Crimes Against Humanity: Historical Evolution and Contemporary Application PDF
Preview Crimes Against Humanity: Historical Evolution and Contemporary Application
This page intentionally left blank crimes against humanity This book traces the evolution of crimes against humanity (CAH) in terms of bothhistoriclegalanalysisandsubject-mattercontent,fromtheirfirstexpression in international criminal law in the aftermath of the atrocities committed by theOttomanEmpireagainsttheArmenianpopulationattheendofWorldWar I, to the first prosecution of CAH before the International Military Tribunal at Nuremberg,tothepresentday. The first part of the book addresses general issues pertaining to the charac- terizationofCAHinnormative,jurisprudential,anddoctrinalterms,including the state policy element and the need to extend CAH to nonstate actors acting pursuanttoanorganizationalpolicy.Next,someofthephenomenologicalchar- acteristicsofgroupviolencethatmanifestthemselvesduringthecommissionof CAHareconsidered.ThehistoricalphasesinthedevelopmentofCAHarethen described, from the post-World War II proceedings to the international ad hoc and mixed model tribunals and the International Criminal Court (ICC). This partofthebookincludesbothanormativeandjurisprudentialassessment,aswell asareviewofdoctrinalmaterialcommentingonalloftheabove.Itisfollowed by an analysis of the specific contents of CAH, in which issues of comparative criminallawareadvancedinthecontextofthe“generalpart,”includingtheories ofindividualcriminalresponsibilityanddefensesandexonerations. Of all the books on CAH, this book is the first to include a world survey ofnationallegislationandnationalprosecutionsofCAHandCAH-typecrimes thathaveoccurredfromthepost-WorldWarIIerauntilthepresent.Thebook constitutes a unique and comprehensive treatment of all legal and historical aspectspertainingtoCAHinasingledefinitivevolume. M. Cherif Bassiouni is a distinguished Research Professor of Law Emeritus at DePaul University College of Law and President Emeritus of the law school’s International Human Rights Law Institute. He is also President of the Interna- tional Institute of Higher Studies in Criminal Sciences in Syracuse, Italy, and HonoraryPresidentoftheInternationalAssociationofPenalLawinParis,France. HehasservedtheUnitedNationsinanumberofcapacitiesandwasnominated fortheNobelPeacePrizeforhisworkinthefieldofinternationalcriminaljustice and for his contribution to the creation of the ICC. Bassiouni is the author or editorof79booksandtheauthorof241articlesonawiderangeoflegalissues. Crimes Against Humanity historical evolution and contemporary application M. Cherif Bassiouni DePaulUniversity,CollegeofLaw cambridgeuniversitypress Cambridge,NewYork,Melbourne,Madrid,CapeTown, Singapore,Sa˜oPaulo,Delhi,Tokyo,MexicoCity CambridgeUniversityPress 32AvenueoftheAmericas,NewYork,ny10013-2473,usa www.cambridge.org Informationonthistitle:www.cambridge.org/9781107001152 (cid:2)c M.CherifBassiouni2011 Thispublicationisincopyright.Subjecttostatutoryexception andtotheprovisionsofrelevantcollectivelicensingagreements, noreproductionofanypartmaytakeplacewithoutthewritten permissionofCambridgeUniversityPress. Firstpublished2011 PrintedintheUnitedStatesofAmerica AcatalogrecordforthispublicationisavailablefromtheBritishLibrary. LibraryofCongressCataloginginPublicationdata Bassiouni,M.Cherif,1937– Crimesagainsthumanity:historicalevolutionandcontemporaryapplication/M.CherifBassiouni. p. cm. Includesbibliographicalreferencesandindex. isbn978-1-107-00115-2 1.Crimesagainsthumanity–History. 2.Warcrimes–History. 3.Internationalcriminal courts–Rulesandpractice–History. I.Title. k5301.b369 2011 345(cid:3).0235–dc22 2010041494 isbn978-1-107-00115-2Hardback CambridgeUniversityPresshasnoresponsibilityforthepersistenceor accuracyofurlsforexternalorthird-partyInternetWebsitesreferredtoin thispublicationanddoesnotguaranteethatanycontentonsuchWebsitesis, orwillremain,accurateorappropriate. Contents Preface pagexi Acknowledgments xv TableofAbbreviations xvii Introduction xxvii 1. LegalNature . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1 Introduction 1 §1. TheCharacteristicsofInternationalCrimesandTheirApplicabilityto CAH 8 §2. TheConceptandRelevanceofStatePolicy 14 §3. TheLegalElementsthatCharacterizeCAHasanInternationalCrime 19 §4. TheProtectedCivilianPopulationunderCAH 28 §4.1. TheDistinguishingElementofanAttackagainstaCivilianPopulation 30 §5. CAH’sHistoricalConnectiontoWar 33 §6. ImputabilityofIndividualConducttotheResponsibilityoftheState 34 §7. ThePolicyRequirementforNonstateActors 40 §8. SomePhilosophicalConsiderations 42 §9. PolicyConsiderations 45 2. PhenomenologicalConsiderations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 51 Introduction 51 §1. EtiologyandPhenomenologicalCharacteristics 53 §1.1. TheProtagonists 58 §1.2. Neutralization 60 §1.3. Apathy,Indifference,andPassivity 61 §1.4. Dehumanization,Subhumanization,andObjectification 63 §1.5. The“BanalityofEvil” 64 §1.6. EuphemismsandRationalizations 66 §1.7. Motivation 69 §2. LegalControls 71 §2.1. ConsiderationsonLegalPhilosophy 71 §2.2. InternationalandDomesticCriminalLawConsiderations 74 §2.2.1. ICLConsiderations 77 §2.2.2. InternationalHumanRightsLaw 80 §3. TheEnforcementGap 81 Conclusion 83 v vi Contents 3. EmergenceinPositiveInternationalLaw. . . . . . . . . . . . . . . . . . . . . . . . . . . .86 §1. EarlyHistory 86 §2. TheConceptof“LawsofHumanity”intheHistoryoftheLawofArmed Conflicts 96 §3. TheLawoftheLondonCharter:CrimesAgainstHumanityAcquiresIts OwnIdentity 111 §4. TheLegislativeHistoryoftheLondonCharter’sArticle6(c) 117 §5. LawandPolicyConsiderationsintheMakingoftheCharter 127 §6. Post-WorldWarIIFormulationsArisingoutoftheLondonCharter:The IMTFEandControlCouncilLawNo.10 132 §7. TheWar-ConnectingLinkintheLondonCharter 136 §8. TheLondonCharterasDeclarativeofCustomaryInternationalLawand SubsequentAffirmationsConfirmingCAHasanInternationalCrime 146 §9. Post-WorldWarIIProsecutionsPursuanttotheLondonCharterandthe TokyoStatute 150 §10. TheAlliedProsecutionsoftheCCL10ProceedingsintheEuropeanand FarEasternTheaters 156 Conclusion 163 4. Post-CharterDevelopments . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 167 Introduction 167 parta:substantivedevelopments 171 §1. TheILC’sCodificationEfforts:1947–1996 171 §2. TheSecurityCouncil’sCodifications:TheStatutesoftheICTYandthe ICTR 183 §3. TheProsecutionsforCAHattheICTYandtheICTR 189 §4. TheRomeStatuteoftheICC 199 §5. TheStatusCAHProsecutionsbeforetheICC 204 §6. OtherNormativeProscriptionsApplicabletotheSameProtected HumanInterests 208 §6.1 1948GenocideConvention 209 §6.2. The1949GenevaConventionsand1977Protocols 210 §6.3. 1973ApartheidConvention 210 §6.4. 1984ConventionAgainstTortureandOtherCruel,Inhumanor DegradingTreatmentorPunishment 212 §6.5. InternationalConventionfortheProtectionofAllPersonsfrom EnforcedDisappearance 213 §6.6. TheInternationalHumanRightsLawRegime 213 §7. TheMixedModelTribunals 218 §7.1. Kosovo 222 §7.2. BosniaandHerzegovina 228 §7.3. SierraLeone 233 §7.4. Timor-Leste 246 §7.5. Cambodia 254 §8. CrimesAgainstHumanityasPartofJusCogens 263 partb:proceduraldevelopment 269 §1. AutDedereautJudicare 269 §2. ThePost-CharterDutytoProsecuteorExtradite 273 §3. NonapplicabilityofStatutesofLimitation 276 §4. UniversalJurisdiction 279 Conclusion 294 Contents vii 5. ThePrinciplesofLegalityintheLondonCharterand Post-CharterDevelopments . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 296 Introduction 296 §1. PrinciplesofLegalityinInternationalCriminalLaw 301 §2. TheLondonCharter’sApproach 307 §2.1. PragmatismPrevails 317 §2.2. TheGermanLegalSystem 320 §3. TheProsecution’sTreatmentoftheQuestionundertheLondonCharter, theIMTFE,andControlCouncilNo.10 322 §4. AssessmentofLegalityIssuesinPost-WorldWarIIProsecutions 334 §5. ThePrinciplesofLegalityinPost-CharterDevelopments 342 §5.1. TheICTYandtheICTR 342 §5.2. TheICC 349 §5.3. PrinciplesofLegalityinOtherPost-CharterLegalDevelopments 353 Conclusion 358 6. SpecificContents . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 359 §1. Introduction 359 §2. IdentifyingtheSpecificCrimesContainedintheFourPrimary FormulationsofCrimesAgainstHumanity:Article6(c)oftheLondon Charter,Article5oftheICTYStatute,Article3oftheICTRStatute,and Article7oftheICCStatute 361 §2.1. MurderandExtermination 365 §2.2. Enslavement 374 §2.3. Deportation 381 §2.4. Persecution 396 §2.5. OtherInhumaneActs 405 §2.6. Torture 411 §2.7. UnlawfulHumanExperimentation 419 §2.8. RapeandSexualViolence 425 §2.9. Imprisonment 443 §3. TheAdditionalCrimesofArticle7oftheRomeStatute 445 §3.1. Apartheid 445 §3.2. EnforcedDisappearanceofPersons 448 §4. NormativeOverlap 452 §5. “GeneralPrinciplesofLaw”:Meaning,Method,andFunction 459 §5.1. TheWorld’sMajorLegalSystems 466 §5.2. IdentifyingLegalPrinciples 467 §5.3. CorrelationBetweentheSourcesofLawtoBeConsultedandthe PrincipleSoughttoBeIdentified 467 Conclusion 470 7. TheTheoriesandElementsofCriminalResponsibility . . . . . . . . . . . . . . . . . 472 Introduction 472 §1. InternationalCriminalResponsibilityofIndividuals 473 §1.1. DoctrinalDifferencesinInternationalLawandNationalCriminal LawRelatedtoIndividual,Group,andStateResponsibility:General Considerations 478 §1.2. ResponsibilityfortheConductofAnotherandGroupResponsibility intheLawoftheIMT,IMTFE,andCCL10:TheFoundationsof ContemporaryNotions 482 viii Contents §2. CriminalResponsibilityandthe“GeneralPart”:FromtheIMTtotheICC 494 §2.1. NationalLegalNormsandStandardsandTheirRelevanceto InternationalCriminalLaw 500 §2.2. ProblemsinIdentifyingtheContentsofthe“GeneralPart”of InternationalCriminalLaw:FromtheLondonChartertotheRome Statute 505 §2.3. TheJurisprudentialApplicationofthe“GeneralPart”:FromtheIMT totheICC 507 §3. KnowledgeoftheLawandIntent 512 §4. TheJurisprudenceoftheICTYandICTRonIndividualCriminal Responsibility 520 §4.1. Planning,Instigating,Ordering,andCommitting 521 §4.2. AidingandAbetting 524 §5. CommandResponsibility:PolicyConsiderations 526 §5.1. TheEvolutionofCommandResponsibilityintheLawofArmed ConflictsasReflectedintheLawandJurisprudenceoftheICTY,the ICTR,andtheICC 530 §5.2. CivilianCommandResponsibilityintheICTY,theICTR,andtheICC 557 §6. JointCriminalEnterprise:TheICTY’sNewDoctrineandItsExtended Influence 560 §6.1. Organisationsherrschaft 575 Conclusion 577 8. DefensesandExonerations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 581 Introduction 581 §1. ObediencetoSuperiorOrders 583 §1.1. Rationale 583 §1.2. PolicyConsiderations 586 §1.3. ScholarlyViews 590 §1.4. TheJudgmentsofTribunals 594 §1.5. Post-CharterDevelopments 605 §1.6. Conclusion 612 §2. Coercion(CompulsionandDuress)andNecessity 613 §3. Reprisals 623 §3.1. Introduction 623 §3.2. HistoricalEvolution 624 §4. TuQuoque 634 §5. NonapplicabilityofReprisalsandTuQuoquetoCrimesAgainst Humanity 637 §6. ImmunityofHeadsofState 637 Conclusion 644 9. ASurveyofNationalLegislationandProsecutionsforCrimes AgainstHumanity. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .649 Introduction 649 §1. Pre-WorldWarINationalProsecutionsforInternationalCrimes 651 §2. Post-WorldWarIProsecutions 655 §3. NationalLegislationandNationalProsecutionsforCAHafter WorldWarII 660 §3.1. NationalLegislationCriminalizingCAH 660
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