International Criminal Law Practitioner Library, Vol. 1: Forms of Responsibility in International Criminal Law (The International Criminal Law Practitioner) (v. 1) PDF
Preview International Criminal Law Practitioner Library, Vol. 1: Forms of Responsibility in International Criminal Law (The International Criminal Law Practitioner) (v. 1)
FORMS OF RESPONSIBILITY IN INTERNATIONAL CRIMINAL LAW VolumeIoftheInternationalCriminalLawPractitionerLibraryseriesfocuses onthelawof individualcriminalresponsibilityappliedininternationalcrim- inallaw,providingathoroughreviewoftheformsofcriminalresponsibility. The authors present a critical analysis of the elements of individual criminal responsibility as set out in the statutory instruments of the international and hybridcriminalcourtsandtribunalsandtheirjurisprudence.Allelementsare discussed,demystifyinganduntanglingsomeoftheconfusioninthejurispru- dence and literature on the forms of responsibility. The jurisprudence of the ICTY and the ICTR is the main focus of the book. Every trial and appeal judgement,aswell asrelevantinterlocutoryjurisprudence,upto1 December 2006, has been surveyed, as has the relevant jurisprudence of other tribunals and the provisions in the legal instruments of the ICC, making this a highly relevantandtimelywork. GIDEON BOAS, a former Senior Legal Officer at the ICTY, is a Senior Lecturer in Law at Monash University Law Faculty and an international lawconsultant. JAMES L. BISCHOFF, a former Associate Legal Officer at the ICTY, is a LawClerkintheChambersoftheHonourableJuanR.TorruellaoftheUnited StatesCourtofAppealsfortheFirstCircuit. NATALIE L. REID, a former Associate Legal Officer at the ICTY, is an AssociatewithDebevoise&PlimptonLLP,NewYork. FORMS OF RESPONSIBILITY IN INTERNATIONAL CRIMINAL LAW International Criminal Law Practitioner Library Series VolumeI GIDEON BOAS JAMES L. BISCHOFF NATALIE L. REID Theviewsexpressedinthisbookarethoseoftheauthorsalone anddonotnecessarilyreflecttheviewsoftheInternational CriminalTribunalfortheformerYugoslaviaortheUnited Nationsingeneral. CAMBRIDGEUNIVERSITYPRESS Cambridge,NewYork,Melbourne,Madrid,CapeTown,Singapore,Sa˜oPaulo,Delhi CambridgeUniversityPress TheEdinburghBuilding,CambridgeCB28RU,UK PublishedintheUnitedStatesofAmericabyCambridgeUniversityPress,NewYork www.cambridge.org Informationonthistitle:www.cambridge.org/9780521878319 #GideonBoas,JamesL.BischoffandNatalieL.Reid2007 Thispublicationisincopyright.Subjecttostatutoryexception andtotheprovisionsofrelevantcollectivelicensingagreements, noreproductionofanypartmaytakeplacewithout thewrittenpermissionofCambridgeUniversityPress. Firstpublished2007 PrintedintheUnitedKingdomattheUniversityPress,Cambridge AcataloguerecordforthispublicationisavailablefromtheBritishLibrary ISBN978-0-521-87831-9 CambridgeUniversityPresshasnoresponsibilityforthepersistenceor accuracyofURLsforexternalorthird-partyinternetwebsitesreferredto inthisbook,anddoesnotguaranteethatanycontentonsuch websitesis,orwillremain,accurateorappropriate. Contents Foreword pagexiii Tableofauthorities xvii 1 Introduction 1 1.1 Formsofresponsibilityininternationalcriminallaw 1 1.2 Scopeofthisbookandterminologyused 4 2 Jointcriminalenterprise 7 2.1 OriginsanddevelopmentofJointCriminalEnterprise inthejurisprudenceoftheadhocTribunals 10 2.2 LimitedapplicationofJCEintheICTR 28 2.3 ElementsofJointCriminalEnterprise 33 2.3.1 Physicalelements 34 2.3.1.1 TheJCEconsistedofapluralityofpersons: firstphysicalelement 35 2.3.1.2 Commonplan,design,orpurpose:second physicalelement 37 2.3.1.3 TheaccusedparticipatedintheJCE:third physicalelement 44 2.3.2 Mentalelements 51 2.3.2.1 MentalelementsofthefirstcategoryofJCE 51 2.3.2.1.1 Voluntaryparticipation 51 2.3.2.1.2 Sharedintent 52 2.3.2.2 MentalelementsofthesecondcategoryofJCE 57 2.3.2.2.1 Personalknowledge 57 2.3.2.2.2 Intenttofurthercriminalpurpose 59 2.3.2.2.3 Sharedintentforspecific-intent crimes 67 2.3.2.3 MentalelementsofthethirdcategoryofJCE 68 v vi Contents 2.3.2.3.1 Intenttoparticipateandfurther criminalpurpose 68 2.3.2.3.2 Accused’santicipationofnatural andforeseeablecommission ofchargedcrime 70 2.4 TheBrd(cid:2)aninTrialJudgement:reiningintheexpansionofJCE? 84 2.4.1 TheBrd(cid:2)aninTrialJudgement 85 2.4.2 WarningsignsbeforetheBrd(cid:2)aninTrialJudgement 89 2.4.3 PrecedentconsideredintheBrd(cid:2)aninTrialJudgement 93 2.4.4 Post-Brd(cid:2)aninjurisprudence 96 2.4.5 AssessingtheimpactofBrd(cid:2)anin 103 2.5 Indirectco-perpetration:anewformofcommon-purpose liability? 104 2.5.1 TheStakic´TrialJudgement 105 2.5.2 Theprosecutor’sresponsetotheBrd(cid:2)aninandStakic´ TrialJudgements 109 2.5.3 TheMarch2006Milutinovic´decision 112 2.5.4 TheStakic´AppealJudgement 114 2.5.5 TheGacumbitsiAppealJudgement 116 2.5.6 AssessingtheimpactofMilutinovic´,Stakic´and Gacumbitsi 121 2.6 JointCriminalEnterpriseanditsanaloguesinthe InternationalCriminalCourtandinternationalisedtribunals 124 2.6.1 TheInternationalCriminalCourt 124 2.6.2 TheInternationalisedTribunals 128 2.6.2.1 SpecialCourtforSierraLeone(SCSL) 128 2.6.2.2 EastTimor:SpecialPanelsforSeriousCrimes (SPSC) 133 2.6.2.3 TheExtraordinaryChambersintheCourts ofCambodia(ECCC) 136 2.6.2.4 SupremeIraqiCriminalTribunal(SICT), formerlyknownastheIraqiSpecial Tribunal(IST) 137 2.7 Conclusion 140 3 Superiorresponsibility 142 3.1 Originsanddevelopmentofthesuperiorresponsibility doctrine 145 3.1.1 Therootsofthesuperiorresponsibilitydoctrine 145 3.1.2 DevelopmentssubsequenttotheSecondWorldWar 148 Contents vii 3.1.3 Historicalevolutionoftheelementsofsuperior responsibility 152 3.1.3.1 Historicalevolutionofthesubordinate-superior relationshipelement 152 3.1.3.1.1 Post-SecondWorldWarcases 153 3.1.3.1.2 Additionalprotocols 157 3.1.3.1.3 StatutesoftheadhocTribunals 158 3.1.3.2 Historicalevolutionofthementalelement 159 3.1.3.2.1 Post-SecondWorldWarcases 159 3.1.3.2.2 Additionalprotocols 167 3.1.3.2.3 TheKahanReport(Israeli CommissionofInquiry) 168 3.1.3.2.4 TheStatutesoftheadhocTribunals 169 3.1.3.2.5 ICCStatute 169 3.1.3.3 Historicalevolutionofthe‘necessaryand reasonablemeasures’element 170 3.1.3.3.1 Post-SecondWorldWarcases: ‘necessaryandreasonablemeasures’ 170 3.1.3.3.2 Post-SecondWorldWarcases: dutytopreventasaseparateduty? 172 3.1.3.3.3 Additionalprotocols 173 3.2 Elementsofsuperiorresponsibility 174 3.2.1 Elements 181 3.2.1.1 Asuperior-subordinaterelationshipexisted betweentheaccusedandthepersonforwhose criminalconductheisallegedtoberesponsible 181 3.2.1.2 Theaccusedkneworhadreasontoknowthat thecriminalconductinquestionwasaboutto be,wasbeing,orhadbeenrealisedbyone ormoresubordinates 200 3.2.1.2.1 Actualknowledge:firstalternative mentalelement 203 3.2.1.2.2 Constructiveknowledge:second alternativementalelement 205 3.2.1.3 Theaccusedfailedtotakethenecessary andreasonablemeasurestopreventorpunish thesubordinatecriminalconductinquestion 221 3.2.1.3.1 Commonsub-elementforthe failuretopreventandthefailure topunish 224 viii Contents 3.2.1.3.2 Firstformofsuperior responsibility:thefailure toprevent 227 3.2.1.3.3 Secondformofsuperior responsibility:thefailuretopunish 229 3.3 Thescopeofthesubordinatecriminalconductthatmaygive risetosuperiorresponsibility 237 3.4 SuperiorresponsibilityintheInternationalCriminalCourt andinternationalisedtribunals 252 3.4.1 TheInternationalCriminalCourt 252 3.4.1.1 Abifurcatedstandard 253 3.4.1.2 Mentalelement:ahigherstandardforcivilian superiors 258 3.4.1.3 Causation 260 3.4.1.4 Pastcrimesandindependentobligations 262 3.4.2 Theinternationalisedtribunals 264 3.4.2.1 SpecialCourtforSierraLeone(SCSL) 264 3.4.2.2 EastTimor:SpecialPanelsforSeriousCrimes (SPSC) 268 3.4.2.3 TheExtraordinaryChambersintheCourts ofCambodia(ECCC) 271 3.4.2.4 SupremeIraqiCriminalTribunal(SICT) 272 3.5 Conclusion 274 4 Complicityandaidingandabetting 278 4.1 Themodesofparticipationingenocide:inchoatecrimes orformsofresponsibility? 280 4.2 Therelationshipbetween‘aidingandabettinggenocide’ and‘complicityingenocide’ 291 4.3 Elementsofaidingandabetting 303 4.3.1 Physicalelements 304 4.3.1.1 Practicalassistance,encouragement,ormoral support:firstphysicalelement 305 4.3.1.1.1 Theaccusedlentpracticalassistance, encouragement,ormoralsupportto thephysicalperpetratorin committingacrime 305 4.3.1.1.2 Theaccusedmayaidandabetby merepresenceatthesceneof thecrime 307 Contents ix 4.3.1.1.3 Doesaformofresponsibilityknown as‘aidingandabettingbyomission’ existininternationalcriminallaw? 310 4.3.1.1.4 Theaccusedmayaidandabetinthe planning,preparation,orexecution ofacrime,andbefore,during,or afterthecrimeofthephysical perpetrator 315 4.3.1.1.5 Theaccusedneednotbe physicallypresentwhenthe physicalperpetratorcommits thecrime 316 4.3.1.2 Substantialeffect:secondphysicalelement 317 4.3.1.2.1 Thepracticalassistance, encouragement,ormoralsupport hadasubstantialeffectonthe commissionofthecrimebythe physicalperpetrator 317 4.3.2 Mentalelements 319 4.3.2.1 Intentionalaction 319 4.3.2.1.1 Theaccusedactedintentionally withknowledgeorawarenessthat hisactwouldlendassistance, encouragement,ormoral supporttothephysical perpetrator 319 4.3.2.2 Awarenessofcrime 321 4.3.2.2.1 Theaccusedwasawareofthe essentialelementsofthephysical perpetrator’scrime,includingthe perpetrator’smentalstate 321 4.3.2.3 Therequisiteintentoftheaccusedaiderand abettorforspecific-intentcrimes 324 4.4 Elementsofcomplicityingenocide 327 4.4.1 Practicalassistance,encouragement,ormoral support:firstphysicalelement 328 4.4.1.1 Theaccusedlentpracticalassistance, encouragement,ormoralsupporttothe physicalperpetratorincommittingacrime 328 x Contents 4.4.2 Substantialeffect:secondphysicalelement 328 4.4.2.1 Thepracticalassistance,encouragement,or moralsupporthadasubstantialeffectonthe commissionofthecrimebythephysical perpetrator 328 4.4.3 Mentalelements:intentionalactionandawarenessofcrime 329 4.4.3.1 Theaccusedactedintentionally,andwasaware oftheessentialelementsofthecrimeof genocide,includingtheperpetrator’smentalstate 329 4.5 ComplicityandaidingandabettingintheInternational CriminalCourtandinternationalisedtribunals 330 4.5.1 TheInternationalCriminalCourt 330 4.5.2 Theinternationalisedtribunals 334 4.5.2.1 SpecialCourtforSierraLeone(SCSL) 334 4.5.2.2 EastTimor:SpecialPanelsforSeriousCrimes (SPSC) 336 4.5.2.3 TheExtraordinaryChambersintheCourts ofCambodia(ECCC) 337 4.5.2.4 SupremeIraqiCriminalTribunal(SICT) 339 4.6 Conclusion 341 5 Planning,instigatingandordering 343 5.1 Evolutionoftheelementsofplanning,instigatingand orderinginthejurisprudenceoftheadhoctribunals 344 5.2 Elementsofplanning 354 5.2.1 Designofconductwithintentorawareness ofsubstantiallikelihood 354 5.2.2 Substantialcontribution 357 5.3 Elementsofinstigating 358 5.3.1 Promptingofconductwithintentorawareness ofsubstantiallikelihood 358 5.3.2 Substantialcontribution 362 5.4 Elementsofordering 364 5.4.1 Instructiontoengageinconductwithintent orawarenessofsubstantiallikelihood 364 5.4.2 Authorityofaccused 367 5.4.3 Directandsubstantialcontribution 370 5.5 Planning,instigatingandorderingintheInternational CriminalCourtandinternationalisedcriminaltribunals 371 5.5.1 TheInternationalCriminalCourt 371
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