Non-Expulsion and Non-Refoulement – The Prohibition against Removal of Refugees with Special Reference to Articles 32 and 33 of the 1951 Convention relating to the Status of Refugees
1 Scope of the Thesis 15
1.1 Purpose and Delimitation 15
1.2 Method and Materials 18
1.3 Some Terminological Remarks 19
2 Historical Background 22
2.1 The Main Refugee Movements in the Inter-War Period 22
2.1.1 The Armenians 24
2.1.2 The Assyrians and Assyro-Chaldeans 26
2.1.3 The Russians 27
2.1.4 Refugees from Western Europe 27
2.2 International Regulation of the Refugee Questions in the Inter-War Period 29
2.2.1 International Instruments dealing with the Refugee Question 31
2.2.2 The Definition of the Concept of Refugee 33
2.2.3 Expulsion and Forcible Return 35
2.3 The Period 1939-1951 46
2.3.1 1939-1946 46
2.3.2 The International Refugee Organization (1947-1951) 55
3 The concept of Refugee according to the 1951 Convention 59
3.1 Applicability of the Concept: Limitations 60
3.2 Well-Founded Fear 63
3.3 Persecution 65
3.4 Grounds for Persecution 69
3.5 "Outside His Country of Nationality" 73
3.6 Lack of Protection 75
3.6.1 Persons possessing a Nationality 76
3.6.2 Stateless Persons 77
3.6.3 Persons protected by Other UN Organs 78
3.6.4 Con-Nationals 79
3.7 Conclusion 81
PART ONE
NON-EXPULSION ACCORDING TO ARTICLE 32 OF THE 1951 CONVENTION 82
4 Material and Personal Scope 83
4.1 The Concept of Expulsion 83
4.2 "Lawfully in Their Territory" 87
4.3 The Concept of Refugee 92
4.3.1 Preliminary Issues 92
4.3.2 Doctrinal Approach: Essential Features 93
4.4 State Practice 96
4.4.1 Denmark 97
4.4.2 Finland 100
4.4.3 Norway 101
4.4.4 Sweden 102
4.4.5 Austria 104
4.4.6 Belgium 106
4.4.7 France 108
4.4.8 The Federal Republic of Germany 111
4.4.9 The Netherlands 114
4.4.10 Switzerland 114
4.4.11 The United Kingdom 116
4.4.12 Conclusion 119
4.5 Analysis 121
5 Grounds for Expulsion. The Concepts of National Security and Public Order 131
5.1 The Character of the Exceptions 132
5.2 The Concept of National Security 133
5.2.1 The Use of the Concept in Human Rights Treaties 134
5.2.1.1 The European Convention for the Protection of Human Rights and Fundamental
Freedoms 135
5.2.1.2 The International Covenant in Civil and Political Rights 138
5.2.1.3 The Inter-American System 140
5.2.2 Conclusion 144
5.3 The Concept of Public Order 144
5.4 State Practice 147
5.4.1 Denmark 147
5.4.2 Finland 149
5.4.3 Norway 150
5.4.4 Sweden 153
5.4.4.1 Expulsion on the Grounds that the Refugee has committed a Crime (Secs. 40-42)153
5.4.4.2 Expulsion of "Presumptive Terrorists" (Sec. 47) 155
5.4.4.3 Political Expulsion (Secs. 48 and 49) 156
5.4.5 Belgium 157
5.4.6 The Federal Republic of Germany 159
5.4.7 France 163
5.5 Analysis 165
PART TWO
THE PRINCIPLE OF NON-REFOULEMENT 171
6 Article 33 of the 1951 Convention 172
6.1 Prohibited Measures 175
6.1.1 General Issues 175
6.1.2 Doctrinal Approach 176
6.1.2.1 Non-Rejection at the Frontier 176
6.1.2.2 Non-Extradition 178
6.1.3 State Practice
6.1.3.1 The Nordic States 181
6.1.3.2 Other States 184
6.1.4 Analysis 200
6.2 The Degree of Persecution 206
6.2.1 Doctrinal Approach 206
6.2.2 State Practice 209
6.2.2.1 The Nordic States 209
6.2.2.2 Other States 214
6.2.3 Analysis 217
6.3 The Exceptions to the Prohibition: Article 33 (2) 219
6.3.1 A Danger to the Security of the Country 220
6.3.2 A Particularly Serious Crime constituting a Danger to the Community 221
6.3.2.1 A Final Judgment 222
6.3.2.2 The Crime 222
6.3.2.3 A Danger to the Community 227
6.3.2.4 State Practice 229
7 The Evolution of the Principle of Non-refoulement outside the 1951 Convention: Treaty Law 245
7.1 Development Within the Western European Sphere 246
7.2 The Development in Africa 249
7.3 The Development in the Americas 252
8 The Evolution of the Principle of Non-Refoulement outside Treaty Law 256
8.1 The Development Within the Council of Europe 256
8.2 The Development in Africa 258
8.3 The Development in Latin America 259
8.4 The Development in Asia 262
9 The Legal Character of the Principle of Non-refoulement 266
9.1 Doctrinal Approach 267
9.2 The Impact of Article 33 of the 1951 Convention 268
9.2.1 "A Fundamentally Norm-Creating Character" 268
9.2.2 Practice 272
9.2.2.1 Generality 272
9.2.2.2 Uniformity and Consistency 275
9.2.2.3 Opinio Iuris 278
9.3 Conclusion 279
CONCLUSION 281
10 Summary and General Criticism 281
10.1 Non-Expulsion 282
10.1.1 Applicability Ratione Personae 283
10.1.2 Applicability Ratione Materiae 284
10.1.3 Concluding Remarks regarding Article 32 285
10.3 Non-Refoulement 286
10.3.1 Article 33 of the 1951 Convention 286
10.3.1.1 Applicability Ratione Personae and Ratione Materiae 286
10.3.2 The Principle of Non-Refoulement as a Customary Rule of International Law 288
11 Recent Development 289
Bibliography 294
List of selected League of Nations and United Nations Documents 303
1 League of Nations 303
2 United Nations 304
Abbreviations
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