28/74 Research-based progress report of the Human Rights Council Advisory Committee containing recommendations on mechanisms to assess the negative impact of unilateral coercive measures on the enjoyment of human rights and to promote accountability
Document Type: Final Report
Date: 2015 Feb
Session: 28th Regular Session (2015 Mar)
Agenda Item:
GE.
Human Rights Council Twenty-eighth session
Agenda items 3 and 5
Promotion and protection of all human rights, civil,
political, economic, social and cultural rights,
including the right to development
Human rights bodies and mechanisms
Research-based progress report of the Human Rights Council Advisory Committee containing recommendations on mechanisms to assess the negative impact of unilateral coercive measures on the enjoyment of human rights and to promote accountability
Contents
Paragraphs Page
I. Introduction ............................................................................................................. 1–
II. Scope of the report .................................................................................................. 6 4
III. Notion of unilateral coercive measures ................................................................... 7–
IV. Negative impact of unilateral coercive measures on the enjoyment of
human rights ............................................................................................................ 14–20 6
V. Case studies ............................................................................................................. 21–
A. Cuba ................................................................................................................ 22–28 8
B. Zimbabwe ....................................................................................................... 29–
C. Islamic Republic of Iran ................................................................................. 32–
D. Gaza Strip ....................................................................................................... 37–39 11
E. Impact of unilateral coercive measures on third States:
the case of Pakistan ......................................................................................... 40–42 12
VI. Potential mechanisms to assess the negative impact of unilateral
coercive measures and to promote accountability ................................................... 43–
A. Challenge of territorially and jurisdictionally limited obligations .................. 47–
B. The accountability imperative ........................................................................ 52–54 15
C. Access to independent evidence ..................................................................... 55 16
D. Consideration of financial and administrative efficiency ............................... 56 16
E. Need to secure the most appropriate expertise ................................................ 57 16
F. Minimizing politicization ............................................................................... 58 17
VII. Concluding remarks and recommended actions ...................................................... 59–
I. Introduction
1. In the light of the increasing concerns regarding the adverse impact of unilateral
coercive measures on the enjoyment of human rights,1 the Human Rights Council, in its
resolution 19/32, requested the Office of the United Nations High Commissioner for
Human Rights (OHCHR) to organize a workshop to explore the issue of the relationship of
unilateral coercive measures and human rights, including the various aspects of the negative
impact of unilateral coercive measures on the enjoyment of human rights by the affected
population, with the participation of States, academic experts and civil society
representatives. The workshop, which was held in April 2013, examined the various issues
and views relating to the issue, including the legitimacy of the said measures from the
perspective of human rights. A number of conclusions and recommendations were
submitted to the Council for its consideration, including a proposal that the Advisory
Committee be tasked to conduct an overall review of independent mechanisms to assess the
impact of unilateral coercive measures and to promote accountability.2
2. In its resolution 24/14, the Human Rights Council requested the Advisory
Committee to prepare a research-based report containing recommendations on mechanisms
to assess the negative impact of unilateral coercive measures on the enjoyment of human
rights and to promote accountability. The present progress report, to be presented to the
Council at its twenty-eighth session, was prepared pursuant to that request. In resolution
24/14, the Council also requested the Advisory Committee to seek the views and inputs of
Member States and relevant special procedures, national human rights institutions and non-
governmental organizations during the preparation of the report. It requested OHCHR to
organize a workshop on the impact of the application of unilateral coercive measures on the
enjoyment of human rights by the affected populations, in particular the socioeconomic
impact on women and children, in the States targeted, and to prepare a report on the
proceedings of the workshop and to submit it to the Council at its twenty-seventh session.
Pursuant to that request, a workshop was held on 23 May 2014 in Geneva and the
proceedings of the workshop submitted to the Council at its twenty-seventh session.3 The
progress report has also greatly benefited from the outcomes of the workshop.
3. Pursuant to Human Rights Council recommendation 12/6, the Advisory Committee
established a drafting group comprising Mikhail Lebedev, Obiora Chinedu Okafor, Ahmer
Bilal Soofi, Jean Ziegler and Imeru Tamrat Yigezu. The drafting group elected Mr. Ziegler
as Chairperson and Mr. Yigezu as its Rapporteur.4 The Committee requested the drafting
group to submit a draft progress report to the Committee at its thirteenth session, taking into
account the replies to the questionnaire prepared during the twelfth session and
subsequently circulated to Member States, relevant special procedures, national human
rights institutions and non-governmental organizations.
4. Accordingly, the drafting group submitted a draft progress report to the Advisory
Committee at its thirteenth session, in August 2014.5 At the session, members of the
Committee as well as States and non-governmental organizations provided useful
1 See for example, General Assembly resolutions 66/156 and 67/170. See also A/65/199, A/66/138,
A/67/181 and A/68/211.
2 A/HRC/24/20, para. 31.
3 See A/HRC/27/32.
4 The members of the drafting group thank Herman Gill and Joanna Enns of the Osgoode Hall Law
School, York University, Toronto, Canada, and Mohammed Mahmood Al Hinai for their valuable
research input to the present study.
comments and inputs on the draft report. In its decision 13/5 adopted at the session, the
Committee took note of the draft progress report and requested the drafting group to
recirculate the questionnaire prepared earlier in order to further seek the views and inputs of
the various stakeholders so as to allow for more informed work. It furthermore requested
the drafting group to finalize the draft progress report, taking into account the discussion
held at its thirteenth session, and to submit it to the Human Rights Council at its twenty-
eighth session.
5. As at November 2014, 12 States, one inter-governmental organization, one special
procedure, three national human rights institutions and one non-governmental organization
had responded to the questionnaire.6
II. Scope of the report
6. Pursuant to Human Rights Council resolution 24/14, the present report focuses on
the adverse consequences of unilateral coercive measures on the enjoyment of human rights
by the civilian population of targeted States and includes recommendations on the
appropriate mechanism that may be used to assess the negative consequences of such
measures and to promote accountability. The question of the legality of unilateral coercive
measures, therefore, does not fall within the scope of the report. This issue has already been
extensively examined in the thematic study of OHCHR on the impact of unilateral coercive
measures on the enjoyment of human rights,7 and was also a subject of discussion during
the two workshops organized by OHCHR in April 2013 and in May 2014 at the request of
the Council.8
III. Notion of unilateral coercive measures
7. The term “unilateral coercive measures” is a recent one. It has been used broadly to
include measures such as “unilateral economic sanctions”, “unilateral economic measures”
and “coercive economic measures” in various studies on the subject, as well as in United
Nations documents and resolutions. To date, the term “unilateral coercive measures” does
not seem to have a commonly agreed-upon definition. Despite the intensive discussion that
the term has triggered among scholars and within the different bodies of the United Nations
in recent decades, the definition used for the term and, particularly the main elements to be
used for describing the term, remain elusive in certain respects.
8. The most commonly used definition of the term is “the use of economic measures
taken by one State to compel a change of policy of another State”.9 Some recent studies
thereon, however, tend to hold the view that the term “unilateral” may be used in a broader
sense to include States, group of States and “autonomous” regional organizations, unless
6 Belarus, Colombia, Cuba, Ecuador, Honduras, the Islamic Republic of Iran, Kuwait, Lebanon,
Mexico, Qatar, the Syrian Arab Republic, and Trinidad and Tobago; the European Union; the
Independent Expert on the promotion of a democratic and equitable international order; Defensoria
Pueblo del Estado (Plurinational State of Bolivia), Conseil national des droits humains (Madagascar),
and the National Human Rights Institution of Romania; and the Permanent Assembly for Human
Rights.
7 A/HRC/19/33.
8 See presentations and statements made during the workshops available from the OHCHR webpage
dedicated to the issue of human rights and unilateral coercive measures.
9 See Andreas F. Lowenfeld, International Economic Law (Oxford, Oxford University Press, 2002), p.
such measures are authorized under Chapter VII of the Charter of the United Nations.10 In a
recent article, one author stated that “…one can distinguish the unilateral sanctions practice
of individual states and organizations – such as the EU, the US, Canada or Japan – from the
mandatory sanctions of the [Security Council]”.11 This approach to defining unilateral
coercive measures currently seems to have, more or less, gained support. Owing to the
current increased use of what are referred to as “targeted” or “smart sanctions” employed
by States against individuals, groups and/or entities believed to be in a position of power to
influence or determine actions in targeted States, defining the term “unilateral coercive
measures” should also consider taking these categories of persons or entities into account.
9. On the basis of the above considerations, the working definition of the term
“unilateral coercive measures” preferred for the purposes of the present study is “the use of
economic, trade or other measures taken by a State, group of States or international
organizations acting autonomously to compel a change of policy of another State or to
pressure individuals, groups or entities in targeted states to influence a course of action
without the authorization of the Security Council”.
10. Sanctions, including unilateral coercive measures employed by States, take different
forms or a combination of measures, ranging from the restriction or disruption of trade, or
financial and investment flows between sender and targeted countries to restrictions on
social and cultural exchanges.12 Most of these categories of sanctions, usually called
traditional or comprehensive sanctions, involve coercive measures intended to impose
economic pressure on targeted States by preventing them from importing or exporting
certain goods and services deemed strategically important, or more specifically target
banking and financial sectors of targeted States. “Targeted” or “smart sanctions” are
regarded as new forms of coercive measures aimed at applying pressure to persons or
entities thought to hold political decision-making power in targeted Governments or
persons deemed to engage in terrorism or other forms of violence and whose behaviour is
thought to be undesirable from the perspective of the sender State. These sanctions may
comprise the freezing of assets or travel bans on individuals, groups or entities in targeted
countries; they may also target particular commodities from being exported from targeted
States or entering such States (such as diamonds or luxury goods, or arms embargoes).13
11. Different sanctions imply a different negative impact on human rights. The
motivations for sanctions may vary significantly, and in some case are even used as a
geopolitical weapon. It seems almost certain that reshaping local and global markets,
destroying competitive economies, challenging sovereign credibility and leadership,
endangering conciliatory talk, destabilizing Governments and transforming independent
countries into failed States may induce a downturn in global economic growth. Such
situations may in turn lead to negative consequences for the livelihood of disadvantaged
populations in sanctioned countries, including in the country of origin of the sanctions.
12. Unilateral coercive measures that are comprehensive in nature are intended to cause
economic and political hardship for targeted States; they therefore make no real distinction
between States and the civilian population, including women and children and other
marginalized groups, residing in targeted States, who bear the brunt of such severe
10 See A/HRC/24/20, para. 11 and the presentation made by Antonios Tzanakopoulos, available on the
OHCHR website dedicated to the issue of human rights and unilateral coercive measures.
11 Clara Portela, “The EU’s Use of ‘Targeted’ Sanctions: Evaluating Effectiveness”, EU Foreign Policy,
CEPS Working Document, No.391, 11 March 2014.
12 For a more detailed description of sanctions, see E/CN.4/Sub.2/2000/33.
13 See Bernard Sitt et al., Sanctions and Weapons of Mass Destruction in International Relations
(Geneva, Geneva Centre for Security Policy, 2010).
economic hardship. Consequently, comprehensive unilateral coercive measures usually
have an adverse impact on the enjoyment of human rights by the civilian population of
targeted States, disproportionately affecting the poor and vulnerable groups in society,
particularly in terms of access to food, health care and basic livelihood, contrary to the
political declarations of the initiators and, as such, leading to or constituting the root cause
of furthering the encroachment and limitation of and restrictions on numerous human rights
and fundamental freedoms enshrined in universal instruments.
13. “Targeted sanctions” are, by contrast, designed to apply economic pressure to
selected individuals or entities and may therefore not entail negative consequences for the
enjoyment of human rights by the civilian population at large. This by no means implies
that targeted sanctions do not give rise to violations of human rights of the individuals or
entities targeted, particularly with regard to their civil and political rights.14 Since
comprehensive sanctions are the ones that usually have negative consequences on the
enjoyment of human rights by the civilian population of targeted States, however, the
present study focuses mainly on such measures.
IV. Negative impact of unilateral coercive measures on the
enjoyment of human rights
14. In several resolutions and declarations adopted by United Nations entities human
rights bodies, including the Commission on Human Rights, increasing concerns were
expressed about the negative impact of sanctions, including unilateral coercive measures,
on the enjoyment of human rights, particularly their negative impact on the human rights of
the civilian population of targeted States and, even more so, on such vulnerable groups as
women, children, older persons and minorities.15 The Human Rights Council has followed
this trend.16
15. There is general consensus that unilateral coercive measures, particularly those that
are comprehensive in nature and manifested in the form of trade embargoes and restrictions
on financial and investments flows between sender and target States, may have a serious
impact on the enjoyment of human rights by the civilian population in targeted and non-
targeted States alike. This is so because economic sanctions in general, including unilateral
coercive measures, irrespective of their declared intent (such as preventing gross violations
of human rights in targeted States), usually translate into a severe impact on the population
at large, and in particular vulnerable groups in the society who become the true victims of
such sanction rather than the States or Governments they are supposed to target.17 In this
regard, the Committee on Economic, Social and Cultural Rights, in its general comment
No. 8, on the relationship between economic sanctions and respect for economic, social and
cultural rights, declared that the inhabitants of a given country do not forfeit basic
14 See Thomas Biersteker and Sue Eckert, “Addressing Challenges to Targeted Sanctions: An Update of
the ‘Watson Report’”, Watson Institute, Geneva, 2009, and Bardo, Fassbender, “Targeted Sanctions
and Due Process: The responsibility of the UN Security Council to ensure that fair and clear
procedures are made available to individuals and entities targeted with sanctions under Chapter VII of
the UN Charter”, study commissioned by the United Nations Office of Legal Affairs, Office of the
Legal Council. See also A/HRC/19/33, para. 27.
15 See General Assembly resolutions 51/103, 52/120, 53/41, 54/172, 66/156, 67/170 and S-27/2, para.
30, and the World Summit Outcome (resolution 60/1), paras. 106 – 110; Subcommission on Human
Rights resolution 2000/1; the Beijing Declaration and Platform for Action, para. 145; and Sub-
Commission on Prevention of Discrimination and Protection of Minorities resolution 1997/35.
economic, social and cultural rights by virtue of any determination that their leaders have
violated norms of international peace and security.18 Although this comment seems to apply
to sanctions adopted by the Security Council, it applies equally to unilateral coercive
measures.
16. Several human rights obligations of States incorporated into the various core
international human rights instruments provide limitations on unilateral coercive measures
that have an impact on the enjoyment of human rights by the civilian population in targeted
States. These include, inter alia, the right to life;19 the right to an adequate standard of
living, including food, clothing, housing and medical care;20 and the right to health.21 In this
regard, the Vienna Declaration and Programme of Action called upon States:
to refrain from any unilateral measures not in accordance with international law and
the Charter of the United Nations that creates obstacles to trade relations among
states and impedes the full realization of the human rights set forth in the Universal
Declaration of Human Rights and in international human rights instruments, in
particular the rights of everyone to a standard of living adequate for their health and
well-being, including food and medical care, housing and the necessary social
services.22
17. Previous studies conducted at the request of the Subcommission on Human Rights
and by the Human Rights Council already documented the likely negative impact of
unilateral coercive measures on the civilian population of targeted and non-targeted States,
and included case studies documenting the impact of such measures. These studies clearly
indicated the likely and actual negative impact of unilateral coercive measures on the
civilian population, particularly on vulnerable groups, including women, children, the
infirm and older persons, as well as the poor, caused by the deprivation of access to basic
services, such as life-saving equipment and medication, food, educational equipment and
the loss of jobs. They also pointed out that long-term unilateral coercive measures have a
more severe negative impact on the economic, social and cultural rights of the affected
population enshrined in the core human rights instruments, such as the Universal
Declaration of Human Rights and the International Covenant on Economic, Social and
Cultural Rights.23
18. In this regard, the presentations made during the workshops organized by OHCHR
in April 2013 and May 2014 highlighted some of the negative effects of both multilateral
and unilateral coercive measures on the enjoyment of human rights by the civilian
population, particularly the disproportionate impact such measures have on women and
children. One of the panellists stressed that the impact of unilateral coercive measures was
more deeply felt by women and marginalized communities, and that women were the first
to lose jobs, to be moved out of higher education, suffer from malnourishment and face
food insecurity. He also gave specific relevant examples of the plight of women and
children in the Islamic Republic of Iran and Cuba.24 In several of the presentations made at
18 E/C.12/1997/8, para. 16.
19 Universal Declaration of Human Rights, art. 3; International Covenant on Civil and Political Rights,
art. 6, para. 1; Convention on the Rights of the Child, art. 6, para. 1.
20 Universal Declaration of Human Rights, art. 25, para. 1; International Covenant on Economic, Social
and Cultural Rights, art. 11, para. 1; Convention on the Rights of the Child, art. 27, para. 1.
21 International Covenant on Economic, Social and Cultural Rights, arts. 11, para. 2, and 12, para. 1.
22 A/CONF.157/23, para. 31.
23 See A/HRC/27/32. See also footnote 11.
24 Anuradha M. Chenoy, presentation made at the workshop on the various aspects relating to the
impact of the application of unilateral coercive measures on the enjoyment of human rights by the
affected population in the States targeted, Geneva, 5 April 2013.
the workshop held in May 2014, the negative impact of both multilateral and unilateral
coercive measures was unequivocally shown on the enjoyment of human rights in targeted
and non-targeted States and, in particular, by women, children, minorities, older persons
and persons with disabilities. Panellists cited examples of such impact in States such as
Iraq, the Islamic Republic of Iran, the former Yugoslavia, Haiti and Myanmar.25
19. Almost all the responses to the question regarding the impact of unilateral coercive
measures on the enjoyment of human rights underlined the fact that such measures often
had a negative impact on the civilian population of targeted and non-targeted States and, in
particular, on women, children, older persons and persons with disabilities. The examples
given by the respondents with regard to the human rights affected by unilateral coercive
measures included the rights to life, food, health, work and education, as well as to the right
to development. They also pointed out that the negative impact of unilateral coercive
measures on targeted States was compounded where such a State was, to a greater degree,
economically dependent on the State that imposed the measure.
20. In several studies and reports, attention was drawn to the difficulty of assessing the
impact of unilateral coercive measures, particularly those that are comprehensive in nature.
They recommended a more robust and independent mechanism to assess and monitor the
impact of such measures, including by promoting accountability in this regard.26 Some of
the reasons that give rise to this challenge are the restrictions on access to the target country
in which sanctions are imposed, and the difficulty to distinguish the negative impact of
unilateral coercive measures on the enjoyment of human rights by the affected population
when such measures are imposed in conjunction with multilateral sanctions. When
considering an appropriate mechanism for the assessment and monitoring of the negative
impact of unilateral coercive measures on the enjoyment of human rights, it is hence
essential to establish a body that, as far as possible, may have access to targeted States in
which human rights are likely to be affected by such measures and with adequate expertise
to undertake such a task.
V. Case studies
21. To date, few case studies on the impact of unilateral coercive measures on the
enjoyment of human rights by the civilian population in targeted or non-target States have
been available. The case studies below, which are well documented, serve to highlight
some of the main adverse effects of unilateral coercive measures on the enjoyment of
human rights in target and non-targeted States.
A. Cuba
22. The economic sanctions on Cuba were initially imposed by the United States of
America in the 1960s, and were subsequently amended by the Cuban Democracy Act of
25 See in particular the presentations made by Haifa Zangana, Dursun Peksen and Sarah Zaidi at the
workshop on the application of unilateral coercive measures on the enjoyment of human rights by the
affected population, in particular their socioeconomic impact on women and children in States
targeted, Geneva, 23 May 2014.
26 See Gary Haufbauer, Jeffrey Schott and Kimberly Elliot, Economic Sanctions Reconsidered: History
and Current Policy, 2nd ed. (Washington, D.C., Peterson Institute, 1990), pp. 32–33; and Richard
Garfield, “The Impact of Economic Sanctions on Health and Well-being”, Relief and Rehabilitation
Network Paper, Overseas Development Institute, London, 1999.
1992 and the Helms-Burton Act of 1996, as well as other legislative and executive acts.
These acts essentially impose an economic, commercial and financial embargo on Cuba.27
23. In the United States, Congress passed the Trade Sanctions Reform and Export
Enhancement Act in October 2000. The Act eased somewhat the enforcement of the
embargo and allowed the sale of agricultural goods and medicine to Cuba for humanitarian
reasons. From 2005 onwards, exports to Cuba were required to be on a cash-in-advance
basis, with full payment made before the products were shipped to Cuba; transactions had
to be made through banks in a third country. In 2009, the Government of the United States
eased the restrictions by allowing the Government of Cuba to pay for food and agricultural
products after the shipment was made.28
24. The embargo of the United States on medicines and technologies in Cuba has led to
limitations of the enjoyment of human rights by citizens in Cuba. Amnesty International
has shown, on the basis several fact-finding reports, that the embargo had contributed to
malnutrition that mainly affected women and children, poor water supply and lack of
medicine.29 The United Nations High Commissioner for Human Rights described the effect
of the embargo on Cuban people as “disastrous”.30 According to the American Association
for World Health, which conducted a detailed health survey in Cuba, the embargo on food
and the de facto embargo on medical supplies had wreaked havoc with the island’s model
primary health-care system.31
25. According to the United Nations Children’s Fund (UNICEF), Cuba is unable to
import nutritional products intended for children and for consumption in schools, hospitals
and day-care centres.32 In addition, food shortages are linked to a devastating outbreak of
neuropathy numbering in the tens of thousands. By one estimate, daily caloric intake
dropped by 33 per cent between 1989 and 1993.33
26. The embargo also restricts the State’s access to water treatment chemicals and spare
parts for the island’s water supply system. This has led to serious cutbacks in the supply of
safe drinking water, which in turn has become a factor in the rising incidence of morbidity
and mortality rates due to water-borne diseases.
27. Access to essential medicines and equipment has also been affected by the sanctions.
Of the 1,297 medications still available in Cuba in 1991, physicians now have access to
only 889, and many only occasionally. Because most major new drugs are developed by
United States pharmaceutical companies, Cuban physicians have access to less than 50 per
cent of the new medicines available on the world market. Owing to the direct or indirect
effects of the embargo, the most routine medical supplies are in short supply or entirely
absent from some Cuban clinics.34 In the case of patients with psychiatric disorders,
27 For more details on economic sanctions imposed by the United States of America on Cuba, see
Benhamin Manchak, “Comprehensive economic sanctions, the right to development, and
constitutionally impermissible violations of international law”, Boston College of Third World Law
Journal, vol. 30, No. 2 (2010), pp. 421–424.
28 Amnesty International, The US Embargo against Cuba: Its Impact on Economic and Social Rights,
2009.
29 Ibid.
30 A/HRC/4/12, para. 7.
31 American Association for World Health, The Impact of the U.S. Embargo on Health and Nutrition in
Cuba, March 1997, p.16.
32 Ibid.
33 Maria C. Werlau, “The Effects of the U.S. Embargo on Health and Nutrition in Cuba: A Critical
Analysis”, Cuba in Transition, 1998.
advanced drugs are also not available. The embargo imposed against Cuba not only affects
the supply of medicine. Health services depend on functioning water and sanitation
infrastructure, electricity and other equipment, such as X-ray equipment and refrigerators to
store vaccines. The embargo has also slowed down the renovation of hospitals, clinics and
care centres for older persons.35
28. According to the Government, the State is forced to pay above-market prices and
tariffs on goods purchased and shipped from distant markets, while the blockade imposes
difficult terms on credit and trade and blocks access to many goods and technologies. It is
estimated that the embargo on Cuba creates a virtual tax of 30 per cent on all imports.36
B. Zimbabwe
29. The European Union imposed sanctions on Zimbabwean leaders in 2002. The
sanctions include, inter alia, targeted sanctions in the form of a travel ban and asset freeze
on members of the Government and persons and entities associated with it. The motivation
of the sanctions had its origins in the agrarian reform begun by President Mugabe in
2000/01, which entailed the expropriation of land from white farmers, and which was
accompanied by a wave of political violence and the intimidation of the opposition.37
30. The country’s population of 13 million people has suffered from the sanctions.
Poverty and unemployment rates are high, while infrastructure is sorely lacking. Diseases
such as HIV/AIDS, typhoid and malaria give the country an average life expectancy of
between 53 to 55 years. The country is rich in minerals, but this has been translated into
neither sustainable economic growth nor prosperity for its people.
31. In a report published in 2010, UNICEF found that some 34 per cent of children
under 5 were underdeveloped, 2 per cent were stunted and 10 per cent underweight.
Zimbabwe has one of the highest rates of orphaned children in the world (25 per cent of all
children), and experience of violence and abuse is widespread. At least 21 per cent of the
first sexual encounter experienced by girls is forced, and the perception that family violence
is acceptable is shared by both women and men (48 and 37 per cent, respectively). Corporal
punishment is legally administered. Two-thirds of children report experiencing such
punishment at school. The combination of poverty, neglect and violence contributes to the
large number of children on the move, resulting in unsafe migration and child
exploitation.38
C Islamic Republic of Iran
32. Acting through the Security Council and regional or national authorities, the United
States of America, the States members of the European Union, Japan, the Republic of
Korea, Canada, Australia, Norway, Switzerland and others have put in place a strong
interlocking matrix of sanctions and measures relating to the nuclear, missile, energy,
shipping, transportation and financial sectors of the Islamic Republic of Iran.
35 Amnesty International, The US Embargo against Cuba (see footnote 28).
36 Richard Garfield and Arah Santana, “The Impact of the Economic Crisis and US Embargo on Health
in Cuba”, American Journal of Public Health, vol. 87, No.1 (January 1997), pp. 15–20.
37 C. Portela, “The EU’s Use of ‘Targeted’ Sanctions” (see footnote 11).
33. According to a non-profit organization based in the United States, smart sanctions
imposed on the banking, gas and insurance sectors have wreaked havoc with the lives of
many Iranian citizens, as price hikes have led to the high cost of food (increases by 1,500
per cent in the period 2010–2012). Besides strengthening the black cash economy and
increasing criminalization, women’s access to higher education has decreased. Women are
being pushed out of the job market. Furthermore, the sanctions have triggered a collapse in
industry, skyrocketing inflation and massive unemployment. The country’s middle class
has disappeared, and even access to food and medicine has been compromised.39
34. Although the United States of America and the European Union claim that the
sanctions do not apply to humanitarian items, in actual fact they have deeply affected the
delivery and availability of medical supplies. The import of medicines containing
antibiotics (of types not produced inside the country) has decreased by 20.7 per cent, and
prices have increased by more than 300 per cent. The estimated 20,000 persons suffering
from thalassemia in the country receive only a few days of their monthly medicinal needs.
Survivors of chemical weapons used during the war with Iraq in the 1980s, in need of
medicine and equipment, including cornea transplants and inhalers, similarly suffer from a
shortage or lack of medical supplies. In general, the medicines used to treat haemophilia,
cancer, thalassemia, multiple sclerosis and kidney transplant and dialysis are not produced
domestically, and of those that are, most are not as effective as those imported from Europe
and North America. The shortage of medicine for such chronic diseases often leads to the
death of the patient. In addition, every year, 85,000 Iranians are diagnosed with some form
of cancer; the facilities for providing them with chemotherapy and radiotherapy are
however scant. While the financial sanctions imposed on the Islamic Republic of Iran do
not, in principle, cover medicine and medical equipment, they make it almost impossible
for Iranian importers to finance the import of medical equipment and medicine. In
particular, depriving the country of SWIFT services has made international payments to
Western companies almost impossible. As a result, Western pharmaceutical companies –
often the sole producers of these medicines – have all but stopped exporting to the Islamic
Republic of Iran, and every year tens of thousands of patients die as a result. The economic
sanctions have therefore led to a deterioration in living conditions. Those living in poverty
and in marginalized areas suffer most from the effect of the sanctions.40
35. According to the UNICEF annual report of 2012, the mortality rate of children under
5 years of age dropped from 36 to 22.52 per 1,000 live births between 2000 and 2010.
Nonetheless, 20.3 out of 1,000 children die before their first birthday, and 15.29 during the
first month of life – statistics that highlight the need to improve neonatal health care. The
report also revealed that the average under-5 mortality rate in lower income regions is three
times that of higher income regions.
36. Owing to the imposition of both multilateral and unilateral sanctions on the Islamic
Republic of Iran, it is difficult to distinguish the specific impact that unilateral sanctions
have had on the enjoyment of the human rights by the civilian population.
D. Gaza Strip
37. While according to international law the 1.7 million inhabitants of the Gaza Strip are
under Israeli occupation, the Government of Israel treats this area as a foreign entity,
submitting its inhabitants to a severe financial and economic blockade.
39 International Civil Society Network, “What the Women Say: Killing Them Softly: the Stark Impact
of Sanctions on the Lives of Ordinary Iranians”, Brief 3, July 2012.
38. During the 52 days of fighting in July and August 2014, Israeli bombs destroyed or
severely damaged more than 53,000 houses in the Gaza Strip. The ongoing blockade
violates the social, economic and cultural rights of the people suffering from the unilateral
sanctions. Undernourishment is rampant, especially among children. Tens of thousands of
families live in the ruins of their houses or in unheated containers furnished by the local
authorities. In December 2014, the death from cold of a number of children under the age
of 10 was reported to the United Nations Relief and Works Agency for Palestine Refugees
in the Near East.
39. According to numerous reports of the United Nations and non-governmental
organizations, the lack of clean drinking water in the Gaza Strip has caused kidney disease
to spread, affecting severely the health of hundreds of thousands of people.
E. Impact of unilateral coercive measures on third States: the case of
Pakistan
40. More recently, unilateral sanctions on the Islamic Republic of Iran, which have been
revised and enforced over time, have negatively affected non-targeted neighbouring States,
such as Pakistan, by blocking a gas pipeline project critical for Pakistan to overcome its
grave energy crisis.41 Industrial development in Pakistan has in fact been depressed since
industries highly dependent on electricity and gas began to face supply shortfalls. The result
has been a rising unemployment rate in a predominantly young population, with severe
consequences for the economy and society, and most importantly the individuals affected.
Moreover, endemic load-shedding across the country lasting up to 18 hours daily has led to
violence in the form of frequent energy riots.42 The energy crisis is thus hindering the
progressive realization of the socioeconomic rights of the citizens of Pakistan in addition to
compromising their rights to security of life and property.
41. To meet its energy shortages, the Government of Pakistan signed a multi-billion
dollar agreement for the supply of 750 million cubic feet of gas per day, extendable to one
billion cubic feet gas per day, through a pipeline from the Islamic Republic of Iran.43 This
would ease the gas deficit in the country to a reasonable level and help to curb rising
inflation. The gas pipeline project, however, came to a halt as a direct consequence of the
unilateral sanctions imposed by the United States of America on the Islamic Republic of
Iran.44 Failure to complete the project within the stipulated time frame would make Pakistan
liable for $3 million a day in penalties. Significantly, a State already burdened with
international and local loans could hardly afford such additional financial burdens.
42. Failure to complete the project would clearly have an adverse impact on the human
rights of citizens of Pakistan, including, inter alia, their rights to life, food, health,
development, education and employment, as well as national socioeconomic growth. These
41 Ahmed Faraz Khan, “Power shortage leads to 12–18 hours of loadshedding”, Dawn, 11 April 2014.
42 See “Power riots: Wapda Complex attacked for loadshedding”, Express Tribune, 9 April 2013, and
“Another day of outrage at outages across Punjab”, Dawn, 18 June 2012.
43 Zafar Butta, “IPgas pipeline: Iran wants assurance that Pakistan is ‘all in’”, Express Tribune, 25
November 2013.
44 Although under United States law the sanctions on the Islamic Republic of Iran have been in place for
longer, the Iranian entity with whom the Inter-State Gas System of Pakistan entered into the gas
purchase agreement was specifically sanctioned on 24 September 2012, that is, after Pakistan had
signed the agreement. Thereafter, Pakistan has expressed reservations at the impact of sanctions on
the project. See “Pakistan may face sanctions over gas pipeline with Iran: US”, Times of India, 4
October 2013.
fundamental rights are guaranteed to the citizens of Pakistan by international treaties,
including the International Covenant on Economic, Social and Cultural Rights and the
International Covenant on Civil and Political Rights.
VI. Potential mechanisms to assess the negative impact of
unilateral coercive measures and to promote accountability
43. In exploring the mechanisms that can be used to assess the negative impact of
unilateral coercive measures and/or to mitigate their adverse impact on human rights, it is
essential to point out from the outset that the possible mechanisms considered in the present
study would, for obvious reasons, be focused on the relevant human rights bodies because
of their greater and more specialized expertise in human rights. The human rights bodies
were specifically established with the aim of promoting and protecting all human rights, as
well to ensure that human rights obligations incorporated into international human rights
instruments and those assumed by States are respected.
44. Accordingly, non-human rights oriented bodies, such as the World Trade
Organization, are excluded from the scope of the present study since their mandate is not
directly related to the promotion of human rights.45 The General Assembly and the Security
Council may be considered potential mechanisms for this purpose given that they have
frequently dealt with the potential impact of sanctions on human rights, including unilateral
coercive measures. However, neither body seems to be an appropriate mechanism, since
they are more political and their experience to date reflects difficulties in balancing
unilateral coercive measures with human rights.46
45. In general, United Nations human rights bodies may be categorized into two broad
types: treaty-based bodies, on the one hand, and their Charter-based counterparts, on the
other. The relevant treaty-based bodies include the Committee on the Elimination of
Discrimination against Women, the Committee on the Rights of the Child, the Committee
on Economic, Social and Cultural Rights and the Human Rights Committee.47 The Charter-
based bodies include the Human Rights Council and its mechanisms and procedures, such
as the universal periodic review mechanism, the complaint procedure and the special
procedures.
46. Owing to the multiplicity of treaty-based and Charter-based human rights bodies and
their different characteristics and mandates, it would be necessary to examine further some
of the main considerations, challenges and opportunities that may be taken into account in
identifying the most suitable candidate to take on the role of assessing the adverse impact of
unilateral coercive measures on the enjoyment of human rights and to promote
accountability in this regard.
A. Challenge of territorially and jurisdictionally limited obligations
47. Given that unilateral coercive measures are imposed by one State on another or
against persons of another State, one issue that arises is whether treaty-based bodies would
45 See Tilahun Weldie Hindeya, “Unilateral trade sanctions as a means to combat human rights abuses:
legal and factual appraisal”, Mizan Law Review, vol. 7, No.1 (2013), pp. 108–116.
46 See Sokol Braha, “The Changing Nature of U.S. Sanctions against Yugoslavia”, Michigan State
University Journal of International Law, No. 8 (1999), p. 273.
47 See Philip Alston and Ryan Goodman, International Human Rights (New York, Oxford University
Press, 2013), pp. 691–693.
be suitable as a mechanism of choice for assessing and/or promoting accountability with
regard to unilateral coercive measures that adversely affect the enjoyment of human rights.
Generally, the obligations assumed by State parties to almost all human rights treaties are
framed in a rather narrow manner; for instance, State parties to the International Covenant
on Civil and Political Rights undertake to ensure the enjoyment of all rights contained in
the Covenant for all individuals and peoples within their territories or subject to their
jurisdiction (art. 2). Articles 2 to 4 of the International Convention on the Elimination of All
Forms of Racial Discrimination limit the obligations of State parties in a similarly narrow
territorial and jurisdictional manner. The Convention on the Elimination of All Forms of
Discrimination against Women (art. 2) and the Convention on the Rights of the Child (art.
2) follow the same pattern. Article 2 of the International Covenant on Economic, Social and
Cultural Rights describes the obligations assumed by State parties in a more or less similar
fashion, with the exception that the obligations to ensure the enjoyment of human rights by
individuals within the territory of a State subject to its jurisdiction is modified by the
obligation of the relevant States parties to engage in “international assistance and
cooperation” towards the achievement of that goal. Whether or not a State is legally (as
opposed to morally) obliged to help to ensure the enjoyment of socioeconomic and cultural
rights in another State is, however, still a subject of controversy.48
48. The foregoing discussion tends to suggest that the territorial and jurisdictional
mandates conferred to treaty-based bodies within their respective treaties is framed quite
narrowly and does not seem to extend to victims of the adverse impact of unilateral
coercive measures who usually do not reside within the territory or are subject to the
jurisdiction of the State imposing the measures challenged. This begs the question as to
how such treaty-based bodies could procedurally entertain petitions of individuals or groups
who claim to have been victim of human rights violations when such persons are outside
the territory or jurisdiction of the State against which they are bringing the complaint. It
may be argued, however, that the obligations of State parties to ensure the enjoyment of
human rights by all individuals and peoples within their territory or those subject to their
jurisdiction could be read more flexibly in order to accommodate the ability of the relevant
treaty-based bodies to entertain claims lodged against State parties by persons outside the
territory of such States or normally regarded as being outside their jurisdiction.49 In this
instance, the phrase “within its jurisdiction”, found in almost all of the treaties, may be
interpreted to include any person against whom the State has taken measures, including
unilateral measures, that may affect their human rights. Even such interpretive manoeuver
is, however, subject to significant controversy.50
49. It should be noted, however, that a treaty body may require State parties to include
in their periodic State reports information on how unilateral coercive measures that they
have taken may have violated the human rights of persons who are outside their territory or
jurisdiction, or on measures, if any, taken to assess or mitigate such adverse effects.
Moreover, past experience has shown that treaty bodies have an indirect way of exercising
their jurisdiction through the adoption of general comments. Even then, the issue of the
territorial and jurisdictional limits of treaty bodies may pose a challenge.
48 With regard to the debate on the ways and means of ensuring the enjoyment of the right to
development, see Obiora Chinedu Okafor, “A regional perspective: article 22 of the African Charter
on Human and Peoples’ Rights” in Realizing the Right to Development: Essays in Commemoration of
25 Years of the United Nations Declaration on the Right to Development (Geneva and New York,
OHCHR, 2013), p. 373.
49 See Hugh M. Kindred et al, International Law: Chiefly as Interpreted and Applied in Canada, 7th
edition (Toronto, Emond Montgomery, 2006), pp. 431 and 547.
50. What the above discussion shows is that, in the process of identifying appropriate
mechanisms to assess and/or to promote accountability to mitigate the effects of unilateral
coercive measures on the enjoyment of human rights, efforts should, at a minimum, be
made to avoid, or at least to minimize, any potential controversy regarding the limits of the
territorial and jurisdictional mandate of the treaty bodies. One obvious way of doing this
would be to eschew the treaty bodies as the mechanism of choice for the task.
51. This would lead to the consideration of the Charter-based bodies as the more
preferable mechanisms of choice to undertake the assessment and/or to promote
accountability to mitigate the adverse impact of unilateral coercive measures on the
enjoyment of human rights, since the mandates of these bodies are formulated in a more
flexible manner. This stems from the fact that the Charter of the United Nations, the source
from which the Charter-based bodies ultimately derive their mandates, calls for all States
Members to pledge to take joint and separate action to achieve universal respect for, and
observance of, human rights and fundamental freedoms for all without distinction to race,
sex, language and religion (Arts. 55 and 56). The language used is clearly more flexible and
better avoids potential controversy with regard to jurisdiction, which could be used to
distract and even impede the assessment of unilateral coercive measures and their impact on
the enjoyment of human rights.
B. The accountability imperative
52. The fact that States that impose unilateral coercive measures with an impact on the
enjoyment of human rights of the civilian population of targeted or non-targeted States
ought to be accountable in some way for their actions is a matter beyond debate. Indeed, the
entire human rights system would be much weaker were accountability of one kind or
another not one of its main goals, without which the entire human rights system would lose
its rationale. For instance, in the area of addressing poverty reduction and the right to
development, which has historically witnessed one of the largest accountability gaps in the
broader field of human rights, the creation of institutions that ensure accountability has
been deemed imperative. Indeed, the key documents that will shape the post-2015
development agenda have called for development efforts to be driven and shaped by
building “accountable institutions for all,”51 and further emphasized the need to establish “a
participatory monitoring framework for tracking progress” and “mutual accountability
mechanisms for all stakeholders”.52 According to a working paper prepared for the
Commission on Human Rights, the full array of legal remedies should be available for
victims of sanctions regimes at any point for the violation of international law, notably
national courts, international or regional human rights bodies and the International Court of
Justice.53
53. All United Nations human rights bodies, be they treaty-based or Charter-based,
suffer to a similar degree from a lack of a supranational authority that can enforce their
demands on States that have allegedly violated their human rights obligations.54 All of these
bodies exact accountability in a similarly “softer way”, primarily through a slower, more
51 See United Nations, A New Global Partnership: Eradicate Poverty and Transform Economies
through Sustainable Development. Report of the High-level Panel of Eminent Persons on the
Post-2015 Development Agenda (New York, 2013).
52 A/68/202, para. 75.
53 E/CN.4/Sub.2/2000/33, para. 106.
54 See O.C. Okafor, The African Human Rights System, Activist Forces and International Institutions
(Cambridge, Cambridge University Press, 2007), pp. 40–61.
consensual process of socialization, and sometimes, ostracization.55 Rarely is a State
punished for its human rights violations in the way that violations are sanctioned in the
domestic legal system.56
54. Although the choice between a Charter-based or treaty-based mechanism is not
clear-cut when considering accountability for unilateral coercive measures that have an
adverse impact on the enjoyment of human rights, the universal periodic review may be
better suited to ensuring accountability at the global level since it targets each and every
State Member of the United Nations throughout each four-year cycle.
C. Access to independent evidence
55. Another important consideration when selecting the best-suited mechanisms for the
assessment and/or mitigation of the adverse effects of unilateral coercive measures on the
enjoyment of human rights is the extent to which that body would have access to robust or
direct independent evidence. The special procedures of the Human Rights Council do in
fact enjoy such an advantage over other mechanisms, since they are often able to undertake
on-site visits to the relevant States and territories.
D. Consideration of financial and administrative efficiency
56. The United Nations system is currently striving to be as financially and
administratively efficient and cost-effective as possible without significantly cutting down
its relevant programmes. This consideration suggests that a multiplicity of mechanisms to
take on the task of assessing and promoting accountability for the negative impact of
unilateral coercive measures should be avoided. A single Charter-based or treaty-based
body ought therefore to be considered the mechanism of choice for the task at hand.
E. Need to secure the most appropriate expertise
57. Given the fact that unilateral coercive measures of a comprehensive nature are more
likely to have an adverse impact on the enjoyment of economic and social rights, especially
in relation to women, children and other vulnerable groups in targeted States (also
emphasized by the Human Rights Council in its resolution 24/14), the mechanism of choice
may need to be a body or a person with the requisite expertise in the area of economic and
social rights. In the context of treaty-based bodies, this would point to three specific bodies
that could perform the task jointly, namely, the Committee on Economic, Social and
Cultural Rights, the Committee on the Elimination of Discrimination against Women and
the Committee on the Rights of the Child. Financial and administrative considerations
might, however, militate against this more cumbersome route, where multiple mechanisms
would be involved in looking at the adverse impact of unilateral coercive measures on
human rights. This would once again suggest a Charter-based option, such as the
appointment of a special procedure by the Human Rights Council. The selection process of
the appropriate mandate holder would moreover provide the Council with more flexibility
when identifying the person it considers best suited for the position, with adequate expertise
in the areas identified.
55 Ibid. See also Ryan Goodman and Derek Jinks, “How to Influence States: Socialization and
International Human Rights Law”, Duke Law Journal, vol. 54, 2004, p. 7.
F. Minimizing politicization
58. The issue of the imposition of unilateral coercive measures is directly tied to global
politics and the challenge that is posed to the multilateral ideal by the actions of many
States.57 For the mechanism eventually selected to perform the task to gain the most popular
legitimacy and effectiveness, preference should be given to one that has the potential to
minimize the politicization of the issue. With a few exceptions, both treaty-based and
Charter-based bodies are designed to be as non-political as possible and therefore do not
enjoy any specific advantage in this respect.
VII. Concluding remarks and recommended actions
59. The fact that unilateral coercive measures are likely to have a negative impact
on the enjoyment of human rights by the civilian population of targeted and, in some
cases, non-targeted States does not seem to be a matter of controversy. However,
assessing the impact of unilateral coercive measures on the human rights of the
civilian population, and more particularly, on vulnerable groups, such as women and
children, would require on-site visits to the States affected by such measures to verify,
in an independent manner, the actual effects of such measures on the different
segments of the population.
60. One obvious conclusion of the discussions above is that this function should
squarely rest on one of the relevant human rights mechanisms, namely, either a
treaty-based or a Charter-based mechanism. The challenge faced by treaty-based
bodies in discharging this function is the narrow territorial and jurisdictional manner
in which the obligations of States are framed in the relevant treaties. For this reason,
Charter-based bodies, which tend to have a more flexible mandate, are to be preferred
for the task.
61. Almost all of the factors considered for selecting the most appropriate
mechanism for the assessment of the adverse effect of unilateral coercive measures on
the enjoyment of human rights seem to lead to the conclusion that a special procedure
should be established to undertake the task. The need for the selected mechanism to
have as much direct access as possible to robust and independent evidence, to align
with the United Nations administrative and financial efficiency goals, and to have a
great degree of flexibility to select and deploy the most appropriate technical expertise
in the area would indeed tend to point to the creation of a special procedures mandate
by the Human Rights Council.
62. Almost all of the stakeholders who responded to the questionnaire were also of
the view that the most appropriate mechanism for assessing the negative impact of
unilateral coercive measures on the enjoyment of human rights should be a special
procedure mandate, although some stated that the establishment of a world court on
human rights might be more appropriate. The European Union did not consider the
Human Rights Council to be the appropriate forum for addressing the issue.
63. With regard to the promotion of accountability for the negative impact of
unilateral coercive measures on the enjoyment of human rights, the most appropriate
57 See Christine Chinkin, “The State that acts alone: bully, good Samaritan or iconoclast?”, European
Journal of International Law, vol. 11, No. 1 (2000), p. 31; and Alberto R. Coll, “Harming human
rights in the name of promoting them: the case of the Cuban embargo”, UCLA Journal of
International Law and Foreign Affairs, vol. 12, No. 2 (2007), p. 199.
means to hold States to account would seem to be the use of the universal periodic
review mechanism and for the relevant treaty-based bodies to require Member States
to address the issue in their periodic reports so as to raise public awareness to
pressure States to prevent or, at least, to mitigate the impact of such measures on the
enjoyment of human rights. There may also be a need for the Human Rights Council
to consider developing specific rules, procedures and guidelines to ensure
transparency and more accountability if and when States employ unilateral coercive
measures that are likely to have a negative impact on the enjoyment of human rights
in targeted or non-targeted States.
64. In this regard, the Human Rights Council, at its twenty-seventh session, in fact
adopted resolution 27/21, in which it created, for a period of three years, a new
mandate of Special Rapporteur on the negative impact of unilateral coercive measures
on the enjoyment of human rights, thus corroborating the findings of the present
study. The Special Rapporteur has a mandate:
(a) To gather all information, wherever it may occur, including from
Governments, non-government organizations and any other parties, relating to the
negative impact of unilateral coercive measures on the enjoyment of human rights;
(b) To study trends, development and challenges in relation to the negative
impact of unilateral coercive measures on the enjoyment of human rights and to make
guidelines and recommendations on ways and means to prevent, minimize and redress
the adverse impact of unilateral coercive measures on human rights;
(c) To make an overall review of independent mechanisms to assess
unilateral coercive measures to promote accountability;
(d) To contribute to strengthening the capacity of OHCHR to provide
affected countries with technical assistance and advisory services to prevent, minimize
and redress the adverse impact of unilateral coercive measures on human rights.
65. In discharging the mandate, the Council also requested the Special Rapporteur
(a) to draw the attention of the Human Rights Council and the High Commissioner to
situations and cases regarding the negative impact of unilateral coercive measures on
the full enjoyment of human rights; and (b) to cooperate with other relevant United
Nations bodies, including the High Commissioner, human rights treaty bodies, the
special procedures and mechanisms, specialized agencies, fund and programmes,
regional intergovernmental organizations and their mechanisms, with the aim to
prevent, minimize and redress the adverse impact of unilateral coercive measures on
human rights.
66. The specific mandates and tasks assigned to the Special Rapporteur by the
Human Rights Council in resolution 27/21 are consistent with what has already been
recommended by the Advisory Committee in its progress report, and should therefore
be commended. It is now important to ensure that all relevant United Nations human
rights treaty bodies and subsidiary organs of the Council mainstream the issue of the
negative impact of unilateral coercive measures on the enjoyment of human rights and
perform specific monitoring activities, such as during the review of periodic reports
submitted by States to such bodies and under the universal periodic review, and draw
the attention of the Special Rapporteur to any potential or actual violation of human
rights that may occur as a result of the application of unilateral coercive measures.
Furthermore, it would also be necessary to develop quantitative and qualitative
indicators that would allow a comparison between the situation of human rights in
targeted and non-targeted States prior to and during the imposition of unilateral
coercive measures.