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The handle http://hdl.handle.net/1887/48562 holds various files of this Leiden University dissertation
Author: Hayashi, Nobuo Title: Military necessity Issue Date: 2017-05-11
Military Necessity
Nobuo Hayashi
Military Necessity
PROEFSCHRIFT
ter verkrijging van
de graad van Doctor aan de Universiteit Leiden, op gezag van Rector Magnificus prof. mr. C.J.J.M. Stolker,
volgens besluit van het College voor Promoties te verdedigen op donderdag 11 mei 2017
klokke 11.15 uur
door
Nobuo Hayashi
geboren te Okazaki, Japan
in 1970
Promotor: prof. dr. C. Stahn
Promotiecommissie: prof. dr. L.J. van den Herik
prof. dr. T.D. Gill (University of Amsterdam)
prof. dr. J.K. Kleffner (Swedish Defence University, Stockholm, Sweden) prof. dr. H. Duffy
dr. R.W. Heinsch
To Klára and Daniel
Acknowledgments
I wish to express my gratitude to the following individuals and organisations for the counsel, encouragement, and patience that I have received throughout the preparation of this dissertation:
My supervisor, Professor Carsten Stahn;
Members of my doctorate committee, namely Professor Larissa van den Herik, Professor Terry Gill, Professor Jann Kleffner, Professor Helen Duffy, and Professor Robert Heinsch;
Friends, classmates and teachers while in Geneva, including Robin Ramcharan, Annyssa Bellal, Frédéric Mégret, Sylvain Beauchamp, Ricardo Abello, Théo Boutruche, Professor Georges Abi-Saab, Professor Andrew Clapham, Professor Hugh Thirlway, and the late Professor Vera Gowlland-Debbas;
Friends, classmates and teachers while in Cambridge, including Ralph Wilde, Julie Ringelheim, Professor Matthew Kramer, Professor Susan Marks, and Professor Christine Gray;
Friends and colleagues while in The Hague, including William Fenrick, Susan Lamb, Morten Bergsmo, Salvatore Cannata, Philip Dygéus, Ruben Karemaker, Sasha Radin, Rogier Bartels, and Federica Gioia;
Friends and colleagues while in Oslo, including Joanna Nicholson, Fadillah Agus, Arne Willy Dahl, Cecilie Hellestveit, Gro Nystuen, Robin Schoemaker, Jet Liesker, Cathrine Bye, Tove Sagmo, Mareille Kaufmann, Stephanie Schmölzer, Jørgen Carling, Greg Reichberg, Henrik Syse, Odvar Leine, Simon O’Connor, Professor Cecilia Bailliet, and Professor Geir Ulfstein;
Friends and colleagues from elsewhere, including Guillermo Otálora, Sebastian Ramírez, Rain Liivoja, Anastasia Kushleyko, Christine Byron, David Turns, Guénaël Mettraux, Yves Sandoz, Professor Frits Kalshoven, and Professor Charles Garraway; and
The Graduate Institute of International and Development Studies; Tokyo Foundation;
Ministry of Foreign Affairs of Japan; Office of the Prosecutor, International Criminal Tribunal for the Former Yugoslavia; Norwegian Centre for Human Rights; Norwegian Ministry of Defence; Peace Research Institute Oslo; PluriCourts; International Law and Policy Institute; and Leiden University.
I also thank members of my family, including Eiji, Yasuko, Klára, and Daniel, for their love, support and sacrifice, without which I would have been unable to complete this undertaking.
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Table of Contents
Chapter 1 Introduction ... 1
1. Research Questions ... 3
1.1 International Humanitarian Law “Accounting for” Military Necessity? ... 3
1.2 Normative Consequences? ... 4
2. Organisation ... 5
2.1 Military Necessity in Its Material Context ... 5
2.2 Military Necessity in Its Normative Context ... 5
2.3 Military Necessity in Its Juridical Context ... 6
3. Principal Findings ... 7
3.1 International Humanitarian Law “Accounting for” Military Necessity ... 8
3.1.1 Material Military Necessity as Fitness of Means and Vocational Competence . 8 3.1.2 Military Necessity as Normative Indifference ... 8
3.2 Normative Consequences ... 10
3.2.1 Exclusionary and Non-Exclusionary Effects ... 10
3.2.2 Juridical Military Necessity as an Exception ... 11
3.2.3 Military Non-Necessity as an Element of War Crimes and Crimes Against Hu- manity ... 12
3.3 Summary ... 12
3.4 Implications Beyond the Immediate Scope of This Thesis ... 14
3.4.1 Vis-à-vis Jus Ad Bellum ... 14
3.4.2 Vis-à-vis International Human Rights Law ... 15
3.4.3 Vis-à-vis International Criminal Law ... 17
4. Methodology ... 18
4.1 Theoretical Underpinnings ... 18
4.2 Material Used ... 20
Part I Military Necessity in Its Material Context ... 26
Chapter 2 Fitness of Means and Vocational Competence ... 27
1. Ends, Means and Circumstances ... 27
2. Causation Sine Qua Non Not Required ... 31
2.1 No Causation Requirement ... 31
2.2 No Conditio Sine Qua Non Requirement ... 32
3. Military Non-Necessities ... 33
3.1 Non-Necessities per se: Futility and Purposelessness ... 33
3.2 Relative Non-Necessities ... 34
3.2.1 Wastefulness ... 34
3.2.2 Excessiveness ... 35
3.2.3 Impertinence ... 36
4. Conclusion ... 37
Chapter 3 Objections and Responses ... 39
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1. Military Virtues v. Ethical Virtues ... 39
2. Military Virtues as Ethical Virtues ... 43
3. Ethical Virtues as Military Virtues ... 45
4. Conclusion ... 47
Part II Military Necessity in Its Normative Context ... 48
Chapter 4 Military Necessity and Legitimacy Modification ... 53
1. Purpose vis-à-vis Conduct ... 53
1.1 Where the Purpose Sought Is Illegitimate ... 53
1.2 Where the Purpose Sought Is Legitimate ... 55
2. Conduct vis-à-vis Purpose ... 59
2.1 The Conduct Is Deemed Evil ... 59
2.1.1 The Conduct Is Deemed Evil Yet Necessary ... 60
2.1.2 The Conduct Is Deemed Evil and Unnecessary ... 61
2.1.3 Preamble of the 1868 St. Petersburg Declaration: Evil Conduct Is Illegitimate If Unnecessary ... 63
2.2 The Conduct Is Deemed Non-Evil ... 64
2.2.1 The Conduct Is Deemed Non-Evil and Necessary ... 65
2.2.2 The Conduct Is Deemed Neither Evil Nor Necessary ... 65
2.2.3 Preamble of the 1868 St. Petersburg Declaration: Is Unnecessary Conduct Ille- gitimate Even If Non-Evil? ... 68
3. Special Cases: Conduct Considered Evil in an Exclusively Self-Inflicted Way ... 69
3.1 Minding One’s Own Business? ... 69
3.2 Are All War Crimes Enemy’s Crimes? ... 72
3.3 Life of a Soldier ... 74
3.4 Delegitimising Self-Inflicted Evil in War ... 75
4. Conclusion ... 77
Chapter 5 Inevitable Conflict Thesis ... 78
1. Overview ... 80
2. Inevitability of Norm Conflicts ... 81
2.1 Non-Coincidence of Military Necessity and Humanity in Their Material Sense ... 82
2.2 Military Necessity and Humanity as Generators of Imperatives ... 83
2.2.1 Obligating Materially Necessary Acts ... 83
2.2.2 Prohibiting Materially Unnecessary Acts ... 86
2.3 Inevitable Conflict Between Imperatives of Military Necessity and Those of Humanity ... 87
2.3.1 Norm Conflicts and Their Pre-Emption Generally ... 87
2.3.2 Norm Conflicts Between Military Necessity and Humanity, and Their Pre-Emp- tion in IHL Norm-Creation ... 88
3. Inadmissibility of de novo Military Necessity and de novo Humanity Pleas vis-à-vis All Un- qualified IHL Rules ... 89
3.1 Excluding de novo Military Necessity and de novo Humanity Pleas ... 89
3.2 Military Necessity and Humanity “Accounted for” in All Positive IHL Rules ... 91
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4. Conclusion ... 91
Chapter 6 Joint Satisfaction Thesis I – Alignment and Indifference ... 93
1. Military Necessity-Humanity Alignment in Their Material Context ... 93
1.1 Inhumane and Unnecessary ... 94
1.2 Humane and Necessary ... 98
1.3 Effective Armies Committing Atrocities – Do They Invalidate the Possibilities of Military Necessity-Humanity Alignment? ... 100
2. Military Necessity as Normative Indifference ... 103
2.1 Normative Indifference Generally ... 103
2.2 Normative Indifference vis-à-vis Military Success or Failure ... 104
2.3 Disabling “Naked” Soldiers ... 104
2.4 High-Altitude Aerial Bombardment ... 107
2.5 Recruiting Child Soldiers ... 107
3. Nor Does Humanity Always Generate Imperatives ... 108
3.1 Humanity’s Permission and Tolerance ... 108
3.2 “Humanity of Duty” v. “Humanity of Aspiration” ... 109
4. Conclusion ... 111
Chapter 7 Joint Satisfaction Thesis II – “Accounting for” the Military Necessity-Humanity Interplay in IHL Norm-Creation ... 112
1. Joint Satisfaction Thanks to Military Necessity-Humanity Alignment ... 112
1.1 Unqualified Obligations to Pursue Joint Satisfaction That Is Based on Forbearance .. 112
1.1.1 Using Banned Weapons ... 114
1.1.2 Killing POWs ... 116
1.1.3 Committing Rape ... 117
1.2 Unqualified Obligations to Pursue Joint Satisfaction That Is Based on Performance .. 118
2. Absence of Unqualified Obligations Despite Military Necessity-Humanity Alignment ... 118
2.1 Clausula si omnes ... 119
2.2 Non-International Armed Conflicts ... 120
2.3 Belligerent Reprisals ... 121
3. Joint Satisfaction Amid Military Necessity-Humanity Contradiction ... 125
3.1 Frustration Between a Duty and a Counter-Liberty ... 125
3.2 Norm Contradiction Generally ... 127
3.2.1 Liberty and Permission as the Absence of a Contrary Duty ... 127
3.2.2 Overcoming Norm Contradiction Always a Matter of Choice ... 128
3.3 Norm Contradiction Between Military Necessity and Humanity ... 130
3.4 Permission and “Strong Pressure or Policy” ... 131
4. Obligations to Pursue Joint Satisfaction Amid Military Necessity-Humanity Contradiction 131 4.1 Unqualified Obligations ... 132
4.2 Principal Obligations ... 134
4.3 Indeterminate Obligations ... 137
4.4 Exceptional Obligations ... 138
5. No Obligation to Pursue Joint Satisfaction Amid Military Necessity-Humanity Contradiction ... 140
5.1 Where the Law Affirmatively Authorises Non-Pursuit of Joint Satisfaction ... 140
5.2 Where the Law Fails to Obligate Jointly Satisfactory Behaviour ... 140
5.3 In dubio pro libertate or prohibitione? ... 142
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6. Conclusion ... 143
Part III Military Necessity in Its Juridical Context ... 145
Chapter 8 Joint Satisfaction Thesis III – Exclusionary and Non-Exclusionary Effects ... 149
1. IHL Norm-Creation Not Involving the Military Necessity-Humanity Interplay ... 150
1.1 Military Necessity, Not Humanity ... 150
1.2 Humanity, Not Military Necessity ... 153
2. Excluding de novo Indifference Pleas ... 155
2.1 Exclusionary Basis ... 155
2.2 Kriegsräson and Its Variations ... 155
2.2.1 Consistency with Military Necessity as Conclusive Lawfulness, All Things Con- sidered ... 156
2.2.2 Self-Preservation ... 156
2.2.3 Material Impossibility and Impracticality ... 159
2.3 Humanitätsräson ... 159
2.3.1 Consistency with Humanity’s Indifferent Permissions as Conclusive Lawful- ness, All Things Considered ... 160
2.3.2 Misusing the Red Cross Emblem in Bloodless Hostage Rescue Operations . 161 2.3.3 “Mercy Killing” ... 162
2.3.4 Forcibly Preventing Civilians from Leaving Besieged Localities ... 163
2.3.5 Implementing von Moltke’s “Greatest Kindness” ... 165
3. Admitting de novo Non-Indifference Pleas ... 167
3.1 Counter-Kriegsräson ... 167
3.1.1 Lack of Military Necessity as Conclusive Unlawfulness, All Things Considered ... 167
3.1.2 Positive IHL Rules as Necessity-Based Derogations from Peacetime Rules . 169 3.1.3 Purported Survival of Elements of Military Necessity through IHL Norm-Crea- tion ... 170
3.1.4 “Capture Rather Than Kill” ... 171
3.2 Humanitätsgebot? ... 172
3.2.1 Repatriating v. Not Repatriating POWs after the Cessation of Hostilities ... 173
3.2.2 Interning POWs on Land v. Interning Them aboard Vessels at Sea ... 177
3.3 Counter-Humanitätsgebot? ... 178
3.3.1 “Capture Rather Than Kill” Redux – Stretching the Envelope of Positive Law ... 179
3.3.2 “Capture Rather Than Kill” Redux – Ripping the Envelope of Positive Law 182 4. Promoting Humanity Above and Beyond Positive IHL Obligations ... 182
5. Conclusion ... 183
Chapter 9 Significance and Content of Juridical Military Necessity ... 185
1. Juridical Military Necessity as an Exception ... 185
2. Military Necessity as an Exception v. State of Necessity as a Circumstance Precluding Wrong- fulness ... 186
2.1 Primary and Secondary Rules ... 186
2.2 Distinct Contents ... 188
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3. Specific Requirements of Juridical Military Necessity ... 188
3.1 The Measure Was Taken Primarily for Some Specific Military Purpose ... 189
3.1.1 The Existence of a Specific Purpose ... 190
3.1.2 The Purpose’s Primarily Military Nature ... 190
3.1.3 Submission of the Enemy? ... 193
3.2 The Measure Was Required for the Attainment of the Military Purpose ... 195
3.2.1 The Measure’s Material Relevance to the Military Purpose’s Attainment .... 195
3.2.2 Least Evil Among Materially Relevant and Reasonably Available Measures198 3.2.3 Proportionality between the Injury and the Gain ... 200
3.2.4 Note on Urgency ... 208
3.2.5 Note on Degrees ... 208
3.3 The Military Purpose for Which the Measure Was Taken Was in Conformity with Inter- national Humanitarian Law ... 210
3.4 The Measure Itself Was Otherwise in Conformity with International Humanitarian Law ... 211
4. Miscellaneous Observations ... 213
4.1 Knowledge ... 213
4.1.1 Knowledge of Purpose ... 214
4.1.2 Knowledge of Pertinence, Injuriousness and Proportionality ... 215
4.2 Competence ... 216
5. Conclusion ... 217
Chapter 10 Military Necessity and Elements of Crimes ... 219
1. International Criminal Tribunal for the Former Yugoslavia ... 219
1.1 Absence of Military Necessity as an Element of Large-Scale Property Destruction ... 220
1.1.1 Article 2(d), ICTY Statute ... 220
1.1.2 Article 3(b), ICTY Statute ... 222
1.1.3 Article 5(h), ICTY Statute ... 224
1.2 Instances of Militarily Unnecessary Property Destruction ... 225
1.3 Property Destruction in the Context of Combat ... 226
1.3.1 Lawfulness of the Underlying Military Activities ... 226
1.3.2 Attack v. Destruction ... 227
1.3.3 Military Necessity v. Military Objective ... 229
1.3.4 Destruction of Property Constituting a Military Objective ... 231
1.3.5 Destruction of Property Constituting a Civilian Object ... 232
1.3.6 Property Destruction in the Context of Combat – A Summary ... 235
1.4 Property Destruction Outside the Context of Combat ... 238
1.5 Absence of Military Necessity as an Element of Forcible Displacement ... 241
2. Military Necessity and the International Criminal Court ... 243
2.1 Article 8 and Elements of Crimes – Military Necessity as an Exception ... 244
2.2 Rulings to Date ... 247
2.3 Article 31 – Military Necessity as a Justification/Excuse? ... 250
2.3.1 Narrower in Content Than Military Necessity as an Exception ... 251
2.3.2 Broader Availability to Offences Not Subject to Military Necessity Exceptions ... 252
3. Conclusion ... 253
Chapter 11 Conclusion ... 255
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1. Reason-Giving Considerations in IHL Norm-Creation ... 255
1.1 Military Necessity ... 255
1.2 Humanity ... 259
1.3 Chivalry and Other Considerations ... 260
2. Dynamics of Considerations Interplay ... 261
2.1 Norm Alignment and Joint Satisfaction ... 261
2.2 Norm Contradiction and Joint Satisfaction ... 262
2.3 Norm Conflict ... 266
3. Consequences of Considerations Interplay ... 266
3.1 Military Necessity ... 266
3.2 Humanity ... 267
3.3 Chivalry ... 269
4. Synthesis ... 269
4.1 Observations Relating to Military Necessity Itself ... 269
4.1.1 Military Necessity in Its Material Context ... 269
4.1.2 Military Necessity in Its Normative Context ... 270
4.1.3 Military Necessity in Its Juridical Context ... 271
4.1.4 Military Necessity as a Negative Element of Several Property- and Displace- ment-Related War Crimes and Crimes Against Humanity ... 271
4.2 Observations Relating to Those Aspects of International Humanitarian Law within Which Military Necessity Broadly Falls ... 272
4.2.1 “Accounting for” the Military Necessity-Humanity Interplay in IHL Norm-Cre- ation Where the Two Sets of Considerations Align with Each Other ... 273
4.2.2 “Accounting for” the Military Necessity-Humanity Interplay in IHL Norm-Cre- ation Where the Two Sets of Considerations Contradict Each Other ... 273
4.2.3 Normative Consequences to Which “Accounting for” Indifferent Considerations in IHL Norm-Creation Gives Rise ... 274
4.2.4 Normative Consequences to Which “Accounting for” Non-Indifferent Consid- erations in IHL Norm-Creation Gives Rise ... 275
5. Conclusion ... 275
Summary ... i
Summary in Dutch ... iv
References ... viii
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List of Abbreviations
ABiH Army of Bosnia and Herzegovina
COIN Counterinsurgency
C-o-S Chief of Staff
EBO Effects-based operations
EMP Electromagnetic pulse
FARC Fuerzas Armadas Revolucionarias de Colombia
HVO Croatian Defence Council
ICC International Criminal Court
ICJ International Court of Justice
ICL International criminal law
ICRC International Committee of the Red Cross
ICTY International Criminal Tribunal for the Former Yugoslavia
IDF Israel Defence Forces
IHL International humanitarian law
IHRL International human rights law
ILC International Law Commission
IMT International Military Tribunal
IS Islamic State
JNA Yugoslav People’s Army
LOIAC Law of international armed conflict
POW Prisoner of war
TO Territorial Defence
