ASPEN CASEBOOK SERIES

THE LAW OF

ARMED CONFLICT:

AN OPERATIONAL

APPROACH

Geoffrey S. Corn Presidential Research Professor South Texas College of Law

Victor Hansen Professor of Law New England

Richard B. Jackson Colonel, U.S. Army, Retired

Chris Jenks Assistant Professor of Law School of Law

Talbot Jensen Associate Professor of Law Brigham Young University

James A. Jr. Adjunct Professor Georgetown University Law Center

Wolters Kluwer Law & Business

CONTENTS

Foreword xxi Acknowledgments xxiii Introduction xv Scenario xxxv

Chapter 1: Legal Bases for Use of Force 1 I. Introduction 2 II. Historical Background 2 III. The United Nations Charter Paradigm 4

A. General Assembly 4 B. Security Council

1. Chapter Settlement of Disputes 7 2. Chapter with Respect to Threats to the

Peace, Breaches of the Peace, and Acts of Aggression 9 C. Court of Justice 12

IV. The Use of Force 14

A. Consent 17

B. Security Council Authorization 18

C. Self-Defense and Other Uses of Force 19

1. Self-Defense 19

a. Principles 19

b. "Inherent of Self-Defense 22

(1) No Action Before Armed Attack 22

(2) Anticipatory Self-Defense 22

(3) Interceptive Self-Defense 23

(4) Preventive Self-Defense 23

c. Collective Self-Defense 24

Armed Attack 25

e. the Security Council Has Taken Measures" 25

IX

Contents

2. Other Uses of Force 26

a. Protection of Nationals 26

b. Humanitarian Intervention and the Responsibility to Protect 27

D. Some Contemporary Challenges 29

1. Non-State Actors 29

2. Drones 29

3. Cyber Operations 30

Study Questions 31

Chapter 2: History and Sources of the Law of Armed Conflict 33 I. Introduction 34 II. The LOAC Tradition 35 III. Historical Foundations 36 IV. Hague Law 40 V. Geneva Law 43 VI. Modern Developments 46

A. Protection of Cultural Property 46

B. Additional Protocols of 1977: Merging of Hague and Geneva Law 48

C. Other Key Treaties Affecting the LOAC 50

D. Treaties Outside the Scope of the LOAC 51

E. Decisions of Courts and Tribunals 53

VII. Customary International Law 55 VIII. "Soft Law" 59

U.S. Laws and Policies 60 Other Sources 62

Study Questions 62

Chapter 3: Triggering the Law of Armed Conflict 65 I. Introduction 66 II. Origins of the Conflict Classification Paradigm 67 III. The 1949 Geneva Conventions and the Advent of a Law Trigger 70

A. The Articles 2 and 3 71 B. The Existence of an Armed Conflict 74 C. The Nature of the Armed Conflict 82

IV. The Impact of the Additional Protocols 88 V. A Few Wrinkles 95

A. External Intervention in an Internal Armed Conflict 95 B. Transnational Armed Conflicts? 99

Contents

VI. Conclusion 104 Study Questions 105

Chapter 4: Law of Armed Conflict Principles: The Foundation of Conflict Regulation

I. Introduction 108 II. LOAC Principles and Operational Art: An Indelible Connection III. The Cardinal Principles

A. Military The First Principle of Authority B. The First Principle of Constraint

IV. Implementation Principles A. Principle of Distinction B. Principle of Proportionality

V. Distinguishing Between Law and Understanding Rules of Engagement

VI. Operational Application of LOAC Principles Through National Policy 128 Study Questions

Chapter 5: Combatants, and Other Belligerents 131 I. Distinction and Combatants II. Combatants and Civilians 133

A. A Problem of Definition 133 B. Civilians 134

C. Combatants 135 III. Prisoners of War 138

A. Historical Development 138 B. Civilians Accompanying the Force 140 C. Retained Personnel 141

IV. Additional Protocol I 141 V. Unlawful Combatants 143

A. Historical Development of the Terms 143 B. A Gap in Coverage? 145 C. Habeas Corpus Litigation 146

VI. Non-International Armed Conflicts 148 A. The Interpretive Guidance 150 B. A Definition of DPH 150 C. Three Categories of Civilians Who Lose Protection from

Deliberate Attack D. Human Shields 153 E. Organized Armed Groups

xii Contents

VII. Conclusion 156 Study Questions 156

Chapter 6: Targeting 159 I. Introduction 161 II. The Targeting Process 161 III. Applying the General Principles in Targeting 164

A. Military Necessity

1. Distinction 164

a. Persons 165

(1) Combatants 165

(2) Civilians 166

(3) Unprivileged Belligerents 170

(4) Other Protected Persons 172

(a) Prisoners of War 173

(b) Wounded and Sick in the Field and at Sea

(c) Parachutists 173

(d) Medical Personnel 173

(e) Auxiliary Medical Personnel of the Armed Forces 174

(f) Medical Transport 174 (g) Relief Societies 174

(h) Chaplains 174

(i) Civilian Medical and Religious Personnel 174

(j) Personnel Engaged in the Protection

of Cultural Property 175

(k) Journalists 175

b. Objects 176

(1) Military Objectives 176

(a) Nature 176

(b) Location 176

(c) Purpose 177

(d) Use 177 (e) "Make an Effective Contribution to Military

Action" 178 "Offers a Definite Military 178

(2) Civilian Objects 181

(3) Protected Objects or Places 181

Contents

(a) Undefended Places 181 (b) Hospitals or Safety Zones for the Sick

or Wounded (c) Cultural Property 182 (d) Works and Installations Containing Dangerous

Forces 184 (e) Objects Indispensable to the Survival of the

Civilian Population 184 (f) Natural Environment 185

2. Proportionality 187 B. Humanity and Unnecessary Suffering 189

IV. Review of Targeting Decisions V. Non-Lethal Targeting 191 VI. Rules of Engagement 192

A. Basic Principles 192 1. Self-Defense 192 2. Mission Accomplishment 193 3. Process 194

Study Questions

Chapter 7: Weapons and Tactics 199 I. Introduction to Means and Methods of Warfare 200

A. Humanity 201 B. Chivalry 202

II. Legal Review of Weapons or Weapons Systems 203 A. The Requirement for Legal Review 203

B. Unnecessary Suffering 204 C. Illegal Use in Customary Law and Treaty Law 205

III. Specific Prohibitions on Weapons and Ammunition 207

A. Exploding Bullets 207

B. Expanding Bullets 207

C. Convention on Certain Conventional Weapons 208

1. Plastic Fragments and Incendiaries 209

2. Blinding Lasers 210

3. Anti-Personnel Landmines 210

4. Explosive Remnants of War 212

D. Biological Weapons 213 E. Chemical Weapons 213 F. Riot Control Agents 214

Contents

IV. Specific Weapons 214 A. Cluster Munitions 214

B. Shotguns 215

C. Small Arms and Small Arms Ammunition 216

D. Edged Weapons 217

E. .50 Caliber Rounds 217

F. Explosive Munitions 218

G. Depleted Uranium 218

H. Snipers 219

I. Silencers 219

J. Non-Lethal Weapons 220

K. Cyber Weapons 221

V. Employment of Weapons 221

VI. Methods of Warfare 223

A. Ruses 223

B. Perfidy 224

C. Assassination 225

D. Espionage 226

E. Reprisals 226

Study Questions

Chapter 8: Wounded and Sick 233

I. Background 234 II. International Armed Conflict: Definition and Categories 237 III. Handling the Wounded and Sick 241 IV. Casualties 244 V. Status and Protection: The Distinctive Emblem 248 VI. Personnel Aiding the Wounded and Sick 250

A. Exclusively Engaged Medical Personnel and Staff of the Armed Forces, Chaplains, and Members of National Relief Organizations 252

B. Auxiliary Medical Support Personnel of the Armed Forces 255

C. Members of Societies from Neutral Countries 256

VII. Medical Units, Establishments, and Transportation 257 A Facilities and Vehicles 257 B. Medical Aircraft 261

VOL Violations 268 EL Protecting the Wounded and Sick in Non-International

Armed Conflicts 269

Contents

Conclusion 271 Study Questions 272

Chapter 9: Civilians 277 I. Introduction 278

A. The Concept of Civilian 280 B. Who Is a Civilian Within the Meaning of the Law? 281

II. Civilian Protections 287 A. Conceptualizing Battle-Space 287

1. Distinction 288

2. Proportionality 290

3. Precautions in the Attack 291

4. Humane Treatment: The Baseline Benefit Package During All Armed Conflicts 291

B. International Armed Conflicts 294

1. General Protection for Civilian Populations 294

2. Protecting Especially Vulnerable Civilians 295

3. Protected Persons: The Maximum Shield of Protection 297

a. Protected Persons 297

b. Protected Persons in the Territory of Their Enemy 299

c. Protected Persons in Occupied Territory 300

III. Property 301 A. Destruction of Private Property 301

B. Taking Possession of Private Property 303

1. Seizure 303 2. Requisition 305

IV. The Role of Human Rights Law 305 V. Conclusion 307

Study Questions 308

Chapter 10: Detention 309 L Introduction to Detention 310 II. Authority for Detention III. International Armed Conflict Detainee Categories 314

Prisoners of War and Civilians 314

B. Unprivileged Belligerents 315

1. Detainees in Non-International Armed Conflict

TV. What Process Is Due? 318 Article 5 Tribunals 319

1. Procedural Safeguards in the Civilian Convention 321

Contents

B. Detention Process in Non-International Armed Conflict 323

C. Supplemental Standards for Detention Review: Contemporary U.S. Practice 324

D. Ongoing Enhancement of "Law of War Detention" Process 327

V. Standard of Treatment 328 A. Prisoners of War 329 B. Civilians 335

C. Treatment in Non-International Armed Conflict 339

VI. Interrogation 339 A. Interrogation in International Armed Conflict 339

B. Interrogation in Non-International Armed Conflict 340 C. Historical Limitations on Interrogation 341 D. Interrogation in the War on Terror 343

Study Problems 354

Chapter Occupation, Termination of Hostilities, and Transition 355

I. Introduction 356 II. Triggering the Law of Belligerent Occupation 357

A. Essential Criteria 358 B. Other Types of Operations 359

C. Relationship to Non-International Armed Conflict 360 III. Terminating Hostilities: Transition to Occupation 362 IV. Features of Occupation 365

A. Commencement 365 B. Direct and Indirect Control 367

C. Is There an Obligation to Take Control? 368 D. Distinguishing Invasion from Occupation 369 E. Occupation vs. Annexation 370

V. Implications of Being an Occupying Power 370 VI. Applicable Law 373

A. 1907 Hague IV 373 B. 1949 Geneva Convention Relative to the Protection

of the Civilian Population 374 VII. Fundamental Obligations of the Occupying Power 378

Ensuring Public Order and Safety 378 B. Obligations Not Balanced with Military Necessity 379

C. Protection of Basic Human Rights 381 D. Protection of Property 382

Contents xvii

VIII. Restoring Order 382 A. The Duty of Obedience 382

B. Use of Existing Personnel to Continue Public Services 383

IX. Addressing Threats to Security 386 A. Preventive Detention 386 B. Procedural Requirements for Detention 387

C. Treatment Standards for Internment 388

D. Assigned Residence 391

E. Generally Applicable Treatment Standards 391

F. Prohibited Treatment 392

Meeting the Needs of the Civilian Population of the Occupied Territory 393

XI. Governing the Occupied Territory 3% XII. Managing the Property of the Occupied Territory 399 XIII. Transformational Occupation: Expanding the Permissible

Scope of an Occupation 406 XIV. Termination of Occupation and Transition

to Post-Conflict Phase 408 Study Questions 411

Chapter 12: Naval Warfare and Neutrality 415 I. Introduction 416 II. Sources of the Law Applicable to Naval Warfare 420 III. Sea 420

A. The Division of the World's Waters 421 B. The Exercise of Maritime Freedoms in National

and International Waters 423 1. National Waters 423

2. International Waters 426

C. Status of Vessels and Aircraft Under International Law 426

IV. of Neutrality 428

A. Sources of the Law of Neutrality 429

B. Rights and Obligations of Neutral States 430

C. Rights and Obligations of Belligerents 433

D. Rules Governing Neutral Shipping 435

E. Neutrality and Non-International Armed Conflicts

V. The LOAC Applicable to Naval Warfare 438

A. Sources 438

B. Rights to Engage in Warfare at Sea 441

xviii Contents

C. General Rules Regarding Attacks on, or Captures of, Vessels and Aircraft 442

D. Disposition of Crews 446

E. Blockade 446

F. Zones and Control of Immediate Area of Naval Operations 449

G. Submarine Warfare 451

H. Mines and Torpedoes 452

I. Protection of Persons Hors de Combat in Naval Operations 455

Study Questions 459

Chapter 13: War Crimes 465 I. Introduction to War Crimes 466

A. Why Punish War Crimes? 466

B. What Is a War Crime? 468

C. Historical Background 470

II. Sources of Contemporary War Crimes 473

A. Customary International Law 473

B. Geneva Conventions and Grave Breaches 475

1. Duties of Signatory States 476

2. International Armed Conflict Trigger 480

3. "Simple Breaches" 480

C. Common Article 3 as a Source of War Crimes 481

1. Non-International Armed Conflict Trigger 482

D. Other Sources and Other Laws 483

1. Aggression 483

2. Genocide 484

3. Crimes Against Humanity 485

4. War Crimes Codified by Specialized Tribunals 486

5. War Crimes Codified by the ICC 488

E. Nulla Crimen Sine Lege 491

III. Jurisdiction 493

IV. Recent Developments in War Crimes Prosecutions 495

A. Use of Specialized Tribunals 495 B. Blurring the Lines of International Armed Conflict and

Non-International Armed Conflict 496 V. The U.S. Approach to War Crimes Prosecution 498

Uniform Code of Military Justice Structure 499 1. Punitive Articles 499

2. Article 18 Jurisdiction over War Crimes 502

Contents

B. The War Crimes Act 503

1. Punishable Offenses 504 2. Recent Modifications by the DTA and MCA 506

C. Putting It All Together: U.S. Prosecution for Extraterritorial War Crimes 508 1. Jurisdiction over Soldiers 508 2. Jurisdiction over Former Soldiers 509

3. Jurisdiction over Civilians 511

4. Jurisdiction over Enemies and Former Enemies 512

VI. Defenses to War Crimes 515

A. Obedience to Superior Orders 515

B. Duress 516

C. Self-Defense 516

D. Lack of Mental Responsibility 517

E. Head of State Immunity 517

VII. Emerging LOAC Issues 518 A. of the Law of War to Non-State Actors 519 B. Is Prosecuting War Crimes Worth the Effort? 521

Study Questions 522

Chapter 14: Command Responsibility and Compliance Mechanisms 525

I. Introduction 526 A. The Role of the Commander 526

B. A Commander's Involvement or Complicity in LOAC Violations 527

II. Command Responsibility 529 A. Definition 530 B. War II History of Command Responsibility 531

C. World War II War Crimes Tribunals: The Doctrine Evolves 532

1. The Yamashita Military Tribunal 533

a. Scope of Authority 535

b. Mens Rea of Command Responsibility 536

c. Actus Reas of Yamashita's Command Responsibility 536

d. Causation 537

e. Imputed Liability 537

2. In re Yamashita 537

3. Other World War II Tribunals 539

Contents

D. International Developments After the World War II Tribunals 542 1. Additional Protocol I 542

2. Implementing Command Responsibility: Contemporary International Criminal Tribunals 545

III. U.S. Practice and the Accountability of Responsible Commanders 550 A. Accountability of U.S. Commanders 550

1. My Lai and Command Responsibility 552

2. Article 92 Dereliction of Duty 554

3. U.S. Approach to Command Failings (Abu Ghraib) 555

4. Gap in U.S. Military Law 556

B. Accountability of Enemy Commanders 557

IV. Other Compliance Mechanisms 559

A. Investigating War Crimes 560

1. Investigation Procedures: The Army Example 561

a. Commander's Inquiry 561

b. Investigations Under Army Regulation 15-6 562

c. Criminal Investigations 564

d. Inspector General Investigations 565

2. Investigation Oversight and Review 565

B. Ensuring Compliance with the LOAC 567

Further Reading 569

Study Questions 569

Glossary 573 Table of Cases 581 Index