1. Definition
1 The regime known as belligerent occupation refers to a situation where the forces of one or more States exercise effective control over a territory of another State without the latter State’s volition. Because such control has often been the outcome of the exercise of military force, this regime has been titled ‘belligerent’ occupation, whereas occupation that received the consent of the sovereign is termed ‘pacific’ occupation (Occupation, Pacific). However, at least since the adoption of the Geneva Conventions I–IV (1949) the regime of belligerent occupation does not depend on the existence of a state of war, nor on the armed resistance to the occupant (Art. 2 (1) and (2) common to the four Geneva Conventions). The need to recognize this regime, and to develop its legal framework, derived from the emerging prohibition on the unilateral annexation of foreign territory through the use of force. Because occupation does not transfer sovereignty over the territory to the occupying power, international law must regulate the interrelationships between the occupying force, the ousted government, and the local inhabitants for the duration of the occupation. The law authorizes the occupant to safeguard its interests while administering the occupied area, but also imposes obligations on the occupant to protect the life and property of the inhabitants and to respect the sovereign interests of the ousted government.
2. Evolution
2 The law of occupation evolved gradually during the second half of the 19th century through deliberations among European governments mainly during the peace conferences in Brussels (1874) and The Hague (Hague Peace Conferences (1899 and 1907)), involving weak and strong governments, as well as scholars. The principle protecting individuals and their property evolved from the earlier distinction between combatants and non-combatants, and the duty to spare the latter from the scourge of war. The obligation to respect the sovereign rights of the ousted government reflects the final stages in the crystallization of the concept of sovereignty as a national claim for exclusive control over the nation’s territory and nationals. This two-pronged concept of occupation became part of general international law by the early 20th century.
3 During the 20th century the law of occupation was often breached. Many occupants either failed to recognize the applicability of the law of occupation or implemented it in ways that promoted their own interests at the expense of those of the occupied. The occupations by the Axis Powers before and during World War II were bent on establishing new orders in Europe and South East Asia, imposed through cruel ruthlessness. Soviet aims during that war were also far removed from the parameters of the law of occupation. Most ousted governments, from exile or upon their return, also accorded little respect to the law, refusing to acknowledge the validity of acts that the occupant had enacted. Another type of challenge emerged during the post-Cold War era by the United Nations post-conflict administration regimes such as in Kosovo and East Timor (1999), or multilateral regimes endorsed by the United Nations (‘UN’) such as in Somalia (1992), none of which acknowledged the applicability of the law of occupation to their missions except for the Australian unit in Somalia.
3. Conditions
5 The test is a factual one, and consists of two conditions. The first condition is obvious: as a result of the hostilities, the ousted government is incapable of publicly exercising its authority in that area. The meaning of the second condition has been the subject of controversy. It relates to the question whether the requirement is that the foreign army has actually substituted its own authority for that of the ousted government (the authority ‘est établie’ or ‘has been established’), or whether it is sufficient that the foreign army has only potential control, ie that it is actually controlling the area and therefore in a position to substitute its own authority for that of the former government (the authority ‘est … en mesure de s’exercer’, or ‘can be exercised’). If actual substitution of authority is required, an army that controls an area but refrains from actually exercising it vis-à-vis the civilian population will not be considered an occupant. This fine distinction was not debated by the drafters because the concern at the time was not that potential occupants would hesitate to assume authority once in control over enemy territory, but rather the opposite, namely that they would declare an area as occupied prematurely, before having consolidated their power over the area. The question became more acute since the latter half of the 20th century, as occupying forces tended to elude their responsibilities as occupants. The International Court of Justice (‘ICJ’) in its case Armed Activities on the Territory of the Congo (Democratic Republic of the Congo v Uganda) (‘Armed Activities [Congo v Uganda]’; at paras 173 and 177) adopted the first meaning, emphasizing actual control. It read Art. 42 Hague Regulations to require a demonstration that the foreign forces were not only stationed in particular locations but also that they had substituted their own authority for that of the ousted government. Although the ICJ gave no reasoning for its position, this matter is all but self-evident. Military manuals do not provide a consistent position on this question. Scholarly opinion from the days of the 1880 Manuel des lois de la guerre sur terre (‘Oxford Manual’) by the Institut de Droit international onwards mostly supports the second reading, which emphasizes the requirement of potential control. This requirement was endorsed by a trial chamber of the International Criminal Tribunal for the Former Yugoslavia (ICTY) in the case of Prosecutor v Naletilic and Martinovic, as well as by Judge Kooijmans in Armed Activities (Congo v Uganda) (Separate Opinion of Judge Kooijmans). This was also the opinion of the Israeli Court of Justice (in the case of Tzemel Adv v Minister of Defence and Commander of the Antzar Camp in 1983) when it required the Israeli Army to comply with the law of occupation in South Lebanon, and again in A and B v State of Israel in 2008, when it ruled that the Gaza Strip was no longer occupied by Israel after Israel’s so-called ‘disengagement’ in 2005. In its 2008 judgment, the Israeli Supreme Court pointed out that ‘the State of Israel has no permanent physical presence in the Gaza Strip’ and ‘no real ability to control what happens in the Gaza Strip in an effective manner’ (A and B v State of Israel para. 11).
6 It should be noted that even if one adopts the requirement of actual control as the interpretation of Art. 42 Hague Regulations, the fact that a foreign army has not substituted its authority in fact in a territory would not absolve it from some obligations applicable in occupied territories under Geneva Convention IV and the Geneva Conventions Additional Protocol I (1977) (‘Additional Protocol I’). Geneva Convention IV and Additional Protocol I enumerate several obligations—some negative, such as the prohibition on deportations, some positive, such as the obligation to ensure food and medical supplies to the population—applicable toward individuals who ‘find themselves in the hands of a foreign army’ also in occupied territories. Because Geneva Convention IV and Additional Protocol I do not have their own definition of occupation, nor of the circumstances where people ‘find themselves’ in the occupant’s hands, one could have argued that those provisions of Geneva Convention IV and Additional Protocol I related to occupied territory had no independent existence and were complementary to the occupation regime established by the Hague Regulations, and thus became applicable only in situations defined by Art. 42 Hague Regulations. Yet such an interpretation would have meant, for example, that a foreign army that refrained from establishing its own authority over the civilian population was not precluded for example from kidnapping local civilians or transferring them out of the area, or from transferring parts of its own civilian population into the territory. This outcome would clearly run contrary to the object and purpose of Geneva Convention IV and Additional Protocol I to safeguard protected persons when they are subjected to the power of the party to the conflict ‘to the maximum extent possible’—as the Appeals Chamber of the ICTY declared in Prosecutor v Tadić (Judgment) at para. 168 (Tadić Case).
7 Hence, at least with respect to obligations under Geneva Convention IV and Additional Protocol I, it is generally accepted that the obligations of an army that finds itself during armed conflict in a foreign territory do not depend on whether or not it actually exercises public authority there. Also to be noted is the implied statement of the ICJ in Armed Activities (Congo v Uganda), that a foreign army might be subjected to obligations not only under international humanitarian law but also under international human rights law and ‘which are relevant and applicable in the specific situation’ (at para. 180), when it raised the issue of State responsibility of the invading army and its responsibility ‘at all times … for all actions and omissions of its own military forces’ (ibid) in enemy territory.
8 The determination whether the conditions for occupation have been met at the relevant times and in the relevant place will be based on a case-by-case factual analysis. Effective control does not require that occupation forces are present in all places at all times. It is generally accepted that it is sufficient that the occupying force can, within a reasonable time, send detachments of troops to make its authority felt within the occupied area. The number of troops necessary to maintain effective occupation will depend on various factors such as the disposition of the inhabitants, the number and spread of the population, and the nature of the terrain. Battle areas may not be considered as occupied, but sporadic local resistance, even successful at times, will not render the occupation ineffective. Yet obviously, if the sending of troops requires them to engage in battle to recapture an area from the enemy, the area will not be considered occupied until the troops actually manage to establish their control over it. The difficulty of applying these considerations to factual situations is demonstrated by the scholarly debate concerning the status of the Gaza Strip following the Israeli withdrawal in 2005 and the continued Israeli control of the air and maritime borders of the Strip (see also Occupation, Military, Termination of).
9 Since occupation is a matter of fact, the proclamation of occupation or the establishment of an occupation administration are not formally required under the relevant legal texts, and their absence will not affect the status of the territory as occupied. The Oxford Manual called for such a requirement to be made as soon as possible (Art. 42 Oxford Manual). However, the prevailing expectation during the negotiations of the Hague Regulations was that occupants would make formal declarations as soon as the necessary conditions were met, and hence there was no need felt for requiring such a declaration.
10 Some occupants refrained from recognizing their status as such due to what they considered an implicit assumption of the law that by recognizing their status as occupants they might concede their lack of sovereign claims over the occupied area. To allay such concerns Art. 4 Additional Protocol I reiterates the principle that ‘[n]either the occupation of a territory nor the application of the Conventions and this Protocol shall affect the legal status of the territory in question’. As aptly stated by the Eritrea-Ethiopia Claims Commission in Central Front: Ethiopia’s Claim 2 between The Federal Republic of Ethiopia and the State of Eritrea (Partial Award), the international law of occupation must not be regarded as applicable only to territory the title to which is clear and uncontested. The protections of the law should not be cast into doubt because the belligerents dispute the status of territory (at paras 28–29).
11 A number of UN interventions to end conflicts in the post-Cold War era assumed authority to provide public order and administer civil life (International Administration of Territories). In some cases this assumption of control was based on an agreement with the local government, and hence could be regarded as pacific occupations. When the assumption of control was based on authority under Chapter VII UN Charter, for example in Kosovo (UN Mission in Kosovo 1999) and East Timor (UN Transitional Administration in East Timor 1999), a question was raised whether the UN administration should have been regarded as subject to, or at least guided by, the law of belligerent occupation, despite the lack of a direct military conflict, due to the lack of sovereign consent to the foreign administration. The relevant UN Security Council resolutions, and the administrations set up according to them, did not invoke the law of occupation nor recognized its constraints, although they did refer to ‘internationally recognized human rights standards’.