The Crime of Aggression in International Criminal Law: Historical Development, Comparative Analysis and Present State

352 Pages·2014·3.6 MB·English

by  Sergey Sayapin (auth.)

The Crime of
Aggression in
International
Criminal Law
Historical Development, Comparative
Analysis and Present State
Sergey Sayapin
The Crime of Aggression in International
Criminal Law
Sergey Sayapin
The Crime of Aggression
in International Criminal
Law
Historical Development, Comparative
Analysis and Present State
1 3
Sergey Sayapin
Prevention and Communication Department
ICRC Regional Delegation in Central Asia
Tashkent
Uzbekistan
ISBN 978-90-6704-926-9 ISBN 978-90-6704-927-6 (eBook)
DOI 10.1007/978-90-6704-927-6
Library of Congress Control Number: 2013951246
© t.m.c asser press and the author 2014
Published by t.m.c.asser press, The Hague, The Netherlands www.asserpress.nl
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+
Preface
Since after the Second World War, the crime of aggression is – along with geno-
cide, crimes against humanity and war crimes – a “core crime” under international
law. However, despite a formal recognition of aggression as a matter of interna-
tional criminal law and the reinforcement of the international legal regulation of
the use of force by States, numerous international armed conflicts occurred but no
one was ever prosecuted for aggression since 1949.
This book examines the evolution of aggression as an internationally wrongful
act of State and a corresponding individual crime. After a cross-cultural historical
introduction to the subject, it offers an overview of contemporary international law
on the use of inter-State armed force, and makes an original proposal for the devel-
opment of Draft Articles on the use of force by States. The book makes a case for a
judicial review of the inter-State use of force – by the International Court of Justice
or, as the case may be in the future, by the International Criminal Court. It further
scrutinises in a detailed manner the relevant jurisprudence of the Nuremberg and
Tokyo Tribunals as well as of the Nuremberg follow-up trials, and makes proposals
for a more successful prosecution for aggression in the future. In identifying custom-
ary international law on the subject, the volume draws upon a wealth of applicable
sources of national criminal law and puts forward a useful classicfi ation of States'
legislative approaches towards the criminalisation of aggression at the national level.
It also offers a detailed analysis of the current international legal regulation of the
use of force and of the Rome Statute's substantive and procedural provisions pertain-
ing to the exercise of the International Criminal Court's jurisdiction with respect to
the crime of aggression, after 1 January 2017.
It is hoped that the book would be useful to both practitioners and students of
international law and relations in that it brings together, in a comparative fashion,
the normative experience of various States representing the major legal systems of
the world, and of relevant international organs, and seeks to identify ways for rein-
forcing individual criminal responsibility for the use of inter-State force in contra-
vention of international law.
Tashkent, December 2013 Sergey Sayapin
v
Acknowledgments
I have carried out research for this book under the guidance of Professor Gerhard
Werle at the Humboldt-Universität zu Berlin. I am very grateful to Professor
Werle for his attention towards details, pedagogical wisdom and continued support
throughout my research. Working with him has been a most remarkable academic
experience. My sincere thanks are also due to Professor Florian Jessberger at the
Universität Hamburg, and to Professor Martin Heger at the Humboldt-Universität
zu Berlin. I was also most fortunate to benefit from the superior professionalism
and human qualities of current and former staff members of Professor Werle's
Chair: my work was greatly facilitated by Ms. Anja Schepke, Dr. Paul Christoph
Bornkamm, Dr. Moritz Vormbaum, Dr. Gregoria Palomo Suárez and Mr. Aziz
Epik. Ms. Elke Nuerck and Ms Petra Krause were most helpful in following the
administrative aspects of my research.
I take this occasion to thank colleagues from whose expertise in law or lin-
guistics I benefited while identifying and interpreting relevant pieces of national
legislation: Associate Professor Gleb Bogush (Russia), Ms Irene Chang (USA),
Professor Eric David (Belgium), Ms Clare Feikert (USA), Mr. Donald M. Ferencz
(United Kingdom), Associate Professor Mykola Gnatovsky (Ukraine), Mr. Tahir
Hanfi (Pakistan), Mr. Matthew D. Heaphy (USA), Mr. Piotr Kielic (Poland),
Associate Professor Timur Korotkyy (Ukraine), Mr. Alpaslan Mamak (Turkey),
Miss Polina Nevzorova (Uzbekistan), Dr. Yaël Ronen (Israel), Mr. Peter Roudik
(USA), Associate Professor Vera Rusinova (Russia), Professor Yuval Shany
(Israel), Mr. Kersi B. Shroff (USA), Mr. Issam M. Saliba (USA), Mr. Julio
Pinheiro Faro Homem de Siqueira (Brazil), Mr. Eduardo Soares (USA), Dr. Hsien-
Li Tan (Singapore) and Associate Professor Vladimir Vardanyan (Armenia).
Likewise, I am immensely grateful to my colleagues and friends at the
Regional Delegation of the International Committee of the Red Cross (ICRC)
in Central Asia who supported and encouraged me throughout the writ-
ing process: Mr. Yves Arnoldy, Mr. Rustam Atadjanov, Mr. Pierre-Emmanuel
Ducruet, Mr. Sherzod Eraliev, Mr. Marsel Gabbazov, Mr. Yves Giovannoni, Mr.
Abdukhalim Khukumov, Dr. Raffaello Müller, Ms Viktoriya Romanova, Ms Jennet
Shihmuradova and Mr. Sergey Shorin. A special word of thanks is due to Dr.
Maria Teresa Dutli, formerly ICRC Regional Legal Advisor for Eastern Europe
and Central Asia.
vii
viii Acknowledgments
I am exceptionally grateful to Judge Anita Ušacka of the International Criminal
Court's Appeals Division for her having found the time, despite her very busy
schedule, to read the manuscript and the endorsing Foreword.
The staff and reviewers at T. M. C. Asser Press and Springer have been
extremely professional throughout the publication process. My special thanks are
due to Mr. Philip van Tongeren for his support for the project since the very sub-
mission of the manuscript, and to Ms Marjolijn Bastiaans for her expert advice on
the manuscript management.
My very special thanks are due to Professor Françoise Hampson (University of
Essex, United Kingdom) for her having first shared with me the idea of this book's
topic, and to Dr. Ravshan Khakimov, Chairman of the Uzbek Association of
International Law and my first teacher of international law at Tashkent's University
of World Economy and Diplomacy, for his having inspired my interest for what
subsequently became my passion and profession.
Finally – but no less importantly – I thank my mother, Ms. Olga Sayapina, for
her being a fantastic mom and friend. I would not have succeeded without her
love, support, attention and smile.
Obviously, any omission in the book remains entirely my responsibility. I
will be pleased to receive readers' comments and advice at: sergey.sayapin@
yahoo.com.
Contents
Part I The Internationally Wrongful Act of State
1 Historical Background of the Criminalization of Aggression ........ 3
1.1 An Overview of the jus ad bellum Before World War II .......... 8
1.1.1 The Ancient World ................................. 8
1.1.2 The Middle Ages .................................. 15
1.1.3 Impact of the Napoleonic Wars and of the 1814–1815
Vienna Congress ................................... 23
1.1.4 Carl von Clausewitz’s “On War” ...................... 24
1.1.5 Impact of the 1899 and 1907 Hague Peace Conferences .... 25
1.1.6 Evolution of International Legal Attitudes Toward War
Under the Aegis of the League of Nations ............... 28
1.2 Evolution of the Concept of Aggression After World War II ....... 38
1.2.1 Work Accomplished by the United Nations War Crimes
Commission ...................................... 38
1.2.2 London Agreement of 8 August 1945 and the Charter
of the Nuremberg International Military Tribunal ......... 40
1.2.3 International Military Tribunal for the Far East ........... 43
1.2.4 Allied Control Council Law 10 ..................... 45
№
1.2.5 Attitudes Within the United Nations System ............. 46
1.2.6 Rome Statute of the International Criminal Court ......... 56
References .................................................. 62
2 Elements of an Act of Aggression: An Overview of Modern
International Law and Practice ................................ 75
2.1 Nature of States’ Obligation to Refrain from the Threat or Use
of Force in International Relations (Article 2(4) of the
UN Charter) ............................................ 78
2.1.1 Treaty Obligation Under Article 2(4) ................... 79
2.1.2 Obligation Under Customary International Law .......... 84
2.1.3 Jus cogens Obligation ............................... 91
ix
x Contents
2.2 Aggression as a Serious Breach of a Peremptory Norm
of General International Law ............................... 98
2.2.1 Aggression as a Serious Breach of an Obligation
Arising Under Article 2(4) of the Charter of the
United Nations .................................... 100
2.2.2 Attribution of Aggression to a State Under International
Law ............................................. 103
2.3 Elements of an Act of Aggression Under the 1974 Definition
of Aggression ........................................... 104
2.3.1 “Chapeau” of the Definition .......................... 105
2.3.2 Examples of Acts of Aggression ...................... 106
2.3.3 Non-Exhaustive Character of the List .................. 107
2.3.4 The Problem of the “First Use” of Force ................ 108
2.3.5 The Discretionary Power of the UN Security Council ...... 108
2.4 Exceptions to the Prohibition of the Use of Force ............... 109
2.4.1 Charter-Based Exceptions ........................... 110
2.4.2 Charter-Related Exceptions .......................... 122
2.4.3 Extra-Charter Exceptions ............................ 126
References .................................................. 133
Part II The Individual Crime
3 International Legal Foundations of the Individual Criminal
Responsibility for the Crime of Aggression ...................... 147
3.1 Individual Criminal Responsibility for Aggression Committed
by a State .............................................. 149
3.1.1 Nuremberg Judgment ............................... 149
3.1.2 Tokyo Judgment ................................... 161
3.1.3 Trials Under the Control Council Law 10 ............. 180
№
3.1.4 Draft Code of Offences Against the Peace and Security
of Mankind ....................................... 191
3.1.5 Draft Code of Crimes Against the Peace and Security
of Mankind ....................................... 193
3.1.6 The Crime of Aggression in the Rome Statute
of the International Criminal Court .................... 195
3.1.7 Individual Criminal Responsibility for the Crime
of Aggression: Towards the Revival of a Legal Regime? .... 195
References .................................................. 196
4 The Principal Approaches Towards the Criminalisation
of Aggression at the National Level ............................. 199
4.1 Overview of National Criminal Laws Proscribing the Crime
of Aggression ........................................... 202
4.1.1 The “Nuremberg and Tokyo Model” ................... 202
4.1.2 The “Territorial Integrity or Political Independence Model” ... 207
Contents xi
4.1.3 The “Objective War Model” ......................... 212
4.1.4 The “Treason Model” .............................. 217
4.2 Aggression as a “Leadership Crime” ......................... 222
4.2.1 Exclusion of Lower Ranking State Agents .............. 222
4.2.2 Role of Political Leaders ........................... 223
4.2.3 Role of Military Leaders ........................... 224
4.2.4 Role of Economic Leaders .......................... 224
4.2.5 Role of Other (Religious, Social) Leaders .............. 225
4.3 The corpus delicti of the Crime of Aggression Under
Customary International Law: Material Elements ............... 226
4.3.1 The Structure of the corpus delicti of the Crime of
Aggression ...................................... 226
4.4 The Qualification of “Propag anda for War” as a Separate Crime ... 233
4.5 The corpus delicti of the Crime of Aggression Under Customary
International Law: Mental Element .......................... 236
4.5.1 Occupation of Another State ........................ 237
4.5.2 Annexation of Another State ........................ 239
4.5.3 Subjugation of Another State ........................ 239
4.5.4 Involving Another State in War ...................... 240
4.5.5 Conspiracy ...................................... 240
4.6 Mechanisms of Enforcement ............................... 241
4.6.1 Indirect Enforcement (by National Courts) ............. 243
4.6.2 Direct Enforcement (by the International Criminal Court) ... 249
References .................................................. 250
5 The Crime of Aggression in the Rome Statute of the International
Criminal Court ............................................. 253
5.1 The Definition of the Crime of Aggression for the Purpose
of the Rome Statute (Article 8 bis) ........................... 255
5.1.1 Structure of the Rome Statute’s Definition of the Crime
of Aggression .................................... 256
5.1.2 Conditions for the Entry into Force of Article 8 bis ....... 274
5.2 The Crime of Aggression in the Context of the “General Part”
of International Criminal Law .............................. 275
5.2.1 Nullum crimen sine lege ............................ 276
5.2.2 Nulla poena sine lege .............................. 277
5.2.3 Non-Retroactivity ratione personae ................... 281
5.2.4 Individual Criminal Responsibility ................... 281
5.2.5 Exclusion of Jurisdiction Over Persons Under Eighteen ... 288
5.2.6 Irrelevance of Official Capacity ...................... 289
5.2.7 Responsibility of Commanders and Other Superiors ...... 290
5.2.8 Non-Applicability of Statute of Limitations ............ 292
5.2.9 Mental Element .................................. 293
5.2.10 Grounds for Excluding Criminal Responsibility ......... 293
5.2.11 Mistake of Fact or Mistake of Law ................... 295
5.2.12 Superior Orders and Prescription of Law ............... 297