Annex B ICC-01/05-01/08-3483-Anxb 20-12-2016 2/10 EC A

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ICC-01/05-01/08-3483-AnxB 20-12-2016 1/10 EC A

Annex B ICC-01/05-01/08-3483-AnxB 20-12-2016 2/10 EC A

LIST OF AUTHORITIES

A. ICC JUDGMENTS ...... 2

B. ICC DECISIONS AND MOTIONS ...... 2

i. The Prosecutor v. Laurent Gbagbo (ICC-02/11-01/11) ...... 2

ii. The Prosecutor v. Laurent Gbagbo and Charles Blé Goudé (ICC-02/11-01/15) .. 2

iii. The Prosecutor v. Bosco Ntaganda (ICC-01/04-02/06) ...... 2

iv. The Prosecutor v. William Samoei Ruto and Joshua Arap Sang (ICC-01/09-

01/11) ...... 2

C. ICTR JUDGMENTS ...... 2

D. ICTY JUDGMENTS ...... 3

E. ICTY DECISION ...... 3

F. ICTR MOTIONS ...... 4

G. WWII JUDGMENTS, DECISIONS AND PUBLICATIONS ...... 4

H. ACADEMIC SOURCES ...... 4

I. GENERAL SOURCES ...... 7

J. STATUTES ...... 8

K. DICTIONARIES ...... 9

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A. ICC JUDGMENTS

Lubanga AJ Prosecutor v. Thomas Lubanga Dyilo, Judgment on the appeal of Mr. Thomas Lubanga Dyilo against his conviction, ICC-01/04-01/06-3121- Red, 1 December 2014

B. ICC DECISIONS AND MOTIONS

i. The Prosecutor v. Laurent Gbagbo (ICC-02/11-01/11)

ICC-02/11-01/11-286- Prosecutor v. Laurent Gbagbo, ICC-02/11-01/11-286-Red, Decision on Red the Fitness of Laurent Gbagbo to Take Part in the Proceedings Before this Court, 2 November 2012

ii. The Prosecutor v. Laurent Gbagbo and Charles Blé Goudé (ICC-02/11-01/15)

ICC-02/11-01/15-192- Prosecutor v. Laurent Gbagbo and Charles Blé Goudé, ICC-02/11-01/15- Anx2 192-Anx2, Annex 2 to Prosecution’s submission of an amended version of section V.10 of its pre-trial brief, 28 July 2015

iii. The Prosecutor v. Bosco Ntaganda (ICC-01/04-02/06)

ICC-01/04-02/06-309 Prosecutor v. Bosco Ntaganda, ICC-01/04-02/06-30, Decision Pursuant to Article 61(7)(a) and (b) of the Rome Statute on the Charges of the

Prosecutor Against Bosco Ntaganda, 9 June 2014 ICC-01/04-02/06-503- Prosecutor v. Bosco Ntaganda, ICC-01/04-02/06-503-AnxA-Red2, Public AnxA-Red2 redacted version of “Prosecution's Pre-Trial Brief”, 9 March 2015, ICC-01/04-02/06-503-Conf-AnxA, 1 September 2015 ICC-01/04-02/06-1616 Prosecutor v. Bosco Ntaganda, ICC-01/04-02/06-1616, Prosecution’s Communication of the Disclosure of Evidence obtained pursuant to Article 70, 7 November 2016

iv. The Prosecutor v. William Samoei Ruto and Joshua Arap Sang (ICC-01/09-01/11)

ICC-01/09-01/11-2024 Prosecutor v. William Samoei Ruto and Joshua Arap Sang, ICC-01/09- 01/11-2024, Judgment on the appeals of Mr William Samoei Ruto and Mr Joshua Arap Sang against the decision of Trial Chamber V(A) of 19 August 2015 entitled “Decision on Prosecution Request for Admission of Prior Recorded Testimony”, 12 February 2016

C. ICTR JUDGMENTS

Akayesu AJ The Prosecutor v. Jean-Paul Akayesu, ICTR-96-4, Judgement, 1 June 2001 Bagosora TJ The Prosecutor v. Théoneste Bagosora et al., ICTR-98-41-T, Judgement and Sentence, 18 December 2008

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Bagosora AJ Théoneste Bagosora, Anatole Nsengiyumva v. The Prosecutor, ICTR-98- 41-A, Judgement, 14 December 2011 Cyangugu TJ The Prosecutor v. André Ntagerura, EmmanueL Bagambiki, Samuel Imanishimwe, ICTR-99-46-T, Judgement and Sentence, 25 February 2004 Kambanda AJ Jean Kambanda v. The Prosecutor, ICTR-97-23-A, Judgement, 19 October 2000 Renzaho TJ The Prosecutor v. Tharcisse Renzaho, ICTR-97-31-T, Judgement and Sentence, 14 July 2009 Renzaho AJ Tharcisse Renzaho v. The Prosecutor, ICTR-97-31-A, Judgement, 1 April 2011

D. ICTY JUDGMENTS

Blaškić TJ Prosecutor v. Tihomir Blaškic, IT-95-14-T, Judgment, 3 March 2000 Blaškić AJ Prosecutor v. Tihomir Blaškic, IT-95-14-A, Judgment, 29 July 2004 Čelebići AJ Prosecutor v. Zejnil Delalić, Zdravko Mucić, Hazim Delić and Esad Landžo, IT-96-21-A, Judgement, 20 February 2001 Delalić et al. TJ Prosecutor v. Zejnil Delalić, Zdravko Mucić, a.k.a.“Pavo”, Hazim Delić & Esad Landžo, a.k.a.“Zenga”, IT-96-21-T, Judgement, 16 November 1998 Delić TJ Prosecutor v. Rasim Delić, IT-04-83-T, Judgement, 15 September 2008 Hadžihasanović TJ Prosecutor v. Enver Hadžihasanovic and Amir Kubura, IT-01-47-T, Judgment, 15 March 2006 Krnojelac TJ Prosecutor v. Milorad Krnojelac, IT-97-25, Judgement, 15 March 2002 Kordić & Čerkez TJ Prosecutor v. Dario Kordić & Mario Čerkez, IT-95-14/2-T, Judgement, 26 February 2001 Kupreškić AJ Prosecutor v. Zoran Kupreškić et al., IT-95-16-A, Appeal Judgement, 23 October 2001 Orić AJ Prosecutor v. Naser Orić, IT-03-68-A, Judgement, 3 July 2008 Strugar TJ Prosecutor v. Pavle Strugar, IT-01-42-T, Judgement, 31 January 2005 Tadić AJ Prosecutor v. Duško Tadić, IT-94-1-A, Judgement, 15 July 1999

E. ICTY DECISION

Blagojević, Public and Prosecutor v. Vidoje Blagojević, IT-02-60-AR73.4, Public and Redacted Redacted Reasons Reasons for Decision on Appeal by Vidoje Blagojević to Replace his for Decision on Defence Team, 7 November 2003 Appeal by Vidoje Blagojević to Replace his Defence Team Prlić, Decision on Prosecutor v. Prlić, IT-04-74-A, Decision on Ćorić and Stojić’s motions Ćorić and Stojić’s to strike portions of the Prlić Response brief or to grant leave to reply motions to the Prlić response brief or to grant leave to reply to the Prlić response brief, 22 July 2015

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F. ICTR MOTIONS

Rugambarara Prosecutor v. Juvenal Rugambarara, ICTR-2000-59-I, Amended Indictment Indictment, 2 July 2007

G. WWII JUDGMENTS, DECISIONS AND PUBLICATIONS

Baba Masao case Baba Masao case, Military Court at Rabaul, Judgment, 2 June 1947, reprinted in part in Annual Digest and Reports of Public International Law Cases, Vol. 14, (1947) Hirota International Military Tribunal for the Far East, Judgment of 4 November 1948, available at: http://werle.rewi.hu-berlin.de/tokio.pdf Last accessed 20 December 2016. Hostage Case Trial of Wilhelm List and Others, Trials of War Criminals before the Nuernberg Military Tribunals under Control Council Law No. 10, Vol. XI, Washington DC: United States Government Printing Office (1950), available at: https://www.loc.gov/rr/frd/Military_Law/pdf/NT_war -criminals_Vol-XI.pdf Last accessed 20 December 2016. Medina case, in K. Medina case, My Lai trials, K. Howard, ‘Command Responsibility for Howard War Crimes’, Journal of Public Law, Vol. 21 [i]-[ii] (1972) The Medical Case, The Medical Case, Nuernburg Military Tribunals under Control Karl Brandt and Council Law No. 10, Vol. XI, Washington DC: United States Giegfried Hanloser Government Printing Office (1950), available at: https://www.loc.gov/rr/frd/Military_Law/pdf/NT_war -criminals_Vol-XI.pdf Last accessed 20 December 2016. Tokyo case, Separate The Tokyo case, International Military Tribunal for the Far East, Opinion of Judge Separate Opinion of Judge Bernard, Reprinted in B. Röling and C. Bernard Rüter (eds.), The Tokyo Judgment, Amsterdam: University Press Amsterdam (1977) Schonfeld et al. Schonfeld et al., Law Reports of Trials of War Criminals, Vol. XI, London: published for the United Nations war crimes Commission by his Majesty's Stationery Office, (1949)

H. ACADEMIC SOURCES

Ambos (2007) Ambos, K., Joint Criminal Enterprise and Command Responsibility, Journal of International Criminal Justice, 159- 183, OUP (2007) Ambos (2013) Ambos, K., Treatise on International Criminal Law, Volume I: Foundations and General Part, and Volume III: International

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Criminal Procedure, OUP (2013) Ashworth Ashworth, A., Principles of Criminal Law, 5th Ed., OUP (2006) Bantekas Bantekas, I., International Criminal Law, 4th ed. Oxford Hart (2010) Bantekas and Nash Bantekas, I., and Nash, S., International Criminal Law, 3rd ed. Routledge (2007) Boas et al. Boas, G., Bischoff, J. L., Reid, N. L., International Criminal Law Practitioner Library, Volume I: Forms of Responsibility in International Criminal Law, Cambridge: CUP (2007) Burghardt Burghardt, B., Die Vorgesetztenverantwortlichkeit im völkerrechtlichen Straftatsystem, Berliner Wissenschafts-Verlag (2008) Cassesse et al. Cassese, A., Gaeta, P., Jones, J. R.W. D., The Rome Statute of the International Criminal Court: A Commentary, Vol. 1B, OUP (2002) Clark Clark, R., S., The Mental Element in International Criminal Law: The Rome Statute of the International Criminal Court and the Elements of Offences, 12 Crim L Forum (2001), Cryer (2005) Cryer, R., Prosecuting International Crimes, CUP (2005) Cryer (2014) Cryer, R., Friman, H., Robinson, D., Wilmshurts, E., An Introduction to International Criminal Law and Procedure, 3rd ed. CUP (2014) Cury Cury, E., Derecho Penal Parte General, 7th ed. Ediciones Universidad Católica de Chile (2005) Damaška Damaška, M., R. The Shadow Side of Command Responsibility, American Journal of Comparative Law 49 (2001), Desportes and Le Gunehec Desportes, F., and Le Gunehec, F., Droit Pénal Général, 16th ed. Paris : Economica (2009) Dressler Dressler, J., Reassessing the Theoretical Underpinnings of Accomplice Liability: New Solutions to an Old Problem, Hastings Law Journal 37 (1985) 91 Dreyer Dreyer, E., Droit Pénal Général, 2nd ed. Paris : Lexis Nexis (2012) Engisch Engisch, K., Die Kausalität als Merkmal der strafrechtlichen Tatbestände, Mohr Siebeck (1931) Fletcher Fletcher, G., P., Basic Concepts of Criminal Law, OUP (1998) Gaeta et al. Cassesse, A., and Gaeta, P., Cassese’s International Criminal Law, OUP (2013) Gardner Gardner, J., ‘Complicity and Causality’, Criminal Law and Philosophy 1, 127 (2007) Garrocho Salcedo Garrocho Salcedo, A., M., in Gil Gil, A., and Maculan, E., Derecho Penal Internacional, Dykinson (2016) Greenwood Greenwood, C., Command responsibility and the Hadžihasanović Decision, Journal of International Criminal Justice 2, 598-605, OUP (2004) Hart and Honoré Hart, L., A., and Honoré, A., M., Causation in the law, 2nd

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ed. OUP (1985) Herring Herring, J., Criminal Law, 5th ed. OUP (2012) Horder Horder, J., Ashworth’s Principles of Criminal Law, 8th ed., OUP (2016) Jescheck and Weigend Jescheck, H.-H., and Weigend, T., Strafrecht Allgemeiner Teil, Duncker & Humblot, 5th ed. (1996) Karsten Karsten, N., Die Strafrechtliche Verantwortlichkeit des nicht- militärischen Vorgesetzten, Duncker & Humblot (2010) Kiss Kiss, A., Command Responsibility under Article 28 of the Rome Statute, in Stahn (ed.), The Law and Practice of the International Criminal Court, 608-648, OUP (2015) Meloni (2007) Meloni, C., Command responsibility: mode of liability for the crimes of subordinates or separate offence of the superior?, Journal of International Criminal Justice 5 (2007) Meloni (2010) Meloni, C., Command Responsibility in International Criminal Law, The Hague: T.M.C. Asser ( 2010) Mettraux Mettraux, G., The Law of Command Responsibility, OUP (2009) Mir-Puig Mir-Puig, S., Derecho Penal Parte General, 9th ed. Editorial Reppertor (2011) Judge Moloto Judge Bakone Justice Moloto, Command Responsibility in International Criminal Tribunals, Berkeley Journal of International Law, Publicist, 12-25 (2009) Moore Moore, M., S., Causation and Responsibility: An Essay in Law, Morals, and Metaphysics, OUP (2009) Muñoz-Conde and García Muñoz-Conde, F., García Arán, M., Derecho Penal Parte Arán General, 8th ed. Tirant lo Blanch (2010) Nerlich Nerlich, V., Superior Responsibility under Article 28 ICC Statute: For What Exactly is the Superior Held Responsible?, Journal of International Criminal Justice 5, 665-682, OUP (2007) O’Keefe O’Keefe, International Criminal Law, OUP (2015) Olásolo Olásolo, H., The Criminal Responsibility of Senior Political and Military Leaders as Principals to International Crimes, Hart (2009) Renout Renout, H., W., Droit Pénal Général, 18th ed. Bruxelles : Larcier (2013) Robinson (2008) Robinson, D., The Identity Crisis of International Criminal Law, Leiden Journal of International Law, Vol. 21, Issue 4 (2008) Robinson (2012) Robinson, D., How Command Responsibility got so Complicated: A Culpability Contradiction, its Obfuscation, and a Simple Solution, Melbourne Journal of International Law, Vol. 13 (2012) Roxin Roxin, C., Strafrecht Allgemeiner Teil, Vol. I, 4th ed. C.H. Beck (2006) Satzger Satzger, H., International and European Criminal Law, C.H. Beck et al. (2012)

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Schabas Schabas, W. A., The International Criminal Court: A Commentary on the Rome Statute, OUP (2010) Simester et al. Simester, A., P., et al., Simester and Sullivan´s Criminal Law, 6th ed. Hart Publishing (2016) Triffterer (2002) Triffterer, O., Causality, a Separate Element of the Doctrine of Superior Responsibility as expressed in Article 28 Rome Statute?, 15 Leiden Journal of International Law, 179-205 (2002) Triffterer (2004) Triffterer, O., Command Responsibility, Article 28 Rome Statute, an Extension of Individual Criminal Responsibility for Crimes Within the Jurisdiction of the Court - Compatible with Article 22, nullum crimen sine lege?, in O. Triffterer (ed), Gedächtnisschrift für Theo Vogler (2004) Triffterer and Ambos Triffterer, O., and Ambos, K., The Rome Statute of the International Criminal Court: a Commentary, 3rd Ed. C.H.Beck/Hart/Nomos (2016) Van Sliedregt (2003) Van Sliedregt, E., The Criminal Responsibility of Individuals for Violations of International Humanitarian Law, The Hague: T.M.C. Asser (2003) Van Sliedregt (2012) Van Sliedregt, E., Individual Criminal Responsibility in International Law, OUP (2012) Velásquez Velásquez Velásquez Velásquez, F., Manual de Derecho Penal Parte General, 6th ed. Ediciones Jurídicas Andrés Morales (2014) Weigend Weigend, T., Superior Responsibility: Complicity, Omission or Over-Extension of the Criminal Law?, Burchard et al., The Review Conference and the Future of the ICC, Wolters Kluwer (2010) Weltz Weltz, K., Die Unterlassenshaftung im Völkerstrafrecht, edition iuscrim, Max Planck Institute for Foreign and International Criminal Law (2004) Werle and Jessberger (2005) Werle, G., Jessberger, F., ‘Unless Otherwise Provided’: Article 30 of the ICC Statute and the Mental Element of Crimes under International Criminal Law, Journal of International Criminal Justice, 35-55, OUP (2005) Werle and Jessberger (2014) Werle, G., Jessberger, F., Principles of International Criminal Law, 3rd ed. OUP (2014) Wilson Wilson, W., Criminal Law - Doctrine and Theory, Pearson, 4th ed. (2011)

I. GENERAL SOURCES

Australian Defence Australian Defence Force Publication 37 - Law of Armed Conflict Force Publication 37 (1996), available at: http://www.navedu.navy.mi.th/stg/databasestory/data/laukniyom/w orkjob/bigcountry-workjob/Australia/ADDP06.4LOAC.pdf Last accessed 20 December 2016.

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CIHL Rule 153 Rules of Customary International Humanitarian Law, International Committee of the Red Cross (Cambridge University Press, 2005), available at https://ihl-databases.icrc.org/customary-ihl/eng/docs/v1_rul_rule153 Last accessed 20 December 2016. Conference of United Nations Diplomatic Conference of Plenipotentiaries on the Plenipotentiaries Establishment of an International Criminal Court, A/CONF.183/13 (Vol. I), 15 June – 17 July 1998, available at: http://legal.un.org/icc/rome/proceedings/E/Rome%20Proceedings_v1 _e.pdf Last accessed 20 December 2016. Decision of Decisions taken by the Preparatory Committee at its session held Preparatory from 11 to 21 February 1997, A/AC.249/1997/L.5, 12 March 1997, Committee, 1997 available at: https://www.legal-tools.org/uploads/tx_ltpdb/doc21361.pdf Last accessed 20 December 2016. ILC Draft Code of Draft Code of Crimes against the Peace and Security of Mankind Crimes with commentaries, Report of the International Law Commission on the work of its 48 Session, available at: http://legal.un.org/ilc/texts/instruments/english/comm entaries/7_4_1996.pdf Last accessed 20 December 2016. ICRC: Customary Practice Relating to Rule 153. Command Responsibility for Failure to IHL Prevent, Punish or Report War Crimes, available at: https://ihl-databases.icrc.org/customary-ihl/eng/docs/v2_rul_rule153 Last accessed 20 December 2016. Preparatory Report of the Preparatory Committee on the Establishment of an Committee Draft International Criminal Court, Vol. II, A/51/22 (1996), available at: (1996) https://www.legal-tools.org/uploads/tx_ltpdb/doc21329.pdf Last accessed 20 December 2016. Protocol additional Protocol additional to the Geneva Conventions of 12 August 1949, to the Geneva and relating to the protection of victims of international armed Conventions of 12 conflicts (Protocol I), 8 June 1977, United Nations — Treaty Series, August 1949 or Vol. 1125, 1-17512 (1979), available at: Additional protocol I https://treaties.un.org/doc/publication/unts/volume%201125/volume -1125-i-17512-english.pdf Last accessed 20 December 2016. Report of Zutphen Report of the inter-sessional meeting from 19 to 30 January 1998 in meeting Zutphen, The Netherlands, A/AC.249/1998/L.13, 4 February 1998, available at: https://www.legal-tools.org/uploads/tx_ltpdb/doc21423.pdf Last accessed 20 December 2016.

J. STATUTES

ICTR Statute http://unictr.unmict.org/sites/unictr.org/files/legal-

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library/100131_Statute_en_fr_0.pdf Last accessed 20 December 2016. ICTY Statute http://www.icty.org/x/file/Legal%20Library/Statute/statute_sept09_e n.pdf Last accessed 20 December 2016. STL Statute https://www.stl-tsl.org/en/documents/statute-of-the-tribunal/223- statute-of-the-special-tribunal-for-lebanon Last accessed 20 December 2016.

K. DICTIONARIES

Black’s Law Black’s Law Dictionary, West Group; 9th edn, Bryan A. Garner, Dictionary editor, (2009) Merriam-Webster, https://www.merriam-webster.com/dictionary/certain definition of certain Last accessed 20 December 2016 Merriam-Webster, https://en.oxforddictionaries.com/definition/knowledge legal definition of Last accessed 20 December 2016 knowledge Oxford Dictionaries, https://en.oxforddictionaries.com/definition/knowledge knowledge Last accessed 20 December 2016