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Genocide, War Crimes and Crimes Against Humanity A Topical Digest of the Case Law of the International Criminal Tribunal for the Former Yugoslavia Copyright © 2006 Human Rights Watch All rights reserved. Printed in the United States of America ISBN: 1-56432-339-0 Cover design by Rafael Jimenez Human Rights Watch 350 Fifth Avenue, 34th floor New York, NY 10118-3299 USA Tel: 1-(212) 290-4700, Fax: 1-(212) 736-1300 [email protected] 1630 Connecticut Avenue, N.W., Suite 500 Washington, DC 20009 USA Tel:1-(202) 612-4321, Fax:1-(202) 612-4333 [email protected] 2nd Floor, 2-12 Pentonville Road London N1 9HF, UK Tel: 44 20 7713 1995, Fax: 44 20 7713 1800 [email protected] Rue Van Campenhout 15, 1000 Brussels, Belgium Tel: 32 (2) 732-2009, Fax: 32 (2) 732-0471 [email protected] 9 rue Cornavin 1201 Geneva, Switzerland Tel: +41 22 738 04 81, Fax: +41 22 738 17 91 [email protected] Poststraße 4-5 10178 Berlin, Germany Tel. +49 30 259 306 10, Fax. +49 30 259 306 29 [email protected] Web Site Address: http://www.hrw.org HUMAN RIGHTS WATCH Human Rights Watch is dedicated to protecting the human rights of people around the world. We stand with victims and activists to prevent discrimination, to uphold political freedom, to protect people from inhumane conduct in wartime, and to bring offenders to justice. We investigate and expose human rights violations and hold abusers accountable. We challenge governments and those who hold power to end abusive practices and respect international human rights law. We enlist the public and the international community to support the cause of human rights for all. Human Rights Watch conducts regular, systematic investigations of human rights abuses in some seventy countries around the world. Our reputation for timely, reliable disclosures has made us an essential source of information for those concerned with human rights. We address the human rights practices of governments of all political stripes, of all geopolitical alignments, and of all ethnic and religious persuasions. Human Rights Watch defends freedom of thought and expression, due process and equal protection of the law, and a vigorous civil society; we document and denounce murders, disappearances, torture, arbitrary imprisonment, discrimination, and other abuses of internationally recognized human rights. Our goal is to hold governments accountable if they transgress the rights of their people. Human Rights Watch began in 1978 with the founding of its Europe and Central Asia division (then known as Helsinki Watch). Today, it also includes divisions covering Africa, the Americas, Asia, Europe and Central Asia and the Middle East and North Africa. In addition, it includes three thematic divisions on arms, children’s rights, and women’s rights. It maintains offices in Berlin, Brussels, Geneva, London, Los Angeles, Moscow, New York, San Francisco, Tashkent, Toronto, and Washington. Human Rights Watch is an independent, nongovernmental organization, supported by contributions from private individuals and foundations worldwide. It accepts no government funds, directly or indirectly. The staff includes Kenneth Roth, Executive Director; Michele Alexander, Development and Outreach Director; Carroll Bogert, Associate Director; Peggy Hicks, Global Advocacy Director; Iain Levine, Program Director; Dinah PoKempner, General Counsel; Aisling Reidy, Senior Legal Advisor; James Ross, Senior Legal Advisor; Joe Saunders, Deputy Program Director; and Wilder Tayler, Legal and Policy Director. The division directors of Human Rights Watch are Brad Adams, Asia; Joseph Amon, HIV/AIDS and Human Rights; Peter Bouckaert, Emergencies; Bruni Burres, International Film Festival; Holly Cartner, Europe and Central Asia; Richard Dicker, International Justice; Jamie Fellner, United States; Bill Frelick, Refugees; Arvind Ganesan, Business and Human Rights; Steve Goose, Arms; LaShawn R. Jefferson, Women’s Rights; Scott Long, Lesbian, Gay Bisexual and Transgender Rights; Joanne Mariner, Terrorism and Counterterrorism; Peter Takirambudde, Africa; José Miguel Vivanco, Americas; Lois Whitman, Children’s Rights; and Sarah Leah Whitson, Middle East and North Africa. The advocacy directors of Human Rights Watch are Steve Crawshaw, London; Loubna Freih, Geneva; Marianne Heuwagen, Berlin; Lotte Leicht, Brussels; and Tom Malinowski, Washington, DC. The members of the board of directors are Jane Olson, Chair; James F. Hoge, Jr., Vice-Chair; Sid Sheinberg, Vice-Chair; John J. Studzinski, Vice-Chair; Omar Amanat, Lloyd Axworthy, David Brown, Jorge Castañeda, Dorothy Cullman, Edith Everett, Jonathan Fanton (Chair 1998-2003), Michael Gellert, Richard Goldstone, Vartan Gregorian, Wendy Keys, Robert Kissane, Bruce Klatsky, Joanne Leedom- Ackerman, Josh Mailman, Susan Manilow, Kati Marton, Linda Mason, Barry Meyer, Joel Motley, Samuel K. Murumba, Catherine Powell, Sigrid Rausing, Victoria Riskin, Kevin Ryan, Domna Stanton, John Taylor, and Shibley Telhami. Emeritus Board members are Roland Algrant, Lisa Anderson, Robert L. Bernstein (Founding Chair 1978-1997), William D. Carmichael, Adrian W. DeWind, Alice H. Henkin, Stephen L. Kass, Marina Pinto Kaufman, Peter Osnos, Kathleen Peratis, Bruce Rabb (Secretary), Orville Schell, Gary Sick, and Malcolm B. Smith. ACKNOWLEDGEMENTS The author of this updated volume is Jennifer Trahan, Of Counsel to the International Justice Program of Human Rights Watch. Ms. Trahan is a consultant on international justice issues and teaches courses on international criminal tribunals and/or international law as an Adjunct Assistant Professor at Fordham Law School, Brooklyn Law School, and the New School for General Studies. The following interns assisted in the compilation, formatting, researching and/or proofreading of this book: Joni M. Canada, Brian Honermann, Jennifer Kettner and Amber Lewis (from Fordham Law School); Laureve Blackstone, Deepinder Mayell and Kelly Paul Peters (from Brooklyn Law School); Jill Dawson, Neza Kogovsek, and Leonie von Braun (Human Rights Watch interns or former interns); and Jay Meisel. Richard Dicker, Director of the International Justice Program, provided overall guidance. Bogdan Ivanisevic, researcher on Bosnia and Herzegovina, Croatia, and Serbia and Montengro provided review on behalf of the Europe and Central Asia Division. Wilder Tayler, Human Rights Watch’s legal and policy director, provided the legal and policy review. Joe Saunders, Deputy Program Director, conducted program review. Hannah Gaertner, associate in the International Justice Program, Veronica Matushaj, photo editor and associate director in the Development and Outreach division, Andrea Holley, manager of outreach and public education, and Fitroy Hepkins, mail manager in the Publications division, assisted in preparing this report for production. Human Rights Watch additionally gratefully acknowledges the assistance of Shearman & Sterling’s London Office and Schulte Roth & Zabel LLP (NY) in formatting the manuscript for publication. In particular, Human Rights Watch expresses appreciation to Schulte Roth & Zabel partner Brooks R. Burdette, and Shearman & Sterling associate (and former Human Rights Watch intern) Lisa Gambone. Human Rights Watch also acknowledges the assistance of Marieke Wierda, Senior Associate at the International Center for Transitional Justice, for providing valuable advice regarding the final chapter of the book. Human Rights Watch also would like to acknowledge the financial support of the John D. and Catherine T. MacArthur Foundation and the JEHT Foundation. - i - PREFACE This book provides a topically organized digest of the jurisprudence of the International Tribunal for the Prosecution of Persons Responsible for Serious Violations of International Humanitarian Law Committed in the Territory of the Former Yugoslavia since 1991 (ICTY or Tribunal). It is intended as an accessible reference tool to assist practitioners and researchers as they familiarize themselves with ICTY case law. The digest includes judgments publicly available through December 31, 2005. A full list of the judgments included is located on pages 15-18. The book is divided into ten chapters. It covers: war crimes (both grave breaches, and violations of the laws or customs of war), genocide, crimes against humanity, individual responsibility, command responsibility, affirmative defenses, jurisdiction, sentencing, as well as miscellaneous topics such as fair trial rights, guilty pleas and appellate review. Summarizing and excerpting from ICTY judgments, the chapters on war crimes, genocide and crimes against humanity, for example, detail the general requirements for each crime, as well as underlying offenses. The book does not cover motion practice; thus, for example, there is only limited material on evidentiary issues. Many of the judgments quoted contain citations to other judgments or documents. Human Rights Watch has not reproduced those here. Please refer to the official judgments for these additional citations. This updated edition of the book, unlike its predecessor volume published by Human Rights Watch in February 2004, contains “application” sections that quote ICTY judgments applying the facts to the law. Because such analysis within the actual ICTY judgments is generally quite lengthy and detailed, these application sections are necessarily truncated. For example, while the “campaign of sniping and shelling” of Sarajevo is discussed for approximately 186 pages in the Galic Trial Chamber judgment, it is represented by only a few paragraphs in this digest. For the full factual analysis, please refer to the official judgments. Additionally, the “application” sections do not purport to be comprehensive. Their inclusion or exclusion should not be read as commentary on the relative importance or unimportance of particular judgments or portions of judgments. This book generally uses terms as they are defined in the individual judgments quoted. It is thus possible that the same term may be defined differently in different places within the book. For example, Vojska Republike Srpske (VRS or Army of Republika Srpska) is defined in slightly different ways in different judgments. No attempt has been made to harmonize all such defined terms throughout the book. This digest, of course, is not intended to be and should not be used as a substitute for reading the actual decisions of the ICTY, which can be found on the ICTY website at http://www.un.org/icty/. The Statute of the International Criminal Tribunal for the former Yugoslavia, S.C. Res. 827, U.N. Doc. S/Res/827 (1993), as amended (ICTY Statute or Statute), can be found at http://www.un.org/icty/legaldoc/index.htm. - ii - SUMMARY TABLE OF CONTENTS ACKNOWLEDGEMENTS...............................................................................................................i PREFACE.............................................................................................................................................ii SUMMARY TABLE OF CONTENTS .........................................................................................iii FULL TABLE OF CONTENTS......................................................................................................v SUMMARY OF JUDGMENTS AGAINST THE ACCUSED..................................................1 LISTING OF CASES INCLUDED..............................................................................................15 I) WAR CRIMES: GRAVE BREACHES OF THE GENEVA CONVENTIONS OF 1949 (Article 2)..........................................................................................19 a) Statute......................................................................................................................................19 b) General elements for Article 2 crimes................................................................................19 c) Mens rea....................................................................................................................................37 d) Underlying offenses..............................................................................................................38 e) Miscellaneous.........................................................................................................................53 II) WAR CRIMES: VIOLATIONS OF THE LAWS OR CUSTOMS OF WAR (Article 3)...........................................................................................................................55 a) Statute......................................................................................................................................55 b) Generally.................................................................................................................................55 c) General elements for Article 3 crimes................................................................................62 d) Underlying offenses..............................................................................................................77 III) GENOCIDE (Article 4).........................................................................................................144 a) Statute....................................................................................................................................144 b) Generally...............................................................................................................................145 c) Specific intent/ dolus specialis: intent to destroy, in whole or in part, a national, ethnical, racial or religious group, as such......................................146 d) Application—genocide.......................................................................................................168 e) Underlying offenses............................................................................................................179 f) Punishable acts/ modes of responsibility for committing genocide...........................186 IV) CRIMES AGAINST HUMANITY (Article 5)....................................................................192 a) Statute....................................................................................................................................192 b) General elements.................................................................................................................193 c) Application—general elements for Article 5...................................................................230 d) Underlying offenses............................................................................................................233 V) INDIVIDUAL RESPONSIBILITY (Article 7(1))..............................................................352 a) Statute....................................................................................................................................352 b) Generally...............................................................................................................................352 - iii - c) Planning, instigating, ordering, committing....................................................................353 d) Aiding and abetting.............................................................................................................370 e) Joint criminal enterprise/ the common purpose doctrine............................................390 VI) COMMAND RESPONSIBILITY (Article 7(3)).................................................................446 a) Statute....................................................................................................................................446 b) Generally...............................................................................................................................446 c) Elements...............................................................................................................................450 d) Superior responsibility for genocide.................................................................................500 e) Application—superior responsibility................................................................................502 VII) AFFIRMATIVE DEFENSES..............................................................................................506 a) “Alibi” defense.....................................................................................................................506 b) Duress does not afford a complete defense....................................................................506 c) Tu quoque principle rejected: the argument that the adversary committed similar crimes is not a valid defense..........................................506 d) Involvement in defensive operation is not a defense . . . .. . . ……………………..506 e) Diminished mental responsibility is not a defense.........................................................508 VIII) JURISDICTION....................................................................................................................509 a) Generally...............................................................................................................................509 b) Alleged illegal arrest did not deprive the Tribunal of jurisdiction................................509 IX) CHARGING, CONVICTIONS AND SENTENCING.................................................513 a) Cumulative charging...........................................................................................................513 b) Cumulative and concurrent convictions..........................................................................513 c) Sentencing.............................................................................................................................527 X) MISCELLANEOUS.................................................................................................................698 a) General considerations regarding legal interpretation...................................................698 b) Fair trial rights......................................................................................................................700 c) General considerations regarding the evaluation of evidence......................................740 d) Precedent and appellate review generally.........................................................................751 e) Appellate Chamber review of sentencing judgments.....................................................778 f) Accepting guilty pleas.........................................................................................................788 - iv - FULL TABLE OF CONTENTS SUMMARY OF JUDGMENTS AGAINST THE ACCUSED.......................................................1 LISTING OF CASES INCLUDED..............................................................................................15 I) WAR CRIMES: GRAVE BREACHES OF THE GENEVA CONVENTIONS OF 1949 (Article 2)..............................................................................19 a) Statute.................................................................................................................................................19 b) General elements for Article 2 crimes...........................................................................................19 i) the existence of an armed conflict (element 1)................................................................20 (1) armed conflict required............................................................................................20 (2) armed conflict defined.............................................................................................20 (3) duration of application of international humanitarian law.................................21 ii) there must be a nexus between the conflict and crimes alleged (element 2).............................................................................................................................21 (1) not necessary that actual combat occurred in the area where the crimes occurred..................................................................................................21 (2) it is sufficient that the crimes were closely related to the hostilities.....................................................................................................................22 iii) the armed conflict must be international (element 3).....................................................22 (1) international armed conflict required.....................................................................22 (2) international armed conflict defined......................................................................22 (3) where state has not intervened in another state directly through its own troops, “overall control test” applies to determine whether sufficient control over military forces exists............................................................................................................................23 (4) overall control test satisfied where a state has a role in organizing, coordinating or planning the military actions of the military group, in addition to financing, training and equipping or providing operational support.........................................................24 (5) do not just look at the locality where the crimes occurred to determine if conflict is international......................................................................25 (6) failure to recognize state of war irrelevant............................................................26 (7) pleading international armed conflict....................................................................27 (a) application—pleading international armed conflict.................................27 (8) application—international armed conflict............................................................28 (a) conflict between Bosnia and Herzegovina, and Croatia.........................28 (b) conflict between Bosnia and Herzegovina, and the Federal Republic of Yugoslavia (Serbia and Montenegro)..................................................................................................29 iv) the person or property at issue must be “protected” (element 4).................................30 (1) protected persons defined.......................................................................................31 (2) ethnicity, allegiance, and substance of relations more determinative of protected status that nationality or legal characterization.........................................................................................................31 - v - (3) protected persons can be same nationality as captor..........................................33 (4) “in the hands of a party to the conflict or occupying power” defined........................................................................................................................34 (5) application—protected persons..............................................................................34 v) application—general requirements of Article 2...............................................................35 (1) armed conflict and nexus between the alleged offenses and armed conflict............................................................................................................35 (2) armed conflict was international.............................................................................36 (3) victims were protected persons..............................................................................36 c) Mens rea...............................................................................................................................................37 i) generally..................................................................................................................................37 ii) knowledge of existence of international armed conflict.................................................37 iii) distinguish intent from motive...........................................................................................37 d) Underlying offenses........................................................................................................................ 38 i) willful killing (Article 2(a))...................................................................................................38 (1) defined......................................................................................................................38 (2) whether same as murder under Articles 3 and 5................................................39 (3) no dead body required...........................................................................................39 (4) mens rea......................................................................................................................40 (a) no premeditation required...........................................................................41 (b) mens rea may be inferred either directly or circumstantially..............................................................................................41 ii) torture or inhuman treatment (Article 2(b)).....................................................................42 (1) torture.........................................................................................................................42 (a) elements..........................................................................................................42 (b) same regardless of article.............................................................................42 (c) severity of pain or suffering.........................................................................42 (i) permanent injury not required........................................................42 (ii) rape meets severity requirement.....................................................43 (d) prohibited purpose required........................................................................43 (e) public official not required..........................................................................43 (2) inhuman treatment....................................................................................................44 (a) generally..........................................................................................................44 (b) defined............................................................................................................44 (c) application—inhuman treatment................................................................45 (i) use of persons as “human shields”.................................................45 (ii) forced labor........................................................................................45 iii) willfully causing great suffering or serious injury to body or health (Article 2(c))...........................................................................................................................46 (1) defined........................................................................................................................46 (2) requires showing of serious mental or physical injury, although need not be permanent or irremediable................................................47 iv) extensive destruction and appropriation of property not justified by military necessity and carried out unlawfully and wantonly (Article 2(d)).........................................................................................................................................47 (1) generally......................................................................................................................47 (2) elements......................................................................................................................47 (3) two types of property protected.............................................................................48 (4) extensive destruction required................................................................................49 - vi -

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Genocide, War Crimes and Crimes Against Humanity A Topical Digest of the Case Law of the International Criminal Tribunal for the Former Yugoslavia
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