Introduction
The principle of equality of belligerents (hereinafter referred to simply as “the principle”) is a consequence of the separation between jus ad bellum, on the one hand, and jus in bello, otherwise known as international humanitarian law (IHL), on the other. It mandates that the rules of IHL apply equally to each party in an armed conflict, regardless of the legality of their use of force under jus ad bellum. For example, a State which considers itself a victim of an aggression by another State cannot disregard IHL simply because it is the victim of an illegal armed attack. The fifth paragraph of the preamble to Additional Protocol I to the Geneva Conventions (AP I) clarifies the scope of the principle. It states that the rules of IHL
must be fully applied in all circumstances to all persons who are protected by [the Geneva Conventions and their Additional Protocols], without any adverse distinction based on the nature or origin of the armed conflict or on the causes espoused by or attributed to the Parties to the conflict.Footnote 1
The principle has been extensively analyzed in academic literature; its importance is universally recognized and its legal foundations and effects are well defined.Footnote 2 However, this is primarily true with respect to its application in international armed conflicts (IACs), which typically involve two or more States – indeed, the principle was conceived with this type of conflict in mind. In contrast, the principle does not receive equivalent recognition in situations of non-international armed conflict (NIAC), where at least one party is a non-State armed group. The issue arises from the lack of an accepted definition of the principle in NIACs, which then creates uncertainty around its application in such conflicts.Footnote 3 Jus ad bellum indeed does not apply in a NIAC taking place within the territory of a single State, and this deprives the principle of a key element of its accepted definition in IACs. In this context, international law does not regulate the authorization or prohibition of the use of force: Article 2(4) of the United Nations (UN) Charter, which prohibits the use of force, is applicable only to States “in their international relations”.Footnote 4
While there have been attempts to define the principle in academic literature,Footnote 5 no unified or coherent proposal has emerged. Some authors refer to the notion of “equal application” of IHL to the parties in a NIAC but do not clearly define this concept or do not apply it in the same manner as in IACs. Other authors use the principle to argue for the binding nature of IHL on non-State parties to the conflict. Sometimes, multiple interpretations of the principle coexist within a single doctrinal workFootnote 6 or are indistinctly combined, leaving the exact meaning of the principle unclear.Footnote 7
Faced with the absence of a central element in defining the principle, the academic literature seems uncertain about its meaning, legal basis, and effects in NIACs. In this research paper, the author will attempt to address these questions. The paper proposes that the principle is composed of two elements: symmetry of application and symmetry of substance. The first concerns the equal application of IHL rules by the parties to the conflict, regardless of any potential discriminatory factors; the second ensures that IHL rules are drafted symmetrically. The paper will begin by presenting these elements as they apply to IACs. It will then argue that the principle in NIACs is primarily defined by its symmetry of substance component, before moving on to discuss the principle’s meaning and scope. The paper will then evaluate the principle’s nature as a general principle of IHL, and finally will explore some of its concrete effects on IHL rules. The paper will not address other pressing issues related to the adaptation of the principle in NIACs, such as its interaction (or lack thereof) with domestic law or international human rights law.
The principle of equality of belligerents in IACs: The two constitutive elements
As mentioned above, the author proposes that the principle is composed of two constitutive elements. In IACs, the principle mandates an equal application of IHL rules to all parties to the conflict, irrespective of any discriminatory factors. These factors include the legality of the use of force by the parties, the just or unjust nature of their struggle, the origins of the conflict, and the motivations of the belligerents. This aspect of the principle is referred to as “symmetry of application”. It ensures that the application of IHL by the parties cannot vary based on extralegal or irrelevant considerations. Therefore, symmetry of application concerns the fact that every party to the conflict must implement IHL rules equally.
The second constitutive element of the principle, in the author’s view, is the “symmetry of substance” of IHL rules. It is ensured in IACs by the principle of the sovereign equality of States, and it implies that the behaviour of the parties to the conflict is regulated by a set of rules with equivalent content for each party. In other words, this symmetry does not guarantee that IHL rules are applied equally, but that they are drafted symmetrically and identically for each party. Indeed, international law rules, whether customary or conventional, are designed to be identical for all concerned States. Consequently, if two States involved in an IAC are parties to an IHL treaty, symmetry of substance means that, as a matter of principle, the rules outlined in the treaty must be identical for both. However, the concept of symmetry of substance must be understood more thoroughly. It does not signify that all States must be bound symmetrically by all IHL rules. For instance, a State party to an IAC might have ratified an IHL convention, while its adversary has not. States remain free to ratify or not ratify a convention or to become a persistent objector to a customary rule in the making. States may also theoretically agree to establish a treaty providing for asymmetrical rules; formally, nothing prevents them from doing so. Nor is there anything to prevent States from unilaterally committing to certain IHL obligations. Therefore, States can derogate to symmetry of substance if they consent to it. Nevertheless, by default, IHL rules are drafted identically for each of the involved States.
Symmetry of substance in IHL is not, however, guaranteed by the principle of sovereign equality in certain types of IACs – namely, in conflicts between national liberation movements (NLMs) and States. In these situations, symmetry is ensured by the principle of equality of belligerents itself: symmetry of substance has been explicitly affirmed based on the principle and following the classification of conflicts involving NLMs as IACs by AP I.Footnote 8 Article 96(3)(c) of AP I stipulates that AP I and the Geneva Conventions “are equally binding upon all Parties to the conflict”. Given the absence of sovereign equality, this provision relies on the principle of equality of belligerents, as confirmed by AP I’s CommentaryFootnote 9 and preparatory works.Footnote 10
The reference to the principle in Article 96(3)(c) of AP I involves symmetry of substance rather than symmetry of application, since the article does not address the implementation of IHL rules but rather addresses those rules’ symmetrical character for all parties to the conflict, whether State or non-State. Article 96(3)(c) establishes the binding force of the Geneva Conventions and AP I on NLMs, and also ensures that these rules are symmetrical for all parties involved. This concept was articulated by Norway when it proposed the text of the future Article 96(3). The Norwegian delegate indicated that the purpose of this amendment was “to establish a procedure whereby national liberation movements would have the same rights and obligations as the High Contracting Parties to the Geneva Conventions of 1949 and to Protocol I”.Footnote 11
In the present author’s view, this idea is also reflected in the remarks of the delegate of the Federal Republic of Germany, who emphasized “the utmost importance” of a provision allowing NLMs to assume “the same rights and obligations as those which had been assumed by a High Contracting Party” at the 1977 Diplomatic Conference.Footnote 12 Once again, the focus is not on the equal application or implementation of IHL rules but on the imposition of identical rules on both NLMs and State parties to the conflict.
The symmetry of substance of the rules for IACs involving NLMs was also affirmed in the preparatory works of AP I on another occasion. Following the classification of wars of national liberation as IACsFootnote 13 at the 1974 Diplomatic Conference, a key question arose: under what conditions could members of guerrilla movements affiliated with NLMs obtain prisoner of war (PoW) status? Specifically, it was debated whether NLM members were required to distinguish themselves from the civilian population by means of a fixed and distinctive emblem recognizable from a distance. It was necessary to determine if this criterion could be imposed as a condition for granting PoW status to NLM members. Asymmetrical obligations were proposed: one set for NLMs and another for government forces. Advocates for NLMs argued that the condition of distinguishing themselves from the civilian population should be abolished or relaxed due to their precarious material situation, contending that it was difficult, if not impossible, for their members to maintain such distinction at all times.Footnote 14 Blending in with the civilian population was an integral tactic in their struggle, essential for overcoming often better-equipped government forces.Footnote 15 The original text of draft Article 42 of AP I (now Article 44) thus provided that “members of organized resistance movements” – and only those members – would receive PoW status if they distinguished themselves from the civilian population “in military operations”.Footnote 16 In contrast, draft Article 42 required government forces to distinguish themselves from the civilian population at all times, as mandated by Geneva Convention III (GC III).Footnote 17 This amendment faced substantial criticism, with many objections based on the principle, condemning the imposition of asymmetrical obligations on the parties to the conflict.Footnote 18
Draft Article 42 was subsequently amended and reworded to eliminate any distinction based on the nature of the parties to the conflict. As a result, both NLM members and State armed forces can benefit from a (restrictive) exception to the requirement for distinguishing the civilian population during military operations.Footnote 19 The Algerian delegate noted that this final wording was a guarantee of the “principle of legal equality … between a soldier serving in conventional armed forces and a combatant belonging to a liberation movement”.Footnote 20 Thus, the symmetry of substance of the rules for the parties to the conflict was defended on this occasion. The goal was not to impose compliance with or application of IHL on the parties but to establish rules that were symmetrical for all parties involved in the conflict.
In conclusion, the author proposes that the principle of equality of belligerents is primarily defined in IACs as a symmetry of application. While its element of symmetry of substance is present in this type of conflict, it is only to a minor extent. This understanding of the principle has so far only been articulated in the context of wars of national liberation, insofar as IACs are concerned.Footnote 21 Nonetheless, it imposes a symmetrical character on the rules that apply to those rare IACs in which at least one of the parties does not benefit from sovereign equality.
The principle of equality of belligerents in NIACs: A sketch of a definition, based on State practice
In the author’s view, the principle applicable in NIACs comprises the two same elements as in IACs. However, it is proposed that, unlike its application in IACs, the principle should be defined in NIACs as primarily involving a symmetry of substance. While symmetry of application is equally relevant and important in NIACs and IACs, it is more implicit and seems to be accepted without significant criticism or major challenge in NIACs. It is proposed that this symmetry prohibits the same elements of discrimination as in IACs, with the difference that international jus ad bellum is replaced by domestic law. Accordingly, no party to the conflict may refuse to apply IHL on extralegal grounds or on the basis that the State’s domestic laws prohibiting the use of force have been violated. With these exceptions, symmetry of application operates similarly for both IACs and NIACs.Footnote 22
This research paper focuses on the second element of the principle – that is, symmetry of substance. To date, no author appears to have provided an authoritative commentary on the symmetry of substance of IHL rules, as protected by the principle, in either IACs or NIACs. Furthermore, defining symmetry of substance allows for a clearer determination of the scope of various assertions that parties to a NIAC are “equally subject”Footnote 23 to IHL rules or that these rules equally bind or apply to all parties to the conflict.Footnote 24 Just as in IACs involving NLMs and States, the symmetrical nature of the rules in NIACs is not guaranteed by the principle of sovereign equality of States.
It is submitted that the principle must therefore ensure the identical character of the applicable rules. In the absence of symmetrical rules, it is difficult to imagine that a party to an armed conflict would agree to abide by more restrictive legal constraints than its adversary. Only symmetrical rules can effectively govern the behaviour of the parties in an armed conflict. The principle aims to safeguard IHL by maintaining the conditions for mutual respect for the rules imposed on each party to the conflict. It forms the foundation of IHL, upon which the latter’s effectiveness relies, and prevents a negative spiral of IHL violations that could ultimately lead to the collapse of this body of law, rendering it inapplicable in practice. This view is confirmed by various authors who place the principle in NIACs within the perspective of a sociological dynamic of reciprocityFootnote 25 and recognize that dynamic as a central element for ensuring respect for IHL in such conflicts.Footnote 26
The principle thus compensates for the absence of sovereign equality for armed groups by ensuring the existence of symmetrical IHL rules for all parties to the conflict. However, it is important to note that the principle is not equivalent to the principle of sovereign equality of States: it does not grant the non-State party to the conflict a legal status comparable to that of a State. Like IHL overall, the principle is pragmatic in nature. Its significance and relevance arise from the existence of an armed conflict involving multiple actors, and in such situations, the only way to regulate violence is to establish that the rules must be the same for all parties involved. The principle does not entail recognizing any equality of status among the different parties to the conflict.Footnote 27 The present author therefore disagrees with Terry Gill, the only other author who has identified the concept of symmetry of substance, when he conflates that concept with equality of status between States and armed groups.Footnote 28
Some State practice recognizes that the principle in NIACs involves a symmetry of substance. When drafting Additional Protocol II to the Geneva Conventions (AP II) and Article 3 common to the Geneva Conventions (common Article 3), States ensured (1) that the rules of IHL were binding on armed groups and (2) that these rules of IHL were identical for both States and armed groups.Footnote 29 This logic was then mirrored in other IHL instruments applicable in NIACs. More recently, several UK courts have interpreted the principle as involving a symmetry of substance. For example, the UK Court of Appeal has stated:
One of the reasons why the States subscribing to what became Common Article 3 and APII did not make provision for a power to detain in a non-international armed conflict was that to do so would have enabled insurgents to claim that the principles of equality, equivalence and reciprocity (which would be usual in international humanitarian law) meant that they would also be entitled to detain captured members of the government’s army.Footnote 30
This view was later confirmed in an appeal made from the same case by Lord Reed of the Supreme Court:
[S]ince international humanitarian law is generally understood as being reciprocal in its operation …, the authorisation of detention in non-international armed conflicts would have entailed that States recognised the legitimacy of detention by dissident armed groups (for example, the legitimacy of the detention of British and American troops in Afghanistan by the Taliban): something which would be anathema to most States.Footnote 31
The vocabulary used by the Court of Appeal and by Lord Reed regarding the principle is not particularly rigorous, but it represents an explicit reference to a concept that appears to align with the symmetry of substance of the principle in the context of a NIAC. In this case, States seem to recognize that if a right or prerogative applies to them in a NIAC, it would also apply to non-State armed groups engaged in the conflict.Footnote 32 These considerations were reiterated during discussions on the development of the rules related to detention in NIACs. On this occasion, several States noted that the recognition of a right to detain in NIACs for States would similarly apply to armed groups. During the discussions,
[s]ome States expressed particular concern that if grounds and procedures for detention by non-State parties to NIACs were regulated, this would implicitly grant the non-State parties to NIACs a right to detain …. Other States strongly emphasized the need to regulate detention by non-State parties to NIACs and indicated that an outcome document would need to apply to such parties as well as to States.Footnote 33
A significant number of States therefore recognize that emerging IHL must possess a symmetrical content and must apply to each party to a NIAC.
Belgium also appears to have developed an explicit position on the principle in NIACs in the context of anti-terrorism rules. The State has made pertinent comments on the 1997 International Convention for the Suppression of Terrorist Bombings, which criminalizes the use of explosive devices in public places but includes an exclusion clause to prevent criminalizing acts of armed forces, whether governmental or belonging to an armed group, in situations of armed conflict, which are governed by IHL.Footnote 34 Belgium notes that it played a decisive role in the negotiations to ensure the Convention’s neutrality with respect to IHL and to place government armed forces and other armed forces on an equal footing.Footnote 35 Earlier drafts had proposed excluding only acts committed by State armed forces in situations of armed conflict, thereby criminalizing similar acts if committed by members of non-State armed groups.Footnote 36
The International Committee of the Red Cross (ICRC) has also commented on this exclusion clause during debates on the adoption of another convention on the suppression of terrorism:
It is understood from the negotiation of this clause that acts committed by the party to a non-international armed conflict other than a State, namely an armed group, are excluded from the applicability of the 1997 Convention. The ICRC believes, both because of the intrinsic logic of IHL and of its experience in promoting respect for humanitarian law in the midst of armed conflicts, that the same rules must be applicable to both opponents on the battlefield.Footnote 37
Indeed, avoiding asymmetrical criminalization of conduct governed by IHL can be seen as a logical consequence of the symmetrical character of rules applicable to each party in a conflict.Footnote 38
Finally, to the author’s knowledge, no State engaged in a NIAC considers that IHL rules applicable to it are or should be different from those applicable to the armed group that it is fighting against, or that these rules should not apply to the armed group in question.Footnote 39 Instead, generally speaking, States involved in a NIAC tend to deny the very existence of the conflict itself.Footnote 40 In these cases, States refuse to apply IHL based on the denial of the existence of a NIAC rather than on an assertion that IHL rules are asymmetrical for States and armed groups.
Meaning and scope of symmetry of substance in the context of a NIAC
In the present author’s view, the symmetry of substance of the principle of equality of belligerents applies to both rights and obligations.Footnote 41 Thus, as explained in the previous section, for IHL rules to be effective, there should be no asymmetry in their formulation based on the identity of the parties to the conflict (i.e., State or non-State). Moreover, it is argued that the question of symmetry of substance is independent of the question of the binding force of IHL for armed groups, although these issues are often treated together indistinctly. In fact, since all rules applicable in NIACs are designed to be symmetrical for both States and armed groups, asserting that these rules are binding on each party to the conflict supports the idea of symmetry. Therefore, both the notions of binding force and symmetry aim to achieve the same overall objective: ensuring that both armed groups and States are bound by symmetrical rules.
Furthermore, the binding force of IHL on armed groups is a fundamental prerequisite for regulating NIACs and the existence of the principle.Footnote 42 The confusion between symmetry of substance and binding force explains, in the author’s view, why the principle is sometimes invoked in academic work to support the binding nature of IHL rules applicable to armed groups in NIACs. However, despite the overlap between these issues, the principle is primarily presented by the academic literature as involving symmetry of substance.Footnote 43 Another reason the author believes that binding force and symmetry of substance are distinct legal issues is related to current debates on the binding force of IHL on armed groups. While it is now accepted that armed groups are bound by IHL rules applicable in NIACs,Footnote 44 there is still no consensus in academic debate regarding the legal mechanism for this.Footnote 45 None of the relevant theories even suggest that the rules of IHL should be identical for each party to the conflict.
It is important to note that, as previously explained in relation to IACs, symmetry of substance is not absolute. In the author’s view, parties to an armed conflict can agree to asymmetrical rules. The principle does not prevent a special agreement within the meaning of common Article 3 from imposing different rules for each party to the conflict. Similarly, a party to the conflict may unilaterally agree to adhere to more restrictive rules for its own conduct, even if no corresponding obligations are imposed on its adversary; for example, an armed group might agree not to use anti-personnel mines,Footnote 46 even if the State it is fighting has not ratified the Ottawa Convention banning them. The same applies to States that establish conventions applicable in NIACs, but which only apply to States party to that convention, to the exclusion of armed groups. This is particularly relevant to certain treaties on weapon prohibition.Footnote 47
However, two points should be made on this topic. Firstly, in these cases, the consent of the parties to the conflict is crucial. States may agree to prohibit their own use of a particular weapon without extending the scope of the convention to armed groups. Conversely, the symmetry of substance of the principle implies that a convention cannot prohibit only armed groups from using a weapon without imposing an identical obligation on States.Footnote 48 Moreover, such conventions are exceptions rather than the rule, as States typically prefer to avoid being unilaterally bound by obligations towards armed groups. Secondly, it should be emphasized that the parties can only unilaterally agree to obligations and constraints;Footnote 49 a party to the conflict cannot unilaterally grant itself rights or prerogatives that the opposing party does not have.Footnote 50 Additionally, the exception to symmetry of substance based on consent highlights why the principle does not address the binding force of IHL on the parties to the conflict. The concept of regulation implies that armed groups are bound by IHL rules, even without their consent, and it is therefore challenging to discuss equality or “symmetry” in terms of the binding force of IHL. A consent-based exception would imply that armed groups could agree not to be bound, which is not considered an acceptable conclusion.Footnote 51
In summary, it is submitted that the principle of equality of belligerents ensures the symmetrical nature of any rule of IHL for all parties to the conflict, whether concerning rights or obligations, and whether the rules are conventional or customary. However, the principle does not prohibit the existence of asymmetrical rules, provided that such rules have been agreed upon by the parties to the conflict. In other words, a party can decide to respect more rules than its adversary through a unilateral declaration, or parties can provide for asymmetrical rules in a special agreement adopted on the basis of common Article 3. It is also important to note that the symmetry of substance of the principle applies to all types of NIACs, including those involving armed groups fighting against each other, in order to ensure that each party’s behaviour is regulated by symmetrical rules.
The legal basis of the principle in NIACs
To this author’s knowledge, no provision of IHL, whether conventional or customary, addresses the symmetry of substance of the principle. Nevertheless, the idea of symmetry of substance is reflected in the vast majority of existing IHL rules applicable in NIACs. These rules are, in fact, identical for both States and armed groups. However, this paper argues that it is incorrect to view any of these rules as individually constituting a legal basis for the principle: rather, they are merely a concrete application or reflection of the principle.
The academic literature generally supports this view concerning common Article 3 and AP II. Some authors argue that the wording of common Article 3, which states that “each Party to the conflict shall be bound to apply [the provisions of common Article 3]”, implies the principle.Footnote 52 Others contend that common Article 3 is “based” on the principle.Footnote 53 The 2020 ICRC Commentary on GC III reflects this view, stating that “common Article 3 is based on the principle of equality of the Parties to the conflict. It grants the same rights and imposes the same obligations on both the State and the non-State Party.”Footnote 54 A similar tendency is observed with AP II, which “supplements and develops” common Article 3.Footnote 55 A significant portion of the academic literature applying the principle in NIACsFootnote 56 adopts the position of the AP II ICRC Commentary of 1986,Footnote 57 which notes that common Article 3 and AP II are “similar’’Footnote 58 and “based on the same structure”.Footnote 59 Consequently, the principle is considered an implicit “common characteristic”Footnote 60 of AP II, as it and common Article 3 “are based on the principle of the equality of the parties to the conflict”.Footnote 61 The Commentary on AP II further explains that the rules of the AP II “grant the same rights and impose the same duties on both the established government and the insurgent party”.Footnote 62 Similarly, the final paragraph addressing the principle concludes that “[t]he extent of rights and duties of private individuals is therefore the same as that of the rights and duties of the State”.Footnote 63 Some authors have also argued, based on the preparatory works of AP II,Footnote 64 that AP II presumes a “symmetry of obligations”.Footnote 65 This author agrees with these statements but only so far as they confirm that these IHL rules all reflect the symmetry of substance imposed by the principle, without individually embodying an explicit legal basis for it.
A similar conclusion applies to rules outlined in the ICRC Customary Law Study. None of these explicitly addresses the principle as such; however, the principle is reflected in the various rules identified by the Study as customary law applicable in NIACs. Indeed, these rules do not differentiate in content between States and armed groups, and apply equally to each party to the conflict.Footnote 66 While the rules may vary depending on the type of conflict (IAC or NIAC),Footnote 67 they remain identical as between the belligerent parties, with only a few exceptions.
With regard to these exceptions, it is argued that the exclusive application of the rules of the ICRC Customary Law Study to States is justified in the vast majority of cases. Most of the exceptions pertain to customary rules regarding the implementation of IHL. Rules 149Footnote 68 and 150Footnote 69 constitute a reminder of the rules relating to State responsibility, which are only applicable to States. Rule 144Footnote 70 constitutes an obligation independent of the existence of an armed conflict and should therefore not be symmetrical in a NIAC. This paper does not have the space here to analyze in details Rules 157,Footnote 71 158Footnote 72 and 161,Footnote 73 but it is nevertheless submitted that they either should not be recognized as customary,Footnote 74 are only recognized as customary in IACs, have a justified exclusive application to States, or their content should be modified so that their symmetrical application can fit the limited material resources of armed groups (see the following section on “Concrete Effects of the Principle in NIACs”).Footnote 75
In the author’s opinion, only Rules 141 and 143’s applicability exclusively to States causes an issue regarding symmetry of substance. Rule 141 concerns the obligation of States to make available legal advisers to assist military commanders.Footnote 76 It stands in contrast to Rules 139 and 142, both applicable to States and armed groups, which provide for the obligation to ensure respect for IHL by the armed forces of the parties to the conflict, as well as to provide them with IHL training. Furthermore, Rule 141 also offers a different outcome compared to Article 82 of AP I. The latter provides that “[t]he High Contracting Parties at all times, and the Parties to the conflict in time of armed conflict” (emphasis added), must ensure the presence of legal advisers. The phrase “Parties to the conflict” refers here to both States and NLMs, the latter essentially being armed groups. Based on this symmetry of substance argument, the ICRC Customary Law Study could suggest a different conclusion: the Study emphasizes that State practice does not require the presence of legal advisers for armed groups,Footnote 77 an issue that will usually not be addressed by State practice, the latter being focused on the presence of legal advisers within States’ own armies. Rather, symmetry of substance would indicate that this customary rule applicable to States also concerns armed groups, to the extent of their material capacities. According to this author, a case can also be made regarding Rule 143 on the obligation of States to encourage the teaching of IHL to the civilian population.Footnote 78 It is again no surprise that the practice of States ignores the situation of armed groups concerning this rule. The commentary on the rule nevertheless recognizes the existence of Article 19 of AP II, which obliges States and armed groups to disseminate the AP II’s content.Footnote 79 That being said, in time of peace, this obligation may still only concern States.
Rather than being a conventional or customary rule, the legal basis of the principle of equality of belligerents, in the author’s view, rests on its nature as a general principle of IHL.Footnote 80 In its draft conclusions adopted in 2023, the International Law Commission considers that general principles of law formed within the international legal system underlie international legal rules or must be reflected by them.Footnote 81 Such principles must appear to be “intrinsic”, meaning that they “must be specific to the international legal system and reflect … and regulate … its basic features”.Footnote 82 It is also accepted that such principles of international law can constitute “general standards overarching the whole body of law governing a specific area”.Footnote 83 In this respect, general principles of IHL have already been described as deriving from existing IHL rules.Footnote 84 They specify those rules’ substance and meaning, must be considered in the interpretation of those rules,Footnote 85 and guide the development of future IHL rules by setting certain guidelines.Footnote 86 In the author’s view, the principle, understood as symmetry of substance, fits into this framework. As explained above, although it is not embodied in a specific conventional or customary rule, the principle appears to be reflected in almost every IHL rule applicable in NIACs. Its existence is also supported by State practice.Footnote 87 Furthermore, academic literature often regards the principle, in NIAC, as “central”,Footnote 88 “fundamental”,Footnote 89 a “basic principle”,Footnote 90 a “dogma’’ within IHL,Footnote 91 or one of IHL’s “cornerstones”.Footnote 92 The ICRC itself considers that the principle “underlies the law of armed conflict”.Footnote 93
The principle’s nature as a general principle of IHL is confirmed by the fact that the symmetry of substance of the principle does not have any normative content per se. It is addressed to the “legislator” and is relevant at the level of the creation and interpretation of the rules of IHL. It represents an ideal or a guideline, rather than requiring specific actions or omissions from the parties to the conflict (the addressees of IHL rules). In a sense, it functions as a secondary rule of IHL, determining how primary rules should be created and interpreted. This characteristic underscores its nature as a “principle” in the strict sense, as opposed to “rules”, which most of the time impose specific behaviours on their addressees.Footnote 94 The principle informs the legislator about the nature of IHL as a legal framework governing conflict situations between different actors. In this context, proposing symmetrical rules for all parties to the conflict is essential for their effectiveness and acceptance.Footnote 95 No party would tolerate being bound against its will by rules that are more demanding than those imposed on its adversary.
Here lies the importance of the principle as a general principle of IHL: it does not recognize an equal status for the belligerents, but is a pragmatic measure. It lays down the minimal conditions to ensure that IHL has any chance of being respected by all parties. Without symmetrical rules, it is impossible to effectively regulate violence in armed conflict situations. From this perspective, the principle is similar to the principles of military necessity and humanity, which are also specific to IHL. The principle of equality shares the same generality as these principles, as it guides the legislator in understanding the nature of the rules and creating new standards.Footnote 96 Interpreted in this way, this paper considers the nature of the principle to be “constitutional” within IHL.Footnote 97 Deviating from it would undermine the very essence of IHL; indeed, asymmetrical IHL rules suffer from a lack of effectiveness, as parties to an armed conflict will typically refuse to be bound by more stringent legal constraints than their opponent. As such, a violation of the principle results in the creation of rules which will not be respected in practice, threatening IHL’s overall purpose of protecting victims of armed conflicts. Furthermore, as a constitutional principle, it is natural to find the principle reflected in nearly all IHL rules, even if it is not explicitly mentioned. Its nature as a general principle of IHL also explains why certain exceptions are accepted, such as those involving the parties’ consent to asymmetrical rules. This further allows the principle to maintain its relevance even when some rules do not adhere strictly to symmetry of substance.Footnote 98
That being said, it is submitted that the principle differs from the principles of military necessity and humanity in some respects. Each rule of IHL is indeed presented as balancing the principle of military necessity on one hand and the principle of humanity on the other;Footnote 99 these principles serve as indicators that can be adjusted to align each rule of IHL with military necessity and humanitarian imperatives. In contrast, the principle of equality is not as diffuse and is more “binary” in nature. The (a)symmetrical nature of IHL rules immediately informs us about their compliance; a rule is either symmetrical or it is not.
The principle of equality, therefore, informs not so much the content of each rule but rather the form it must take to be effective and to fit into the architecture of this branch of law. It underscores the fundamental values of IHL, which aim to regulate violence between parties to an armed conflict, and specifies that this objective can only be achieved if the condition of symmetry is met. Thus, the principle has both a narrow and broad scope: narrow because it is concerned only with the symmetrical nature of the rules, and broad because it underlines the basic elements of every IHL rule, ensuring that they maintain a realistic character. For these reasons, this paper considers that the principle of equality fulfils a constitutional function within IHL, albeit in a manner distinct from the principles of humanity and military necessity.
In the author’s view, like other general principles of IHL, the principle understood as a symmetry of substance also serves an interpretative function. It allows IHL standards to be interpreted as applying symmetrically to each party. The interpretative value of the principle enables the rendering of IHL rules as symmetrical, even if they are not explicitly formulated as such from the outset. As previously mentioned, general principles of IHL inform the entire body of IHL. Therefore, it is crucial to employ the principle of equality to clarify the content of specific rules and ensure the coherence of this branch of international law.Footnote 100
Concrete effects of the principle in NIACs
As discussed in the previous section, the concrete effects of the constitutive function of the principle are few. They are however omnipresent in IHL, as almost every rule of IHL applicable in NIACs has been drafted with an identical content for State and non-State parties to the conflict.
Academic literature has already recognized the interpretative function of the principle,Footnote 101 and case law has applied it in various situations. A notable example is the interpretation provided by the International Criminal Tribunal for the former Yugoslavia (ICTY) in the Čelebići case, which clarified the definition of torture in IHL.Footnote 102 In this case, the ICTY incorporated into IHL the definition of torture provided for in the 1984 Convention against Torture;Footnote 103 however, this definition only applies to States.Footnote 104 Consistent with the principle, the Tribunal therefore expanded its scope to include armed groups.Footnote 105 On the same line, some authors suggest different other uses of the interpretative function of the principle. For instance, it has been advocated that, on the basis of the principle, UN Security Council resolutions related to IHL obligations should address both armed groups and States.Footnote 106 Additionally, it has been argued, again based on the principle, that if the concept of reprisals were to be applied in NIACs for States, it should also apply to armed groups.Footnote 107 Similarly, in the context of developing new standards for NIACs, academic literature has argued that if a right to detain is established, it should apply to both States and armed groups.Footnote 108
Finally, some critics have also used the interpretative virtues of the principle to challenge the asymmetrical understanding of the “nexus” applied to the acts of armed groups controlling a territory.Footnote 109 Indeed, today’s interpretation of the nexus requirement implies that IHL applies to all acts of armed groups exercising authority over a territory (broad interpretation of the nexus). In contrast, it only applies IHL to acts of States exercising authority over a territory that are sufficiently linked to the context of armed conflict (restrictive interpretation of the nexus). The International Criminal Court (ICC) has already issued several decisions based on a broad understanding of the nexus for armed groups, such as in the Al Mahdi Footnote 110 and Al Hassan cases.Footnote 111 The asymmetrical understanding of the nexus requirement for States and armed groups has also been endorsed by the ICRC in 2019.Footnote 112 The rationale behind the usual asymmetric interpretation of the nexus is commendable, as it aims to enhance the protection of individuals by prioritizing human rights under State control and applying IHL under armed group control – the latter not being bound by human rights law.Footnote 113 However, this asymmetric interpretation of IHL not only contravenes the principle but also has tangible consequences for armed groups. Acts of territorial management by armed groups are susceptible to being qualified as war crimes (if applicable), whereas the same acts resulting from a State’s action may not necessarily be qualified as such. The present author does not consider persuasive the argument according to which “the different ways in which the victim is affected by the armed conflict [in government-held territory or in armed group-held territory]”Footnote 114 justify an asymmetrical understanding of the nexus. This argument amounts, in fine, to considering acts of armed groups as inherently linked to the armed conflict, while this would not necessarily be the case for States. To adhere to the principle, a symmetrical understanding of the nexus is advocated in the academic literature in order to ensure that the same rules apply to both States and armed groups.Footnote 115
The constitutional and interpretative functions of the principle have, in the author’s view, a second major effect. This becomes relevant when a rule of IHL applicable in an IAC is transposed to a NIAC. The principle underscores that such a rule should apply to both State and non-State parties, which may necessitate modifications to its content.Footnote 116 Consequently, the rule in a NIAC might differ from its counterpart in an IAC but remain symmetrical for each party to the conflict. Indeed, rules designed for States may not be suitable for armed groups; for example, the transposition of the responsibility of hierarchical superiors by the ICTY in 2003Footnote 117 has been criticized for lacking realism. This issue has been considered through the lens of the principle.Footnote 118 Leaders of armed groups often lack resources comparable to those of a State and may struggle to hold their members accountable for serious violations of IHL – in particular, they may be unable to adequately repress such abuses according to the standards prescribed by international law.Footnote 119 Notably, the 2003 ICTY decision concerned only State troops engaged in a NIAC. Nevertheless, it is proposed that after transposition to a NIAC, this rule should also apply to armed groups, as an effect of the principle. Therefore, it is submitted that the principle can modulate the rules of IACs transposed to NIACs. Given that rules intended for States must also be capable of being respected by armed groups, their content or interpretation will need to be adapted to consider the contexts and challenges faced by armed groups, which often do not have the same material resources as States. Failing to do so risks undermining the credibility of IHL by creating unrealistic expectations.Footnote 120
In addition to its two main functions, the principle has been interpreted in ways that this author does not believe it warrants. For instance, it is unlikely that the principle is relevant to the legal mechanisms used to establish the binding force of IHL on armed groups, so its application in a discussion favouring one theory over another on this topic would be inappropriate.Footnote 121 The same applies to arguments using the principle in the context of creating IHL. Some argue that the source of rights and obligations must be identical for different parties in a NIAC;Footnote 122 this perspective suggests that armed groups should have a role in the creation of IHL applicable in NIACs, potentially allowing them to participate in the development of customary IHL,Footnote 123 which is not accepted in the current state of international law.Footnote 124 In other words, it is proposed that the principle, which ensures the symmetrical nature of IHL rules, should also dictate a corresponding mode of production for this body of law, equivalent for States and armed groups. This argument is compelling, and the present author acknowledges that involving armed groups in developing rules applicable to them aligns with the principle’s goal of better IHL compliance, even though States would never accept this solution. However, nothing in this author’s research suggests that the principle extends to modifying the secondary rules of international law concerning its sources in order to enable armed groups to create customary law alongside States.Footnote 125 In this author’s view, the importance of the symmetrical nature of IHL rules does not necessarily imply that their mode of creation also benefits from symmetry.
Conclusion
In this research paper, an attempt was made to demonstrate that the principle of equality of belligerents extends beyond merely ensuring an equality of application of the rules of IHL against an element of discrimination: the “symmetry of application” component of the principle. It was argued that the principle also encompasses a second notion: “symmetry of substance”. This latter concept requires that IHL rules be symmetrical for each party to the conflict. Furthermore, it was proposed that in NIACs, the principle should be primarily understood in terms of symmetry of substance, as there is no principle of sovereign equality guaranteeing that applicable rules in a conflict will be symmetrical. The aim is to ensure that armed groups are subject to rules identical to those of States, thereby creating the minimum conditions necessary for compliance with IHL by all parties to the conflict. No belligerent would willingly accept being bound by more stringent rules than its opponent unless it consented to do so.
This paper has also posited that the principle constitutes a general principle of IHL of “constitutional” significance. The principle informs the nature of IHL as a legal framework applicable to armed conflict, and can only achieve effectiveness by maintaining a symmetrical character. It is reflected in almost every rule of IHL and is recognized as a cornerstone of this branch of international law. Additionally, it allows for the interpretation of IHL rules in a way that ensures symmetrical rules for each party, which may lead to modifications in their content when transposed from IACs to NIACs in order to address the material realities of armed groups. The analysis of the principle in NIACs is a compelling subject that warrants further exploration, particularly regarding the principle’s interaction with domestic law and international human rights law. This author hopes to have provided a sufficiently insightful examination of this aspect of IHL, which, to the best of the author’s knowledge, has not previously received an in-depth analysis.