The Transformation of Occupied Territory in International Law For use by the Author only | © 2015 Koninklijke Brill NV Leiden Studies on the Frontiers of International Law Editors Carsten Stahn Larissa van den Herik Nico Schrijver (Grotius Centre for International Legal Studies, The Hague) Volume 2 Grotius Centre for International Legal Studies The titles published in this series are listed at brill.com/lsfi For use by the Author only | © 2015 Koninklijke Brill NV The Transformation of Occupied Territory in International Law By Andrea Carcano leiden | boston For use by the Author only | © 2015 Koninklijke Brill NV Library of Congress Control Number: 2015946336 issn 2212-4195 isbn 978-90-04-22787-3 (hardback) isbn 978-90-04-22788-0 (e-book) Copyright 2015 by Koninklijke Brill nv, Leiden, The Netherlands. Koninklijke Brill nv incorporates the imprints Brill, Brill Hes & De Graaf, Brill Nijhofff, Brill Rodopi and Hotei Publishing. All rights reserved. No part of this publication may be reproduced, translated, stored in a retrieval system, or transmitted in any form or by any means, electronic, mechanical, photo- copying, recording or otherwise, without prior written permission from the publisher. Authorization to photocopy items for internal or personal use is granted by Koninklijke Brill nv provided that the appropriate fees are paid directly to The Copyright Clearance Center, 222 Rosewood Drive, Suite 910, Danvers, ma 01923, usa. Fees are subject to change. This book is printed on acid-free paper. For use by the Author only | © 2015 Koninklijke Brill NV Table of Contents Editorial Foreword xi Foreword xiii Preface xix Select List of Abbreviations xxiii Table of Cases xxvii Introduction 1 1. Scope of the research 3 2. Some issues of methodology 7 Chapter 1 International Law and Transformative Occupation: A Historical Perspective 11 1. Occupation as conquest and exploitation 14 1.1. The Roman law tradition and its infl uence up to the Modern Age 14 1.2. The French occupation of the Rhineland (1794–1801) 17 2. Occupation as control and administration of territory 18 2.1. Occupation and sovereignty 19 2.2. The distinction between belligerent states and private individuals 26 2.3. The Prussian occupation of Alsace-Lorraine (August 1870– February 1871) 31 2.4. The process of codifi cation 34 3. Occupation as transformation 36 3.1. The concept and its origin 36 For use by the Author only | © 2015 Koninklijke Brill NV vi table of contents 3.2. From ‘liberation’ to political independence 40 3.2.1. The Russian occupation of Bulgaria (1877–1878) 40 3.2.2. The British occupation of Mesopotamia and the Mandate (1914–1932) 45 (a) The occupation (1914–1920) 45 (b) The Mandate (1920–1932) 51 3.3. From surrender to the establishment of ‘democratic institutions’ 57 3.3.1. The Allied Powers’ occupation of Germany (1945–1949) 58 3.3.2. The Allied Powers’ occupation of Japan (1945–1952) 64 4. Occupation as implementation of a ‘humanitarian agenda’: the Geneva Convention IV and Additional Protocol I 68 5. Conclusion 72 Chapter 2 International Law and Transformative Occupation: Contemporary Challenges 75 1. The development of the international law applicable to an occupation 76 1.1 The issue of the legality of the existence of an occupation 79 1.2. The applicability of human rights law 83 1.3. The coordination between human rights law and international humanitarian law 91 2. Some contemporary arguments for transformative occupation 96 2.1. Advancing human rights 96 2.2. Enabling self-determination 102 3. Conclusion 107 Chapter 3 The Occupation of Iraq (2003–5) 109 1. Chronology of key events 110 2. The legal status of the Coalition Forces in Iraq in April 2003 113 2.1. Occupation versus debellatio 113 2.2. The establishment of the occupation 117 2.3. The existence of an occupation in Iraq as of mid-April 2003 128 3. The status of the Coalition Forces during the looting of Baghdad 131 3.1. Key events 132 3.2. The extent of the Coalition Forces’ control over Baghdad 134 4. The role of the Offi ce of Reconstruction and Humanitarian Assistance 144 For use by the Author only | © 2015 Koninklijke Brill NV table of contents vii 5. The Coalition Provisional Authority 147 5.1. The CPA as an occupation administration: legal basis and structure 147 5.2. The CPA’s purposes: nation-transformation 150 5.3. The CPA’s self-defi nition of its authority and objectives: Regulation 1 157 6. Security Council Resolution 1483: framing the role of the main actors in the Iraqi crisis 159 6.1. The quest for a Security Council resolution by the occupying powers 159 6.2. The status and functions of the CPA 161 6.2.1. Reappraising the legality of the CPA’s presence in Iraq 162 6.2.2. Authorities, responsibilities, and limits 170 (a) The CPA’s ‘political’ tasks: a derogation from the law of occupation? 176 (b) The administration of Iraqi oil 183 6.3. The role of the United Nations 186 6.4. The role of the Iraqi people 189 6.4.1. The ambit of the Iraqi people’s right to self-determination 189 6.4.2. A position of subordination 191 6.4.3. The Security Council and the right to self-determination 193 (a) Enablement of the right to self-determination or breach? 198 (b) Internal self-determination and Saddam Hussein’s regime 200 7. Conclusion 203 Chapter 4 Occupation as Transformation: The Practice of the CPA 205 1. The dismantling of Saddam Hussein’s regime 206 1.1. The de-Ba’athifi cation of Iraqi society 206 1.2. Dissolution of entities 211 1.3. Assessment 214 2. The duty to restore ‘conditions of security and stability’ 224 2.1. Control of weapons 228 2.2. The criminalisation of specifi c conduct and the harshening of penalties 230 2.3. The eff ort to restrain private militias 233 2.4. The attitude towards private contractors 238 2.5. The attitude of Coalition Forces towards the Iraqis 241 2.6. The creation of new Iraqi security forces 244 2.7. Assessment 248 For use by the Author only | © 2015 Koninklijke Brill NV viii table of contents 3. The administration and reform of the judicial system 250 3.1. Amending existing legislation: the infl uence of human rights law 250 3.2. The establishment of new courts 255 3.2.1. The Iraqi Special Tribunal 257 3.2.2. The trial of Saddam Hussein 264 3.3. The management and supervision of detention facilities 268 4. The political and constitutional process to transform Iraq into a democracy 276 4.1. The role of the Iraqi Governing Council 277 4.2. Sistani’s fatwa against the drafting of a constitution by a non- elected body 292 4.3. Security Council Resolution 1511: moving democratisation forward 295 4.3.1. The 15 November Agreement between the IGC and the CPA 298 4.3.2. A breach of the right to self-determination? 301 4.4. The UN involvement in determining date and modalities of the elections 305 4.5. The Law of Administration for the State of Iraq for the Transitional Period 309 4.5.1. Content 309 4.5.2. Assessment 319 5. The transformation of the Iraqi economy 323 5.1. Opening Iraq to foreign investments 325 5.2. Financial, fi scal, and labor reforms 327 5.3. Auditing and best fi nancial practices 331 5.4. Evaluation 332 6. Conclusion 339 Chapter 5 The Democratisation of Iraq after the Demise of the CPA 345 1. The legal eff ects of the CPA’s legislation after its demise 347 2. The formation of the Interim Government 349 3. The content and eff ects of Resolution 1546 351 3.1. Upholding the timetable of transition to a democratic constitution 352 3.2 The Invitation to the Multinational Force 355 4. The scholarly debate 357 4.1. Whether the Interim Government was sovereign 360 4.2. Whether the recognition by the Security Council may override the lack of internal sovereignty 367 For use by the Author only | © 2015 Koninklijke Brill NV table of contents ix 4.3. The International practice 369 4.4. The status of the Multinational Force 374 4.4.1. The Multinational Force’s relationship with the Interim Government and the Iraqi people 376 4.4.2. The Multinational Force’s relationship with UNAMI 379 4.5. The Practice of the Interim Government: a ‘caretaker’? 381 5. Towards full sovereignty: the practice of the elected Iraqi governments 385 5.1. The Jaafari Government (April 2005–May 2006) 385 5.2. The adoption of a permanent constitution (October 2005) 388 5.2.1. Content 388 5.2.2. A foreign-imposed constitution? 399 5.3. The Maliki Government (May 2006–re-elected in 2010) 404 6. The Withdrawal of the Multinational Force 408 7. Conclusion 409 Chapter 6 International Law and Transformative Occupation after Iraq 413 1. Break from or continuum with the past? 415 1.1. A comparison with the occupation of Mesopotamia and the subsequent Mandate 415 1.1.1. Some similarities and diff erences 416 1.1.2. Self-determination as a limit to constitutional processes 420 1.2. A comparison with the Allied Powers’ occupation of Germany and Japan 423 2. The occupation of Iraq as precedent 429 2.1. The irreplaceable function of the law of occupation 429 2.2. Should aspects of the law of occupation be amended? 432 2.3. Transformative occupation and international territorial administration 436 2.4. Transformative occupation and jus post bellum 442 2.5. Whether the Security Council should support pro-democratic transformative occupations 451 Bibliography 459 Index 505 For use by the Author only | © 2015 Koninklijke Brill NV For use by the Author only | © 2015 Koninklijke Brill NV Editorial Foreword Andrea Carcano’s work is the second book in our new Leiden Series on the Frontiers of International Law.