The Ethics of Intelligence Collection Ross W. Bellaby
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What’s the Harm? The Ethics of Intelligence Collection Ross W. Bellaby Thesis submitted in fulfilment of the requirements for the degree of PhD Department of International Politics Aberystwyth University June 13th, 2011 DECLARATION This work has not previously been accepted in substance for any degree and is not being concurrently submitted in candidature for any degree. Signed ...................................................................... (Ross W. Bellaby) Date ........................................................................ STATEMENT 1 This thesis is the result of my own investigations, except where otherwise stated. Where *correction services have been used, the extent and nature of the correction is clearly marked in a footnote(s). Other sources are acknowledged by footnotes giving explicit references. A bibliography is appended. Signed ..................................................................... (Ross W. Bellaby) Date ........................................................................ [*this refers to the extent to which the text has been corrected by others] STATEMENT 2 I hereby give consent for my thesis, if accepted, to be available for photocopying and for inter- library loan, and for the title and summary to be made available to outside organisations. Signed ..................................................................... (Ross W. Bellaby) Date ........................................................................ I hereby give consent for my thesis, if accepted, to be available for photocopying and for inter- library loans after expiry of a bar on access approved by Aberystwyth University. Signed ..................................................................... (Ross W. Bellaby) Date………………………………………………….. Summary As the professional practice of intelligence collection adapts to the changing environment of the twenty-first century, many academic experts and intelligence professionals have called for a coherent ethical framework that outlines exactly when, by what means and to what ends intelligence is justified. Recent controversies, including reports of abuse at Guantanamo Bay and Abu Ghraib, allegations of extraordinary rendition programmes and the ever-increasing pervasiveness of the ‘surveillance state’, have all raised concerns regarding the role of intelligence in society. As a result, there is increased debate regarding the question of whether or not intelligence collection can be carried out ethically. This thesis will tackle this question by creating an ethical framework specifically designed for intelligence that is capable of outlining under what circumstances, if any, different intelligence collection activities are ethically permissible. This thesis argues that there is a tension presented by intelligence collection between the damage that it can cause and the important, ethical role it can play in the political community. In order to deal with this tension the ethical framework proposed in this thesis is comprised of two parts. The first part is designed to recognise those features of intelligence that might be considered ethically unacceptable by highlighting the ‘harm’ it can cause. Once the harm is understood, the second part of the ethical framework establishes a set of Just Intelligence Principles that can outline if and when the harms caused are justified. These Just Intelligence Principles are developed by drawing upon the just war tradition and its criteria of just cause, legitimate authority, right intention, last resort, proportionality and discrimination. By placing the harm that intelligence can cause into context with the Just Intelligence Principles it is possible to limit the use of intelligence while recognising the important role it plays in protecting the political community. Once the ethical framework has been established in Chapter One it is then applied to a range of intelligence collection activities in Chapters Two, Three, Four and Five. This thesis will examine three of the most prominent collection disciplines in the field of intelligence studies: imagery intelligence, signals intelligence and human intelligence. By applying the ethical framework established in the beginning of the thesis to these three important intelligence collection disciplines, it is possible to better understand the ethical framework. The main argument of this thesis will be that the most appropriate ethical framework for intelligence collection is one which is able to recognise that intelligence collection does indeed cause harm, but that sometimes this harm is necessary in order to protect the political community. I Acknowledgements The first acknowledgments of this thesis must go to my outstanding supervisors, Professor Toni Erskine and Professor Peter Jackson. As a team they have proved to be one of the best, providing me with unending encouragement, enthusiasm for my project, interesting and engaging academic debate and the type of support that I could not have lived without. Their meticulous reading of my work, intellectual acuity and their support to develop and grow in my own way has not only helped this immediate piece of work but has given me confidence in my ability as a researcher and as a writer to take me far beyond what I have achieved here. Other members of the department that I would like to extend a special acknowledgement to include Professor Len Scott and Professor Martin Swinburn Alexander. Len has always been an important supporting force for me and my project during my years at Aberystwyth. From the initial days of developing my project all the way through to the end Len has been unceasing in his interest and support, something which has been a great source of strength to me. I must also extend my unending gratitude to Martin for his role in my life during my postgraduate years. While my PhD is the summation of my research here at Aberystwyth, it does not reflect the utter joy I have had as a tutor within the department and it is in this area that Martin has been my mentor and friend. Martin has not only shown to me what it means to be an outstanding lecturer and tutor, but also what it means to act as a role model for those we teach and who come to rely on us. If I become half the true academics that Len and Martin represent then I will be fortunate. To my friends and loved ones I cannot say enough. Lisa Denney and Matthew Fluck, thank you for being there for me through my PhD and for providing me with coffee and cake on a regular basis – we will always be Office No.1 no matter where we end up. To Andy, Halle and Aoileann, thank you for always making me laugh, showing me love and for chasing away Aberystwyth’s most persistent grey skies. To Chris, Alison, David, Tom and Pat, even though you are now far away, memories of you keep me warm. And to everyone else who I do not have space to mention – I thank you all for never asking me to explain my PhD, but always asking me how I am. Finally, I dedicate this piece of work to my family – Judith, Keith, Tamasine and Robbie. You have all been there for me over these many years and have only ever wanted me to be happy in anything that I do. You are my unending support, whose voice, humour and love has kept me going through all I have ever tried to do. We are the collective and we will never be broken. Your unconditional love and guidance has made me what I am today and I cannot thank you enough for that. Thank you, everyone. II Contents SUMMARY I ACKNOWLEDGEMENTS II CONTENTS III TABLE OF FIGURES VII LIST OF ABBREVIATIONS VIII INTRODUCTION 1 CHAPTER ONE: HARM, JUST WAR AND A LADDER OF ESCALATION 22 Section One: What’s the Harm? 23 Primum Non Nocere – Above All, Do No Harm 23 Vital Interests 26 Physical Integrity 26 Mental Integrity 27 Autonomy 28 Liberty 29 Human Dignity as Amour-Propre: A Sense of One’s Own Self-Worth 30 Privacy 32 Conclusion 34 Section Two: Just War and Just Intelligence 35 Just War Meets Just Intelligence 35 Just Cause 37 Legitimate Authority 38 Right Intentions 40 Last Resort 41 Proportionality 41 Discrimination 43 Conclusion 45 Section Three: Ladders and Levels 46 Ladder of Escalation 46 Measuring the Levels of Harm 47 Levels of Just Intelligence 49 Legitimate Authority: Oversight & Chain of Command 51 Proportionality: What to Include and Exclude 51 Discrimination: Who to Target? 52 Ladder of Harm and the Ladder of Just Intelligence 55 Conclusion 57 III CHAPTER TWO: “THE EYES HAVE IT” IMAGERY INTELLIGENCE 58 Section One: The Nature of Imagery Intelligence 59 Visual Images 59 Intention 59 Security Lens 60 Capturing the Image 61 Types of Imagery Intelligence 61 Imagery Intelligence and the International 62 Society and the Individual 64 Conclusion 65 Section Two: Harm and Imagery Intelligence 66 Privacy 66 Levels of Privacy 68 Social Control 70 Conclusion 72 Section Three: Illustrative Examples 73 Satellites & Spy-Planes 73 Closed Circuit Television Cameras 76 Intensive Surveillance 81 Intrusive Surveillance 84 Conclusion 86 Section Four: Just Imagery Intelligence 88 Surface Satellite and Spy-Plane Scans 88 CCTV 88 Intensive Surveillance 91 Intrusive Surveillance 93 Conclusion 96 CHAPTER THREE: THE INFORMATION NATION INFORMATION TRANSMISSION, COLLECTION AND STORAGE 97 Section One: Signals and Data Intelligence 98 Signals 98 Intention 99 Security Lens 99 Technology and Capturing the Information 100 Signals Intelligence: Communications 100 Data Intelligence: Data-Mining & Dataveillance 103 Conclusion 105 Section Two: Privacy and Personal Control 106 Privacy as Control 106 Authorship