SWNCC 21 Series

Note by the Secretariat of the State-War-Navy Coordinating Committee

SWNCC 21/3

Legal Implications of Unconditional Surrender

References: a. SWNCC 21.4
b. SWNCC 21/25
1.
The enclosure, a report by the SWNCC ad hoc Committee on Legal Implications of Unconditional Surrender, is circulated for consideration by the Committee as a matter of urgency.
2.
A copy of this paper has been forwarded to the Joint Chiefs of Staff for comment from a military point of view, as a matter of urgency. The comments of the Joint Chiefs of Staff will be circulated for consideration by the Committee upon receipt thereof from the Secretary, Joint Chiefs of Staff.
Charles W. McCarthy
Alvin F. Richardson
Raymond E. Cox

Secretariat
[Annex]

Report of the SWNCC “ad hoc” Committee on the Legal Implications of Unconditional Surrender

The Problem

1. To consider the legal aspects of the draft documents implementing the unconditional surrender of Japan and to make recommendations to the State-War-Navy Coordinating Committee (SWNCC).

[Page 593]

Facts Bearing on the Problem

2. On 5 June 1945 SWNCC referred to the ad hoc committee the documents contained in SWNCC 21, SWNCC 21/16 and SWNCC 21/2 which concern the unconditional surrender of Japan and include proclamations for issuance in the absence of an unconditional surrender. This report does not consider the proclamations for issuance in the absence of an unconditional surrender (SWNCC 21/1). A separate report will consider them.

3. The Enclosure to SWNCC 21/2 is a memorandum from the Joint Chiefs of Staff (JCS) recommending certain changes in the documents appended to the Enclosure to SWNCC 21. The JCS further recommended that SWNCC consider whether any further changes should be made to conform to current discussions as to Germany and to free the designated occupying commander from the restrictions in various international conventions.

4. The ad hoc committee has given full consideration to the Instrument of German Surrender7 (CCS Memo for Info No. 272) and the Declaration regarding the defeat of Germany and the assumption of supreme authority with respect to Germany by the Four Powers8 (SWNCC Memo for Info No. 8) and where appropriate the documents in SWNCC 21, as amended by SWNCC 21/1 and SWNCC 21/2, have been modified to conform to the legal principles and language employed with reference to Germany.

5. The Proclamation by the Emperor of Japan (Appendix “A”) has been modified to delete all reference to a surrender by the Emperor himself. This conforms with the Potsdam Ultimatum under which the surrender is to be on the military level. The royal “we” has been substituted for the “I” in order to conform with Japanese custom in drafting imperial rescripts. In the translation of the Proclamation it may be necessary to further accord to Japanese formal language but the substance of the Proclamation should remain the same.

6. In addition to using the language of the German surrender, the Document of Unconditional Surrender (Appendix “B”) has been modified by deleting all reference to surrender by the Emperor for the reason referred to in paragraph 5 above.

7. The first ten lines of Proclamation No. 1 (Appendix “C”) have been completely rewritten in order to conform so far as possible to the language used in the assumption of power with respect to Germany (SWNCC Memo for Info No. 8) upon which the rights and powers of the Control Council for Germany are based. The assumption [Page 594] of power in Germany by the Four Governments was also based upon the non-existence of a German Government. This is not true as to Japan. The language in the proposed new second unnumbered paragraph has been substituted in order to establish a basis for the legal rights of the victorious powers under existing circumstances. It is the opinion of the ad hoc committee that the legal rights of the victorious powers on the occupation of Japan, after the appended documents are executed, will be identical with those of the Control Council for Germany.

8. It is not known by the ad hoc committee what authority or which Governments will actually accept the surrender. For that reason appropriate blanks have been left in the draft proclamations.

9. Subparagraph VI (c) and (e) have been deleted from General Order No. 1. It is considered that they might furnish [a?] basis for a Japanese contention that they are used in a restrictive and exclusive sense. In addition, they serve to forewarn the Japanese without actually ordering them to do anything.

Conclusions

10. The documents, as modified (Appendices “A”—“E”), are considered to be legally sufficient to accomplish the unconditional surrender of Japan and to give to the designated occupying commander sufficient powers to facilitate the achievement of the objectives of the occupation, without limitation by international conferences.

Recommendations

11. It is recommended that the appended documents be approved, as amended, and forwarded to the appropriate authorities for proper execution.

Appendix “A”

Proclamation by the Emperor of Japan

I We, Emperor of Japan, hereby announce that I am surrendering the Japanese Imperial High Command and the Japanese armed forces have surrendered unconditionally to the United Nations at war with Japan (designated commander).

I We command all Japanese armed forces and all forces under their control wherever situated and the Japanese people to cease hostilities forthwith and to comply with all requirements hereafter imposed by the Commander in Chief, United Nations Armed Forces (designated commander).

I We command all civil and military officials to obey and enforce all [Page 595] proclamations, orders and directives issued (by us or) by the Commander-in-Chief, United Nations Armed Forces (designated commander), and I we direct them to remain at their posts and to continue to perform their non-combatant duties until specifically relieved (by us or) by him.

I am relinquishing all my powers and authority this day to the Commander in Chief, United Nations Armed Forces.

(Date)
_______________________ (seal)
_______________________
Emperor of Japan

Appendix “B”

Unconditional Surrender of Japan

1. The Emperor of Japan and We, the undersigned, acting by authority of the Japanese Imperial High Command, recognize and acknowledge the total defeat the Japanese armed forces and, hereby surrender unconditionally to the Commander in Chief of the United Nations Armed Forces (Designated commander) all forces on land, sea, and in the air who are at this date under Japanese control.

2. The Emperor of Japan and t The Japanese Imperial High Command undertake to cause will at once issue orders to all Japanese armed military, naval and air authorities and to all forces wherever situated and the Japanese people under Japanese control to cease hostilities operations forthwith and to comply with all requirements hereafter imposed by the Commander in Chief of the United Nations Armed Forces remain in the positions occupied.

3. The Japanese Imperial High Command will at once issue to the appropriate commanders and insure the carrying out of any further orders issued by (designated commander).

4. In the event of the Japanese Imperial High Command or any of the forces under their control failing to act in accordance with this Act of Surrender, (designated commander) will take such punitive or other action as he deems appropriate.

Signed, scaled, and delivered by the Emperor of Japan and the
Japanese Imperial High Command at ____________
on the _________________ day of __________, 194 ___
at ____________________ hours.
(Seal) ________________________________
(Name) (Title)
The Emperor of Japan.
(Seal) ________________________________
(Name) (Title)
For the Japanese Imperial High Command. [Page 596] Signed at ________________________ at ___________________ on the
________________ day of _______________, 1945.
On behalf of the Japanese Imperial High Command:
_________________
In the Presence of
On behalf of (designated commander)
____________________

Appendix “C”

Proclamation No. 1

To the People of Japan:

The Emperor of Japan and the Japanese Imperial High Command have acknowledged the total defeat of all Japanese armed forces on land, at sea and in the air, and have surrendered unconditionally to the Commander in Chief of the United Nations Armed Forces.

Now therefore, I, the undersigned Commander in Chief of the United Nations Armed Forces, hereby proclaim as follows:

The Emperor of Japan has announced the unconditional surrender of the Japanese Imperial High Command and of all Japanese armed forces, and Japan, which bears responsibility for the war, is no longer capable of resisting the will of the victorious powers. The unconditional surrender of Japan has thereby been effected, and Japan has become subject to such requirements as may now or hereafter be imposed upon her.

Although in these circumstances the victorious powers have both the legal right and power to take whatever steps regarding Japan they may deem appropriate, including the termination of Japan’s existence as an independent State, it is not their intention that the Japanese people shall be enslaved or that Japan shall be destroyed as a nation. But it is their purpose to assume such powers and impose such requirements upon Japan and the Japanese people as may be necessary for the accomplishment of the declared aims and purposes of the victorious powers.

Now therefore, I (we), (designated commander), acting by authority of ______________________________ and in the interests of the United Nations, make the following declaration:

The Governments of __________________________________________________________________________ hereby assume supreme authority with respect to Japan, including all the powers possessed by the Emperor of Japan, Japanese Government, the Japanese Imperial High Command, and any regional, prefectural, municipal or local government or authority. The assumption, [Page 597] for the purposes stated above, of the said authority and powers does not effect the annexation of Japan (, or the Institution of the Emperor).

The Governments of ________________________________________________________________________________ will hereafter determine the boundaries of Japan or any part thereof and the status of Japan or of any area at present part, or claimed to be part, of Japanese territory.

In virtue of the supreme authority and power thus assumed by the ___________________________________ Governments, I (we) (designated commander), hereby proclaim as follows:

2 1. I (We) hereby direct all Japanese civil and military officials, until further notice, to remain at their posts and to perform under my (our) authority their normal non-combatant official functions, and I (we) direct them to carry out the subsequent orders to be issued by me (us) or under my (our) authority.

3 2. All Japanese officials, all other Japanese and all other persons resident in Japan shall comply with all Proclamations, Orders, and other instructions issued or to be issued by my (our) authority.

4 3. All Japanese civil police shall continue their normal functions and will be held responsible by me (us) for the maintenance of law and order. They shall not, however, interfere in any way with the personnel of the occupying forces. All Japanese employees of public utilities and services shall remain at their posts and continue to perform their regular duties unless otherwise directed by me (us).

5 4. The Japanese people are directed to carry on their usual non-combatant occupations and peaceful pursuits, subject to such control as may be necessary.

6 5. The Japanese authorities and people are directed to abstain from all acts detrimental to the interests of the United Nations, to the maintenance of public order and orderly administration and to the security and welfare of the forces and agencies of the United Nations.

7 6. Any organization or individual failing to render full cooperation with the United Nations Military Authorities, or failing to comply fully with any Proclamations, Orders, or other instructions that may be issued as above provided, will be promptly and severely punished.

(Date) ________________ (Place)________________________(Hour)________________ Zone Time
Signed by:
______________________________
(Name) (Title)
(Commander in Chief, United Nations Armed Forces)
(Designated Commander or Commanders)
[Page 598]

Appendix “D”

General Order No. 1

Military and Naval

I.
The Japanese Imperial High Command shall retain all forces in their present positions, wherever they may be, pending instructions from the Commander in Chief of the United Nations Armed Forces. (designated commander). The Japanese Imperial High Command shall disarm completely all armed forces of Japan or under Japanese control, wherever they may be situated, and shall deliver intact and in good condition all weapons and equipment at such times and at such places as may be prescribed by the Commander in Chief of the United Nations Armed Forces. (designated commander). Pending further instructions, the Japanese police force will be exempt from these provisions. They shall remain at their posts and shall be held responsible for the preservation of law and order. The strength and arms of such police force will be prescribed.
II.
The Japanese Imperial High Command shall, within 48 hours of the time of receipt of this order, furnish the Commander in Chief of the United Nations Armed Forces (designated commander) complete information as follows:
(a)
Lists of all land, air and anti-aircraft units showing locations and strengths in officers and men.
(b)
Lists of all aircraft, military, naval and civil giving complete information as to the number, type, location and condition of such aircraft.
(c)
Lists of all Japanese and Japanese-controlled naval vessels, surface and submarine and auxiliary naval craft in or out of commission and under construction giving their position, condition and movement.
(d)
Lists of all Japanese and Japanese-controlled merchant ships of over 100 gross tons, in or out of commission and under construction, including merchant ships formerly belonging to any of the United Nations which are now in Japanese hands, giving their position, condition and movement.
(e)
Complete and detailed information, accompanied by maps, showing locations and layouts of all mines, minefields and other obstacles to movement by land, sea or air, and the safety lanes in connection therewith.
(f)
Locations and descriptions of all military installations and establishments, including airfields, seaplane bases, anti-aircraft defenses, ports and naval bases, storage depots, permanent and temporary land and coast fortifications, fortresses and other fortified areas, [Page 599] together with plans and drawings of all such fortifications, installations and establishments.
(g)
Locations of all camps and other places of detention of United Nations prisoners of war.
III.
The Japanese Imperial High Command shall direct at once that all Japanese aircraft, military, naval and civil remain on the ground, on the water or aboard ships and shall be responsible that these aircraft so remain until notified of the disposition to be made of them.
IV.
The Japanese Imperial High Command shall be responsible that:
(a)
There be no movement of Japanese naval vessels of any type except at the direction or with the express approval of the Commander in Chief of the United Nations Armed Forces. (designated commander).
(b)
All ammunition, war heads of torpedoes, bombs, depth charges, and other explosive material on board Japanese naval vessels at sea be rendered harmless and thrown overboard within 48 hours after the receipt of this order. In the case of naval vessels not at sea all such material will be discharged and placed in safe storage ashore within the same time limit.
(c)
All Japanese naval vessels which are in commission be prepared to put into specified ports or proceed to rendezvous according to schedules and in the manner prescribed by the Commander in Chief of the United Nations Armed Forces. (designated commander). All naval vessels under construction or undergoing repairs will be disposed of in accordance with instructions to be issued later.
(d)
All naval vessels formerly belonging to any of the United Nations which are in Japanese hands be returned safely and in good condition to ports specified by the United Nations.
(e)
All Japanese and Japanese-controlled merchant ships of over 100 gross tons, including merchant ships formerly belonging to any of the United Nations which are now in Japanese hands, be prepared to proceed on the dates and to the ports specified by the Commander in Chief of the United Nations Armed Forces. (designated commander).
(f)
No damage to or destruction of the vessels and ships described in this Section or to port facilities and material be permitted.
V.
The Japanese Imperial High Command shall be responsible that:
(a)
All Japanese mines, minefields and other obstacles to movement by land, sea and air, wherever located, be removed within fourteen (14) days from the receipt of this order.
(b)
All aids to navigation be reestablished at once.
(c)
All safety lanes be kept open and clearly marked pending accomplishment of (a) above.
VI.
The Japanese Imperial High Command shall:
(a) Hold intact and in good condition, and subject to further instructions from the Commander in Chief of the United Nations Armed Forces. (designated commander):
(1)
All arms, ammunition, explosives, military equipment, stores and supplies, and other implements of war of all kinds and all other war material (except as specifically prescribed in Section IV of this order).
(2)
All transportation and communication facilities and equipment, by land, water, or air.
(3)
All military installations and establishments, including airfields, seaplane bases, anti-aircraft defenses, ports and naval bases, storage depots, permanent and temporary land and coast fortifications, fortresses and other fortified areas, together with plans and drawings of all such fortifications, installations and establishments.
(4)
All factories, plants, shops, research institutions, laboratories, testing stations, technical data, patents, plans, drawings and inventions designed or intended to produce or to facilitate the production or use of all implements of war and other material and property used by or intended for use by any military or paramilitary organizations in connection with their operations.
(b) Furnish the Commander in Chief of the United Nations Armed Forces, (designated commander), within fourteen (14) days after the receipt of this order, complete lists of all the items specified in paragraphs (a) (1), (2) and (4) of this Section, indicating the numbers, type and location of each.
(c) Furnish at the demand of the Commander in Chief of the United Nations Armed Forces:
(1) the labor, services, and facilities required for the maintenance or operation of any of the categories mentioned in paragraph (a) of this section, and
(2) any information or records that may be required in connection therewith.
( d c ) Cease forthwith the manufacture, import or export of arms, ammunition and implements of war.
(c) Dismantle and destroy, subject to such priorities and in accordance with instructions prescribed by the Commander in Chief, United Nations Armed Forces, such installations and establishments described in paragraph (a)(3) of this Section as may be designated by him.
VII.
The Japanese Imperial High Command and appropriate Japanese officials shall: [Page 601]
(a)
Accept full responsibility for the safety and well-being of all United Nations prisoners of war, and maintain the essential administrative, supply and other services for all prisoners of war, including the provision of adequate food, shelter, clothing, and medical care, until otherwise directed by the Commander in Chief of the United Nations Armed Forces. (designated commander).
(b)
Deliver each camp or other place of detention of United Nations prisoners of war, together with its equipment, stores, records, arms and ammunition, to the command of the local United Nations Camp Leader, senior officer or designated representative of the prisoners of war.
(c)
Furnish, within fourteen (14) days of the receipt of this order, complete lists of all United Nations prisoners of war, indicating their present location.
VIII.
The Japanese Imperial High Command and the appropriate Japanese officials shall:
(a)
Aid and facilitate the occupation by United Nations forces of such places, areas, or regions or parts of the Japanese Empire as may be designated by the Commander in Chief of the United Nations forces. (designated commander).
(b)
Deliver all arms in the possession of the Japanese civilian population to designated Commanders of United Nations Armed Forces. (designated commanders).
IX.
The Japanese Imperial High Command and the appropriate Japanese officials are informed that, wherever in this order reference is made to all Japanese land, sea and air establishments, equipment and personnel, such reference shall include those which are Japanese or Japanese controlled, wherever they may be found.
X.
The Japanese Imperial High Command and all Japanese officials are warned that drastic penalties will be inflicted immediately in the event of:
(a)
Any delay or failure to comply with any provision of this order;
(b)
Any delay or failure to carry out completely such additional requirements as the Commander in Chief of the United Nations Armed Forces (designated commander) may prescribe;
(c)
Any action which, in the opinion of the Commander in Chief of the United Nations Armed Forces (designated commander), might be detrimental to the United Nations or any one of them.

Issued at __________________ hours, (______________ Zone Time), this ____________ day of _____________ 194 __.

__________________
Commander in Chief, United Nations Armed Forces.
(designated commander)
[Page 602]

Appendix “E”

General Order No.

I. The Japanese Imperial High Command and the appropriate Japanese officials shall:

(a)
In accordance with the means, priorities and schedules prescribed by the Supreme Allied (United States) Command (designated commander), evacuate all Japanese armed forces personnel and their civilian auxiliaries from:
  • (1) Occupied areas in China (including Manchuria, the Kwantung Leased Territory and Kwangchowan).
  • (2) Karafuto (southern part of Sakhalin).
  • (3) Korea (Chosen).
  • (4) Kurile Islands (Chishima).
  • (5) Hokkaido.
  • (6 5) Formosa (Taiwan) and Pescadores (Hoko or Boko)
  • (7 6) Hong Kong.
  • (8 7) French Indo-China.
  • (9 8) Thailand.
  • (10 9) Burma.
  • (11 10) British Malaya.
  • (12 11) Netherlands East Indies.
  • (13 12) Philippine Islands.
  • (14 13) Marianas, Marshalls, and Caroline Islands and all other land and water areas not mentioned above, south of the thirtieth degree of north latitude.
(b)
Prohibit and prevent, in all territories listed in this Article:
(1)
the forced evacuation of any non-Japanese inhabitant.
(2)
the harming of the inhabitants or the damaging of their property.
(3)
the removal of animals, stores of food, forage, fuel or other provisions or commodities.
(4)
pillaging, looting or unauthorized damage of any kind.
(c)
Demobilize, upon their arrival within the territorial limits of Japan proper, excluding those areas of Japan proper mentioned in I (a) above, all Japanese armed forces, within a time limit to be determined by the Commander in Chief of the United Nations Armed Forces (designated commander).
(d)
Abandon on the spot and intact, in evacuating the islands, territories and regions specified above, all port material and material for inland waterways, including tugs and lighters.

Issued at ____________________ hours, (________ Zone Time), this _________ day of ________, 194 __.

____________________
Commander in Chief, United Nations Armed Forces.
(designated commander)
  1. February 7, p. 521.
  2. See footnote 56, p. 543.
  3. Latter not printed.
  4. May 8, 1945, Department of State Executive Agreement Series No. 502, or 59 Stat. (pt. 2) 1860; for negotiations leading to the surrender of Germany, see vol. iii, pp. 717 ff.
  5. June 5, 1945, Department of State Bulletin, June 10, 1945, pp. 1051–1055.