Kaja Kowalczewska
Self-regulation of Private Military
Corporations-the Optimal Solution?
Security Dimensions and Socio-Legal Studies nr 9, 112-127
Kaja Kowalczewska
Self-regulation of Private Military Corporations
- the Optimal Solution?
Abstract:
T h e a rtic le c a rrie s o u t th e tw o tr a c k a n a ly s is. T h e first p a r t d is c u s s e s th e c o m p le x ity o f th e p riv a te m ilita r y c o m p a n ie s ’ re g u la tio n in th e lig h t o f m o d e r n c h a n g e s o f th e w a rfa re a n d c o n c e rn s ra is e d o n th e p o s s ib le v io la tio n s o f in te rn a tio n a l h u m a n ita r ia n la w a n d h u m a n rig h ts. T h e se c o n d p a r t d e s c r ib e s th e S w iss In itia tiv e (w ith fo c u s to th e M o n tre u x D o c u m e n t a n d th e In te rn a tio n a l C o d e o f C o n d u c t fo r P riv a te S e c u rity S e rv ic e P r o v i d e rs ) e s ta b lis h e d b y th e m a in s ta k e h o ld e rs. T h e a rtic le a im s to p re s e n t to w h ic h e x te n t th e b o tto m - u p in itia tiv e s m a y s a tis f y th e le g a l sta n d a rd s o f in d u s try re g u la tio n .
Key words:
c o d e o f c o n d u c t, p riv a te m ilita r y so c ie tie s, in te rn a tio n a l h u m a n ita r ia n law , so c ia l c o rp o ra te r e s p o n s ib ilityImplication of the evolution of warfare on international
humanitarian law
R e c e n t e v o lu tio n s in in te rn a tio n a l p o litic s , lik e e m e rg e n c e o f th e w a r a g a in s t te rro ris m , th e c o n c e p t o f re s p o n s ib ility to p r o te c t o r g ro w in g o u ts o u rc in g o f m ilita r y s e rv ic e s h a v e a ff e c te d th e m o d e r n w a rfa re a n d th e re fo re th e n a tu re o f m o d e r n in te rn a tio n a l h u m a n ita r ia n la w (IH L ). A t th e b e g in n in g IH L w a s e la b o ra te d to p r o te c t w o u n d e d p e rs o n s o f th e b a ttle fie ld , th e n it s h ifte d its fo c u s to th e p ro te c tio n o f c o m b a ta n ts to fi n a lly p la c e c iv ilia n s in c e n tre o f its in te re st. N e v e rth e le s s , d u rin g a ll th e s e
tra n s fo r m a tio n s w a r d e fin ite ly r e m a in e d in th e im p e riu m o f sta te a n d IH L p re s e rv e d its in te rs ta te a n d s ta te -c e n tre d n a tu re . P re v io u s c e n tu rie s w e re m u c h m o re in flu e n c e d b y p ro te c tio n o f c itiz e n s a n d c o n s tru c tio n o f th e le g a l fr a m e w o rk o f tr e a tm e n t o f e n e m ie s o f th e c o u n try ; y e t, th e 2 1 s t c e n tu r y sh o w e d th a t it is n o lo n g e r a c ase. A lo n g w ith th e d e v e lo p m e n ts in in te rn a tio n a l p u b lic la w a n d e s p e c ia lly th e e m e rg e n c e o f th e h u m a n rig h ts d o c trin e (H R ), a p ro g re s s iv e re d ire c tio n fro m th e s ta te -c e n tre d to th e in d i v id u a l-c e n tre d a p p ro a c h w a s o b se rv e d .
T h e la w o f a rm e d c o n flic ts w a s a lte re d a s w e ll, e s p e c ia lly du e to th e d e v e lo p m e n t o f w a rfa re te c h n iq u e a n d m e th o d s o f c o n d u c t o f h o stilitie s. T h e is su e o f p riv a te m ilita r y c o m p a n ie s (P M C ) c o n tr a c te d to p ro v id e its s e rv ic e s in th e z o n e o f a rm e d c o n flic t o r th e g ro w in g u s a g e o f u n m a n n e d a e ria l v e h ic le (d ro n e s ) d is p la y e d th e g ro w in g lo o p h o le o f th e IH L a d ju s t m e n t to th e m o d e r n reality .
O n th e o th e r sid e, th e in te rn a tio n a l s o c ie ty o f s o v e r e ig n e q u a ls is c o n s ta n tly c o llid in g w ith th e e m e rg in g ro le o f m u ltin a tio n a l c o rp o ra tio n s a s th e im p o rta n t a n d p o w e rfu l a c to rs o n th e in te rn a tio n a l scen e. T h u s, p r i v a te e n titie s, tr a d itio n a lly „ o b je c t s ” o f th e in te rn a tio n a l law , are a s w e ll g r a d u a lly b e c o m in g su b je c ts o f „ d ir e c t” o b lig a tio n s u n d e r in te rn a tio n a l la w a n d th e g ro w in g d e m a n d o f th e re g u la tio n s o f p riv a te e n te rp ris e s b e c o m e s c ru c ia l. T h e tr a d itio n a l a p p ro a c h , b rid g in g H R a n d IH L , fo c u s e s o n a c ts o f g o v e rn m e n ts a n d p u b lic a u th o ritie s w h ic h s u r p ris in g ly a re n o lo n g e r th e o n ly re a l a g e n ts in th e b a ttle fie ld . T h e re fo re , th e tr a d itio n a l a p p ro a c h d o e s n ’t re a lly d o th e ju s tic e to th e ric h n e s s o f a c ts th a t a re u n d e r ta k e n in b o th , p e a c e a n d w a rtim e , w h e n in d iv id u a ls a n d le g a l e n titie s are n o lo n g e r th a t in d iffe r e n t a n d w h e re th e b u s in e s s m e e ts w ar.
I t s e e m e d th a t th e a ttrib u te o f th e sta te s u c h a s m o n o p o ly o f u s e o f v io le n c e w o u ld n e v e r b e w a iv e d o n b e h a lf o f th e p riv a te s e c to r b u t re c e n t a s y m m e tric a rm e d c o n flic ts re v e a le d th a t th e m ilita r y h a d to a d a p t a n d e ff e c tiv e ly re s p o n d to th e n e w c o n d itio n s o f w a r a n d n a tu re o f th e e n e m y w h ic h w a s c h a n n e lle d th r o u g h th e p riv a tis a tio n o f th e w a rfa re . T h e fo l lo w in g p a p e r d e s c r ib e s th e s ta tu s a n d su b s e q u e n t lia b ility o f n e w c o rp o ra te 113
a c to rs o f IH L - th e p riv a te m ilita r y c o m p a n ie s a n d b o tto m - u p in itia tiv e o f s e lf-r e g u la tio n o f th is g ro w in g sector. T h e a n a ly s is is b a s e d o n th e stu d y o f th e S w iss In itia tiv e w h ic h in itia te d a tr a n s n a tio n a l d is c u s s io n o n fu tu re o f th e p riv a tis a tio n o f th e w a r a n d is s u e o f th e sta te a n d in d iv id u a l lia b ility fo r th e p o s s ib le b re a c h e s o f in te rn a tio n a l a n d d o m e s tic la w ,1 a n d th e w o rk o f In te rn a tio n a l C o d e o f C o n d u c t fo r P riv a te S e c u rity S e rv ic e P ro v id e rs (IC o C ) stro n g ly in s p ire d b y th e M o n tre u x D o c u m e n t s p irit.1 2
C onsequently, it raises th e im p o rtan t q u e stio n o f th e red efin itio n o f su b jects o f m o d e rn in tern atio n al law w h ic h c a n n o t b e an y lo n g e r lim it e d to state actors. O n ly recently, th e in tern atio n al c o m m u n ity b e c a m e su p p o rtiv e o f g reater re c o g n itio n o f co n trib u tio n o f „ n o n -sta te a c to r s ” an d th e ir in tern atio n al personality, n o t in te rm s o f „ o b je c ts ” o r „ s u b je c ts ” o f in tern atio n al law , b u t „ p a r tic ip a n ts ”3. Since th e attrib u tio n o f in tern atio n a l leg al p e rso n a lity is functional, a n d d ep en d s o n th e are a o f reg u latio n s, the fo llo w in g p a p e r focuses o n th e activ ity o f P M C u n d e r th e re g im e o f in tern a tio n al p u b lic la w a n d IH L . T h e ro le o f P M C s in a rm e d conflicts, co n ferred p o w ers, aim s a n d n e e d s o f th e a rm e d co n flict situ atio n req u ire clea r reg u latio n a n d classificatio n o f th e ir activities. In particular, it w ill focus o n qualificatio n o f th ese co rp o ratio n s u n d e r th e G e n e v a C o n v en tio n s (G C ) to fu rth er discuss th e p o ssib le acco u n tab ility u n d e r in tern atio n al la w a n d th e e lab o ratio n o f b o t to m -u p reg u la tio n p ro v id in g w ith g o o d practices th a t sh o u ld b e im p lem en ted in to th e strategies o f th is specific in d u stry a n d service p roviders.
Status of PMC under international humanitarian law
C o n tra ry to p o s s ib le first im p re s s io n s , P M C u n d e r IH L d o n o t a c t in a le g a l v a c u u m . T h e ir u n c le a r sta tu s h a s a p o litic a l, r a th e r th a n a le g a l 1 More available at : http://www.eda.admin.ch/psc (consulted on 21/05/2013).
2 More available at : http://www.icoc-psp.org/Home_Page.html (consulted on 21/05/2013). 3 R. Higgins, Conceptual Thinking about the Individual in International Law, Brit., I Int ‘I Stud. 4 (1978), pp. 48-55.
n a tu re . IH L p ro v id e s u s w ith c o m p re h e n s iv e re g u la tio n o f th e s ta tu s o f a c to rs in th e situ a tio n o f a rm e d c o n flic ts, th e r e fo re o n e c a n b e c o m b a ta n t o r c iv ilia n w ith n o o th e r p o s s ib ility .4 T h is is d u e to th e e ss e n tia l fe a tu re o f a rm e d c o n flic t - th e c le a r d is tin c tio n b e tw e e n th o s e w h o c a n b e le g a lly ta r g e te d a n d k ille d a n d th o s e w h o sh a ll re m a in u n d e r p ro te c tiv e re g im e .5 T h u s, to c o rr e c tly c la s s if y P M C , o n e sh o u ld c o n s id e r th e ir fu n c tio n s a n d e n tr u s te d ta s k s in th e z o n e o f a rm e d co n flict. A ls o , it s h o u ld b e n o te d th a t g iv e n th e d e fin itio n o f m e r c e n a rie s in c lu d in g six c u m u la tiv e c o n d itio n s ,6 th e la tte r sta tu s is h a rd ly a s s ig n a b le to th e p e rs o n n e l o f P M C . H e n c e w e s h a ll tr e a t th e m in te r m s o f c iv ilia n s o r c o m b a ta n ts d e p e n d in g o n th e ir s p e cific ta s k s e n c o m p a s s in g o r n o t d ir e c t p a rtic ip a tio n in h o s tilitie s .7
F irstly , th e s e c o m p a n ie s o p e ra te a c ro s s s e v e ra l ju r is d ic tio n s u n d e r th e c o n tra c ts fin a n c e d b y g o v e rn m e n ts , in te rn a tio n a l o rg a n iz a tio n s , N G O ’s o r in d iv id u a ls . T h e y p ro v id e w id e ra n g e o f s e rv ic e s sta rtin g w ith lo g is tic s , tra in in g , fa c ility a n d c o n s u ltin g s u p p o r t to e n d w ith ty p ic a l s e c u r ity se rv ic e s in h o s tile e n v ir o n m e n t o f in te rn a tio n a l a rm e d c o n flic t b u t a lso o f p e a c e tim e , a t th e sid e o f c o m m e rc ia l in d u s trie s w o rld w id e . O n e o f th e m o s t in flu e n tia l a tte m p ts to c a te g o riz e P M C w a s b y S in g e r (2 0 0 3 ) w h o d i v id e d th e m in to m ilita r y s u p p o rt, p ro v id e r o r c o n s u lta n t firm s .8S in ce IH L 4 5 6 7 8 4 Mixed status o f war medical personnel, chaplains and war correspondents, art. 33 of the Geneva Convention (III) relative to the Treatment o f Prisoners o f War. Geneva, 12 August 1949.
5 Art. 51. Protocol Additional to the Geneva Conventions of 12 August 1949, and relating to the Protection of Victims ofInternational Armed Conflicts (Protocol I), 8 June 1977. 6 Art.47 (2) Protocol I : „Ä mercenary is any person who: (a) is specially recruited lo
cally or abroad in order to fight in an armed conflict; (b) does, in fact, take a direct part in the hostilities; (c) is motivated to take part in the hostilities essentially by the desire fo r private gain and, in fact, is promised, by or on behalf o f a Party to the conflict, material compensation substantially in excess o f that promised or paid to combatants o f similar ranks and functions in the armed forces o f that Party; (d) is neither a national o f a Party to the conflict nor a resident o f territory controlled by a Party to the conflict; (e) is not a member o f the armed forces o f a Party to the conflict; and (f) has not been sent by a State which is nota Party to the conflict on official duty as a member o f its armedforces ”.
7 N. Melzer, Interpretive Guidance on the notion o f direct participation in hostilities un
der IHL, Int’l Comm. o f the Red Cross, 2009.
8 P. W. Singer, Corporate Warriors: The Rise o f the Privatized Military Industry, Cornell University Press, 2003.
is a p p lic a b le o n ly in th e c a s e o f a rm e d c o n flic t, w h e n it c o m e s to P M C , th e p ro b le m a p p e a rs a s fo r th e s e e m p lo y e e s w h o are ta k in g d ir e c t p a rtic ip a tio n in h o s tilitie s a n d th u s are e x p o s e d to e n e m y fire, b u t a t th e sa m e tim e are n o t o ffic ia lly in c o r p o ra te d to th e a rm e d fo rc e s o f o n e p a rty to th e co n flict. I f th e la tte r w a s th e c a se , th e ir sta tu s w o u ld b e p e rf e c tly c le a r a n d a ll p r o v is io n s o f G C re la tin g to c o m b a ta n ts a n d p ris o n e rs o f w a r w o u ld a p p ly .9 A ls o th e y w o u ld b e u n d e r o ffic ia l m ilita r y c o m m a n d a n d in th e e v e n tu a l c a se o f b r e a c h e s o f l H L , p u n is h e d b y m ilita r y ju r is d ic tio n . N e v e rth e le s s , th e n o n -lin e a r n a tu re o f m o d e r n c o n flic ts a n d in c re a s in g n u m b e r o f ta s k s c a rr ie d o u t b y P M C o u ts id e th e m ilita r y s tru c tu re , b u t tr a d itio n a lly a s s u m e d b y a rm e d fo rc e s, b lu r th e w h o le p ic tu re . T h e d iffic u lty e m e rg e s w h e n c iv ilia n s w e a r w e a p o n a n d m ilita r y -lik e u n i fo rm s w h ic h c o n s e q u e n tly im p e d e th e ir d is tin c tio n fro m c o m b a ta n ts , th u s e n d a n g e rin g th e ir secu rity . M o re o v e r, th e p o te n tia l to b e c o m e e n g a g e d in th e c o m b a t w ith e n e m y (th e c o n c e p t o f d ir e c t p a rtic ip a tio n ) is a g g ra v a te d d u e to th e so le p ro x im ity o f p ro v id e d s e rv ic e s to th e b a ttle fie ld , re g a rd le s s o f th e ir n a tu r e (tra n s la to rs , tra in e rs , a n d g u a rd s a re e q u a lly e x p o se d ).
T h e p ro s p e c t o f in te g ra tin g P M C u n d e r o n e m ilita r y c o m m a n d is h ig h ly u n lik e ly d u e to th e c o re in c e n tiv e s o f p riv a tis a tio n o f w ar. T h e re fo re, th e c o s t efficien cy , fle x ib ility a n d o th e r m e a n s b y w h ic h to re lie v e th e sta te o f c e rta in d u tie s p la y in fa v o u r o f P M C se ttin g in th e s h a d o w z o n e o f w a rfa re , w h e re th e sta tu s o f c iv ilia n d o e s n ’t p ro v id e e ffic ie n t a n d a d e q u a te p r o te c tio n .10 F in a lly , th e m e re fa c t o f c e rta in g o v e rn m e n ta l ta s k s b e in g o u t s o u rc e d m a y in c ite s u b s e q u e n t a b u s e s a n d is su e o f th e lia b ility u n d e r IH L , IC L o r d o m e s tic c rim in a l law . T h a t is w h y th e se lf-in itia tiv e o f th e P M C re g u la tio n m e rits a d is c u ssio n .
9 Art. 4 Geneva Convention relative to the Treatment of Prisoners of War, 75 U.N.T.S. 135, entered into force Oct. 21, 1950.
10 Art. 51(3) o f Additional Protocol I: ,,Civilians shall enjoy the protection ajforded by
this Section, unless andfor such time as they take a directpart in hostilities ”.
International liability of PMC
F o r th e m o m e n t, th e o n ly so lu tio n to b e a c c e p te d u n d e r th e re g im e o f IH L is th e lia b ility o f a sta te th a t fa ile d to p re v e n t a h a rm fu l act. A l th o u g h th e re c e n t c o n flic ts in I r a q a n d A fg h a n is ta n s h o w e d th a t d u e to th e u n c le a r ro le o f P M C , s e rio u s p ro b le m s o c c u rs w h e n it c o m e s to a n e ffe c tiv e m e c h a n is m o f p u n is h m e n t to e n a b le th e p e rs o n n e l o f P M C to b e p r o s e c u te d w h e n s e rio u s b re a c h e s o f th e la w o ccu r. S u c h c o n c re te m e a s u re s s h o u ld b e u n d e rta k e n b y sta te s w h o s e le g itim a c y a n d a u th o r ity m ay , a n d a c tu a lly is, u n d e rm in e d b e c a u s e o f th e sp ill-o v e r e ffe c t o f im p u n ity a n d g o v e rn m e n ta l b a c k in g fo r th is b u s in e s s secto r. A s a b o v e m e n tio n e d , th e sta te a c to r is, as th e s u b je c t o f in te rn a tio n a l la w a n d p a r ty to th e co n flict, th e o n e u ltim a te ly h e ld re lia b le fo r a ll a b u s e s a n d v io la tio n s o f H R a n d I H L .11 T h e c o m m itm e n ts u n d e r in te rn a tio n a l la w o b lig e th e sta te to a c c e p t th is re s p o n s ib ility o r to u n d e rta k e a ll n e c e s s a ry s te p s to p u n is h th e a c tu a l p e rp e tra to rs .
R e g re tta b ly , th e r a p id g ro w th o f P M C w a s n o t a c c o m p a n ie d b y th e c o n c u rr e n t re g u la tio n a n d c o n tro l o f th e ir a c tiv itie s in th e in te rn a tio n a l o r n a tio n a l le g a l o r d e r s ,11 12 w h ic h c u rr e n tly tr ig g e rs c e rta in d iffic u ltie s a s to th e a c c o u n ta b ility o f n a tu r a l p e rs o n s in th e c o n te x t o f b o th in te rn a tio n a l a n d n o n -in te rn a tio n a l a rm e d c o n flic ts. T h is n e w p h e n o m e n o n , p ro v o k in g th o u g h ts a b o u t m o d e r n m e rc e n a rie s , ra is e s im p o rta n t is s u e s a b o u t th e fu tu r e o f th e in te rn a tio n a l c rim in a l a n d c iv il lia b ility , th e a u th o r ity o f state a n d a ls o th e fu tu re d e v e lo p m e n t o f th e P M C sector.
S in c e in te rn a tio n a l la w is a n in te rs ta te law , w ith r e c e n t e m e rg e n c e o f in d iv id u a l c rim in a l re s p o n s ib ility fo r s e rio u s b re a c h e s o f in te rn a tio n a l law , to d e lib e ra te a b o u t c o rp o ra te c rim in a l lia b ility is p re c a rio u s . A lth o u g h th e in te rn a tio n a l lia b ility o f c o rp o ra tio n s c a n b e tr e a te d fro m d iffe re n t p e r-11 The Geneva Convention law is considered as part of customary law, biding despite the lack of official ratification o f the instrument by a state in question.
12 Several exceptions as to the domestic regulation of PMC can be found in the United States, the United Kingdom, South Africa, New Zealand and Switzerland.
sp ectiv es: in te rn a tio n a l law , IH L o r H R , o n ly th e la tte r is su p p o rte d o n p a rt o f sch o lars, m a in ly in v o lv e d in H R m o v e m e n ts fo ste rin g c o rp o ra te so cial re s p o n sib ility (C S R ) a n d c o n se c u tiv e in te rn a tio n a l c iv il liability. T h e m a in p re m ise o f C S R is th e h ig h m o b ility a n d g ro w in g c o rp o ra te p o w e r o n th e in te rn a tio n a l m a rk e t, w h ic h a ss ig n s th e in te rn a tio n a l c o rp o ra tio n s a ro le in d e liv e rin g th e H R sta n d a rd s to th e lo c a l co m m u n itie s. H o w e v e r, b e c a u se o f th e ir c o m p le x n a tu re a n d m u ltile v e l s tru c tu re ,13 th e a llo c a tio n o f lia b ility c a u se s so m e p ro b le m s w h e n it c o m e s to id e n tific a tio n o f a sep arate c o rp o ra te p e rs o n a lity to b e h e ld re s p o n sib le fo r th e c o m m itte d c rim e o r c iv il tort. T h e sa m e is a p p lic a b le to th e P M C in d u s try w h ic h , n o t o n ly b e in g e n d o rse d b y g o v e rn m e n t p o lic ie s, b u t also b e n e fitin g fro m its d is p e rse d p re m ise s, p ro te c ts its o w n p e rs o n n e l b y sh e lte rin g th e m o u ts id e o f th e c o m p e te n tju ris d ic - tio n a n d m a k in g th e c o n d u c t o f p ro c e e d in g s im p o s s ib le .14
I t h a s to b e h ig h lig h te d th a t c o rp o ra te lia b ility a s s u c h d o e s n o t e x is t e ith e r u n d e r in te rn a tio n a l la w o r u n d e r IH L . In th e c u rr e n t sta te o f law , c o rp o ra te lia b ility is tr a n s la te d in to sta te lia b ility fo r th e sp e c ific a c tio n s o f sta te a g e n ts (h o s t sta te , h o m e sta te o r h ir in g s ta te ),15 a n d in d iv id u a l lia b ility o f th e p e rs o n n e l u n d e r c o m p e te n t c rim in a l o rd e r, or, e x c e p tio n a lly fo r th e m o s t s e rio u s b re a c h e s , th e in d iv id u a l c rim in a l lia b ility fo r in te rn a tio n a l c rim e c a n a ls o b e e v o k e d . H o w e v e r, th e la c k o f n a tio n a l re g u la tio n fr a m e w o rk a n d d iffic u ltie s o f c a rr y in g o u t in v e s tig a tio n s in fa ile d c o u n tr ie s h a v e w id e ly c o n tr ib u te d to s e rio u s la c k s o f r e s p o n s ib ility fo r H R v io la tio n s . S in ce to th e k n o w le d g e o f th e a u th o r, th e re is n o o n -g o in g o r a d ju d ic a te d c a s e a g a in s t a c o m p a n y fo r v io la tio n o f c o re in te rn a tio n a l c rim in a l law , th e re fo re c e rta in s ta te s m a y b e a c c u s e d o f fa ilu re , , to e x e r c is e d u e
d ilig e n c e to p r e v e n t,p u n i s h , in v e s tig a te o r re d re ss th e h a r m c a u s e d ”. 16
13 They managed to create a numerous layers of subsidiaries or subcontracts in diverse countries.
14 Professional Overseas Contractors, New Proposals to Increase Oversight fo r Security
Contractors, April 2, 2013, available at: http://www.your-poc.com/new-proposals-to-
increase-oversight-for-security-contractors/ (consulted on 20/05/2013).
15 H. Tonkin, State control over private military and security companies in armed con
flict, CambridgeUniversityPress,2011,pp. 123-260.
16 United Nations Human Rights Committee, General Comment 31, paragraph 8, United 118
A m o n g o th e rs, th e la c k o f in d iv id u a l a c c o u n ta b ility o f P M C p e r so n n e l m a y re s u lt fro m a d is tu rb in g g ra n tin g o f im m u n itie s d u rin g th e c o n flic ts in Ira q a n d A fg h a n is ta n b y th e U S A g o v e rn m e n t. In Ira q , fro m 2 0 0 4 a n d 2 0 0 7 , a ll p riv a te U .S . c o n tra c to rs in c lu d in g P M C w e re g ra n te d im m u n ity s ta tu s u n d e r th e C o a litio n P ro v is io n a l A u th o rity O rd e r 1 7 .17 H o w ev er, th e le g a l situ a tio n o f P M C o p e ra tin g in th e co u n try , a n d in p a rtic u la r w h e th e r so m e P M C still b e n e fit fro m th e im m u n ity c la u s e c o n ta in e d in O rd e r 17, re m a in s u n c le a r. T h is d ip lo m a tic s ta tu s h a s b e e n o n e o f th e m a in a rg u m e n ts o f th e d e fe n c e o f th e five p riv a te g u a rd s o f B la c k w a te r c h a rg e d w ith m a n s la u g h te r a n d w e a p o n s v io la tio n s a n d a lle g e d ly re s p o n s ib le fo r th e m a s s a c re w h ic h to o k p la c e in B a g h d a d ’s N is s o u r S q u a re , in 2 0 0 7 .18 In a u th o r ’s o p in io n , th is a b u s e o f a b s o lu te im m u n ity fro m c rim in a l a n d c iv il ju r is d ic tio n s h o u ld b e c o n d e m n e d a n d fo r o b v io u s r e a s o n s re m a in r e s tr a in e d .19
F in a lly , th e is s u e o f c iv il in te rn a tio n a l lia b ility o f c o rp o ra tio n s h a s r e c e n tly e m e rg e d a t th e o c c a s io n o f th e K io b e l v. R o y a l D u tc h P e tr o le u m la n d m a rk c a se d is c u s s in g th e in te rn a tio n a l p e rs o n h o o d o f tra n s n a tio n a l c o rp o ra tio n s . D e s p ite th e la c k o f in h e r e n t o b s ta c le u n d e r in te rn a tio n a l la w w h ic h w o u ld p re v e n t s ta te s fro m a d d re s s in g o b lig a tio n s , a n d n o t o n ly p r o h ib itio n s d ir e c tly to th e le g a l p e rs o n , th e S u p re m e C o u rt in its d e c is io n o f A p ril 17, 2 0 1 3 20 r e je c te d th e u n iv e r s a lju r is d ic tio n a n d p o s s ib ility fo r m u l tin a tio n a l c o rp o ra tio n s to b e s u e d u n d e r T h e A lie n T o rt S ta tu te fo r b u si- * 17 18 19 20 Nations doc. CCPR/C/21/Rev.1/Add.13 (2004).
17 Coalition Provisional Authority Order No. 17 (Revised), Status o f the Coalition Pro visional Authority, MNF - Iraq, Certain Missions and Personnel in Iraq (Iraq), No. 17 (Revised), 27 June 2004, available at: http://www.unhcr.org/refworld/docid/49997ada3. html (consulted on 26/02/ 2013).
18 Judge R. M. Urbina of Federal District Court, Memorandum o f Dismissal of Charges against Blackwater Guards, December 31, 2009.
19 M. Frulli, Immunity fo r Private Military Contractors: Legal Hurdles or Political
Snags? [in:] War by Contract — Human Rights, Humanitarian Law, and Private Contrac tors, F. Francioni and N. Ronzitti (eds.), Oxford University Press, 2011, p. 469.
20 Supreme Court O f The United States, No. 10-1491, Esther Kiobel, Individually And On Behalf O f Her Late Husband, Dr. Barinem Kiobel, Et Al., Peti-Tioners V. Royal Dutch Petroleum Co. Et Al., On Writ O f Certiorari To The United States Court O f Appeals For The Second Circuit, April 17, 2013.
n e s s a c tiv itie s o v e rs e a s c a u s in g v io la tio n s o f H R .21 O n e m o re tim e it w a s p ro v e d th a t th e p o litic a l n a tu r e o f in te rn a tio n a l la w is th e m a in im p e d i m e n t to e n su re a n e ffe c tiv e re m e d y to h u m a n rig h ts v ic tim s , w h ic h is a ls o c le a rly d e m o n s tra te d in th e S ta tu te s o f th e IC C , th e IC T Y o r th e IC T R th a t d o n ’t p ro v id e fo r th e p r o s e c u tio n o f c o rp o ra te e n titie s .22 23
T h e re fo re , th e is s u e s ra is e d in th is p a r t c le a rly illu s tra te th e m i s m a tc h o f m o d e r n s e c u rity p o litic s a n d c o rre s p o n d in g lim its o f in te rn a tio n a l law , w h ic h le a d s u s to th e s e c o n d p a r t o n th e fu tu re o f th e in te rn a tio n a l c o rp o ra te lia b ility a n d its s e lf-r e g u la tio n in itia tiv e s.
The Self-regulation Initiatives
G iv e n th e fa c t th a t n e ith e r th e in te rn a tio n a l n o r th e d o m e s tic r e g u la tio n s e m b ra c e in a c o m p le te a n d c o m p re h e n s iv e w a y th e c o n tro l o v e r th e P M C in d u stry , th e in f o rm a l re g u la tio n p la y s a n im p o rta n t ro le . T h e re are five ty p e s o f in fo rm a l re g u la tio n th a t c a n b e ta k e n in to c o n s id e ra tio n ” “th e
u s e o f m a r k e t a n d r e p u ta tio n a l p r e s s u r e s , th e u s e o f c iv il a c tio n s a g a in s t c o n tr a c to rs , th e p r e s s u r e s c r e a te d by th e in s u r a n c e in d u stry, th e u s e o f s p e c ific a lly d e s ig n e d c o n tr a c ts, a n d th e c o lle c tiv e s e lf- r e g u la tio n ”,23 d u e
to th e lim ite d sc o p e o f th is a rtic le , o n ly th e la tte r w ill b e d is c u sse d . T h e g o v e rn m e n t o f S w itz e rla n d d e c id e d to u n d e rta k e th e c o n c re te a c tio n s in o rd e r to , fro m o n e sid e, c la r if y in te rn a tio n a l s ta n d a rd s fo r th e P M C in d u s -21 The Alien Tort Statute, 28 U.S.C.§ 1350, is a section o f the United States Code: “The
district courts shall have original jurisdiction o f any civil action by an alien fo r a tort only, committed in violation o f the law o f nations or a treaty o f the United States.”
22 J.D. Ohlin, Kiobel and Criminal Law Norms: „One can treat the reluctance to pro
secute corporations at Nuremberg, the ICTY, ICTR, and the ICC, as purely a matter o f jurisdiction. A nd just because these tribunals don t have jurisdiction over corporations
does not mean that corporations cannot violate international legal norms. A nd just be cause the ICC does not have jurisdiction over corporations does not entail that a US court does not have jurisdiction over them either. Each court or tribunal has separate jurisdictional rules. And one has to separate the jurisdictional point from the underlying legal norm.”, January 6, 2012, available at: http://www.liebercode.org/2012/01/kiobel-
and-criminal-law-norms.html (consulted on 25/02/2013).
23 S. Percy, Regulating the private security industry, Informal Regulation, Routledge for the International Institute for Strategic Studies, 2010, pp. 53-63.
tr y o p e ra tin g in d iffe re n t e n v iro n m e n ts (d u rin g p e a c e a n d w a r tim e ) a n d fro m th e o th er, to im p ro v e th e a c c o u n ta b ility o f s u c h c o m p a n ie s.
S w iss F e d e ra l C o u n c il re a c te d a s th e fo re m a n a n d a lr e a d y in 2 0 0 5 a d o p te d a re p o r t o n p riv a te m ilita r y a n d s e c u rity c o m p a n ie s. C o n se q u e n tly , a n in te rn a tio n a l in itia tiv e a im e d a t th e p r o m o tio n o f c o m p lia n c e w ith IH L a n d h u m a n rig h ts b y P M C o p e ra tin g in c o n flic t z o n e s w a s la u n c h e d a n d re s u lte d in a d o p tio n o f th e M o n tre u x D o c u m e n t o n S e p te m b e r 17, 2 0 0 8 .24 F u rth e rm o re , th e S w iss In itia tiv e e n c o m p a s s e s as w e ll th e re g is tr a tio n o f th e p riv a te b u s in e s s w ith th e In te rn a tio n a l C o d e o f C o n d u c t fo r P riv a te S e c u rity S e rv ic e P ro v id e rs (IC o C ).
T h e M o n tre u x D o c u m e n t c o n s is ts o f tw o p a rts, th e first is c o m p o s e d o f 2 7 o b lig a tio n s o f th e s ig n a to ry sta te s, P M C s a n d th e ir e m p lo y e e s, th e s e c o n d p ro v id e s fo r th e c a ta lo g u e o f 73 g o o d p ra c tic e s a d d re s s e d to th e s ig n a to ry sta te s a n d c o m p ly in g w ith th e o b lig a tio n s u n d e r in te rn a tio n a l la w as fo r th e o v e rs ig h t a n d a d m in is tra tio n o f th e P M C in d u stry . G iv e n th e m ix e d n a tu re o f a u th o rs , in c lu d in g th e re p r e s e n ta tiv e s o f th e p riv a te secto r, th e M o n tre u x D o c u m e n t e m b o d ie s a g e n u in e r e p r e s e n ta tio n o f in te re s ts a t sta k e , fro m b o th , p u b lic a n d p riv a te p e rs p e c tiv e . T h e d o c u m e n t d o e s n ’t d is c u s s th e le g itim a c y o f th e o u ts o u rc in g o f th e sta te m o n o p o ly o f th e u se o f fo rc e o r its le g a lity b u t is fo c u s e s o n th e p ro v is io n o f g o o d p ra c tic e s w h ic h im p le m e n ta tio n s h o u ld s e c u re th e le g a lity a n d o b e d ie n c e to IH L a n d H R sta n d a rd s. W h ile th e M o n tre u x D o c u m e n t is m o s t o f a ll d ir e c te d to th e s ig n a to ry sta te s ,25 th e IC o C is th e in s tru m e n t e la b o ra te d w ith a v ie w to be s ig n e d a n d a d o p te d b y th e P M C th e m s e lv e s .
T h e IC o C w a s s ig n e d b y th e 58 P M C o n N o v e m b e r 9, 2 0 1 0 a n d p ro v id e s w ith im p o rta n t c o m m itm e n ts o f s ig n a to ry p a rtie s as fo r th e r e s p e c t o f a ll a p p lic a b le le g a l re g im e s , o f in te rn a tio n a l, re g io n a l a n d d o m e s - 24 25 24 Unpublished master thesis: K. Kowalczewska, Individual Liability and State Respon
sibility o f Private Military Companies in International Law, the Jagiellonian University,
2011,pp. 99-101.
25 4 5 states and the European Union support the Montreux Document as for May 21, 2013, available at: http://www.eda.admin.ch/eda/en/home/topics/intla/humlaw/pse/parsta.html (consulted on 21/05/2013).
tic n a tu r e . A ls o , it s p e c ifie s th e e x p lic it p r o h ib itio n s o n c e r ta in a c tiv itie s lik e th e u s e o f fo rc e (e x c e p t in s e lf-d e f e n c e ), to r tu re , d is c r im in a tio n a n d h u m a n tra ffic k in g . T h e v e r y im p o r ta n t p a r t la y s d o w n th e c o m m itm e n ts o f m a n a g e m e n t b o a rd s a im in g to e n s u re th a t th e p e r s o n n e l o b s e r v e th e IC o C a n d im p le m e n t g o o d p r a c tic e s r e g a r d in g th e re c r u itm e n t a n d t r a i n in g o f p e r s o n n e l a s w e ll a s r e q u ir e s r e p o r tin g a n d m o n ito r in g m e c h a n is m s . T h e s u c c e s s o f th is in s tr u m e n t is illu s tr a te d b y th e im p re s s iv e n u m b e r o f m o r e th a n 6 0 0 P M C s t h a t b e c a m e s ig n a to rie s o f IC o C b y M a y 2 0 1 3 .26
F u rth e rm o re , th e w h o le p ro c e s s is m o n ito r e d a n d re v ie w e d b y th e S te e rin g C o m m itte e c o m p o s e d o f th e re p r e s e n ta tiv e s o f th re e secto rs: P M C s, N G O ’s a n d g o v e rn m e n ts , w h e re th e S w iss g o v e rn m e n t a n d G e n e v a C e n tre fo r th e D e m o c ra tic C o n tro l o f A r m e d F o rc e s (D C A F ) p la y th e ro le o f fa c ilita to rs. B e sid e s , th e re w e re c re a te d th re e w o rk in g g ro u p s c o m p o s e d o f re p r e s e n ta tiv e s o f a fo r e m e n tio n e d s ta k e h o ld e rs a n d c h a rg e d w ith d is c u s s io n a n d e la b o ra tio n o f re p o rts on: (1 ) A s s e s s m e n t, R e p o rtin g , a n d In te rn a l & E x te rn a l O v e rs ig h t, (2 ) R e s o lu tio n o f T h ird P a rty G r ie v a n c e s a n d (3 ) In d e p e n d e n t G o v e rn a n c e & O v e rs ig h t M e c h a n is m S tru c tu re , G o v e rn a n c e , a n d F u n d in g . A s a re s u lt o f in te n s e c o n s u lta tio n s a n d d is c u s s io n s , in F e b ru a r y 2 0 1 3 th e S te e rin g C o m m itte e m a n a g e d to d ra ft th e fin al c h a rte r o f th e g o v e rn a n c e a n d o v e rs ig h t m e c h a n is m e s ta b lis h e d to o v e rs e e a n d g o v e rn th e IC o C im p le m e n ta tio n a n d a d m in is tra tio n . It p ro v id e s fo r th e fo u r ty p e s o f m o n ito rin g : (1 ) v e rific a tio n a n d a s s e s s m e n t th r o u g h a u d itin g , m o n ito rin g , a n d c e rtific a tio n , (2) r e p o r t a s s e s s m e n t a n d re v ie w (3 ) c o m p la in t v e rific a tio n a n d re m e d ia tio n a n d (4 ) C o d e a d m in is tra tio n .
W h ile th e p ro c e s s is still e v o lv in g , it is still to o p re c o c io u s to a s se ss th e im p a c t o f s u c h a s e lf-re g u la tio n o n th e p ra c tic e , n e v e rth e le s s s u c h a b o tto m - u p in itia tiv e , b a c k e d b y th e m o s t in te re s te d g o v e rn m e n ts a n d 26 26 Complete List as o f 1 May 2013 available at: http://www.icoc-psp.org/uploads/Signa- tory_Companies_-_May_2013_-_Composite_List_SHORT_VERSION.pdf (consulted on 22/05/2013).
N G O ’s is p ra ise w o rth y . I t is a m e a s u re to c ir c u m v e n t th e u n w illin g n e s s o f th e g o v e rn m e n ts to e la b o ra te a le g a lly b in d in g c o m p re h e n s iv e le g a l f r a m e w o rk w h ic h m a y b e c o u n te r e ffe c tiv e a s fo r th e b e n e fits ste m m in g fro m th e o u ts o u rc in g o f th e re le v a n t se rv ic e s. M o r e o v e r th e S w iss In itia tiv e e n a b le s th e in tro d u c tio n a n d o p e r a tio n a liz a tio n o f th e U N G u id in g P rin c ip le s o n B u s in e s s a n d H u m a n R ig h ts ,27 a ls o it a c k n o w le d g e s th e e x p e c ta tio n s o f p u b lic o p in io n fo llo w in g th e H R m o v e m e n t a n d in c lin e d o n C S R , e s p e c ia lly th e im p a c t a n d in flu e n c e o f m u ltin a tio n a l c o rp o ra tio n s o n th e p ro te c tio n o f H R sta n d a rd s .28 G iv e n th e m ix e d n a tu re o f th e S te e rin g C o m m itte e m e m b e rs th e S w iss In itia tiv e is e m p o w e re d to re c o g n iz e th e in te re s ts o f a ll s ta k e h o ld e rs a n d ta k e in to c o n s id e ra tio n th e p re s s u re p a rtic u la rly e x e rte d b y th e c iv il s o c ie ty k e e n o n th e C S R .
L a s t b u t c e rta in ly n o t le a s t, g iv e n th e la c k o f in te rn a tio n a l o r d o m e s tic le g a lly b in d in g re g u la tio n , th e a d h e s io n to s u c h a c o d e o f c o n d u c t is p ro p itio u s w h e n it c o m e s to th e e c o n o m ic a n d m a r k e tin g d im e n s io n s o f th e P M C in d u stry . T h e in te rn a lis a tio n o f IC o C re v e a ls e ffo rts o f th e c o m p a n ie s to c o m p ly w ith th e h ig h e s t s ta n d a rd s a n d in te n tio n to s a tis fy th e d u e d ilig e n c e p a ra d ig m . T h e o v e rs ig h t m e c h a n is m p ro c u r e d b y th e IC o C a n d a c c o m m o d a tin g th e p ro te c tiv e s c re e n m a y p la y a ro le o f a ttra c tio n fo r m o r e im p o rta n t clie n ts . T h e la tte r in v o lv e n o t o n ly th e p riv a te a c to rs a n d g o v e rn m e n ts b u t a ls o in te rn a tio n a l o rg a n is a tio n s lik e U N , o fte n a fr a id o f th e s tig m a in th e c a s e o f th e a lle g e d v io la tio n s o f H R b y th e P M C e m p lo y e e s , w h ic h o fte n g e ts m e d ia tis e d a n d m a y h a rm th e re p u ta tio n o f th e h ir in g p a rty .29 A ls o , th e p a rtic ip a tio n in th e IC o C m a y b e s e t a s th e p r e r e q
27 J. Ruggie, Guiding Principles on Business and Human Rights: Implementing the United
Nations ‘Protect, Respect and Rem edy’ Framework, UN, 2011, available at: www.ohchr.
org/Documents/Issues/Business/A-HRC-17-31_AEV.pdf (consulted on 22/05/2013). 28 B. Faracik, Address during Human Rights & Business Seminar: From Armed Privates To Private Armies: Regulating Private Military And Security Companies, 31 October 2012, Allerhand Institute, Cracow, Poland.
29 C. Hoppe and O. Quirico, Codes o f Conduct fo r Private Military and Security Compa
nies, [in:] War by Contract — Human Rights, Humanitarian Law, and Private Contrac tors, F. Francioni andN . Ronzitti (eds.), OxfordUniversity Press, 2011, pp. 363-376.
u is ite fo r lic e n s in g o r a w a rd in g p u b lic a n d p riv a te c o n tr a c ts ,30 th e re fo re , it b e c o m e s le s s s u rp ris in g w h y th e IC o C b e n e fits o f s u c h a n e n d o rs e m e n t fro m th e in d u s try itself. T h e re fo re , th e IC o C is s e t u p in o rd e r to fo s te r b u s in e s s o p p o rtu n itie s o f la w fu l c o m p a n ie s w h ile e x c lu d in g th e n o n - c o m p ly in g o n e s. I t e n h a n c e s th e le v e l o f a c c o u n ta b ility d u e to its o b lig a to ry re p o r tin g m e c h a n is m b u t a ls o fo s te rs th e tr a n s p a re n c y w ith r e g a r d to s u c h is s u e s as to rtu re , d is c rim in a tio n , a rm tra ffic k in g , d u a l-u s e te c h n o lo g ie s a n d re s o rt to a rm e d fo rce.
Conclusion
T o c o n c lu d e , th e s e lf-r e g u la tio n in itia tiv e , d u e to its n o v e lty c a n n o t b e a s s e s s e d in a s a tis fa c to ry w a y b u t fo r su re c o n s is ts o f a n im p o rta n t im p ro v e m e n t o f th e re g u la to r y fr a m e w o rk o f th e P M C in d u stry . G iv e n th e a c c o u n ta b ility h a rd s h ip s , th e re a lm o f th e d ip lo m a tic n e g o tia tio n s a n d c o m p le x ity o f th e is su e w h ic h a t th e m o m e n t d o n ’t g iv e a n y p ro s p e c ts fo r th e fa s t in te rn a tio n a l le g a lly b in d in g s e ttle m e n t, th e b o tto m - u p in itia tiv e is m u c h a p p re c ia te d .
H o w e v e r, th e la c k o f sta te im p e riu m as fo r th e e n fo r c e m e n t c o m b in e d w ith th e v o lu n ta ry n a tu r e o f a d h e s io n , in h a b it th e tw o m a in d r a w b a c k s o f in f o rm a l re g u la tio n m e c h a n is m s . U s in g th e le v e ra g e o f d u e d ili g e n c e a n d p re s u m p tio n o f c o m p ly in g w ith th e H R a n d IH L s ta n d a rd s, th e s e lf-r e g u la tio n g iv e s im p o rta n t in c e n tiv e s fo r th e b u s in e s s s ta k e h o ld e rs to s ig n th e d o c u m e n t in o rd e r to g a in o n re lia b ility in th is h ig h ly c o m p e titiv e e n v iro n m e n t. H o w e v e r, th e in fo rm a l re g u la tio n s e e m s to b e j u s t a te m p o ra r y so lu tio n c o u n te rin g th e lo o p h o le o f th e in te rn a tio n a l la w a n d re q u ire s th e g o v e rn m e n t g u a ra n te e s o f e n fo r c e m e n t in c a se o f fa ilu re o f in d u s try g o o d w ill T h e re fo re th e le g a lly b in d in g fr a m e w o rk p ro v id in g fo r m in im u m 30 N. Rosemann, Code o f Conduct: 'Tool fo r Self-regulationfor Private Military and Se
curity Companies, DCAF Occasional Paperno 15 (2008).
s ta n d a rd s s h a ll b e c o n s id e re d in a lo n g -te rm p e rs p e c tiv e . M o re o v e r, th e v o lu n ta ry n a tu re o f a d h e s io n to th e S w iss In itia tiv e d o e s n ’t p r o te c t fro m th e a c tiv itie s o f c o rp o ra tio n s w illin g to c o n trib u te to th e ille g a l a c tio n s a n d a id in g o r a b e ttin g th e p e rp e tra to rs o f in te rn a tio n a l c rim e s , e s p e c ia lly th e a rm e d g ro u p s a n d a u th o r ita ria n re g im e s n o t re f ra in in g fro m th e re c o u rs e to th e m e rc e n a ry .
T h e in fo rm a l re g u la tio n o f P M C still e v o k e s m a n y q u e s tio n s to be e x a m in e d in n e a r fu tu re . To w h ic h e x te n t th e o v e rs ig h t m e c h a n is m w ill be e ffe c tiv e ? W ill th e s ig n a to ry s ta te s im p le m e n t g o o d p ra c tic e s a n d w ill th e d o m e s tic c o u rts ta k e in to a c c o u n t th e in fo rm a l re g u la tio n as a n im p o rta n t c o m m itm e n t o f c o rp o ra tio n s to th e d u e d ilig e n c e sta n d a rd s ? T h e re fo re , w ill th e in d u s try s u c c e e d in r e g a in in g its re lia b ility ?
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