimplement the provisions of IHLingoodfaithand,
becauseit has significant capacityinterms of resources,whereit has influenceoverother
states and/ornon-state actors it must usethis influenceinsupport ofCommonArticle1.
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Declaration by author
This thesis is composedofmyoriginal work, and containsnomaterial previouslypublished
orwrittenbyanotherperson except whereduereferencehas beenmadeinthetext.Ihave
clearlystatedthe contributionbyothers tojointly-authoredworks that Ihaveincludedinmy
thesis.
Ihaveclearlystatedthecontributionofothers tomythesis as a whole,includingstatistical
assistance,surveydesign,dataanalysis, significant technical procedures,professional
editorial advice, andanyotheroriginal researchwork used orreportedinmythesis.The
content ofmythesis is theresult ofwork Ihavecarriedout sincethe commencement ofmy
researchhigherdegreecandidatureanddoes not includeasubstantial part ofworkthat has
beensubmittedtoqualifyfortheawardof anyotherdegreeordiplomainanyuniversityor
othertertiaryinstitution. Ihaveclearlystated which parts ofmythesis,ifany, havebeen
submittedtoqualifyfor anotheraward.
Iacknowledgethat an electroniccopyofmythesis must belodgedwiththe University
Libraryand,subject tothepolicyandprocedures ofTheUniversityof Queensland,thethesis
bemadeavailablefor research andstudyinaccordancewiththeCopyright Act 1968unless a
periodofembargohas beenapprovedbytheDean oftheGraduateSchool.
Iacknowledgethat copyright ofall material containedinmythesis resides withthecopyright
holder(s)ofthat material. Whereappropriate Ihaveobtainedcopyright permissionfrom the
copyright holdertoreproducematerial inthis thesis.
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Publications during candidature
Bookchapters
EveMassingham,‘TheObligation toRespect andEnsureRespect for International
Humanitarian Law:APotential Sourceof AssistanceinCombating Cross-border Challenges
inthe21st Century’in Ireland-Piper,D andWolff, L(eds)Global
Order/Disorder:GovernanceandRegulationinthe21st Century,Ashgate (forthcoming)
HelenDurham andEve Massingham,‘Moving From TheMechanicsOf AccountabilityTo A
CultureOfAccountability: What MoreCan BeDone In AdditionToProsecutingWar
Crimes?'inJadrankaPetrovic(eds),Accountabilityfor Violations of International
Humanitarian Law:Essays inHonour of TimMcCormack(Routledge,2015)344.
Publications included in this thesis
Incorporatedas Chapter 2:
EveMassingham,‘TheObligation toRespect andEnsureRespect for International
Humanitarian Law:APotential Sourceof AssistanceinCombating Cross-border Challenges
inthe21st Century’in Ireland-Piper,D andWolff, L(eds)Global
Order/Disorder:GovernanceandRegulationinthe21st Century,Ashgate (forthcoming)
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Contributions by othersto thethesis
No contributions byothers.
Statementof parts of thethesis submitted toqualifyfortheaward of anotherdegree
None.
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Acknowledgements
Iwouldliketothankmysupervisors AssociateProfessorJon CroweandProfessorAnthony
Cassimatis fortheirmost valuable guidanceduringthis project. Iwouldliketothankmy
friendand colleague Annabel McConnachie.ConversationswithAnnabel not onlyledtothe
refiningofmythesis topicbut shehas alsoprovidedmuchfeedback,support andinspiration
tomealongthejourney. IwouldalsoliketothankPetraBall,DamianCopeland,Catherine
Drummond,NettaGousac, PeterGuigni andAssociateProfessorMarianne Hansonfortheir
helpful comments andobservations alongtheway, andJoyMassingham for herproofreading
skills.
Iwouldliketoacknowledgetheparticipants at the Inaugural Australian andNew Zealand
Societyof International Law International Peace andSecurityLawWorkshop, heldin
Melbourneinearly2015, fortheirinsightful andvaluablecomments onmyresearch. I
wouldliketoacknowledge AustralianRedCross andtheUniversityofQueenslandSchool of
Lawfortheirsupport inmyattendance at theGenevaCentre forSecurityPolicyCourseon
Weapons LawandtheConduct ofthe Legal ReviewofWeapons inDecember2013andthe
support oftheUniversityofQueensland Graduate School,inawardingmea GraduateSchool
International Travel Award toattendtheVienna Intergovernmental Conferenceonthe
Humanitarian Impactsof NuclearWeapons inDecember2014.
IwouldliketothankBev Patterson.Bev gaveme myfirst jobinthis field10 years ago, and
has beensupportiveofmeeversince. Iwould liketothankDrHelen Durham andRebecca
Doddfortheprivilege andpleasureforworkingforthem forfive years intheAustralianRed
Cross IHLprogram; forall that theytaught meand all theopportunities theyhave givenme. I
wouldalsoliketoacknowledgethesupport of AustralianRedCross inallowingmetotakea
periodoflongleavetocompletethis project andthefriendshipofChristianKathandMichael
CareyduringmyArmyReserveOfficertraining: anundertakingthat has beenbeneficial to
myworktodate.
Iwouldliketothankmywonderful husband Sean forhis unfailingsupport ofall ofmy
endeavours, andmyparents, RuthandCalum,parents-in-law,JoyandJohn, andsister-in-
law,Michelle,fortheircareforourbeautiful littlegirl Aliceon countless occasions. Without
theirassistancethis project wouldhavetakenalot longer.
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Keywords
international humanitarianlaw,respect andensure respect,Australia, weapons
Australian and New Zealand Standard Research Classifications (ANZSRC)
ANZSRC code: 180116 International Law (excl. International Trade Law), 100%,
Fields of Research (FoR)Classification
FoR code: 1801, Law100%
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Table of Contents
CHAPTER ONE:INTRODUCTION 12
1. Topic 12
2. Background 13
2.1 TheFour GenevaConventions andCommonArticle1........................................13
2.2 Justifications forfocusingonweapons law...........................................................15
2.3 Selectionofcasestudies topics.............................................................................16
2.4 SelectionofAustralia............................................................................................18
3. Significance 19
4. Aim andobjectives 20
5. Research Questions 21
6. Methodology 21
7. Thesis structure 22
8. Preliminarypoints 25
8.1 Australiaandinternational law.............................................................................25
8.2 International andnon-international armedconflicts andrespect forthe Geneva
Conventions orforinternational humanitarianlaw.........................................................27
8.3 Thevalueof complying withCommonArticle1.................................................30
CHAPTER TWO:THE NATURE OF THE OBLIGATION TO RESPECT AND TO ENSURE RESPECT FOR
INTERNATIONAL HUMANITARIAN LAW IN ALL CIRCUMSTANCES 33
1. Introduction 33
2. Respect for IHLinall circumstances– goodfaithtreatyimplementation 36
2.1 Anoteabout ‘inall circumstances’.......................................................................38
3. Ensuringrespect for IHLinall circumstances– as interpretedpursuant totreaty
interpretationrules andtheprincipleofduediligence 40
3.1 Subsequent practiceintheapplicationofthetreaty..............................................41
3.2 Evolutionunderinternational lawtowards extra-territorial effect........................44
3.3 Draftinghistory.....................................................................................................50
3.4 Duediligenceofstates inrespect oftheirinternational obligations.....................58
4. Actions not encapsulated bytheCommonArticle 1ensurerespect obligation 61
5. Different measures states couldtaketoensurerespect 63
6. Conclusion 64
CHAPTER THREE: PROCESSES DESIGNED TOENSURE AUSTRALIA COMPLIES WITH THE
OBLIGATION TO RESPECT AND TO ENSURE RESPECT FOR IHLWITH RESPECT TO WEAPONS LAW 67
1. Introduction 67
2. AustralianviewonCommonArticle1 67
3. Weapons lawtreaties andAustralia’s recordonpaper 68
4. Article36AP Iweapons reviews 72
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4.1 Article36AP Iin general terms...........................................................................73
4.2 TheapplicationofArticle36AP I........................................................................74
4.3 TheapplicationofArticle36AP IinAustralia....................................................78
5. Australianapproachtoweapons lawas evidenced inmilitarytrainingandAustralian
militarymanualsandpolicy 80
6. Import andexport controls onweapons andweapons development materials 82
7. Criminalisationofweapons lawviolations 87
8. Conclusion 90
CHAPTER FOUR:AUSTRALIA,CLUSTER MUNITIONS AND THE OBLIGATION TO RESPECT AND ENSURE
RESPECT FOR INTERNATIONAL HUMANITARIAN LAW 92
1. What areclustermunitions? 92
3. Historyof clustermunitions inAustralia 94
4. Clustermunitions andinternational humanitarianlaw 96
4.1 Specificregulations intreatylaw..........................................................................96
4.2 Indiscriminateeffects............................................................................................99
4.3 Unnecessarysufferingor superfluous injury......................................................101
4.4 Widespread,long-term,andseveredamagetothe natural environment............104
4.5 Clustermunitions andtargetinglaw....................................................................105
4.6 Conclusion onlegalityof clustermunitions........................................................107
5. Australia’s approachtothepreparatorysteps toa banonclustermunitions 107
6. Australia’s approachtotheCCM negotiationsandlegislation 110
7. Australia,clustermunitions andtheobligationtorespect and ensure respect for
international humanitarianlaw 114
8. Conclusion 117
CHAPTER FIVE:AUSTRALIA,NUCLEAR WEAPONS AND THE OBLIGATION TO RESPECT AND ENSURE
RESPECT FOR INTERNATIONAL HUMANITARIAN LAW 119
1. Introduction 119
2. What arenuclearweapons? 122
3. Historyofnuclearweapons inAustralia 124
4. Nuclear weapons andinternational law 130
4.1 Nuclear Non-ProliferationTreaty.......................................................................132
4.2 Frameworks tobannuclearweapons..................................................................135
4.3 Nuclear weapons advisoryopinion.....................................................................137
4.4 TheGenevaConventions andnuclearweapons..................................................141
5. Australia’s approachtothesteps toregulatenuclearweapons 145
6. Australia,nuclearweapons andtheobligationtorespect and ensure respect for IHL 150
7. Conclusion 152
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CHAPTER SIX:AUSTRALIA,THE ARMS TRADE TREATY AND THE OBLIGATION TO RESPECT AND
ENSURE RESPECT FOR INTERNATIONAL HUMANITARIAN LAW 153
1. Introduction 153
2. Weapons that areregulatedbytheATTandtheoperationoftheATT 154
3. TheATTandinternational humanitarianlaw 156
4. Historyof attempts toregulatethe global arms trade 158
5. Australia’s approachtothepreparatorysteps toanarms tradetreaty 165
6. Australia’s approachtothedomesticlegislationimplementingtheATT 169
7. ImplementingtheATTinAustraliainlight ofCommonArticle1 172
8. Conclusion 174
CHAPTER SEVEN:AUSTRALIA,NEWWEAPONS TECHNOLOGIES AND THE OBLIGATION TO RESPECT
AND ENSURE RESPECT FOR INTERNATIONAL HUMANITARIAN LAW 175
1. Introduction 175
2. Newweapons technologies andinternational humanitarianlaw 177
2.1 Specificregulations intreatylaw........................................................................178
2.2 Article36criteria................................................................................................184
3. Australianperspectivesonnewweapons technologies 188
3.1 Autonomous weapons.........................................................................................189
3.2 Unmannedaerial vehicles...................................................................................190
3.3 Cyber warfare......................................................................................................191
3.4 Nanotechnology..................................................................................................193
3.5 Non-lethal weapons.............................................................................................193
4. WhyAustraliashould considerCommonArticle1as it continues toplaya roleinthese
discussions aroundnew weapons technologies 194
5. Conclusion 195
CHAPTER EIGHT:CONCLUSION 196
1. Theresearchquestions ofthethesis 196
2. Significant findings from thework 199
3. Limitationsoftheresearch 201
4. Recommendationsforfuturework 202
5. Final observations 202
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