SIRACUSA PRINCIPLES on the Limitation and Derogation ...

SIRACUSA

PRINCIPLES

on the

Limitation and

Derogation Provisions

in the

International Covenant

on Civil and Political

Rights

American Association

for the

International Commission of Jurists

M EM BERS OF TH E

IN T E R N A T IO N A L C O M M ISSIO N OF JU R IST S

President

KEBA M BAYE, SE N E G A L

Vice-Presidents

RO BER TO C O N C E P C IO N , P H IL IP P IN E S

H E L E N O CLA U D JO FR A G O SO , BR A ZIL

JO H N P. H U M PH R E Y , CA NA DA

M em bers o f E xecutive Com m ittee

W IL L IA M J. BU TLER , U.S.A. (Chairm an)

A N D R E S A G U IL A R M A W D SLEY , V E N E Z U E L A

P. T E L FO R D G E O R G E S, T H E BAHAM AS

L O U IS JO X E , FR A N C E

P.J.G. K A PTEY N , N E T H E R L A N D S

R U D O LF M A C H A C EK , A U STR IA

J. TH IA M H IE N YAP, IN D O N E S IA

Com mission M em bers

BA DRIA A L -A W A D H I, K U W AIT

A L PH O N SE B O N I, IVO RY CO A ST

R A U L F. C A R D E N A S, M EX ICO

H A IM H. C O H N , ISR A EL

A U G U STO C O N T E -M A C D O N E L L , A R G E N T IN A

T A SLIM O L A W A L E ELIA S, N IG E R IA

A L FR E D O E T C H EB ER R Y , C H IL E

G U IL L E R M O FIG A LLO , PER U

LO RD G A R D IN E R , U N IT E D K IN G D O M

M IC H A E L D. K IRBY, A U ST R A L IA

K IN U K O KUBOTA, JA PA N

R A JSO O M E R LA LLA H , M A U R ITIU S

TA1-Y OU NG LEE, REP. O F K O REA

S EA N M A C B R ID E , IR E L A N D

J.R .W .S. M AW A LLA, T A N Z A N IA

F R A N C O IS-X A V IE R M BO UYO M , CA M ER O O N

FA Ll S. N A R IM A N , IN D IA

N G O BA T H A N H , V IETN A M

T O R K E L O PSA H L, N O R W A Y

G U STA F B.E. PE T R E N , SW ED EN

S IR GU Y PO W LES, N E W Z EA LA N D

S H R ID A T H S. RA M PH A L, G U Y A N A

DON JO A Q U IN R U IZ -G 1M E N E Z , SPA IN

T U N M O H A M ED SU FFIA N , M A LA Y SIA

S IR M OTI TIK A R A M , FIJI

CHITT1 T IN G SA B A D H , TH A IL A N D

C H R IST IA N TO M U SC H A T , FED. REP. O F G E R M A N Y

M IC H A E L A. T R /A N T A F V L L /D E S , C Y P R U S

A M O S W AKO, K ENY A

Honorary M em bers

S IR A D ETO K U N B O A. A D EM OLA, N IG E R IA

A R TU R O A. A L A FR IZ , P H IL IP P IN E S

D U D L EY B. BO N SA L, U.S.A.

ELI W H IT N E Y DEBEV O ISE, U.S.A.

PER FE D E R S P IE L , D E N M A R K

T.S. F E R N A N D O , SR I LA NK A

W.J. G A N S H O F VAN DER M EER SC H , BELG IU M

H A N S H E IN R IC H JE S C H E C K , FED. REP. O F G E R M A N Y

JE A N FLA V IEN LA LIV E, SW IT Z E R L A N D

N O R M A N S. M A R SH , U N IT E D K IN G D O M

JO S E T. N A BU CO , BR A ZIL

LU IS N E G R O N FE R N A N D E Z , PU ER TO RICO

LO RD SH A W C R O SS, U N IT E D K IN G D O M

ED W A RD ST. JO H N , A U STR A LIA

Secretary-General;

N 1A L L M A C D ER M O T

109 Route de Chene

1224 Chene-Bougeries

Geneva, Switzerland

AMERICAN ASSOCIATION FOR

THE INTERNATIONAL COMMISSION

OF JURISTS, INC.

777 U N IT E D N A TIO N S PLAZA

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Members o f the Board o f Directors

E L I W H IT N E Y DEBEVOISE

Chairman Emeritus

Chairman o f the Board

G E O R G E N . L IN D SA Y

President

W IL L IA M J. BUTLER

Secretary

H A RV EY J. G O LD SCH M ID

Treasurer

P. N IC H O L A S KO URIDES

R O BERT P. BASS, JR.

D O N A LD T. FOX

P E T E R S. H E L LE R

R IC H A R D H. M OORE

A N D R E W. G. NEW BURG

M A TTHEW N IM E T Z

ST E PH E N A. OX M AN

W IL L IA M J. SC H R EN K , JR.

JE R O M E J. SH ESTA CK

PE T E R O. A. SOLBERT

E D W A RD H A L L A M TU C K

Directors Emeriti:

DU D LEY B. BONSAL

W H IT N E Y N O R T H SEY M O U R (1901-1983)

B E N JA M IN R. SH UTE

BETH U EL M. W EBSTER

The American Association for tbe International Com?

mission of Jurists, Inc. is a non-profit public corporation

organized on a membership basis. All contributions are

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ter, members are entitled to receive The Review and the

IC J Newsletter, published, respectively, semi-annually

and quarterly, by the International Commission of

Jurists.

April 1985

Introductory Note

It has long been observed by the American Association

for the International Commission of Jurists (A A IC J)

that one of the main instruments employed by govern?

ments to repress and deny the fundamental rights and

freedoms of peoples has been the illegal and unwarranted

Declaration of M artial Law or a State of Emergency.

Very often these measures are taken under the pretext of

the existence of a ¡° public emergency which threatens the

life of the nation¡± or ¡° threats to its national security.¡±

Table o f Contents

Introductory N o t e ......................................................

3

The Siracusa Principles on the Limitation and Deroga?

tion Provisions in the International Covenant on

Civil and Political R ig h ts ..............................................

5

International Covenant on Civil and Political Rights

18

Optional Protocol to the International Covenant on

Civil and Political R ig h ts ................................................ 3 9

Individual Limitation Provisions Cross-Referenced to

the C o v e n a n t................................

aa

The abuse of applicable provisions allowing govern?

m ents to lim it and derogate from certain rights contained

in the International Covenant on Civil and Political

Rights has resulted in the need for a closer examination

of the conditions and grounds for permissable limitations

and derogations in order to achieve an effective imple?

mentation of the rule of law. The United Nations

General Assembly has frequently emphasized the impor?

tance of a uniform interpretation of limitations on rights

enunciated in the Covenant.

W ith this in mind, the A A IC J initiated a colloquium

composed of 31 distinguished experts in international

law, held at Siracusa, Italy, in the Spring of 1984. This

meeting, the first of its kind, was co-sponsored by the

International Commission of Jurists, the U rban Morgan

Institute for Hum an Rights, and the International Insti?

tute of Higher Studies in Criminal Sciences.

The participants examined the limitation and deroga?

tion provisions in the Covenant, seeking to identify:

(a) their legitimate objectives;

(b ) the general principles of interpretation which gov?

ern their imposition and application; and

(c ) some of the main features of the grounds for

limitation or derogation.

It was recognized that other criteria determine the

scope of rights in the Covenant, e.g., the concept of

arbitrariness, but time was not available to examine

them. It was hoped that it m ight be possible to examine

these other limits on some future occasion.

The participants were agreed that:

(a)

there is a close relationship between respect for

human rights and the maintenance of international peace

and security ¡ª indeed the systematic violation of human

rights undermines the national security and public order

and may constitute a threat to international peace; and

(b )

notwithstanding the different stages of economic

development reached in different states, the implementa?

tion of human rights is an essential requirement for

development in the broadest sense.

These principles are considered by the participants to

reflect the present state of international law, with the

exception of certain recommendations indicated by the

use of the verb ¡°should¡± instead of ¡° shall.¡±

The Siracusa Principles on the

Limitation and Derogation

Provisions in the International

Covenant on Civil and Political

Rights

Included as part of this publication are the agreedupon Siracusa Principles and a cross-referenced text of

the Covenant.

The A A IC J was founded on December 27, 1967, to

uphold and strengthen the principles of human rights and

the rule of law throughout the world. To this end, it

cooperates with the International Commission of Jurists,

a Geneva-based international non-governmental organi?

zation. The Association works closely with the American

Bar Association and state and local bar associations. It

also maintains close contact with legal scholars, U.S.

Congressional and Senate members, the Departm ent of

State and other organizations and individuals in related

fields in order to prepare and provide the most recent

information on human rights.

I.

Limitation Clauses

A.

General Interpretative Principles Relating to

the Justification of Limitations

B.

Interpretative Principles Relating to Specific

Limitation Clauses

The American Association encourages all nations to

take effective measures to protect the basic rights of

their citizens. Both the Association and the International

Commission offer their counsel to any nation to facilitate

its transition to a fuller realization of those rights.

W illiam J. Butler, President

n.

i.

¡° prescribed by law¡±

ii.

¡°in a democratic society¡±

iii.

¡°public order (ordre p ublic)"

iv.

¡°public health¡±

v.

¡°public morals¡±

vi.

¡°national security¡±

vii.

¡° public safety¡±

viii.

¡° rights and freedoms of others,¡± or

¡°rights and reputations of others¡±

ix.

¡°restrictions on public trial¡±

Derogations in a Public Emergency

A.

¡°Public Emergency W hich Threatens the

Life of the Nation¡±

B.

Proclamation, Notification, and Termination

of a Public Emergency

C.

¡° Strictly Required by the Exigencies of the

Situation¡±

D.

Non-Derogable Rights

E.

Some General Principles on the Introduction

and Application of a Public Emergency and

Consequent Derogation Measures

F.

Recommendations Concerning the Functions

and Duties of the Hum an Rights Committee

and U nited Nations Bodies

I.

LIM ITATIO N CLAUSES

A.

General Intepretative Principles Relating to the

Justification of Limitations *

1. N o limitations or grounds for applying them to

rights guaranteed by the Convenant are permitted other

than those contained in the terms of the Covenant itself.

2. The scope of a limitation referred to in the Cove?

nant shall not be interpreted so as to jeopardize the

essence of the right concerned.

3. All limitation clauses shall be interpreted strictly

and in favor of the rights at issue.

4. All limitations shall be interpreted in the light and

context of the particular right concerned.

5. All limitations on a right recognized by the Cove?

nant shall be provided for by law and be compatible with

the objects and purposes of the Covenant.

12. The burden of justifying a limitation upon a right

guaranteed under the Covenant lies with the state.

13. The requirement expressed in Article 12 of the

Covenant that any restrictions be consistent with other

rights recognized in the Covenant is implicit in limita?

tions to the other rights recognized in the Covenant.

14. The limitation clauses of the Covenant shall not

be interpreted to restrict the exercise of any human

rights protected to a greater extent by other international

obligations binding upon the state.

B. Interpretative Principles Relating to Specific Limi?

tation Clauses

"prescribed by law"

i.

15. N o limitation on the exercise of human rights

shall be made unless provided for by national law of

general application which is consistent with the Covenant

and is in force at the time the limitation is applied.

6 .

N o limitation referred to in the Covenant shall be

applied for any purpose other than that for which it has

been prescribed.

16. Laws imposing limitations on the exercise of

human rights shall not be arbitrary or unreasonable.

7. N o limitation shall be applied in an arbitrary

manner.

17. Legal rules limiting the exercise of human rights

shall be clear and accessible to everyone.

8 .

Every limitation imposed shall be subject to the

possibility of challenge to and remedy against its abusive

application.

18. Adequate safeguards and effective remedies shall

be provided by law against illegal or abusive imposition

or application of limitations on human rights.

9. N o limitation on a right recognized by the Cove?

nant shall discriminate contrary to Article 2, paragraph 1.

ii.

10. W henever a limitation is required in the terms of

the Covenant to be ¡°necessary,¡± this term implies that the

limitation:

19. The expression ¡°in a democratic society¡± shall be

interpreted as imposing a further restriction on the limi?

tation clauses it qualifies.

(a) is based on one of the grounds justifying lim ita?

tions recognized by the relevant article of the Covenant;

20. The burden is upon a state imposing limitations

so qualified to demonstrate that the limitations do not

impair the democratic functioning of the society.

"in a democratic society"

(b) responds to a pressing public or social need;

(c) pursues a legitimate aim; and

(d) is proportionate to that aim.

Any assessment as to the necessity of a limitation shall

be made on objective considerations.

II. In applying a limitation, a state shall use no more

restrictive means than are required for the achievement of

the purpose of the limitation.

* The term ¡°limitations¡± in these principles includes the

term ¡°restrictions¡± as used in the Covenant.

21. W hile there is no single model of a democratic

society, a society which recognizes and respects the

human rights set forth in the United Nations C harter and

the Universal Declaration of Hum an Rights may be

viewed as meeting this definition.

/ii.

"public order (ordre pu b lic)"

22. The expression ¡°public order (ordre public)" as

used in the Covenant may be defined as the sum of rules

which ensure the functioning of society or the set of

fundamental principles on which society is founded.

Respect for human rights is part of public order (ordre

public).

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