1. 24th of November, 5th period Wakana, YuChi Hu, Nico, Yuriko
Chapter 1-4

2. CONTENTS Introduction: What’s R2P? The Policy Challenge
The Responsibility to Protect
The Responsibility to Prevent
The Responsibility to React

3. What’s R2P?
Report of International Commission on Intervention and State Sovereignty (ICISS)
“right to humanitarian intervention”
The responsibility to prevent, react, rebuilt
Prevention is the single most important dimension of the responsibility to protect
6 criteria - Large scale loss of life
Large scale ‘ethnic cleansing’
Right intention
Last resort
Proportional means
Reasonable prospects

4. The Intervention Dilemma
“Humanitarian Intervention” has been controversial both when it happens, and when it has failed to happen.
Four cases: Rwanda, Kosovo, Bosnia, Somalia
Basic lines in the contemporary policy debate:
- not intervening enough
- much too often
- coercive intervention are effective
- misuse of precedent loom much larger
- human rights trumps state sovereignty
- big power manipulate human rights

5. Establishment of ICISS
1999 September the UN General Assembly
“find common ground in upholding the principle of the Charter, and acting in defence of our common humanity”
- Kofi Annan, the UN Secretary-General
2000 September ICISS was established
try to develop a global political consensus on how to move from polemics
Government, intergovernmental, NGOs, civil society
Large number of conferences and seminars

6. Change: New Security Issues
The UN members: 51 (1945) to 193(2014)
New voices, perspectives, interests, experiences, and aspirations
Institutions e.g. the International Criminal Tribunal, UNHCR
NGOs, media, and academic factors
Change: New Actors
end of the Cold War has been a new emphasis on democratization, human rights and good governance
BUT… internal war or civil conflict
Recourses, plunder,
More complex and lethal by modern technology, communications, and weapons
Vulnerability of civilians vulnerability of government

7. Change: New Security Issues
Western view: a set of discrete and unrelated crises occurring in distant and unimportant regions
Dilemmas: humanitarian intervention?
Building a stable order after intervention
Unfair cover by media
Uncooperative strong power
Arms, money from developed world
Civil conflicts in developing countries
Terrorism, refugees, drugs, disease, organized crime

8. New Demands and Expectations
“human rights” become a mainstream in international law and responsibility of international relations
→ The Universal Declaration of Human Rights
the universal jurisdiction
“human security” include human rights and human dignity must be one of the fundamental objections of modern international institutions
new opportunity and capacity for common action

9. The Implications for State Sovereignty
All the states are equally sovereign under the international law (the UN Charter, Article 2.1)
Dual responsibly
externally: to respect the sovereignty of other states
internally: to respect the dignity and basic rights of all the
people within the state
The Meaning of Intervention
Action taken against a state or its leader, without its or their consent, for purposes which are claimed to be humanitarian or protective
× “humanitarian intervention”
→ “military intervention” for human protection purposes
“the responsibility to protect”

10. Responsibility to Protect
Four basic objectives for any new approach to intervention on human protection
1. to establish clearer rules, procedures and criteria for deterring whether, when and how to intervene
2. to establish the legitimacy of military intervention when necessary and after all other approaches have failed
3. to ensure that military intervention, when it occurs, is carried out only for the purposes proposed, is effective, and is undertaken with proper concern to minimize the human costs and institutional damage that will result
4. to help eliminate, where possible, the causes of conflict when enhancing the prospects for the durable and sustainable peace
Instead of arguing about “the right to intervene” they prefer to talk about it as “responsibility to protect”

11. Norm of Non-intervention
Externally: strengthen the legal identity of a state in international law + sovereignty is considered equal
Internally: right for the state to make authoritative decisions with regard to the people and resources within their territory, but the authority is not regarded as absolute
A condition of a state's sovereignty: must respect others states sovereignty.
The UN Charter acknowledged the right to self-defense.

12. Organizing Principle of the UN System
Being a member of UN = final symbol of independent sovereign statehood
Three Goals: State Building, Nation Building, and Economic Development
The UN is dedicated to maintenance of international peace and security
Problem: Conflicts today are internal
Main Difficulty: Balance between maintaining international peace & security with the idea of sovereignty
The Security-General approaches sovereignty in two notions
1. the state = traditional way
2. people and individuals = empowerment of people individually and collectively  

13. Sovereignty as Responsibility
As member sign the Charter, they are also agreeing to accept the responsibilities of membership.
A necessary re-characterization: from sovereignty as control to sovereignty as responsibility
Significances of Sovereignty as responsibility
1. Responsibility of protecting the safety and lives of citizens and promoting their welfare
2. Responsibility to the citizens internally and international community through UN
3. Accountability for acts of commission and omission

14. Human Rights Human Security
New standards of conduct
UN Charter Article 1.3 “promoting and encouraging respect for human rights and for fundamental freedoms for all without distinction as to race, sex, language or religion
The Universal Declaration of Human Rights (1948) = embodies the moral code, political consensus, and legal synthesis of human rights
The two Covenants of 1966 = proclaim human rights norm as a fundamental principle of international relations
Most recent advances = development of humanitarian law
Human rights law is approaching universal justice (justice without boarders)
Human Security
Traditional narrow perception: territorial security and security through armaments
Human security: security of people
physical safety
economic and social well-being
respect for their dignity and worth as human being
protection of human rights and fundamental freedoms

15. Emerging Practice
Commission's point of view for an emerging guiding principle can be termed as “the responsibility to protect”
Human protection purposes is supportable when major harm to civilians occurs and the state is unable or unwilling to end the harm
The emerging guiding principle is in favor of military intervention.
The Commission believes that there is a strong bias against military intervention in the UN Charter, but they suggest that it is not regarded as absolute when decisive action is required.

16. Shifting the Terms of the Debate
Traditional language of Intervention Debate, “right to intervene” is unhelpful
1. focus attention on the claims + rights + prerogatives of intervening states > potential beneficiaries
2. does not take into account the need for preventive effort or follow assistance
3. favors intervention before the debate has even begun
New Perceptions of R2P
to evaluate issues from the point of view of those who is seeking or needing support
it acts as a bridge between the sovereignty and international community
also include “the responsibility to prevent and rebuild”

17. Shifting the Terms of the Debate
The Commission suggests that the domestic authority is best placed to prevent problems, as well as to deal with problems when they occur
When a particular state is unable or unwilling to protect, the responsibility also lies in broader community of states
The action for R2P should include a wide range of assistance options and responses, in extreme cases, military intervention.
A necessary step: questions of legitimacy, authority, operational effectiveness, and political will

18. A Commitment to Prevent
Responsibility to protect implies a responsibility to prevent. (3.1)
Whose responsibility?
Immediate responsibility falls on the sovereign states and their commitment to ensure conflict prevention (3.2)
The necessity of international support (3.3)
Commitment to prevent legitimizes intervention when required (3.4)
Efforts to increase conflict prevention
UN General Assembly and Security Council resolutions on conflict prevention and improved effectiveness (3.5)
Expansion of IGOs and NGOs in conflict prevention to expand in the 1990s (3.6)

19. A Commitment to Prevent
Challenges to prevention efforts
Major preventative resources are controlled by sovereign states (3.7)
Gap between preventative rhetoric and financial and political support. Particularly among developing countries. (3.8)
Effective preventive measures require three essential conditions. (3.9)
There has to be knowledge of the fragility of the situation and the risks associated with it. (“early warning”)
An understanding of the policy measures available that are capable of making a difference. (“preventative tool box”)
A willingness to apply those measures. (“political will”)

20. A Commitment to Prevent
Challenges to prevention efforts
Major preventative resources are controlled by sovereign states (3.7)
Gap between preventative rhetoric and financial and political support. Particularly among developing countries. (3.8)
Effective preventive measures require three essential conditions. (3.9)
There has to be knowledge of the fragility of the situation and the risks associated with it. (“early warning”)
An understanding of the policy measures available that are capable of making a difference. (“preventative tool box”)
A willingness to apply those measures. (“political will”)

21. Early Warning and Analysis
From early warning to timely response (3.10)
Need for more official resources devoted to early warning and analysis ( ):
So far, early warning has proven inefficient.
Multiplicity of variables associated with root causes of conflict and the complexities of their interactions
Absence of reliable models for predicting conflicts
Perennial problem of securing accurate information.

22. Early Warning and Analysis
Rise of new NGOs specializing in conflict early warning
UN role as international beacon for early warning. ( )
UN Charter Article 99
Efforts to improve the UN’s information gathering and analytical capacities. (Report of the Panel on United Nations Peace Operations)
Establishment of a special unit enhancing Security- General’s provision of timely and accurate information.
Increased inclusion of regional actors with relevant expertise is essential

23. Root Cause Prevention Efforts
UN Charter, Article 55 (3.18)
Prevention needs to include solutions to international economic, social, and health issues; international, cultural, and educational cooperation; and universal respect for human rights.
Identifying underlying “root” causes of poverty, political repression, and uneven distribution of resources. (3.19)
The inherent need for open communication between assisted countries and the assisting countries/regions (3.20)
Several dimensions of root cause prevention
Addressing political needs and deficiencies
Tackling economic deprivation and lack of economic opportunities (3.21)
Strengthening legal protections and institutions
Reforming military and state security service sectors

24. Direction Prevention Efforts (“preventative tool box”)
Defining Direct Prevention:
Direct prevention as a final resort measure to make it unnecessary to employ directly coercive measures against a state. (3.25)
Political and diplomatic direct prevention measures (3.26)
Economic direct prevention measures (3.27)
Promise of new funding/investments, or favorable trade terms.
Threats of trade/financial sanctions, withdrawal of investments, or a curtailment of aid
Legal direct prevention measures ( )
Offering mediation, arbitration, or adjudication
Threatening to apply international legal sanctions.
Specialist Tribunals
International Criminal Court
Geneva Conventions
Others?

25. Direction Prevention Efforts (“preventative tool box”)
Military direct prevention measures (3.32)
Stand-off reconnaissance
(ex. UNPREDEP in Macedonia)
Extreme cases -- the threat to use forces
Media’s role in prevention (3.38)
Alerting the international community and policy makers
Problem of accepting international preventative measures ( )
Slippery slope of preventative measures
Risk of internal conflict (rebellion, succession)

26. Looking Forward
Prescriptions for more effective prevention efforts ( )
Improved coordination between NGO and IGO actors
The importance of an operational strategy; a lead player to manage multi-actor prevention
Creation of unrestricted UN development funds
Prescriptions for more effective prevention efforts (3.39)
Inclusion of conflict prevention in policies at the national, regional, and international levels
Accountability
International encouragement, support and reward of good conflict prevention behavior by fragile, conflict-prone states
Changing the norm
From culture of reaction to culture of prevention

27. The Responsibility to React
Interventionary measures are required when a certain state is unable/unwilling to subside the situation and preventive measures fail to resolve it.
In the case of reaction , less intrusive and coercive measures should always be considered before more coercive and intrusive ones are applied.(4.1)
There should be tough threshold conditions to satisfy before contemplating military intervention.(4.2)
In addition to threshold conditions there must be additional precautionary principles to be satisfied.

28. Measures short of Military Action
Coercive measures short of military intervention ought first to be examined (4.3)
　ーpolitical, economic and military sanctions
Why sanctions are better?(4.4)
◎Sanctions inhibit the state’s power to interact with the
　outside world.
× Sanctions can not physically prevent the state from carrying
out actions within its borders.
Military intervention, on the other hand, directly interferes with the power of domestic authority, and can effectively displaces them.
⇒However the use of deadly force accompanies inherent risks.

29. Non-military measures
Need extreme care to avoid doing more harm than good
⇒negative impact on civilian population should be avoided
Economic sanctions have been increasingly discredited in recent years(4.5)
⇒the hardships exacted upon civilian population are disproportionate to the impact on the principal players.
Sanctions that target leadership groups and security organizations responsible for gross human rights violations　are becoming important alternatives & drawing attention.
Three different areas have been focused in targeting sanction
　ーMilitary
　ーEconomic
　ーPolitical/diplomatic

30. Targeted Sanction Military area 〜Arms embargoes〜
ーStop the selling of military equipment & spare parts
ーEnding military cooperation and training programmes
Economic Area　〜Restricting supply〜
ーFinancial sanctions on certain part/people of the states
　・foreign assets
　・rebel movement / terrorist organization
　・Individual and its members (i.e. family)
ーRestrictions on income generating activities, which are
　 often the principal motivation for the conflict.
( oil, diamonds, drugs etc.)
ーRestriction on access to petroleum products
⇆it may have devastating impact on innocent civilians
ーAviation bans

31. Targeted Sanction Political and Diplomatic area
ーRestrictions on diplomatic representation ( expulsion of staff)
ーRestrictions on travel against specific leaders, individuals and
their families
ーSuspension of membership or expulsion from international/
regional bodies
ーRefusal to admit a country to membership of a body

32. The Decision to Intervene
The responsibility to react may involve military action only when the situation is extreme and regarded exceptional.
⇒Again, the principle of non-intervention is of the top priority
Non-interference rule protects both governments and its people, enabling societies to maintain their own culture.
Military intervention
・All order within a state has broken down
・Massacre/genocide/ethnic cleansing on a large scale
Non-interference
・Intervention to domestic affairs destabilize the order of states
・Rule against intervention encourages states to solve their own problems.

33. Six Criteria for Military Intervention
Just Cause (4.18~4.31)
︎Large scale loss of life, actual or apprehended, with genocidal intent or not, which is the product either of deliberate state action, or state neglect or inability to act, or a failed state situation
Large scale threatened or actual loss of life defined by the 1948 Genocide Convention
Situations of state collapse and the resultant exposure to mass starvation/civil war.
State concerned is either unwilling or unable to cope, or call for assistance in overwhelming natural/environmental catastrophes and significant loss of life is seen.
︎Large scale “ethnic cleansing” actual or apprehended, whether carried out by killing forced expulsion, acts of terror or rape.
The threat or occurrence of large scale loss of life
Crimes against humanity and violations of the laws of war defined in Geneva Conventions& Additional Protocols
Different manifestations of “ethnic cleansing” including the killing of certain group members, rape women of a particular group, terror designed to force people flee.

34. Situations excluded from “just cause” conditions are…
Systematic racial discrimination, or the systematic imprisonment or other repression of political opponents ⇒Short of outright killing or ethnic cleansing
Population desiring a democratic regime is denied its democratic rights by a military take-over.
The use of military force by a state to rescue its own nationals on foreign territory ⇒should be supported by a combination of Article 51 and the general provisions of Chapter VII of UN Charter.
The Question of Evidence
・It is essential to obtain fair and accurate information to prove that the situation
meet the criteria presented.
・Those evidence should come from a universally respected and impartial non-
governmental source.　Ex)Red Cross(ICRC), reports prepared in UN organs/agencies operations
・When the existence of the conditions that requires intervention is in question, Security Council or the Secretary-General sometimes send an independent special fact-finding mission, in order to obtain accurate information.

35. Other Precautionary Criteria
Right Intention (4.33~4.36)
The primary purpose of the intervention must be to halt or avert human suffering.
There are several ways to ensure that the “right intention” criterion is satisfied.
→Whether military intervention take place on a collective/multilateral
→To what extent does the intervention actually support people in the situation?
→Is the opinions of other countries taken into account ?
Last Resort (4.37~38)
The responsibility to react can only be justified when the responsibility to prevent is fully discharged.
Proportional Means (4.39~4.40)
The scale, duration and intensity of the planned military intervention should be the minimum necessary for improving the humanitarian objective in question.
Reasonable Prospects(4.41~4.43)
Military action should be taken only when it is likely to succeed in halting or averting the atrocities or suffering that triggered the intervention in the first place.

36. Thank you for paying attention 