THE INTERPRETATION AND APPLICATION OF DOLUS EVENTUALIS IN SOUTH AFRICAN CRIMINAL LAW by LINUS TAMBU AWA Submitted in accordance with the requirements for the degree of DOCTOR OF LAWS in the subject Criminal and Procedural Law at the UNIVERSITY OF SOUTH AFRICA SUPERVISOR: PROF NINA MOLLEMA NOVEMBER 2019 i Table of Contents Page DECLARATION .......................................................................................................... v ACKNOWLEDGEMENTS .......................................................................................... vi DEDICATION ............................................................................................................ vii SUMMARY ............................................................................................................... viii KEY WORDS ............................................................................................................. ix GLOSSARY OF ACRONYMS AND ABBREVIATIONS ............................................ xi CHAPTER ONE .......................................................................................................... 1 INTRODUCTION ......................................................................................................... 1 1.1 Background information ................................................................................. 1 1.2 Research problem .......................................................................................... 3 1.3 Research questions and hypotheses of study ................................................ 6 1.4 Methodology ................................................................................................... 7 1.5 Literature review ............................................................................................. 8 1.5.1 Intent and dolus eventualis in common-purpose crimes ........................ 16 1.5.2 Intent and dolus eventualis in other jurisdictions ................................... 17 1.5.3 Intent and dolus eventualis in international law ..................................... 20 1.6 Summary ...................................................................................................... 22 i CHAPTER TWO ........................................................................................................ 24 CONCEPTUAL APPROACH TO DOLUS EVENTUALIS ......................................... 24 2.1 Introduction .................................................................................................. 24 2.2 Criminal liability and dolus eventualis ........................................................... 25 2.2.1 Conduct (act or omission) ...................................................................... 25 2.2.2 Conduct must comply with the definitional elements of a crime ............. 27 2.2.3 Unlawfulness ......................................................................................... 29 2.2.4 Culpability .............................................................................................. 30 2.3 Types of intention ......................................................................................... 33 2.3.1 Dolus directus (direct intention) ............................................................. 34 2.3.2 Dolus indirectus (indirect intention) ........................................................ 35 2.3.3 Dolus eventualis (legal intention) ........................................................... 36 2.3.4 Dolus indeterminatus (general intention) ............................................... 51 2.4 Mistake as an exception to intention ............................................................ 53 2.5 The law of evidence required in dolus eventualis cases............................... 57 2.5.1 Different types of evidence .................................................................... 59 2.5.2 Presumptions ......................................................................................... 60 2.5.3 The burden of proof ............................................................................... 61 2.5.4 The facts in issue ................................................................................... 62 2.6 Summary ...................................................................................................... 64 CHAPTER THREE .................................................................................................... 66 DOLUS EVENTUALIS IN INTERNATIONAL CRIMINAL LAW ................................ 66 3.1 Introduction .................................................................................................. 66 3.2 Intent in criminal international law ................................................................ 67 3.3 Dolus eventualis in war crimes and crimes against humanity ...................... 72 ii 3.3.1 War crimes ............................................................................................ 73 3.3.2 Crimes against humanity ....................................................................... 78 3.3.3 Intent and dolus eventualis requirements for command responsibility ... 84 3.4 Mens rea in joint criminal enterprises ........................................................... 90 3.5 Summary ...................................................................................................... 96 CHAPTER FOUR .................................................................................................... 100 INTENT AND RECKLESSNESS IN FOREIGN JURISDICTIONS .......................... 100 4.1 Introduction ................................................................................................ 100 4.2 Mens rea in US criminal law ....................................................................... 100 4.2.1 General intent ...................................................................................... 104 4.2.2 Specific intent ...................................................................................... 105 4.3 The different levels of criminal intent in the US .......................................... 108 4.3.1 Crimes committed purposely ............................................................... 109 4.3.2 Crimes committed with knowledge ...................................................... 111 4.3.3 Crimes committed recklessly ............................................................... 113 4.4 Mens rea in British criminal law .................................................................. 123 4.4.1 Direct intent ......................................................................................... 127 4.4.2 Indirect intent ....................................................................................... 129 4.5 Committing crimes with intent or recklessly ................................................ 131 4.5.1 Defining the concept of recklessness in British law ............................. 132 4.5.2 Tests to determine intent and recklessness ......................................... 133 4.5.3 Confusion in interpreting the concepts of intention and recklessness .. 141 4.5.4 Recent developments in determining intent ......................................... 146 4.6 Summary .................................................................................................... 149 iii CHAPTER 5 ............................................................................................................ 152 DOLUS EVENTUALIS IN SOUTH AFRICAN CRIMINAL LAW ............................. 152 5.1 Introduction ................................................................................................ 152 5.2 Evolution of dolus eventualis in South African criminal law ........................ 153 5.2.1 The period pre-1945 ............................................................................ 154 5.2.2 The period 1946-1985 ......................................................................... 159 5.2.3 The period after 1985 .......................................................................... 165 5.3 Confusion in the approach to determine foresight ...................................... 173 5.3.1 Foresight requiring some kind of risk ................................................... 178 5.3.2 Foresight of a remote possibility .......................................................... 180 5.3.3 Foresight of a reasonable, substantial or real possibility ..................... 183 5.4 Dolus eventualis as applied in private defence cases ................................ 185 5.4.1 Reconciling to the possibility ................................................................ 191 5.5 Dolus eventualis in common-purpose crimes ............................................. 193 5.5.1 Foreseeing and reconciling to the possibility ....................................... 197 5.6 Has recent cases fully interpreted the concept of dolus eventualis? .......... 201 5.7 Summary .................................................................................................... 208 CHAPTER 6 ............................................................................................................ 212 FINDINGS AND RECOMMENDATIONS ................................................................ 212 6.1 Summary .................................................................................................... 212 6.2 Recommendations ..................................................................................... 224 6.3 Conclusion ................................................................................................