This page intentionally left blank An Introduction to International Criminal Law and Procedure This market-leading textbook gives an authoritative account of international criminal law, and focuses on what the student needs to know – the crimes that are dealt with by international courts and tribunals as well as the procedures that police the investigation and prosecution of those crimes The reader is guided through controversies with an accessible, yet sophisticated, approach by the author team of four international lawyers with experience of teaching the subject, and as negotiators at the foundation of the International Criminal Court (ICC) and the Rome Conference It is an invaluable introduction for all students of international criminal law and international relations, and now covers developments in the ICC and victims’ rights alternatives to international criminal justice The book is supplemented by an extensive package of online resources (www.cambridge.org/law/cryer), which offers convenient access to primary sources, well-chosen excerpts for supplementary reading, problems and questions for reflection and discussion, and materials for exercises and simulations ROBERT CRYER is Professor of International and Criminal Law at the University of Birmingham HÅKAN FRIMAN is Visiting Professor at University College London DARRYL ROBINSON is a professor at Queen’s University, Faculty of Law, Kingston, Canada is an associate fellow at Chatham House and Visiting Professor at University College London ELIZABETH WILMSHURST An Introduction to International Criminal Law and Procedure second edition ROBERT CRYER HÅKAN FRIMAN DARRYL ROBINSON ELIZABETH WILMSHURST CAMBRIDGE UNIVERSITY PRESS Cambridge, New York, Melbourne, Madrid, Cape Town, Singapore, São Paulo, Delhi, Dubai, Tokyo Cambridge University Press The Edinburgh Building, Cambridge CB2 8RU, UK Published in the United States of America by Cambridge University Press, New York www.cambridge.org Information on this title: www.cambridge.org/9780521119528 © Robert Cryer, Håkan Friman, Darryl Robinson and Elizabeth Wilmshurst 2010 This publication is in copyright Subject to statutory exception and to the provision of relevant collective licensing agreements, no reproduction of any part may take place without the written permission of Cambridge University Press First published in print format 2010 ISBN-13 978-0-511-78934-2 eBook (NetLibrary) ISBN-13 978-0-521-11952-8 Hardback ISBN-13 978-0-521-13581-8 Paperback Cambridge University Press has no responsibility for the persistence or accuracy of urls for external or third-party internet websites referred to in this publication, and does not guarantee that any content on such websites is, or will remain, accurate or appropriate Contents Preface Table of Cases Table of Treaties and other International Instruments Table of Abbreviations PART A: page xi xiv xxxviii lxiv INTRODUCTION Introduction: What is International Criminal Law? 1.1 International criminal law 1.2 Other concepts of international criminal law 1.3 Sources of international criminal law 1.4 International criminal law and other areas of law 1.5 A body of criminal law 3 13 16 The Objectives of International Criminal Law 2.1 Introduction 2.2 The aims of international criminal justice 2.3 Broader goals 2.4 Other critiques of criminal accountability 22 22 23 30 36 PART B: PROSECUTIONS IN NATIONAL COURTS Jurisdiction 3.1 Introduction 3.2 The forms of jurisdiction 3.3 Conceptual matters 3.4 The ‘traditional’ heads of jurisdiction 3.5 Universal jurisdiction v 41 43 43 43 45 46 50 vi Contents National Prosecutions of International Crimes 4.1 Introduction 4.2 National prosecutions 4.3 State obligations to prosecute or extradite 4.4 Domestic criminal law and criminal jurisdiction 4.5 Statutory limitations 4.6 The Non-retroactivity principle 4.7 Ne bis in idem or double jeopardy 4.8 Practical obstacles to national prosecutions State Cooperation with Respect to National Proceedings 5.1 Introduction 5.2 International agreements 5.3 Some basic features 5.4 Extradition 5.5 Mutual legal assistance 5.6 Transfer of proceedings 5.7 Enforcement of penalties PART C: INTERNATIONAL PROSECUTIONS The History of International Criminal Prosecutions: Nuremberg and Toyko 6.1 Introduction 6.2 The commission on the responsibility of the authors of the war 6.3 The Nuremberg International Military Tribunal 6.4 The Tokyo International Military Tribunal 6.5 Control Council Law No 10 trials and military commissions in the Pacific sphere 64 64 64 69 73 77 79 80 82 85 85 86 87 93 102 104 105 107 109 109 109 111 115 119 The ad hoc International Criminal Tribunals 7.1 Introduction 7.2 The International Criminal Tribunal for Yugoslavia 7.3 The International Criminal Tribunal for Rwanda 122 122 122 135 The International Criminal Court 8.1 Introduction 8.2 The creation of the ICC 8.3 Structure and composition of the ICC 144 144 144 149 Contents 8.4 8.5 8.6 8.7 8.8 8.9 8.10 8.11 8.12 vii Crimes within the jurisdiction of the ICC Applicable law Complementarity and other grounds of inadmissibility Initiation of proceedings (the ‘trigger mechanisms’) Jurisdiction: personal, territorial and temporal Deferral of investigation or prosecution: Article 16 Enforcement of the ICC’s decisions Opposition to the ICC Appraisal 150 152 153 163 166 169 170 171 178 Other Courts with International Elements 9.1 Introduction 9.2 Courts established by agreement between the United States and a State 9.3 Courts established by the United Nations or other international administration 9.4 Courts established by a State with international support 9.5 Lockerbie: an ad hoc solution for a particular incident 9.6 Relationship with the ICC 9.7 Appraisal 181 181 182 PART D: 188 194 196 197 197 SUBSTANTIVE LAW OF INTERNATIONAL CRIMES 201 10 Genocide 10.1 Introduction 10.2 The protected groups 10.3 Material elements 10.4 Mental elements 10.5 Other modes of participation 203 203 208 213 220 228 11 Crimes Against Humanity 11.1 Introduction 11.2 Common elements (the contextual threshold) 11.3 Prohibited acts 230 230 234 245 12 War Crimes 12.1 Introduction 12.2 Common issues 12.3 Specific offences 267 267 279 289 viii Contents 13 Aggression 13.1 Introduction 13.2 Material elements 13.3 Mental elements 13.4 Prosecution of aggression in the ICC 312 312 318 327 328 14 Transitional Crimes, Terrorism and Torture 14.1 Introduction 14.2 Terrorism 14.3 Torture 334 334 336 352 PART E: PRINCIPLES AND PROCEDURES OF INTERNATIONAL PROSECUTIONS 359 15 General Principles of Liability 15.1 Introduction 15.2 Perpetration/commission 15.3 Joint criminal enterprise 15.4 Aiding and abetting 15.5 Ordering, instigating, soliciting, inducing and inciting 15.6 Planning, preparation, attempt and conspiracy 15.7 Mental elements 15.8 Command/superior responsibility 361 361 362 367 374 377 382 384 387 16 Defences/Grounds for Excluding Criminal Responsibility 16.1 Introduction 16.2 The ICC Statute and defences 16.3 Mental incapacity 16.4 Intoxication 16.5 Self-defence, defence of others and of property 16.6 Duress and necessity 16.7 Mistake of fact and law 16.8 Superior orders 16.9 Other ‘defences’ 402 402 404 405 406 408 410 414 415 420 17 Procedures of International Criminal Investigations and Prosecutions 17.1 International criminal procedures 17.2 International criminal proceedings and human rights 425 425 430 604 Index International Criminal Court (cont.) classification of charges, 457–8 conditions, 454 confirmation, 460–1 cumulative or alternative charges, 460 discretion, 179, 455 initiation of proceedings, 443–5 Prosecutor’s powers, 164 self-referrals, 165–6, 529 State parties, 163 trigger mechanisms, 163–6 UNSC, 163–4 investigations accused’s rights, 447 Art.16 deferral, 169–70 entire situations, 447 on-site, 446, 525 role of Pre-Trial Chamber, 445, 525 judges, 150, 436 jurisdiction ad hoc acceptance, 168 automatic acceptance, 168 children, 169 natural persons, 587 ne bis in idem, 82 negotiations, 167 non-party nationals, 172 nulla poena sine lege, 21 nullum crimen sine lege, 20, 153 overview, 166–70 procedures, 441–3 state consent, 167 temporality, 169 legal status, 511 liability principles aiding and abetting, 376–7 attempts, 383 co-perpetration, 365–6 command responsibility, 390, 391, 394, 395–6, 397, 399 inducement, 379 joint criminal enterprise, 373–4 mens rea, 385–7 ordering, 377, 379 perpetration, 363–4 perpetration through organization control, 366–7 Lubanga trial, 178 milestone, 144 offences against administration of justice, 475 opposition to, 171–7 challenges, 174–7 controversies, 173 jurisdiction over non-party nationals, 172 United States, 171–2, 174–7 peace and justice dilemma, 178–9, 583 pleas, 468 Pre-Trial Chamber arrest warrants, 450, 522 authorization of on-site investigations, 525 review of detention, 450–1 role in investigations, 445 pre-trial proceedings disclosure of evidence, 464 first appearances, 460 preparations for trial, 461–2 procedures assessment, 476–7 human rights standards, 431 independence and impartiality, 432–3 inquisitorial, 476–7 judicial powers, 429 negotiations, 428–9 public hearings, 434 revision of proceedings, 474–5 trials, 469, 470 prosecution or extradition obligations, 72 Prosecutor accountability, 173 coercive measures, 448 discretion, 179, 455 independence and impartiality, 432–3 initiation of proceedings, 164 objectivity principle, 445–6 role, 437, 581 ratifications, 580 relations with internationalized courts, 197 reparation, 490–1, 492 Review Conference 2010, 587 Rome Statute, development, 585–6 sentencing, 502 death penalty and, 496 enforcement of penalties, 504–5 options, 496 procedures, 503 reviews, 504 sources of law, general principles of law, 12 standard of proof, 434 statutory limitations and, 77 structure, 149–50 Index UNSC role in proceedings, 441 victims See victims war crimes armed conflict nexus, 285, 286–7 armed conflict threshold, 284–5 excessive civilian damage, 297–302 internal conflicts, 277–9 jurisdictional threshold, 288–9 list, 274–5, 289–90 prisoners of war, 294 prohibited targets, 296–7 prohibited warfare methods, 307–8 prohibited weapons, 304–5 property crimes, 302, 303 sexual violence, 292–3 transfer of population to occupied territories, 308–9 use of child soldiers, 309–11 witnesses, 439–40 international criminal law accountability, 36–9, 133, 582–4 alternatives See alternatives categories, development, future, 585–7 history, 109 human rights law and, 13–15 human security focus, humanitarian law and, 15 meanings, 3–5 core crimes, crimes created by international criminal law, 8–9 crimes within international court jurisdiction, 4–5 set of rules of international order, 6–7 state involvement, supranational law, transnational criminal law, 5–6 objectives See objectives of international criminal law principles, 16–21 scope, selective justice, 38–9, 62, 583 sources of law, 9–12 state responsibility and, 15–16, 584, 585 Western construct, 38–9 international criminal procedures See procedures international humanitarian law See humanitarian law 605 International Law Commission aggression, 314–15, 329 crimes against humanity, 232 sexual violence, 253 ICC Draft Statute, 144 jurisdiction, 167 procedures, 428 immunities, 543 international crimes, meaning, 16 prosecution or extradition obligations, 71 international organizations, cooperation, 516–17, 524 internationalized courts See also specific courts advantages, 198–9 assessment, 197–9 cooperation, 198 political pressures, 198 Interpol, 87 intoxication complete defence, 408 defence, 406–8 destruction of capacity, 407–8 voluntary and involuntary, 407 investigations commencement, 443–5 on-site, 446 cooperation, 525–6 procedures, 445–7 Iran, Iraqi war, 194 Iraq Anglo-American War (2003), 324, 332 Ba’ath Party, 575 Gulf War (1991), 325 High Tribunal See Iraqi High Tribunal International Criminal Court and, 165 prosecution of Anglo-American abuses, 68 Saddam wars, 194 US amnesty offer to Saddam, 571 US immunities, 545 Iraqi High Tribunal crimes against humanity, 233 death penalty, 195 international element, 181, 198 judges, 195 jurisdiction, 194–5 legal basis, 194 origins, 194 overview, 194–5 war crimes, list, 275 Ireland, 96, 301 606 Index Irish Republican Army, 96 Israel Lebanese War (2006), 332 prosecutions immunities, 543 limited legislation, 74 universal jurisdiction, 53–4 WWII cases, 65–6 transfer of population to occupied territories, 308 Italian prosecutions immunities, 545 presumption of innocence, 433 statutory limitations, 78 WWII cases, 65 Ivory Coast, 168 Jackson, Robert, 23, 112 Jahreiss, Hermann, 111 Japan post-war allied trials, 120 Tokyo IMT See Tokyo IMT WWII, sexual slavery, 256, 293 Jaranilla, Judge Delfin, 117–18, 367 joint criminal enterprise actus reus, 369–71 aiding and abetting and, 374 liability, 367–74 mens rea, 371–2 nature of liability, 372–4 judges Bosnia War Crimes Chamber, 193 Cambodia Extraordinary Chambers, 186 examining judges, 426 ICTR, 436 independence, 35 inquisitorial systems, 478 International Criminal Court, 150, 436 Iraqi High Tribunal, 195 Kosovo Special Panel, 190 Lebanese Special Tribunal, 187 Nuremberg IMT, 111 roles, 426, 436 Sierra Leone Special Court, 182 judgments, procedures, 470 jura novit curia, 457 jurisdiction See also specific tribunals adjudicative jurisdiction, 44 customary law, 46–50 executive jurisdiction, 44–5 extraterritoriality, cooperation, 88 forms, 43–5 legislative jurisdiction, 43–4 meaning, 43 national prosecutions, 73–80 nationality principle, 47–9 passive personality principle, 49–50 procedures, 441–3 proof, 45 protective principle, 50 suppression conventions, 336 territoriality principle, 46–7 treaties and, 46 universal jurisdiction, 50–62 jus ad bellum, jus in bello and, 269–70 jus cogens genocide, 204 human rights, 93 immunities and, 532, 540 prosecution or extradition obligations, 71–3 torture, 251, 352 jus in bello See humanitarian law just war, 269 justice amnesties and, 33, 569 for victims, 30–1, 569 miscarriages, 474 peace and justice dilemma, 178–9, 583 selectivity, 38–9, 62, 68, 583 victors’ justice, 113–14, 583 Kaing Guek Eav (‘Dutch’), 186 Kalshoven, Fits, 123 Kambanda, Jean, 138, 205, 553 Kant, Immanuel, 24, 26 Karadžic , Radovan, 130, 132, 133, 443, ´ 518, 553 Keenan, Joseph, 115 Khmer Rouge, 66, 186 killing See murder Kirsch, Philippe, 147 Kiyose, Ichiro, 116 Koojimans, Judge, 56 Koroma, Judge, 56 Koskeniemmi, Martti, 37 Kosovo humanitarian interventions, 325 ICTY and, 129 independence, 190 lustration, 575 Index Provisional Criminal Code, 190 secession conflict, 181 Special Panel, 188–90 EULEX judges, 190 victims, 481 UNMIK, 189 Kranzbühler, Otto, 111, 114 Krštic, Radislav, 130 ´ Kuwait, Iraqi war, 194 landmines, 305 Latin America, amnesties, 33, 563, 570 Lauterpacht, Judge Hersch, 215 law of armed conflict See humanitarian law Lawrence, Geoffrey, 111 League of Nations, 338 Lebanese Special Tribunal applicable law, 188 cooperation, 198 creation, 187 international element, 182 judges, 187 jurisdiction, 187 terrorism, 338 legal status, 187 operation, 188 overview, 187–8 victims, 480 Lebanon, Israeli War (2006), 332 legal persons, victims, 481, 486 legal representation accused, 438–9 victims, 487 legality See non-retroactivity principle; nulla poena sine lege Lemkin, Raphael, 205 lex talionis, 24 Li, Judge, 126–7 liability aiding and abetting, 374–7, 382 attempts, 382–3 command See command responsibility conspiracy, 367–8, 383–4 corporate liability, 587 instigation, 379–80 joint criminal enterprise, 367–74 Lieber Code, 273 mental elements, 384–7 ordering, 377–9 perpetration, 362–7 planning and preparing, 382 607 superior responsibility See command responsibility war crimes, 273–4 liberation movements, 339, 345, 346 liberation wars, 280 Liberia immunities, 550 Truth Commission, 572, 573, 574, 575 US forces in, 175 Libya, Lockerbie bombing and, 15, 196, 341 Lieber Code, 267, 273 life imprisonment, extradition and, 98 limitation statutes, 77, 90 LOAC See humanitarian law local justice mechanisms, 576–7 location of international tribunals, 36–7 Lockerbie bombing Libyan responsibility, 15 prosecution under criminal law, 347 UNSC Resolutions, 341 Lockerbie Court, 182, 196 Lord’s Resistance Army, 166, 178, 583 Lubanga Dyilo, Thomas, 158 lustration, 575 MacArthur, Douglas, 115 MacKinnon, Catharine, 255 male captus bene detentus, 45, 101 marriage, forced marriage, 266 Masalit people, 212, 225 medical experiments, 291 mental incapacity defence, 405–6 mercenaries, 319 Meron, Theodor, 272 Mexico, 175, 528 military necessity, 423 military objectives See targets military offences, 97 Miloševic, Slobodan, 129, 132, 518, 553 ´ Minear, Richard, 118 minors, ICC jurisdiction and, 169 miscarriage of justice, 474 mistakes defences, 414–15 fact, 414–15 law, 415 Mladic, Ratko, 130, 132, 443 ´ mock operations, 306 MONUC, 516 Moreno-Ocampo, Luis, 529, 566–7, 577 Moscow Declaration (1943), 111, 114 608 Index Mossad, 53 Moynier, Gustave, 144 murder crimes against humanity, 246 genocide, 214 war crimes, 290–1 mutual assistance conditions, 103–4 conventions, 102–3 overview, 102–4 procedures, 104 mutual recognition, 88, 91 My Lai massacres, 49, 66 Nagasaki, 117, 118 Nanking, Rape of (1937), 116 national prosecutions Control Council Law No.10, 119–20 fair trial, 83 future, 580–2 ICC jurisdiction and abandoned proceedings, 157–8 complementarity principle, 153–4 inability to proceed, 157 proceedings relating to the case, 154–5 unwillingness to proceed, 156–7 immunities and functional immunities, 538–45 personal immunities, 545–9 impact of national and international case law, 76 jurisdiction, 73–80 See also universal jurisdiction amnesties, 567–8 ICTY and, 125 legislation, 73–6 statutory limitations, 77 legislation, 73–6 ICC catalyst, 75–6, 162, 581 ne bis in idem, 80–2 inter-state application, 80–1 international criminal jurisdictions, 81–2 non-retroactivity principle, 79–80 Pacific military commissions, 120 practical obstacles, 82–3 preferable option, 64 prosecution or extradition erga omnes obligations, 72 human rights law, 70–1 jus cogens, 71–3 state obligations, 69–73 terrorist conventions, 347 torture, 356 treaty obligations, 69–70 selective justice, 68 state practices, 64–9 terrorism, 347–9 torture, 356–7 national security, cooperation and, 523–5 nationality crimes against humanity and, 241 extradition and, 97–8, 521 jurisdictional principle, 47–9 NATO, 129, 188, 517, 524 ne bis in idem ICC jurisdiction and, 160 national prosecutions and, 80–2 inter-state applications, 80–1 international criminal jurisdictions, 81–2 state cooperation and, 90–1 ICC proceedings, 519 transfer of proceedings, 104 necessity defence causation, 413 imminent threat, 412 mental element, 413–14 military necessity, 423 overview, 410–14 reasonable actions, 412–13 self-defence, 323 nemo dat quod non habet, 551 neo-colonialism, 61 Netherlands ICC and, war crimes, 301 immunities, 543 jurisdiction, passive personality principle, 49 Lockerbie Court, 196 statutory limitations, 78 universal jurisdiction, 59 WWII prosecutions, 65 New Zealand ICC and, war crimes, 301 jurisdiction, irregular arrests, 101 legislation on international crimes, 75, 79 universal jurisdiction, 58 Nigeria, 550 Nikitchenko, Major-General Timofeyevich, 112 Nimitz, Chester, 114 non-combatants, war crimes against, 290–5 non-inquiry rule, 95–6 non-refoulement principle, 92, 99 Index non-retroactivity principle ICTY and, 19–20, 134 International Criminal Court, 20, 153 national prosecutions of international crimes, 79–80 Nuremberg IMT, 112–13 principle, 17–20, 494 non-state actors, 271, 324 Nordic Arrest Warrant, 89 Norman, Sam Hinga, 573 Norway, 89, 331 nuclear installations, 410 nuclear weapons, 304–5 nulla poena sine lege, 20–1, 89, 494 nullum crimen sine lege See non-retroactivity principle Nuremberg IMT aggression, 113, 114, 312–13, 317, 320, 321 assessment, 113–15 controversies, 113 crimes against humanity, 206, 231–2 armed conflict nexus, 234, 235 list, 245 persecution, 261 death penalty, 494 defence lawyers, 111 defences self-defence, 331 superior orders, 416 documentary evidence, 332 genocide, 205 immunities and, 538, 542, 550 indictment, 112 judges, 111 liability principles, 584 conspiracy, 367–8, 383 ordering, 377 planning, 382 London Charter, 111 no appeals, 471 overview, 111–15 principles, 113, 543 procedures, 427 sentences, 112 speed, 436 terrorism, 349 trial, 111–13 verdicts, 112 victors’ justice, 113–14 war crimes, 274 609 sexual violence, 293 watershed, 112–13 objectives See targets objectives of international criminal law accountability, 36–9, 133, 582–4 competence, 35–6 denunciative/educative function, 29–30 deterrence, 26–8, 34, 38, 569 historical record, 31–3, 427, 461 incapacitation, 28 incoherence, 23 international v domestic law, 22–3 justice for victims, 30–1, 569 overview, 23–30 political independence, 35 post-conflict reconciliation, 33–5, 569–70, 572, 573–4 rehabilitation, 28–9 retribution, 24–6, 38, 497 sentencing, 496–8 truth-finding, 427, 463 objectivity principle, 445–6 occupied territories, transfer of population to, 308–9 Oda, Judge, 56 omission aiding and abetting and, 376 command responsibility, 394–6 perpetration by, 363 on-site investigations, 446, 525–6 Opacic, Dragan, 135 ´ opinio juris, 11, 72 ordering, liability, 377–9 organized crime, 334 OSCE, 195 Osiel, Mark, 25 Pacific military commissions, 120 Pakistan, Bangladesh war (1971), 66 Pal, Judge Radhabinod, 117–18, 313 Palestinian National Authority, ICC jurisdiction, 168 Papen, Franz von, 112 Papon, Maurice, 65 par in parem non habet juridicium, 537, 551 pardons, 186–7, 503–4 passive personality principle, 49–50 penalties See sentencing perfidy, 306–7 610 Index perpetration charges, hierarchy, 459 co-perpetration, 363–7 indictments, 456 innocent agency, 364 joint criminal enterprise, 367–74 liability, 362–7 omission, 363 through agents, 364–5 persecution civilians, 261 connection to other acts, 260 crime against humanity, 259–62 discriminatory grounds, 260 examples, 262 genocide and, 261 mental element, 261 sentencing practice, 498 severe deprivation of fundamental rights, 259 severity, 259 Peru, universal jurisdiction, 59 Pettit, Philip, 187 pillage, 303 Pinochet case, 582 France and, 545 functional immunities and national courts, 538–42 personal immunity as serving head of state, 546 self-granted immunity, 61 piracy, 4, 8, 51, 334 Plavšic, Biljana, 130 ´ pleas plea bargaining, 467–8, 498 procedures, 467–8 sentencing and guilty pleas, 500–1 poison, 304 Pol Pot, 66, 185, 186, 203 political offences, 96–7, 100 politics of impunity, 561, 569 Powell, Colin, 57 pre-trial proceedings confirmation of charges, 460–1 disclosure of evidence, 462–4 first appearances, 460 preparations for trial, 461–2 procedures, 460–4 precedents, 12, 76 prescription, 77 presumption of innocence, 433–4 principles of law, 11–12 prison See imprisonment prisoners of war, repatriation, 294 procedures See also specific procedures administration of justice, offences against, 475 adversarial v inquisitorial procedures, 425–7, 476 appeals, 471–4 assessment, 476–7 civil and common law traditions, 425–7 coercive measures, 447–54 domestic and international law, 429–30 evidentiary rules, 464–7 fair trial See fair trial human rights and, 430–6, 476 hybridity, 429–30 indictments, 454–60 initiation of proceedings, 443–5 international courts and tribunals, 427–9 investigations See investigations judgments, 470 jurisdiction and admissibility, 441–3 pleas, 467–8 pre-trial proceedings, 460–4 revision of proceedings, 474–5 sentencing, 502–3 trials, 469–70 victims See victims witnesses See witnesses property cultural property, 268, 296 defence of, 408–10 pillage, 303 war crimes, 302–3 proportionality civilian damage as war crime principle, 297–8 test, 299–301 necessity defence, 412–13 punishment, 25 reprisals, 422 self-defence, 323, 410, 413 prosecutions See indictments prosecutors coercive measures, 447–54 investigation procedures, 445–7 role, 437 protective jurisdiction, 50 proxy forces, 282 public hearings, 434, 469 punishment See sentencing Index quarters, no, 306 Raeder, Erich, 114 Rafsanjani, Hashemis, 55 Ranjeva, Judge, 56 rape See sexual violence reasonableness See proportionality reconciliation amnesties and, 569–70 objective, 33–5 truth commissions, 572, 573–4 Red Cross (ICRC) amnesties and, 565 cooperation status, 517 creation, 268 emblems, 307 privileges in criminal proceedings, 441 reformatio in peius, 471 refugees, non-refoulement principle, 92, 99 rehabilitation, 28–9 remorse, 501 rendition See abduction reparation civil proceedings, 576 freezing assets, 490–1 International Criminal Court, 490–1, 492 national systems, 478 reprisals, 422–3 Republika Sprska, 192 retribution, 24–6, 38, 497 revision of proceedings, 474–5 Rezek, Judge, 56, 61 riots, civil wars or, 282–5 Röling, Judge B V A., 32, 117, 313, 389 Romania, prosecutions, 66 Rome Conference (1998), 146–9 Rumsfeld, Donald, 545 ruses, 306 Russia, Declaration on Armenia (1915), 230 Rutaganda, Georges, 137 Rwanda See also ICTR Belgian universal jurisdiction and, 55 extradition of Rwandans from Europe, 99 gacaca trials, 47, 577 genocide, 140, 205, 214 drunkenness, 406 incitement, 141 intentions, 221 ICTR and, 138 creation, 136 611 non-compliance, 518, 528 transfer of proceedings, 141 prisoners awaiting trial, 443 prosecutions, 67 in other states, 67 transfer of proceedings from ICTR, 141 UN peacekeepers, 136 Sachs, Albie, 574 Sadat, Leila, 584 Saddam Hussein, 194, 195, 571 sadism, 356 Sawoniuk, Anthony, 60 Schabas, William, 207 Schacht, Hjalmar, 112, 327–8 Schröder, Gerhard, 514 Schwarzenberger, Georg, scientific experiments, 291 Scilingo, Adolfo, 57 SCSL See Sierra Leone Special Court selective justice, 38–9, 62, 68, 583 self-defence defence, 408–10 imminent unlawful use of force, 409–10 non-state actors, 324 pre-emptive, 323 proportionality, 323, 410, 413 terrorism, 337 UN Charter, 322–3 use of force, 322–4 self-incrimination, 439, 447 Senegal, 57, 59 sentencing See also death penalty cumulative or joint sentences, 502 early release, 503–4 enforcement of penalties, 504–5 state cooperation, 105 international punishment, 494–6 life sentences, extradition and, 98 options, 495–6 pardons, 503–4 plea bargaining and, 498 practice, 498–502 aggravating circumstances, 500 guilty pleas, 500–1 inconsistency, 498, 499–500 leniency, 498 mitigation, 500–1 motivation factor, 502 rank and position of accused, 501–2 612 Index sentencing (cont.) procedures, 502–3 purposes, 496–8 review, 504 Serbia legal status, 515 prosecutions, 67 transfers from ICTY, 132 responsibility for Bosnian genocide, 15–16 War Crimes Chamber, 182, 195–6 sexual violence consent, 421, 466 crimes against humanity, 253–8 enforced prostitution, 256–7 forced pregnancy, 257 forced sterilization, 257–8 rape, 254–6 sexual slavery, 256 evidentiary rules, 466 ICTR, 138, 141, 292 torture, 253, 355 war crimes, 292–3 SFOR, 516–17 Sharon, Ariel, 55 Shigemitsu, Mamoru, 117 Sidhwa, Judge, 126 Sierra Leone atrocities, 197 civil war, 181, 182 Lomé Peace Agreement, 183 Special Court See Sierra Leone Special Court Truth Commission, 573 Sierra Leone Special Court amnesties and, 565–6, 567–8 cases, 184–5 child soldiers, 182, 184, 199, 309, 310 completion, 185 cooperation, 198, 509, 518, 551 creation, 182 crimes against humanity, 233 forced marriage, 266 funding issues, 198 ICC and, 197 immunities and, 550–2 judges, 182 jurisdiction, 183–4 amnesty, 183 crimes against humanity, 184 subject-matter, 184 universal jurisdiction, 59 legal status, 182–3 liability principles ordering, 377 planning, 382 overview, 182–5 Prosecutor, 437 sentencing, 502 sexual violence, 184 Truth Commission and, 573 war crimes list, 275 terrorism, 351 silence, right to, 446–7, 463 silent enim leges inter arma, 270 slavery conventions, 334 crime against humanity, 248 sexual slavery, 256 forced labour, 248 taxonomy, 4, war crimes, 295 smuggling, 334 Solferino, Battle of (1859), 268 solitary confinement, 355 Sonderkommandos, 406 sources of law academic writings, 12 customary international law, 11 general principles of law, 11–12 overview, 9–12 precedents, 12, 76 treaties, 9–10 South Africa amnesties, 563, 569 deportation, undertakings, 101 jurisdiction, irregular arrests, 101 legislation on international crimes, 75 terrorism, definition, 344 transition, 562 TRC, 159, 572, 573, 574, 577 South Korea, 167 Soviet Union Nuremberg IMT and, 111 World War II conduct, 114 Spain ICC and war crimes, 301 immunities, 546 Pinochet extradition request, 538 terminology, universal jurisdiction, 57–8 Special Court for Sierra Leone See Sierra Leone Special Court Index specialty rule, 90, 100, 522 Srebenica massacre, 31, 130, 222, 224–5 state immunity, 535–6, 547–9, 550–2 state responsibility, 15–16, 584, 585 state sovereignty cooperation and, 87, 89 ICC Draft Statute, 167 international justice and, 589 sovereign equality, 537 states aggression, 312 cooperation See cooperation initiation of ICC proceedings, 163 involvement in international criminal law, role in international criminal proceedings, 440–1 terrorism, 346 statutory limitations, 77, 90 sterilization, 216–17, 257–8 subpoenas, 440, 513–14 Sudan genocide and, 209, 225 ICC cooperation AU refusal, 177, 529 non-compliance, 518, 529 UNAMID, 516 ICC proceedings initiation by UNSC, 164 issues, 178 jurisdiction, sufficient gravity, 161 peace and justice dilemma, 179, 583 suspension requests, 170 US forces and, 175 terrorism, 341 Sun Tzu, 387 superior orders crimes against humanity, 419 defence, 415–20 genocide, 419 knowledge of unlawfulness, 418 lawful orders, 417–18 manifest illegality, 418–19 obligation to obey, 417–18 other defences and, 419–20 superior responsibility See command responsibility Sweden extradition, 89, 94, 100 nationality jurisdiction, 48 prosecutions, Rwandan and Balkan crimes, 67 victims, compensation, 478 613 Switzerland cooperation with Tribunals, 515 extradition, Rwandans, 99 jurisdiction, universal jurisdiction, 60 prosecutions, Rwandan and Balkan crimes, 67 statutory limitations, 78 universal jurisdiction, 55 Tadic case, 585 ´ aiding and abetting, 374–5, 376 equality of arms, 438 joint criminal enterprise, 368–9 mens rea, 371 jurisdiction, 126–8 meaning of armed conflict, 284 milestone, 126–8 transfer from Germany, 126 war crimes, 272 internal conflicts, 277, 282 witness anonymity, 135 Takayanagi, Kenzo, 116 Taliban, 337, 341 targets military objectives, meaning, 295 prohibited targets, war crimes, 295–7 Taylor, Charles, 185, 518, 550–2 territorial jurisdiction, principle, 46–7 terrorism conventions, 10, 334, 339–40 definition human rights and, 343–4 liberation movements and, 339, 345, 346 material elements, 345–6 mental elements, 346–7 overview, 342–7 state terrorism, 346 UNGA, 339, 340 UNSC resolution, 343 extradition, 96–7 global agreements, 339–40 ICC jurisdiction and, 152, 343, 349–50 international crimes, 349–52 crimes against humanity, 351–2 war crimes, 350–1 legal classification, 4, 8, 336–7 legal history, 338–42 military approaches, 337–8 national prosecutions, 347–9 evidence, 348 human rights, 347–8, 349 614 Index terrorism (cont.) 9/11 attacks, 337, 338, 342, 352 overview, 336–52 regional conventions, 341 UNSC resolutions, 341–2 competence, 342 cooperation obligations, 87 definition of terrorism, 343 threat to peace and security, 342 Tokyo IMT aggression, 313–14, 320, 321 assessment, 118–19 command responsibility, 116, 117, 118, 388 composition, 115–16 creation, 115 crimes against humanity, 232 armed conflict nexus, 234 death penalty, 494 defence, 116 documentary evidence, 332 historical record, 32 immunities and, 550 judgments, 116–18 liability principles conspiracy, 367–8, 383 planning, 382 no appeals, 471 overview, 115–19 procedures, 427 Prosecutor, 115 sentences, 116 trial, 116–18 victors’ justice, 118–19 war crimes, sexual violence, 293 torture 1984 Convention, 334, 353–7 absolute prohibition, 352 Committee against Torture, 353 crimes against humanity, 251–3 customary law, 251 extradition and, 98–100 international crime, 357 jus cogens, 251, 352 legal cooperation and, 93 material elements, 353–5 mental elements, 356 national prosecutions, 356–7 sexual violence, 253, 355 taxonomy, 4, transnational crime, 353–7 war crimes, 291 Touvier, Paul, 65, 83 transfer of population crimes against humanity, 249–50 occupied territories, 308–9 war crimes, 294, 308–9 transfer of proceedings ICTR, 141 ICTY, 125, 132 state cooperation, 104 transitional societies, 562–3 transnational crimes meaning, 5–6 suppression conventions, 334, 335–6 jurisdiction, 336 terminology, 334 terrorism See terrorism torture, 353–7 treaty crimes, 335 treachery, 306–7 treaties jurisdiction and, 46 signatures, obligations, 172 sources of law, 9–10 suppression conventions, 10, 334, 335–6 See also transnational crimes jurisdiction, 336 treaty crimes, 335 trials in absentia, 469 procedures, 469–70 public hearings, 434, 469 Trinidad and Tobago, 59, 145 truth commissions ICC jurisdiction and, 158–9 overview, 571–5 tu quoque invalid plea, 420 Nuremberg IMT, 113, 114 Tokyo IMT, 118 Turkey, 65, 230 Tutu, Desmond, 569 Uganda ICC proceedings admissibility, 158 peace and justice dilemma, 178, 583 self-referral, 166 suspension requests, 170 Lord’s Resistance Army, 166, 178, 583 reintegration ceremonies, 577 UNAMID, 516 Index uniforms, misuse, 307 United Kingdom Boer Wars, 65 command responsibility, 397 cooperation, statutory limitations, 90 Declaration on Armenia (1915), 230 defences insanity, 406 intoxication, 408 superior orders, 417 extradition, 94 evidence, 95 extraditable offences, 96 human rights, 96 Rwandans, 99 ICC and war crimes, 301 immunities diplomatic immunities, 546 personal immunities, 548, 558 Pinochet case, 538–42 Iraq War, 324 jurisdiction irregular arrests, 101 nationality and, 47 passive personality principle, 50 universal jurisdiction, 54 war crimes, 54 legislation on international crimes, 75 Lockerbie Court and, 196 Nuremberg IMT and, 111 prosecutions customary law and, 74 international case law and, 76 limited legislation, 74 post-war military trials, 120 WWII cases, 65, 74 Sierra Leone intervention, 182 terrorism approach, 337 military approach, 337 prosecution evidence, 348 state terrorism and, 346 torture, 355, 356 Torture Convention and, 541 universal jurisdiction legislation, 54, 58–9 Pinochet case, 57 Sawoniuk case, 60 Zardad case, 60 World War II bombing, 114 United Nations 615 aggression, 314–15, 321–5 cooperation, Model Treaties, 86, 99 crimes against humanity, 232 emblems, perfidious use, 306, 307 Friendly Relations Declaration (1970), 315 GA powers, 329 genocide and, 203, 205, 220 Human Rights Committee, amnesties and, 564 immunities, 536 lustration, 575 Nuremberg Principles, 113, 543 peacekeeping forces cooperation with Tribunals, 516–17 East Timor, 189 Kosovo, 189 Rwanda, 136 Sierra Leone, 182 status of conflicts, 281 Security Council See United Nations Security Council on superior orders, 416 terrorism GA definition, 339, 340 human rights and, 349 victims Van Boven/Bassiouni Principles, 479, 481, 490 Victims Declaration (1985), 479, 481 War Crimes Commission, 53 extermination, 247 Working Group on Arbitrary Detention, 251 United Nations Security Council accountability and, 583 ICTR completion strategy, 139 cooperation obligations, 510 creation, 136 staffing, 138, 139 war crimes in internal conflicts, 277 ICTY completion strategy, 131 cooperation obligations, 510 creation, 123–4, 126–8 International Criminal Court and aggression jurisdiction, 316, 329–31 deferral of investigations/prosecutions, 169–70 enforcement of decisions, 171 independence, 432 initiation of proceedings, 163–4, 166 616 Index United Nations Security Council (cont.) referrals, 509 Relationship Agreement, 517 US challenges, 174–6 Lockerbie Court and, 196 role in criminal proceedings, 440–1 special tribunals and establishment, 182–93 immunities, 552–4, 556–8 independence from, 432 terrorism, 87, 338 competence, 342 Counter-Terrorism Committee, 342 definition, 343 human rights and, 349 resolutions, 341–2 threat to peace and security, 342 use of force authorization, 322, 324–5 self-defence, 322 United States Alien Tort Claims Act, 576 Caroline incident, 323 Civil War, 65 court-martials, 66 Darfur and genocide, 212 extradition denaturalization and, 67 extraditable offences, 96 political offences, 96 UK residents, 95 Genocide Convention and, 215 ICTR, cooperation with, 521 immunities, 546 International Criminal Court and challenges, 174–7 cooperation, 558 Darfur proceedings, 164 enforced prostitution, 257 future, 580 genocide, 206 jurisdiction negotiations, 167 non-surrender agreements, 176–7 opposition, 171–2 Rome Conference, 147 Security Council resolutions, 174–6 Iraq War, 324, 571 jurisdiction nationality, 49 passive personality principle, 49 universal jurisdiction, 54, 59 Lieber Code, 267, 273 Lockerbie Court and, 196 My Lai massacres, 49, 66 9/11 attacks, 337, 338, 342, 352 Nuremberg IMT and, 111 post-war Crimes Commission, 231 rendition programme, 100, 101 self-defence, pre-emptive, 323 terrorism cooperation, 348 military approach, 337 Military Commissions, 77–9, 349 prosecutions, 348–9 war on terror, 337 Tokyo IMT and, 115–16, 118–19 torture, definition, 354, 355 universal jurisdiction absolute jurisdiction, 51–2 amnesties and, 61, 567–8 approaches, 51–2 Belgium, 55–7 conditional jurisdiction, 52 debate, 50 decline, 55–60, 581 forum shopping, 60–1 Geneva Conventions and, 53 limiting, 57–8 meaning, 50–1 national practices, 58–60 neo-colonialism, 61 overview, 50–62 political critique, 61–2 practical problems, 60–1 rise, 53–5 UNMIK, 189 UNTAET, 189, 190–2 Ušaka, Judge Anita, 212, 219 use of force humanitarian interventions, 324–5 self-defence, 322–4, 408–10 UNSC authorization, 322, 324–5 Van Boven/Bassiouni Principles, 479, 481, 490 Vandermeersch, Damien, 56 Venezuela, 165 vengeance, 24–5 victims adversarial systems, 478 assistance by accused, 501 children, 479 civil law systems, 484 Index definition, 481 ICC and, 479–80 assessment, 491–2 definition, 481 participation, 484–9 procedures, 178 protection, 483–4, 492 reparation, 490–1, 492 ICC participation appeals, 489 appropriateness, 487 conditions, 485 legal representation, 487 overview, 484–9 personal interests, 486–7 purposes, 485 stages of proceedings, 488–9 indirect victims, 481 justice for, 30–1, 569 legal persons, 481, 486 parties civiles, 484 protection, 440, 481–4, 492 reparation freezing assets, 490–1 ICC, 490–1, 492 national systems, 478 role, 439–40 UN Victims Declaration (1985), 479, 481 Van Boven/Bassiouni Principles, 479, 481, 490 war crimes, nexus, 287–8 victors’ justice, 118–19, 583 video-links, 515 Vienna Declaration (1993), 257 Vietnam, 185 war crimes armed conflicts, 279–82 internal conflicts, 275–9 internal conflicts or riots, 282–5 international or internal, 280–2 nexus, 285–6 perpetrators, 286–7 victims/objects, 287–8 child soldiers, use of, 309–11 common elements, 279–89 crimes against humanity and, 233, 586–7 criminal liability, 273–4 excessive civilian damage mental element, 301–2 overview, 297–302 617 proportionality principle, 297–8 proportionality test, 299–301 humanitarian law and, 271–3 grave violations, 267 ICC jurisdictional threshold, 288–9 legal history, 273–5 non-combatants, against deportation, 294 experiments, 291 forced conscription, 294–5 hostage taking, 294 murder, 290–1 outrages on dignity, 291–2 overview, 290–5 prisoners of war, 294 punishment without trial, 294 sexual violence, 292–3 slavery and forced labour, 295 torture, 291 transfer of population to occupied territories, 308–9 violence and mistreatment, 290–3 offences, 289–311 against non-combatants, 290–5 excessive civilian damage, 279–82 lists, 275, 289–90 prohibited methods, 305–8 prohibited targets, 295–7 prohibited weapons, 303–5 property crimes, 302–3 terrorism, 350–1 prohibited targets, 295–7 prohibited warfare methods, 305–8 human shields, 307–8 misuse of flags and insignia, 307 no quarters, 306 treachery and perfidy, 306–7 prohibited weapons, 303–5 property crimes, 302–3 sentencing practice, 499 weapons Conventions, 268 indiscriminate weapons, war crimes, 303–5 Webb, William, 116 Webster, Daniel, 323 Westphalia Treaty (1648), 563 Wicquefort, A van, 533–4 Wilhelm II, Kaiser, 110, 312–13 witnesses proofing, 462 protection, 440, 481–4, 492 618 Index witnesses (cont.) role, 439–40 self-incrimination, 439 subpoenas, 440, 513–14 transfer of detained witnesses, 515 video-links, 515 written statements, 466 Wyngaert, Judge Christine Van den, 56 Yamashita, General, 120 Yerodia case personal immunities and national courts, 547–9, 582 universal jurisdiction, 56 Yugoslavia (Former) See also ICTY concentration camps, 369 cooperation with ICTY, 130, 521, 528 forced pregnancies, 257 legal status of FRY, 515, 553 prosecutions, 67, 68 proxy forces, 282 successor state, 515 Zaghawa people, 212, 225 Zardad, Faryadi, 60 Zimbabwe, 101 ... intentionally left blank An Introduction to International Criminal Law and Procedure This market-leading textbook gives an authoritative account of international criminal law, and focuses on what... of Law, Kingston, Canada is an associate fellow at Chatham House and Visiting Professor at University College London ELIZABETH WILMSHURST An Introduction to International Criminal Law and Procedure. .. lxiv INTRODUCTION Introduction: What is International Criminal Law? 1.1 International criminal law 1.2 Other concepts of international criminal law 1.3 Sources of international criminal law 1.4 International