Abstract
United Nations peacekeeping operations have increasingly been deployed to situations of armed conflict and have frequently been targeted by parties to the conflict. Against this backdrop, the legal protection for personnel of United Nations peacekeeping operations in times of armed conflict has been developed particularly since the 1990s. International humanitarian law and the 1994 Convention on the Safety of United Nations and Associated Personnel are now the principal sources of legal protection for personnel of United Nations peacekeeping operations in times of armed conflict. However, they pose difficulties of a different nature in determining when those personnel are protected and when they are not, particularly when such personnel are engaged in hostilities in situations of non-international armed conflict. This chapter explores these issues in detail and concludes that the practice has not sufficiently evolved to resolve them.
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Notes
- 1.
- 2.
Geneva Convention for the Amelioration of the Wounded and Sick in Armed Forces in the Field of August 12, 1949, opened for signature 12 August 1949, 75 UNTS 31, entered into force 21 October 1950; Geneva Convention for the Amelioration of the Condition of Wounded, Sick and Shipwrecked Members of Armed Forces at Sea of August 12, 1949, opened for signature 12 August 1949, 75 UNTS 85, entered into force 21 October 1950; Geneva Convention Relative to the Treatment of Prisoners of War of August 12, 1949, opened for signature 12 August 1949, 75 UNTS 135, entered into force 21 October 1950; Geneva Convention Relative to the Protection of Civilian Persons in Time of War of August 12, 1949, opened for signature 12 August 1949, 75 UNTS 287, entered into force 21 October 1950.
- 3.
Protocol Additional to the Geneva Conventions of 12 August 1949, and Relating to the Protection of Victims of International Armed Conflicts, opened for signature 12 December 1977, 1125 UNTS 3, entered into force 7 December 1978 (Additional Protocol I); Protocol Additional to the Geneva Conventions of 12 August 1949, and Relating to the Protection of Victims of Non-International Armed Conflicts, opened for signature 12 December 1977, 1125 UNTS 609, entered into force 7 December 1978 (Additional Protocol II).
- 4.
ICRC 1999, pp 22 and 23.
- 5.
See e.g., UN Secretary-General 1992, paras 66–68, and UN Secretary-General 1993; UN Security Council 1993. See also Bloom 1995; Bourloyannis-Vrailas 1995a, 2000; Bouvier 1995; Kindred 1995; Kirsch 1995; Arsanjani 1996; Greenwood 1996; Maybee 2002; Engdahl 2005; Fleck 2006; Llewellyn 2006; Sassòli 2008; Doria 2009; Bangura 2010; Gadler 2010; Engdahl 2012; Pacholska 2015.
- 6.
UN General Assembly 1993b.
- 7.
UN General Assembly 1994b; Convention on the Safety of United Nations and Associated Personnel, opened for signature 15 December 1994, 2051 UNTS 363, entered into force 15 January 1999 (Safety Convention).
- 8.
UN General Assembly 1994a.
- 9.
Rome Statute of the International Criminal Court, opened for signature 17 July 1998, 2187 UNTS 3, entered into force 1 July 2002 (ICC Statute).
- 10.
UN Security Council 1999.
- 11.
African Union-United Nations Hybrid Operation un Darfur (UNAMID), United Nations Mission in the Central African Republic and Chad (MINURCAT), United Nations Mission in the Republic of South Sudan (UNMISS), United Nations Mission in the Sudan (UNMIS), United Nations Interim Force in Lebanon (UNIFIL), United Nations Mission of Support in East Timor (UNMISET), United Nations Multidimensional Integrated Stabilization Mission in the Central African Republic (MINUSCA), United Nations Multidimensional Integrated Stabilization Mission in Mali (MINUSMA), United Nations Operation in Côte d’Ivoire (UNOCI), United Nations Operation in Burundi (ONUB), United Nations Organization Interim Security Force for Abyei (UNISFA), United Nations Organization Mission in the Democratic Republic of the Congo (MONUC) and United Nations Organization Stabilization Mission in the Democratic Republic of the Congo (MONUSCO), United Nations Transitional Administration in East Timor (UNTAET).
- 12.
- 13.
For the definition of the term ‘non-international armed conflict’, see generally, ICRC 2008.
- 14.
For the definition of the term ‘international armed conflict’, see ICRC 2008.
- 15.
- 16.
See, for example, Bouvier 1995, p 652; Kirsch 1995, p 105; Greenwood 1998, pp 22–28; Kolb 2003, p 67; Zwanenburg 2005, pp 182–186; Sassòli 2008, p 104; Vité 2009, pp 19–20; Garraway 2010, pp 132–133; Kleffner 2010, p 58; ICRC 2011, pp 10 and 31; David 2013, pp 664–665; Ferraro 2013, pp 596–597; Sheeran and Case 2014, pp 6–7; Clapham 2015, pp 8–9; Moir 2015, pp 399–400; ICRC 2016, paras 411–413.
- 17.
See, for example, Security Council resolution 2149 (2014) of 10 April 2014 which established the latest United Nations peacekeeping operation, MINUSCA. UN Security Council 2014b, para 20.
- 18.
- 19.
- 20.
See, for example, UN Security Council 2015b, paras 31 and 32(b)(viii).
- 21.
See, for example, UN Security Council 2016b, paras 17 and 19(g).
- 22.
See, for example, UN Security Council 2016b, paras 17 and 19(c)(ii) and (d).
- 23.
- 24.
- 25.
See, for example, in the context of MONUC and MONUSCO, UN Secretary-General 2004, para 23; UN Secretary-General 2009a, paras 11, 15, 20; UN Secretary-General 2009b, para 15; UN Secretary-General 2009c, paras 9, 19; UN Secretary-General 2009d, paras 5, 11; UN Secretary-General 2010a, paras 8, 10; UN Secretary-General 2010b, paras 10, 19, 21, 22; UN Secretary-General 2011c, paras 14, 20; UN Secretary-General 2012, paras 19, 26; UN Secretary-General 2013a, paras 15, 20; UN Secretary-General 2014a, paras 19, 21, 23, 39; UN Secretary-General 2015a, paras 36, 38; UN Secretary-General 2016, paras 24, 31, 37, 38. See also, in the context of MINUSMA, UN Secretary-General 2014b, para 51; UN Secretary-General 2015b, para 25; UN Secretary-General 2015c, para 22.
- 26.
- 27.
ICRC 1999, pp 22 and 23.
- 28.
ICRC 2016, para 545.
- 29.
Ibid., paras 521–523; Kleffner 2015, p 436.
- 30.
- 31.
Sandoz 1987, paras 4520, 4564, 4567, 4599, 4642.
- 32.
- 33.
ICTR, Prosecutor v Bagosora et al., Trial Judgment, 18 December 2008, Case No. ICTR-98-41-T, para 783.
- 34.
Ibid., para 789.
- 35.
Ibid., para 2239.
- 36.
Ibid., para 2240.
- 37.
Ibid., paras 2245, 2258. The Appeals Chamber later found that Bagosora was not responsible for the deaths of the four Belgian military personnel who were killed before his arrival at the scene, but was still responsible for the deaths of the other six Belgian military personnel. ICTR, Bagosora and Nsengiyumva v Prosecutor, Appeals Judgment, 14 December 2011, Case No. ICTR-98-41-A, paras 634 and 742.
- 38.
ICTR, Prosecutor v Ndindiliyimana et al., Trial Judgment, 17 May 2011, Case No. ICTR-00-56-T, paras 2140 and 2146.
- 39.
Ibid., paras 2149, 2154, 2156, 2162. The Appeals Chamber later reversed the findings of the Trial Chamber with respect to Nzuwonemeye and parts of the findings with respect to Sagahutu. ICTR, Ndindiliyimana et al. v Prosecutor, Appeals Judgment, 11 February 2014, Case No. ICTR-00-56-A, para 449.
- 40.
ICTY, Prosecutor v Karadžić, Trial Judgment, 24 March 2016, Case No. IT-95-5/18-T, para 5852.
- 41.
Ibid., para 5943.
- 42.
Ibid., para 6071.
- 43.
While the focus of this chapter is on NIACs, Article 37(1)(d) of 1977 Additional Protocol I, which only applies in IACs, prohibits the killing, injuring or capturing of an adversary by feigning protected status by the use of signs, emblems or uniforms of the United Nations, and Article 38(2) prohibits the use of the distinctive emblem of the United Nations, except as authorized by the United Nations. These provisions do not directly provide legal protection for personnel of United Nations peacekeeping operations. However, as far as Article 37(1)(d) is concerned, Committee III of the Diplomatic Conference at which Protocol I was negotiated stated that ‘the misuse of United Nations signs, emblems or uniforms would be perfidious in cases where the United Nations and its personnel enjoyed a neutral protected status, but not, of course in situations where the United Nations forces were involved as combatants in a conflict.’ Thus, the protected status of United Nations personnel was already recognized at the time, and it was also recognized that such protected status could be lost when United Nations forces were involved as combatants in a conflict. See Switzerland 1978, Vol. 15, at 382.
- 44.
Agreement between the United Nations and the Government of Sierra Leone on the Establishment of a Special Court for Sierra Leone (with Statute), opened for signature 16 January 2002, 2178 UNTS 137, entered into force 12 April 2002.
- 45.
UNTAET 2000.
- 46.
Henckaerts and Doswald-Beck 2005, p 112.
- 47.
See e.g., UN Security Council 1994, para 204; Bourloyannis-Vrailas 2000, p 363; UN Secretary-General 2000a, para 16; Bothe 2002, p 411; Henckaerts and Doswald-Beck 2005, p 112; Faite 2007, p 156; Special Court for Sierra Leone, Prosecutor v Sesay et al., Trial Judgment, 2 March 2009, Case No. SCSL-04-15-T (Sesay et al. Trial, 2009), paras 215 and 218; Ferraro 2013, p 570.
- 48.
Ibid.
- 49.
Sesay et al., Trial, 2009, above n. 47, para 1937; Special Court for Sierra Leone, Prosecutor v Sesay et al., Appeals Judgment, 26 October 2009, Case No. SCSL-04-15-A (Sesay et al., Appeals, 2009), para 531; ICC, Prosecutor v Abu Garda, Decision on the Confirmation of Charges, 8 February 2010, Case No. ICC-02/05-02/09 (Abu Garda 2010), para 132; ICC, Prosecutor v Banda and Jerbo, Corrigendum of the ‘Decision on the Confirmation of Charges’, 7 March 2011, ICC-02/05-03/09 (Banda and Jerbo 2011), para 76; Bothe 2002, p 411; Henckaerts and Doswald-Beck 2005, p 112; Faite 2007, p 156; Cottier 2008, p 334; Ferraro 2013, p 570.
- 50.
Henckaerts and Doswald-Beck 2005, p 19.
- 51.
ICRC 2009.
- 52.
Ibid., p 65.
- 53.
This also appears to be the approach taken in the Secretary-General’s Bulletin on the observance by United Nations forces of international humanitarian law. UN Secretary-General 1999, para 1.1.
- 54.
Sesay et al., Trial, 2009, above n. 47, paras 1890, 1892, 1895, 1899 and 1900.
- 55.
Ibid., paras 1830, 1843 and 1859.
- 56.
Ibid., para 233.
- 57.
Ibid.
- 58.
Ibid., para 1937.
- 59.
Ibid., paras 680, 683 and 686.
- 60.
Sesay et al., Appeals, 2009, above n. 49, para 529.
- 61.
Ibid., para 531.
- 62.
Abu Garda 2010, above n. 49. The Pre-Trial Chamber declined to confirm the charges against Abu Garda. Therefore, there are no pending proceedings with respect to this case.
- 63.
Banda and Jerbo 2011, above n. 49. The Pre-Trial Chamber confirmed the charges against Banda and Jerbo, thereby clearing the way to trial proceedings. It is noted that Pre-Trial Chamber II of the ICC also authorized investigation into alleged attacks against the personnel of UNOCI. ICC, Situation in the Republic of Côte d’Ivoire, Decision on the authorisation of an investigation into the situation in the Republic of Côte d’Ivoire, 3 October 2011, ICC-02/11 (Situation in Côte d’Ivoire). However, no charges concerning the crime of attacking personnel of a peacekeeping mission have been filed. ICC, Prosecutor v Gbagbo, Decision on the confirmation of charges against Laurent Gbagbo, 12 June 2014, ICC-02/11-01/11 and Prosecutor v Blé Goudé, Decision on the confirmation of charges against Blé Goudé, 11 December 2014, ICC-02/11-02-11.
- 64.
Abu Garda 2010, above n. 49, para 83.
- 65.
Banda and Jerbo 2011, above n. 49, para 75.
- 66.
Abu Garda 2010, above n. 49, para 131.
- 67.
Ibid., para 132; Banda and Jerbo 2011, above n. 49, para 76.
- 68.
- 69.
Above n. 25, in particular regarding MINUSMA.
- 70.
See, for example, ICRC 2015, p 25. Since 2009, the United Nations Support Office to the African Union Mission in Somalia (UNSOA) and its successor, the United Nations Support Office in Somalia (UNSOS), which are largely composed of civilian personnel, have provided logistical support to the African Union Mission in Somalia (AMISOM), which has been engaged in an armed conflict with armed groups in Somalia. However, it is unlikely that the support provided by civilian personnel of UNSOS to AMISOM amounts to a direct participation in hostilities as the support is limited mainly to the provision of materials and services, such as rations, fuel, water, accommodation and infrastructure, maintenance services, armoured personnel carriers, engineering equipment, medical support, aviation, strategic communications explosive hazard management capacities and strategic personnel and equipment movements. See UN Security Council 2015c, para 2(a). Such support does not appear to fall within the ICRC’s standard that a civilian is taking a direct part in hostilities when he or she is acting in support of a party to the conflict and carrying out acts which may adversely affect the military operations or military capacity of the enemy, or which may inflict death, injury or destruction on persons or objects protected against direct attack. See ICRC 2009.
- 71.
- 72.
See, for example, Ferraro 2013, p 605. Another author draws an analogy between a UN peacekeeping operation and a non-State armed group (instead of armed forces of a State). This author recalls that, when an armed group becomes a party to an armed conflict, the ICRC considers that their members with a ‘continuous combat function’ are not entitled to the protection from direct attacks. Following this approach, this author argues that members of a UN peacekeeping operation with a ‘continuous combat function’ lose the protection from direct attacks, while other members of the operation are protected. Pacholska 2015, pp 57 and 69. See also Sheeran and Case 2014, p 10.
- 73.
- 74.
ICRC 2009, p 46.
- 75.
ICTY, Prosecutor v Tadic Case, Jurisdiction, Appeals, 2 October 1995, Case No. IT-94-1, para 70.
- 76.
Sesay et al., Trial, 2009, above n. 47, paras 1830, 1843 and 1859.
- 77.
Ibid., para 1937.
- 78.
An argument has also been made that such support to the armed forces of a State would render a peacekeeping operation a party to the conflict. See Ferraro 2013, pp 583–587; ICRC 2015, pp 22–23. Some experts have, however, questioned this approach. See, for example, American Society of International Law 2014, p 157; Royal Institute of International Affairs 2014, p 6.
- 79.
See, for example, High-level Independent Panel on Peace Operations 2015, para 122. In the Mudacumura case, while it fell short of declaring that MONUC was a party to a NIAC, Pre-Trial Chamber II of the ICC stated that ‘there was an armed conflict in the territory of the DRC … of a non-international character’ and that ‘this armed conflict was between the FDLR … and the FARDC, in coalition with … MONUC during Kimia II and Amani Leo [FARDC operations supported by MONUC]’. ICC, Prosecutor v Mudacumura, Decision on the Prosecutor’s Application under Article 58, 13 July 2012, Case No. ICC-01/04-01/12, paras 31 and 34. See also ICC, Prosecutor v Mbarushimana, Decision on the confirmation of charges, 16 December 2011, Case No. ICC-01/04-01/10, paras 95 and 107. With respect to the situation in Côte d’Ivoire, Pre-Trial Chamber II of the ICC took note of the ICC Prosecutor’s intention to assess whether the support of UNOCI and French forces to pro-Ouattara forces in order to arrest Mr. Laurent Gbagbo, former President of Côte d’Ivoire, in April 2011 rendered the conflict an IAC, but it appears that such an assessment has not been undertaken. Situation in Côte d’Ivoire, above n. 63, para 127.
- 80.
UN Secretary-General 2004, paras 23 and 24.
- 81.
- 82.
- 83.
Sheeran and Case 2014, pp 6–9.
- 84.
See also UN International Law Commission 1996, para 104.
- 85.
See, for example, Protocol amending the Agreement between the United Nations and the Democratic Republic of the Congo on the status of the United Nations Mission in the Democratic Republic of the Congo, opened for signature 6 June 2006, entered into force 6 June 2006; Agreement between the United Nations and the African Union and Sudan concerning the status of the African Union/United Nations Hybrid Operation in Darfur, opened for signature 9 February 2008, 2503 UNTS 217, entered into force 9 February 2008, para 48; Status of Forces Agreement between the United Nations and the Government of the Central African Republic relating to the United Nations Multidimensional Integrated Stabilization Mission in the Central African Republic, opened for signature 2 September 2014, entered into force 2 September 2014, para 49.
- 86.
The scope of this exclusion clause has been a subject of some debate. Bloom 1995, pp 625–626; Bourloyannis-Vrailas 1995b, pp 567–568; Bouvier 1995, pp 660–661; Kindred 1995, p 275; Kirsch 1995, p 105; Arsanjani 1996, pp 132–134; Greenwood 1996, pp 197–202; Engdahl 2005, pp 60–61; Zwanenburg 2005, pp 168–170.
- 87.
- 88.
Ad Hoc Committee 1994b, annex I, para 13.
- 89.
Ibid., para 14.
- 90.
Ad Hoc Committee 1994a, p 56.
- 91.
Ad Hoc Committee 1994b, annex I, para 12.
- 92.
Ibid., para 11. This proposal was subsequently slightly modified. See Working Group 1994, at 7. The modified version eventually became Article 2(2) of the Safety Convention.
- 93.
Ad Hoc Committee 1994b, annex I, para 14.
- 94.
- 95.
UN Secretary-General 2000b, paras 7, 12, 27–35.
- 96.
Ibid., para 9.
- 97.
Working Group 2003, at 4.
- 98.
Working Group 2004, at 5.
- 99.
Ad Hoc Committee 2004, para 39. Costa Rica also made the following reservation to the Safety Convention which, according to Costa Rica, reflected its position mentioned above: ‘The Government of the Republic enters a reservation to Article 2, para 2, of the Convention, to the effect that limiting the scope of application of the Convention is contrary to the pacifist thinking of our country and, accordingly, that, in the event of conflicts with the application of the Convention, Costa Rica will, where necessary, give precedence to humanitarian law.’ See also UN General Assembly 2001, para 33.
- 100.
- 101.
Working Group 2004, para 23.
- 102.
Ibid., para 26.
- 103.
Ad Hoc Committee 2005, para 46.
- 104.
- 105.
- 106.
UN International Law Commission 1996, para 104.
- 107.
UN Diplomatic Conference of Plenipotentiaries on the Establishment of an International Criminal Court 1998, p 28.
- 108.
Ibid.
- 109.
- 110.
UN Diplomatic Conference of Plenipotentiaries on the Establishment of an International Criminal Court United Nations 2002, pp 214 and 227.
- 111.
UN General Assembly 2013, para 11.
- 112.
UN General Assembly 2016, para 11.
- 113.
UN Security Council 2014c.
- 114.
- 115.
UN Security Council 2011.
- 116.
- 117.
UN Security Council 2013b.
- 118.
- 119.
- 120.
See the status-of-forces agreements for MONUSCO, UNAMID and MINUSCA, above n. 85.
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Okimoto, K. (2020). The Legal Protection of Personnel of United Nations Peacekeeping Operations in Times of NIAC. In: Heffes, E., Kotlik, M., Ventura, M. (eds) International Humanitarian Law and Non-State Actors. T.M.C. Asser Press, The Hague. https://doi.org/10.1007/978-94-6265-339-9_4
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