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Sydney <strong>Law</strong> School<br />

Legal Studies Research Paper<br />

No. 11/59<br />

September 2011<br />

<strong>Climate</strong> <strong>Change</strong>, <strong>Sovereignty</strong> <strong>and</strong> <strong>Statehood</strong><br />

Rosemary Rayfuse <strong>and</strong> Emily Crawford<br />

This paper can be downloaded without charge from the<br />

Social Science Research Network Electronic Library<br />

at: http://ssrn.com/abstract=1931466.<br />

Electronic copy available at: http://ssrn.com/abstract=1931466


1<br />

Chapter 10<br />

<strong>Climate</strong> <strong>Change</strong>, <strong>Sovereignty</strong> <strong>and</strong> <strong>Statehood</strong><br />

Rosemary Rayfuse <strong>and</strong> Emily Crawford<br />

10.1 Introduction 1<br />

<strong>Climate</strong> change presents a unique threat to the territorial integrity of states,<br />

indeed, to the very notion of statehood itself. As the Intergovernmental Panel on<br />

<strong>Climate</strong> <strong>Change</strong> has noted, climate change will affect the physical territory of states in a<br />

number of ways, such as the loss of viable eco-systems due to desertification, increased<br />

soil salinity, flooding of coastal <strong>and</strong> low-lying regions or loss of reliable access to l<strong>and</strong><br />

due to increased severe weather events such as hurricanes. 2 Coastal states, in particular<br />

those with low-lying coastal areas, will also be affected by permanent loss of l<strong>and</strong><br />

through shoreline erosion caused by extreme weather events <strong>and</strong> sea-level rise. 3<br />

Moreover, it has been recognised that by rendering some inhabited l<strong>and</strong> incapable of<br />

sustaining human habitation, climate change will also result in the forced migration of<br />

some or all of a population from their l<strong>and</strong>s. 4<br />

At the extreme end of the scale, climate change induced territorial degradation<br />

coupled with climate change induced migration may threaten the very existence of some<br />

states. 5 In particular, it has been suggested that by the end of this century a number of<br />

1 This chapter emanated, in part, from work undertaken, in my capacity as research associate, for<br />

Professor Jane McAdam, under her Australian Research Council Discovery Grant ‘Weathering<br />

Uncertainty: <strong>Climate</strong> <strong>Change</strong> “Refugees” <strong>and</strong> <strong>International</strong> <strong>Law</strong>’.<br />

2 IPCC, The Physical Science Basis: Contribution of Working Group I to the Fourth Assessment Report<br />

of the Intergovernmental Panel on <strong>Climate</strong> <strong>Change</strong> (2007), 13. V.O. Kolmannskog, Future Floods of<br />

Refugees: A Comment on <strong>Climate</strong> <strong>Change</strong>, Conflict <strong>and</strong> F orced Migration (Oslo: Norwegian Refugee<br />

Council 2008) 13-16.<br />

3 A. Oliver-Smith, ‘<strong>Climate</strong> <strong>Change</strong> <strong>and</strong> Population Displacement: Disasters <strong>and</strong> Diasporas in the<br />

Twenty-First Century’, in S. Crate <strong>and</strong> M. Nuttal (eds), Anthropology a nd C limate C hange (Walnut<br />

Creek, California: Left Coast Press, Inc. 2009)<br />

4 Intergovernmental Panel on <strong>Climate</strong> <strong>Change</strong> (IPCC), <strong>Climate</strong> <strong>Change</strong>: The IPCC Scientific Assessment:<br />

Final Report of Working Group I, (NY: Cambridge University Press 1990).<br />

5 See, N. Myers, ‘Environmental Refugees in a Globally Warmed World’, in Intergovernmental Panel on<br />

<strong>Climate</strong> <strong>Change</strong> (eds), Third A ssessment R eport of t he I ntergovernmental P anel on <strong>Climate</strong> <strong>Change</strong><br />

(Cambridge: Cambridge University Press 2001). In 2005, Myers revised his estimate to up to 200 million:<br />

N. Myers, ‘Environmental Refugees: An Emergent Security Issue’ (2005), paper given at the OSCE 13 th<br />

Economic Forum, Prague, 23-27 May 2005, EF.NGO/4/05, available at:<br />

Electronic copy available at: http://ssrn.com/abstract=1931466


2<br />

low-lying small isl<strong>and</strong> states such as Tuvalu, Kiribati, the Marshall Isl<strong>and</strong>s <strong>and</strong> the<br />

Maldives, may be rendered totally uninhabitable due to sea level rise. 6 This begs the<br />

question as to the continued statehood of these entities. In light of these sometimes dire<br />

predictions, this chapter examines the challenges posed by climate change to the<br />

international law on statehood. It does so in the context of analysis of the legal<br />

construction of statehood, how the law regulates the dissolution of states, <strong>and</strong> whether<br />

the law is adequately positioned to deal with the threat to statehood <strong>and</strong> sovereignty<br />

posed by climate change.<br />

10.2 <strong>Statehood</strong> <strong>and</strong> <strong>Sovereignty</strong><br />

Fundamental to the contemporary international legal system is the concept of the<br />

state. States are both the subject <strong>and</strong> primary object of international law. States possess<br />

ultimate rights of participation in both the creation of international law <strong>and</strong> in the<br />

construction <strong>and</strong> operation of the international legal system. 7<br />

The hallmark of the modern state is described by the terminology of sovereignty<br />

which, among other things, means the right to exercise supreme, independent authority<br />

or jurisdiction over a piece of territory. 8 There are limitations on this territorial<br />

; revising the number again to 250 million<br />

in 2007 - Interview with Christian Aid, Human Tide: The Real Migration Crisis (14 March 2007). Cf, R.<br />

Black (2001), ‘Environmental Refugees: Myth or Reality?’, New Issues in Refugee Research, Working<br />

Paper 34, 1; S. Castles (2002), ‘Environmental <strong>Change</strong> <strong>and</strong> Forced Migration’, New Issues in Refugee<br />

Research, Working Paper 70, 1. See J. Barnett (2001), ‘Security <strong>and</strong> <strong>Climate</strong> <strong>Change</strong>’, Tyndall Centre<br />

Working Paper 7, 1-17, 8, available at<br />

http://waterwiki.net/images/4/4e/Security_<strong>and</strong>_<strong>Climate</strong>_change.pdf.<br />

6<br />

IPCC, <strong>Climate</strong> <strong>Change</strong>: T he I PCC S cientific A ssessment: Final R eport of W orking G roup I,<br />

(Cambridge: Cambridge University Press 2007), section 5.5, available at<br />

. The IPCC’s Fourth Assessment<br />

Report (AR4) predicted that by 2100, global warming will lead to a sea level rise of 180 to 590 mm,<br />

depending on which of six possible world scenarios comes to pass, <strong>and</strong> barring rapid dynamical changes<br />

in ice flow. See IPCC (2007), ‘Projected global average surface warming <strong>and</strong> sea level rise at the end of<br />

the 21st century, Table SPM.3’, available at . More recent research, which has observed rapid declines in ice mass balance from both<br />

Greenl<strong>and</strong> <strong>and</strong> Antarctica, finds that sea-level rise by 2100 may be considerably higher than that<br />

estimated in IPCC AR4, with an upper limit of about two meters. See I. Allison et al., (2009), The<br />

Copenhagen D iagnosis, 20 09: Updating t he W orld on t he L atest C limate Sc ience, available at<br />

.<br />

7 As stated by Ian Brownlie, “the fact remains that since 1945 the existence of States has provided the<br />

basis of the [international] legal order”. I. Brownlie, ‘Rebirth of <strong>Statehood</strong>’ in M. Evans (ed), Aspects of<br />

<strong>Statehood</strong> <strong>and</strong> Institutionalism in Contemporary Europe (1996) 5.<br />

88 See the judgment of Huber in the Isl<strong>and</strong> of Palmas case, where he stated that “sovereignty in relation to<br />

a portion of the surface of the globe is the legal condition necessary for the inclusion of such portion in<br />

the territory of any particular state” [2 RIAA 829, 838 (1928)].<br />

Electronic copy available at: http://ssrn.com/abstract=1931466


3<br />

sovereignty 9 ; however, for the most part, a sovereign state has considerable<br />

discretionary latitude regarding the conduct of affairs within its territory. 10<br />

<strong>Sovereignty</strong> <strong>and</strong> the ability to exercise jurisdiction over people <strong>and</strong> events also<br />

extends, in varying degrees, to a states’ maritime zones. <strong>International</strong> law relating to<br />

entitlement to maritime zones is set out in the 1982 <strong>Law</strong> of the Sea Convention<br />

(LOSC). 11 All coastal states are entitled to certain maritime zones - internal waters, a<br />

territorial sea, an exclusive economic zone, a continental shelf <strong>and</strong>, where the<br />

geomorphological conditions exist, an extended continental shelf. Within each of these<br />

zones states exercise varying degrees of sovereignty. Internal waters are wholly under<br />

the jurisdiction <strong>and</strong> sovereignty of a state <strong>and</strong> may be equated, for present purposes, to a<br />

piece of territory. 12 Within the territorial sea, a coastal state exercises complete<br />

sovereignty, subject only to a right of innocent passage for foreign ships. 13 In the<br />

exclusive economic zone a coastal state enjoys sovereign rights for the exploration <strong>and</strong><br />

exploitation of living <strong>and</strong> non-living natural resources of the water column, 14 while on<br />

the continental shelf the state enjoys sovereign rights for the exploration <strong>and</strong><br />

exploitation of the natural resources of the seabed <strong>and</strong> subsoil. 15 Beyond the areas<br />

under the national jurisdiction of states lie the ‘global commons’. Here, the high seas<br />

water column is subject to an open access regime of equal right of user, while the deep<br />

seabed, known as ‘the Area’, 16 is governed by the <strong>International</strong> Seabed Authority<br />

9 The international law regarding human rights, the conduct of hostilities <strong>and</strong> diplomatic, consular <strong>and</strong><br />

head-of-state immunities, all serve as limits on the acts of states within their own territory: “[a] body of<br />

substantive rules ranging from human rights issues to control over the use of military force… have<br />

limited the freedom of law action by States in detail… sovereignty is no longer absolute.” C. Schreuer,<br />

‘The Waning of the Sovereign State: Towards a New Paradigm for <strong>International</strong> <strong>Law</strong>?’, 4 EJIL (1993)<br />

447-471.<br />

10 See the Lotus Case: “the first <strong>and</strong> foremost restriction imposed by international law upon a State is that<br />

– failing the existence of a permissive rule to the contrary – it may not exercise its power in any form in<br />

the territory of another State. In this sense, jurisdiction is certainly territorial; it cannot be exercise by a<br />

State outside its territory except by virtue of a permissive rule derived from international custom or from<br />

a convention” SS Lotus (France v Turkey) [1927] PCIJ Series A No. 10, 18-20.<br />

11 United Nations Convention on the <strong>Law</strong> of the Sea, 10 December 1982, into force 16 November 1994.<br />

21 <strong>International</strong> Legal Materials 1245 (1982)<br />

12 LOSC Art 8<br />

13 LOSC Art 17<br />

14 LOSC Art 56<br />

15 LOSC Art 77<br />

16 Defined as ‘the sea-bed <strong>and</strong> ocean floor <strong>and</strong> subsoil thereof, beyond the limits of national jurisdiction”.<br />

LOSC Art 1(1)


4<br />

(ISBA). 17 Within the global commons states exercise exclusive jurisdiction over their<br />

vessels <strong>and</strong> their nationals. 18<br />

10.2.1 The <strong>Law</strong> on the Creation of States<br />

The exercise of sovereignty <strong>and</strong> sovereign rights is contingent on statehood.<br />

While there is on-going debate regarding the scope of the criteria for statehood, 19 the<br />

generally accepted formulation of those criteria is contained in Article 1 of the<br />

Montevideo Convention on the Rights <strong>and</strong> Duties of States which provides: 20<br />

The State as a person of international law should possess the following<br />

qualifications:<br />

(a) A permanent population;<br />

(b) A defined territory;<br />

(c) Government; <strong>and</strong><br />

(d) Capacity to enter into relations with other states. 21<br />

With regards to population, no minimum is set for numbers; a state is a state<br />

even if its population numbers less than one thous<strong>and</strong>. 22 The law likewise does not<br />

prescribe the physical scope of territory necessary; as Franck <strong>and</strong> Hoffman note<br />

‘infinitesimal smallness has never been seen as a reason to deny self-determination to a<br />

17 Established pursuant to LOSC Art 156. All states parties to the LOSC are members of the ISBA which<br />

is headquartered in Kingston, Jamaica.<br />

18 LOSC Art 87<br />

19 See T. Grant, ‘The Montevideo Convention <strong>and</strong> its Discontents’(1999) 37 Columbia J ournal o f<br />

Transnational <strong>Law</strong> 403, 434; comments in the ILC by Scelle in (1949) 62 ILC Yearbook, para 70; Special<br />

Rapporteur Alfaro, SR on the draft Declaration on the Rights <strong>and</strong> Duties of States, (1949) 68 ILC<br />

Yearbook, para 63; see also, J. Duursma, Fragmentation <strong>and</strong> the <strong>International</strong> Relations of Micro-States<br />

(Cambridge: Cambridge University Press 1996) 112-115 for an overview of critiques of the Montevideo<br />

criteria.<br />

20 See D. Harris, Cases <strong>and</strong> Materials on <strong>International</strong> <strong>Law</strong> (6 th ed, London: Sweet <strong>and</strong> Maxwell, 2004)<br />

99.<br />

21 Montevideo Convention on the Rights <strong>and</strong> Duties of States, 165 LNTS 19. See also the Arbitration<br />

Commission of the European Conference on Yugoslavia in Opinion No. 1 where it was noted that “the<br />

state is commonly defined as a community which consists of a territory <strong>and</strong> a population subject to an<br />

organized political authority… [<strong>and</strong> that] such a state is characterized by sovereignty.’ (Commission<br />

established pursuant to the Declaration of 27 August 1991 of the European Community, Bull EC 7/8<br />

(1991); 92 ILR 162-165.<br />

22 As is the case with Vatican City; see J. Crawford, The Creation of States in <strong>International</strong> <strong>Law</strong> (2 nd ed,<br />

Oxford: Oxford University Press 2006) 52.


5<br />

population.’ 23 The requirement of ‘government’ is understood as the existence of an<br />

effective government, independent from the influence or control of other states. Finally,<br />

capacity to enter into relation with other states is an amalgam of government <strong>and</strong><br />

independence, namely the ability to operate as an independent entity on the global stage,<br />

able to engage in legal relations with other entities under international law.<br />

To be accepted as a sovereign state under international law, one must, at the very<br />

least, display the above criteria. However, if, having acquired the Montevideo criteria, a<br />

state ‘loses’ of or more of the criteria – say, an effective government – does this mean<br />

that the state no longer exists? Indeed, climate change threatens to deprive some states<br />

of some of the key Montevideo criteria – namely, territory. Does that mean these states<br />

will, under international law, cease being states? Much as states can be created under<br />

international law, so too can they cease to exist. Thus, an analysis of the law on the<br />

dissolution of states is relevant to this chapter.<br />

10.2.2 The <strong>Law</strong> on the Dissolution of States<br />

The law on the dissolution of states provides that states may be dissolved as a<br />

consequence of merger with another state, 24 absorption into an existing state, 25<br />

annexation, 26 or dismemberment of an existing state. 27 However, in the history of the<br />

UN, there have been almost no incidents of total extinction, either voluntary or<br />

involuntary, of a state. 28 States have endured, in some form or another, but almost none<br />

have ceased to exists in their entirety. Thus, the presumption under international law is<br />

towards continuance of some kind – either as part of another, pre-existing state, or an<br />

entirely new successor state. 29 A distinct body of law regarding the parameters of the<br />

continuance of states exists. It consists of the customary law on state succession,<br />

23 T. Franck <strong>and</strong> P. Hoffman, ‘The right of self-determination in very small places’, (1976) 8 New York<br />

University Journal of <strong>Law</strong> <strong>and</strong> Politics 331-386, 383-384.<br />

24 This was the case with the creation of the Republic of Yemen in May 1990, formed through the merger<br />

of North <strong>and</strong> South Yemen; see Crawford, Creation of States, above n 21, 716.<br />

25 As was the case with the German Democratic Republic (East Germany) which voluntarily became part<br />

of the Federal Republic of Germany (West Germany): see Crawford, Creation of States, above n 20, 705.<br />

26 Of historical note only, annexation of territory by another state is illegal under international law, under<br />

Article 2(4) of the UN Charter; this was reaffirmed by the UN Security Council following the Iraqi<br />

invasion of Kuwait in 1990, SC Res 662, UN Doc S/RES/662 (1990). See also Crawford, Creation of<br />

States, above n 21, 702-703.<br />

27 For instance, as with the break-up of Czechoslovakia in 1993, into Slovakia <strong>and</strong> the Czech Republic.<br />

28 Crawford, Creation of States, above n 21, 701.<br />

29 K .Marek, Identity <strong>and</strong> Continuity of States in Public <strong>International</strong> <strong>Law</strong>, 2nd ed (1968), pp 199-36;<br />

Crawford, Creation of States, above n 21, 667-668.


6<br />

universally held as complex <strong>and</strong> frequently unsettled; 30 <strong>and</strong> the treaty rules on state<br />

succession, which include the Vienna Convention on Succession of States in Respect of<br />

Treaties 31 , <strong>and</strong> the Vienna Convention on Succession of States in Respect of State<br />

Property, Archives <strong>and</strong> Debts. 32<br />

While a significant proportion of the law is not directly pertinent to the current<br />

analysis of climate change <strong>and</strong> the challenge to statehood, we can, nonetheless, draw<br />

some general principles <strong>and</strong> rules regarding state dissolution <strong>and</strong> succession from these<br />

instruments, <strong>and</strong> from state practice. Keeping in mind the presumption of continuity,<br />

<strong>and</strong> mindful of the “principles of free consent, good faith <strong>and</strong> pacta sunt serv<strong>and</strong>a”, 33<br />

any State or States involved in the process of succession or dissolution must conclude<br />

so-called ‘devolution agreements’, 34 in order to determine which of the treaty<br />

obligations of the predecessor state will devolve the successor state. A dissolving state<br />

should arrange, in advance if possible, the exact contours of its obligations under treaty<br />

law, <strong>and</strong> with regards to its debts <strong>and</strong> property <strong>and</strong> so on, to ensure that the dissolving<br />

state fulfils its obligations under law, <strong>and</strong> that the successor state is aware of its new,<br />

<strong>and</strong> continuing, obligations. Thus, the law operates with a strong presumption towards<br />

the state enduring as a legal entity in some form, continuing its obligations under treaty.<br />

However, in the context of the possible dissolution of a state due to climate<br />

change, the law on state succession can only provide guidance up to a point. The most<br />

pressing issue for states facing extinction due to climate change is not, arguably,<br />

questions of treaty obligations <strong>and</strong> debts, but rather, the very existence of the state<br />

altogether. The law on state dissolution <strong>and</strong> succession, as it st<strong>and</strong>s, is designed to deal<br />

with a state voluntarily changing its borders, changing its government, the extent of its<br />

territorial control, <strong>and</strong> reconstituting itself in an altered but still recognisable form.<br />

Central to this paradigm is that such reconstitution is always essentially within, or at<br />

30 See the comment made by the German Federal Supreme Court in the Espionage Prosecution Case: “the<br />

problem of State succession is one of the most disputed areas of international law.” Case No. 2 BG 38/91,<br />

94 <strong>International</strong> L aw R eports, p. 68 et seq., at pp. 77-8. See generally M. Shaw, ‘State Succession<br />

Revisited’, 5 Finnish Y.B. Int'l L. 34-98 (1994) <strong>and</strong> M Craven, ‘The Problem of State Succession <strong>and</strong> the<br />

Identity of States under <strong>International</strong> <strong>Law</strong>’, 9 EJIL 142-162 (1998).<br />

31 17 ILM (1978) 1488.<br />

32 22 ILM (1983) 306.<br />

33 Preamble, Vienna Convention on Succession of States in Respect of Treaties.<br />

34 Article 8, Vienna Convention on Succession of States in Respect of Treaties.


7<br />

least contiguous with, the territory in which the predecessor state originally existed. 35<br />

That is to say, none of the states that have dealt with the process of dissolution were<br />

also confronted with the prospect of losing their territory altogether, of the territory<br />

ceasing to exist. Thus, when the Former Yugoslavia began to break up, Slovenia <strong>and</strong><br />

Croatia reconstituted themselves within the boundaries of what had been ‘Yugoslavia’.<br />

They were not forced to arbitrarily choose some other part of Europe, or some other<br />

continent, to establish the new state.<br />

This total loss of territory is the prospect facing small isl<strong>and</strong> nations. Should<br />

climate change result in total population displacement from a small isl<strong>and</strong>, either<br />

because of rising sea levels or extreme weather events making habitation unsustainable,<br />

the nation in question will be forced to ab<strong>and</strong>on that territory entirely. They have not<br />

chosen to dissolve their state, but they nonetheless have lost fundamental Montevideo<br />

criteria – a permanent population living in a defined territory under effective control.<br />

Can the state, in this instance, still be considered a state? If an entire nation was<br />

submerged, <strong>and</strong> the population relocated, would the nation still exist in its ‘new’ form?<br />

Would a semi-autonomous region within another sovereign state, or an artificial isl<strong>and</strong>,<br />

still be Tuvalu or the Maldives? It is this question that lies at the heart of the challenge<br />

to international law <strong>and</strong> statehood presented by climate change.<br />

10.3 <strong>Climate</strong> <strong>Change</strong> as a Threat to <strong>Sovereignty</strong> <strong>and</strong> <strong>Statehood</strong> – Resolving the<br />

<strong>Statehood</strong> Dilemma<br />

Can states still ‘exist’ separate from their territory? The decision in the Isl<strong>and</strong> of<br />

Palmas arbitration, would seem to answer in the negative:<br />

Although municipal law, thanks to its complete judicial system, is able to<br />

recognize abstract rights of property as existing apart from any material display of<br />

them, it has none the less limited their effect by the principles of prescription <strong>and</strong><br />

the protection of possession. <strong>International</strong> law, the structure of which is not based<br />

on any super-State organisation, cannot be presumed to reduce a right such as<br />

35 Indeed, a number of definitions <strong>and</strong> explanations regarding state succession specifically frame the<br />

concept in terms of territory – see, for instance D. O’Connell, who defines succession as a ‘transfer of<br />

territory from one national community to another’ (State Succession in Municipal <strong>Law</strong> <strong>and</strong> <strong>International</strong><br />

<strong>Law</strong>, 2 Vols. (1967), vol 1, 3) – this draws on the terminology of the 1978 Vienna Convention, in Article<br />

2(1)(a).


8<br />

territorial sovereignty, with which almost all international relations are bound up,<br />

to the category of an abstract right, without concrete manifestations. 36<br />

However, despite such a seemingly definitive position, state practice would<br />

suggest otherwise. There is precedent for the endurance of the state in a somewhat<br />

abstract form in the guise of the ‘government in exile’. If the government of a state has<br />

been forcibly displaced from its territory through belligerent occupation, the<br />

government in question is considered to remain the legitimate government <strong>and</strong> state,<br />

<strong>and</strong> thus retains its international personality, even though it does not have possession or<br />

jurisdictional control over either its population or its territory. Under international law,<br />

such exile must be accepted by the international community; that is, there should be no<br />

general acknowledgement of a change of circumstances. The government in exile must<br />

retain its accreditation with other governments <strong>and</strong> continue its representations in<br />

international organisations. 37<br />

Historically, governments in exile have legitimately adopted treaties, entered<br />

into contracts <strong>and</strong> maintained diplomatic relations during their exile. 38 While some of<br />

the literature suggests that a government in exile must receive the unequivocal support<br />

of the international community, 39 practice has demonstrated that this need not be the<br />

case. For example, the UN Secretary-General, in his capacity as depository, allowed the<br />

Cambodian governments-in-exile 40 to sign a number of multi-lateral treaties, including<br />

the <strong>International</strong> Covenant on Civil <strong>and</strong> Political Rights 41 <strong>and</strong> on Economic, Social <strong>and</strong><br />

Cultural Rights, 42 despite protests from states who chose instead to recognise the<br />

Government of the People’s Republic of Kampuchea as the only entity to be considered<br />

as the government of Cambodia. 43<br />

36 The Isl<strong>and</strong> of Palmas Arbitration (Netherl<strong>and</strong>s v United States) (1928), 2 RIAA 829, [839].<br />

37 Crawford, Creation of States, above n 21, 691-692.<br />

38 See for example the conduct of the European governments-in-exile during the Second World War, such<br />

as France, Belgium, <strong>and</strong> Czechoslovakia; as enumerated in F.E. Oppenheimer, ‘Governments <strong>and</strong><br />

Authorities in Exile’(1942) 36 American Journal of <strong>International</strong> <strong>Law</strong> 568-593.<br />

39 See Crawford, Creation of States, above n. 21, 691-692.<br />

40 The Government of Democratic Kampuchea (GDK) <strong>and</strong> the Coalition Government of Democratic<br />

Kampuchea (CGDK).<br />

41 <strong>International</strong> Covenant on Civil <strong>and</strong> Political Rights, 999 UNTS 171, hereinafter ICCPR.<br />

42 <strong>International</strong> Covenant on Economic, Social <strong>and</strong> Cultural Rights, 993 UNTS 3, hereinafter ICESCR.<br />

43 Including Pol<strong>and</strong>, Laos, Hungary <strong>and</strong> Bulgaria. See further S. Talmon, Recognition of Governments in<br />

<strong>International</strong> <strong>Law</strong>: With Particular Reference to Governments in Exile (Oxford: Oxford University Press<br />

1998) 117-206.


9<br />

In this respect, it is possible to see that the Montevideo criteria are not merely a<br />

stringent set of rules that must be fulfilled, but rather that there is some fluidity <strong>and</strong><br />

leeway in how such rules are to be applied. Interconnected as the Montevideo criteria<br />

are, 44 they are nonetheless mutable elements; differing weights <strong>and</strong> values attach to<br />

these indicia depending on context. Thus, a state may exist even if it lacks exactly<br />

defined territory 45 or an effective government. 46 Even so-called ‘failed states’, where<br />

all form of government <strong>and</strong> civil order seem to have disappeared, remains a state, even<br />

if only ‘on paper’. 47 Indeed, the terminology of ‘failed’ states is an essentially political,<br />

rather than legal, term; a state thus described has not ceased to exist from a legal<br />

st<strong>and</strong>point. 48 Thus, if it is possible to conceive of governments in exile, or states that<br />

remains states, even in the absence of key criteria, it may therefore be possible to<br />

conceive of ‘States in exile’ – theoretical constructs without dominion over their<br />

original territory, because such territory has been lost. Indeed, as Grant has noted:<br />

Territory is not necessary to statehood, at least after statehood has been<br />

established… [it] appears to be the case that once an entity has established itself in<br />

international society as a state, it does not lose statehood by losing its territory or<br />

effective control over that territory. 49<br />

However, the above examples stem from instances where the territory has been<br />

temporarily ‘lost’ – either due to disputes over the boundaries, foreign occupation, or a<br />

temporary breakdown of governmental organisation. None of these situations deal<br />

44 See H Lauterpacht, who stated that without territory “there can be no stable <strong>and</strong> effective government”,<br />

in Recognition in <strong>International</strong> <strong>Law</strong> (1947) 30. For similar reflections on the interconnections between<br />

territory, government <strong>and</strong> populations, see N Hill, Claims to Territory in <strong>International</strong> <strong>Law</strong> <strong>and</strong> Relations<br />

(1945) 4; J Duursma, Fragmentation <strong>and</strong> the <strong>International</strong> Relations of Micro-States (1996) 117.<br />

45 This is the case with Israel, for instance, whose borders have been indeterminate since founding in<br />

1948. See further Crawford, Creation of States, above n 21, 421-446.<br />

46 The classic case on effective government <strong>and</strong> statehood is the Åal<strong>and</strong> Isl<strong>and</strong>s case, where the<br />

<strong>International</strong> Committee of Jurists, tasked with determining the status of the Isl<strong>and</strong>s, found that it was not<br />

possible to pinpoint the date of Finnish sovereignty “until a stable political organisation had been created,<br />

<strong>and</strong> until the public authorities had become strong enough to assert themselves throughout the territories<br />

of the state without the assistance of the foreign troops.” LNOJ SP Supp No $ (1920) 8-9.<br />

47 Such as Somalia, considered a ‘failed’ state since the collapse of central government in 1991. See<br />

further N.L. Wallace-Bruce, ‘Of Collapsed, Dysfunctional <strong>and</strong> Disoriented States: Challenges to<br />

<strong>International</strong> <strong>Law</strong>’, (2000) 47 Netherl<strong>and</strong>s <strong>International</strong> <strong>Law</strong> Review 53-73, 61.<br />

48 For a critique of the prevalence of the term ‘failed’ state, see G. Acquaviva, ‘Subjects of <strong>International</strong><br />

<strong>Law</strong>: A Power-Based Analysis’ (2005) 38 V<strong>and</strong>erbilt J ournal of T ransnational L aw 345-396; <strong>and</strong><br />

Crawford, Creation of States, 720-723.<br />

49 Grant, ‘Defining <strong>Statehood</strong>’, 435.


10<br />

adequately with the involuntary permanent removal of the population from its territory.<br />

There is some international law dealing with partial intra-state population displacement<br />

– the law relating to internally displaced persons. The UN High Commissioner for<br />

Refugees includes, in its m<strong>and</strong>ate, the issue of internally displaced persons. 50 However,<br />

there is little precedent regarding total population displacement. One must also be<br />

mindful that the states facing displacement also face losing all the rights that come with<br />

territory – access to the marine <strong>and</strong> l<strong>and</strong> resources within the territorial control of the<br />

state.<br />

Two alternatives suggest themselves. One is that the population is relocated to<br />

the territory of another sovereign state, <strong>and</strong> either integrated into the community as<br />

citizens of that new state, or else given a portion of territory within that second state,<br />

<strong>and</strong> given some degree of jurisdictional control over the territory. There is some<br />

precedent in international law. The Sovereign Military Order of St John of Jerusalem, of<br />

Rhodes <strong>and</strong> of Malta is a religious order dedicated to the provision of medical care.<br />

Since its formation as an order in around 1050, the Order had been sovereign for a time<br />

over the isl<strong>and</strong>s of Rhodes <strong>and</strong> Malta, but ceded sovereignty over Malta to Napoleon in<br />

a treaty in 1798. Since losing its territory to Napoleon, the Order endured, <strong>and</strong> is<br />

currently headquartered in Rome. The Order’s l<strong>and</strong>holdings, comprising its<br />

headquarters <strong>and</strong> embassy buildings, have all been granted extraterritoriality.<br />

51 While<br />

the Order is not a state, it nonetheless has international personality. It has observer<br />

status at the UN General Assembly, <strong>and</strong> has exchanged envoys with, or is recognised<br />

by, over eighty States. The Order also enjoys sovereign immunity to the extent<br />

necessary for the execution of its founding purpose – the provision of medical care. 52<br />

However, it must be noted that those states facing relocation – such as the Maldives –<br />

derive the bulk of their national income from their location, indeed, their very existence,<br />

50 <<br />

http://www.unhcr.org/pages/49c3646c146.html>. See further C. Phuong, The <strong>International</strong> Protection<br />

of Internally Displaced Persons (Cambridge: Cambridge University Press 2004).<br />

51 The Palazzo Malta in Via dei Condotti 68, where the Gr<strong>and</strong> Master resides <strong>and</strong> Government Bodies<br />

meet; the Villa Malta on the Aventine, which hosts the Gr<strong>and</strong> Priory of Rome; Fort Saint Angel on the<br />

isl<strong>and</strong> of Malta; the Embassy of the Order to Holy See; <strong>and</strong> the Embassy of the Order to Italy. See further<br />

.<br />

52 . See under ‘medical <strong>and</strong> humanitarian activities.


11<br />

as an isl<strong>and</strong>. 53 It would seem inequitable to relocate a isl<strong>and</strong> population of persons<br />

skilled in isl<strong>and</strong>-based hospitality <strong>and</strong> industry to, say, a l<strong>and</strong>locked country.<br />

The other option could be to relocate the population to an artificially created<br />

isl<strong>and</strong>, much like an oil rig. Technology has developed to the point where artificial l<strong>and</strong><br />

masses have been successfully created <strong>and</strong> are capable of supporting human life. For<br />

instance, in Dubai, there is ‘The World’, an artificial archipelago of 300 isl<strong>and</strong>s, located<br />

four kilometres from the coast of Dubai UAE; it was made by dredging s<strong>and</strong> from<br />

Dubai’s shallow coastal waters.<br />

54 A number of Asian airports are also constructed on<br />

artificial isl<strong>and</strong>s – including Kansai <strong>International</strong>, Chūbu Centrair <strong>International</strong> <strong>and</strong><br />

Kobe Airports – <strong>and</strong> have been built to withst<strong>and</strong> extreme weather events such as<br />

earthquakes <strong>and</strong> typhoons. 55 However, it must be noted that current international law,<br />

under UNCLOS, does not provide for artificial isl<strong>and</strong>s to have their own territorial<br />

waters or exclusive economic zones. If such constructions are within 200 nautical miles<br />

of a coastal state, that state exercises jurisdiction 56 <strong>and</strong> the coastal state is the only entity<br />

entitled to authorize their construction. 57 However, these ‘solutions’ are essentially<br />

practically, rather than legally, based. The creation of an artificial ‘Maldives’ on a giant<br />

platform on the ocean would deal with the practical issue of rehousing a nation, but it<br />

would need to be accompanied with a legal response as well – one which ensured the<br />

continuance of the rights of the state thus reconstituted.<br />

Given the preponderance of practice <strong>and</strong> theory that suggests that states are<br />

essentially robust entities once properly constituted, questions of state ‘extinction’ due<br />

to climate change seem somewhat premature. Kuwait remained Kuwait despite its<br />

temporary domination by Iraq. Somalia remains Somalia, even though it has for years<br />

lacked an effective government able to engage on the international plane. Whatever<br />

practical solutions are settled on for saving The Maldives, Tuvalu, <strong>and</strong> Kiribati, these<br />

states will still be states, just in slightly altered physical form.<br />

53 Some 500,000 people visit the Maldives annually. Tourism accounts for 28% of GDP; over 90% of<br />

government tax revenue comes from import duties <strong>and</strong> tourism-related taxes. See<br />

.<br />

54 See further for more information on the design <strong>and</strong> construction of the<br />

project.<br />

55 Kansai <strong>International</strong> Airport is nearly eleven square kilometers, with future plans for expansion up to<br />

thirteen square kilometres. Since its completion in 1995, the airport has weathered earthquakes, typhoons,<br />

<strong>and</strong> storm surges up to three metres. See further www.kiac.co.jp for additional details <strong>and</strong> statistics.<br />

56 LOSC Article 56.<br />

57 LOSC Article 60. See further N. Papadakis, The I nternational L egal R egime o f A rtificial I sl<strong>and</strong>s<br />

(Leyden: Sitjhoff 1977).


12<br />

What is thus required is for international law to reconceptualise the law of<br />

statehood, to accept such ‘new’ forms of statehood. As noted by Österdahl:<br />

We talk about states <strong>and</strong> non-state actors, we do not talk about full-states, halfstates,<br />

quarter states, <strong>and</strong> “entities formally known as states”… [t]he question is<br />

for how long this conceptual system can remain in international law. For how long<br />

will international law be able to continue using the fiction of the uniform concept<br />

of the state? 58<br />

It will be incumbent on the international community to react to the altered<br />

circumstances of states forced to ‘recreate’ themselves in response to climate change.<br />

This may take the form of a series of sui generis treaties with the ‘new’ states recreated<br />

due to climate change, in which the international community recognises their enduring<br />

statehood, despite their altered circumstances. Indeed, much like the UN Trusteeship<br />

system, a centralised mechanism might be created for partial or total stewardship of<br />

these new/old states – to administer <strong>and</strong> protect maritime rights, to provide social,<br />

cultural, political, <strong>and</strong> economic support <strong>and</strong> guidance for a people forced to ab<strong>and</strong>on<br />

their l<strong>and</strong>s, without hope of return. Regardless of how such a response develops, the<br />

law must adapt to address the reality of the situations it seeks to regulate. Indeed,<br />

despite the seemingly entrenched position of the state, international law has, throughout<br />

the twentieth century, adapted to embrace new actors – through human rights <strong>and</strong><br />

refugee law, international business law, international organisations law <strong>and</strong> the laws<br />

relating to armed conflicts. No longer is State supremacy absolute. Thus, given the<br />

dynamism <strong>and</strong> flexibility demonstrated by the international community <strong>and</strong><br />

international law, it is reasonable to hypothesise a system whereby states that ‘lose’ key<br />

indicia of statehood, through no fault of their own, continue to retain the benefits <strong>and</strong><br />

privileges of statehood.<br />

10.4 Conclusions<br />

58 I. Österdahl ‘Relatively Failed: Troubled <strong>Statehood</strong> <strong>and</strong> <strong>International</strong> <strong>Law</strong>’ (2003) 14 Finnish Yearbook<br />

of <strong>International</strong> <strong>Law</strong> 49.


13<br />

<strong>Law</strong>, to some extent, depends on certainties. A given situation is regulated by<br />

given rules. However, a recurrent element in nearly all debate about climate change is<br />

uncertainty. Predictions about possible effects <strong>and</strong> events vary; debate continues over<br />

whether climate change is anthropogenic or part of the natural cycle of the earth’s<br />

existence. What is clear is that those who will be impacted by climate change, however<br />

it has come about, are feeling the effects already. It is incumbent on the international<br />

community to ensure that the law of nations adequately reflects the living conditions for<br />

all nations <strong>and</strong> peoples.

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