1. Introduction
Does the principle of proportionality in IHL require an attacking state to expose its soldiers to life-threatening risks in order to minimise risks of incidental damage to enemy civilians? If such a duty exists, is it absolute or qualified? And if it is a qualified duty, what considerations may be taken into account in determining its character and scope?
This article presents an analytic framework under the current IHL legal structure, which outlines different formulae for defining the attacking state's duty to risk its soldiers. Its aims are, first, to clarify and elucidate the conceivable justifications and considerations, thereby furthering the discourse regarding this controversialFootnote 1 legal question; second, to enhance intellectual integrity and interpretive consistency by spelling out the logical conclusions that are entailed by each formula; and third, to argue for a favoured formula.
An interpretive approach is adopted in the search for a workable formula which best interprets existing IHL provisions in light of fundamental principles of IHL. The analysis draws on three main principles: (i) human dignity and the protection of personhood; (ii) military necessity balanced against humanitarian concerns;Footnote 2 and (iii) a preference for workable formulae that give clear guidance to military commanders and state parties. Therefore, importantly, the article is not descriptive in the ‘narrow’ sense of exploring state practice; nor does it draw on an ideal moral viewpoint in pursuit of desirable legal arrangements that are unconstrained by the IHL regime.
2. Scenario
The analysis centres on the following scenario. A military operation is about to take place during an ongoing international armed conflict. The operation is intended to achieve a ‘concrete and direct military advantage’,Footnote 3 such as the destruction of an enemy ammunition storage facility. There is no doubt:
• as to the necessity for attacking this military objective, nor as to the objective's ‘effective contribution to military action’;Footnote 4
• that the objective is located in the vicinity of civilian installations or residential areas;Footnote 5
• that by targeting intentionally military objectives only and not civilians the operation satisfies the IHL principle of distinction;Footnote 6 and
• that the manner in which the operation will be carried out does not violate IHL prohibitions against indiscriminate attacks.Footnote 7
A military commander can carry out the operation using two methods of attack. Adopting the first method (‘the aerial method’), the military objective will be aerially attacked; the operation is expectedFootnote 8 to cause c1 deaths of enemy civilians. Using the second method (‘the ground method’), the attacker's ground troops will be used instead; the operation is then expected to cause c2 deaths of enemy civilians with c2 < c1, as well as s deaths of compatriot soldiers.Footnote 9 For the sake of analysis, it is assumed that the financial cost entailed by both methods is similar (regardless of whether financial cost may legitimately be considered).
It is assumed that both c1 and c2 are proportionate stricto sensu to the expected military advantage to be achieved by the operation.Footnote 10 The ground method satisfies proportionality stricto sensu even if the expected loss of compatriot soldiers' lives reduces the attacker's military advantage.Footnote 11 Thus, the military operation may legally be undertaken in terms of proportionality stricto sensu using either method.
The applicability of the distinction between jus ad bellum and jus in bello proportionality is also assumed:Footnote 12 the overall effect of an operation is not evaluated when determining whether an operation is proportionate, nor is the justness of engaging in the armed conflict.Footnote 13 The analysis is situated in the jus in bello domain, and follows Article 57 of Additional Protocol I, assumed to be applicable between the parties to the armed conflict.Footnote 14
3. Between Feasibility and Proportionality
Article 57 of Additional Protocol I may be interpreted as allowing a military commander to consider force protection in two contexts: first, the way in which it affects the means and methods that may be used to carry out an attack (‘the feasibility analysis’);Footnote 15 and, second, the extent to which the operation is expected to result in a military advantage (‘the proportionality analysis’).Footnote 16
Regarding the means and methods of carrying out an attack, Article 57(2)(a)(ii) stipulates that those who plan or decide on an attack shall ‘take all feasible precautions in the choice of means and methods of attack with a view to avoiding, and in any event to minimizing, incidental loss or civilian life, injury to civilians and damage to civilian objects’. According to one interpretation, taking precautions in order to minimise risk to enemy civilians by choosing a method which involves excessive risk to compatriot soldiers may render an operation ‘unfeasible’; a military commander should therefore be permitted to include considerations of force protection in the feasibility analysis. This article, however, favours an interpretation of Article 57(2)(a)(ii) as referring to empirical feasibility, according to which the question is whether an attack can actually take place in the manner prescribed by its planners, and pose the expected level of risk to enemy civilians (rather than a higher level of risk to them), taking into account physical and psychological constraints.Footnote 17
There are two main reasons for limiting the feasibility assessment to empirical constraints. First, in evaluating the methods and means of attack, Additional Protocol I refers to ‘feasible’ and ‘excessive’ as independent concepts; hence, interpreting ‘feasible’ as setting empirical rather than normative constraints on a planned attack contributes to achieving conceptual clarity. Absent such clarity, the risk to compatriot soldiers may end up being considered both at the feasibility stage and at the military advantage stage of the proportionality test; it may consequently be attributed different weight at each stage, and may even lead to attributing greater weight to force protection than is necessary. Second, the core meaning of ‘feasible’ seems to address an empirical possibility, rather than normative acceptability. For instance, it would sound awkward, from a linguistic perspective, for a commander to suggest that the ground method is unfeasible since it is expected to cause s casualties of compatriot soldiers, but that absent the option of an aerial method, the ground method would nevertheless be followed. Broadening the meaning of ‘feasible’ would hence be linguistically tenuous.
It should be noted that certain attacks may be physically possible, yet because of human psychology they cannot be expected to be carried out in the planned manner, and hence would be rendered empirically unfeasible. Consider, for instance, a plan of attack which is likely to expose soldiers to extreme risk if carried out as dictated to them; in order to avert such risk, soldiers are likely to carry out the attack in a different manner than that dictated to them, and may end up placing enemy civilians under a greater risk than the risk entailed by alternative methods.Footnote 18 It seems unreasonable to require a commander to choose a method which, because of empirical constraints caused by human psychology, may result in more enemy civilian deaths. Hence, if the ground method entails an extreme risk of such nature to compatriot soldiers, its unfeasibility would lead to its dismissal.
Significantly, though, according to the above interpretation of ‘feasible’, only under very extreme circumstances (where the precautions undertaken to minimise civilian casualties render the attack empirically unfeasible) would certain methods of attack be precluded; in most cases, several methods are empirically feasible. Consequently, the main assessment of this article's scenario follows a proportionality analysis, questioning whether the reduced risk to compatriot soldiers entailed by opting for the aerial method over the ground method may be legitimately considered when determining the military advantage, and, if so, on the basis of which criteria.
4. Proportionality: Guiding Principles
In contemporary jurisprudence, proportionality analysis is commonly conducted using three tests: (i) rational connection, (ii) least harmful means, and (iii) cost–benefit (or proportionality stricto sensu).Footnote 19
In a military operation context, a rational connection must be established between the means used and the destruction of the enemy's military objective. Under the least harmful means test, when faced with methods of attack which are expected to result in the same military advantage, a commander must choose the method that will cause the least incidental (or unintended) damage to civilians and civilian objects.Footnote 20 To satisfy the proportionality stricto sensu requirement, the incidental damage to civilians and civilian objects must not be ‘excessive’ in relation to the attacker's military advantage.Footnote 21
The aerial and ground methods are both expected to destroy the enemy's military objective; hence, they satisfy the rational connection sub-test. If the aerial method is the only available method for attacking the military objective, it would satisfy the least harmful means sub-test, despite incurring c1 enemy civilian deaths, since there would not be an alternative way of gaining that military advantage. Does the availability of the ground method – a less harmful means of attack in terms of deaths of enemy civilians (c2) – require a military commanderFootnote 22 to choose it under all circumstances, or is there a discernible limit to the expected loss of compatriot soldiers that an attacker must endure in order to avert the additional loss of enemy civilians?
The answer depends in the first instance on whether the attacker's military advantage is reduced as a result of its expected loss of soldiers under the ground method. If loss of compatriot soldiers may not be legitimately considered as reducing the military advantage, the ground method and the aerial method achieve the same military advantage; hence, in order to satisfy the least harmful test, the commander must choose the ground method. If, however, loss of compatriot soldiers may be legitimately considered as reducing the gained military advantage, then both the ground and aerial methods satisfy the least harmful test, since they do not achieve the same military advantage.Footnote 23 The critical analysis is then conducted at the proportionality stricto sensu stage, where the additional military advantage (the averted risk to compatriot soldiers) is weighed against the consequent additional risk to enemy civilians.Footnote 24
Significantly, the determination that loss of soldiers may legitimately be considered as reducing the military advantage is premised on the position that compatriot soldiers' lives are regarded as valuable (instrumentally for the military operation and/or intrinsically) when weighed against enemy civilian lives. The analysis below assesses whether compatriot soldiers' lives may indeed be assigned a value when weighed against enemy civilian lives and, if so, what are the permissible grounds for determining such a value. In other words, the questions are whether soldiers' lives ‘matter’, and if they do (as this article contends), which justifications may determine their value.
5. The Value and Justification ‘Axes’
The analysis presents five main positions (referred to as Positions A, B, C, Ca and D) regarding the appropriate manner for determining the scope of the attacker's duty to risk its soldiers in order to avert or minimise loss of enemy civilians. These positions are arranged along two ‘axes’: a value axis, and a justification axis.
At one end of the value axis, enemy civilian lives (c) are assigned an absolute value in relation to compatriot soldiers' lives (s); at its other end, compatriot soldiers' lives are assigned an absolute value in relation to enemy civilian lives. Along the value axis, infinite possibilities exist for assigning relative values to c and s, respectively. The justification axis aligns the potential justifications (intrinsic, instrumental or a combination thereof) for assigning s a given value. If, however, either c or s is assigned an infinite value, the justification axis is effectively rendered irrelevant.
6. The Five Positions
Position A stipulates that, given the alternatives, any concrete reduction of risk to enemy civilians should be preferred, whatever the cost in the lives of compatriot soldiers. Position A entails that the reduced risk to compatriot soldiers should not be taken into consideration when determining the extent of the military advantage incurred by an operation, as part of the proportionality stricto sensu analysis. Therefore, the aerial and ground methods would be considered as having the same ‘concrete and direct military advantage’; hence, in order to satisfy the least harmful means requirement, a commander would have to choose the ground method. The ‘pure’ version of Position A is thus at one end of the value axis.
Michael Walzer submits that soldiers should accept life-threatening risks in order to save civilian lives,Footnote 25 asserting that ‘the limits of risk are fixed, then, roughly at that point where any further risk-taking would almost certainly doom the military venture or make it so costly that it could not be repeated’.Footnote 26 Walzer's position thus seems to restrict risk taking by soldiers only where an operation would fail the empirical feasibility test presented above.Footnote 27
Advocates of Position A may argue that when soldiers fight they act as the ‘long arm’ of the state, performing a public function by advancing the state's goals; soldiers' lives and rights are consequently rendered irrelevant. Indeed, Smith asserts that, in war, a soldier should be regarded as an instrument of military policy, whose personhood and attendant rights are suspended; Smith contends that the practice of shifting risk from compatriot soldiers onto enemy civilians is beyond the pale, since force protection cannot be an end in itself if it means privileging compatriot soldiers over enemy civilians.Footnote 28
Position B considers the reducing of risks to soldiers to be an integral part of the attacker's military advantage, for several instrumental reasons: preserving military strength; enhancing military morale; and maintaining public support for further engagement in the armed conflict.Footnote 29 Analogies may be drawn between the manner in which soldiers are perceived according to Position B, and the manner in which military equipment is considered. Variations of Position B may delimit the scope of legitimate instrumental considerations, for instance, by allowing weight to be given to the preservation of military strength, but not to considerations of military morale and public opinion.
Position C attributes intrinsic value to the preservation of each compatriot soldier's life. Assuming that the propositions that (i) equal weight should be attributed to each compatriot soldier's life vis-à-vis other compatriot soldiers, and (ii) equal weight should be attributed to each enemy civilian's life vis-à-vis other enemy civilians are both fairly uncontroversial, it should be conceptually possible to set a constant which reflects the desirable ratio between the averted loss to enemy civilians and the expected loss of compatriot soldiers. Position C therefore lends itself to a linear formulation. This is in contrast with Position B, under which the instrumental value of, say, ten casualties among compatriot soldiers cannot a priori be assumed to be ten times greater than the instrumental value of a single casualty. Position B thus cannot be a priori assumed to be linear.
One may envisage multiple hybrid formulae combining elements of Positions B and C – namely, the suggestion that compatriot soldiers have a combined intrinsic and instrumental value, depending on the particular model. Among them lies this article's favoured position, referred to as Position Ca: compatriot soldiers are presumed to have an intrinsic value, while their circumscribed instrumental value (for instance, preservation of military strength) may also be taken into consideration. However, unlike Position B, Position Ca does not legitimise policy considerations, such as enhancing military morale or maintaining public support.
Position D mirrors Position A in that any concrete reduction of the risk to compatriot soldiers is considered desirable whatever the cost in enemy civilian lives, subject, as noted above,Footnote 30 to the chosen method satisfying proportionality stricto sensu requirements. Kasher argues that in an imagined conversation between a state and its soldiers, the state will not be able to convince its soldiers to prefer the lives of enemy civilians to their own.Footnote 31 Benvenisti suggests that by imposing risks on compatriot soldiers in order to protect enemy civilians, compatriot soldiers are used merely as tools for the benefit of others.Footnote 32 He concludes that there is no general requirement on a state to risk the lives of compatriot soldiers merely in order to reduce risks to enemy civilians, although specific IHL rules entail the assumption of such risks.Footnote 33
Positions B, C, Ca, D – and, indeed, any position that attributes any value to compatriot soldiers' lives under the scenario in this article – suggest that the reduced risk to compatriot soldiers may legitimately be taken into consideration in determining the extent of the military advantage incurred by an operation as part of the proportionality stricto sensu test analysis. The ‘concrete and direct military advantage’ expected to be achieved by the aerial method would thus be considered to be greater than the military advantage expected to be achieved by the ground method. Since the two methods differ in terms of the gained military advantage, the extent of the duty to risk compatriot soldiers in a concrete case will be determined by proportionality stricto sensu – namely by examining whether the additional risk to enemy civilians is excessive in relation to the additional military advantage (the reduced risk to compatriot soldiers).
Position D logically entails that no additional risk to enemy civilians will be considered excessive in relation to a concrete reduction of the risk to compatriot soldiers, while Positions B, C and Ca assign a relative value to the lives of both compatriot soldiers and enemy civilians.
Positions A and D could be seen as special instances of Position C's linear formula, in which compatriot soldiers' lives are respectively assigned either no value at all (Position A) or infinite value (Position D) in relation to enemy civilian lives. It is nevertheless contended that there is a fundamental difference between assigning infinite or finite values to human life. Since Positions A and D are premised on a contentious normative hierarchy between enemy civilians and compatriot soldiers leading to assigning infinite value to lives of the former (under position A) or of the latter (under position D), they will be appraised separately from Position C.
6.1 Positions A and D: Critical Appraisal
Position A attributes no value, intrinsic or otherwise, to the lives of compatriot soldiers. The IHL framework, however, accepts the risk of enemy civilian casualties during an armed conflict; rather than unrealistically attempt to avoid casualties altogether, it aims to minimise unintended harm. The IHL framework thus lends itself to a balancing formula.
Furthermore, Position A raises some conceptual difficulties. First, assigning no intrinsic value to the lives of compatriot soldiers seems to be incompatible with their universal rights to life and human dignity, since it should not be assumed that soldiers shed their humanness in its entirety when they are recruited, especially when military service is mandatory.Footnote 34 Notably, IHL provisions protect the human dignity and personhood of soldiers; an attacker, for instance, is prohibited from using means and methods of warfare that cause superfluous injury and unnecessary suffering.Footnote 35 One may argue that Position A does not deny compatriot soldiers their life and dignity; rather, their rights are always trumped by the duty to minimise incidental damage to civilians. However, since the human dignity of soldiers and the protection of their personhood appear to be one of IHL's guiding principles, this contention seems problematic. Following Dworkin, it may be argued that principles, unlike rules, are not applied in an ‘all-or-nothing’ fashion; rather, they carry balanceable weights.Footnote 36 Suggesting that an IHL principle should be given no weight along a spectrum of possible options is arguably tantamount to discarding the relevance of the principle.
Second, it may be suggested that Position A, at least in its ‘pure’ form, relies on two interconnected tenuous assumptions: that the attacker's duty to minimise incidental damage to enemy civilians is hierarchically superior to the duty that it owes its soldiers to minimise the risks to which it exposes them, and that, consequently, the former duty always trumps the latter duty.Footnote 37 These assumptions may rely on the contention that soldiers lose their immunity from attacks when they are recruited, and that the risk to compatriot soldiers' lives should consequently never be shifted to civilians who retain their immunity from attack. Nonetheless, it is submitted that the latter contention is a non sequitur: IHL permits an enemy to attack soldiers intentionally; however, such permission does not entail that military commanders have a duty to accept risks imposed on their soldiers, or that they are always prohibited from shifting some of these risks by choosing a method of attack that may cause unintentional incidental damage to enemy civilians. Indeed, suggesting that the permission to attack soldiers intentionally entails a corresponding prohibition on shifting risks to civilians would analogously mean that military commanders would be prohibited from shifting risks to their military objectives or equipment that are caused by enemy attacks.
Similarly, the fact that from the attacker's point of view, IHL gives enemy soldiers less weight than it gives enemy civilians does not imply that the duty of the attacker to its soldiers is inferior to its duty to the enemy's civilians, regardless of the justificatory basis for IHL's status-based distinction.Footnote 38 Even if there is a hierarchy between the duty to minimise incidental damage to enemy civilians and the duty that the attacker owes to its soldiers, it does not necessarily mean that the attacker's duty to minimise incidental damage always trumps the duty that it owes to its soldiers: a balancing act between competing duties may take place even if one duty is deemed hierarchically superior to the other. The above considerations may apply a fortiori when the soldiers engaged in the operation are conscripts.
One may draw an analogy, based on prevalent moral intuitions, which cuts against assigning absolute value to compatriot civilians' lives, whatever the cost in compatriot soldiers' lives. Consider the following scenario. A compatriot civilian is held by the enemy as a human shield in the vicinity of a military objective from which attacks are being launched against the compatriot's civilian population. A counter-attack is planned to destroy this military objective, with two options at hand: (i) launching a ground attack that will not risk the human shield, but is expected to result in 100 deaths of compatriot soldiers; or (ii) an aerial attack, in which no risk will be posed to compatriot soldiers' lives, but the human shield's life will be put in danger. In such a scenario, there is clearly a limit to the number of compatriot soldiers a society would be willing to risk; if so, it is unclear why the enemy civilians should enjoy greater protection than compatriot civilians.Footnote 39
Furthermore, at least on a consequentialist account,Footnote 40 it is asserted that a consistent application of Position A to the letter would result in unacceptable outcomes. Consider a military objective that an attacker would reasonably choose to destroy at the expected cost of some incidental damage to enemy civilians. Position A states in essence that no risk posed to any number of compatriot soldiers justifies placing any number of enemy civilians at any risk. It follows that to justify causing any incidental damage to enemy civilians, an attacker must contend that the pursued military objective is of greater value than any number of its soldiers. In other words, Position A stipulates that only a military objective that justifies risking an unlimited number of compatriot soldiers would justify causing any incidental damage to enemy civilians.Footnote 41
Now, even if an extreme scenario may exist in which a certain military objective would be deemed so vital as to justify risking an unlimited number of compatriot soldiers, setting such a high threshold for carrying out an attack in all cases where an attack may cause incidental damage to enemy civilians seems to be a manifestly unreasonable interpretation of the IHL proportionality principle.
Finally, from an empirical perspective, conventional wisdom holds that since armies are made up of human beings, soldiers have instrumental value for the military. By maintaining that the actual (‘concrete and direct’) instrumental value of compatriot soldiers may not legitimately be considered when determining a military advantage, Position A appears to stray away from the assumptions underlying IHL.Footnote 42 As noted above, under IHL, the instrumental military value of equipment and military objectives may justify launching attacks which will result in civilian casualties.
Position D raises similar difficulties. First, contra Position A, it assumes the opposite normative hierarchy between enemy civilians and compatriot soldiers, which results in the duty to one's own soldiers always trumping the duty to minimise incidental damage. Arguing for such a hierarchy is tantamount to suggesting that, in this context, the lives of enemy civilians have zero value when weighed against those of compatriot soldiers. The arguments regarding the principle of human dignity in relation to compatriot soldiers, discussed earlier, are applicable mutatis mutandis to enemy civilians.
Second, even if partiality towards one's society members (which some scholars premise on domestic analogiesFootnote 43) may be morally justified, the fact that it is the attacker's actions that are the source of the risk to enemy civilians ought to offset, at least to some extent, such partiality.Footnote 44 Common moral intuitions support the existence of an enhanced duty towards those who are subjected to danger by our actions, independently of the justifiability of these actions.Footnote 45 Consider, for instance, a situation in which a person is able to aid only one of two individuals, both of whom are suffering from the same injury; the first was accidentally injured by the person in the position to help, whereas the second was injured as a result of a natural disaster. One would arguably hold a greater moral duty to aid the first.Footnote 46
Third, Benvenisti's argument – that imposing risks on compatriot soldiers to minimise enemy civilian deaths suggests that soldiers are used merely as tools – is quite hard to square with the fact that missions which soldiers undertake already require them to risk their lives to protect their fellow civilians. While, as noted above, being recruited to serve does not entail shedding one's humanity in its entirety, it does require some degree of risk-taking.Footnote 47 Furthermore, one is left wondering why imposing risk on the enemy's civilians does not amount to using them merely as tools to reduce risk to compatriot soldiers.
At least on a consequentialist account, it is asserted that a consistent application of Position D would result in unacceptable outcomes. Consider a military objective that the attacker would reasonably choose to destroy at the expected cost of some of its soldiers. This military objective is hence of a greater value to the attacker than the preservation of these soldiers' lives. Position D states, in essence, that any risk to any number of compatriot soldiers justifies causing unlimited incidental damage to enemy civilians. It follows, therefore, under this position, that the greater expected military advantage, in destroying the above military objective, should also justify causing unlimited incidental damage to enemy civilians.Footnote 48 Even if an extreme scenario may exist in which a certain military objective would be deemed so vital as to justify causing unlimited incidental damage to enemy civilians, adopting such a permissive standard in all cases where a military objective justifies risking compatriot soldiers seems to be a manifestly unreasonable interpretation of the IHL proportionality principle.
It may also be argued that destroying a particular military objective would justify any risk to compatriot soldiers only if it reduces the risk to compatriot civilians: otherwise, the state cannot justify putting its soldiers at risk.Footnote 49 Not destroying this military objective because of the risk of incidental damage to the enemy's civilians would, by implication, (indirectly) increase the risk to compatriot civilians. Does this not imply, according to Position D, that such military objectives justify any incidental damage to enemy civilians? If not, following Kasher's conceptual framework, how can a state reply to its citizen's question: ‘Why does my state prefer an enemy citizen over me?’Footnote 50
6.2 Distinguishing Positions B, C, and Ca
Positions B and C both assign a relative value to compatriot soldiers' lives. The difference between them lies in the justification axis: Position B assigns instrumental value to the lives of compatriot soldiers, while Position C assigns intrinsic value to each soldier's life. In contradistinction to both positions, Position Ca offers a hybrid model which permits circumscribed instrumental considerations to be taken into account alongside attribution of intrinsic value to compatriot soldiers' lives.
The suggestion that soldiers possess an instrumental value for an attacker seems quite straightforward. However, it does not necessarily follow, as Position B suggests, that all instrumental effects may legitimately be considered when determining a military advantage: the deaths of compatriot soldiers can affect public opinion, military morale, and military strength.
It would be normatively unacceptable to give weight to the potentially detrimental effects of compatriot soldiers' deaths on public opinion; moreover, such consideration would be likely to increase uncertainty by adding an imprecise parameter to the equation. The latter argument also cuts against permitting considerations of military morale.
Position B legitimises considerations such as maintaining public support for military operations. In democracies, the public exerts its political influence through periodic elections: politicians wishing to be re-elected may choose to adopt popular policies which are incompatible with international law obligations. It is submitted, however, that aside from an expression of personal preferences, voting is also a public function: voters should be expected to respect the state's international obligations. Permitting decision-makers to consider popular hostility to such obligations may be viewed as complicity with nationalist preferences.Footnote 51
Importantly, this argument does not assume that the reason that it would be inappropriate to consider public opinion is because of the particular state's international obligation (such an argument is question-begging); rather, the argument is that because, for states, elections are a medium for collective decision-making, considering public opinion at the international commitment's implementation stage would be tantamount to saying that a ‘state has a duty to do X, unless it doesn't want to’. No state would agree to be part of a multilateral or bilateral treaty containing such ‘duties’ which other state-parties may evade at their will.
It also seems quite difficult to establish a direct causal link between soldiers' deaths and the effects on public opinion. Similarly, while it is reasonable to assume that deaths of soldiers may have adverse psychological effects on other soldiers – even if they are trained to accept that military operations involve such risks – the extent to which soldiers may be affected is extremely difficult to assess. In contradistinction to public opinion and military morale, the extent to which casualties affect military strength seems to be both directly linked and more easily discernible. Thus, attributing military significance to public opinion and military morale does not sit easily with Article 57 of Additional Protocol I, which requires an anticipated ‘concrete and direct military advantage’. Moreover, even if Article 57 could be construed as permitting considerations such as military morale, IHL generally aims to set a workable framework capable of guiding military commanders, while Position B cuts against the need to make the proportionality formula as clear as realistically possible.
In view of the above, Position B is, arguably, too broad, since it allows any instrumental effect to be considered when determining a military advantage. However, Position B is also too narrow, since it assigns only instrumental value to compatriot soldiers' lives. Fundamentally, considering compatriot soldiers' lives as having only instrumental value is undesirable, whereas attributing intrinsic value to soldiers respects their human dignity, and is conceptually compatible with other IHL provisions such as the prohibition on causing superfluous injury. As noted above, soldiers do not cease to be human beings when they are recruited. Moreover, under Position B, the intrinsic value of compatriot soldiers will never in itself justify placing enemy civilians at risk; hence, Position B opens itself up to the objections related to Position A's rejection of the intrinsic value of soldiers.
It is thus submitted that the better view follows Position Ca – a hybrid model which attributes both intrinsic and circumscribed instrumental value to compatriot soldiers' lives, and which thus best satisfies the ‘concrete and direct’ military advantage criterion. Specifically, Position Ca accepts that soldiers' deaths reduce military strength, since militaries are based, in part, on manpower; thus, aversion to the deaths of compatriot soldiers may be legitimately considered on instrumental grounds.
Beside its normative attractiveness, which emanates from an appreciation of the significance of respecting human dignity and personhood, the intrinsic value component of Position Ca lends itself to a linear (and hence determinate) formulation, which can be consistently and transparently applied by decision-makers. Hence, compared with Position B, Position Ca reduces indeterminacy, thereby advancing IHL's workability aim. It requires setting a ratio between the relative values of the lives of compatriot soldiers and those of enemy civilians, or at least setting its contours; it thus enables decision-makers to apply the proportionality test in a consistent and reviewable manner.
It is important to distinguish between the nature of the justification for attributing weight to compatriot soldiers' lives and their actual weight. The fact that Position C and variations thereof, including Position Ca, justify attributing weight to compatriot soldiers' lives based on their intrinsic worth is conceptually separate from their actual weight when balanced against enemy civilian lives; the latter are uncontroversially assumed to be at least intrinsically valuable. Hence, the designated ratio between lives of compatriot soldiers and lives of enemy civilians depends on the weight given to the intrinsic worth of compatriot soldiers' lives. One possibility, advocated by Hurka, is that this ratio is 1, namely that a compatriot soldier's life and an enemy civilian's life are equal in worth.Footnote 52
7. Conclusion
This article explored whether IHL imposes a duty on an attacker to expose its soldiers to life-threatening risks in order to minimise the risk of incidental damage to enemy civilians, and, to the extent that such a duty exists, aimed to determine the considerations that may be used to determine its scope of application.
It was asserted that a proportionality analysis provides the suitable framework for assessing the extent of the duty. The article presented five positions for addressing this question. These positions were arranged along two ‘axes’: the value axis, which assesses the value assigned to compatriot soldiers in relation to enemy civilians, and the justification axis, which examines the justificatory basis for assigning certain values to the lives of compatriot soldiers and enemy civilians: intrinsic, instrumental or a combination thereof.
It was contended that the extreme positions on the value axis (Positions A and D), respectively assigning an absolute value to enemy civilian lives or compatriot soldiers' lives, are untenable, and that the choice remains between different formulae on the justification axis (Positions B, C and Ca), which assign relative values to both enemy civilian and compatriot soldiers' lives. These formulations inevitably entail some indeterminacy.
Position Ca, the favoured model, combines intrinsic and circumscribed instrumental justifications concerning the value of compatriot soldiers' lives. The intrinsic value component lends itself to a linear formulation which may serve to reduce indeterminacy. As for the instrumental value component, indeterminacy is also reduced by permitting only justifications that are related to military strength. Hence, Position Ca avoids the indeterminate features of an expansive instrumental approach (Position B). At the same time, it maintains a realistic view of IHL, which recognises the instrumental value of soldiers, and acknowledges their human dignity and personhood.