An introduction to international criminal law and procedure

Cover......Page 1
Half-title......Page 3
Title......Page 6
Copyright......Page 7
Contents......Page 8
Preface......Page 14
ICJ......Page 17
Other court decisions immediately following the Second World War (also listed under the relevant State below)......Page 18
ICTY......Page 19
ICTR......Page 26
ICC......Page 29
SCSL......Page 30
European Court of Human Rights......Page 31
Inter-American Commission on Human Rights......Page 32
Bosnia and Herzegovina (Human Rights Chamber)......Page 33
Germany......Page 34
Spain......Page 35
UK......Page 36
US......Page 37
Table of Treaties and other International Instruments......Page 38
Table of Abbreviations......Page 45
Book titles and their abbreviations as used in the text......Page 47
1.1 International criminal law......Page 48
1.1.1 Crimes within the jurisdiction of an international court or tribunal......Page 49
1.2.1 Transnational criminal law......Page 50
1.2.2 International criminal law as a set of rules to protect the values of the international order......Page 51
1.2.4 Crimes created by international law......Page 52
1.3.1 Treaties......Page 53
1.3.2. Customary international law......Page 54
1.3.3 General principles of law and subsidiary means of determining the law......Page 55
1.4.1 International criminal law and human rights law......Page 56
1.4.3 International criminal law and State responsibility......Page 58
1.5 A body of criminal law......Page 59
1.5.1 Nullum crimen sine lege......Page 60
1.5.2 Nulla poena sine lege......Page 62
Further reading......Page 63
2.1 Introduction......Page 64
2.2 The aims of international criminal justice......Page 65
2.2.1 Retribution......Page 66
2.2.2 Deterrence......Page 67
2.2.4 Rehabilitation......Page 69
Justice for victims......Page 70
Post-conflict reconciliation......Page 71
Further benefits of international trials......Page 72
2.2.7 Can international criminal law fulfil these goals?......Page 73
2.2.8 Other critiques of criminal accountability......Page 75
2.3 Alternatives and complements to criminal prosecution......Page 77
2.3.1 Amnesties......Page 78
2.3.2 Truth commissions......Page 80
2.3.4 Reparations and civil claims......Page 82
Further reading......Page 83
3.2.1 Legislative jurisdiction......Page 84
3.2.3 Executive jurisdiction......Page 85
3.3.2 Treaties and jurisdiction......Page 86
3.4.1 The territoriality principle......Page 87
3.4.2 The nationality principle......Page 88
3.4.3 The passive personality principle......Page 89
3.4.4 The protective principle......Page 90
3.5.2 Approaches to universal jurisdiction......Page 91
3.5.3 The rise of universal jurisdiction......Page 92
The Yerodia case......Page 95
Limiting universality......Page 96
Other practice......Page 97
3.5.5 Universal jurisdiction’s practical problems......Page 98
3.5.6 Policy-based/political criticisms of universal jurisdiction......Page 99
Further reading......Page 100
4.2 National prosecutions......Page 101
4.3.1 Treaty obligations......Page 105
4.3.2 Customary obligations and ius cogens arguments......Page 106
4.4.1 Domestic legislation......Page 108
4.4.2 The ICC as a catalyst for domestic legislation......Page 110
4.5 Statutory limitations......Page 111
4.6 Principle of non-retroactivity......Page 113
4.7.1 Application between States......Page 114
4.7.2 Application vis-à-vis international criminal jurisdictions......Page 115
4.8 Practical obstacles to national prosecutions......Page 116
Further reading......Page 117
5.1 Introduction......Page 118
5.2 International agreements......Page 119
5.3 Some basic features......Page 120
5.3.2 Double criminality, rule of specialty and statutory limitations......Page 121
5.3.3 Ne bis in idem or double jeopardy......Page 123
5.3.4 Human rights and legal cooperation......Page 124
5.4 Extradition......Page 126
5.4.2 Extradition procedures......Page 127
5.4.3 Extraditable and non-extraditable offences......Page 128
5.4.4 Non-extradition of nationals......Page 129
5.4.5 Death penalty, life imprisonment and other human rights grounds......Page 130
5.4.6 Re-extradition......Page 131
5.4.7 Abduction, rendition or expulsion......Page 132
5.5 Mutual legal assistance......Page 133
5.7 Enforcement of penalties......Page 135
Further reading......Page 136
6.2 The Commission on the Responsibility of the Authors of the War......Page 138
6.3.1 The creation of the Tribunal......Page 139
6.3.2 The Tribunal and the Trial......Page 140
6.3.3 Assessment of the Nuremberg IMT......Page 142
6.4.1 The creation of the Tribunal......Page 143
6.4.2 The Tribunal and the Trial......Page 144
6.4.3 Assessment of the Tribunal......Page 146
6.5 Control Council Law No.10 trials and military commissions in the Pacific sphere......Page 147
Further reading......Page 148
7.2.1 The creation of the ICTY......Page 149
7.2.3 The jurisdiction of the ICTY and its relationship to national courts......Page 151
Beginnings and the Tadić case......Page 152
The time of trials......Page 155
Moving towards completion......Page 156
7.2.5 Appraisal of the ICTY......Page 157
7.3.1 The creation of the ICTR......Page 159
Teething troubles......Page 160
Moving forwards......Page 161
The completion strategy......Page 162
7.3.5 Appraisal of the ICTR......Page 163
Further reading......Page 164
8.2 The creation of the ICC......Page 166
8.2.1 The Rome Conference......Page 168
Working methods during the negotiations......Page 170
8.3 Structure and composition of the ICC......Page 171
8.4 Crimes within the jurisdiction of the ICC......Page 172
8.5 Complementarity......Page 174
8.5.1 Unwillingness......Page 175
8.5.3 Voluntary relinquishment of jurisdiction and uncontested admissibility......Page 176
8.5.4 Challenges to admissibility......Page 177
8.5.5 Amnesties and truth and reconciliation commissions......Page 178
8.5.6 Other grounds for inadmissibility......Page 179
8.6.1 Prosecutor’s power to initiate an investigation......Page 180
8.6.2 ‘Self-referrals’......Page 181
8.7 Jurisdiction: personal, territorial and temporal......Page 182
8.7.1 Article 124......Page 183
8.7.4 Temporal jurisdiction......Page 184
8.8 Deferral of investigation or prosecution......Page 185
8.10 Opposition to the ICC......Page 186
8.10.1 Opposition to jurisdiction over nationals of non-party States......Page 187
8.10.2 Other arguments against the Statute......Page 188
Security Council resolutions......Page 189
Non-surrender agreements......Page 191
8.11 Early developments at the ICC......Page 192
Further reading......Page 194
9.1 Introduction......Page 196
9.2.1 Special Court for Sierra Leone......Page 197
9.2.2 Cambodia: Extraordinary Chambers......Page 200
9.3.1 Kosovo and East Timor: Special Panels......Page 202
9.3.2 Bosnia and Herzegovina: the War Crimes Chamber......Page 206
9.4.1 Iraq: the Iraqi High Tribunal......Page 207
9.4.2 Serbia: the War Crimes Chamber......Page 208
9.6 Relationship to the ICC......Page 209
Further reading......Page 210
10.1.1 Overview......Page 212
10.1.2 Historical development......Page 213
10.1.3 Relationship to crimes against humanity......Page 214
10.1.4 The nature of genocide......Page 215
10.2 The protected groups......Page 216
10.2.1 National, racial, ethnical and religious groups......Page 217
10.2.2 Identification of the group......Page 219
Causing serious bodily or mental harm to members of the group......Page 221
Deliberately inflicting on the group conditions of life calculated to bring about its physical destruction in whole or in part......Page 222
Imposing measures intended to prevent births within the group......Page 223
10.3.2 The ‘contextual element’......Page 224
10.4.1 ‘to destroy’......Page 226
10.4.2 ‘in whole or in part’......Page 227
10.4.3 ‘as such’......Page 228
10.4.4 Intent......Page 229
10.5 Other acts......Page 232
Further reading......Page 233
11.1.2 Historical development......Page 234
11.1.3 Relationship to other crimes......Page 237
No nexus to armed conflict......Page 238
11.2.2 ‘Any civilian population’......Page 239
Widespread or systematic......Page 241
‘Attack directed’ and the controversy concerning the policy element......Page 242
The divide in the authorities......Page 243
Interpretation of the authorities......Page 244
11.2.5 Mental element......Page 246
11.3.1 The list of prohibited acts......Page 247
11.3.2 Murder......Page 248
11.3.3 Extermination......Page 249
11.3.4 Enslavement......Page 250
11.3.5 Deportation or forcible transfer......Page 251
11.3.6 Imprisonment......Page 252
11.3.7 Torture......Page 253
11.3.8 Sexual violence......Page 255
Rape......Page 256
Sexual slavery......Page 257
Forced pregnancy......Page 258
Other sexual violence......Page 259
Severe deprivation of fundamental rights......Page 260
Connection to other acts......Page 261
Relationship to other crimes......Page 262
11.3.10 Enforced disappearance......Page 263
11.3.11 Apartheid......Page 265
11.3.12 Other inhumane acts......Page 266
Further reading......Page 267
12.1.2 A brief history of humanitarian law......Page 268
12.1.3 Key principles of humanitarian law......Page 270
12.1.4 The challenge of regulating warfare......Page 271
12.1.5 The relationship between war crimes and IHL......Page 272
12.1.6 A brief history of the law of war crimes......Page 274
12.1.7 War crimes in internal armed conflicts......Page 276
12.2.1 Armed conflict......Page 279
12.2.2 Distinguishing between international and internal conflicts......Page 280
UN forces......Page 281
Proxy forces......Page 282
12.2.3 Distinguishing internal conflict from riots and disturbances......Page 283
12.2.4 Nexus between crime and conflict......Page 285
12.2.5 The perpetrator......Page 286
12.2.6 The victim or object of the crime......Page 287
12.3.1 The lists of war crimes in the statutes of the Tribunals and the ICC......Page 288
Violence and mistreatment......Page 289
Other legal interests of protected persons......Page 292
12.3.3 Attacks on prohibited targets......Page 294
The principle of proportionality......Page 296
Second side of the equation: military advantage......Page 297
Comparing the two sides of the equation: the proportionality test......Page 298
The mental element......Page 299
12.3.5 War crimes against property......Page 300
12.3.6 Prohibited means of warfare (weapons)......Page 301
12.3.7 Prohibited methods of warfare......Page 303
12.3.8 War crime provisions protecting other values......Page 305
Child soldiers......Page 306
Further reading......Page 308
13.1.2 Historical development......Page 309
The International Criminal Court negotiations......Page 312
13.2 State responsibility for unlawful use of force......Page 314
13.2.1 Self-defence......Page 315
13.2.2 Authorizations under Chapter VII......Page 316
13.2.4 Aggression by a State......Page 317
13.3.1 Perpetrators......Page 318
Act of aggression......Page 319
13.4 Mental elements......Page 321
13.5.2 General principles and other provisions of the ICC Statute......Page 322
13.5.3 Conditions for the exercise of the ICC’s jurisdiction......Page 323
13.5.4 Implications of the prosecution of aggression before the ICC......Page 326
Further reading......Page 327
14.1.1 Overview......Page 328
14.1.2 International suppression Conventions......Page 329
14.2.1 Introduction......Page 330
14.2.2 Development of international cooperation against terrorism......Page 331
Terrorism agreements......Page 332
Security Council resolutions......Page 333
14.2.3 The definition of terrorism......Page 334
Material elements......Page 336
Mental elements......Page 337
14.2.4 National counter-terrorism measures and human rights......Page 338
14.2.5 Terrorism as an international crime......Page 339
Terrorism as a war crime......Page 340
14.3.1 Introduction......Page 341
Material elements......Page 342
Mental elements......Page 344
Further reading......Page 345
15.1 Introduction......Page 348
15.2 Perpetration/commission......Page 349
15.3 Joint criminal enterprise......Page 351
15.3.1 Actus reus......Page 352
15.3.2 Mens rea......Page 354
15.3.3 The nature of joint criminal enterprise liability......Page 355
15.4 Aiding and abetting......Page 357
15.5.1 Ordering......Page 359
15.5.2 Instigating, soliciting, inducing and inciting......Page 361
15.6.2 Attempt......Page 363
15.6.3 Conspiracy......Page 364
15.7 Mental elements......Page 365
15.8 Command/superior responsibility......Page 367
15.8.1 Superior/subordinate relationship......Page 370
15.8.2 Mental element......Page 371
15.8.3 Failure to take measures......Page 372
15.8.4 Causation......Page 374
15.8.5 The nature of superior responsibility......Page 375
Further reading......Page 377
16.1.1 The types of defences......Page 378
16.2 The ICC Statute and defences......Page 379
16.3 Mental incapacity......Page 380
16.4 Intoxication......Page 382
16.4.3 A complete defence......Page 383
16.5.1 Imminent, unlawful use of force......Page 384
16.5.2 Reasonable and proportionate response......Page 385
16.6 Duress and necessity......Page 386
16.6.3 Causation......Page 387
16.7 Mistake of fact and law......Page 388
16.8 Superior orders......Page 389
16.8.1 Obligation to obey......Page 391
16.8.3 Manifest illegality......Page 392
16.9 Other ‘defences’......Page 393
16.9.2 Reprisals......Page 394
Further reading......Page 395
17.1.2 Different legal traditions......Page 396
17.1.3 International criminal tribunals and courts......Page 398
17.1.4 International and domestic procedural law......Page 399
17.2.1 International human rights standards......Page 400
17.2.2 Independence and impartiality......Page 401
17.2.3 Presumption of innocence......Page 403
17.2.4 Public, fair and expeditious proceedings......Page 404
17.3.2 Prosecutor......Page 406
17.3.3 Defendant and defence counsel......Page 407
17.3.4 Victims and witnesses......Page 408
17.3.5 States, international organizations and others......Page 410
17.4 Jurisdiction and admissibility procedures......Page 411
17.5 Commencement and discontinuance of a criminal investigation......Page 412
17.6 The criminal investigation......Page 413
17.7.1 Coercive measures in general......Page 415
17.7.2 Deprivation or restriction of liberty and surrender of suspects......Page 416
17.7.3 Legality of the arrest and violations of procedural rights......Page 418
17.8.1 Decision whether to prosecute......Page 420
17.8.2 Amendments to and withdrawal of the indictment......Page 421
17.8.3 The indictment......Page 422
17.8.4 The charge and its relationship to the judgment......Page 423
17.8.5 Concurrence of offences – alternative and cumulative charges......Page 424
17.9.1 First appearance and confirmation of charges......Page 425
17.9.2 Preparations for trial......Page 427
17.9.3 Disclosure of evidence......Page 428
17.10 Evidentiary rules......Page 429
17.11 Admission of guilt, guilty pleas, plea-bargaining......Page 431
17.12 Trial and judgment......Page 433
17.13.2 Standard of review......Page 435
17.14 Revision......Page 437
17.15 Offences against the administration of justice......Page 438
Further reading......Page 439
18.1 International punishment of crimes......Page 440
18.2 Purposes of sentencing......Page 442
18.3 Sentencing practice......Page 443
18.3.1 Aggravating and mitigating circumstances......Page 444
18.3.2 Cumulative or joint sentences......Page 446
18.5 Sentencing procedures......Page 447
18.7 Enforcement......Page 448
Further reading......Page 450
19.1 Characteristics of the cooperation regimes......Page 452
19.2.1 States......Page 453
19.2.2 Conflicting international obligations of States......Page 454
19.2.3 Individuals......Page 455
19.3 Non-States Parties and international organizations......Page 457
19.5 Cooperation and the ICC complementarity principle......Page 459
19.6 Authority to seek cooperation and defence rights......Page 460
19.7 Arrest and surrender......Page 461
19.8.1 Grounds for refusal......Page 463
19.8.3 On-site investigations......Page 464
19.8.4 Assistance regarding coercive measures......Page 465
19.9 Domestic implementation......Page 466
19.10 An assessment......Page 467
Further reading......Page 468
20.1.1 Overview......Page 469
20.1.2 Functional and personal immunity......Page 470
20.1.3 Examples of immunities......Page 471
20.1.4 Underlying rationales and values......Page 473
20.1.5 A balancing of values, not a trumping......Page 474
20.2 Functional immunity......Page 475
20.2.1 The Pinochet precedent......Page 476
20.2.2 Other authorities......Page 479
20.3.1 State practice and jurisprudence......Page 481
20.3.2 The ICJ Yerodia decision......Page 482
Omission of the principle that functional immunity does not include core crimes......Page 483
Recognition of immunities on private visits......Page 484
20.4 Relinquishment of personal immunity in international courts......Page 485
20.4.2 The International Criminal Court......Page 486
20.4.3 The situation of hybrid courts......Page 488
20.5 Conclusion......Page 491
Further reading......Page 492
21.2 International courts and tribunals......Page 493
21.3 Developments in national prosecutions of international crimes......Page 494
21.4 The trend towards accountability......Page 496
21.5 The development of international criminal law......Page 498
21.6 The path forward (or back?)......Page 500
Index......Page 503