DOCTORAL THESIS 2018
THE HUMAN RIGHTS-BASED APPROACH TO HUMAN TRAFFICKING IN INTERNATIONAL LAW: AN
ANALYSIS FROM A VICTIM PROTECTION PERSPECTIVE
Valentina Milano
DOCTORAL THESIS 2018
Doctoral Programme of Law
THE HUMAN RIGHTS-BASED APPROACH TO HUMAN TRAFFICKING IN INTERNATIONAL LAW: AN
ANALYSIS FROM A VICTIM PROTECTION PERSPECTIVE
Valentina Milano
Thesis Supervisor and Tutor: María Rosario Huesa Vinaixa
Doctor by the Universitat de les Illes Balears
Agradecimientos
Me gustaría expresar mi más profundo y sincero agradecimiento a todas aquellas personas que con su ayuda han colaborado en la realización de esta tesis. Sin duda, será imposible agradecer a todas las personas que con su apoyo, amistad y paciencia me han ayudado a encontrar el tiempo y la concentración necesaria para realizar este trabajo.
En especial, quiero agradecer a la Dra. Rosario Huesa Vinaixa, directora de esta investigación, por su orientación tan valiosa, por su supervisión continua, pero sobre todo por su indefectible disponibilidad y por la motivación y el apoyo que me ha proporcionado a lo largo de estos años.
También me gustaría agradecer a mis compañeros y compañeras del Departamento de Derecho Público de la Universitat de les Illes Balears por el apoyo y la ayuda que me han proporcionado, y especialmente a los compañeros y compañeras del Área de derecho internacional público. Asimismo, quiero agradecer a los profesores que me han acogido durante mi estancia de investigación en la Université Libre de Bruxelles.
Un agradecimiento especial merece la comprensión, paciencia y el apoyo recibidos de mi familia. Quiero agradecer de manera especial a mis hijas, Anouk y Claudia, por su paciencia durante mis momentos de ausencia y por su inmenso cariño, y a mis suegros, María Sampietro Solanes y Damià Ferrà-Ponç, por su cariño y por su ayuda tan valiosa.
Finalmente, un agradecimiento muy especial a mi marido, Pere Joan Pons Sampietro.
Esta tesis no habría sido posible sin su indefectible apoyo, su paciencia, su constante motivación y su dedicación a nuestras hijas durante tantos días y tantas noches. Nunca dejaré de agradecérselo.
Quiero dedicar esta tesis a mis padres, Domenico Milano y Maria Pennekamp: se lo debo todo a ellos, a su sabiduría y a su inmenso apoyo y cariño.
Summary:
International law has traditionally addressed human trafficking with law enforcement and immigration control strategies focused solely on criminalization and punishment, without addressing the aspects related to the protection of its victims. Realizing the extent to which this narrow approach has proved ineffective and even counterproductive, part of the international community has in the last few years endorsed a different approach to this phenomenon: the human rights-based approach to trafficking. This study undertakes an in-depth analysis of this concept, aimed at addressing the lack of clarity that prevails around the exact meaning and scope of this approach and its complexity as a tool that has the potential of changing the way the international community tackles this phenomenon. In part one, this study examines the main features of the human rights-based approach as initially developed within the United Nations in the context of development cooperation, to then turn to examine how this approach developed in the law of human trafficking at the universal and regional level. On that basis, it reaches conclusions on the theoretical foundations of the human rights-based approach to trafficking and proposes a systematization of its constituent elements and of the main requirements that stem from each of them. In part two, this study examines in more detail the extent to which this approach has effectively been incorporated in international law as far as the key aspects of trafficking victims’ protection are concerned – identification, protection, assistance, right to remain and repatriation –, focusing on both the instruments that declare assuming this approach and the pronouncements made by relevant international monitoring and judicial bodies. The study concludes, among others, that this approach significantly broadens the scope of States’ obligations on the protection of trafficking victims not only in terms of substantive human rights standards but also in relation to the strong requirements it sets out in terms of process. The potential of participation and accountability as key crosscutting aspects of this approach is highlighted. However, the study also demonstrates that even in the most advanced anti-trafficking instruments, the incorporation of this approach is still deficient in relation to a significant number of aspects. Hence, the protection of victims is not guaranteed.
Finally, the study concludes that this approach promotes greater coherence in the overall international law response to this phenomenon from the perspective of regime interaction.
Resumen:
El Derecho internacional ha abordado tradicionalmente la trata de personas con estrategias de tipo penal y de control migratorio centradas exclusivamente en la criminalización y el castigo, sin abordar los aspectos relacionados con la protección de sus víctimas. Constatando hasta qué punto este enfoque limitado ha demostrado ser ineficaz e incluso contraproducente, parte de la comunidad internacional ha emprendido en los últimos años un viraje hacia otro enfoque para abordar la trata de seres humanos: el enfoque basado en los derechos humanos. En este estudio, emprendemos un análisis en profundidad de este concepto, dirigido a abordar la falta de claridad que prevalece en torno al significado y alcance exacto de este enfoque aplicado a la trata y su complejidad como una herramienta que tiene el potencial de cambiar la forma en que la comunidad internacional aborda este fenómeno. En la primera parte de este estudio, examinamos los elementos constitutivos del enfoque basado en los derechos humanos elaborado inicialmente por las Naciones Unidas en el contexto de la cooperación para el desarrollo, para luego examinar cómo se ha desarrollado este enfoque en el Derecho internacional sobre la trata tanto en el ámbito universal como en el regional. Sobre esa base, llegamos a conclusiones sobre los fundamentos teóricos del enfoque basado en los derechos humanos en materia de trata y proponemos una sistematización de sus elementos constitutivos y de los principales requisitos que se derivan de cada uno de ellos. En la segunda parte del estudio, nos centramos en analizar en detalle en qué medida este enfoque se ha incorporado
adecuadamente al Derecho internacional sobre trata en lo que respecta a los principales aspectos de la protección de sus víctimas – la identificación, la protección y asistencia, el derecho a quedarse en el país de destino y la repatriación –, centrándonos en el examen tanto de los instrumentos que declaran asumir este enfoque como de los pronunciamientos de los organismos internacionales de supervisión y judiciales pertinentes. El estudio concluye, entre otras cosas, que este enfoque amplía significativamente el alcance de las obligaciones de los Estados en relación con la protección de las víctimas de la trata no solo en términos de normas sustantivas de derechos humanos, sino también en relación con los requisitos que establece en términos de proceso. Se destaca el potencial de los principios de participación y rendición de cuentas como aspectos transversales clave de este enfoque. Sin embargo, el estudio también demuestra que incluso en los instrumentos más avanzados en materia de trata de personas, la incorporación de este enfoque es aún insuficiente en relación con un número significativo de aspectos, por lo que la protección de las víctimas no queda garantizada. Finalmente, el estudio concluye que este enfoque promueve una mayor coherencia en la respuesta del Derecho internacional general a este fenómeno desde la perspectiva de la interacción entre sistemas.
Resum:
El dret internacional ha abordat tradicionalment el tràfic de persones amb estratègies de tipus penal i de control migratori centrades exclusivament en la criminalització i el càstig, sense abordar els aspectes relacionats amb la protecció de les seves víctimes. Constatant fins a quin punt aquest enfocament limitat ha demostrat ser ineficaç i fins i tot contraproduent, part de la comunitat internacional ha emprès en els últims anys un viratge cap a un altre enfocament per abordar el tràfic d'éssers humans: l'enfocament basat en els drets humans. En aquest estudi, emprenem una anàlisi en profunditat d'aquest concepte, dirigit a abordar la falta de claredat que preval al voltant del significat i abast exacte d'aquest enfocament aplicat al tràfic i la seva complexitat com una eina que té el potencial de canviar la forma en què la comunitat internacional aborda aquest fenomen. A la primera part d'aquest estudi, examinem els elements constitutius de l'enfocament basat en els drets humans elaborat inicialment per les Nacions Unides en el context de la cooperació per al desenvolupament, per a després examinar com s'ha desenvolupat aquest enfocament en el dret internacional sobre la tracta tant en l'àmbit universal com en el regional. Sobre aquesta base, hem arribat a conclusions sobre els fonaments teòrics de l'enfocament basat en els drets humans en matèria de tràfic i proposem una sistematització dels seus elements constitutius i dels principals requisits que es deriven de cada un d'ells. A la segona part d'aquest estudi, ens centrem en analitzar en detall en quina mesura aquest enfocament s'ha incorporat adequadament en el dret internacional sobre tracta pel que fa als principals aspectes de la protecció de les seves víctimes - la identificació, la protecció i assistència, el dret a quedar-se en el país de destinació i la repatriació -, centrant-nos en l'examen tant dels instruments que declaren assumir aquest enfocament com dels pronunciaments dels organismes internacionals de supervisió i judicials pertinents. L'estudi conclou, entre altres coses, que aquest enfocament amplia significativament l'abast de les obligacions dels Estats en relació amb la protecció de les víctimes del tràfic no només en termes de normes substantives de drets humans, sinó també en relació amb els requisits que estableix en termes de procés. Es destaca el potencial dels principis de participació i rendició de comptes com a aspectes transversals clau d'aquest enfocament. No obstant això, l'estudi també demostra que fins i tot en els instruments més avançats en matèria de tràfic de persones, la incorporació d'aquest enfocament és encara insuficient en relació amb un nombre significatiu d'aspectes, de manera que la protecció de les víctimes no queda garantida.
Finalment, l'estudi conclou que aquest enfocament promou una major coherència en la resposta del dret internacional general a aquest fenomen des de la perspectiva de la interacció entre sistemes.
List of publications relevant to the subject matter of the doctoral thesis
V. Milano, “Protección de las víctimas de trata con fines de explotación sexual: Estándares internacionales en materia de enfoque de derechos humanos y retos relativos a su aplicación en España”, Revista Electrónica de Estudios Internacionales, vol. 32, 2016, pp. 1-54
V. Milano, “The European Court of Human Rights’ Case Law on Human Trafficking in Light of L.E. v. Greece: a Disturbing Setback?”, Human Rights Law Review, vol. 17(4), 2017, pp.
701-727
V. Milano, “Uncovering labour exploitation: lights and shadows of the latest European Court of Human Rights’ case law on human trafficking”, Spanish Yearbook of International Law, vol. 21, 2017, pp. 83-117
V. Milano, “The International Law of Human Trafficking: At the Forefront of the Convergence between Transnational Criminal Law and International Human Rights Law?”, in P. De Hert, S.
Smis and M. Holvoet, Convergences and Divergences between International Human Rights Law, International Criminal Law and International Humanitarian Law, Intersentia (to be published in May 2018)
Table of contents
Abbreviations ... i
Introduction ... iii
Objectives ... vii
Methodology ... vii
PART I THE HUMAN RIGHTS-BASED APPROACH AND ITS PROGRESSIVE INCORPORATION IN THE INTERNATIONAL LAW OF HUMAN TRAFFICKING
CHAPTER I THE CONCEPT OF HUMAN RIGHTS-BASED APPROACH: ORIGINS AND CORE ELEMENTS 1. The concept of human rights-based approach ... 31.1. Origins ... 3
1.2. Introduction to the core elements ... 5
2. First core element: the realization of human rights as the main goal ... 7
3. Second core element: crosscutting human rights principles ... 8
3.1. Universality and inalienability; indivisibility; interdependence and interrelatedness ... 9
3.2. Equality and non-discrimination ... 9
3.3. Participation and inclusion ... 10
3.4. Accountability and the rule of law ... 12
4. Third core element: capacity building and empowerment as the main outcome ... 14
5. Conclusion ... 15
CHAPTER II UNIVERSAL INSTRUMENTS RELEVANT TO HUMAN TRAFFICKING: DIVERGING APPROACHES? 1. Specialized Treaties on Trafficking in the First Half of the 20th Century ... 18
1.1. Introduction ... 18
1.2. The first trafficking conventions ... 18
1.3. The 1949 Convention ... 21
2. Treaties Prohibiting Slavery, Servitude and Forced Labour ... 24
2.1. Introduction ... 24
2.2. Slavery and servitude ... 25
2.2.1. The regulatory framework from an historical perspective ... 25
2.2.2. Relevance of the 1926 definition ... 26
2.2.3. Identifying the scope of the definitions of slavery, practices similar to slavery and servitude ... 27
2.2.3.1. Slavery ... 27
2.2.3.2. Practices similar to slavery ... 30
2.2.3.3. Servitude ... 32
2.3. Forced or compulsory labour ... 34
2.3.1. The regulatory framework ... 34
2.3.2. The scope of the definition of forced labour ... 35
2.3.3. A change of perspective: the 2014 Protocol to the Forced Labour Convention .. 37
3. International Human Rights Instruments ... 39
3.1. Introduction ... 39
3.2. Human rights treaties ... 42
3.2.1. The Convention on the Elimination of All Forms of Discrimination Against Women ... 42
3.2.1.1. The Convention ... 42
3.2.1.2. Its interpretation by CEDAW ... 43
3.2.2. The Convention on the rights of the child and its Optional Protocols ... 45
3.2.3. Other international human rights treaties ... 46
3.3. Soft law instruments ... 49
3.3.1. The Recommended Principles and Guidelines on Human Rights and Human Trafficking ... 50
3.3.1.1. The first elaboration of a human rights-based approach to trafficking ... 51
3.3.1.2. The three Ps: prevention, protection and prosecution as the main goal ... 53
3.3.1.2.1. Origins of the three Ps ... 54
3.3.1.2.2. Content of the three Ps... 56
3.3.1.3. Crosscutting human rights principles ... 58
3.3.1.4. Capacity building and empowerment ... 61
3.3.2. Other soft law materials ... 63
4. International Humanitarian and Criminal Law ... 64
4.1. Introduction ... 64
4.2. The Rome Statute and the ICTY Kunarac case ... 66
4.3. Conclusion ... 69
5. Modern transnational criminal law: the Trafficking Protocol ... 71
5.1. Introduction ... 71
5.2. Origin and context of the Protocol ... 71
5.3. The Convention against Transnational Organized Crime and its relation with the Palermo Protocol ... 73
5.4. Overview of the Palermo Protocol ... 77
5.4.1. Content and approach ... 77
5.4.1.1. The three Ps ... 77
5.4.1.2. Crosscutting human rights principles and capacity-building ... 79
5.4.2. Material scope ... 81
5.5. Definition of trafficking ... 84
5.5.1. The action ... 86
5.5.2. The means ... 87
5.5.3. The purpose ... 88
CHAPTER III REGIONAL INSTRUMENTS RELEVANT TO HUMAN TRAFFICKING: CONVERGING APPROACHES? 1. An introduction to the regional normative frameworks relevant to trafficking ... 91
1.1 Regional human rights treaties and case law ... 91
1.2 Regional specialized anti-trafficking instruments ... 93
2. The Council of Europe Convention on human trafficking ... 96
2.1 Introduction ... 96
2.2 Material Scope ... 97
2.3 Content and approach ... 98
2.3.1 The Three Ps ... 98
2.3.1.1 Prevention ... 99
2.3.1.2 Protection ... 100
2.3.1.3 Prosecution ... 101
2.3.2 Crosscutting human rights principles ... 101
2.3.2.1 Equality and non-discrimination ... 102
2.3.2.2 Participation ... 102
2.3.2.3 Accountability and the rule of law ... 103
2.3.3 Capacity building and empowerment ... 105
3. The European Union law against Trafficking ... 107
3.1 Introduction ... 107
3.2 Material scope ... 111
3.3 Content and approach ... 112
3.3.1 The Three Ps ... 112
3.3.1.1 Prevention ... 113
3.3.1.2 Protection ... 114
3.3.1.3 Prosecution ... 115
3.3.2 Crosscutting human rights principles ... 116
3.3.3 Capacity building and empowerment ... 120
4. The relevance of regional human rights law: an emerging case law ... 121
4.1. Introduction ... 121
4.2. The case-law of the European Court of Human Rights ... 122
4.2.1. Siliadin ... 122
4.2.2 Rantsev ... 124
4.2.3 L.E. ... 128
4.2.4 J. and Others and Chowdury and Others ... 131
4.3 The Inter-American Court of Human Rights’ ruling in Hacienda Brazil Verde ... 135
4.3.1 On the prohibition of slavery, servitude, forced labour and trafficking in women 135 4.3.2 On States’ positive obligations ... 137
4.3.3 Conclusion ... 142
CHAPTER IV KEY FINDINGS ON THE CORE ASPECTS OF THE HUMAN RIGHTS- BASED APPROACH TO TRAFFICKING 1. Main features of the human rights-based approach to human trafficking ... 145
1.1. Following in the footsteps of the concept of human rights-based approach to development cooperation ... 145
1.1.1. International instruments’ source of inspiration ... 145
1.1.2. International bodies’ understanding of a human rights-based approach to trafficking ... 147
1.1.2.1. Working Group on Trafficking ... 147
1.1.2.2. Special Rapporteur on trafficking ... 148
1.1.2.3. CEDAW ... 149
1.1.2.4. EU Experts Group on Trafficking ... 149
1.1.2.5. GRETA ... 152
1.1.3. Conclusion ... 153
1.2. Systematizing the main features of a human rights-based approach to trafficking ... 154
1.2.1. A systematized description of the human rights-based approach to trafficking 154 1.2.2. A more exhaustive appraisal of its main core elements ... 155
1.2.2.1. Core element one: the realization of human rights as the main goal ... 156
1.2.2.2. Core element two: crosscutting human rights principles ... 158
1.2.2.3. Core element three: capacity building and empowerment as the main outcome ... 160
2. Extent to which the human rights-based approach has permeated the international law of human trafficking ... 162
2.1. The human rights-based approach from the perspective of the convergence and integration between international law regimes ... 162
2.2. Human rights-based approach and integration at the universal level ... 163
2.3. Human rights-based approach and integration at the regional level ... 164
PART II
ASSESSING THE CURRENT INTERNATIONAL LAW HUMAN RIGHTS-BASED RESPONSE TO HUMAN TRAFFICKING IN
THE AREA OF VICTIM PROTECTION
CHAPTER I
THE IDENTIFICATION OF TRAFFICKING VICTIMS
1. The obligation to identify victims ... 170
2. Elements of a timely and accurate identification ... 172
2.1. A proactive approach to identification ... 172
2.1.1. Why proactive identification and investigation are needed? ... 172
2.1.2. International instruments’ ambiguity ... 174
2.1.3. International bodies’ pronouncements at the universal level ... 175
2.1.3.1. Proactivity as a key feature of the due diligence duty ... 176
2.1.3.2. Various degrees of proactivity: individual identification duties v. systemic identification duties ... 179
2.1.4. International bodies’ pronouncements at the regional level ... 181
2.1.4.1. Proactively addressing systemic exploitation in key economic sectors ... 181
2.1.4.2. Serious failures in identification among irregular migrants and refugees ... 183
2.1.4.3. Proactive identification in the criminal justice system ... 184
2.1.5. International rulings: a prevalently weak contribution to proactive identification 184 2.1.5.1. CEDAW’s inadmissibility decision in Zhen Zhen Zheng ... 184
2.1.5.2. The European Court of Human Rights’ case law: a lack of coherence ... 186
2.1.5.2.1. The landmark Rantsev case and the theory of the foreseeable risk ... 186
2.1.5.2.2 Its subsequent trafficking case law: a regressive trend ... 188
2.2. National multi-stakeholders’ coordination and established procedures ... 192
2.2.1. International instruments ... 193
2.2.2. International bodies’ pronouncements ... 196
2.2.2.1. Multi-stakeholders’ cooperation and national referral mechanism ... 196
2.2.2.1.1. The need for a national referral mechanism ... 196
2.2.2.1.2. The key feature of the mechanism: a broadly-based composition ... 199
2.2.2.1.2.1. Universal bodies’ pronouncements ... 199
2.2.2.1.2.2. European bodies’ pronouncements... 203
2.2.2.1.2.3. The European Court of Human Rights’ failure to address this aspect 208 2.2.2.2. Established protocols and indicators ... 209
2.2.2.2.1. Universal bodies’ pronouncements ... 209
2.2.2.2.2. European bodies’ pronouncements ... 211
2.2.2.2.3. The European Court of Human Rights’ failure to address this aspect ... 213
2.2.2.3. Fair decision-making process ... 214
2.2.2.3.1. Low identification threshold and sufficient timeframe ... 214
2.2.2.3.2. The right to appeal... 216
3. Conclusion on the human rights-based response to identification ... 217
3.1. The obligation to identify ... 217
3.2. Substantive aspects of victim identification ... 218
3.2.1. Proactive approach ... 218
3.2.2. Multi-stakeholders cooperation and established protocols and indicators ... 220
3.2.3. Fair decision-making process ... 221
3.3. Crosscutting aspects of victim identification ... 221
CHAPTER II VICTIM PROTECTION AND ASSISTANCE 1. Non-punishment of trafficking victims ... 226
1.1. Context and current challenges ... 226
1.2. International instruments’ ambiguity ... 228
1.2.1. Non-prosecution only as a possibility? ... 228
1.2.2. Differences in terms of scope of liability, causal link and type of exemption ... 231
1.2.3. Does the irregular entry or stay deserve a differential treatment? ... 232
1.2.4. The almost unanimous silence on non-detention ... 233
1.3. International bodies’ pronouncements ... 235
1.3.1. Universal bodies’ strong stance on non-prosecution ... 235
1.3.1.1. Governmental bodies ... 235
1.3.1.2. Special procedures ... 237
1.3.1.3. Treaty bodies ... 238
1.3.2 European bodies’ overall weaker stance on non-prosecution ... 240
1.3.2.1. European non-judicial bodies ... 240
1.3.2.2. European Court of Human Rights ... 243
1.3.3. Universal bodies’ concerns about detention in prisons, in shelters and in migrants’ retention centres ... 244
1.3.3.1. The detention of adult victims ... 244
1.3.3.2. The detention of child victims ... 248
1.3.4. European bodies’ prevalent focus on detention in migrants’ retention centres . 249 1.3.4.1. European non-judicial bodies ... 249
1.3.4.2. The European Court of Human Rights ... 251
2. Non-conditionality and non-coercion in the provision of protection and assistance 252 2.1. International instruments ... 253
2.1.1. Non-conditionality: a partial recognition ... 253
2.1.2 Non-coercion: a weak recognition at the universal level ... 255
2.2. International bodies’ pronouncements ... 256
2.2.1. Non-conditionality ... 256
2.2.1.1. Universal bodies ... 256
2.2.1.2. European bodies ... 258
2.2.2. Non-coercion ... 261
3. Right to information and consular assistance ... 263
3.1. International instruments ... 263
3.1.1. Universal instruments’ weakness ... 263
3.1.2. The right to information in regional instruments ... 265
3.2. International bodies’ pronouncements ... 267
3.2.1. Universal bodies’ weak engagement with the right to information ... 267
3.2.2. European bodies’ considerable engagement with the right to information ... 268
3.2.3. International case law’s shortcomings ... 271
4. Recovery and reflection period ... 273
4.1. International instruments’ overall weakness ... 274
4.1.1. Universal instruments’ silence ... 274
4.1.2. The European Trafficking Convention ... 274
4.1.2.1. Main applicable standards ... 274
4.1.2.2. The complex relationship between Article 13(1) and 10(2) ... 275
4.1.3. The criminal law focus of EU law ... 277
4.2. International bodies’ pronouncements ... 278
4.2.1. Universal bodies’ engagement with the concept of recovery and reflection period ... 278
4.2.2. European bodies’ recommendations for further improvement ... 280
4.2.3. The European Court of Human Rights’ reference to the recovery and reflection period ... 284
5. Protection from further harm and the right to privacy ... 285
5.1. International instruments ... 285
5.1.1. Universal instruments’ ... 285
5.1.2. Regional instruments ... 288
5.2. International non-judicial bodies’ pronouncements ... 290
5.2.1. Protection from further harm ... 290
5.2.1.1. Universal bodies’ broad focus, in particular on protection in destination countries ... 290
5.2.1.2. European bodies’ broad focus, including on the impact of anti-migration policies ... 292
5.2.2. Protecting victims’ privacy ... 294
5.2.2.1. A generally weak focus at the universal level ... 294
5.2.2.2. European bodies’ engagement with victim’s privacy ... 297
5.3. The European Court of Human Rights’ narrow approach to protection needs. ... 298
6. Assistance and reintegration ... 300
6.1. International instruments ... 301
6.1.1. Discretionary assistance under universal instruments ... 301
6.1.2. Assistance as a binding requirement under the main regional instruments ... 303
6.2. International bodies’ pronouncements ... 307
6.2.1. Short term assistance: a call for significant improvements ... 307
6.2.1.1. Universal bodies ... 307
6.2.1.1.1. The Working Group on trafficking ... 307
6.2.1.1.2. The Special Rapporteur on trafficking ... 309
6.2.1.1.3. Treaty bodies ... 312
6.2.1.2. European bodies ... 314
6.2.1.2.1. EU Experts Group ... 314
6.2.1.2.2. GRETA ... 316
6.2.2. A unanimous call for long-term rehabilitation and reintegration ... 317
6.2.2.1. Universal bodies ... 317
6.2.2.2. European bodies ... 320
7. Conclusion on the human rights-based response to protection and assistance ... 323
7.1. Non-punishment ... 323
7.2. Non-conditionality and non-coercion ... 325
7.3. Right to information and consular assistance ... 326
7.4. Recovery and reflection period ... 327
7.5. Protection from further harm and the right to privacy ... 328
7.6. Assistance and reintegration ... 329
CHAPTER III RIGHT TO REMAIN AND TO A SAFE REPATRIATION 1. Residence permits ... 333
1.1. International instruments ... 334
1.1.1. Universal instruments ... 334
1.1.2. Regional instruments ... 335
1.2. International bodies’ pronouncements ... 337
1.2.1. An overview ... 337
1.2.2. Residence permits conditional upon cooperation: a major obstacle to protection ... ... 338
1.2.3. Proposals for additional grounds ... 341
1.2.3.1. Risks upon return? ... 341
1.2.3.2. Residence permits as a way to exercise the right to a remedy or as a form of remedy per se? ... 343
1.2.3.2.1. Residence permits as a way to exercise the right to a remedy ... 345
1.2.3.2.2. Residence permits and access to assistance as a form of remedy per se . 348 1.2.4. Obstacles in the access to residence permits that are not linked to conditionality ... ... 352
1.2.5. Difficulties arising once the residence permit has been granted ... 353
2. International protection ... 354
2.1. International instruments ... 354
2.1.1. A brief reference to refugee status in international law ... 355
2.1.2. International protection in anti-trafficking instruments ... 357
2.1.3. The UNHCR Guidelines on asylum for victims of trafficking ... 361
2.1.3.1. A well-founded fear of persecution ... 362
2.1.3.2. The agent and the place of persecution ... 362
2.1.3.3. The grounds of persecution ... 364
2.2. International bodies’ pronouncements and implementation practice ... 366
2.2.1. Adequate referral mechanisms between trafficking and asylum procedures ... 367
2.2.1.1. Universal bodies and organizations ... 368
2.2.1.2. European bodies ... 372
2.2.2. Continuity in the provision of support services in case of referral ... 376
2.2.3. Adequate recognition of persecution grounds applicable to victims of trafficking . ... 379
2.2.3.1. Trends in national legislation and case law ... 380
2.2.3.1.1. Women as a particular social group ... 380
2.2.3.1.2. Trafficking victims as a particular social group ... 381
2.2.3.2. Pronouncements by international bodies ... 385
2.2.3.2.1. Case law ... 385
2.2.3.2.1.1. UN treaty bodies ... 386
2.2.3.2.1.2. The ECtHR’s decisions ... 387
2.2.3.2.2. Non-judicial pronouncements ... 390
2.2.3.2.2.1. United Nations’ bodies ... 390
2.2.3.2.2.2. European bodies ... 393
3. Repatriation ... 396
3.1. International instruments ... 397
3.1.1. The right to return ... 398
3.1.2. A right to remain during legal proceedings? ... 400
3.1.3. The right to non-refoulement, non-revictimization and assisted return ... 401
3.1.3.1. The Palermo Protocol and the European Trafficking Convention ... 401
3.1.3.2. Trafficking Principles and Guidelines ... 402
3.1.3.3. EU law ... 404
3.1.3.4. Final remarks ... 407
3.1.4. The OSCE Guiding Principles on the Return of Trafficked Persons ... 408
3.2. International bodies’ pronouncements ... 410
3.2.1. The right to return ... 410
3.2.2. Safe and assisted return ... 411
3.2.2.1. Non-refoulement ... 411
3.2.2.2. Risk-assessments and other safeguards ... 413
3.2.2.3. Concerns in relation to recent EU policies on return ... 416
3.2.2.4. International cooperation in assessing and managing risk ... 418
3.2.2.5. Dublin transfers: risk-assessment within the EU? ... 420
3.2.2.5.1. Case-law by the ECtHR and the CJEU ... 420 3.2.2.5.2. Applicability to human trafficking ... 424 3.2.3. Due process in the adoption of a return decision ... 426 3.2.3.1. The right to legal representation ... 427 3.2.3.2. The right to be heard in a return procedure ... 428 3.2.3.3. The right to appeal a return decision ... 431 3.2.4. Need for a regulatory framework specific to trafficking victims’ return ... 433 4. Conclusion on the right to remain and a safe repatriation ... 434 4.1. Residence Permits ... 434 4.2. International protection ... 437 4.3. Repatriation ... 438
CONCLUSIONS
1. A systematization of the theoretical framework underpinning the human rights- based approach to trafficking ... 441 2. A progressive incorporation of human rights-based victim protection standards in anti-trafficking instruments ... 442 2.1. Aspects where the human rights-based approach is consolidated ... 443 2.2. Aspects where the human rights-based approach is partially consolidated ... 443 2.3. Aspects that have still not been addressed under a human rights-based approach .. 444 2.4. An assessment of crosscutting principles ... 445 3. The effects of the human rights-based approach in the area of trafficking victim protection ... 446 3.1. Effects on the content of States’ obligations ... 446 3.1.1. Clarifying the scope of States’ human rights obligations ... 446 3.1.2. From discretion to specificity: a move towards more operational standards ... 446 3.1.3. Broadening victim protection and State responsibility ... 447 3.1.3.1. Horizontally: from one P to three Ps through a victim-centred approach .... 447 3.1.3.2. Vertically: from the individual/superficial to the systemic/root causes ... 448 3.1.3.3. Bottom-up and top-down processes as key elements for the empowerment of non-governmental actors ... 448 3.2. Effects on the interaction between different regimes: towards integration? ... 449 3.2.1. In relation to the elaboration of norms ... 449 3.2.2. In relation to the interpretation and monitoring of norms ... 450 4. Potential effects beyond the area of human trafficking: a contribution towards reducing fragmentation in international law? ... 452
REFERENCE MATERIAL AND BIBLIOGRAPHY
1. Legal Instruments ... 455 International ... 455 National ... 462 2. Reports and other documents ... 463 International governmental organizations: universal level ... 463 International governmental organizations: regional level ... 477 National governmental organizations and bodies ... 482 International and national non-governmental organizations ... 483 3. Table of cases ... 485 International cases at the universal level ... 485 International cases at the regional level ... 486 National cases ... 491 4. Scholarly literature ... 493 Treatises ... 493 Monographs ... 493 Chapters in monographs ... 496 Articles in journals... 499 Commentaries and other contributions in specialized web sources ... 510 Working papers and other documents ... 512
Table of Common Abbreviations
ACHR American Convention on Human Rights
ACHPR African Charter on Human and Peoples’ Rights ASEAN
AA Association of Southeast Asian Nations BOE Boletín Oficial del Estado (Spain) CAT Committee on Torture
CESCR Committee on Economic, Social and Cultural Rights
CEDAW Committee on the Elimination of Discrimination against Women CERD Committee on the Elimination of Racial Discrimination
CFREU Charter of Fundamental Rights of the European Union CJEU Court of Justice of the European Union
CMW Committee on Migrant Workers CRC Committee on the Rights of the Child CoE Council of Europe
CTS Consolidated Treaty Series (1698-1919) ECHR European Convention on Human Rights ECtHR European Court of Human Rights
EU European Union
GRETA Group of Experts on Action against Trafficking in Human Beings HRC Human Rights Committee
IACtHR Inter-American Court of Human Rights
ICCPR International Covenant on Civil and Political Rights
ICESCR International Covenant on Economic, Social and Cultural Rights ICJ International Court of Justice
ILC International Law Commission ILO International Labour Organization IOM International Organization for Migration LNTS League of Nations Treaty Series
NGO Non-Governmental Organization NRM National Referral Mechanism
OHCHR Office of the High Commissioner for Human Rights OSCE Organization for Security and Cooperation in Europe
UN United Nations
UNHCR Office of the High Commissioner for Refugees UNODC United Nations Office on Drugs and Crime
UNTOC United Nations Convention against Transnational Organized Crime UNTS United Nations Treaty Series
VCLT Vienna Convention on the Law of Treaties
ii
Introduction
Is human trafficking foremost a hateful crime, which calls for a strong and concerted response against organized criminal networks? Or is it primarily a grave human rights violation that requires placing the protection of victims as the utmost priority? Human trafficking is a complex and global phenomenon that affects every country and region of the world1 and consists in the transfer and forced exploitation of women, men and children within a country, between neighbouring countries or across different continents. It has a tremendous impact on individuals and communities primarily in terms of human rights, organized crime, safe migration and decent labour. In the UN 2030 Agenda for Sustainable Development2, the New York Declaration for Refugees and Migrants3 and in the framework of the on-going negotiations of the Global Compact for Safe, Regular and Orderly Migration4, States recognized that human trafficking is a phenomenon of increasing concern and committed to take more effective action to eradicate it.
Whereas sexual and labour exploitation remain the most prominent forms of exploitation, human trafficking can also force victims into other exploitative activities such as begging, sham marriages, criminal activities including theft or drug dealing, pornography production or the removal of organs5. According to ILO, there are at least 2,4 million trafficked persons in the world at any given time6. Despite men’s trafficking being on the rise, women are still disproportionately affected by this phenomenon. Women and girls represent 71% of the victims detected worldwide7, and 80% of the victims moved to or within Western Europe, where 95% of them end up exploited in prostitution8. On the contrary, traffickers are prevalently men, even if trafficking is the area of organized crime where the presence of
1 UNDC, Global Report on Trafficking in Persons, 2016, Sales nº E.16.IV.6 (UNODC Global Report 2016), p. 5.
2 UN General Assembly, Transforming our world: the 2030 Agenda for Sustainable Development, Resolution 70/1, 25 September 2015: under targets 5.2, 8.7 and 16.2, States commit eradicate trafficking for sexual and other forms of exploitation as a form of violence against women, to end the trafficking of children and more broadly to take effective measures against forced labour, slavery and human trafficking.
3 UN General Assembly, New York Declaration for Refugees and Migrants, Resolution 71/1,19 September 2016, paras. 23, 29, 34-36, 58 and 60.
4 The intergovernmental negotiations for the Global Compact for Safe, Regular and Orderly Migration have started in New York on 5 February 2018 and will conclude on 13 July 2018; see UN General Assembly, Modalities for the Intergovernmental Conference to Adopt the Global Compact for Safe, Orderly and Regular Migration, Resolution 72/244, 22 January 2018.
5 UNODC Global Report 2016, p. 8. For more information on current trends in human trafficking, see UNODC Global Report 2016 and EU, European Commission, Eurostat, “Trafficking in Human Beings”, 2015 (Eurostat Trafficking Report 2015).
6 ILO, ILO Action against trafficking in human beings, 2008, p. 1. More recent ILO figures indicate that 40,3 million people are trapped into some form of forced exploitation that includes trafficking, forced labour and slavery. Among these, 14,5 are victims of forced marriage; in ILO and Walk Free Foundation, Global Estimates of Modern Slavery: Forced Labour and Forced Marriage, 2017, pp. 9-10. This is an enormous increase when compared to the figures published earlier by ILO according to which there where an estimated 12.3 million people in forced labour around the world in 2005 and 20,9 million people in 2012; in ILO, A Global Alliance against Forced Labour, 2005; and ILO, Global Estimates of Forced Labour: Results and Methodology, 2012, p. 13.
7 UNODC Global Report 2016, p. 23.
8 Eurostat Trafficking Report 2015, pp. 10-11.
iv
women among perpetrators is higher, because former victims exploited during years or decades end-up becoming themselves exploiters9.
Another extremely worrying trend reveals that more and more girls are being trafficked: while in 2004 they represented 10% of victims worldwide, this percentage has doubled in few years, reaching an alarming 20% in 201410. Finally, as the second most lucrative illicit business worldwide behind drug trafficking, human trafficking would generate around 31,700 million euros per year11.
In this tragic context of large-scale exploitation often referred to as “modern slavery”, the response of the international community has been largely ineffective, allowing trafficking to continue to flourish as a low-risk, high-profit activity for criminals12. From the perspective of the criminal prosecution of this crime, results are stagnating at a low level worldwide13. In Europe, the level of prosecutions and convictions is also worryingly low, where States fail to engage in effective investigations14. In terms of prevention, there is a lack of specialized training and a lack of measures to reduce demand15, while the provision of unconditional access to assistance, support and protection to victims remains a challenge for most European States: trafficking remains an ‘invisible crime’, as the number of identified victims remains low, and victims are still frequently refused assistance at police stations or misidentified as offenders, and subsequently prosecuted and convicted16.
Why has the international law response been that ineffective? Traditionally, trafficking activities have been exclusively categorized as crimes and tackled with law enforcement strategies focused solely on criminalization and punishment, without addressing the aspects related to prevention of this phenomenon and to the protection of its victims. The main obstacle to an effective international law response is the fact that human trafficking lays at the intersection of international human rights law and transnational criminal law. It is certainly a criminal activity, often perpetrated by transnational organized groups and involving the use of violence and corruption. A criminal justice or “law and order” response is undoubtedly required. From the international law perspective, criminal justice matters are dealt with by transnational criminal law, which promotes “the indirect suppression by international law, through domestic penal law, of criminal activities that have actual or potential trans-boundaries effects”17. As opposed to international criminal law stricto sensu, where the penal proscription is international, the so-called crime control conventions, the typical transnational criminal law instrument, establish “prohibition regimes”18 which are to be implemented at the national level, mainly through adapting national criminal law in order to “minimize or eliminate the potential
9 Ibid., p. 13. Worldwide, this percentage is slightly lower: 63%; in UNODC Global Report 2016, p. 34.
10 UNODC Global Report 2016, p. 25.
11 ILO, A Global Alliance against Forced Labour, 2005, p. 55.
12 UNODC Global Report 2014, p. 1.
13 UNODC Global Report 2016, p. 50-53.
14 European Commission, Report on the progress made in the fight against trafficking in human beings (2016), COM(2016) 267 final, p. 10; and Council of Europe, Group of Experts on Action against Trafficking in Human Beings (GRETA), 4th General Report on GRETA’s Activities (2015), para 33.
15 European Commission, Report on the progress made in the fight..., cit., p. 13. At the global level, no data are provided on States’ prevention and protection efforts.
16 Ibid., pp. 11-12.
17 N. Boister, “Transnational Criminal Law?”, European Journal of International Law, vol.14(5), 2003, pp. 955.
18 E. A. Nadelman, “Global Prohibition Regimes: The Evolution of Norms in International Society”, International Organization, vol. 44(4), 1990, p. 479.
havens from which certain crimes can be committed and to which criminals can flee to escape prosecution and punishment”19.
But human trafficking is also a human rights issue, a severe and multi-faceted one where various human rights violations occur at different stages of the trafficking cycle. Firstly, trafficking frequently finds its origins in situations where human rights violations are widespread: root causes of trafficking include poverty, gender, racial and other kinds of discrimination, and violence and insecurity linked to armed conflict or climate change.
Secondly, persons who become trafficked suffer from a wide range of violations of their fundamental rights, which often include the right not to be held in slavery or servitude, the right to freedom from forced labour, the right to life, the right to freedom from violence and discrimination based on gender, race and other grounds, the right to liberty and security of the person, the right to be free from cruel, inhuman or degrading treatment, the right to freedom of movement, the right to privacy and the right to just and favourable conditions of work. Thirdly, trafficked persons who escape their situation are typically subject to human rights violations at the hands of governments, i.e. to re-victimization. This is particularly so in the context of traditional criminal law responses that tend to treat them as irregular migrants, giving priority to detention, prosecution and expulsion of trafficking victims in violation of their basic rights as victims of a serious crime, including their right to be free from arbitrary detention, the right to non-refoulement, the right to life and the right to access effective remedies.20 Alternatively, they are treated as “disposable witnesses” who deserve protection only to the extent that they may be useful to trafficking investigations and prosecutions.
Yet, these two bodies of law’s responses to the human trafficking phenomenon remained fully separated during the whole twentieth century, with the discouraging results we have referred to.
On the one hand, the five trafficking-specific treaties adopted during the last century focused heavily on the criminalization and prosecution of trafficking, omitting any consideration of victims’ rights. The consequences for victims in terms of lack of protection have been and continue to be devastating, as will be explored in detail in this study. Also, the failures of this approach in terms of traffickers’ prosecution are patent: very few convictions have resulted from this narrow approach. On the other hand, international human rights law remained almost silent. Apart from two limited prohibitions directed specifically at women and children21, international human rights law does not include a general prohibition of human trafficking. The twentieth century certainly marks the failure of international human rights law to address human trafficking as a human rights abuse22.
In this context, the adoption in 2000 of the UN Protocol to Prevent, Suppress and Punish Trafficking in Persons23 (Palermo Protocol) marks a limited but still significant change of course. The adoption of the Protocol resulted in a first reticent convergence between these two branches of law. One of the main achievements of this instrument is certainly the adoption of the first internationally agreed definition of trafficking, a definition that should be praised for
19 Ibid., 481. On the development of transnational criminal law as a separate category of international law, see N.
Boister, “Transnational Criminal Law?”, cit., pp. 953-976; and generally N. Boister and R. J. Currie (Eds.), Routledge Handbook of Transnational Criminal Law, Routledge, 2015.
20 Ibid.
21 Article 6 of the Convention on the Elimination of All Forms of Discrimination against Women (adopted 18.12.1979, entered into force 03.09.1981) 1249 UNTS 13 (CEDAW), and Article 35 of the Convention on the Rights of the Child (adopted 20.11.1989, entered into force 02.09.1990) 1577 UNTS 3 (CRC).
22 On this point, see E. M. Bruch,“Models Wanted: The Search for an Effective Response to Human Trafficking”, Stanford Journal of International Law,vol.40(1), 2004, p. 11.
23 Protocol to Prevent, Suppress and Punish Trafficking in Persons, Especially Women and Children, supplementing the United Nations Convention against Transnational Organized Crime (adopted 15.11.2000, entered into force 25.12.2003) 2237 UNTS 319.
vi
being much broader than what previous anti-trafficking convention had determined. All of them had exclusively addressed the trafficking of women and, for some of them, of children, and only for the purpose of sexual exploitation. The definition established in the Palermo Protocol, incorporated in all anti-trafficking treaties subsequently adopted, refers to women, men and children and includes a wide-ranging and open-ended list of exploitative purposes24. However, the main weakness of the Palermo Protocol lies in the perpetuation of the clear predominance of a criminal law focus. While prevention and protection have been included alongside prosecution, provisions on the former aspects are particularly weak. In particular, provisions on victim protection are mostly non-binding.
Disappointed with this narrow focus, and in a context where the notion of “human rights-based approach” was emerging in other areas of international cooperation – i.e. development cooperation –, a certain number of States and international organizations developed separate instruments that significantly broadened the perspective from which trafficking is understood and addressed, referred to as the “human rights-based approach to trafficking”. This effort is mainly reflected in a soft law instrument developed at the universal level, the Principles and Guidelines on Human Rights and Human Trafficking25, and in two binding instruments adopted at the regional level: the European Trafficking Convention26 and the European Union Trafficking Directive27.
The analysis of the human rights-based approach to trafficking from a victim protection perspective is the object of this study. In essence, this approach introduces a new paradigm for addressing human trafficking. According to its main underlying idea, adding to the current criminal investigation and prosecution component a strong focus on human rights protection and prevention will be key to addressing the ineffectiveness of the current anti-trafficking international legal response, since this will trigger two essential changes. First, it will promote respect for victim’s rights, which is a fundamental objective per se. International law requires States to fulfil their basic international human rights law obligations vis-à-vis victims, departing from the current trend of re-victimization at the hands of State authorities. And second, it will be key to achieving more effective results in terms of prevention and prosecution. In terms of prevention, because the vulnerability of victims triggered by the lack of protective measures is what allows traffickers to recruit, exploit and maintain victims in a situation of exploitation: the fact that what awaits victims when turning to authorities is far from constituting a safe option plays into the hands of traffickers. And in terms of prosecution, because only guarantees of meaningful protection will constitute a sufficient motivation for victims to take the significant risks linked to escaping and thereafter pressing charges and/or acting as witnesses against their traffickers. Clearly, only strong protection can support strong prosecutions.
24 Article 3(a) defines trafficking in persons as follows: “the recruitment, transportation, transfer, harbouring or receipt of persons, by means of the threat or use of force or other forms of coercion, of abduction, of fraud, of deception, of the abuse of power or of a position of vulnerability or of the giving or receiving of payments or benefits to achieve the consent of a person having control over another person, for the purpose of exploitation.
Exploitation shall include, at a minimum, the exploitation of the prostitution of others or other forms of sexual exploitation, forced labour or services, slavery or practices similar to slavery, servitude or the removal of organs”.
25 Recommended Principles and Guidelines on Human Rights and Human Trafficking, Report of the United Nations High Commissioner for Human Rights to the Economic and Social Council, Addendum, E/2002/68/Add.1, 2002.
26 Council of Europe Convention on Action against Trafficking in Human Beings, adopted on 16 May 2005, CETS nº 197 (European Trafficking Convention).
27 Directive 2011/36/EU of the European Parliament and of the Council of 5 April 2011 on preventing and combating trafficking in human beings and protecting its victims and replacing Council Framework Decision 2002/629/JHA, O.J. L 101/1, 15.04.2011 (Trafficking Directive).
Objectives
Despite being recurrently referred to in anti-trafficking documents, the human rights-based approach to trafficking has not been the subject of an in-depth analysis. While international and scholarly studies have essentially focused on one aspect of this approach - the need to address the prevention, protection and prosecution aspects of trafficking in a balanced way - there are other aspects to this approach that make it a more complex and powerful concept. The latter have been generally overlooked. The way this approach is referred to in most instruments, policy documents as well as in international bodies’ pronouncements and in scholarly literature reflects a vague or partial understanding of its actual scope. This is a considerable obstacle to its proper implementation, to a genuine debate on its effective value and to a proper evaluation of the extent to which States that adhered to this approach actually comply with it. As a specialist scholar recently argued, “the acknowledgement that the approach to trafficking should be human rights based is so general as to be virtually meaningless”28 or, in the same vein, “the argument for a human rights-based approach to trafficking has remained a vague statement”29.
The present study aims at addressing this gap. Considering that this approach has the potential of transforming the way international law addresses the trafficking phenomenon by, fundamentally, empowering victims, the objective of this study is to provide more clarity on the meaning and scope of this approach, in relation to both its theoretical foundation and its practical translation into legal rules and standards as currently reflected in the most advanced anti-trafficking international instruments. In particular, this study aims at responding to the following questions:
- What is a human rights-based approach to trafficking in international law? What are its core elements and corresponding requirements?
- What are the main contributions and weaknesses of this approach in the area of trafficking victims’ protection as currently reflected in international law at the universal and regional level? To what extent can this approach be considered as sufficiently consolidated in the current state of development of international law?
- What are the effects of this approach on the scope of States’ obligations in the area of victim protection?
- What are the effects of this approach on the interaction between international law regimes relevant to human trafficking and on their potential convergence?
Methodology
In order to meet these objectives, this study is structured in two parts. Part I is devoted to exploring the concept of human rights-based approach to trafficking in international law, its theoretical foundations, constituent elements and ensuing requirements. Part II consists in an analysis of the area of trafficking victims’ protection aimed at identifying the extent to which the core elements and requirements of this approach as identified under Part I are adequately reflected in the anti-trafficking international instruments that declare adopting such an approach, as well as in the positions taken by international bodies that exercise monitoring or jurisdictional functions in this area.
28 V. Stoyanova, Human Trafficking and Slavery Reconsidered, Conceptual Limits and States’ Positive Obligations in European Law, Cambridge University Press, 2017, p. 5.
29 Ibid.
viii
In terms of methodology, Part I starts by examining the theoretical concept of human rights- based approach in international law. It undertakes a detailed examination of the UN agreement that first described this approach: the UN Common Understanding that emerged in the area of development cooperation in 2003. On that basis, it identifies the core constituent elements of this approach. Thereafter, it examines how the concept of human rights-based approach has been understood and reflected in the main international anti-trafficking instruments both at the universal and regional level, focusing on whether these instruments incorporate the core elements of this approach as identified under point 1. Finally, some key findings are presented on the extent to which the human rights-based approach to trafficking responds to the same core elements of the approach captured in the 2003 UN Common Understanding in the area of development cooperation, and what the specificities of this approach are in the area of human trafficking.
As far as Part II is concerned, its objective is to undertake a more detailed analysis of the human trafficking’s legal framework in order to assess the extent to which the human rights- based approach has been effectively incorporated in the most advanced instruments, and the most important challenges this incorporation poses. Undoubtedly, the extension of this subject inevitably led us to circumscribe the object of our study to a particular aspect of the anti- trafficking legal framework. In that context, we chose to focus our analysis on the second of the three Ps – prevention, protection and prosecution – that make up this framework: the duty to protect trafficking victims. Relevant reports suggest that this aspect is still not adequately addressed in the vast majority of countries around the word, especially because of the persistence of an approach that focuses exclusively on prosecuting traffickers and on curbing irregular immigration at the expenses of a human rights-based approach that integrates the identification and protection of victims into the criminal and immigration strategies. It is clear from these reports that failures in terms of victims’ protection are particularly serious at border posts and in asylum application and return procedures. Pushbacks and the lack of proactive identification mechanisms at the border as well as the frequent refusal of asylum requests or residence permits based on trafficking-related persecution grounds are some of the aspects that are causing the greatest concerns at the international and European level, as will be explored in details in Part II. Therefore, we have decided to focus our analysis in the area of victim protection. Two main reasons for doing so should be highlighted. Firstly, it is the most distinctive aspect of this approach: a human rights-based approach to trafficking calls for putting the protection of victims at the centre of all anti-trafficking interventions and for considering it the utmost priority in case of conflicting interests. And secondly, it is the aspect that shows the most lacunae and requires more efforts on the part of States and all other stakeholders involved.
The analysis of the victim protection legal framework under Part II will be conducted according to the following methodology. It will focus on two categories of legal materials.
First, we will examine the legal obligations established in the current international human rights-based anti-trafficking instruments, mainly the Trafficking Principles and Guidelines, the European Trafficking Convention, the EU Trafficking Directive and the ILO 2014 Protocol to the Forced Labour Convention30. However, instruments that do not take such an approach, mainly the Palermo Protocol or the recent ASEAN Anti-trafficking Convention31, will also often be referred to in order to highlight the differences between the provisions that take a strictly criminal law approach and those that reflect a broader human rights-based approach.
30 Protocol of 2014 to the Forced Labour Convention of 1930, adopted 11 June 2014, n. P029.
31 ASEAN Convention against Trafficking in Persons, Especially Women and Children, adopted on 21 November 2015 in Kuala Lumpur, Malaysia.
Secondly, we will examine the pronouncements issued by international bodies with a monitoring, judicial or quasi-judicial function in the area of human trafficking. In this context, this research explores to a possibly unprecedented extent the contribution of international bodies to the interpretation, consolidation or weakening of this approach, providing detailed insight on the way bodies such as the UN Working Group on Trafficking, UN special procedures, UN treaty bodies, GRETA, the EU Expert Group on trafficking, the European Court of Human Rights and the Inter-American Court of Human Rights have interpreted the scope of States’ obligations in this area.
The core elements and requirements of a human rights-based approach identified under Part I will be used as a reference to assess whether the current international law human rights-based response to trafficking victims’ protection is adequate, both from the perspective of the way it has been transposed in international instruments and the way it is being interpreted and applied by international judicial and non-judicial bodies. Do the first or the second, or the combination of both, provide an adequate response to the protection of victims of trafficking from a human rights-based perspective?
Finally, and on the basis of that review, we will identify the main positive contributions of the current international law human rights-based response to trafficking, but also its main weaknesses. In that context, we will formulate proposals on the way these weaknesses can be addressed in order for the mentioned international legal framework to more effectively comply with the substantive and procedural requirements of a human rights-based approach to trafficking.
Before concluding this section on methodology, we wish to provide some further clarifications on what is to be found in this study and what is not. We already established that this study addresses the prevention and prosecution of trafficking only to a limited extent: in the context of the analysis of what the human rights-based approach means and requires (under Part I) but not in the more detailed analysis carried out in Part II, which is exclusively devoted to the protection of trafficking victims. However, the latter serves as a test bench to which the new paradigm is applied, allowing us to draw conclusions that can be extrapolated to the overall anti-trafficking international framework.
In the same line, a couple of additional clarifications are required. First, the important issue of victims’ right to an effective remedy and to compensation has been addressed only to a limited extent under the section on residence permits for trafficking victims. While this is certainly an important aspect of victim protection, it has, however, been left out of the scope of this study since this aspect lies at the intersection between protection and prosecution, where a number of aspects of this right are linked to the effective setting-up and functioning of the judicial system.
Therefore, we considered that it went beyond the scope of this analysis.
Secondly, we wish to clarify the extent to which this study addresses the protection of child trafficking victims. As this is not a study specifically devoted to child victims, it will not reach the level of specialty a study solely devoted to that group would achieve. This being said, this study addresses the protection of child trafficking victims and the extent to which minors require a differentiated treatment. The particular challenges posed by the protection of child trafficking victims have been systematically acknowledged in the course of this study, highlighting the particular requirements set out in positive law and the way these have been interpreted and developed by relevant international bodies, in particular the Committee on the rights of the child. It therefore provides valuable information on what the implications of a
x
human rights-based approach to trafficking are for the protection of the most vulnerable victims of this crime: children.
PART I
THE HUMAN RIGHTS-BASED APPROACH AND ITS
PROGRESSIVE INCORPORATION IN THE INTERNATIONAL
LAW OF HUMAN TRAFFICKING
2
