RULE OF LAW HANDBOOK A Practitioner's Guide for Judge Advocates THE JUDGE ADVOCATE GENERAL’S LEGAL CENTER & SCHOOL, U.S. ARMY CENTER FOR LAW AND MILITARY OPERATIONS 2015 RULE OF LAW HANDBOOK A PRACTITIONER’S GUIDE FOR JUDGE ADVOCATES 2015 The Judge Advocate General’s Legal Center and School, US Army Center for Law and Military Operations Charlottesville, Virginia 22903 The 2015 Rule of Law Handbook is dedicated to all those who promote the rule of law especially the members of the US military as well as our interagency and coalition partners. RULE OF LAW HANDBOOK A PRACTITIONER’S GUIDE FOR JUDGE ADVOCATES 2015 EDITORS Lt Col Helen Bowman Lt Col Tim Child ASSOCIATE EDITOR CPT Bo Bohlke CONTRIBUTING AUTHORS Merrie Archer Ann Karl CDR Michelle Bas Rachel Kleinfeld MAJ Ryan Beery MAJ Ryan Leary COL Jane Ellen Bagwell COL Terry Lindon Lisa Bhansali Angelika Maehr Maj Brian Banas Daniel Mahanty Gary Barr COL Tania Martin Fred Borch LTC George McHugh Capt James Burkart Leanne McKay CPT Adam Bushey Patricia Morris Melanne Civic MAJ Thomas Nachbar Drew Christie LTC Joseph Orenstein CPT Courtney Cohen Virginia Prugh Colonel James Dapper Keith Puls LTC Joseph Fairfield Patricia Radigan Denver Fleming Arthur Roderick Sandra Franzblau LTC Matthew Ruzicka COL Martha Foss CDR Scott Suozzi Maj Richard Halward Kirk Samson LTC James Harwood COL Bill Smoot MAJ Chris Hartley Jeffrey Stefani George Huber LTC James Tripp COL Walter Hudson Brian Tomney Richard Jackson LTC Robert Vasquez Debra Perlin Sheila Weirth Randi Pierre-Canel Cover design by Mr. Paul Jowett The contents of this publication are not to be construed as official positions, policies, or decisions of the United States Government or any department or agency thereof. TABLE OF CONTENTS Preface …….…… .............................................................................................................................................. v Chapter 1: The Rule of Law: Introduction and Overview ............................................................................... 1 I. Quantifying the Rule of Law ...................................................................................................... 2 A. Reason for the Rule of Law................................................................................................ 2 B. Rule of Law Effects ............................................................................................................ 2 C. Formalist v. Substantive Conceptions of the Rule of Law ................................................. 9 II. Scope of Rule of Law Operations ........................................................................................... 10 A. Rule of Law Development in the Context of Military Intervention ................................ 11 B. Rule of Law by Way of Peacetime Security Assistance .................................................. 14 III. Concluding Remarks ............................................................................................................. 16 Chapter 2: The International Legal Framework for Rule of Law Operations ................................................. 17 I. Rule of Law Mandates ............................................................................................................. 17 A. United Nation Mandates .................................................................................................. 17 B. Mandates Pursuant to Bilateral and Multilateral Agreements .......................................... 20 C. Mandates Pursuant to US National Legislation ................................................................ 20 II. The Rule of Law Legal Framework ........................................................................................ 20 A. The Law of Armed Conflict ............................................................................................. 20 B. Occupation Law ............................................................................................................... 22 C. Human Rights Law ........................................................................................................... 24 Chapter 3: The Institutional and Social Context for the Rule of Law............................................................. 27 I. Legal Institutions ...................................................................................................................... 27 A. Legislatures ...................................................................................................................... 27 B. Courts ............................................................................................................................... 28 C. Police ................................................................................................................................ 32 D. Detention and Corrections ............................................................................................... 34 E. Military Justice ................................................................................................................. 35 II. Civil Law Systems .................................................................................................................. 36 A. Key Characteristics of the Civil Law Tradition ............................................................... 37 B. Specific Aspects of Civil Law .......................................................................................... 37 III. Religious Legal Systems ....................................................................................................... 41 A. Islamic Law and Shari'a .................................................................................................. 41 B. Hindu Law ........................................................................................................................ 45 IV. Other Systems........................................................................................................................ 46 A. Customary, Traditional, or Informal Justice .................................................................... 46 B. Combined Systems ........................................................................................................... 47 C. Truth and Reconciliation Commissions ........................................................................... 48 D. Property Claims Commissions ......................................................................................... 49 V. Gender .................................................................................................................................... 50 VI. Civil Society .......................................................................................................................... 52 A. Potential Areas of Judge Advocate Engagement with Civil Society ............................... 53 B. Common Challenges and Lessons Learned Regarding CivSOs....................................... 54 VIII. Non-State Security Providers.............................................................................................. 54 A. Private Security Companies ............................................................................................. 55 B. Assessing the Role of Non-State Security Providers ....................................................... 55 C. Alignment of Non-state Security Providers ..................................................................... 56 i Chapter 4: Key Players in Rule of Law .......................................................................................................... 57 I. US Interagency Approach to Reconstruction and Stabilization ............................................... 57 II. US Government Agencies Involved in Rule of Law .............................................................. 59 A. Department of State .......................................................................................................... 59 B. US Agency for International Development ...................................................................... 63 C. Department of Justice ....................................................................................................... 64 D. Department of Defense .................................................................................................... 65 E. Army ................................................................................................................................. 68 F. United States Institute of Peace ........................................................................................ 70 III. International Actors ............................................................................................................... 71 A. United Nations ................................................................................................................. 71 B. International Monetary Fund ............................................................................................ 72 C. World Bank ...................................................................................................................... 73 D. The North Atlantic Treaty Organization .......................................................................... 73 E. Non-Governmental Organizations .................................................................................... 74 F. Coalition Partners ............................................................................................................. 75 Chapter 5: Planning for Rule of Law Operations............................................................................................ 77 I. Strategic Planning Framework ................................................................................................. 77 A. Non-Permissive Rule of Law - Using the Essential Tasks Matrix within the Reconstruction & Stabilization Framework ........................................................................... 77 B. Permissive RoL Operations within the SSA Framework ................................................. 79 II. Operational Planning .............................................................................................................. 83 A. FM 3-07 and Stability Assessment Frameworks .............................................................. 83 B. Permissive Environment ................................................................................................... 85 III. Tactical Rule of Law Planning .............................................................................................. 87 A. The Initial Assessment - Establishing the Baseline.......................................................... 87 B. Maintaining the Rule of Law ............................................................................................ 88 IV. Metrics ................................................................................................................................... 90 A. Correct Metrics ................................................................................................................ 91 B. Developing Metrics .......................................................................................................... 91 C. Gathering the Data ............................................................................................................ 92 D. The Importance of the Long-Term ................................................................................... 93 V. Deployment Planning ............................................................................................................. 94 A. Pre-deployment Planning (D minus 180 to 30) ................................................................ 94 B. Initial Deployment Planning (D minus 30 to plus 90) ...................................................... 97 C. Sustained Deployment Planning (D plus 91) ................................................................. 100 Chapter 6: Fiscal Considerations for Rule of Law Activities ....................................................................... 103 I. Fiscal Law Analysis for Rule of Law Activities .................................................................... 103 A. Limitations on DoD Participation in Foreign Assistance ............................................... 104 B. General Statutory Prohibitions on Providing Assistance to Foreign Governments ........................................................................................................................ 105 C. Fiscal Controls on the Use of Appropriated Funds for RoL Activities .......................... 105 D. General Prohibition on Retaining Miscellaneous Receipts and Augmenting Appropriations ..................................................................................................................... 106 II. DoD Appropriations for Rule of Law Activities .................................................................. 108 A. Non-Permissive RoL Authorities ................................................................................... 108 B. RoL Authorities Available to DoD in Permissive Environments .................................. 112 III. Department of State Appropriations for Rule of Law Activities ......................................... 113 ii