A. Force and Intervention: The Laws of the Ius ad Bellum

The first preliminary matter to call for our attention is the fact – of long pedigree within the realm of public international law – that the prohibition of intervention, as it applies to states, is ‘not, as such, spelt out in the Charter’ of the United Nations.Footnote ³³ Article 2(7) of the Charter does provide that ‘[n]othing contained in the present Charter shall authorise the United Nations to intervene in matters which are essentially within the domestic jurisdiction of any state or shall require the Members to submit such matters to settlement under the present Charter; but this principle shall not prejudice the application of enforcement measures under Chapter VII’Footnote ³⁴ – a provision that notably addresses the prohibition of intervention to the organisation of the United Nations itself. In this, the provision is altogether different from the formulation of the prohibition of force contained in Article 2(4), which – very deliberately and quite explicitly – is addressed to all UN member states, although it ought to be said that the chapeau to Article 2 of the Charter makes clear that ‘[t]he Organisation and its Members’ shall act in accordance with the principles it sets out.Footnote ³⁵

When it came to the UN General Assembly’s enactment of Resolution 2625 (XXV) of October 1970, the Declaration on Principles of International Law Concerning Friendly Relations and Co-operation among States in accordance with the Charter of the United Nations, the General Assembly committed itself to the codification and progressive development of seven principles of public international law, among which were the principle that ‘States shall refrain in their international relations from the threat or use of force against the territorial integrity or political independence of any state, or in any other manner inconsistent with the purposes of the United Nations’ (the prohibition on force) and ‘[t]he duty not to intervene in matters within the domestic jurisdiction of any State, in accordance with the Charter’ (the prohibition on intervention).Footnote ³⁶ There are, evidently, shades of the Charter present in both of these iterations, but when the General Assembly came to proclaim each of these principles in greater detail in its text, it directed their application to states – and deliberately so, the General Assembly simply repeating the conception of the prohibitions of interventionFootnote ³⁷ and forceFootnote ³⁸ it had already shared in the preamble.Footnote ³⁹ This is fully understandable: with Resolution 2625 (XXV), the General Assembly aimed to promote the rule of law among nations, ‘and particularly the universal application of the principles embodied in the Charter’,Footnote ⁴⁰ since the United Nations was able to boast only 127 member states by the end of that calendar year.Footnote ⁴¹ The switch to ‘states’ in the Resolution from the ‘member states’ of the Charter extricated the principles from their conventional embedding and suggested that these principles were amenable to universal application.

There was some early sense in history of the United Nations that one of these principles could not operate without the other: it had been proposed that Article 2(7) of the Charter ‘applied only to intervention by the United Nations, and [that] the intervention by one State in the affairs of another was illicit under the Charter only when it was accompanied by the threat or use of force’.Footnote ⁴² This conjoined reading of the two principles was by no means the preferred view when it was first uttered,Footnote ⁴³ nor was it to find much success as time went on. Prompted by the substantive claims made by Nicaragua against the United States in April 1984, the International Court of Justice (ICJ) determined, in the Nicaragua case, that one set of facts could result in the coterminous application of both principles (it decided that the supply of arms and other support by one state to armed bands located in the territory of another state ‘may well constitute a breach of the principle of the non-use of force and an intervention in the internal affairs of a State’).Footnote ⁴⁴ To similar effect, in its Case Concerning Armed Activities on the Territory of the Congo of December 2005, the ICJ concluded that Uganda’s actions had ‘constituted an interference in the internal affairs of the [Democratic Republic of the Congo]’ – and that, at one and the same time, this ‘unlawful military intervention’ in Uganda ‘was of such a magnitude and duration that the Court considers it to be a grave violation of the use of force expressed in Article 2, paragraph 4 of the Charter’.Footnote ⁴⁵

We are thus able to appreciate why it has been said of the principle of non-intervention that it ‘is an autonomous principle of customary law’;Footnote ⁴⁶ it is autonomous of the other principles articulated in the Declaration on Friendly Relations in the sense that it does not depend on them for its activation, meaning or application – although there can be no doubt of its ‘close relationship’ with the prohibition of force with which it shares an indisputably ‘large overlap’.Footnote ⁴⁷ The Declaration enunciates that intervention includes ‘armed intervention and all other forms of interference or attempted threats against the personality of the State or against its political, economic and cultural elements’.Footnote ⁴⁸ ‘Intervention’ therefore knows, or can assume, different forms of state activity.Footnote ⁴⁹ An identical observation cannot, however, be made for ‘force’, as incorporated in the Charter: as constructed, but also as presently conceived, its compass extends only to threats or uses of armed force.Footnote ⁵⁰ Furthermore, one cannot mistake the categorical language that accompanies the principle of non-intervention in the Declaration: at face value, this can be read only as ruling out the possibility of any exceptions to the principle,Footnote ⁵¹ which stands in telling contrast to the prohibition of force and its exceptions, as set forth in the Charter.Footnote ⁵²

It is clear, then, that the Declaration cannot be read independently of the Charter; the Charter is the foundation and raison d’être of the Declaration, and the Declaration is to be read ‘in accordance with’ the Charter.Footnote ⁵³ Yet there is no mention of ‘consent’ for either of the principles under current discussion: all we are given is a series of detailed perorations, listed in the Declaration,Footnote ⁵⁴ so that for non-intervention, to take one example, ‘[e]very State has an inalienable right to choose its political, economic, social and cultural systems, without interference in any form by another State’,Footnote ⁵⁵ and for non-use of force, to take another, ‘[e]very State has the duty to refrain from the threat or use of force to violate the existing international boundaries of another State or as a means of solving international disputes, including territorial disputes and problems concerning frontiers of States’. With each peroration, the generality of the specified principle edges towards the practicalities of the particular, but it is still difficult to make meaningful headway on the relevance of consent for either ‘intervention’ or for ‘force’, at least as conceived of or announced in the Declaration.Footnote ⁵⁶

Perhaps the overall idea was that the presence of any consent to an ‘intervention’ or to an exercise of ‘force’ disqualifies that act from attracting either of those characterisations. Perhaps it was thought that this understanding was too self-evident to be put into words. Speculations aside, the Declaration does not enter into extensive disquisitions on the ‘essence’,Footnote ⁵⁷ or the ‘core of the mischief’,Footnote ⁵⁸ of either of these terms, and we are none the wiser, after reading the Declaration, of the impact that consent has on any intervention or exercise of force in international relations. Equally importantly, however, towards its end, the Declaration goes on to specify that, ‘[i]n their interpretation and application[,] the above principles are interrelated and each principle should be construed in the context of the other principles’Footnote ⁵⁹ – a pronouncement that is vital, for present purposes, because the principle of self-determination was included as one of the seven principles of the Declaration.Footnote ⁶⁰ That means not only that our deliberations on consent are not – or, at least, are no longer – the exclusive purview of the laws of the ius ad bellum, but also it may be doubly significant for our analysis because, in that Declaration, the General Assembly appeared to develop the Charter’s conception of self-determination beyond ‘the rights of the peoples of one state to be protected from interference by other states or governments’,Footnote ⁶¹ envisioning additionally its role for peoples subjected to ‘alien subjugation, domination and exploitation’.Footnote ⁶² This is somewhat more expansive than the legal right of colonised peoples to obtain ‘speedy and unconditional’ decolonisation that had already been endorsed by the General Assembly in its earlier Resolution 1514 (XV) of December 1960.Footnote ⁶³ The Declaration is thus an example par excellence of the ‘numerous faces’ of self-determination, quite possibly including a right of secession where there is no ‘fully representative form of government’ of which to speak.Footnote ⁶⁴

The Declaration is important for our study from one further angle, which might be briefly mentioned here (and returned to in due course): one of its perorations on self-determination stipulates that ‘[e]very State has the duty to refrain from any forcible action which deprives peoples … of their right to self-determination and freedom and independence’, and that, ‘[i]n their actions against, and resistance to, such forcible action in pursuit of their right to self-determination, such peoples are entitled to seek and to receive support in accordance with the purposes and principles of the Charter’.Footnote ⁶⁵ Evidently, the notion of an entitlement – and a legal entitlement at that – to ‘seek and to receive support’ in the name of self-determination is qualified by reference to the purposes and principles of the Charter,Footnote ⁶⁶ but the formulation is notable for the way in which it fashions this law of response – that is, the response by said peoples against any forcible action taken by states that is forbidden under the DeclarationFootnote ⁶⁷ – in terms of the right of self-determination rather than of any right of self-defence.Footnote ⁶⁸ In this arrangement, the consent of peoples who are exercising their right to self-determination – ‘and freedom and independence’, according to the precise terms of the Declaration – is nowhere summoned by that name, but it is not a stretch to imagine the relationship of these peoples’ consent to the seeking and receiving of such support.Footnote ⁶⁹

B. The Third State

A second preliminary matter arises in relation to the vocabulary that is often used to address ‘intervention’ and ‘force’: the terminology of the so-called third state. This phrase is a frequent staple of the literature on intervention, and it has also made various appearances within that on force.Footnote ⁷⁰ Fundamentally, the idea is to depict the identity of the intervenor(s) or applier(s) of force in a given situation, so that we find invocations aplenty of the ‘third state’ or of ‘third states’.Footnote ⁷¹ Sometimes, the term ‘third-country intervention’ has been used.Footnote ⁷² An eagle-eyed reader might be disoriented for a moment: whom, intuitively, are they to imagine the second state in this sequence? Indeed, the ‘second state’ never seems to earn a mention in the literature, and the reader is left adrift in any breakdown of the respective dramatis personae of a specific situation. We therefore find ourselves in quite different territory from that of the general rule on third states expounded in Article 34 of the Vienna Convention on the Law of Treaties (VCLT), in which the identity of the ‘third state’ might be said to be self-explanatory.Footnote ⁷³

It may be worth exploring this further, then: why does the ‘third state’ command the currency it does today? If the phrase may be somehow bound up in the original conception of ‘intervention’ as foretold in public international law, why has it cascaded unchecked from one generation to the next? Indeed, when we do return to the earlier discourse, we discover that, at its root, an ‘intervention’ could take place ‘in the external as well as in the internal affairs of a State’Footnote ⁷⁴ – a distinction that sheds a shard of light on the Charter’s designation of ‘matters which are essentially within the domestic jurisdiction of any state’.Footnote ⁷⁵ Yet it is also a distinction that pivots us towards a much better understanding of who the third state might have been, for the ‘external’ affairs of a state would invariably involve its relations with any other state, and it is into this relationship that yet another state – that is, the third state – would make its intervention. Indeed, in an important set of articles published by the British Yearbook of International Law early in its history, P.H. Winfield identified what he called ‘three disparate significations’ for intervention: that of ‘interference in the relations of two other states, that of interference in the internal disputes of a single state, and that of some measure of redress falling short of war directed by one state against another for some alleged breach of international law committed by the latter’.Footnote ⁷⁶ In each of these three scenarios – external, internal and punitive interventionFootnote ⁷⁷ – the reader is assured by the clarity of exposition how many states are actually involved, but it is only in the first of these scenarios – ‘interference in the relations of two other states’Footnote ⁷⁸ – that any reference to a third state can make sense.Footnote ⁷⁹ To intervene ‘in the internal dispute of a single state’ can be the work of only one other – or a second – state; ‘some measure of redress short of war’, too, specifically envisages an intervention by one state against another state.Footnote ⁸⁰

Certainly, there are obvious persistent echoes in all of this of the terminology of ‘third state’ in the context of the recognition of belligerency (as known within the laws of the ius in bello).Footnote ⁸¹ According to this doctrine, ‘hostilities waged between two communities, of which one is not or, possibly, both sovereign States, are of such character and scope as to entitle the parties to be treated as belligerents engaged in a war in a sense ordinarily attached to that term by international law’.Footnote ⁸² The granting of belligerent rights was by no means automatic: the outbreak of ‘hostilities waged between [those] two communities’ did not, in and of itself, entail the recognition of belligerency; rather, the law set down a series of exacting conditions whereby ‘any State can recognise insurgents as a belligerent Power, provided (1) they are in possession of a certain part of the territory of the legitimate Government; (2) they have set up a Government of their own; and (3) they conduct their armed contention with the legitimate Government according to the laws and usages of war’.Footnote ⁸³ Satisfaction of these conditions was the basis of the entitlement of which Hersch Lauterpacht was to write in 1947,Footnote ⁸⁴ recognising belligerency as occurring at the behest of either the ‘parent State’ or of ‘outside States’.Footnote ⁸⁵

The development of the recognition of belligerency would entail a fundamental repurposing of these ‘hostilities’, such that the laws of war would then become applicable to them on a plenary basis – for, ordinarily, the exclusive provenance of these laws was any ‘contention’ that was ‘going on between States’,Footnote ⁸⁶ and emphatically so. The recognition of belligerency was thus devised to expand the possible application of the laws of war beyond their original remit; in so doing, a fiction of sorts was indulged whereby ‘the contesting parties [were] legally to be treated as if they [were] engaged in a war waged by two sovereign States’.Footnote ⁸⁷ Yet, crucially, the recognition of belligerency should not be mistaken for the recognition of a new state – for it was assuredly not this and was never intended to be this.Footnote ⁸⁸ The ‘entities’ engaged in those ‘hostilities’ were to remain as such but were to be treated differently purely from the standpoint of the laws of war (and neutrality): the recognition of belligerency decidedly did not entail ‘an entity’s matriculation to statehood’.Footnote ⁸⁹ No case can thus be made for recourse to the terminology of the ‘third state’ in this context, which is why other formulations – such as ‘third Powers’Footnote ⁹⁰ or ‘outside States’Footnote ⁹¹ and, more recently, ‘third-party states’Footnote ⁹² and ‘third parties’Footnote ⁹³ – have properly been put to service. They are most certainly more accurate depictions of the general legal landscape in which the recognition of belligerency has occurred, and they explain why we shall encounter references to one or more ‘second’ state(s) in much of the analysis that follows, with ‘third state’ reserved for situations in which three identifiably different states are at issue.

C. Method and the Nicaragua Case

And so we come to our third and final preliminary consideration, which concerns the manner by which laws within the international system can be posited and successfully argued. In an important passage from its judgment in the Nicaragua case, the ICJ adverted to the fact that intervention ‘is already allowable at the request of the government of a State’.Footnote ⁹⁴ It did so by way of contrast with an intervention that had been premised on ‘a mere request for assistance made by an opposition group in another State’ – which, from what the Court then said, is not allowed.Footnote ⁹⁵ Both of these statements occur in a paragraph of the judgment where the ICJ was addressing the question of ‘prima facie acts of intervention’ by the United States in relation to the activities of the contras in Nicaragua that ‘may nevertheless be justified on some legal ground’.Footnote ⁹⁶ Indeed, they form part of the broader analysis that the Court outlined at the outset of its consideration of the principle of non-intervention – whereby it sought to configure ‘the exact content of the principle so accepted’Footnote ⁹⁷ and then to investigate whether ‘the practice [is] sufficiently in conformity with [the principle] for this to be a rule of customary international law’.Footnote ⁹⁸ Since the ICJ is bound to the terms of its Statute, it was compelled to consider the evidence of ‘a general practice accepted as law’ for the customary international law on intervention.Footnote ⁹⁹

We might refer to this as the Court’s empirical method: its fundamental commitment – at least as advertised in its Statute and at different intervals in its judgment of June 1986 – to ascertaining the settlement or oscillation of state practice, in terms of both the content of the principle (i.e., ‘on the nature of prohibited intervention’)Footnote ¹⁰⁰ and its essential scope or parameters (i.e., to a ‘right’ or ‘exception’ to ‘the principle of its prohibition’),Footnote ¹⁰¹ for the ICJ was mindful that any contrarian practice emerging from its investigation could form the basis of ‘a new customary rule’.Footnote ¹⁰² As the Court was to make clear:

At least as a theoretical matter, therefore, cases of ‘state conduct’ were to become the mainstay of the Court’s deliberations when assessing the content, as well as the scope or parameters, of the principle before it. The Court had to be ‘satisfied’, it said, ‘that State practice justifies’ the conclusions it would reach on both of these frontsFootnote ¹⁰⁴ – and the Court felt this especially keenly given the United States’ failure to appear during the merits phase of the proceedings and its failure to attend to the accusations of intervention that Nicaragua had made against it. Once the ICJ had found that ‘the activities of the United States in relation to the activities of the contras in Nicaragua constitute[d] prima facie acts of intervention’,Footnote ¹⁰⁵ it was incumbent on the Court – for ‘the Court will … have to determine’,Footnote ¹⁰⁶ it proclaimed – ‘whether there are present any circumstances excluding lawfulness, or whether such acts may be justified upon any other ground’.Footnote ¹⁰⁷

These are the bare bones of the framework that the Court articulated within which to examine whether any ‘right’ or ‘exception’ to ‘the principle of its prohibition’ might have supported the legal position of the United States, although (as we have seen) the Court was also attentive in this to the possibility that ‘a new customary rule’ may have formedFootnote ¹⁰⁸ – one that could have emerged from the practice of the United States (presumably, among other states). The first such ground or justification that the ICJ examined seriously was ‘a kind of general right for States to intervene, directly or indirectly, with or without armed force, in support of an internal opposition in another State, whose cause appeared particularly worthy by reason of the political and moral values with which it was identified’.Footnote ¹⁰⁹ The Court did so, however, immediately after remarking as an aside that it was ‘not here concerned with the process of decolonisation’.Footnote ¹¹⁰

What was the point of the Court’s binding together, in the same breath, of these two propositions – decolonisation and support for a ‘particularly worthy’ cause of political or moral values – only to decouple them so very quickly afterwards? Plainly, at base, both of these propositions envisage situations in which ‘an internal opposition’ is arraigned against the government of its respective state; it is simply the case that Nicaragua was not then involved in an (or any) act of decolonisation, so that the first proposition was an easy point for the Court to defer or dismiss. But why, then, mention it at all? One interpretation of why the ICJ did so is that while ‘the process of decolonisation’ could suitably have come within the compass of the latter proposition (on supporting the ‘political and moral values’ of which the Court also spoke), the existence of any such ‘process’ would have affected the substantive outcome – that is, what the Court found in relation to that proposition.Footnote ¹¹¹ The Court therefore felt it necessary to pry apart one proposition from another, so that the legal validity of each would not be confused or somehow conflated. Another interpretation might be that this is an example of overreach in that part of the Court’s judgment, but we might accept that the Court did offer ‘a faint hint in that direction’Footnote ¹¹² – that is, on the lawfulness of intervention in the context of decolonisation.Footnote ¹¹³

As for the latter proposition appearing in the Court’s analysis, this has frequently travelled under the guise of a right of ‘political’ or ‘ideological’ intervention as it came to be associated with the high politics of superpower rivalry during the period of the Cold War. We should be clear on this matter, however: the ICJ broached the general idea of ‘intervening in the affairs of a foreign State for reasons connected with, for example, … its ideology’Footnote ¹¹⁴ and, at one point, wrote of ‘a legal argument derived from a supposed rule of “ideological intervention”’.Footnote ¹¹⁵ Although it did not fully elaborate on what this proposition might (or might not) have entailed at that point in time, it is reasonable to assume that the Court’s reach would have extended to cover both the Brezhnev Doctrine and the Reagan Doctrine,Footnote ¹¹⁶ with the ICJ wasting little, if any, time concluding that such a ‘fundamental modification of the customary law principle of non-intervention’ had not in fact transpired in practice.Footnote ¹¹⁷ Elsewhere, the Court said, this proposition would have been ‘a striking innovation’ for the law.Footnote ¹¹⁸ And the Court arrived at its conclusions by recourse – at least, to some extent – to its empirical method: its took its cue from the actual conduct of states, observing that ‘[t]he United States authorities have on some occasions clearly stated their grounds for intervening in the affairs of a foreign State’ (grounds that had included the ideological disposition of the target state), but adding that ‘[t]hese were statements of international policy, and not an assertion of rules of existing international law’.Footnote ¹¹⁹ Somewhat fatally, then, from the Court’s perspective, the United States had not supplied the requisite opinio iuris in respect of the relevant ‘right’ for its interventions,Footnote ¹²⁰ and the Court was moved to issue an identical remark in respect of the conduct of Nicaragua in El Salvador, Costa Rica, and Honduras.Footnote ¹²¹ In consequence, the ICJ found against the existence of ‘such general right of intervention … in support of an opposition within another State’ as a matter of the extant international law.Footnote ¹²²

At a later point in its judgment, the Court reaffirmed its finding – but how it did so warrants much closer attention, because it drew upon considerations other than the actual conduct of states. At this point of its analysis, it moved beyond the empirical method, as the following statement demonstrates:

At stake here was the same ‘general right’ that the ICJ had assessed earlier in its judgment,Footnote ¹²⁴ but here the Court is appearing to say more – much more – than it had said previously. Indeed, this statement seems to be more than a mere reaffirmation of the law as it had itself stated; rather, it takes us beyond an exposition of accrued or selected evidence towards a deeper appreciation of the ‘fundamental principle’ of state sovereignty and its consequences for the international system. The Court anchors this part of its analysis in an idea ‘on which the whole of international law rests’, no less – one eye focused on securing the overall coherence and cohesion of public international law.Footnote ¹²⁵ Evidently, the plan was to mark out the various emendations of the logic of sovereignty as it deemed pertinent to the case. This is quite different from an empirically minded Court calling the conduct of states as it saw it.Footnote ¹²⁶ And, crucially, as the Court did so, it struck a much more strident and unrelenting tone, for not only did it decide against any ‘new rule opening up a right of intervention by one state against another on the ground that the latter has opted for some particular ideology or political system’ by virtue of the operation of that fundamental principle,Footnote ¹²⁷ but also that – again, by virtue of that very principle – it could not contemplate the existence of that rule at any time hence. Such a rule seemed to be quite beyond the contemplation – beyond the imagination – of the Court.

It is interesting that, in its various deliberations on the matter, the ICJ imparted little on the physiognomy of this right of political or ideological intervention – on what it would look like or how it would really function in practice, especially as far as the ‘consent’ of the internal opposition in the target state was concerned.Footnote ¹²⁸ This is, of course, understandable in view of the Court’s repeated observations that states themselves had not yet begun to debate this proposition in legal terms: it is therefore small wonder that more pragmatic details of this ‘right’ did not surface anywhere in the Court’s judgment. Certainly, the ICJ did make reference to a ‘general right’ of states when it addressed the matter of political or ideological intervention,Footnote ¹²⁹ and this may be taken to suggest that the proposition was framed without privileging any one ideology – any one form of politics – over any other. The Court was speaking in deliberately general terms here: its remarks were not confined to ‘any particular doctrine’ but, as it said, to Nicaragua’s ‘freedom of choice’ regarding ‘domestic policy options’ – or (also in its words) to opt for ‘some ideology or political system’.Footnote ¹³⁰ Yet it is notable that the Court spoke too, in the very same breath, of interventions ‘in support of an internal opposition in another State’,Footnote ¹³¹ while nowhere translating this consideration into any question of consent by that opposition to intervention. Arguably, for the ICJ, the proposition that it had itself devised for assessment concerned a right of – and not a right to – political or ideological intervention, as undertaken by states. This would suggest that, if such a general right could be said to exist at all, it would have ultimately derived from ‘the admitted determination of superpowers’Footnote ¹³² – although, in accordance with the principle and implications of sovereign equality, it is fair to assume that it would have been available to all states.Footnote ¹³³ It is this consideration, above all, that seemed to form the ‘core of lawfulness’Footnote ¹³⁴ – at least as the ICJ understood it in June 1986 – rather than any consent that may have been forthcoming from the internal opposition in the state targeted for intervention. Admittedly, such an approach would have necessitated a more nuanced conclusion than that which the Court reached elsewhere in its judgment on ‘a mere request for assistance made by an opposition group in another State’,Footnote ¹³⁵ but it was not, in the end, to be given the categorical position that the Court developed against any right of political or ideological intervention.

A. Intervention and Coercion

Through to this point, we have not given much detailed thought to how the consent of a state can cohere with the very idea of an intervention, at least as understood by the UN General Assembly in its Declaration on Friendly Relations of October 1970. That Declaration, we can recall, considered different forms of intervention as interferenceFootnote ¹³⁶ – that is, those that ‘coerce another State in order to obtain from it the subordination of the exercise of its sovereign rights and to secure from it advantages of any kind’.Footnote ¹³⁷ The General Assembly then went on immediately to declare that ‘no State shall organise, assist, foment, finance, incite or tolerate subversive, terrorist or armed activities directed towards the violent overthrow of the regime of another State, or interference in civil strife in another State’.Footnote ¹³⁸ We might regard this latter cohort of illustrations as instances of the coercion that the Assembly had had in mind in its elaboration of intervention – although it is worth noting that while ‘coercion’ had been used to impart some sense of what ‘intervention’ meant on that occasion, the General Assembly had not yet fully defined its meaning.Footnote ¹³⁹ Still, it should be evident from what the General Assembly said that it was the intention behind the alleged coercion (i.e., ‘to obtain from it the subordination of the exercise of its sovereign rights’, ‘to secure from it advantages of any kind’)Footnote ¹⁴⁰ rather than the effect of that coercion which mattered more.Footnote ¹⁴¹ Indeed, the abject banishment in the Declaration of any organisation, assistance, fomenting, financing, inciting or toleration of subversive, terrorist or armed activities ‘directed towards the violent overthrow of the regime of another State’ does serve to reinforce this point of view; it is on account of their essential ambition (‘directed towards’) that such activities could have no redeeming feature in the eyes of the law.Footnote ¹⁴²

As for its judgment in the Nicaragua case, the ICJ seized on ‘[t]he element of coercion’ as ‘the very essence’ – or so it said – of prohibited intervention.Footnote ¹⁴³ According to the Court:

With this passage, the Court appeared to regard intervention as prohibited when it is ‘wrongful’ or when it has coercion (or the bearing down on matters of free choice) at its heart,Footnote ¹⁴⁵ and the form of words used could be taken to suggest that the Court intended to make a general statement on the core elements of prohibited intervention irrespective of how any intervention in particular manifests itself. We might contrast this approach with the example-led definition of ‘armed attack’ that the Court provided in the same judgment,Footnote ¹⁴⁶ but there are those who have contended that coercion is in fact ‘just one form of unlawful intervention’.Footnote ¹⁴⁷ By this token, the ICJ would have had within in its sights only the intervention that had been referred to it by Nicaragua in April 1984: its concern was not to set down a definitional metric for all prohibited interventions as a matter of law.Footnote ¹⁴⁸ However, the forthright way in which the Court expressed itself on that occasion (where coercion ‘defines, and indeed forms the very essence of, prohibited intervention’Footnote ¹⁴⁹), taken together with the immediate context in which the above passage was framed,Footnote ¹⁵⁰ appears to implicate the Court in stapling into place a formulation of generic application, with ‘a stricter meaning’ emerging for ‘intervention’ beyond its use in common parlance.Footnote ¹⁵¹ And all of this as a prelude to the Court’s investigation of ‘cases of State conduct prima facie inconsistent with the principle of non-intervention’ and ‘the nature of the ground offered as justification’ for those actions.Footnote ¹⁵²

B. Dictatorial Interference

For what it is worth, ‘coercion’ has not always commanded this degree of prominence in fashioning a metric for ‘intervention’ in public international law. It is therefore instructive to return to an earlier period of the discipline’s history to try to appreciate how ‘intervention’ was then understood, explained, rationalised. We do so, additionally, because of the framework of regulation that has resulted for the practice of intervention, which is not just ‘a series of broad statements’ floated towards a single end,Footnote ¹⁵³ but a more intricate set of ideas about intervention. Our reference point for this exercise is the landmark treatise of Lassa Oppenheim, which was published at the beginning of the twentieth century – in particular, the first of his two volumes, which concerned the laws of peace. I have selected this work not only because of the effort its author made to provide a systemic treatment of the relevant practice up to that point in timeFootnote ¹⁵⁴ – something that understandably eluded the jurisprudence of the ICJ in June 1986Footnote ¹⁵⁵ – but also because of the temporal dimension brought about as a consequence of its successive editions: its most recent, the ninth, appeared in 1992.Footnote ¹⁵⁶

In the first volume of his original treatise, published in 1905, in the chapter devoted to the position of states within the Family of Nations, Oppenheim allocates an entire section to the law and practice of intervention – ‘a dictatorial interference’, as he so memorably called it, ‘by a State in the affairs of another State for the purpose of maintaining or altering the actual condition of things’.Footnote ¹⁵⁷ With this definition in hand, Oppenheim proceeded to distinguish between those interventions that he thought could ‘take place by right or without a right’:Footnote ¹⁵⁸

For Oppenheim, when intervention ‘takes place by right’, it is not to be regarded as a violation of the external or internal affairs of a state, ‘because the right of intervention is always based on a legal restriction upon the independence or territorial or personal supremacy of the State concerned, and because the latter is in duty bound to submit to the intervention’.Footnote ¹⁶⁰

Oppenheim then identified ‘several grounds’ whereby interventions could occur as a matter of right:Footnote ¹⁶¹

• where the suzerain state has ‘a right to intervene in many affairs of the vassal, and the State which holds a protectorate has a right to intervene in all the external affairs of the protected State’;Footnote ¹⁶²

• should ‘the right of protection of its citizens abroad, which a State holds, … cause an intervention by right to which the other party is legally bound to submit’;Footnote ¹⁶³

• ‘if a State which is restricted by an international treaty in its internal independence or its territorial or personal supremacy, does not comply with the restrictions concerned, [in which case] the other party or parties have a right to intervene’;Footnote ¹⁶⁴

• ‘if an external affair of a State is at the same time by right an affair of another State, [in which case] the latter has a right to intervene in case the former deals with that affair unilaterally’;Footnote ¹⁶⁵ and

• ‘if a State in time of peace or war violates those principles of the Law of Nations which are universally recognised, [in which case] other States have a right to intervene and to make the delinquent submit to the respective principles’.Footnote ¹⁶⁶

These interventions were to be contrasted with circumstances in which there existed ‘no right to intervention’ at all, but in which the intervention ‘may be admissible and excused’,Footnote ¹⁶⁷ and where, Oppenheim claimed, ‘such State has by no means any legal duty to submit patiently and suffer the intervention’.Footnote ¹⁶⁸ Within this register, Oppenheim placed those acts necessary for self-preservationFootnote ¹⁶⁹ and those undertaken in the interest of the balance of powerFootnote ¹⁷⁰ – two ‘kinds’ of intervention that exemplified intervention ‘in default of right’, in his view.Footnote ¹⁷¹ A third kind of intervention – intervention in the interest of humanity – was also mooted, but Oppenheim felt that ‘whether there is really a rule of the Law of Nations which admits such interventions may well be doubted’.Footnote ¹⁷²

Significantly, for our purposes, Oppenheim proceeded from a most crucial assumption: at the outset of his assessment of this topic, he made a point of emphasising the difference between ‘dictatorial interference’ and what he called ‘interference pure and simple’ – for ‘many writers’, he insisted, ‘constantly commit this confusion’.Footnote ¹⁷³ And it is a distinction that has been sustained right through to the present edition of the treatise,Footnote ¹⁷⁴ notwithstanding the fact that – at least in the parlance of the UN General Assembly – ‘intervention’ and ‘interference’ have somehow come to be treated as normative synonyms.Footnote ¹⁷⁵ Yet Oppenheim was quite adamant that there was purpose in intervention as dictatorial interference and that there was purpose in ensuring that this term was not put to use indiscriminately:

For Oppenheim, then, one state’s ‘request’ for help from another state could not count as ‘intervention’ in the sense developed by public international law: the presence of any request – or, more broadly, of consent – by, or on behalf of, the ‘target state’ of the intervention meant that there was really no ‘dictatorial interference’ of which to speak.Footnote ¹⁷⁷ Indeed, in the ninth edition of his treatise, ‘dictatorial’ interference is actually described as a ‘requirement’ if an interference is indeed to ‘amount to an intervention’,Footnote ¹⁷⁸ although it is also stated there that ‘the interference must be forcible or dictatorial, or otherwise coercive’.Footnote ¹⁷⁹ Satisfaction of this requirement, it is reasoned, ‘excludes from intervention assistance rendered by one state to another at the latter’s request and with its consent’,Footnote ¹⁸⁰ so that it may be not only preferable but also advisable to speak in terms of (military) ‘assistance on request’,Footnote ¹⁸¹ among other possibilities. Even the notion of ‘consensual intervention’ will not do,Footnote ¹⁸² because it conflates the descriptive component of this practice (the presence of consent) with its normative component (the idea of intervention itself, at least on the reading given here from public international law). Intervention by consent – whether through request or invitation – is therefore better regarded as something of a ‘misnomer’ that is really best avoided,Footnote ¹⁸³ for it is apt to convey the impression that a state can admit to its own coercion. The descriptive and normative components contained in that formulation – of an ‘intervention by consent’ – await to be disentangled, and the terminological anointing of the proposition in question deserves to be reconceived.Footnote ¹⁸⁴

C. Consent and Force

This brings us to the topic of ‘force’ and what may be said of its basic relationship with ‘consent’.Footnote ¹⁸⁵ Article 2(4) of the Charter says nothing of the matter of ‘consent’ when it enjoins all UN member states to ‘refrain in their international relations from the threat or use of force against the territorial integrity of political independence of any state, or in any other manner inconsistent with the Purposes of the United Nations’, but the wording of this formulation might give us pause for thought: can any force that has been consented to properly be quantified as force that is against the territorial integrity or political independence of the target state?Footnote ¹⁸⁶ Certainly, it is an approach that appears to assume that every word of that provision shall be accorded weight or relevance in the final interpretative reckoning, but, in this, we must test whether states have developed such precious inclinations in their respective practices: at the time of Operation Urgent Fury in Grenada in October 1983, for example, the legal adviser to the US Department of State claimed that he was ‘not aware of any authority for the proposition that military assistance in response to the request of lawful authority is contrary to the prohibitions of Article 2(4) of the U.N. Charter’.Footnote ¹⁸⁷ If this were the case, the ius ad bellum would not thereby become engaged.Footnote ¹⁸⁸

Another possibility is to consider that force occurring with consent does come within the terms of Article 2(4) of the Charter, but that it forms an exception to that provision – akin to the inherent right of individual and collective self-defence, as contained in Article 51.Footnote ¹⁸⁹ This would serve as the basis of its allowability. Along this line of thinking, the literature usually invokes the Articles on the Responsibility of States for Internationally Wrongful Acts published by the International Law Commission (ILC) in August 2001 – and, specifically, one of the six circumstances that the Commission identified for the preclusion of wrongfulness.Footnote ¹⁹⁰ So, when he considered consent and force in his classic text, War, Aggression and Self-Defence, Yoram Dinstein refers reflexively and without comment to Article 20 of the ILC Articles,Footnote ¹⁹¹ which provides that ‘[v]alid consent by a State to the commission of a given act by another State precludes the wrongfulness of that act in relation to the former State to the extent that the act remains within the limits of that consent’.Footnote ¹⁹² There might well be a certain logic to this reasoning, since the very next provision (Article 21) positions the circumstance of self-defence as an instance of the preclusion of wrongfulness (‘The wrongfulness of an act of a State is precluded if the act constitutes a lawfulness measure of self-defence taken in conformity with the Charter of the United Nations’).Footnote ¹⁹³ However, is it really true to maintain that consent to force precludes the wrongfulness of that force?

In the Commentaries to Article 20, we are given a number of ‘[s]imple examples’ of the ‘daily occurrence’ whereby ‘States consent to conduct of other States which, without such consent, would constitute a breach of an international obligation’: transit through the airspace or internal waters of a state; the location of facilities on a state’s territory; the conduct of official investigations or inquiries within a state.Footnote ¹⁹⁴ The ILC presents additional examples later in its analysis, and these directly relate to ‘force’: whether the consent expressed by a regional authority can legitimise the sending of foreign troops into the territory of a state; whether such consent can be given only by the central government of the relevant state; whether the government in question has the ‘legitimacy’ to issue that consent.Footnote ¹⁹⁵ ‘These questions’, the Commentaries observe, ‘depend on the rules of international law relating to the expression of the will of the State, as well as rules of internal law to which, in certain circumstances, international law refers.’Footnote ¹⁹⁶

In addition to ‘the rules of international law relating to the expression of the will of the State’, the Commentaries also draw our attention to the primary obligation that is at stake in any given situation and to ‘consent in relation to the underlying obligation itself’.Footnote ¹⁹⁷ In this context, that primary or underlying obligation is, of course, Article 2(4) of the UN Charter and its customary counterpart, which, we might recall, makes no utterance on consent. Yet the seamless juxtaposition of the ILC’s provision on ‘valid consent’ and ‘force’ encountered in Dinstein’s War, Aggression and Self-Defence does not fully acknowledge the considerable unease that marked deliberations within the Commission itself in respect of that very provision, such that Special Rapporteur James Crawford was moved to remark that there might be a ‘deeper problem’ in existence – more than ‘one simply of formulation’.Footnote ¹⁹⁸ Such admission invites the user of the ILC Articles to dissect their contents more closely, alert not only to questions of formulation but also to the authority and persuasion steering each proposition of law. It is therefore worthwhile – and, arguably, necessary – to return to the account that Crawford gave of his misgivings:

Note how the ‘daily occurrence’ of the Commentaries to Article 20 is rendered here as practice that was ‘very common’ in view of ‘the proviso that foreign jurisdiction may be exercised with the consent of the host State’: some of the same examples (e.g., commissions of enquiry sitting on the territory of another state) were rallied but to somewhat different effect. What is most striking, though, is the Special Rapporteur’s tone in staking out his position: he is adamant that the cases he mentions ‘do not involve, even prima facie, conduct not in conformity with the international obligation’, such that the primary rule does not even come into play. So these were no ordinary misgivings: these were not merely aesthetic differences or differences of style; rather, they were points of disagreement that went to the very heart of the exercises of conceptualisation and categorisation. And, in point of fact, they are what led the Special Rapporteur to propose the deletion of the provision on consent from the final inventory of circumstances precluding wrongfulness:

Before proposing this path forward, Crawford cited the rules on both intervention and force as crucial examples of rules ‘which are not absolute prohibitions but which allow that the conduct in question may be validly consented to by the target State’.Footnote ²⁰¹ These were, he said, to be contrasted with obligations that had been ‘properly formulated in absolute terms’:Footnote ²⁰²

The Special Rapporteur’s misgivings do seem to tap into a broader series of concerns that have been expressed about the very category of circumstances precluding wrongfulness and its place in the overall architecture of the law of state responsibility – that, on the one hand, the category purports to identify ‘behaviour that is right’ (and, presumably, right ab initio), but, on the other hand, it also incorporates ‘behaviour that, though wrong, is understandable and excusable’.Footnote ²⁰⁴ Others have argued against confusing the ‘preclusion’ of a primary obligation with ‘defences to breach it’,Footnote ²⁰⁵ and there is some sense of the distinctiveness of consent that emerges from the requirement that it be given beforehand (for ‘such consent validly given implies that the conduct is perfectly lawful at the time it occurs’).Footnote ²⁰⁶ That idiom of perfect lawfulness is an arresting choice of words with which the Special Rapporteur unpacks the significance of consent, and he continued:

All of this might well place us on the back foot of the actual demands of the primary obligation,Footnote ²⁰⁸ but it is difficult to take issue with Crawford’s observation in respect of the instinctive interpretations that states have tended to make on consenting to force – and on the prohibition of force that is dealing fundamentally with ‘hostile military action’.Footnote ²⁰⁹

Consent for force is issued principally on an ad hoc basis or via prior conventional arrangement – that is, what may be termed ‘attenuated consent’, for the state is providing its consent to force in advance and as a matter of principle (the consent determining the circumstances for force, as set out in conventional form).Footnote ²¹⁰ However, as we approach these specimens of consent, we need to be clear on what it is conceptually or as a matter of legal categorisation that the state is consenting to, for not all acts or actions count as ‘force’ even if that is how they might appear initially.

Much like intervention, then, ‘force’ is a legal term of art that comes with its own set of assumptions and shared appreciations, its historical background imbued with much meaning and relevance for the present discussion.Footnote ²¹¹ We do not, for example, consider the right of hot pursuit as an exception to the prohibition of force; this is because it is generally regarded as an exception to the principle of flag state jurisdiction, even though it is meant to be exercised ‘only by warships or military aircraft, or other ships or aircraft clearly marked and identifiable as being on government service and authorized to that effect’.Footnote ²¹² Here, evidently, we are in the realm of the maritime enforcement of the laws and regulations of the coastal (and pursuing) state,Footnote ²¹³ with the right established to facilitate the arrest of the offending shipFootnote ²¹⁴ – but ‘it is the mission, not the uniform worn by the actor, that determines how force should be classified and which doctrine controls that use of force’.Footnote ²¹⁵

Consider, too, the arrangements that have been made under the 1982 UN Convention on the Law of the Sea with respect to the controlling of piracy on the high seas, which have developed in something of the same vein.Footnote ²¹⁶ There, ‘every State may seize a pirate ship or aircraft, or a ship or aircraft taken by piracy and under the control of pirates, and arrest the persons and seize property on board’,Footnote ²¹⁷ with a right of visit envisaged for warships that encounter a foreign ship on the high seas, where there is reasonable ground for suspecting that ship’s involvement with piracy.Footnote ²¹⁸ With this Convention, states seem to have consented to a rare ‘capacity’ to enforce the universal jurisdiction they possess on the high seasFootnote ²¹⁹ – again governed by the function, rather than the appearance, of the operation at hand. The resulting acts are thus not considered to be acts of ‘force’ and Article 2(4) is not generally considered to be implicated.Footnote ²²⁰ Given this context, and by way of contrast, it may be well worth recalling the ‘discordant note’Footnote ²²¹ sounded by the Arbitral Tribunal in the Guyana/Suriname arbitration, in which it described the communication of June 2000 from two patrol boats from the Surinamese Navy made in respect of drill ship C.E. Thornton and its service vessels as ‘more akin to a threat of military action rather than a mere law enforcement activity’.Footnote ²²²

Importantly, in the last decade or so, these arrangements had proven wholly insufficient to deal with the exponential increase in piratical action that had occurred off the coast of Somalia at a time when its government – the Transitional Federal Government (TFG) – could not take effective or appropriate action.Footnote ²²³ In its Resolution 1816 of June 2008, the UN Security Council recognised the ‘lack of capacity of the [TFG] to interdict pirates or patrol and secure either the international sea lanes off the coast of Somalia or Somalia’s territorial waters’,Footnote ²²⁴ and acknowledged that the TFG had written to the UN Secretary-General, specifying that it ‘needs and would welcome international assistance to address the problem’.Footnote ²²⁵ A separate communication of February 2008 from the Permanent Representative of the Somali Republic to the United Nations, addressed to the President of the Security Council, had ‘convey[ed] the consent of the TFG to the Security Council for urgent assistance in securing the territorial and international waters off the coast of Somalia for the safe conduct of shipping and navigation’,Footnote ²²⁶ so there could be no doubt that Somalia’s consent had been given – and given purposefully – for outside assistance.

Acting under Chapter VII of the Charter, the Security Council thus decided that, for a six-month period:

In a subsequent enactment of the Security Council – Resolution 1851 of December 2008 – it provided further authorisation under Chapter VII of the Charter to states and regional organisations acting with the advance notification, provided by the TFG to the Secretary-General, to take ‘all necessary measures that are appropriate in Somalia, for the purpose of suppressing acts of piracy and armed robbery at sea, pursuant to the request of the TFG, provided, however, that any measures undertaken pursuant to the authority of this paragraph shall be undertaken consistent with applicable international humanitarian and human rights law’.Footnote ²²⁸

Both of these resolutions proceeded from the consent of (the government of) Somalia, but it is important to stress that this applied at two separate levels of engagement: one was its reaching out to the Council for assistance in the first place;Footnote ²²⁹ the other was the operational relevance of the individual actions that participating states and regional organisations planned to take.Footnote ²³⁰ Given that Resolution 1816 contemplated the use of all necessary means to repress acts of piracy and armed robbery, ‘in a manner consistent with action permitted on the high seas with respect to piracy under relevant international law’, it is arguable that what the Security Council was doing here was conducting an intra-territorial expansion of the conventional regime of ‘police powers’Footnote ²³¹ – that is, first, into the territorial waters (or better, the territorial sea) of Somalia, with Resolution 1816 and then, with Resolution 1851, into the territory of Somalia itself.Footnote ²³² Without the consent of the TFG or the authorisation of the Council, any action in these allocated spaces was at very real risk of being interpreted (and potentially reclassified) by states as an act of force under Article 2(4) of the Charter – and as an unlawful act of force at that.

This brings us to the practice of inter-state counter-terrorist operations and the particular example of the force deployed by the United States against Osama bin Laden, as leader of al-Qaeda, after his whereabouts had been pinned to Abbottabad in northeastern Pakistan. The raid was successfully undertaken in May 2011 by twenty-three US Navy SEALs, belonging to the Naval Special Warfare Development Group – who, apparently, ‘had surreptitiously entered the country on ten to twelve previous occasions’.Footnote ²³³ Quite apart from the position the United States took on its relationship with al-Qaeda under the laws of the ius in bello and the importance of those laws in determining the lawfulness of the raid, the United States did accept that the sovereignty of Pakistan was also in contention by virtue of the laws of the ius ad bellum. Naturally, the United States considered whether Pakistan’s consent could be one way around ‘the sovereignty problem’:Footnote ²³⁴ at an earlier point in time, Pakistan had issued its consent for air strikes in the tribal areas adjacent to Afghanistan.Footnote ²³⁵ However, secrecy was regarded as integral and indispensable to the ultimate success of the operation, and this meant that the United States had to explore the option of claiming its right of self-defence in the absence of consent.Footnote ²³⁶ With the Foreign Office of Pakistan taking the view that ‘[t]his event of unauthorized unilateral action cannot be taken as a rule’,Footnote ²³⁷ the episode revealed the abiding worth of consent in the dynamics of the laws of the ius ad bellum, but it also spoke to its fragility: its presence cannot be assumed or extended.Footnote ²³⁸ This is not to mention any difficulty in getting at or establishing the facts of consent – which may well remain elusive, and even permanently so. Fundamentally, once given, the remit of consent cannot be generalised but is instead wrapped in the politics and normativity of the particular.Footnote ²³⁹

A. The Basis of Allowability

We have thus far attended to the idea of the ‘allowability’ of military assistance ‘at the request of the government of a State’, as the ICJ expressed it in June 1986 – although it should be sufficiently clear by now that considerable difficulties surround the exact juridical basis of that proposition. What is of concern to us at this juncture is the Court’s employment of the word ‘allowability’ in its analysis: this seems to be different from saying that military assistance in such circumstances is ‘allowed’; still less that it is allowed no matter what the prevailing facts are or how enfeebled the government of the day might be. By contrast, ‘allowability’ injects an aspect of contingency – of negotiability, if you will – into the overall equation: the immediate implication is that certain conditions must be met if such assistance is to be deemed allowable as a matter of law. In the context of this Trialogue, I am therefore more in agreement with the reading of Corten (‘allowable’ and not ‘allowed’Footnote ²⁴⁰) than that of Fox on this point, who writes of the ‘unqualified statement’Footnote ²⁴¹ of the Court and of its ‘sweeping language’,Footnote ²⁴² providing ‘blanket approval of governmental invitations’.Footnote ²⁴³ For, as a more general matter emerging from that judgment, the Court proceeded to discerningly identify the legal propositions it brought to its analysis, including propositions that were not at issue before it.Footnote ²⁴⁴ In any event, with an eye to the relevant evidence, we have already seen how the UN General Assembly expressly struck out against intervention ‘in civil strife in another state’ in its enunciation of the principle of non-intervention in Resolution 2625 (XXV).Footnote ²⁴⁵ And we have canvassed the consequences of neutrality in the event of an (external) recognition of belligerency,Footnote ²⁴⁶ so the preliminary proofs suggest that the allowability of such assistance to the government of a state is not unlimited.Footnote ²⁴⁷

In this section, we shall try to probe in more detail what these conditions for – these dynamics of – consent in law are, or could be, and we shall once again have recourse to historical material to guide our analysis. I shall concentrate on three IDI resolutions adopted over the course of a century or so. The first of these, the Neuchâtel Resolution II (Droits et devoirs des Puissances étrangères, au cas de mouvement insurrectional, envers les gouvernements établis et reconnus qui sont aux prises avec l’insurrection), was adopted in September 1900. The second, the Wiesbaden Resolution III (Le principe de non-intervention dans les guerres civiles), was adopted in August 1975. The third and most recent, the Rhodes Resolution II (Assistance militaire sollicitée), was adopted in September 2011. Much like the successive editions of Oppenheim’s treatise on public international law at which we looked for the definition of ‘intervention’ in section III, these IDI resolutions are a most useful mechanism through which to assess changing ideas and expectations of consent in and across time. The resolutions are significant because they are concerned with invitations made by states, but also, and equally importantly, because they speak to the crossover that occurs – or is meant to occur – from the laws of the ius ad bellum to the laws of the ius in bello. As we shall see, that latter corpus also has relevance to the matter of consent.

Before we examine the content of these resolutions, reference should be made to Louise Doswald-Beck’s important study, published in the British Yearbook of International Law in 1985, in which she concluded that ‘there is, at the least, a very serious doubt whether a State may validly aid another government to suppress a rebellion, particularly if the rebellion is widespread and seriously aimed at the overthrow of the incumbent regime’.Footnote ²⁴⁸ That conclusion was propelled by a detailed appreciation of both practice and principle,Footnote ²⁴⁹ and it is these elements that forged the ‘substantial evidence’ she found ‘to support a theory that intervention to prop up a beleaguered government is illegal’.Footnote ²⁵⁰ It therefore matters – and it matters a great deal – that the relative successes of a given rebellion in a given territory (or territorial state) be calibrated, for therein lies the gauge whereby the lawfulness of an action that claims the consent of the relevant state through its government can be measured. To put it another way, the challenge is to benchmark how beleaguered a government may be against the rebellious activity. Problematic though it is to implement this in practice, we ought not to miss the essential point: that, as far as historic and contemporary public international law is concerned, the ebbing of governmental power more or less correlates with the authority of that government to consent to any outside action. And, to make fuller sense of this position, Doswald-Beck refers us to one of the ‘basic assumptions of international law’,Footnote ²⁵¹ which reflects the notion of the actual representation of the state:

B. Resolutions of the Institut de droit international

The first major statement from the IDI appeared in the form of its Neuchâtel Resolution II of September 1900, which concerned the imposition on ‘third Powers’, in the event of an insurrection or civil war, of ‘certain obligations towards established and recognised governments, which are struggling with an insurrection’. Insurrection formed part of the focus of the Resolution, as per its title,Footnote ²⁵³ and reference was made in due course to ‘civil war’ (Articles 1 and 3–5) and to ‘recognition of belligerency’ (Articles 4–9). The general idea behind the initiative was to calibrate the normative arrangements for foreign powers in accordance with the changing fortunes and status of what was termed ‘a revolutionary party’Footnote ²⁵⁴ – namely, any party pitted against an established and recognised government within a state. The Resolution was therefore dedicated to mapping the various stages of struggle – insurrection, civil war, and recognition of belligerency – of that cause and, of course, of setting forth the corresponding legal regimen.Footnote ²⁵⁵

Given this brief background, it is perhaps surprising that nowhere did the Resolution commit to a definition of either ‘insurrection’ or ‘civil war’, with the picture emerging of a commanding hand afforded by law to any government of an ‘independent nation’ setting about ‘the reestablishing of internal peace’.Footnote ²⁵⁶ In matter of fact, at one point, the Resolution referred to the ‘armed defence against insurrection’ – namely, the armed defence of ‘the State within whose territory an insurrection has broken out’Footnote ²⁵⁷ – as if a government facing down an insurrection were to be treated as one and the same thing as ‘the State’ itself. By omitting definitions, it may initially be thought that the Resolution was the IDI’s attempt to establish a certain equivalence of meaning between ‘civil war’ and ‘a recognition of a state of belligerency’,Footnote ²⁵⁸ but the Resolution moved quite quickly to disabuse the reader of any such notion and to affirm that these were actually to be treated as separate propositions: ‘The government of a country where a civil war has broken out may recognize the insurgents as belligerents either explicitly or by categorical declaration, or implicitly by a series of acts which leave no doubt as to intentions.’Footnote ²⁵⁹

This apparent discretion of a government to ‘recognize the insurgents as belligerents’Footnote ²⁶⁰ should be juxtaposed with the recognition of belligerency taking place at the hands of ‘[t]hird Powers’,Footnote ²⁶¹ which became a matter of close regulation under the Resolution. Such recognition was not to occur:

1. Section 1. If [a revolutionary party] has not acquired a distinct territorial existence through the possession of a definite portion of the national territory;

2. Section 2. If it has not the elements of a regular government exercising in fact the manifest rights of sovereignty over this portion of the territory;

3. Section 3. If the fight is not carried on in its name by organized troops, subject to military discipline and conforming to the laws and customs of war.Footnote ²⁶²

This was the fulcrum around which the main legal change would result for ‘third Powers’: ‘such recognition’, the Resolution maintained, would entail ‘all the usual consequences of neutrality’,Footnote ²⁶³ including – we can presume – the stopping of supplies of arms, munitions, military goods, or financial aid to the beleaguered government.Footnote ²⁶⁴ Yet it was in terms of the idiom of neutrality – and not intervention – that the core change in consequences was framed.Footnote ²⁶⁵

Let us now move forward to the next instrument in the IDI series, Wiesbaden Resolution III of August 1975, which was explicitly framed in terms of the principle of non-intervention and which did position ‘civil wars’ front and centre – so much so, in fact, that the very first provision of that Resolution announced its definition of ‘civil war’ as:

Thus it was the occurrence of civil war and not the recognition of belligerency that would ultimately prove legally significant, for Article 2 of the Resolution made clear that ‘[t]hird States’ – yes, problematically, third states – were prohibited from ‘giving assistance to parties to a civil war which is being fought in the territory of another State’.Footnote ²⁶⁷ In effect, this meant the prohibition of assistance related to any and all parties to a civil war, including those aligned with the government, and the Resolution elaborated that this prohibition would extend to the sending of armed forces or military volunteers, instructors or technicians to any party to a civil war, or allowing them to be sent or to set out,Footnote ²⁶⁸ as well as the supply of weapons or other war material to any party to a civil war, or allowing them to be supplied,Footnote ²⁶⁹ among numerous other activities.Footnote ²⁷⁰

Also problematic for our analysis – perhaps even more so – is the fact that, in its attempt to define ‘civil war’ and hence regulate the conduct of states under the ius ad bellum, the Resolution pivoted to the language of ‘armed conflict, not of an international character’ found in common Article 3 of the Geneva Conventions of August 1949 under the ius in bello.Footnote ²⁷¹ It did so at the very moment when that concept was being repurposed and redefined to mark out an enhanced threshold for the material field of application of Additional Protocol II to the Geneva Conventions of June 1977.Footnote ²⁷² This activity was tied up with building the necessary diplomatic consensus for its adoption.Footnote ²⁷³ This process – of, first, the development of a specific concept so as to expand the opportunities for application of the laws of war as they were originally known and, second, of the dichotomisation of that concept so as to secure the adoption of Additional Protocol II – speaks volumes about the particularity of function (or functions) that certain laws may have.Footnote ²⁷⁴ And it gives real pause for thought: can one aspect of the lex specialis for the ius in bello be conscripted and grafted without more onto the lex specialis of the ius ad bellum? They are, after all, striving for different ambitions and outcomes; they are setting out to do very different things.Footnote ²⁷⁵ Yet this seamless juxtaposition of propositions from one lex specialis to the next has scarcely caused a ripple in the literature.Footnote ²⁷⁶

A final word really ought to be shared on Wiesbaden Resolution III’s invocation of the principle of non-intervention, upon which we touched earlier. While it appears in the title of the Resolution and in two preambular indulgences, ‘intervention’ is mentioned only once in its substantive body – in Article 5 – in relation to remedial foreign intervention (or counter-intervention). As we have seen, the mainstay of the Resolution is the prohibition of assistance contained in Article 3,Footnote ²⁷⁷ but it is telling that, in making accommodation for counter-intervention in Article 5, the formulation used is that ‘third States may give assistance to the other party [in the civil war] only in compliance with the Charter and any other relevant rule of international law’.Footnote ²⁷⁸ Is ‘assistance’ therefore to be taken as coterminous with ‘intervention’? Examples of assistance were neatly assembled in Article 2 of the Resolution, of course, but each of these invites further examination as to whether they can be said to constitute ‘intervention’ in the eyes of the law. The ‘sending [of] armed forces or military volunteers, instructors or technicians to any party to a civil war, or allowing them to be sent or to set out’?Footnote ²⁷⁹ Almost certainly, yes. But what about ‘prematurely recognizing a provisional government which has no effective control over a substantial area of the territory of the State in question’?Footnote ²⁸⁰ And what of the ‘exception’ of humanitarian aid?Footnote ²⁸¹ Exception to what, exactly?

Finally, for this section, we turn to Rhodes Resolution II of September 2011 – on military assistance on request (defined as ‘direct military assistance by the sending of armed forces by one State to another State upon the latter’s request’).Footnote ²⁸² For reasons articulated earlier in this chapter, this Resolution signals a most welcome recalibration of the relevant terms of reference,Footnote ²⁸³ the Resolution designed to address some of the more practical matters (or, as it calls them, ‘terms and modalities’)Footnote ²⁸⁴ that attend such situations: the author and nature of requests;Footnote ²⁸⁵ the notification of requests to the UN Secretary-General;Footnote ²⁸⁶ and the possibility of their withdrawal.Footnote ²⁸⁷ The Resolution is significant in adopting a teleological approach towards the practice of military assistance on request (‘The objective of military assistance is to assist the requesting State in its struggle against non-State actors or individual persons within its territory, with full respect for human rights and fundamental freedoms’),Footnote ²⁸⁸ and, in so doing, it reconnects with the holistic assessment of relevant international laws set out by the UN General Assembly in its Resolution 2625.Footnote ²⁸⁹ The fact that Rhodes Resolution II confines itself to ‘situations of internal disturbances and tensions, such as riots, isolated and sporadic acts of violence and other acts of a similar nature, including acts of terrorism, below the threshold of non-international armed conflict in the sense of Article 1 of [Additional] Protocol II’Footnote ²⁹⁰ might be thought to be anomalous: this formulation has relevance for the definition of non-international armed conflict (NIAC) more generally,Footnote ²⁹¹ and we should ask which part of the resolution is contemplated by this – the prohibition of military assistance under Article 2 or the details of its provision under Article 4?Footnote ²⁹² – especially in view of the stipulation in Additional Protocol II that ‘[n]othing in this Protocol shall be invoked for the purpose of affecting the sovereignty of a State or the responsibility of the government, by all legitimate means, to maintain or re-establish law and order in the State or to defend the national unity and territorial integrity of the States’.Footnote ²⁹³

C. Consent within Non-International Armed Conflicts

The invocation of the concept of NIAC (as found in common Article 3 of the Geneva Conventions and Additional Protocol II) becomes significant for the purposes of consent from another perspective altogether: the question of humanitarian relief. Article 18(2) of Additional Protocol II provides that:

There is no equivalent stipulation for consent made in common Article 3,Footnote ²⁹⁴ and the immediate impression cast by these words is that the ‘High Contracting Party’ – whose armed forces are arraigned against ‘dissident armed forces or other organized armed groups which, under responsible command, exercise such control over a part of its territory as to enable them to carry out sustained and concerted military operations and to implement this Protocol’Footnote ²⁹⁵ – retains the full and unadulterated liberty to deny its consent as it sees fit and so chooses. Acting through its government, any High Contracting Party thus has the ultimate say over whether or not humanitarian relief is to be delivered on its territory.Footnote ²⁹⁶

To interpret the provision in this way would, however, hollow out the obligation of Article 18(2) (‘shall be undertaken’) – to pull any teeth it was designed to have: it would make that obligation subject not only to the consent but also to the slightest whim of any High Contracting Party.Footnote ²⁹⁷ And that was not the intention behind the provision, as the Commentary on the Additional Protocols makes adamantly clear: ‘[t]he fact that consent is required does not mean that the decision is left to the discretion of the parties’, for ‘[t]he authorities responsible for safeguarding the population in the whole of the territory of the State cannot refuse such relief without good grounds’.Footnote ²⁹⁸ This means that there can be no arbitrary withholding of consent once the preconditions of the obligations are fulfilled.Footnote ²⁹⁹ The Commentary is also notable for its acceptance of the fact that – in exceptional, although unspecified, cases – ‘when it is not possible to determine which are the authorities concerned, consent is to be presumed in view of the fact that assistance for the victims is of paramount importance and should not suffer any delay’.Footnote ³⁰⁰ Thus even the laws of the ius in bello are alert to the signal complexities that may belie the untidy transition from one government to another.Footnote ³⁰¹ The matter of exceptionality becomes an occasion for some ambiguity regarding ‘which are the authorities concerned’ – but also for the articulation of an important principle: the presumption of consent.

Subsequently, the Study of the International Committee of the Red Cross on customary international humanitarian law, published in March 2005, concludes that the arrangement set forth in Additional Protocol II for humanitarian relief applies to all NIACs – because the Study does not discriminate between different forms of NIAC as per the conventional arrangements discussed here (i.e., the Geneva Conventions and Additional Protocol II).Footnote ³⁰² Rule 55 of the Study provides that ‘[t]he parties to the conflict must allow and facilitate rapid and unimpeded passage of humanitarian relief for civilians in need, which is impartial in character and conducted without any adverse distinction, subject to their right of control’.Footnote ³⁰³ This might not be evident from what is said in common Article 3 of the Geneva Conventions;Footnote ³⁰⁴ let it also be observed that Rule 55 actually makes no reference to consent.Footnote ³⁰⁵ Still, the Study could not be clearer in articulating that consent is nevertheless required for humanitarian relief for civilians in need: it describes the value of consent as ‘self-evident’ in practical terms;Footnote ³⁰⁶ equally, it maintains that consent may not be refused on arbitrary grounds – for ‘[i]f it is established that a civilian population is threatened with starvation and a humanitarian organisation which provides relief on an impartial and non-discriminatory basis is able to remedy the situation, a party is obliged to give consent’.Footnote ³⁰⁷

A. Collective Self-Defence

The first justification is collective self-defence. At one point in its decision in the Nicaragua case, the ICJ addressed the question of ‘whether the lawfulness of the use of collective self-defence by the third State for the benefit of the attacked State … depends on a request addressed by that State to the third State’.Footnote ³⁰⁸ This question succeeded the Court’s conclusion that a state ‘for whose benefit [the] right [of collective self-defence] is must have declared itself to be the victim of an armed attack’;Footnote ³⁰⁹ out of concern for the potential abuse of the right of collective self-defence, it observed that ‘[t]here is no rule in customary international law permitting another State to exercise the right of collective self-defence on the basis of its own assessment of the situation’.Footnote ³¹⁰ Whatever else the right of collective self-defence might have meant, it did not mean ‘vicarious defence by champions’ as far as the ICJ was concerned.Footnote ³¹¹

To reach this conclusion, the Court pored over a series of provisions from select regional arrangements – Articles 3(f) and 27 from the 1948 Charter of the Organisation of American States (the Bogota Charter), and Article 3(1) and 3(2) of the 1947 Inter-American Treaty of Reciprocal Assistance (the Treaty of Rio de Janeiro).Footnote ³¹² In its analysis, the Court centred the ‘requirement of a request on the part of the attacked State’, as found in the last of these provisions,Footnote ³¹³ which it considered to be significant because the Treaty of Rio de Janeiro was ‘particularly devoted to these matters of mutual assistance’.Footnote ³¹⁴ And, from here and without further ado, the Court went on to find that, ‘in customary international law, whether of a general kind or that particular to the inter-American legal system, there is no rule permitting the exercise of collective self-defence in the absence of a request by the State which regards itself as the victim of an armed attack’.Footnote ³¹⁵ Other than the manner in which the ICJ framed the relevant rule (i.e., the non-existence of a rule of permission) and its failure to share more of the details of its empirical mooring,Footnote ³¹⁶ what is noteworthy is that it nowhere specified the conditions in which such requests could permissibly be made – in which the consent of the state for collective self-defence can be given.

It was to be only a matter of time before this law was put to the test. In the first hours of the Iraqi invasion of Kuwait on 2 August 1990, the UN Security Council met in New York, where Ambassador Mohammed Abdulhasan, the Permanent Representative of Kuwait to the United Nations, ended his urgent opening statement to the Council thus:

At this stage, the ambassador assured the Council that the amir or crown prince of Kuwait (Sheikh Jaber Al-Ahmed Al-Sabah), the prime minister of Kuwait (Sheikh Sa’ad Al-Abdulla Al-Sabah), and the government of Kuwait ‘remain in control in Kuwait and are defending the country’s security’.Footnote ³¹⁸ Yet that situation changed rapidly: the crown prince was reported to have fled Kuwait by car for Saudi Arabia minutes before the first Iraqi soldiers entered the grounds of Dasman Palace in Kuwait City.Footnote ³¹⁹

Separate to the ambassador’s request of the Security Council, it is believed that – some three hours after the invasion commenced – the crown prince had approached the US Embassy in Kuwait for assistance.Footnote ³²⁰ We might appreciate the importance of this transaction occurring outside of the Security Council setting, but – as a component of its quasi-informality – let it be noted that an appeal was made, too, for confidentiality at a crucial and uncertain moment in time. On 12 August 1990, a much more formal letter from the crown prince made its way to US President George H.W. Bush, which read in part:

Evidently, then, this communication was part of a sequence of requests from Kuwait, differing in both timing and form, made in the interval since the invasion,Footnote ³²² but whether the crown prince had authority or effective control never became a point on which the validity of the requests was challenged.Footnote ³²³ Furthermore, it was never called into question whether ‘the rights of the peoples’ of Kuwait – including their self-determination – were directly in issue.Footnote ³²⁴

Legally speaking, it therefore matters a great deal what legal justification (or set of justifications) are being pleaded for a given action: these should not be assumed or imagined, because they come to define the normative minutiae that are to be applied in line with the respective justification.Footnote ³²⁵ The ‘appeal’, cited at the outset of this chapter, which President Abdo Rabbo Mansour Hadi of Yemen made to GCC member states in March 2015, bore all the hallmarks of an invitation as a preface to intervention, but, in reaching out to these five member states ‘to stand by the Yemeni people … and come to the country’s aid’,Footnote ³²⁶ President Hadi specifically invoked the right of self-defence set out in the UN Charter; he also made reference to the 1945 Charter of the League of Arab States and its 1950 Treaty on Joint Defence and Economic Co-operation. He requested ‘immediate support in every form and [taking] necessary measures, including military intervention, to protect Yemen and its people from the ongoing Houthi aggression, repel the attack that is expected at any moment on Aden and the other cities of the South, and help Yemen to confront Al-Qaida and Islamic State in Iraq and the Levant’.Footnote ³²⁷ The appeal was made the day before President Hadi himself fled Aden for Riyadh to avoid advancing ‘Houthi coup orchestrators’Footnote ³²⁸ and two days before Saudi Arabia led the multinational action of Operation Decisive Storm into Yemen.Footnote ³²⁹

There is therefore a ‘fine line’ to be drawn, from the legal standpoint, between the consent offered for collective self-defence and that offered for an ‘intervention by invitation’,Footnote ³³⁰ as was made clear in a quick succession of events relating to Iraq as the so-called Islamic State of Iraq and the Levant (ISIL) emerged there – seizing strategic facilities in Baiji, as well as the cities of Mosul and Tikrit. At the end of June 2014, Iraq requested assistance from the United Nations, calling upon its member states ‘to assist us by providing military training, advanced technology and the weapons required to respond to the situation, with a view to denying terrorists staging areas and safe havens’.Footnote ³³¹ On 7 August 2014, US President Barack Obama announced that targeted airstrikes had been launched within Iraq in respect of two operations: the protection of American personnel located in Erbil and Baghdad and a humanitarian effort to save thousands of Iraqi civilians trapped on Mount Sinjar and facing almost certain death. While this latter aspect might be suggestive of the right of humanitarian intervention in action, President Obama claimed that, ‘when we have a mandate to help, in this case a request from the Iraqi government, and when we have the unique capabilities to help avert a massacre, then I believe the United States cannot turn a blind eye’.Footnote ³³² This is to be contrasted with the (separate) request that the Iraqi government had extended to the United States to ‘lead international efforts to strike ISIL sites and military strongholds in Syria in order to end the continuing attacks on Iraq, to protect Iraqi citizens, and ultimately to enable and arm Iraqi forces to perform their task of regaining control of Iraqi borders’ – all apparently in the name of the right of collective self-defence.Footnote ³³³

Set alongside one another in this way, these episodes are most convenient illustrations of how consent functions in different parts of the constellation of the ius ad bellum – and of how different conditions have come to regulate the issue of consent depending on the legal justification invoked for a given action.Footnote ³³⁴

B. Counter-Intervention

After rejecting the United States’ claim to collective self-defence in the Nicaragua case, the ICJ turned to consider the predicament in which one state acts towards another state with ‘less grave forms’ of force (i.e., those not constituting ‘armed attacks’),Footnote ³³⁵ but where there has been ‘a breach of the principle of non-intervention’.Footnote ³³⁶ What would obtain in such cases, from the standpoint of the law, for any ‘third state’? The Court said that it might be suggested ‘that, in such a situation, the United States’ – here, rightly described as a third state, given the context announced in the case – ‘might have been permitted to intervene in Nicaragua in the exercise of some right analogous to the right of collective self-defence, one which might be resorted to in a case of intervention short of an armed attack’.Footnote ³³⁷ We might appreciate why the Court might have ploughed this furrow even if it did so for only the most cursory of moments: because the United States did not appear in contentious proceedings to which it was a party, the Court had to be satisfied that the claim before it was ‘well founded in fact and law’.Footnote ³³⁸ However, no sooner had the ICJ floated this possibility than it moved to dismiss it, concluding that the acts of which Nicaragua had been accused ‘could not justify counter-measures taken by a third State, the United States, and particularly could not justify intervention involving the use of force’.Footnote ³³⁹ If this was and remains an accurate statement of the law, then the clear implication is that there exists a crucial limitation on the power of a third state to consent to any collective counter-measures in another state, notwithstanding any ‘less grave form’Footnote ³⁴⁰ of force – or intervention – that may have been committed against it.Footnote ³⁴¹ The analogy with collective self-defence could be taken only so far, it transpires – and, for the Court, that was not very far at all.

Consider, in contrast, the ‘right’ of counter-intervention, where ‘otherwise illegal actions can be justified by the need to counter [an] illegal intervention’.Footnote ³⁴² Counter-intervention is therefore ‘occasioned by a violation of law and is in turn governed by law’,Footnote ³⁴³ and – as we saw earlier in this chapter – it was endorsed by the IDI at Wiesbaden in August 1975 (‘Whenever it appears that intervention has taken place during a civil war in violation of [this Resolution], third States may give assistance to the other party only in compliance with the Charter and any other relevant rule of international law, subject to any such measures as are prescribed, authorized, or recommended by the United Nations’).Footnote ³⁴⁴ Oscar Schachter, too, has written of counter-intervention as ‘[a]n important qualification’ of the rule that ‘prohibits States from intervening on either side in a civil war, defined as an internal conflict in which insurgents are supported by a large number of people or occupy a substantial part of the territory’.Footnote ³⁴⁵

Tellingly, counter-intervention did not make an appearance in the Nicaragua case, and this is perhaps because, as a general idea, it ‘should be limited to the territory of the state’ where ‘the prior intervention was illegal’.Footnote ³⁴⁶ The involvement of El Salvador as the venue of an alleged armed attack by Nicaragua – at least as the United States presented it to the Court – meant that, as a legal justification, counter-invention was out of the running. We might now have a better grasp of why the Court sought out an ‘analogy’ with collective self-defence at all: it was more immediately relevant to the facts before it, as the Court saw them. Oscar Schachter regards ‘[t]his territorial limitation’ as one of the principles that has been accepted as a limit on counter-intervention; the other is the principle of proportionality.Footnote ³⁴⁷ Writing before the Nicaragua judgment but after Nicaragua had initiated proceedings in the ICJ in April 1984, Schachter surmised that the United States had ‘abandoned’ the former limitation ‘insofar as its “counter-intervention” on the side of the El Salvador regime has extended to support of anti-Sandinista forces fighting on Nicaraguan soil’.Footnote ³⁴⁸ In his reading of events, the United States had justified its actions in and against Nicaragua on the basis of collective self-defence, but it had also ‘counter-intervened’ against Nicaragua ‘by mining approaches to Nicaraguan ports’.Footnote ³⁴⁹

What is supremely interesting from this account is why it does not examine the behaviour of the United States in respect of Nicaragua as itself an instance of counter-intervention, even though the analysis hints at such (‘Concretely, if the Nicaraguan Sandinista regime receives Cuban and Soviet military supplies and advisors, is the United States free to support the armed opposition by training, armed and technical advice?’).Footnote ³⁵⁰ One might also mention in this regard the weapons and training supplied to the Sandinistas by Venezuela and Panama.Footnote ³⁵¹ The critical matter from our perspective is that, to make any credible legal sense of these events, it is imperative to gain a firm handle of the exact chronologies of each and every ‘intervention’, for this will form the prerequisite to any chronology of the lawfulness of those respective actions. Counter-intervention thus emerges as an exercise in determining the ‘precise point[s]’ of state activity,Footnote ³⁵² such as the temporal relation between the assistance awarded to President Bashar al-Assad of Syria by Russia, Iran, and Hizbollah, and that made available to his opponents (by, among others, Turkey, the United Kingdom, the United States, Qatar, Saudi Arabia, and France).Footnote ³⁵³ However, to make any serious headway on this front, we need also to understand very clearly the relative authority of the relevant government; only then can it be determined whether there has occurred any ‘violation of law’ in the first placeFootnote ³⁵⁴ – the necessary prequel to any lawful act of counter-intervention.

There is a complicating factor, too, that shades these assessments: the pluralist conception of ‘intervention’, as endorsed by the UN General Assembly in October 1970 – a conception that extends not only to armed intervention but also to ‘all other forms of interference’.Footnote ³⁵⁵ This is sufficient to extend to ‘arms or active participation’,Footnote ³⁵⁶ as is the conception of ‘assistance’ developed by the IDI in August 1975 (which also includes the premature recognition of a provisional government).Footnote ³⁵⁷ If each of these instances can indeed qualify as an ‘intervention’ in law, why can any of the other instances not serve as an acceptable instance of ‘counter’ intervention? Schachter has insisted that ‘[t]here is good reason’ to support a principle of proportionality for counter-intervention ‘as a legal restriction and not merely as a prudential principle’, which would require ‘some rough equivalence between the counter-intervention and the illicit aid given the other side’.Footnote ³⁵⁸ That rough equivalence may be very difficult to achieve if ‘intervention’ knows of various forms, in contrast to the idea of ‘force’,Footnote ³⁵⁹ quite apart from any variations that might exist among ideas of what intervention itself encompasses.Footnote ³⁶⁰ There also appears to be a key assumption in this law that ‘the quantum and character of outside aid’ is known at all times to the opposing side,Footnote ³⁶¹ and this is not always – if ever – the case. Finally, in this hypothesis, we might ask a genuine question about how the fracturing of the ‘self’ of self-determination can be reconciled with any dialectic of intervention vs counter-intervention – and whether the broader interest of ‘friendly relations’ might require a hierarchy in which self-determination supersedes any notion of prohibited intervention.Footnote ³⁶²

C. Pro-Democratic Intervention

We next turn to the so-called right of pro-democratic intervention. Reference was made earlier in the chapter to the possibility of a right of political or ideological intervention – a proposition that the ICJ raised but then rejected in 1986 – so we ought to explore why there is a need for a separate proposition of a right of ‘pro-democratic intervention’, which the Court did not deal with as such.Footnote ³⁶³

Christine Gray has discussed this latter proposition in terms of both ‘pro-democratic intervention’ and ‘pro-democratic invasion’,Footnote ³⁶⁴ writing that ‘[t]he political goals underlying the use of force may include the re-establishment of “democratic” government’.Footnote ³⁶⁵ At the conceptual level, then, a broad berth is accorded to the right of pro-democratic intervention, which appears to include practices that would come within the compass of the right of political or ideological intervention, as discussed by the ICJ in the Nicaragua case.Footnote ³⁶⁶ Yet, in truth, it does seem to be the case that these propositions – the right of political or ideological intervention and the right of pro-democratic intervention – proceed from very different factual premises and thus deserve to be treated individually in normative terms.The difference may be specified thus:

• The right of political or ideological intervention was essentially a creation of the politics of the Cold War, designed to facilitate the installation of a democratic or socialist government where none existed previously. In other words, at its base, it offered the option for what might be called changes of ideological regime and/or constitutional infrastructure.Footnote ³⁶⁷

• The right of pro-democratic intervention, on the other hand, assumes that a democratic constitutional order is already established in the target state – no argument is being made for either its instalment or dethronement, as it were – and that it has encountered certain existential challenges, which the right of pro-democratic intervention is there to fix or to otherwise remedy. In this instance, self-determination might be read as an affirmation of the decision of ‘self-direction of each society by its people’, as well as the operation of ‘the principle of democracy at the collective level’.Footnote ³⁶⁸

In probing the premise underpinning any right of pro-democratic intervention, it is important to observe that the Security Council has authorised an intervention to reverse the effects of a coup d’état and reinstate the democratically elected government of a country; where the Council does so, there is no legal need to have recourse to that right. This is precisely what happened in Haiti in July 1994, when the Council, acting under Chapter VII of the Charter, authorised ‘Member States to form a multinational force under unified command and control and … to use all necessary means to facilitate the departure of the military leadership [of General Raoul Cédras], the prompt return of the legitimately elected President [Bertrand Aristide] and the restoration of the legitimate authorities of the Government of Haiti’.Footnote ³⁶⁹ In September 1991, General Cédras had seized power from President Aristide following his resounding electoral win in December of the previous year, so that the language of ‘restoration’ becomes important: it more closely approximates the organising value for which the intervention of Operation Uphold Democracy was devised,Footnote ³⁷⁰ although the Council proved keen to promote the circumstances in which it found itself as exceptional (‘the unique character of the present situation in Haiti and its deteriorating, complex and extraordinary nature, requiring an exceptional response’).Footnote ³⁷¹

Equally, it is important to consider what legal significance any consent might have had for Operation Uphold Democracy: in enacting Resolution 940, the Council took note of the letter dated 29 July 1994 that it had received from President Aristide while he was in exile in the United States.Footnote ³⁷² In that letter, President Aristide informed the Council that:

Aristide reminded the Council of his own scrupulous respect for the commitments set out in the Governors Island Agreement of July 1993Footnote ³⁷⁴ and said that, to this end, he felt ‘the time has come for the international community, as a party in the process which led to that Agreement, to take prompt and decisive action, under the authority of the United Nations, to allow for its full implementation’.Footnote ³⁷⁵ While this may be regarded as an instance of consent by the exiled president to Operation Uphold Democracy,Footnote ³⁷⁶ the Security Council ultimately rested its argument on implementation of the Governors Island Agreement and, to that extent, this invitation is out of line with the other examples that we have considered so far.Footnote ³⁷⁷ In any event, the invocation of Chapter VII of the Charter in Resolution 940 does suggest that the Council ‘was unwilling to treat that consent as either a necessary or a sufficient legal basis for intervention’.Footnote ³⁷⁸

An altogether different legal situation arose in May 1997, following the ouster from power in Sierra Leone of democratically elected President Ahmed Tejan Kabbah by mutinous troops who joined the Revolutionary United Front of Major Johnny Paul Koroma. After taking flight by helicopter to Guinea, President Kabbah launched an appeal to the chair of the Economic Community of West African States (ECOWAS), President Sani Abacha of Nigeria, for immediate assistance in restoring civilian rule in his country.Footnote ³⁷⁹ As it happened, a contingent of some 900 troops was already stationed in Sierra Leone, in accordance with pre-existing treaty commitments regarding a battalion attached to the Economic Community of West African States Monitoring Group (ECOMOG), but ‘no agreement had made provision for intervention to reverse a coup’.Footnote ³⁸⁰ This did not stop Nigerian naval vessels from shelling the Army headquarters in Freetown in early June; Nigerian troops also seized the international airport and brought in reinforcements.Footnote ³⁸¹ This was followed by the Conakry Peace Agreement of October 1997, as well as by further multilateral military action;Footnote ³⁸² in March 1998, President Kabbah was finally returned to power in Freetown, the capital of Sierra Leone.Footnote ³⁸³

These developments were accompanied by a statement from United Nations Secretary-General Kofi Annan in which he contemplated the use of force as ‘a last resort’ – saying that ‘it is inevitable it may have to come to that’ – but denied that there was any question of a UN force entering Sierra Leone.Footnote ³⁸⁴ In June 1997, member states of ECOWAS, meeting in Conakry, Guinea, issued a Final Communiqué, in which they recognised the objectives to be pursued by ECOWAS as comprising the ‘early reinstatement of the legitimate government of President Ahmed Tejan Kabbah, the return of peace and security and the resolution of the issues of refugees and displaced persons’.Footnote ³⁸⁵ Furthermore, they stressed that ‘no country should grant recognition to the regime that emerged following the coup d’état of 25 May 1997, and that they would ‘work towards the reinstatement of the legitimate government by a combination of three measures, namely, dialogue, imposition of sanctions and enforcement of an embargo and the use of force’.Footnote ³⁸⁶

The fact that ‘objectives’ for an intervention are specified is not to say that its legal justification (or justifications) have thereby been articulated,Footnote ³⁸⁷ and yet – in a thorough and rewarding examination of the possible justifications for that intervention by Karsten Nowrot and Emily Schabacker – it has been claimed that ‘[t]he primary justification offered by Nigeria and ECOWAS for the military intervention in Sierra Leone was the overthrow of the military junta and the restoration of the democratically elected government of President Kabbah’.Footnote ³⁸⁸ Those same authors, however, then conclude that ‘the ECOWAS intervention in Sierra Leone can be regarded as a lawful exercise of the use of force in light of the changing concept of government legitimacy and the resulting modified doctrine of intervention by invitation under contemporary international law’.Footnote ³⁸⁹ There is an oddity to this claim, of course, because a ‘modified’Footnote ³⁹⁰ doctrine of intervention by invitation does not explain why any need would then exist for recourse to – still less the innovation of – a ‘right of pro-democratic intervention’ as the authors initially proposed: the ‘doctrine’ itself, in its modified form, would presumably serve as the legal justification for intervention on this account.Footnote ³⁹¹ And the task of the international lawyer is further complicated by the fact that, in Resolution 1156 of March 1998, the UN Security Council welcomed ‘the return to Sierra Leone of its democratically elected President’ – uttering not a word on the process that got him there.Footnote ³⁹² Given the remarkably broad support showered on the intervention that occurred in Sierra Leone between June 1997 and March 1998, it may very well be that the real oddity is that the legal justification of this intervention somehow remains elusive all these many years later.Footnote ³⁹³

If the restoration of a democratically elected, but exiled, government presents one possible calibration for a right of pro-democratic intervention in practice,Footnote ³⁹⁴ then another might derive from the situation in which an incumbent government refuses to leave office after suffering defeat at the polls. This is precisely what happened in Côte d’Ivoire following the victory of Alassane Ouattara of the Rally of the Republicans in the presidential elections of November 2010, when (incumbent) President Laurent Gbagbo of the Ivorian Popular Front made it known that he was not going anywhere.Footnote ³⁹⁵ In January 2011, from his blockaded hotel room in Abidjan, President-elect Ouattara requested that ECOWAS intervene to unseat Gbagbo: ‘Legitimate force’, he claimed, ‘doesn’t mean a force against Ivorians.’Footnote ³⁹⁶ Be this as it may, the complication here was that Gbagbo remained in effective control of the country, with ‘the sole authority to give consent to military force because the facts are not clear in terms of whom the population, by a high majority, supports’.Footnote ³⁹⁷ A further complication had already arisen the previous month when ECOWAS had advised President Gbagbo to stand down or expect to face ‘legitimate force’,Footnote ³⁹⁸ because – as the ICJ pointed out in its advisory opinion in Legality of the Threat or Use of Nuclear Weapons in July 1996 ‘[i]f the envisaged use of force is itself unlawful, the stated readiness to use it would be a threat prohibited under Article 2, paragraph 4 [of the UN Charter]’.Footnote ³⁹⁹ We might regard this as a broader value of a right of pro-democratic intervention when compared with the intricacies involved in an ‘invitation’ from a government in circumstances such as those of Côte d’Ivoire – separate, of course, from action taken pursuant to any conventional framework or, indeed, to any authorisation forthcoming from the Security Council.Footnote ⁴⁰⁰

There are many echoes of this episode in the events leading up to and including Operation Restore Democracy – note the language, once again – in The Gambia in January 2017, after President Yahya Jammeh refused to cede power to Adama Barrow, who had won the presidential election of December 2016. President Jammeh had initially acknowledged defeat in that election, but he then underwent something of a change of heart.Footnote ⁴⁰¹ Acting soon after the election, the African Union recalled its 2000 Constitutive Act, as well as the 2007 African Charter on Democracy, Elections and Governance (‘on the total rejection … of unconstitutional changes of government, in particular any refusal by an incumbent government to relinquish power to the winning party or candidate after free, fair and regular elections’),Footnote ⁴⁰² emphasising its determination ‘to take all necessary measures, in line with relevant [Union] instruments, with a view to ensuring full respect and compliance with the will and desire expressed by the people of the Gambia’.Footnote ⁴⁰³ This appeared to locate the basis of any planned action in casus foederis, in the law of the institution of the African Union. For its part, ECOWAS announced that, ‘[i]f [Jammeh] is not going, we have stand-by forces already alerted and these stand-by forces have to be able to intervene to restore the people’s wish’.Footnote ⁴⁰⁴ That ECOWAS delivered an ultimatum to President Jammeh, as well as the fact that Senegalese troops amassed on the border with The Gambia and Nigeria deployed its air force to Senegal to help with the transfer of power,Footnote ⁴⁰⁵ makes it difficult to doubt the existence of a threat of force as far as The Gambia was concerned.

There was an important difference between the situation in The Gambia and that in Côte d’Ivoire, however: apparently, as Operation Restore Democracy was taking its very first strides, Adama Barrow was being sworn into office in a brief ceremony about 240 kilometres outside of The Gambia – ‘in a nondescript room at the Gambian Embassy in Dakar, Senegal, because [he] has so little control over his country that he did not go home for the funeral of his son’.Footnote ⁴⁰⁶ In this, the episode had some echoes of Operation Just Cause in Panama in December 1989, where Guillermo Endara had been sworn in as the president of Panama at a US military base just as that intervention was getting under way.Footnote ⁴⁰⁷ That intervention had also followed a highly contested election, which the country’s president, General Manuel Noriega, had decided to nullify in May 1989.Footnote ⁴⁰⁸ With Operation Restore Democracy, however, the Security Council adopted a resolution in which it referred to Adama Barrow as both ‘President-elect’Footnote ⁴⁰⁹ and ‘President’.Footnote ⁴¹⁰ Contrary to some of its previous practice, the Security Council did not go on to authorise an intervention in The Gambia in Resolution 2337 of January 2017, but it did express its ‘full support’ of ECOWAS ‘in its commitment to ensure, by political means first, the respect of the will of the people of The Gambia as expressed in the results of the … elections’.Footnote ⁴¹¹ Within two days of the intervention, President Jammeh announced he would be stepping down after all,Footnote ⁴¹² and it was reported that, following his return to the country, President Barrow asked ECOWAS forces to stay in the country for six months to help him consolidate his authority.Footnote ⁴¹³

One can therefore appreciate why ‘intervention by invitation’ has been considered to be the ‘primary argument’Footnote ⁴¹⁴ behind the ECOWAS intervention of January 2017: the Permanent Representative of Senegal to the United Nations had indeed informed the Security Council moments before it adopted Resolution 2337 that an ‘appeal’ had been made that day – the day of ‘the oath-taking ceremony’ at the Gambian Embassy in Senegal – by ‘President Adama Barrow to the international community, and in particular ECOWAS, the African Union and the United Nations, to help ensure respect for the sovereign will of the people of The Gambia’.Footnote ⁴¹⁵ One must query, though, not only the generality of the consent underpinning this appeal, issued as it was to the international community as a whole, but also its timing, coming as it did when President Barrow ‘exercised no control, whether effective or otherwise, over The Gambia’.Footnote ⁴¹⁶ Still, the considerations of ‘the will of the Gambian people and therefore their right to self-determination’, as well as ‘respect for democracy’, have been taken as shoring up the validity of the intervention by virtue of that invitation.Footnote ⁴¹⁷ Significantly, however, this approach will invariably mean the relaxing of requirements for solicited interventions when undertaken in such circumstances.Footnote ⁴¹⁸ Furthermore, any invitation of the incoming (or actual) president of The Gambia needed to contend with the verbal and physical actions of ECOWAS, as well as other actors, before it was even given and, to this extent, it is worth heeding the assessment that Resolution 2337 was ‘elegantly formulated to express support for the possibility of a military solution called for and threatened by Senegal, ECOWAS and the [African Union]’.Footnote ⁴¹⁹

D. Authorisation from the UN Security Council

The final justification to consider in this section is authorisation for intervention from the UN Security Council, in accordance with the powers awarded to it under Chapter VII of the Charter, for there have been situations in which the Council has provided such authorisation even though the incumbent government has proved amenable – and, indeed, has actually offered its consent – to the intervention at a time when it finds itself in potentially terminal peril. There have thus been no coups d’état or fallen governments in this hypothesis; rather, it centres the situation in which a government is facing maximum instability because its overall authority is being undermined.

When the Security Council adopted Resolution 1101 for Albania in March 1997, it referred to a letter that the President of the Security Council had received from the Permanent Representative of Albania to the United Nations, which had identified the situation in the country as ‘serious’, such that ‘[t]he control of the Government, law and order have yet to be achieved in a significant part of the country’.Footnote ⁴²⁰ That situation had arisen following support given by the government of President Sali Berisha to an investment pyramid scheme, which had collapsed in spectacular fashion,Footnote ⁴²¹ with the letter mentioning ‘the official appeal of the Government of Albania to a group of countries … to participate with a military or a police force in the protection of humanitarian activities in Albania’.Footnote ⁴²²

Italy had taken the initiative in promoting the creation of such a force and ‘the conditions for launching a prompt, important and complex effort to assist Albania in this difficult phase’; in its own letter to the President of the Security Council, it considered that the ‘objectives’ of the force would be ‘to help create a safe and secure environment for the action of international organisations to provide support in areas of international assistance. The force will also ensure the protection and safety of international personnel operating in Albania.’Footnote ⁴²³ The helping hand extended to the government of Albania was not, however, identified as part of the mission; rather, ‘a legal framework for the provision of this assistance was envisaged’ and, Italy maintained, ‘[t]his framework should … take the form of a resolution by the Security Council authorizing Member States who are willing to participate in such a multinational force to conduct the operation to achieve the [specified] objectives’.Footnote ⁴²⁴ This is the authorisation that came to pass in Resolution 1101.Footnote ⁴²⁵ It may immediately be appreciated that, given the worsening conditions in Albania at that time, it would have been precarious in the extreme for any intervention to have proceeded on the basis of an invitation from that country’s government. Its fate could not then be known – and its authority was dissipating with each passing hour. Still, even though it had extended its invitation to outside help, Albania understood the need for Security Council authorisation.Footnote ⁴²⁶

Now let us move forward in time to the situation in Mali in January 2013, when the Permanent Representative of France wrote to the UN Secretary-General and the President of the Security Council thus:

The reference to ‘terrorist elements from the north’ is to what has elsewhere been described as ‘the Islamic seizure of northern Mali’ – whereby ‘a vast territory roughly twice the size of Germany [had] so easily fallen into the hands of extremists’.Footnote ⁴²⁸ In the second week of January 2013, these elements had suddenly begun to charge southward, ‘taking over a frontier town [Konna] that had been the de facto line of government control’.Footnote ⁴²⁹ French President François Hollande held off dispatching French troops to Mali until it seemed that governmental collapse in Bamako was now on the horizon – developments that explain the letter to the Security Council and the commencement of Operation Serval.Footnote ⁴³⁰ In this case, then, the government’s evident vulnerability and ‘[t]he partial lack of effectiveness of the Malian authorities’Footnote ⁴³¹ did not inspire critical reactions to the ‘assistance’ – note particularly that France avoided the term ‘intervention’ in its communication to the Council – afforded to Mali with its consent.Footnote ⁴³² In fact, the Security Council later welcomed ‘the swift action by the French forces, at the request of the transitional authorities of Mali, to stop the offensive of terrorist, extremist and armed groups towards the south of Mali’Footnote ⁴³³ – an action that was separate to the African-led International Support Mission in Mali, which the Council had authorised in Resolution 2085 of December 2012.Footnote ⁴³⁴ Mali had consented to that action, too,Footnote ⁴³⁵ perhaps unsure of the assistance it would obtain from states independent of the Security Council and perhaps, too, because of the Malian transitional authorities’ assessment of their own chances of survival. Once again, with both of these cases (Albania and Mali), it can be tempting to consider the ‘self’ as fracturing, or fractured, at its core – making it difficult to configure how the principle of self-determination can and should exert a ‘tight rein’ on the ‘legitimating power of consent’.Footnote ⁴³⁶