The African Union and the Responsibility to Protect: Lessons learnt from the 2011 United Nations Security Council intervention in Libya by Faith K. Mabera Student number 28195702 A dissertation submitted in fulfilment of the requirements for the degree Magister Artium (International Relations) Department of Political Sciences, Faculty of Humanities, University of Pretoria Supervisor: Dr YK Spies June 2014 © University of Pretoria Declaration I hereby declare that the dissertation submitted for the Magister Artium degree in International Relations at the University of Pretoria, apart from the help of the recognized, is my own work and has not been formerly submitted to another university for a degree. Faith K. Mabera June 2014 i © University of Pretoria ABSTRACT This study examines the extent to which Responsibility to Protect (R2P) principles are embedded in the African Union’s interventionist framework. The AU has been heralded as a trailblazer of R2P, enshrining its attendant principles in the Union’s 2000 Constitutive Act, five years before the emerging norm’s adoption by world leaders at the 2005 World Summit. However, in the case of the recent humanitarian crisis in Libya, and the UN Security Council’s subsequent intervention during 2011, the AU failed to invoke R2P, jettisoning Article 4(h) of its own Constitutive Act and insisting on a negotiated solution to the crisis. This position placed the Union on a collision course with several other regional organisations, notably the North Atlantic Treaty Organisation which assumed a leading role in the implementation of the UNSC mandate to intervene. The AU’s actions also placed into question the rhetoric- reality nexus of its responsibility to protect. At issue is thus the matter of norm localisation, and whether lack thereof and/or other challenges are inhibiting consolidation of R2P within the AU’s security culture. The study therefore traces the institutionalisation of the guiding tenets of R2P within the evolving AU Peace and Security Architecture, and investigates the operationalisation thereof (arguably the most contentious dimension to the global discourse on R2P) in the case of the 2011 UNSC intervention in Libya. Key terms: R2P, African Union, Africa, Libya, UNSC, humanitarian intervention, human security, norm localization. ii © University of Pretoria Acknowledgements First and foremost, my utmost appreciation is to my Lord and Heavenly Father who has granted me the sound mind, spirit of excellence and wisdom to bring this dissertation into fruition. Indeed He has been my Shepherd and Provider from beginning to end. My supervisor, Dr Yolanda K. Spies, whose invaluable guidance and inspiration has been the impetus for the finalization of this study. Her efforts have been priceless, timely and thorough in encouraging me to pursue excellence in my writing. A special note of appreciation also goes out to the staff of the Department of Political Sciences (University of Pretoria) who have been a constant source of support and encouragement during the compilation of the dissertation. I would also like to acknowledge the Asia Pacific Centre for the Responsibility to Protect at the University of Queensland, Australia. Of particular note are Prof Tim Dunne and Dr Charles Hunt who afforded me a research visit to the Centre that greatly enhanced my dissertation. My family have been a rock throughout this journey; my mother Dorcas, my dad (the late Zephaniah) whose unfaltering belief and sacrifices have driven me to new frontiers of success. My brothers Mobisa, Daniel, Duke, Jabez; and my sister Rachel who have cheered me on to realize my potential. Last but not least, I would like to thank all my friends for their assistance, support and prayers in the course of this dissertation. iii © University of Pretoria TABLE OF CONTENTS Page Declaration i Abstract ii Acknowledgements iii List of abbreviations and acronyms vii List of tables xi Chapter 1: Introduction 1.1. Identification of the research theme 1 1.2. Literature overview 4 1.2.1. General conceptual discourse on R2P 5 1.2.2. Theoretical accommodation of R2P within the AU 8 1.2.3. The UNSC’s 2011 intervention in Libya 12 1.3. Formulation and demarcation of the research problem 14 1.4. Research design and methodology 16 1.5. The structure of the research 17 Chapter 2: Conceptual Framework and Normative Evolution of the Responsibility to Protect 2.1. Introduction 19 2.2. Theoretical evolution of R2P 19 2.3. Positioning R2P within the human security paradigm 33 2.3.1. Overview of the human security paradigm 33 2.3.2. Interface between Human Security and R2P 33 2.4. R2P and the concept of Security Culture 36 2.5. R2P within the framework of norm diffusion and localization 40 2.5.1. Overview of perspectives on norm diffusion 40 2.5.2. Norm localization 41 2.5.3. Contextualizing R2P within norm localization 44 2.6. Conclusion 49 iv © University of Pretoria Chapter 3: The African Union and the Responsibility to Protect 3.1. Introduction 51 3.2. Overview of the nexus between the AU and R2P 51 3.3. The African Peace and Security Architecture (APSA) 58 3.3.1. Congruence between R2P and Article 4(h) and status of R2P in the AU 58 3.3.2. Operationalization of R2P: reality, challenges and future prospects 64 3.4. Conclusion 79 Chapter 4: The Uprising in Libya and the International Response to the Crisis 4.1. Introduction 81 4.2. Background to the crisis: a history of Libya 81 4.2.1. Libya, pre-Gaddafi 82 4.2.2. Libya under colonel Muammar al-Gaddafi 83 4.3. The 2011 Libyan uprising 87 4.4. International response to the Libyan uprising 89 4.5. Rationale for, and critique of, the International Response to the Libyan uprising 91 4.5.1. Build-up to the UNSC Resolution 1973 91 4.5.2. Resolution 1973, R2P and NATO’s involvement 95 4.6. UNSC deliberation on Resolution 1973 (2011) and normative implications for R2P 102 4.7. Conclusion 104 Chapter 5: The African Union’s Response to the 2011 Libya Crisis 5.1 Introduction 106 5.2 Intra-AU dialogue on Libya 106 5.2.1. Libya enters the APSA agenda 108 5.2.2. The AU High Level ad-hoc committee on Libya 112 5.2.3. Dialogue on Libya within the wider AU body 118 v © University of Pretoria 5.3. Non-permanent African member states on the UNSC during 2011 and the debate about intervention in Libya 122 5.3.1. South Africa’s, Nigeria’s and Gabon’s voting on Resolution 1973 123 5.3.2. Holistic perspective on the AU members’ UNSC behaviour 123 5.4 Accounting for the AU’s response to the Libyan crisis 130 5.5 Conclusion 139 Chapter 6: Conclusion and Recommendations 6.1. Introduction 140 6.2. Overview of the Research 140 6.3. Lessons learnt from the AU’s handling of the 2011 Libyan crisis: implications for norm localization of R2P 149 6.4. Summative Research Findings 163 6.5. Challenges experienced in the course of research 166 6.6. Recommendations for future research 166 6.7. Conclusion 167 7. Bibliography 169 Appendix 1: UNSC Resolution 1973 (Libya) 17 March 2011 213 Appendix 2: AU PSC Communiqué PSC/PR/COMM.2(CCLXV) 10 March 2011 220 Appendix 3: UNSC Resolution 1970 (Libya) 26 February 2011 223 vi © University of Pretoria ABBREVIATIONS/ACRONYMS ACHPR African Commission on Human and Peoples' Rights ACIRC African Capacity for Immediate Response to Crises AHSG Assembly of Heads of State and Government ALF Africa Leadership Forum AMIB African Union Mission in Burundi AMIS African Union Mission in Sudan AMISOM African Union Mission in Somalia ANC African National Congress APF Africa Peace Facility APR2P Asia Pacific Centre for the Responsibility to Protect APRM African Peer Review Mechanism APSA African Peace and Security Architecture ASF African Standby Force AU African Union AUC African Union Commission BBC British Broadcasting Corporation BPC Basic People’s Congress BRICS Brazil, Russia, India, China and South Africa CA Constitutive Act CADSP Common African Defence and Security Policy CAR Central African Republic CCR Centre for Conflict Resolution CEWS Continental Early Warning System CHS Commission on Human Security vii © University of Pretoria CIA Central Intelligence Agency CMD Conflict Management Division COMESA Common Market for Eastern and Southern Africa CSF ECCAS Standby Force CSSDCA Conference on Security, Stability, Development and Co-operation in Africa DAs Defence Attachés EASBRIGCOM Eastern African Standby Brigade Coordination Mechanism ECCAS Economic Community of Central African States ECOMOG ECOWAS Ceasefire Monitoring Group ECOWAS Economic Community of West African States ESCE Economic and Security Cooperation in Europe ESF ECOWAS Standby Force EU European Union FEWER Forum on Early Warning and Early Response GCC Gulf Cooperation Council GCR2P Global Centre for the Responsibility to Protect GPC General People’s Congress HIV human immunodeficiency virus HLP High Level Panel HRC Human Rights Council HRW Human Rights Watch IBSA India, Brazil and South Africa ICC International Criminal Court ICG International Crisis Group ICISS International Commission on Intervention and State Sovereignty ICRtoP International Coalition for the Responsibility to Protect viii © University of Pretoria IGAD Intergovernmental Authority for Development IGD Institute for Global Dialogue IHL International Humanitarian Law IHRL International Human Rights Law IISS International Institute for Strategic Studies IR International Relations ISS Institute for Security Studies JEM Justice and Equality Movement LAAICO Libyan Arab African Investment Company LAS League of Arab States LCG Libya Contact Group LRA Lord’s Resistance