Table Of ContentThis page intentionally left blank
UnitedNationsSanctionsandtheRuleofLaw
TheUnitedNationsSecurityCouncilhasincreasinglyresortedto
sanctionsaspartofitseffortstopreventandresolveconflict.
UnitedNationsSanctionsandtheRuleofLawtracestheevolutionof
theSecurityCouncil’ssanctionspowersandchartsthecontours
oftheUNsanctionssystem.Italsoevaluatestheextenttowhich
theSecurityCouncil’sincreasingcommitmenttostrengthening
theruleoflawextendstoitssanctionspractice.Itidentifies
shortcomingsinrespectofkeyruleoflawprinciplesand
advancespragmaticpolicy-reformproposalsdesignedtoensure
thatUNsanctionspromote,strengthenandreinforcetheruleof
law.Initsappendices,UnitedNationsSanctionsandtheRuleofLaw
containssummariesofalltwenty-fiveUNsanctionsregimes
establishedtodatebytheSecurityCouncil.Itformsaninvaluable
sourceofreferencefordiplomats,policy-makers,scholarsand
advocates.
JEREMY MATAM FARRALL isaResearchFellowattheCentrefor
InternationalGovernanceandJustice,intheRegulatory
InstitutionsNetworkattheAustralianNationalUniversity.He
workedfortheUnitedNationsfrom2001to2006,servingasa
politicalofficerintheUNSecurityCouncilinNewYork,onthe
UNSecretary-General’sMissionofGoodOfficesinCyprusand
withtheUNMissioninLiberia.HereceivedhisPh.D.in
InternationalLawfromtheUniversityofTasmaniaFacultyof
Law,wherehehasalsoworkedasaPostdoctoralResearchFellow.
CAMBRIDGE STUDIES IN INTERNATIONAL AND COMPARATIVE LAW
Establishedin1946,thisseriesproduceshigh-qualityscholarshipinthefields
ofpublicandprivateinternationallawandcomparativelaw.Althoughthese
aredistinctlegalsub-disciplines,developmentssince1946confirmtheir
interrelation.
Comparativelawisincreasinglyusedasatoolinthemakingoflawat
national,regionalandinternationallevels.Privateinternationallawisnow
oftenaffectedbyinternationalconventions,andtheissuesfacedbyclassical
conflictsrulesarefrequentlydealtwithbysubstantiveharmonisationoflaw
underinternationalauspices.Mixedinternationalarbitrations,especiallythose
involvingstateeconomicactivity,raisemixedquestionsofpublicandprivate
internationallaw,whileinmanyfields(suchastheprotectionofhumanrights
anddemocraticstandards,investmentguaranteesandinternationalcriminal
law)internationalandnationalsystemsinteract.Nationalconstitutional
arrangementsrelatingto‘foreignaffairs’,andtotheimplementationof
internationalnorms,areafocusofattention.
TheBoardwelcomesworksofatheoreticalorinterdisciplinarycharacter,
andthosefocusingonthenewapproachestointernationalorcomparativelaw
orconflictsoflaw.Studiesofparticularinstitutionsorproblemsareequally
welcome,asaretranslationsofthebestworkpublishedinotherlanguages.
GeneralEditors JamesCrawfordSCFBA
WhewellProfessorofInternationalLaw,FacultyofLaw,and
Director,LauterpachtResearchCentreforInternationalLaw,
UniversityofCambridge
JohnS.BellFBA
ProfessorofLaw,FacultyofLaw,UniversityofCambridge
EditorialBoard ProfessorHilaryCharlesworthAustralianNationalUniversity
ProfessorLoriDamroschColumbiaUniversityLawSchool
ProfessorJohnDugardUniversiteitLeiden
ProfessorMary-AnnGlendonHarvardLawSchool
ProfessorChristopherGreenwoodLondonSchoolofEconomics
ProfessorDavidJohnstonUniversityofEdinburgh
ProfessorHeinKo¨tzMax-Planck-Institut,Hamburg
ProfessorDonaldMcRaeUniversityofOttawa
ProfessorOnumaYasuakiUniversityofTokyo
ProfessorReinhardZimmermannUniversita¨tRegensburg
AdvisoryCommittee ProfessorD.W.BowettQC
JudgeRosalynHigginsQC
ProfessorJ.A.JolowiczQC
ProfessorSirElihuLauterpachtCBEQC
ProfessorKurtLipstein
JudgeStephenSchwebel
Alistofbooksintheseriescanbefoundattheendofthisvolume.
United Nations Sanctions
and the Rule of Law
by
JeremyMatamFarrall
CAMBRIDGEUNIVERSITYPRESS
Cambridge, New York, Melbourne, Madrid, Cape Town, Singapore, São Paulo
Cambridge University Press
The Edinburgh Building, Cambridge CB28RU, UK
Published in the United States of America by Cambridge University Press, New York
www.cambridge.org
Information on this title: www.cambridge.org/9780521878029
© Jeremy Matam Farrall 2007
This publication is in copyright. Subject to statutory exception and to the provision of
relevant collective licensing agreements, no reproduction of any part may take place
without the written permission of Cambridge University Press.
First published in print format 2007
ISBN-13 978-0-511-37905-5 eBook (NetLibrary)
ISBN-13 978-0-521-87802-9 hardback
Cambridge University Press has no responsibility for the persistence or accuracy of urls
for external or third-party internet websites referred to in this publication, and does not
guarantee that any content on such websites is, or will remain, accurate or appropriate.
Contents
Preface pagexix
Abbreviations xxii
PartI Settingthescene 1
1 IntroducingUNsanctions 3
2 TowardsapragmaticruleoflawmodelforUN
sanctions 14
PartII TheevolutionoftheUNsanctions
framework 43
3 FromAeginatoAbyssinia:aprehistoryofUN
sanctions 45
4 SanctionsundertheUNCharter 58
PartIII UNsanctionsinpractice 79
5 Establishingthelegalbasisforsanctions:
identifyingthreatsandinvokingChapterVII 81
6 Delineatingthescopeofsanctionsand
identifyingtargets 106
7 Fine-tuningsanctions:settingobjectives,
applyingtime-limitsandminimising
negativeconsequences 133
8 Delegatingresponsibilityforsanctions
administrationandmonitoring 146
v
vi CONTENTS
PartIV Strengtheningtheruleoflaw 183
9 RuleoflawweaknessesintheUNsanctionssystem 185
10 Strengtheningtheruleoflawperformanceof
theUNsanctionssystem 230
11 Concludingremarks 241
Appendix1:Summaryofpolicyrecommendations 244
Appendix2:SummariesofUNsanctionsregimes 247
Appendix3:Tables 464
Bibliography 493
Index 524
Extended table of contents
Preface pagexix
Abbreviations xxii
PartI Settingthescene 1
1 IntroducingUNsanctions 3
1. DefiningUNsanctions 6
2. Centralcontentionandkeyobjectives 10
3. Thepathahead 11
2 TowardsapragmaticruleoflawmodelforUN
sanctions 14
1. Therelevanceoftheruleoflawtothe
UNSecurityCouncil’sactivities 15
1.1 TheCouncil’scloserelationshipwithand
relianceuponlaw 16
1.2 Theincreasingemphasisupontheruleoflaw
inSecurityCouncilpractice 18
2. Thepromiseandperilsoftheruleoflaw 24
2.1 Thescholarlycrisisconcerningtheruleoflaw 26
2.2 Salvagingtheruleoflawfromscholarlycrisis 30
3. TowardsapragmaticruleoflawmodelforUNsanctions 32
3.1 TheruleoflawthroughtheeyesoftheSecurity
Council 32
3.2 Theruleoflawthroughtheeyesofthe
UNSecretary-General 35
3.3 Scholarlyexplorationsoftherelationshipbetween
theSecurityCouncilandtheruleoflaw 36
3.4 Constructingapragmaticruleoflawmodelfor
sanctionsdecision-making 39
i. Transparency 40
vii
viii EXTENDED TABLE OF CONTENTS
ii. Consistency 41
iii. Equality 41
iv. Dueprocess 41
v. Proportionality 41
3.5 Aframeworkforsubsequentanalysis 42
PartII TheevolutionoftheUNsanctions
framework 43
3 FromAeginatoAbyssinia:aprehistoryofUNsanctions 45
1. Sanctionsinancientandmedievaltimes 45
2. Sanctionsunderclassicinternationallaw 47
2.1 Retorsion 48
2.2 Reprisals 49
2.3 Pacificblockade 50
2.4 Thepossibilitiesandlimitationsof
pre-twentieth-centurysanctions 51
3. SanctionsundertheLeagueofNationssystem 52
3.1 TheLeagueofNationssanctionsprovision 53
3.2 TheLeagueofNationssanctionsexperiment
againstItaly 54
4. LearningfromtheLeague’sexperience 56
4 SanctionsundertheUNCharter 58
1. Afreshapproachtocollectivesecurity 58
1.1 Anincentiveforthegreatpowers:theveto 59
1.2 Incentivesforlesserpowers:theUNpurposes
andprinciples 60
1.3 TheUN’sprincipalorgans 61
2. TheUNSecurityCouncil’ssanctionspowers 62
2.1 Thesanctionstrigger:Article39 63
2.2 TheUNCharter’ssanctionsprovision:Article41 64
2.3 Othersanctions-relatedChapterVIIprovisions:
Articles48and50 65
2.4 ThebindingcharacterofArticle41sanctions 65
3. ThequestionofthelimitsupontheSecurityCouncil’s
sanctionspowers 68
3.1 PotentialCharter-basedlimitsontheCouncil’s
sanctionspowers 68
3.2 Peremptorynormsasapotentiallimituponthe
Council’ssanctionspowers 71
3.3 ThepossibilityofjudicialreviewofSecurity
Councilsanctions 73
3.4 TheSecurityCouncil’senduringpower 75
