Democratic Legitimacy and the Recognition of Governments in International Law
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UNIVERSITY OF CANTERBURY DEMOCRATIC LEGITIMACY AND THE RECOGNITION OF GOVERNMENTS IN INTERNATIONAL LAW Faculty of Law Ogunkoya Wonuola Bukola Student Number: 6237868 Acknowledgements This thesis was supervised by Professor John Hopkins and Associate Professor Natalie Baird to whom I will always be indebted for the years of skills development, constructive criticism and supports, all of which made this journey. I am also grateful to my external examiners for their constructive feedback. Contributions from Barrister Olasupo Ojo and Gbenga Akintola as greatly assisted the revision of this thesis. I will forever be grateful to my parent, Late Prince Olatunji and Mrs Olabisi Ogunkoya, my sisters: Barrister Shola Egwaikhide, Yetunde Demuren, Korede Adekunle, Sade Ogunkoya and my brother, Olatunji Ogunkoya (Jnr) for their financial and moral support in ensuring this dream come true, and their walks with me through my travelling's since 2009 when I left Nigeria. I am grateful to my uncle, Dr Michael Gbenga Ogunkoya, who took over the monitoring of this thesis. His numerous phone calls and advice has been of great importance. My gratitude to my colleagues at ADACAS Advocacy who supported me, I am indebted to my deputy CEO, Sonia di Mezza and supervisor, Lauren O' Brien, who often encourage and support me. The completion of this thesis has not been smooth, but I give God the glory. Wonuola Ogunkoya LLB, BL, LLM (International Law) (Leeds) PhD Candidate 1 Table of Contents ACKNOWLEDGEMENTS ..................................................................................... 1 TABLE OF CONTENTS ....................................................................................... 2 DEDICATION .................................................................................................... 5 CONFERENCE PRESENTATION FROM THIS STUDY ............................................ 6 AWARD FROM THIS STUDY ............................................................................... 6 LIST OF ACRONYMS AND ABBREVIATIONS ........................................................ 7 ABSTRACT ....................................................................................................... 9 CHAPTER ONE: INTRODUCTION TO THE RESEARCH ........................................ 10 1.1. BACKGROUND OF THE STUDY ................................................................ 10 1.2. RESEARCH AIM AND RESEARCH QUESTION ........................................... 13 1.3. RESEARCH METHODOLOGY ................................................................... 15 1.3.1. RESEARCH METHODS ........................................................................ 15 1.3.2. CASE SELECTION .............................................................................. 16 1.3.3. RESEARCH INFORMATION SOURCES .................................................. 17 1.4. RESEARCH STRUCTURE ......................................................................... 18 1.5. RESEARCH TERMINOLOGY ..................................................................... 20 1.5.1. RECOGNITION OF GOVERNMENT ....................................................... 20 1.5.2. LEGITIMATE GOVERNMENT ............................................................... 21 1.5.3. DEMOCRACY ...................................................................................... 22 1.5.4. DEMOCRATIC LEGITIMACY ................................................................ 23 1.6. RESEARCH GAPS ................................................................................... 25 1.7. CONCLUSION ......................................................................................... 26 CHAPTER TWO: RECOGNITION OF GOVERNMENTS IN INTERNATIONAL LAW ... 27 2.1. INTRODUCTION ....................................................................................... 27 2.2. THE RATIONALE BEHIND THE RECOGNITION OF GOVERNMENTS ............. 27 2.3. THE RECOGNITION OF GOVERNMENTS DEBATES .................................... 30 2.4. ABOLITION OF RECOGNITION OF GOVERNMENTS: NOT A SOLUTION ....... 34 2.4.1. CONFIRMATION OF A REGIME STATUS ................................................. 35 2.4.2. CONFERMENT OF LEGAL PERSONALITY ............................................... 36 2.4.3. PROMOTES POLITICAL STABILITY ........................................................ 38 2.4.4. DETERS UNCONSTITUTIONALITY ......................................................... 40 2.4.5. PROTECTION OF A STATE’S SOVEREIGNTY ............................................ 41 2.5. EFFECTS OF NON-RECOGNITION ON A GOVERNMENT .............................. 42 2.5.1. NON-INTEGRATION INTO INTERNATIONAL SOCIETY ............................. 42 2.5.2. INABILITIES TO REQUEST MUTUAL ASSISTANCE .................................. 44 2.6. CONCLUSION .......................................................................................... 45 CHAPTER THREE: THE RECOGNITION OF GOVERNMENTS PROBLEMS ............ 46 3.1. INTRODUCTION ....................................................................................... 46 3.2. DISTINGUISHING BETWEEN RECOGNITION OF STATES AND RECOGNITION OF GOVERNMENTS ......................................................................................... 46 3.3. DISTINGUISHING BETWEEN POLITICAL AND LEGAL BASIS OF RECOGNITION ………………………………………………………………………………...51 3.4. UNCLEAR STATEMENTS AND FAULTY TERMINOLOGIES ........................... 54 3.5. CONCLUSION .......................................................................................... 57 CHAPTER 4: STATES AND ACADEMICS APPROACHES TO THE RECOGNITION OF GOVERNMENTS PROBLEM. ............................................................................. 59 2 4.1. INTRODUCTION ....................................................................................... 59 4.2. STATE SOLUTIONS: THE SEVENTEENTH CENTURY .................................. 59 4.2.1. THE EFFECTIVE CONTROL DOCTRINE: AN OVERVIEW.......................... 60 4.2.2. CRITIQUE OF THE EFFECTIVE CONTROL DOCTRINE ............................. 61 4.3. STATE SOLUTIONS: THE EIGHTEENTH CENTURY ..................................... 64 4.3.1. THE THOMAS JEFFERSON APPROACH: AN OVERVIEW .......................... 65 4.3.2. CRITIQUE OF THOMAS JEFFERSON'S APPROACH .................................. 66 4.4. STATE SOLUTIONS: THE NINETEENTH CENTURY .................................... 68 4.4.1. THE CARLOS TOBAR DOCTRINE: AN OVERVIEW ................................... 69 4.4.2. CRITIQUE OF THE CARLOS TOBAR DOCTRINE ....................................... 70 4.5. STATE SOLUTION: THE TWENTIETH CENTURY ........................................ 71 4.5.1. THE GENARO ESTRADA DOCTRINE: AN OVERVIEW .............................. 72 4.5.2. CRITIQUE OF GENARO ESTRADA DOCTRINE ......................................... 73 4.6. RECENT PRACTICE: SCHOLAR SOLUTIONS .............................................. 75 4.6.1. DEMOCRATIC LEGITIMACY DEBATE: AN OVERVIEW ............................. 76 4.6.2. CRITIQUE OF DEMOCRATIC LEGITIMACY .............................................. 78 4.7. CONCLUSION .......................................................................................... 81 CHAPTER FIVE: COMPARATIVE STUDY OF THE EFFECTIVE CONTROL DOCTRINE AND DEMOCRATIC LEGITIMACY ..................................................................... 83 5.1. INTRODUCTION ...................................................................................... 83 5.2. IS THERE ANY CONNECTION BETWEEN THE EFFECTIVE CONTROL DOCTRINE AND DEMOCRATIC LEGITIMACY? .................................................................... 83 5.2.1. SIMILARITIES BETWEEN THE EFFECTIVE CONTROL DOCTRINE AND DEMOCRATIC LEGITIMACY ............................................................................. 84 5.2.1.1. CONNECTION TO CUSTOMARY INTERNATIONAL LAW PRINCIPLE ....... 84 5.2.1.2. ENSHRINED IN INTERNATIONAL LAW INSTRUMENTS ........................ 85 5.2.1.3. TESTED AND UNDERGONE DIFFERENT STATE PRACTICES ................. 85 5.2.2. DIFFERENCES BETWEEN THE EFFECTIVE CONTROL DOCTRINE AND DEMOCRATIC LEGITIMACY APPROACH ........................................................... 86 5.2.2.1. CONSTITUTIONALITY PROMOTION ..................................................... 86 5.2.2.2. CONSOLIDATION BY STATE ................................................................ 88 5.2.2.3. SELF-DETERMINATION PROMOTION .................................................. 90 5.3. COMPARATIVE STUDY DISCUSSION ......................................................... 93 5.3.1. DEMOCRATIC LEGITIMACY AS A SOLUTION AND SUSTAINABLE PRACTICE: THE DEMERITS .............................................................................................. 93 5.3.2. DEMOCRATIC LEGITIMACY AS A SOLUTION AND SUSTAINABLE PRACTICE: THE DEMERITS .............................................................................................. 98 5.3.3. CASE STUDY: HAITI (1991) .................................................................. 99 5.3.4. CASE STUDY: LIBYA (2011 TO 2019) .................................................. 104 5.4. COMPARATIVE STUDY DISCUSSIONS: DEMOCRATIC LEGITIMACY BARRIERS 113 5.5. CONCLUSION ........................................................................................ 119 CHAPTER SIX: TOWARDS AN EFFECTIVE SOLUTION: A MODIFIED EFFECTIVE CONTROL DOCTRINE.................................................................................... 120 6.1. INTRODUCTION ....................................................................................