International Legal Standards for the Protection from Refoulement

International Legal Standards for the Protection from Refoulement

Distribution for the UK: Hart Publishing Ltd. 16C Worcester Place Oxford OX1 2JW UK Tel.: +44 1865 51 75 30 Fax: +44 1865 51 07 10 Distribution for Switzerland and Germany: Schulthess Verlag Zwingliplatz 2 CH-8022 Zürich Switzerland Tel.: +41 1 251 93 36 Fax: +41 1 261 63 94 Distribution for the USA and Canada: International Specialized Book Services 920 NE 58th Ave Suite 300 Portland, OR 97213 USA Tel.: +1 800 944 6190 (toll free) Tel.: +1 503 287 3093 Fax: +1 503 280 8832 Email: info@isbs.com Distribution for other countries: Intersentia Publishers Groenstraat 31 BE-2640 Mortsel Belgium Tel.: +32 3 680 15 50 Fax: +32 3 658 71 21 Cover: photo by Ad van Denderen (2002 Sangatte, France) Lay-out: Anne-Marie Krens Tekstbeeld Oegstgeest Text editing: Kate Elliott 2009 C.W. Wouters A commercial edition of this dissertation will be published by Intersentia under ISBN 978-90-5095-876-9 This book is associated to the series of the E.M. Meijers Institute of Legal Studies, Leiden Law School, Leiden University, the Netherlands. It was prepared and defended at the Univerisity as a PhD thesis Instituut voor Immigratierecht No part of this book may be reproduced in any form, by print, photoprint, microfilm or any other means, without written permission from the publisher.

International Legal Standards for the Protection from Refoulement A legal analysis of the prohibitions on refoulement contained in the Refugee Convention, the European Convention on Human Rights, the International Covenant on Civil and Political Rights and the Convention against Torture PROEFSCHRIFT ter verkrijging van de graad van Doctor aan de Universiteit Leiden, op gezag van Rector Magnificus prof. mr. P.F. van der Heijden, volgens besluit van het College voor Promoties te verdedigen op vrijdag 24 april 2009 klokke 11.15 uur door Cornelis Wolfram Wouters geboren te s-hertogenbosch in 1970

Promotor: Overige leden: Prof. mr. P. Boeles Prof. mr. drs. B.P. Vermeulen (Vrije Universiteit Amsterdam) Prof. mr. T. Barkhuysen Prof. dr. R.A. Lawson Prof. mr. T.P. Spijkerboer (Vrije Universiteit Amsterdam)

We believe that human rights transcend boundaries and must prevail over state sovereignty José Ramos-Horta

Preface The idea of writing this book was born sometime in 1999 just before Blanche decided actually to join the UNHCR and the two of us started living in Bangkok. It was born during a car journey undertaken by me and Prof. Pieter Boeles, the driver, on our way back to Amsterdam from a meeting in Utrecht. It was agreed that I would conduct comprehensive research into the international legal responsibilities of States for the protection of individuals from refoulement. Prof. Boeles and I felt this to be an important topic which could be investigated from just about anywhere in the world. It would not matter where the UNHCR sent us in the years to come; I could do my research. A team was formed comprising of Prof. Pieter Boeles, Prof. Ben Vermeulen and René Bruin. Over the years I regularly travelled back to the Netherlands to meet with this distinguished trio in Ben s office at the Free University in Amsterdam. Since the beginning of 2000 I have taken my work to five different countries before finally finding the time to complete it. Ever since I graduated from Leiden University I have seen asylum seekers and refugees in a variety of countries and settings, ranging from new arrivals in the Aanmeldcentrum at Schiphol airport to Bhutanese refugees residing in camps in Eastern Nepal. All these people had been displaced and had their reasons for seeking protection outside their own country. No matter where they were or why they fled, they were vulnerable and insecure; in dire need of knowing and understanding their rights. The reasons for writing this book are obvious at least to me. As Stephen Legomsky once wrote, we do not live in a utopian world where there are no refugees, no armed conflicts and no human rights abuses; we do not even live in a modified utopian world where refugees are welcomed with open arms. Unfortunately, we live in a world that consists of sovereign States that jealously guard their territories, their wealth, and their economic composition (Legomsky 2000, p. 620). It is therefore important to analyse and clearly state the various legal obligations States have vis-à-vis individuals who are seeking and are in need of international asylum protection. This book would not have been possible without the support of many. First and foremost, I thank Blanche for opening the world to me in so many different ways, loving me and allowing me to do my research for all these years. I have to thank my colleagues at the Institute of Immigration Law, Gerrie, Suzanne, Maarten, Marcelle, Brigitte, Ciara, Elisabeth and the numerous student assistants, for their continuous support and interest in my life and work. It never mattered how long I had been away from the Institute. I always felt very welcome when I returned to Leiden. In particular, I want to thank Maarten and Marcelle for providing me with crucial information and insights, for reading various drafts and letting me interrupt them on numerous occa-

VIII Preface sions and discuss with them a long list of arguments that I had thought of; some valuable and others ridiculous. I am also grateful to Sam and Amy s nannies: Manana in Tbilisi, Soma in Colombo and Irene in Brussels. They took very good care of my daughters and kept them away from my office room, as Sam would call it, when I was working. I am grateful to my friends, colleagues and former students in Thailand who kept bugging me about this research. I am grateful too to those who have given me shelter during my stays in the Netherlands, in particular Wolf and Maria, Bas and Nico, and Petra and Willem, who gave me the keys to their home and always welcomed me with discussions, tea, wine and calvados (or spirits of a similar kind). Putting this book together and discovering the reality of the law would have been impossible without the experience I gained at the various organisations I have worked for since I graduated: the refugee department of Amnesty International in Amsterdam, FORUM, the Dutch Institute for Multicultural Development in the Netherlands, the Dutch Refugee Council, the editorial board of Jurisprudentie Vreemdelingenrecht (JV), the Office of Human Rights Studies and Social Development at Mahidol University in Thailand, and finally the Centre on Housing Rights and Evictions (COHRE), which entrusted me with setting up its office in Sri Lanka and doing interesting work on the issue of housing, land and property restitution for refugees and displaced persons in Asia. Finally, I like to thank the one person who gave me the passion for asylum and refugee law; who shared his knowledge and experience, was my teacher and who kept guiding me until the last letter of this book was set in print. I thank René Bruin for all those years of true friendship. Kees Wouters Bangkok / Tbilisi / Colombo / Brussels / Phnom Penh / Amsterdam / Leiden, 2000-2009

Table of Contents List of Abbreviations and Acronyms XIX 1 Introduction 1 1.1 Introduction to the study 1 1.1.1 Objective of the study 2 1.1.2 Research questions 3 1.1.3 Methodology of and sources for the study 4 1.1.4 Scope and limitations of the study 5 1.1.5 Structure of the book 5 1.2 Relevant general principles of human rights treaties 6 1.2.1 The interpretation of human rights treaties 7 1.2.1.1 General rules of treaty interpretation 7 1.2.1.2 Interpretation of human rights treaties 11 1.2.1.3 The role of international monitoring or supervisory bodies 13 1.2.2 Individual human rights and the obligations of States 14 1.2.3 The personal, territorial and extra-territorial scope of human rights treaties 16 1.2.3.1 Personal scope 16 1.2.3.2 Territorial scope 16 1.2.3.3 Extra-territorial scope 18 1.2.3.3a Effective control over foreign territory 19 1.2.3.3b Attribution of conduct 20 1.2.4 Reservations and declarations made to international human rights treaty provisions 22 1.3 General remarks on the prohibition on refoulement 23 1.3.1 The concept of asylum 23 1.3.2 The concept of refoulement 25 1.3.2.1 The harm from which a person is protected 26 1.3.2.2 The element of risk 26 1.3.2.3 National protection 26 1.3.2.3a Internal protection alternative 26 1.3.2.3b Diplomatic assurances to guarantee safety 26 1.3.2.4 The absolute or non-absolute character of the prohibition on refoulement 28 1.3.2.5 The character and content of the States obligations deriving from the prohibition on refoulement 29 1.3.2.6 Extradition and a conflict of treaty obligations 30

X Table of Contents 2 1951 Convention relating to the Status of Refugees and the 1967 Protocol relating to the Status of Refugees 33 2.1 Introduction 33 2.1.1 Prohibition on refoulement under the Refugee Convention 33 2.1.2 A brief introduction to the Refugee Convention 34 2.1.2.1 Object and purpose 35 2.1.2.2 Content and structure 36 2.1.2.3 Reservations and declarations 37 2.1.3 International sources for the interpretation of the Refugee Convention 37 2.1.3.1 The United Nations High Commissioner for Refugees (UNHCR) 39 2.1.3.1a UNHCR Documentation 42 2.1.3.2 The Executive Committee of the High Commissioner s Programme 44 2.2 Personal and (extra-)territorial scope of Article 33 of the Refugee Convention 46 2.2.1 Personal scope 46 2.2.2 The territorial and extra-territorial scope of Article 33(1) of the Refugee Convention 48 2.3 The content of the prohibition on refoulement under Article 33 of the Refugee Convention 56 2.3.1 The harm from which a person is protected: being persecuted for reasons of race, religion, nationality, membership of a particular social group or political opinion 57 2.3.1.1 Persecution 57 2.3.1.1a Persecution as a crime contained in the ICC Statute and ICTY Jurisprudence 67 2.3.1.1b Prosecution and punishment amounting to persecution 68 2.3.1.2 Persecution reasons 71 2.3.1.2a Race 72 2.3.1.2b Religion 72 2.3.1.2c Nationality 72 2.3.1.2d Membership of a particular social group 72 2.3.1.2e Political opinion 75 2.3.1.2f Perceived or attributed persecution grounds 75 2.3.1.3 Being persecuted for reasons of 76 2.3.1.4 Actors of persecution 80 2.3.2 The element of risk 82 2.3.2.1 Defining the risk: a well-founded fear 83 2.3.2.1a Objectivity and prospectivity 83 2.3.2.1b Individualisation, mass influx and group persecution 87 2.3.2.1c Required facts and circumstances to meet the necessary level of risk 89 2.3.2.1d Refugees sur place 89 2.3.2.2 Standard and burden of proof 90 2.3.2.2a Issues of credibility 90 2.3.2.2b Issues of evidence 93 2.3.2.2c Burden of proof 95 2.3.2.2d Special considerations for children and women 98

Table of Contents XI 2.3.2.3 At what point in time must the risk be assessed? 99 2.3.2.4 Protection from the country of origin (national protection) 99 2.3.2.4a Internal protection alternative 104 2.3.2.4b Diplomatic assurances to guarantee safety 110 2.3.3 Exceptions to the right to be protected from refoulement 113 2.3.3.1 Danger to the country of refuge or its community (Article 33(2) of the Refugee Convention) 113 2.3.3.1a Danger to the national security 115 2.3.3.1b Danger to the community 116 2.3.3.2 Exclusion from refugee protection: Article 1D and E of the Refugee Convention 118 2.3.3.2a Article 1D of the Refugee Convention 118 2.3.3.2b Article 1E of the Refugee Convention 120 2.3.3.3 Exclusion from refugee status: Article 1F of the Refugee Convention 120 2.3.3.3a Article 1F(a): crimes against peace, war crimes and crimes against humanity 122 2.3.3.3b Article 1F(b): Serious non-political crimes 124 2.3.3.3c Article 1F(c): acts contrary to the purposes and principles of the United Nations 126 2.3.3.3d Individual responsibility for excludable acts and the standard and burden of proof 126 2.3.3.3e Considerations of proportionality 131 2.3.3.4 Provisional measures under Article 9 of the Refugee Convention 132 2.4 The character and contents of State obligations deriving from the prohibition on refoulement under Article 33 of the Refugee Convention 133 2.4.1 Negative obligations 133 2.4.1.1 Prohibition on removal 133 2.4.1.1a Safe countries of origin 135 2.4.1.2 Prohibition on extradition 136 2.4.1.3 Prohibition on rejection at the frontier and beyond 137 2.4.1.4 Prohibition on indirect refoulement and the concept of safe third countries 140 2.4.1.4a Safe third countries 141 2.4.1.4b Agreements to allocate responsibility and readmission agreements 145 2.4.2 Positive obligations 147 2.4.2.1 Obligation to admit (a right to enter and remain) 148 2.4.2.1a Obligations on refugees at sea: interception and rescue at sea 151 2.4.2.2 Temporary protection in situations of mass influx 156 2.4.2.3 Obligation to grant a residence permit 158 2.4.2.4 Substantive rights granted to refugees 160 2.4.2.5 Obligations in the context of voluntary repatriation 163 2.4.2.6 Obligations after removal 164 2.4.2.7 Procedural safeguards 164 2.4.2.7a The initial determination procedure 164

XII Table of Contents 2.4.2.7b Accelerated procedures 172 2.4.2.7c Appeal procedures 173 2.4.2.7d Suspensive effective of proceedings to determine refugee status 175 2.4.2.7e Additional procedural safeguards for the expulsion of lawful refugees (Article 32 of the Refugee Convention) 176 2.5 Conclusion 178 3 1950 European Convention for the Protection of Human Rights and Fundamental Freedoms 187 3.1 Introduction 187 3.1.1 Prohibition(s) on refoulement under the European Convention on Human Rights 187 3.1.2 Brief introduction to the European Convention on Human Rights 190 3.1.2.1 Object and purpose 190 3.1.2.2 Content and structure 191 3.1.2.3 Reservations and declarations 192 3.1.3 International sources for interpretation of the European Convention on Human Rights 193 3.1.3.1 The role of the European Court of Human Rights and the status of its decisions 193 3.1.3.1a Individual applications 194 3.1.3.1b Inter-State cases 196 3.1.3.1c Advisory opinions 196 3.1.3.2 The role of the Committee of Ministers of the Council of Europe 196 3.1.3.3 The role of the Secretary General of the Council of Europe 198 3.1.3.4 The role of the former European Commission of Human Rights 198 3.1.4 Rules of interpretation of the European Convention on Human Rights 199 3.2 Personal and (extra-)territorial scope of the European Convention on Human Rights, in particular with respect to the prohibition on refoulement 202 3.2.1 Personal scope 202 3.2.2 Territorial and extra-territorial scope of the European Convention on Human Rights 203 3.2.2.1 Territorial scope 203 3.2.2.2 Extra-territorial scope 205 3.2.2.2a Effective overall control over foreign territory 206 3.2.2.2b Attribution of conduct to the State and control over a person and his rights 208 3.2.3 The relevance of the territorial and extra-territorial scope of the Convention for protection from refoulement 217 3.3 The content of the prohibition on refoulement under Article 3 of the European Convention on Human Rights 221 3.3.1 The harm from which a person is protected: torture and inhuman or degrading treatment or punishment 221 3.3.1.1 Torture as defined outside the context of refoulement 222 3.3.1.1a Perpetrators of torture 225

Table of Contents XIII 3.3.1.2 Inhuman and degrading treatment or punishment as defined outside the context of refoulement 225 3.3.1.2a Perpetrators of inhuman and degrading treatment or punishment 237 3.3.1.3 Proscribed ill-treatment in the context of refoulement 238 3.3.1.3a Defining the ill-treatment 238 3.3.1.3b State versus non-state perpetrators of ill-treatment 244 3.3.1.3c Situations in the country of origin amounting to ill-treatment 244 3.3.2 The element of risk 246 3.3.2.1 Defining the risk: a real personal foreseeable risk 247 3.3.2.1a Prospectivity and objectivity 247 3.3.2.1b Individualisation: an element of comparison? 248 3.3.2.1c Membership of a particular group 252 3.3.2.1d Facts and circumstances required to meet the necessary level of risk 255 3.3.2.1e Risk sur place 265 3.3.2.2 The standard and burden of proof 266 3.3.2.2a Issues of credibility and plausibility 266 3.3.2.2b Issues of evidence (in support of the claim) 270 3.3.2.2c Burden of proof 274 3.3.2.3 Cases in which a different standard of risk applies 276 3.3.2.4 At what point in time must the risk be assessed? 279 3.3.2.5 The role of the European Court of Human Rights in the risk assessment 283 3.3.2.6 Protection from the country of origin (national protection) 287 3.3.2.6a Internal protection alternative 288 3.3.2.6b Diplomatic assurances to guarantee safety 293 3.3.2.6c The country of origin is a State party to one or more human rights treaties 304 3.3.3 The absolute character of the prohibition on refoulement 307 3.4 The character and contents of State obligations deriving from the prohibition on refoulement under Article 3 of the European Convention on Human Rights 315 3.4.1 Negative obligations 317 3.4.1.1 Prohibition on removal 317 3.4.1.2 Prohibition on extradition 319 3.4.1.3 Prohibition on indirect refoulement 320 3.4.1.4 Prohibition on rejection at the frontier and beyond (including the open sea) 323 3.4.2 Positive obligations 324 3.4.2.1 Obligation to admit (a right to asylum, to enter and to remain) 324 3.4.2.2 Obligations after removal 327 3.4.2.3 Obligation to install procedural safeguards 330 3.4.2.3a The initial determination procedure 330 3.4.2.3b Appeal procedures: effective legal remedies offered by Article 3 in conjunction with Article 13 331

XIV Table of Contents 3.4.2.3c Additional procedural safeguards for the expulsion of lawfully resident aliens (Article 1 Protocol 7 ECHR) 342 3.4.2.3d Applicability of Article 6(1) 344 3.5 Other prohibitions on refoulement under the European Convention on Human Rights 345 3.5.1 Non-derogable provisions, in particular Articles 2, 1 of Protocol No. 6 and 1 of Protocol No. 13 345 3.5.2 Article 6, the right to a fair trial 348 3.5.3 Other provisions, in particular Articles 5, 8 and 9 351 3.6 Conclusion 353 4 1966 International Covenant on Civil and Political Rights 359 4.1 Introduction 359 4.1.1 Prohibition(s) on refoulement under the ICCPR 359 4.1.2 Brief introduction to the ICCPR 361 4.1.2.1 Object and purpose 361 4.1.2.2 Content and structure 362 4.1.2.3 Reservations and declarations 363 4.1.3 International sources for interpretation of the ICCPR 364 4.1.3.1 The Human Rights Committee 364 4.1.3.1a The monitoring tools of the Human Rights Committee 364 4.1.3.1b The status of the Committee s views 365 4.1.4 Rules of interpretation of the ICCPR 367 4.2 Personal and (extra-)territorial scope of the ICCPR, in particular with respect to the prohibition on refoulement 369 4.2.1 Personal scope 369 4.2.2 Territorial and extra-territorial scope of the ICCPR 370 4.2.2.1 Territorial scope 372 4.2.2.2 Extra-territorial scope 372 4.2.3 The relevance of the territorial and extra-territorial scope of the ICCPR for the prohibition on refoulement 375 4.3 The content of the prohibition on refoulement under Articles 6 and 7 of the ICCPR 377 4.3.1 The harm from which a person is protected 377 4.3.1.1 Death penalty and the death row phenomenon 377 4.3.1.1a Death penalty 377 4.3.1.1b Death row phenomenon 379 4.3.1.2 Arbitrary deprivation of life 380 4.3.1.3 Torture and other cruel, inhuman or degrading treatment or punishment 381 4.3.1.3a Torture under the ICCPR and CAT 388 4.3.1.4 Harm from which a person is protected in the context of refoulement 389 4.3.1.4a Defining the harm in the context of refoulement 389 4.3.1.4b State versus non-state perpetrators of the harm 391

Table of Contents XV 4.3.2 The element of risk 391 4.3.2.1 Defining and determining the risk 391 4.3.2.2 Standard and burden of proof 395 4.3.2.2a Burden of proof 396 4.3.2.3 At what point in time must the risk be assessed? 397 4.3.2.4 The role of the Human Rights Committee in the risk assessment 397 4.3.2.5 Protection from the country of origin (national protection) 398 4.3.2.5a Internal protection alternative 398 4.3.2.5b Diplomatic assurances to guarantee safety 399 4.3.3 The absolute character of the prohibition on refoulement 402 4.4 The character and contents of States obligations deriving from the prohibition on refoulement under Articles 6 and 7 of the ICCPR 404 4.4.1 Negative obligations 405 4.4.1.1 Prohibition on removal 405 4.4.1.2 Prohibition on extradition 406 4.4.1.3 Prohibition on indirect refoulement 407 4.4.1.4 Prohibition on rejection at the frontier and beyond 407 4.4.2 Positive obligations 408 4.4.2.1 Obligation to admit (a right to enter and remain) 408 4.4.2.2 Obligations after removal 409 4.4.2.3 Obligations to install procedural safeguards 411 4.4.2.3a The initial determination procedure 411 4.4.2.3b Appeal procedures: effective legal remedies offered by Article 2(3) of the ICCPR 412 4.4.2.3c Additional procedural safeguards for the expulsion of lawful aliens (Article 13 ICCPR) 414 4.4.2.3d Applicability of Article 14(1) ICCPR 417 4.5 Other prohibitions on refoulement under the ICCPR 419 4.6 Conclusion 421 5 1984 Convention against Torture and Other Cruel, Inhuman or Degrading Treatment or Punishment 425 5.1 Introduction 425 5.1.1 Prohibition(s) on refoulement under the Convention against Torture 425 5.1.2 Brief introduction of the Convention against Torture 426 5.1.2.1 Object and purpose 426 5.1.2.2 Content and structure 427 5.1.2.3 Reservations and declarations 427 5.1.3 International sources for interpretation of the Convention against Torture 429 5.1.3.1 The Committee against Torture 429 5.1.3.1a The monitoring tools of the Committee against Torture 429 5.1.3.1b The status of the Committee s views 431 5.1.3.1c Individual applications 432 5.1.4 Rules of interpretation of the Convention against Torture 433

XVI Table of Contents 5.2 Personal and (extra-)territorial scope of the Convention against Torture, in particular with respect to the prohibition on refoulement contained in Article 3 434 5.2.1 Personal scope 434 5.2.2 Territorial and extra-territorial scope of Article 3 of the Convention against Torture 435 5.3 The content of the prohibition on refoulement under Article 3 of the Convention against Torture 438 5.3.1 The harm from which a person is protected: torture as defined in Article 1 of the Convention against Torture 439 5.3.1.1 Acts which cause severe physical or mental pain or suffering 439 5.3.1.2 Intention 443 5.3.1.3 Purpose 444 5.3.1.4 Infliction, instigation, consent or acquiescence of a public official 445 5.3.1.4a The absence of a State authority 449 5.3.1.5 Public officials or others acting in an official capacity 454 5.3.1.6 Exclusion of pain or suffering arising from lawful sanctions 455 5.3.1.7 Victims of torture 458 5.3.2 The element of risk 458 5.3.2.1 Defining the risk 459 5.3.2.1a Prospectivity and objectivity 459 5.3.2.1b Individualisation and membership of a particular group 461 5.3.2.1c Required facts and circumstances to meet the necessary level of risk 462 5.3.2.1d Personal facts and circumstances 464 5.3.2.1e General human rights situation 469 5.3.2.1f Risk sur place 472 5.3.2.1g Assessing the personal facts in light of the general situation 473 5.3.2.2 The standard and burden of proof 475 5.3.2.2a Issues of credibility and plausibility 475 5.3.2.2b Issues of evidence (in support of the claim) 480 5.3.2.2c Burden of proof 484 5.3.2.3 At what point in time must the risk be assessed? 487 5.3.2.4 The role of the Committee against Torture in the risk assessment 490 5.3.2.5 Protection from the country of origin (national protection) 492 5.3.2.5a Internal protection alternative 493 5.3.2.5b Diplomatic assurances to guarantee safety 496 5.3.2.5c The country of origin is a State party to one or more human rights treaties 500 5.3.3 The absolute character of the prohibition on refoulement 502 5.4 The character and contents of State obligations deriving from the prohibition on refoulement under Article 3 of the Convention against Torture 505 5.4.1 Negative obligations 505 5.4.1.1 Prohibition on removal 505 5.4.1.2 Prohibition on extradition 506

Table of Contents XVII 5.4.1.3 Prohibition on rejection at the frontier and beyond 507 5.4.1.4 Prohibition on indirect refoulement and the concept of safe third countries 508 5.4.2 Positive obligations 510 5.4.2.1 Right to asylum, right to enter and right to remain 510 5.4.2.2 Obligations after removal 512 5.4.2.3 Obligation to install procedural safeguards 513 5.4.2.3a The initial determination procedure 513 5.4.2.3b Appeal procedures: effective legal remedies offered by Article 3 515 5.5 Article 16 of the Convention against Torture 518 5.6 Conclusion 520 6 Prohibitions of refoulement in international law compared 525 6.1 Introduction 525 6.1.1 Prohibitions on refoulement as part of international human rights law 525 6.1.2 Supervising the implementation and enforcement of the prohibition on refoulement 528 6.2 Personal and (extra-)territorial scope of the prohibition on refoulement 530 6.2.1 Personal scope 530 6.2.2 Territorial and extra-territorial scope of the prohibition on refoulement 531 6.3 The content of the prohibitions on refoulement 533 6.3.1 The harm from which a person is protected 533 6.3.1.1 Torture 534 6.3.1.2 Other cruel, inhuman or degrading treatment or punishment 536 6.3.1.3 Protection from being persecuted for reasons of race, religion, nationality, membership of a particular social group or political opinion compared to other prohibitions on refoulement 538 6.3.1.4 The actors of the harm or the source of the risk 540 6.3.2 The element of risk 542 6.3.2.1 Defining the risk 542 6.3.2.1a Prospectivity 543 6.3.2.1b Objectivity 544 6.3.2.1c Individualisation, singled out and indiscriminate violence 544 6.3.2.1d Membership of a particular group or group persecution 546 6.3.2.1e Required facts and circumstances to meet the necessary level of risk 547 6.3.2.1f Risk sur place 548 6.3.2.2 Standard and burden of proof 549 6.3.2.2a Issues of credibility 549 6.3.2.2b Issues of evidence 550 6.3.2.2c Burden of proof 551 6.3.2.3 Time of assessing the risk 552 6.3.2.4 Protection from the country of origin (national protection) 553 6.3.2.4a Internal protection alternative 556 6.3.2.4b Diplomatic assurances to guarantee safety 559 6.3.3 Absolute protection or exceptions 563

XVIII Table of Contents 6.4 The character and content of States obligations deriving from the prohibitions on refoulement 564 6.4.1 Negative obligations 565 6.4.1.1 Prohibition on removal 565 6.4.1.2 Prohibition on extradition 565 6.4.1.3 Prohibition on indirect refoulement 566 6.4.1.3a Safe third countries 567 6.4.1.4 Prohibition of rejection at the frontier and beyond 567 6.4.2 Positive obligations 569 6.4.2.1 Obligation to admit (a right to asylum, enter and remain) 569 6.4.2.2 Obligations after removal 570 6.4.2.3 Obligations to install procedural safeguards 571 6.4.2.3a The initial determination procedure 571 6.4.2.3b Appeal procedures 573 6.4.2.3c Right of due process 575 6.4.2.3d Procedural safeguards limited to lawfully present aliens 576 6.5 Overall concluding remarks 577 Samenvatting (Summary in Dutch) 579 Bibliography 591 Index 629 Curriculum Vitae 639

List of Abbreviations and Acronyms AI Amnesty International AJIL American Journal of International Law BYBIL British Yearbook of International Law CAT Convention against Torture and Other Cruel, Inhuman or Degrading Treatment or Punishment CCPR see ICCPR ComAT Committee against Torture ComEDAW Committee on the Elimination of Discrimination against Women ComESCR Committee on Economic, Social and Cultural Rights DRC Democratic Republic of Congo EC European Community ECHR European Convention for the Protection of Human Rights and Fundamental Freedoms EComHR European Commission of Human Rights UN ECOSOC United Nations Economic Social Council ECtHR European Court of Human Rights ECRE European Council on Refugees and Exiles EJIL European Journal of International Law ETS European Treaty Series EU European Union EU Dublin Regulation Council Regulation (EC) No 343/2003 of 18 February 2003 establishing the criteria and mechanisms for determining the Member State responsible for examining an asylum application lodged in one of the Member States by a third-country national EU Procedures Directive Council Directive 2005/85/EC of 1 December 2005 on minimum standards on procedures in Member States for granting and withdrawing refugee status EU Qualification Directive Council Directive 2004/83/EC of 29 April 2004 on minimum standards for the qualification and status of third country nationals or stateless persons as refugees or as persons who otherwise need international protection and the content of the protection granted EVRM see ECHR EXCOM Executive Committee of the High Commissioner s Programme GAOR General Assembly Official Record GYIL German Yearbook of International Law HRC Human Rights Committee HRQ Human Rights Quarterly IARLJ International Association of Refugee Law Judges ICC International Criminal Court ICC Statute Rome Statute of the International Criminal Court ICCPR International Covenant on Civil and Political Rights ICERD International Convention on the Elimination of All Forms of Racial Discrimination

XX List of Abbreviations and Acronyms ICESCR ICJ ICLQ ICRC ICTY IDP IJRL ILC JICJ JV KDP LTTE MoU NAV NCB NILR NJCM-Bulletin OAU PKK PUK Refugee Convention Refugee Protocol Res. UDHR UN GA UNESCO UNHCR UNHCR Handbook UNRWA UNTS UN SC International Covenant on Economic, Social and Cultural Rights International Court of Justice International and Comparative Law Quarterly International Committee for the Red Cross International Criminal Tribunal for the Former Yugoslavia Internally Displaced Person International Journal of Refugee Law International Law Commission Journal of International Criminal Justice Jurisprudentie Vreemdelingenrecht Kurdistan Democratic Party Liberation Tigers of Tamil Eelam Memorandum of Understanding Nieuwsbrief Asiel- en Vluchtelingenrecht Nederlands Centrum Buitenlanders Netherlands International Law Review Nederlands Juristen Comité voor de Mensenrechten-Bulletin Organisation of African Unity Partiya Karkerên Kurdistan (Kurdistan Workers Party) Patriotic Union of Kurdistan Convention relating to the Status of Refugees Protocol relating to the Status of Refugees Resolution Universal Declaration of Human Rights United Nations General Assembly United Nations Educational, Scientific and Cultural Organisation United Nations High Commissioner for Refugees UNHCR Handbook on Procedures and Criteria for Determining Refugee Status United Nations Relief and Works Agency for Palestine Refugees in the Near East United Nations Treaty Series United Nations Security Council