Professional Documents
Culture Documents
Gabriele Lombardo
To cite this article: Gabriele Lombardo (2015) The responsibility to protect and the lack of
intervention in Syria between the protection of human rights and geopolitical strategies, The
International Journal of Human Rights, 19:8, 1190-1198, DOI: 10.1080/13642987.2015.1082833
a resolution have been blocked by the threat of Russia and China to veto. Accepting
a Kofi Annan proposal, the only, but unsuccessful, resolution adopted was 2042/2012
which provided for sending a team of observers to verify the maintenance of the
ceasefire. Subsequently, the United States proposed a resolution condemning Syria for
the failure to authorise the sending of aid to the people but to no avail as this
resolution also did not result in any action based on R2P.
Keywords: responsibility to protect; crisis in Syria; international community;
geopolitics; non-intervention
1. Responsibility to protect
The concept emerged for the first time in the report The Responsibility to Protect, drafted in
2001 by the International Commission on Intervention and State Sovereignty of States
(ICISS) established by Canada, following UN Secretary-General Kofi Annan’s The Millen-
nium Report of 2000 written in 1999 after the war in the Balkans to address in part the need
to prevent humanitarian crises requiring intervention. The report of the Secretary-General
entitled We The Peoples: The Role of the United Nations in the 21st Century explores
the issue of humanitarian intervention, asking the international community ‘ … if humani-
tarian intervention is, indeed, an unacceptable assault on sovereignty, how should we
respond to a Rwanda, to a Srebrenica – to gross and systematic violations of human
rights that affect every precept of our common humanity?’,1 when intervention breaches
the second article, paragraph 4, of the Charter of the United Nations (UN)2 and also para-
graph 7 establishing non-intervention by the UN in the internal affairs of the state.3 The
novelty introduced by the report lies in suggesting assessment by the international commu-
nity of any possible action in case the state is unable or unwilling4 to adopt measures in
order to protect and safeguard its population and everybody who is in that territory at
that moment. The report also points out how the concept of sovereignty should be
revised and modernised, making the state the main party responsible for protection and
safeguarding of its population.5 The ICISS also outlined in the report three types of respon-
sibility: to prevent, to react and to rebuild, and it is around these three aspects that there
*Email: ga26@hotmail.it
exists the problem of humanitarian intervention. Only when the state is unable or unwilling
to act is the international community able to intervene under R2P through, for instance,
mechanisms of early warning, which may include everything from sanctions to military
intervention. The international community, however, under R2P must also assist the state
in meeting its responsibility to rebuild post intervention.6 The report points out that any
military intervention must be authorised in advance by the Security Council, respecting
the idea of competent authority. The Security Council, after examining the situation, may
decide to implement measures included in Chapter VI of the UN Charter and if they are
unsuccessful the Security Council may carry out the measures provided for in Chapter
VII against any state that violates human rights, considering that this breach could threaten
international peace and security. The Security Council could also decide not to intervene if
the situation does not represent a threat to peace and international security, or even be com-
pelled not to adopt a resolution because of a real or simply threatened veto by one of the
permanent members, as in the case of Syria. Other essential elements for implementing
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an intervention by the international community that are set out in the report are: (i) the
just cause that applies in the case of loss of life on a large scale, with the intent or less
to commit, or in cases of real or perceived, genocide, or actual or perceived ethnic cleans-
ing; (ii) the right intention in wanting to put an end to human rights violations; (iii) the last
resort – military intervention should be a last resort, occurring only when peaceful policy
options have not succeeded; (iv) proportional measures – military intervention should be
the minimum necessary to ensure the protection and defence of human rights; and (v)
the final element to be considered is the reasonable prospect, referring to the real possibility
of successful intervention without this aggravating the situation of the population.7
Further references to the concept of R2P can be found in the 2004 report A More Secure
World: Our Shared Responsibility del High Level Panel on Threats8; and in the 2005 report
In Larger Freedom: Towards Development, Security and Human Rights for All.9 These
reports aim to improve the tools and procedures of the Security Council so that it can inter-
vene on a more objective basis and have more transparent decision-making in cases of vio-
lations of human rights.10 R2P is also discussed at paragraphs 138 and 139 of the 2005
World Summit Outcome11 document: para. 138 gives each state the responsibility to
protect its population from genocide, war crimes, ethnic cleansing and crimes against
humanity, and to prevent these crimes, while para. 139 emphasises how the international
community has to implement all the necessary tools to intervene and help to protect popu-
lations from gross violation but, in accord with Chapters VI and VII of the UN Charter, only
if the state is unable or unwilling to do so.12 Only in paragraphs 138 and 139 is there a
specific reference to the R2P as a tool for early warning and risk assessment in cases of gen-
ocide, war crimes and crimes against humanity. States have pledged to increase and
implement all the instruments of rapid intervention.13 The only regional instrument refer-
ring to the R2P is the African Union Constitutive Act, article 4, para. H, which also provides
for a possible action by the international community to protect a population only when the
African Union has been proved to be unable or unwilling.14
The theory of the R2P was applied both in the crisis in Kenya and in the crisis in Libya,
two opposing situations. In the case of the post-election crisis in Kenya in 2007, the success
of Mwai Kibaki, re-elected for the second time, prompted protests from the defeated can-
didate, Raila Odinga, who complained of electoral fraud. The situation deteriorated and in
the months following the crisis there were about 1,200 Kenyans killed and an estimated
500,000 had suffered violence, marking the beginning of a civil war between opposing pol-
itical factions. The notion of R2P was applied in Kenya without any military intervention by
the international community thanks to the role of the former UN Secretary-General Kofi
1192 G. Lombardo
Annan who has always considered it essential to come to a peaceful resolution to a crisis.
The Secretary-General arrived on 28 February 2008 for the signing of an Agreement of
National Unity for reconciliation.15 Kofi Annan considers the resolution of the crisis in
Kenya a success of the R2P,16 led by Great Britain and France. Libya is a more controversial
case in respect of R2P. The Security Council has adopted two resolutions on the crisis in
Libya, the first, resolution 1970/2011, adopted 26 February 2011, condemned the systema-
tic violations of human rights by the Libyan government – and the incitement of violence
against civilians as reported by international organisations. On that basis, the Security
Council decided to adopt the measures provided for in article 41 of the UN Charter, and
also referred the situation in Libya to the Prosecutor of the International Criminal
Court.17 The referral addressed the internal situation in Libya, indicating it could be a
risk to peace and international security, and rebuking the Libyan government’s failure to
intervene in order to protect the population ‘recalling the Libyan Authorities responsibility
to protect ITS population’.18 The Security Council moreover imposed sanctions such as the
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ban on the import/export of weapons and the freezing of Gaddafi family goods. Resolution
1973/2011 had greater effects, giving the green light to states to every necessary measure19
to protect the civilians from conflict, referring to the 2005 outcome document, paragraph
139, requiring compliance with the no-fly zone and the checking of embargoed arms
against Libya.20 This example shows that the international community may decide to inter-
vene in specific areas and not in others, so that in some countries gross violations of human
rights could be committed and the international community will not take a position to inter-
vene in defence of these populations. Both resolutions recall the R2P, even if they do not
always conform to the instruments that provide for the R2P.21
Serbia does not recognise the unilaterally declared independence of Kosovo of 2008 nor
that the NATO intervention was justified. Instead, Serbia claims serious and persistent vio-
lations of its sovereignty. There have been numerous criticisms of any potential intervention
in Syria by some states who fear that their sovereignty could be violated as a result of inter-
vention by the international community to protect human rights as justified by former UN
Secretary-General Kofi Annan under the R2P. Moreover, they argue that an intervention by
the international community can be achieved only if a state is unable or unwilling to protect
its own population, but that during a civil war it is difficult to assess these elements, always
bearing in mind the principle of self-determination and the right of the state to defend itself
from internal revolts designed to destabilise it. Only two resolutions have been adopted by
the Security Council: resolution 2042/2012, authorised sending a group of observers, with
the approval of the Syrian government, aiming to monitor a ceasefire, maintain territorial
integrity, sovereignty and independence and to urge the Syrian government to follow up
on the commitments of 25 March 2012 respecting the six points26 proposed by the Joint
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Special Envoy of the United Nations and the Arab States, Kofi Annan, and of the sub-
sequent communication of 1 April 2012.27 The Syrian government made a commitment
to: (i) prohibit armed troops entering towns; (ii) prohibit the use of heavy weapons
within these populated centres; and (iii) begin the withdrawal of troops currently stationed
in and around the towns, which withdrawal was to be completed by 10 April 2012. The
hope was that the rebels and the government would maintain the agreement. Resolution
2043/201228 established the United Nations Supervision Mission in Syria (UNSMIS) – a
group of unarmed military observers under the command of a Chief Military Observer
with the aim of monitoring the ceasefire and facilitating respect of the accepted six
points. In addition, the Security Council called on the Syrian government to ensure that
the population could have access to international assistance as is required under inter-
national humanitarian law (para. 11). The resolutions were adopted because they do not
consider military intervention on Syrian territory, given the threat of veto by China and
Russia, the latter trying to regain its sphere of influence on Syria. In fact, in 2005, Putin
reduced Syrian debt to 70%; also, the Russian fleet was allowed to anchor at the port of
Tartous, showing that Syria is geopolitically strategic for Russia.29 In contrast, Russia
abstained during the voting on resolutions 1970 and 1973 on Libya. This demonstrates
how the R2P is a theory that is flexible and dependent on geopolitical and strategic
elements.
Given the fact that (in compliance with the UN Charter) any intervention without UN
Security Council permission is considered illegal under international law,30 states try to
prevent the Security Council adopting a resolution for intervention. Nevertheless ‘humani-
tarian interventions’, such as in Kosovo, have been addressed through subsequent resol-
utions ad hoc, so that humanitarian interventions have often been perceived or
considered by some states that have been subject to them as an action interfering with
that state’s internal affairs and as a pretext for the allocation of troops on its territory.
The UN’s non-intervention in Syria highlights that the institution of the R2P has no
well-defined practice and that it is influenced by the geopolitical and strategic issues of
the state which violates said human rights or does not oppose such violations. Nevertheless,
the unilateral action by a coalition of states attempting to protect the interests of the popu-
lation is often perceived as an act of interference in violation of Article 2, para. 731 of
the UN Charter, and for this reason it is consequently perceived as an act of force
against states which do not benefit from both strong allies and a stretch of the Statute.
The non-intervention in Syria shows once again that the UN system for protection of
human rights and the protection of the people from gross human rights violations is
1194 G. Lombardo
often ineffective and that action is still tied to decisional issues of the Security Council,32
which is often unable to adopt a resolution.
Comparing the Libyan and the Syrian crises it is possible to distinguish two different
kinds of intervention during the crisis in Libya, a ‘coalition of the willing’ under the aus-
pices of the UN, which immediately defined its position against the Libyan leader
Gaddafi,33 and Security Council resolution 1970/2011,34 which imposed on Libya an
arms embargo and individual sanctions on the family of the Rais. The resolution officially
launched Operation Odyssey Dawn and the main promoters of the resolution were Britain,
France and the United States; other states the joined the United States. The situation in
Libya worsened due to the lack of efficacy of resolution 1970. This resulted in the Security
Council adopting resolution 1973/2011, since the crisis was so serious that it threatened
international peace and security. The Security Council allowed a coalition of states to act
under Chapter VII of the UN Charter, a resolution that has been adopted with the abstention
of Russia, China, Brazil, India and Germany. Operations were transferred to NATO35
without any reference to a possible deployment of ground troops; the resolution actually
provided for an immediate ceasefire and for the end of the involvement of the civilian popu-
lation (para. 1), for the invitation to find by all means a peaceful resolution of the crisis
(para. 2) and for the Libyan government’s compliance with international law, international
humanitarian law and human rights (para. 3).
The lack of intervention in Syria by the UN or by a coalition of the willing states is
mainly due to geopolitical and strategic reasons. In fact, the human rights violations suf-
fered by the Syrian people are the same as those suffered by the Libyan population. Also
in this case, the international community would have to intervene in defence of the
Syrian people through humanitarian means, without the prior authorisation of the Security
Council, as was the case for Kosovo. However, differently from Libya, which was immedi-
ately isolated from its allies and the international community, Syria did not lose the support
of its allies. In fact, as well as Russia and China, Iran also continues to support al-Assad’s
regime, making any intervention quite impossible. This is well demonstrated by the only
two resolutions adopted by the Security Council: 2042 and 2043.
4. Conclusion
Considering that the R2P has been established as a tool for the prevention of genocide, it
could be an effective tool for a rapid intervention in cases of gross human rights violations
suffered by a population, whether this violation is committed by the population’s own state
or by rebel forces during a civil conflict. The central element of R2P is the role of the state,
which is to employ every measure to prevent infringements. The political value the
The International Journal of Human Rights 1195
involved state has in the international arena is crucial in regard to implementation or non-
implementation of R2P, as evidenced by the intervention of the international community in
Libya by a coalition of willing states. Those states acting under the name of R2P immedi-
ately bombed government forces, thus supporting the rebels against Gaddafi. Unfortunately
the bombings did not help to stop the violence, in fact, the rebels and the army loyalists
continue to fight in the south of Libya, while the northern area, near the country’s oil
wells, seem to be somewhat pacified.
Despite the dramatic and severe nature of the Syrian crisis and civil society being
involved in the fighting between government forces and the rebels, the international com-
munity has not applied the theory of the R2P, nor has the Security Council adopted a res-
olution. There is the threat that Russia and China would veto, since any intervention would
likely be delegated to the United States and NATO. Some states argue this would be to
apply the ‘Libyan model’ to Syria, with the result of expanding the conflict to destabilise
the entire region.
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The only resolutions adopted have merely been an invitation to the Syrian government
to respect human rights and to prevent the involvement of the civilian population in the
clashes, since the UN hopes for a peaceful resolution of the crisis, as supported by
China. Once again we can see that the international community’s actions are dictated pri-
marily by very specific interests which prevail over respect for human rights and this is
the reason why even the R2P is not a uniform practice in its application. R2P is considered
by some states as a form of humanitarian imperialism by those affected by the intervention
as intervention is often undertaken against some states, especially those which have a sig-
nificant geopolitical position and which are not backed by powerful allies, as clearly
demonstrated by the cases of Syria and Libya. In those cases the violations of human
rights were the same; however the international community intervened in Libya but not
in Syria.
Disclosure statement
No potential conflict of interest was reported by the author.
Notes on contributor
Gabriele Lombardo is a PhD student in international order and human rights at the Department of
Political Science, University of Rome ‘Sapienza’.
Notes
1. We The Peoples: The Role of the United Nations in the 21st Century, UN Doc. A/54/2000, 48;
United Nations General Assembly, Resolution 55/2, 18 September 2000, UN Doc. A/RES/55/2.
2. Charter of United Nations, article 2, para. 4: ‘All Members shall refrain in their international
relations from the threat or use of force against the territorial integrity or political independence
of any state, or in any other manner inconsistent with the Purposes of the United Nations.’
3. Ibid., para. 7: ‘Nothing contained in the present Charter shall authorize the United Nations to
intervene in matters which are essentially within the domestic jurisdiction of any state or
shall require the Members to submit such matters to settlement under the present Charter; but
this principle shall not prejudice the application of enforcement measures under Chapter Vll.’
4. Report ICISS, The Responsibility to Protect, cap. 4, para. 4.1: ‘The responsibility to protect
implies above all else a responsibility to react to situations of compelling need for human pro-
tection. When preventive measures fail to resolve or contain the situation and when a state is
unable or unwilling to redress the situation, then interventionary measures by other members
1196 G. Lombardo
of the broader community of states may be required. These coercive measures may include pol-
itical, economic or judicial measures, and in extreme cases – but only extreme cases – they may
also include military action. As a matter of first principles, in the case of reaction just as with
prevention, less intrusive and coercive measures should always be considered before more coer-
cive and intrusive ones are applied.’
5. Ibid., Synopsis Basic Principles: ‘A. State sovereignty implies responsibility, and the primary
responsibility for the protection of its people lies with the state itself. B. Where a population
is suffering serious harm, as a result of internal war, insurgency, repression or state failure,
and the state in question is unwilling or unable to halt or avert it, the principle of non-interven-
tion yields to the international responsibility to protect.’
6. C. Focarelli, ‘La dottrina della “Responsabilità di Proteggere” e l’intervento umanitario’, Rivista
di diritto internazionale 2 (2008): 323–4.
7. Report ICISS, The Responsibility to Protect: ‘The Just Cause Threshold Military intervention
for human protection purposes is an exceptional and extraordinary measure. To be warranted,
there must be serious and irreparable harm occurring to human beings, or imminently likely
to occur, of the following kind: A. large scale loss of life, actual or apprehended, with genocidal
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intent or not, which is the product either of deliberate state action, or state neglect or inability to
act, or a failed state situation; or B. large scale “ethnic cleansing”, actual or apprehended,
whether carried out by killing, forced expulsion, acts of terror or rape. The Precautionary Prin-
ciples A. Right intention: The primary purpose of the intervention, whatever other motives inter-
vening states may have, must be to halt or avert human suffering. Right intention is better
assured with multilateral operations, clearly supported by regional opinion and the victims
concerned. B. Last resort: Military intervention can only be justified when every non-military
option for the prevention or peaceful resolution of the crisis has been explored, with reasonable
grounds for believing lesser measures would not have succeeded. C Proportional means: The
scale, duration and intensity of the planned military intervention should be the minimum necess-
ary to secure the defined human protection objective. D. Reasonable prospects: There must be a
reasonable chance of success in halting or averting the suffering which has justified the inter-
vention, with the consequences of action not likely to be worse than the consequences of inac-
tion’, Focarelli, ‘La dottrina della “Responsabilità di Proteggere” e l’intervento umanitario’,
324–5.
8. United Nations, General Assembly Resolution A/59/565, 2 December 2004.
9. United Nations, General Assembly Resolution A/Res/60/1, 24 October 2005.
10. P. Hilpold, ‘The Responsibility to Protect’, in The Responsibility to Protect (R2P), a New Para-
digm of International Law?, ed. Peter Hilpold (Leiden: Brill Nijhoff, 2015), 1–38, at 13.
11. United Nations, General Assembly Resolution A/59/2005, 21 March 2005.
12. World Summit Outcome Document, paras 138–9: 138. ‘Each individual State has the respon-
sibility to protect its populations from genocide, war crimes, ethnic cleansing and crimes
against humanity. This responsibility entails the prevention of such crimes, including their inci-
tement, through appropriate and necessary means. We accept that responsibility and will act in
accordance with it. The international community should, as appropriate, encourage and help
States to exercise this responsibility and support the United Nations in establishing an early
warning capability’; 139: ‘The international community, through the United Nations, also has
the responsibility to use appropriate diplomatic, humanitarian and other peaceful means, in
accordance with Chapters VI and VIII of the Charter, to help protect populations from genocide,
war crimes, ethnic cleansing and crimes against humanity. In this context, we are prepared to
take collective action, in a timely and decisive manner, through the Security Council, in accord-
ance with the Charter, including Chapter VII, on a case-by-case basis and in cooperation with
relevant regional organizations as appropriate, should peaceful means be inadequate and
national authorities manifestly fail to protect their populations from genocide, war crimes,
ethnic cleansing and crimes against humanity. We stress the need for the General Assembly
to continue consideration of the responsibility to protect populations from genocide, war
crimes, ethnic cleansing and crimes against humanity and its implications, bearing in mind
the principles of the Charter and international law. We also intend to commit ourselves, as
necessary and appropriate, to helping States build capacity to protect their populations from
genocide, war crimes, ethnic cleansing and crimes against humanity and to assisting those
which are under stress before crises and conflicts break out.’
The International Journal of Human Rights 1197
13. L. Panella, ‘La responsabilità di proteggere: un’ulteriore possibilità di tutelare i diritti umani o
un diritto d’ingerenza?’, in Studi in Onore di Augusto Sinagra, ed. P. Bargiacchi (Roma: Aracne
Editrice, 2013), 468; Focarelli, ‘La dottrina della “Responsabilità di Proteggere” e l’intervento
umanitario’, 328.
14. African Union Constitutive Act, article 4, para. H: ‘the right of the Union to intervene in a
Member State pursuant to a decision of the Assembly in respect of grave Circumstances,
namely: war crimes, genocide and crimes against humanity’.
15. S.K. Sharma., ‘The 2007–08 Post-election Crisis in Kenya, A Success Story for the Responsi-
bility to Protect?, in Responsibility to Protect from Principle to Practice, ed. J. Hoffmann and
A. Nolkaemper (Amsterdam: Pallas Publications/Amsterdam University Press, 2012), 27–35.
16. R. Cohen, ‘How Kofi Annan Rescued Kenya’, The New York Review of Books, 14 August 2008.
17. Panella, ‘La responsabilità di proteggere’, 477.
18. T. Ballarino, ‘RtoP/Responsability to Protect’, scritti in memoria di Maria Rita Saulle, edizione
scientifiche, 23–48.
19. U. Villani, Dalla dichiarazione universale alla Convenzione europea dei diritti dell’uomo (Bari:
Cacucci Editore, 2012), 60.
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30. Syria Insta-Symposium: André Nollkaemper – Intervention in Syria and International Law:
Inside or Out?, 1 September 2013, http://www.opiniojuris.org.
31. Charter of United Nations, article 2, para. 7.
32. Syria Insta-Symposium: André Nollkaemper.
33. V. Risuglia, Ripensare l’ONU. La Risoluzione 1973 e la guerra in Libia, http://magna-carta.it/
content/ripensare-nazioni-unite-risoluzione-1973-e-lintervento-libia.
34. United Nations Security Council Resolution S/RES/1970 adopted on 26 February 2011.
35. Ibid.
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