International Criminal Law Discussion Guide
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International Criminal Law: a Discussion Guide Edited by John Cerone and Susana SáCouto With contributing authors: John Cerone (Chapters I, II and IV), Diane Orentlicher (Chapter VIII), Susana SáCouto (Chapters IV, V and VI), Ewen Allison, Tejal Jesrani, Robert Kahn, Chante Lasco, Cecile Meijer, and Claire Trickler-McNulty * This manual is a product of the War Crimes Research Office at American University’s Washington College of Law. The preparation and production of this Guide was funded by the Canadian Department of Foreign Affairs and International Trade and the Open Society Institute. 1 I. Introduction to International Criminal Law ………………………………………… 4 A. Public International Law……………………………………………………… 4 B. The Evolution of International Criminal Law ……………………..………….4 C. The Establishment & Subject Matter Jurisdiction of the Special Panels …...5 D. Transition to Independence & UNMISET……………………………………..6 II. War Crimes……………………………………………………………………………....7 A. The Regulation of Armed Conflict Under International Law………………...7 B. The Evolution of IHL……………………………………………………………7 C. War Crimes as Crimes under International Law………………………….…11 III. Crimes Against Humanity……………………………………………………………...14 A. Contextual Elements of Crimes of Against Humanity……………………….14 1. Widespread or Systematic Attack……………………………………..14 2. Directed Against Any Civilian Population……………………………16 3. Mens Rea………………………………………………………………..17 4. No Discrimination Requirement.……………………………………...18 5. Nexus between the Act and the Attack………………………………..18 6. No Armed Conflict Requirement……………………………………...19 B. Enumerated Acts……………………………………………………………….19 IV. Genocide…………………………………………………………………………...……20 A. Introduction to Genocide………………………………………………………20 B. Distinctive Features of the Definition………………..…………..……………20 C. Elaboration of the Definition Through Jurisprudence of the ad hoc International Criminal Tribunals……...………………...………..21 1. Individual Criminal Responsibility……………………………………21 2. Elaboration of the Definition……………………..……………………21 a. Protected Groups ………………………………...…………….21 D. Enumerated Acts….…………………………………………………………….22 1. Killing members of the group………………………………………….22 2. Causing serious bodily or mental harm to members of the group……………………………………………………….…………….22 3. Deliberately inflicting on the group conditions of life calculated to bring about its physical destruction in whole or in part……………………………………………………………………23 4. Imposing measures intended to prevent births within the group…….……………………………………………………………….23 5. Forcibly transferring children of the group to another group ....………………………………………………………………….24 E. The Intent Requirement………..……………………………………………….24 1. “In whole or in part” ……………..…………………………………….24 2. Role of the individual perpetrator ……………………………………..25 3. Genocide v. forced expulsion………..………………………………….25 3. Modes of participation………………………………………………….26 4. Comparison with the Rome Statute …………….…………………….26 V. Torture…………………………………………………………………….…………….27 A. Torture as an Independent Offense…………………………….……………..27 B. Torture as a Crime against Humanity or War Crime……………………….28 2 C. Difference between the Definitions of Torture ………………..……………..29 VI. Individual Criminal Responsibility…………………………………….……………...30 A. Commission ……………………………………………………….……………30 1. UNTAET Statutory Language ………………………………………...30 2. ICTR and ICTY Jurisprudence …………………………..…………..30 3. ICC Travaux Préparatoires …………………………………………....31 B. Ordering, Soliciting, Inducing ………………………………….…………..…31 1. UNTAET Statutory Language ……………………………………...…31 2. ICTY and ICTR Jurisprudence ………………………………………32 a. Ordering …………………………………………….………………32 b. Instigation ………………………………………….…………….…32 C. Aiding, Abetting or Assisting ……………………………….……................…33 1. UNTAET Statutory Language …………………………….…………..33 2. ICTY and ICTR Jurisprudence ……………………….…...…………33 D. Acting as a Group with a Common Purpose……...……….…………………34 1. UNTAET Statutory Language ……………………….….……………34 2. ICTY and ICTR Jurisprudence ………………..…………..…………35 E. Incitement to Genocide 1. UNTAET Statutory Language ……………………….….……………36 2. ICTY and ICTR Jurisprudence ………………..…………..…………36 F. Attempt and Abandonment ……………………………….…………………..37 1. UNTAET Statutory Language……………….……………………..…37 2. ICTY and ICTR Jurisprudence………………….…............................37 G. Responsibility of Commanders and Other Superiors ……………………….38 1. UNTAET Statutory Language ………………………………………..38 2. Comparison with the Rome Statute ………………………………….38 3. ICTY and ICTR Jurisprudence…………………...………………….38 VII. The Principle of Legality………………………………………………………………40 A. Nullum Crimen Sine Lege……………………………………………………..40 B. Limitation on Use of Analogy…………………………………..……………..41 C. Nulla Poena Sine Lege…………………………………………………………41 VIII. The Non Bis In Idem Principle…………............………………………..……………43 A. UNTAET Regulation No. 2000/15………………………….…………………43 B. East Timor Constitution……………………………………….………………43 C. International Standards Governing Prosecutions in Two or More States……………………………………………………………………………44 D. Approaches of the International Criminal Tribunals…………………….…45 1. ICTY and ICTR………………………………………………………...45 2. ICC………………………………………………………………………46 APPENDIX A: Relevant Excerpts from: the IMT, UN Secretary-General’s report on the ICTY, Statutes of the ICTY, ICTR, and ICC……………………...48 APPENDIX B: ICC Elements of Crimes…………………………………………………….71 APPENDIX C: Documents relating to the Special Panels for Serious Crimes in East Timor……………………………………………….………………….122 APPENDIX D: Useful Websites for Internet Research …………………………………...156 3 I. Introduction to International Criminal Law International Criminal Law, as that phrase is used in this discussion guide,1 refers to that body of norms of public international law the breach of which will give rise to individual criminal responsibility. A. Public International Law Central to a proper understanding of International Criminal Law is the fact that it is a discrete body of public international law and, as such, operates in the context of the international legal system. At the same time, the character of international criminal norms, as norms capable of engaging the criminal responsibility of individual human beings, is distinct from that of most other norms of public international law. From the inception of the Westphalian system, the sovereign equality of states and the related principle of non-intervention were paramount. As a horizontal system, where sovereign states were horizontally juxtaposed with no higher authority, its substantive norms consisted of a network of reciprocal obligations that focused almost exclusively on inter-state relations. Norms generated within this system have been traditionally understood to have as their legal subject the state alone, and their breach gave rise only to the responsibility of the state. Individual human beings could only be bound by international law indirectly, if at all, and usually through the modality of domestic legislation. Another consequence of this horizontal structure is the consent-based nature of international law. As sovereign equals, all states are of equal legal status, and thus may only be bound by obligations that they have created or chosen to accept.2 The sources of international law, reflecting this requirement of state consent, are treaties, custom, and general principles of law.3 B. The Evolution of International Criminal Law The horrors of the Second World War spawned a host of developments in international law. Among the most significant was the crystallization of the principle that violation of certain norms of international law could give rise to individual criminal responsibility. According to this principle, certain serious violations of international law would engage not only the classical form of responsibility in international law, i.e., the responsibility of the state, but also that of the 1 Generally, the phrase “international criminal law” may refer to a variety of international norms, including those governing such matters as extradition and mutual cooperation in law enforcement and judicial proceedings. 2 While this voluntarist model was altered following World War II and the adoption of the Charter of the United Nations, the international legal system still rests on the principle of state sovereignty and any legal analysis must begin with this principle. 3 Statute of the International Court of Justice, art. 38. A treaty binds a state only if a state chooses to become a party to that treaty, thus expressing its consent to be bound. States are deemed to consent to customary law, consisting of the practice of states accepted as law, as well as "the general principles of law recognized by civilized nations." Id. Scholarship and jurisprudence are subsidiary means for the determination of rules of international law. Id. 4 individual human beings perpetrating the violation. Such perpetrators could be criminally prosecuted and punished for these violations of international law. The emergence of this principle was primarily driven by the need to develop effective means of enforcement. As reasoned by the International Military Tribunal at Nuremberg, “Crimes against international law are committed by men, not by abstract entities, and only by punishing individuals who commit such crimes can the provisions of international law be enforced.”4 The principle of individual criminal responsibility for violations of certain international norms has now crystallized in treaty law as well as customary international law. The Rome Statute of the International Criminal Court (ICC), adopted in 1998, provides the most comprehensive codification