Selective morality in the pursuit of international criminal justice with particular reference to Article 13 of the Rome Statute F TAMBE ENDOH orcid.org 0000-0002-2813-3636 Thesis submitted in fulfilment of the requirements for the degree Doctor of Laws at the North-West University Supervisor: Prof. MLM MBAO Graduation: July 2019 Student number: 26485834 TABLE OF CONTENTS DECLARATION BY CANDIDATE ..................................................................... viii DECLARATION BY PROMOTER ....................................................................... ix DEDICATION ................................................................................................... x ACKNOWLEDGMENTS .................................................................................... xi LIST OF FIGURES .......................................................................................... xii LIST OF ABBREVIATIONS ............................................................................ xiii TABLE OF STATUTES ................................................................................... xxiv TABLE OF CASES .......................................................................................... xxv ABSTRACT ............................................................................................... xxxiv CHAPTER ONE ................................................................................................. 1 INTRODUCTION .............................................................................................. 1 1.1 BACKGROUND TO THE STUDY ................................................................. 1 1.2 STATEMENT OF THE PROBLEM .............................................................. 11 1.3 AIMS AND OBJECTIVES OF THE STUDY ................................................ 19 1.4 DEFINITION OF KEY TERMS ................................................................. 20 1.4.1 Morality .................................................................................................... 20 1.4.2 Jus cogens ................................................................................................ 21 1.4.3 Serious crimes in international law .............................................................. 22 i 1.4.4 Universal jurisdiction .................................................................................. 23 1.5 THEORETICAL JUSTIFICATION AND THE DUTY TO PROSECUTE OR EXTRADITE ................................................................................. 24 1.6 RATIONALE AND JUSTIFICATION OF THE STUDY ................................. 33 1.7 LITERATURE REVIEW ............................................................................ 36 1.7.1 ICC and the concept of complementarity ..................................................... 37 1.7.2 ICC and the competing claims of peace v. justice ......................................... 40 1.7.3 ICC and the concept of universal jurisdiction ................................................ 44 1.8 DATA COLLECTION AND METHODOLOGY .............................................. 48 1.8.1 Data collection and analysis ........................................................................ 49 1.8.2 Triangulation ............................................................................................. 49 1.8.3 Reliability and trustworthiness .................................................................... 50 1.9 SCOPE AND LIMITATIONS OF THE STUDY ............................................ 51 1.10 ETHICAL CONSIDERATIONS ............................................................... 54 1.11 SUMMARY ........................................................................................... 54 CHAPTER TWO .............................................................................................. 56 HISTORICAL EVOLUTION AND PROGRESSIVE DEVELOPMENT OF THE INTERNATIONAL CRIMINAL JUSTICE SYSTEM .......................... 56 2.1 INTRODUCTION .................................................................................... 56 2.2 THE DEVELOPMENT OF THE INTERNATIONAL CRIMINAL JUSTICE SYSTEM ...................................................................................... 57 2.3 CODIFICATION OF INTERNATIONAL LAWS RELATING TO ARMED CONFLICTS ................................................................................. 59 ii 2.4 THE BIRTH OF THE UNITED NATIONS ORGANIZATION ........................ 63 2.4.1 Significance of the Yalta Conference and the veto power rhetoric .................. 65 2.4.2 United Nations’ contribution towards global peace and security ..................... 67 2.5 THE NUREMBERG TRIALS ..................................................................... 70 2.5.1 Significance of the Nuremberg Tribunal ....................................................... 74 2.6 THE TOKYO TRIALS ............................................................................... 75 2.7 EMERGENCE OF VICTOR’S JUSTICE ...................................................... 77 2.8 POST-NUREMBERG DEVELOPMENTS .................................................... 81 2.8.1 The genesis of the law on Genocide ............................................................ 82 2.8.2 The Geneva Conventions of 1949 regulating the conduct of warfare .............. 83 2.8.3 The work of the International Law Commission ............................................ 87 2.8.4 Ad hoc tribunals ........................................................................................ 92 2.8.5 Hybrid Courts ............................................................................................ 99 2.9 SUMMARY ........................................................................................... 102 CHAPTER THREE ......................................................................................... 105 THE CREATION OF THE INTERNATIONAL CRIMINAL COURT ..................... 105 3.1 INTRODUCTION .................................................................................. 105 3.2 TOWARDS THE DRAFTING OF THE ROME STATUTE ............................ 105 3.2.1 Challenges from the USA and Allies ............................................................ 108 3.2.2 Post-Nuremberg developments and the United States hegemony ................. 111 3.2.3 United States proposed model of an International Criminal Court .................. 113 iii 3.2.4 The challenge of a ‘Proprio Motu’ prosecutor ............................................... 117 3.3 TOWARDS AN IDEAL INTERNATIONAL CRIMINAL TRIBUNAL ............ 119 3.3.1 The principle of complementarity ............................................................... 120 3.4 COMMITMENT BY STATES PARTIES TO THE ROME STATUTE .............. 122 3.4.1 States Parties Cooperation towards enforcement ......................................... 123 3.5 COOPERATION BY NON- STATES PARTIES ......................................... 127 3.6 PRECONDITIONS TO THE EXERCISE OF JURISDICTION .................... 129 3.7 TERRITORIAL AND CRIMINAL JURISDICTION OF THE ICC ................ 131 3.7.1 Territorial jurisdiction ................................................................................ 132 3.7.2 Criminal jurisdiction .................................................................................. 135 3.7.2.1 The crime of genocide ............................................................................ 135 3.7.2.2 Crimes against humanity ........................................................................ 137 3.7.2.3 War crimes ............................................................................................ 140 3.7.2.4 The crime of aggression ......................................................................... 143 3.8 DEGREE OF PARTICIPATION IN THE COMMISSION OF SERIOUS CRIMES .................................................................................... 146 3.8.1 Planning .................................................................................................. 147 3.8.2 Instigating ............................................................................................... 149 3.8.3 Ordering .................................................................................................. 150 3.8.4 Committing .............................................................................................. 151 4.8.5 Aiding and abetting ................................................................................... 152 3.8.6 Joint criminal enterprise ............................................................................ 154 iv 3.9 SUMMARY ........................................................................................... 156 CHAPTER FOUR ........................................................................................... 159 THEORETICAL CONCEPTUALIZATION OF THE SOURCES AND PRINCIPLES OF LAW UNDERPINNING THE INTERNATIONAL CRIMINAL COURT .................................................................... 159 4.1 INTRODUCTION ....................................................................... 159 4.2 THE MEANING OF INTERNATIONAL CRIMINAL LAW ............... 160 4.3 SOURCES OF LAW RELEVANT TO INTERNATIONAL CRIMINAL JUSTICE ................................................................................... 166 4.3.1 Customary international law ............................................................. 167 4.3.2 General principles of law recognized by civilized nations...................... 170 4.3.3 Subsidiary sources for determining international