TABLE OF CONTENTS
Content Page
Title Page i
Certification ii
Dedication iii
Acknowledgements iv
Abstract vi
List of Tables xii
List of Cases xiii
List of Abbreviations xiv
List of Instruments xvi
List of U.N Resolutions xvii
CHAPTER ONE: INTRODUCTION
1.1 Background to the Study 1
1.2 Statement of Problem 8
1.3 Objective of the Study 11
1.4 Research Questions 12
1.5 Methodology 12
1.6 Scope of the Study 13
1.7 Significance of the Study 14
1.8 Operational Definition of Terms 15
1.9 Structure of the Study 16
CHAPTER TWO: REVIEW OF LITERATURE
2.0 Introduction 18
2.1 Conceptual Model 18
2.1.1 Global Governance 18
2.1.2 The Concept of Sanctions 26
2.2 Architects in Global Governance 30
2.2.1 International Institutions 30
2.2.2 Countries 35
2.2.3 Non-Governmental Organizations- NGOs 37
2.2.4 Experts 38
2.2.5 Multinational Corporations-MNCs 39
2.3 The United Nations: at the Center of Global Governance 41
2.4 Challenges of Global Governance 44
2.5 Theoretical framework 46
2.5.1 Network Governance 46
2.5.2 The Theory of Collective Security 48
CHAPTER THREE: UNITED NATIONS SECURITY
COUNCIL SANCTIONS MECHANISMS IN CURBING
THREATS TO GLOBAL PEACE AND SECURITY
3.1 The Security Council 53
3.1.2 Composition of the Security Council 54
3.2 The Sanctions Committee 57
3.2.1 Originating Powers of the Sanctions Committee 58
3.2.2 The Capacity and Administrative Techniques of the Sanctions Committees 58
3.3 Legal basis for UN Security Council Sanctions 60
3.3.1 Sanctions Under League of Nations “Covenant” 61
3.3.2 United Nations Charter 62
3.3.3 Sanctions under the UN Charter 63
3.3.4 Comparison of the UN charter and its precedent 66
3.4 History of sanctions 68
3.5 Objectives and Purposes of UN Security Council sanctions 69
3.5.1 Settlement of Dispute 70
3.5.2 Limitation of Nuclear Weapon 71
3.5.3 Opposing Terrorism 73
3.5.4 Establishing Democracy 75
3.5.5 Safety of Ordinary Citizens 77
3.6 Logic and types of Sanctions 79
3.6.1 Economic Sanctions 79
3.6.2 Political Sanctions 82
3.6.3 Smart or Targeted Sanctions 83
3.6.4 Unilateral sanctions 84
3.7 Obligations to Implement and Comply with UN Sanctions 85
3.8 The Morality of Sanctions 86
3.9 Humanitarian Consequences of Sanctions 88
3.10 Evasion of Sanctions or Sanctions Bursting 90
3.11 Termination of Sanction Regimes 92
CHAPTER FOUR: UN SECURITY COUNCIL
SANCTIONS AGAINST STATES: SOME SELECTED
CASE STUDIES
4.0 Introduction 94
4.1 UN Sanctions on Iran –Background 95
4.1.1 History Of Sanctions On Iran 96
4.1.2 Sanctions on Nuclear Program 99
4.1.3 Financial Sanction 103
4.1.4 Oil And Gas Sanction 106
4.1.5 Shipping and Cargo Inspections 107
4.1.6 Panel of Experts 107
4.1.7 UN Sanctions on Arm To Be Terminated Later 110
4.2. UN Sanctions on Libya-Background 110
4.2.1 No Fly Zone 112
4.2.2. Enforcements of Arms Embargo 114
4.2.3 Ban on Flights 115
4.2.4 Asset freeze 115
4.2.5 Designation 116
4.2.6 Panel of Experts 116
4.3. UN Sanctions on North Korea-Background 118
4.3.1 Regulating Enforcement Measures 120
4.3.2 Realistic Enforcement Measures 120
4.3.3 Arms Embargo 121
4.3.4 Ban on Luxury Goods 122
4.3.5 Financial Sanctions 123
CHAPTER FIVE: THE EMERGENCE OF TARGETED
SANCTIONS UNDER THE AUSPICES OF THE UNITED
NATIONS SECURITY COUNCIL
5.0 Introduction 125
5.1 From Comprehensive to Targeted Sanctions 126
5.2 Who is Targeted? 130
5.3 Smart Sanctions against Individuals 135
5.3.1 Osama Bin Laden-Background 137
5.3.2 UN Sanctions against Osama Bin Laden 139
5.3.3 Muammar Gaddafi-Background 142
5.3.4 UN Sanctions On Mammaur Gaddafi 144
5.4. Targeted Sanctions against Groups 145
5.4.1 ISIL (Islamic State of Iran and Levante)-Background 146
5.4.1.1 UN Resolutions on ISIL 146
5.4.2 The AQT (Al Qaeda and Taliban)-Background 147
5.4.2.1 UN Sanctions On Al Qaeda and Taliban 148
5.4.3 Challenges of Targeted Sanctions by Individuals 149
5.5 Review of Cases 150
5.5.1 The Kadi Case 150
5.5.2 The Al-Jedda Case 153
5.6 Evaluation of the Effectiveness of UN Targeted Sanctions 155
5.7 Shortcomings of the Targeted Sanctions Regime 159
5.8 The UN Security Council Reforms on Targeted sanctions 163
CHAPTER SIX: SUMMARY, CONCLUSION
AND RECOMMENDATIONS
6.0 Introduction 167
6.1 Summary 167
6.1.1 Summary of Findings 168
6.2 Conclusion 177
6.3 Recommendations 179
6.3.1 Genuine Deliberation on Law of Human Rights 179
6.3.2 Development on the Strategies of The Sanctions Committee 180
6.3.3 Assessment of Sanction Episodes 180
6.3.4 Amendments of the UN Chatter 181
6.3.5 Establishment of an Autonomous Review Procedure 181
6.3.6 Enhancement of the Standard of public Awareness/debate 182
6.4 Contribution to Knowledge 182
6.5 Suggestions for Further Studies 183
REFERENCES 185
LIST OF TABLES
Table Page
5.1 Effectiveness of UN targeted Sanctions 158
5.2 A summary of Sanctions Effectiveness distribution 159
LIST OF CASES
Al-Jedda v. United Kingdom, Appl. No. 27021/087, ECtHR (Judgment) [Grand Chamber] (7 July 2011).
Behrami and Behrami v. France, Grand Chamber, (Application No. 71412/01)
Saramati v. France, Germany and Norway, Grand Chamber, (Application No. 78166/01), 31 May 2007.
Vlastimir and Borka Bankovic and others v Belgium, and others, Grand Chamber, (Application No. 52207/99), 12 December 2001.
Yassin Abdullah Kadi v. European Commission, [2010] ECR II-0000 (30 September 2010).
LIST OF ABBREVIATIONS
ACHR: American Convention on Human Rights
AU: African Union
BRICS: Brazil, China, India, the Russian Federation and South Africa
BWC: Biological Weapons Convention
CFSP: Common Foreign and Security Policy
CJEU: European Court of Justice
CPHRFF: Convention for the Protection of Human Rights and Fundamental
CWC: Chemical Weapons Convention
DPRK: Freedoms Democratic People’s Republic of Korea
ECHR: European Convention on Human Rights
ECtHRT: The European Court of Human Rights
EU: European Union
FATF: Financial Action Task Force
G.A.T.T.: General Agreement on Tariffs and Trades
G7: The Group of 7
HCOC: Hague Code of Conduct against Ballistic Missile Proliferation
I.M.F: International Monetary Fund
IAEA: International Atomic Energy Agency
ICAO: International Civil Aviation Organization
ICCPR: International Covenant on Civil and Political Rights
ICESCR: International Covenant on Economic, Social and Cultural Rights
IMO: International Mari-time Orga¬nization
INTERPOL: International Police
ISAF: International Security Assistance Force
ISIL: Islamic State of Iraq and Levant
ISU: Implementation Support Unit
ITF: International Tennis Federation
IRA: Irish Republican Army
JCPOA: Joint Comprehensive Plan of Action
MTCR: Missile Technology Control Regime
NATO: North Atlantic Treaty Organization
NTBT: Nuclear-Test-Ban Treaty
NTC: National Transitional Council
OCHA: The Office for the Coordination of Humanitarian Affairs
OIC: Organisation of Islamic Cooperation (‘OIC’)
OPCW: Organization for the Prohibition of Chemical Weapons
OSCE: Organization for Security and Co-operation in Europe
PTBT: Partial Test Ban Treaty
SCO: Shanghai Cooperation Organization
SWIFT: Society for Worldwide Interbank Financial Telecommunication
TSC: Targeted Sanctions Consortium
UEFA: Union of European Football Federation Associations
UK: United Kingdom
UN: United Nations
UNCIO: United Nations Conference on International Organization
UNODA: United Nations Office for Disarmament Affairs
UNSC: United Nations Security Council
USA: United States of America
WB: World Bank
WCO: World Customs Organization
WTO: World Trade Organization
LIST OF INSTRUMENTS
Charter of the United Nations, 24 October 1945, 1 UNTS XVI
Covenant of the League of Nations, 28 April 1919
European Communities and Certain Related Acts, 1997 O.J. C 340/1
European Convention for the Protection of Human Rights and Fundamental Freedoms,
Protocols Nos. 11 and 14, 4 November 1950, ETS 5
Treaty Establishing the European Atomic Energy Community, Mar. 25, 1957, 298 U.N.T.S. 167
Treaty Establishing the European Community (Consolidated Version), Rome Treaty, 25 March 1957
Treaty of Versailles of 28 June 1919
Treaty on European Union (Lisbon Treaty) 2007, OJ C 306/255
Treaty on European Union (Maastricht text), 29 July 1992, O.J. C 191/1
LIST OF UNITED NATIONS SECURITY COUNCIL RESOLUTIONS
SC/RES/1 (1946) adopted by the Security Council at its 2nd meeting.
SC /RES/1970 (2011) adopted by the Security Council at its 6491st meeting.
SC/RES/1132 (1997) adopted by the Security Council at its 3822nd meeting.
SC/RES/1160 (1998) adopted by the Security Council at its 3868th meeting.
SC/RES/1193 (1998) adopted by the Security Council at its 3921st meeting.
SC/RES/1214 (1998) adopted by the Security Council at its 3952nd meeting.
SC/RES/1267(1999) adopted by the Security Council at its 4051st meeting.
SC/RES/1333(2000) adopted by the Security Council at its 4251st meeting.
SC/RES/1343 (2001) adopted by the Security Council at its 4287th meeting.
SC/RES/1363(2001) adopted by the Security Council at its 4352nd meeting.
SC/RES/1373(2001) adopted by the Security Council at its 4385th meeting.
SC/RES/1390 (2002) adopted by the Security Council at its 4452nd meeting.
SC/RES/1518 (2003) adopted by the Security Council at its 4872nd meeting.
SC/RES/1521 (2003) adopted by the Security Council at its 4890th meeting.
SC/RES/1533 (2004) adopted by the Security Council at its 4926th meeting.
SC/RES/1572 (2004) adopted by the Security Council at its 5078th meeting.
SC/RES/1591 (2005) adopted by the Security Council at its 5153rd meeting.
SC/RES/1672 (2006) adopted by the Security Council at its 5423rd meeting.
SC/RES/1718 (2006) adopted by the Security Council at its 5551st meeting.
SC/RES/1737 (2006) adopted by the Security Council at its 5612th meeting.
SC/RES/1874 (2009) adopted by the Security Council at its 6141st meeting.
SC/RES/1907 (2009) adopted by the Security Council at its 6254th meeting.
SC/RES/1970 (2011) adopted by the Security Council at its 6491st meeting.
SC/RES/1973 (2011) adopted by the Security Council at its 6498th meeting.
SC/RES/1988 (2011) adopted by the Security Council at its 6557th meeting.
SC/RES/2087 (2013) adopted by the Security Council at its 6904th meeting.
SC/RES/2094 (2013) adopted by the Security Council at its 6932nd meeting.
SC/RES/2231 (2015) adopted by the Security Council at its 7488th meeting.
SC/RES/2270 (2016) adopted by the Security Council at its 7638th meeting.
SC/RES/232 (1966) adopted by the Security Council at its 1340th meeting.
SC/RES/300 (1995) adopted by the Security Council at its 1592nd meeting.
SC/RES/316 (2013) adopted by the Security Council at its 1650th meeting.
SC/RES/3333 (2000) adopted by the Security Council at its 2322nd meeting.
SC/RES/661 (1990) adopted by the Security Council at its 2933rd meeting.
SC/RES/678 (1990) adopted by the Security Council at its 2963rd meeting.
SC/RES/751 (1992) adopted by the Security Council at its 3069th meeting.
SC/RES/752 (1992) adopted by the Security Council at its 3075th meeting.
SC/RES/757 (1992) adopted by the Security Council at its 3082nd meeting.
SC/RES/788 (1992) adopted by the Security Council at its 3138th meeting.
SC/RES/820 (1993) adopted by the Security Council at its 3200th meeting.
SC/RES/841 (1993) adopted by the Security Council at its 3238th meeting.
SC/RES/841 (1993) adopted by the Security Council at its 3238th meeting.
SC/RES/864 (1993) adopted by the Security Council at its 3277th meeting.
SC/RES/872 (1993) adopted by the Security Council at its 3288th meeting.
SC/RES/873 (1993) adopted by the Security Council at its 3291st meeting.
SC/RES/917 (1994) adopted by the Security Council at its 3376th meeting.
SC/RES/918 (1994) adopted by the Security Council at its 3377th meeting.
SC/RES/955 (1994) adopted by the Security Council at its 3453rd meeting.
SC/RES/2337(2017) adopted by the Security Council at its 7866th meeting.
CHAPTER ONE
INTRODUCTION
1.1. Background to the Study
The crises and threats presently being experienced worldwide are alarming and far beyond the sustenance, grip and control of the states wherein, their occurrences take place. Countries are warring against one another, some are so deviant that they produce nuclear and ballistic materials. Individuals and groups are executing terrorist activities that are unimaginably destructive and contaminable deadly diseases such as Ebola are sometimes not efficiently curtailed since they run across states’ borders. Moreover, during this era, we have Populist insurgency across the globe, ‘BREXIT’, Niger fraud and speculations that some states may also withdraw their membership from powerful organizations like the United Nations. There are also unfriendly environmental occurrences and situations, some nations are still not democratised, there is general insecurity in all spheres of life (water, food, health, shelter and even clothing), and the standard of living per person declines daily.
The way in which the world can become a better place by overcoming the problems mentioned above through established and available actors/stakeholders, resources, mechanisms and systems is crucial to this work.
Global governance is growingly necessary to achieve international peace and security especially as the world becomes more interconnected and complex. For over a half century, the global governance institutions have been persistently responsible for the management of general global menace in all spheres of human security. Since globalisation emerged, the powers of global institutions have grown to ensure international security and stability.
Contemporary and emerging global menace and crises need an effective collective answer. In international relations, a tool that is insufficient is diplomacy; military intervention is expensive and frequently politically unviable. Sanctions are frequently used by the United Nations Security Council (UN Security Council) since the post-Cold War pe¬riod in response to global threats and problems. Sanctions arise between diplomacy and military interventions. These sanctions are perceived as being very efficient when employed with other strategies available to the international community. This efficiency is due to the fact that diplomacy is conducted away from pub¬lic view and military onslaughts are very expensive. Global governance is indeed the management, control and resolutions of issues, interests or problems that have trans-national concerns or repercussions such as piracy, terrorism, international trade and security, climate change amongst others. These events go beyond the boundaries of a single state and eventually have both positive and negative global results.
The role of the United Nations (UN) in global governance is very germane in international politics. In the absence of a world government to ascertain the rules and regulations governing relations between states, diverse workable means are needed to resolve global crises. The foundation to establish institutional framework for policy formulation and decision making at the international level is implemented by the UN.
The entire paradigm of the UN was formulated to deal with the basic actors in international politics such as states. In order to achieve this purpose, the UN Security Council is imposed with a distinct power to deal with threats to the international peace and security through a procedure of international security created in global politics. The UN Security Council responds to those threats by imposing sanctions against the origin of the intimidation. Subsequent to the Cold War, comprehensive sanctions have been polished and have emerged in commendable manner through a change in types of targets and purposes of these measures. Beginning in 1992, sanctions moved gradually away from the comprehensive model, often including a general trade embargo, and their associated humanitarian impact, toward targeting leaders and decision-makers responsible for defying in¬ternational norms.
Recently, UN Security Council sanctions are in the glare of the public especially regarding Al Qaida-Taliban, Côte d’Ivoire, and the Democratic People’s Republic of Korea (North Korea), Iran, and Libya and currently Syria with meaningful expansion of traditional targeted sanctions in some cases. These sanction regimes both emphasize the increasing use of this measure and unending doubts about the future of UN Security Council sanctions in the face of the ever-changing geopolitical landscape, the adaptability of some present targets, pervasive misconceptions, and other problems to sanctions’ legality, integrity, and effectiveness.
Mostly, sanctions are seen as a substitute to military force. When sanctions are imposed to punish an offending party socially, economically, or politically rather than militarily, it is employed with the intentions to solve a conflict without the mass suffering and sacrifice required by war. Sanctions have sometimes been effective, and are broadly used. There were nearly as many sanction episodes after the end of the Cold War as there were during the first ninety years of the twentieth century. The most high-profile cases were comprehensive UN sanctions imposed on Iraq, Haiti, and former Yugoslavia in the early 1990s. Ultimately, all three episodes generated at least moderate concessions. In this research, the history and uses of sanctions, some associated problems, and how sanctions can be made more effective in terms of implementation will be examined.
The UN Security Council has targeted sanctions against individuals and other non-state actors in its application of the measures. When sanctions were employed for the very first time, it was the white minority government of Southern Rhodesia, which was a British Colony at the time and not a sovereign state that was besieged. Practically all UN Security Council sanctions regimes partly affected individuals and occasionally members of governments and their closest associates and relatives. In recent years, many persons are ‘blacklisted’ by the UN Security Council as likely terrorists. Usually such sanctions include travel bans and Assets freeze. These types of sanctions are the emerging trends in the implementation of UN Security Council sanctions and are known as “Targeted or Smart Sanctions”.
A mechanism governing the behaviour of all stakeholders in the international political system is International law with the main function of ensuring peace and security in the global community. A new set of issues concerning possible violations of individual rights were raised by targeted sanctions which were developed as a consequence of such concerns. The Kadi case is a judgement that bothers on the challenges of individuals who were listed by the sanctions committee of the UN Security Council, and the Al-Jedda case is on the legal consequences of targeted sanctions. These two cases are thoroughly examined in chapter four of this research. The use of force though not prohibited is usually not the desired way of regulating international actors’ behaviour; hence the use of sanctions is often desired to compel a state to adhere to the rules of international law.
The UN through her Security Council is built as a global institution that possesses the legal rights to guarantee international peace and security by adopting mechanisms not involving the use of force to ensure its decision. The UN Security Council has the responsibility of preventing and repressing acts of encroachment in all states especially in instances of a breach of or threat to peace or international security. It can also intervene if state governments (failed state situations) cease to protect human rights and unable to exercise control of governance as was the situation in Libya. There are 15 UN Member States in the Security Council, out of which, five are persistently permanent members, namely, China, United States (U.S), United Kingdom (U.K), France and Russia. The other ten are non-permanent members that are elected by the General Assembly to two year non-renewable term. The membership at the Security Council are regionally chosen to depict representation, so that three members are from Africa, two each from Asia, Latin America, Western Europe, and 1 representative from Eastern Europe. The UN Security Council has wide powers to ensure global peace and security, most especially under Chapter VII of the UN Charter, and its decisions are binding on all UN members.
Once the UN Security Council determines that there exists a threat to peace, breach of peace or act of aggression on any state, it is empowered to give consideration to the application of measures provided in articles 41 and 42. Article 39 of the Charter provides that “the Security Council shall first determine the existence of any threat to the peace, breach of the peace, or act of aggression to be able to take necessary measures pursuant to Chapter VII of the Charter”. Article 41 states that:
The Security Council may decide what measures not involving the use of armed force are to be employed to give effect to its decisions, and it may call upon the Members of the United Nations to apply such measures. These may include complete or partial interruption of economic relations and of rail, sea, air, postal, telegraphic, radio, and other means of communication, and the severance of diplomatic relations.
The quotation provides for non-military interventions by the UN Security Council and it is broadly linked with the application of sanctions episodes. The Security Council has made use of a variety of non-military measures under Article 41 of the Charter. In the case of Iraq , the former Federal Republic of Yugoslavia and Haiti , the Council imposed a complete commercial and financial embargo, supported by measures such as a flight embargo and prohibition of participation in sporting events. For instance a relevant extract from the UN Security Council resolution on Haiti reads as follows:
(a) All states should prohibit the sale of petroleum, petroleum products, arms and related materials including weapons and ammunition, military vehicles and equipment, police equipment and spare parts for any aforementioned to Haiti;
(b) A ban on all traffic from entering the territorial waters of the country carrying any of the aforementioned products
(c) Any foreign funds held by Haiti would be frozen.
Mostly in other cases, however, the UN Security Council was more selective. In the case of resolutions 748 (1992) and 883 (1993) on Libya, prohibition of flights to and from that country was buttressed by the responsibility to freeze Libyan assets and the prohibition to export oil-related equipment. The UN Security Council Resolution 748 decided that, all member states should:
(a) Deny permission of Libyan aircraft to take off from, land in or overfly their territory if it has taken off from Libyan territory, excluding humanitarian need;
(b) Prohibit the supply of aircraft or aircraft components or the provision Servicing of aircraft or aircraft
