International Criminal Law Practitioner Library, Vol. 1: Forms of Responsibility in International Criminal Law (The International Criminal Law Practitioner) (v. 1)

462 Pages·2008·1.78 MB·English

by  Gideon Boas

FORMS OF RESPONSIBILITY IN INTERNATIONAL
CRIMINAL LAW
VolumeIoftheInternationalCriminalLawPractitionerLibraryseriesfocuses
onthelawof individualcriminalresponsibilityappliedininternationalcrim-
inallaw,providingathoroughreviewoftheformsofcriminalresponsibility.
The authors present a critical analysis of the elements of individual criminal
responsibility as set out in the statutory instruments of the international and
hybridcriminalcourtsandtribunalsandtheirjurisprudence.Allelementsare
discussed,demystifyinganduntanglingsomeoftheconfusioninthejurispru-
dence and literature on the forms of responsibility. The jurisprudence of the
ICTY and the ICTR is the main focus of the book. Every trial and appeal
judgement,aswell asrelevantinterlocutoryjurisprudence,upto1 December
2006, has been surveyed, as has the relevant jurisprudence of other tribunals
and the provisions in the legal instruments of the ICC, making this a highly
relevantandtimelywork.
GIDEON BOAS, a former Senior Legal Officer at the ICTY, is a Senior
Lecturer in Law at Monash University Law Faculty and an international
lawconsultant.
JAMES L. BISCHOFF, a former Associate Legal Officer at the ICTY, is a
LawClerkintheChambersoftheHonourableJuanR.TorruellaoftheUnited
StatesCourtofAppealsfortheFirstCircuit.
NATALIE L. REID, a former Associate Legal Officer at the ICTY, is an
AssociatewithDebevoise&PlimptonLLP,NewYork.

FORMS OF RESPONSIBILITY IN
INTERNATIONAL CRIMINAL LAW
International Criminal Law Practitioner Library Series
VolumeI
GIDEON BOAS
JAMES L. BISCHOFF
NATALIE L. REID
Theviewsexpressedinthisbookarethoseoftheauthorsalone
anddonotnecessarilyreflecttheviewsoftheInternational
CriminalTribunalfortheformerYugoslaviaortheUnited
Nationsingeneral.
CAMBRIDGEUNIVERSITYPRESS
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Contents
Foreword pagexiii
Tableofauthorities xvii
1 Introduction 1
1.1 Formsofresponsibilityininternationalcriminallaw 1
1.2 Scopeofthisbookandterminologyused 4
2 Jointcriminalenterprise 7
2.1 OriginsanddevelopmentofJointCriminalEnterprise
inthejurisprudenceoftheadhocTribunals 10
2.2 LimitedapplicationofJCEintheICTR 28
2.3 ElementsofJointCriminalEnterprise 33
2.3.1 Physicalelements 34
2.3.1.1 TheJCEconsistedofapluralityofpersons:
firstphysicalelement 35
2.3.1.2 Commonplan,design,orpurpose:second
physicalelement 37
2.3.1.3 TheaccusedparticipatedintheJCE:third
physicalelement 44
2.3.2 Mentalelements 51
2.3.2.1 MentalelementsofthefirstcategoryofJCE 51
2.3.2.1.1 Voluntaryparticipation 51
2.3.2.1.2 Sharedintent 52
2.3.2.2 MentalelementsofthesecondcategoryofJCE 57
2.3.2.2.1 Personalknowledge 57
2.3.2.2.2 Intenttofurthercriminalpurpose 59
2.3.2.2.3 Sharedintentforspecific-intent
crimes 67
2.3.2.3 MentalelementsofthethirdcategoryofJCE 68
v
vi Contents
2.3.2.3.1 Intenttoparticipateandfurther
criminalpurpose 68
2.3.2.3.2 Accused’santicipationofnatural
andforeseeablecommission
ofchargedcrime 70
2.4 TheBrd(cid:2)aninTrialJudgement:reiningintheexpansionofJCE? 84
2.4.1 TheBrd(cid:2)aninTrialJudgement 85
2.4.2 WarningsignsbeforetheBrd(cid:2)aninTrialJudgement 89
2.4.3 PrecedentconsideredintheBrd(cid:2)aninTrialJudgement 93
2.4.4 Post-Brd(cid:2)aninjurisprudence 96
2.4.5 AssessingtheimpactofBrd(cid:2)anin 103
2.5 Indirectco-perpetration:anewformofcommon-purpose
liability? 104
2.5.1 TheStakic´TrialJudgement 105
2.5.2 Theprosecutor’sresponsetotheBrd(cid:2)aninandStakic´
TrialJudgements 109
2.5.3 TheMarch2006Milutinovic´decision 112
2.5.4 TheStakic´AppealJudgement 114
2.5.5 TheGacumbitsiAppealJudgement 116
2.5.6 AssessingtheimpactofMilutinovic´,Stakic´and
Gacumbitsi 121
2.6 JointCriminalEnterpriseanditsanaloguesinthe
InternationalCriminalCourtandinternationalisedtribunals 124
2.6.1 TheInternationalCriminalCourt 124
2.6.2 TheInternationalisedTribunals 128
2.6.2.1 SpecialCourtforSierraLeone(SCSL) 128
2.6.2.2 EastTimor:SpecialPanelsforSeriousCrimes
(SPSC) 133
2.6.2.3 TheExtraordinaryChambersintheCourts
ofCambodia(ECCC) 136
2.6.2.4 SupremeIraqiCriminalTribunal(SICT),
formerlyknownastheIraqiSpecial
Tribunal(IST) 137
2.7 Conclusion 140
3 Superiorresponsibility 142
3.1 Originsanddevelopmentofthesuperiorresponsibility
doctrine 145
3.1.1 Therootsofthesuperiorresponsibilitydoctrine 145
3.1.2 DevelopmentssubsequenttotheSecondWorldWar 148
Contents vii
3.1.3 Historicalevolutionoftheelementsofsuperior
responsibility 152
3.1.3.1 Historicalevolutionofthesubordinate-superior
relationshipelement 152
3.1.3.1.1 Post-SecondWorldWarcases 153
3.1.3.1.2 Additionalprotocols 157
3.1.3.1.3 StatutesoftheadhocTribunals 158
3.1.3.2 Historicalevolutionofthementalelement 159
3.1.3.2.1 Post-SecondWorldWarcases 159
3.1.3.2.2 Additionalprotocols 167
3.1.3.2.3 TheKahanReport(Israeli
CommissionofInquiry) 168
3.1.3.2.4 TheStatutesoftheadhocTribunals 169
3.1.3.2.5 ICCStatute 169
3.1.3.3 Historicalevolutionofthe‘necessaryand
reasonablemeasures’element 170
3.1.3.3.1 Post-SecondWorldWarcases:
‘necessaryandreasonablemeasures’ 170
3.1.3.3.2 Post-SecondWorldWarcases:
dutytopreventasaseparateduty? 172
3.1.3.3.3 Additionalprotocols 173
3.2 Elementsofsuperiorresponsibility 174
3.2.1 Elements 181
3.2.1.1 Asuperior-subordinaterelationshipexisted
betweentheaccusedandthepersonforwhose
criminalconductheisallegedtoberesponsible 181
3.2.1.2 Theaccusedkneworhadreasontoknowthat
thecriminalconductinquestionwasaboutto
be,wasbeing,orhadbeenrealisedbyone
ormoresubordinates 200
3.2.1.2.1 Actualknowledge:firstalternative
mentalelement 203
3.2.1.2.2 Constructiveknowledge:second
alternativementalelement 205
3.2.1.3 Theaccusedfailedtotakethenecessary
andreasonablemeasurestopreventorpunish
thesubordinatecriminalconductinquestion 221
3.2.1.3.1 Commonsub-elementforthe
failuretopreventandthefailure
topunish 224
viii Contents
3.2.1.3.2 Firstformofsuperior
responsibility:thefailure
toprevent 227
3.2.1.3.3 Secondformofsuperior
responsibility:thefailuretopunish 229
3.3 Thescopeofthesubordinatecriminalconductthatmaygive
risetosuperiorresponsibility 237
3.4 SuperiorresponsibilityintheInternationalCriminalCourt
andinternationalisedtribunals 252
3.4.1 TheInternationalCriminalCourt 252
3.4.1.1 Abifurcatedstandard 253
3.4.1.2 Mentalelement:ahigherstandardforcivilian
superiors 258
3.4.1.3 Causation 260
3.4.1.4 Pastcrimesandindependentobligations 262
3.4.2 Theinternationalisedtribunals 264
3.4.2.1 SpecialCourtforSierraLeone(SCSL) 264
3.4.2.2 EastTimor:SpecialPanelsforSeriousCrimes
(SPSC) 268
3.4.2.3 TheExtraordinaryChambersintheCourts
ofCambodia(ECCC) 271
3.4.2.4 SupremeIraqiCriminalTribunal(SICT) 272
3.5 Conclusion 274
4 Complicityandaidingandabetting 278
4.1 Themodesofparticipationingenocide:inchoatecrimes
orformsofresponsibility? 280
4.2 Therelationshipbetween‘aidingandabettinggenocide’
and‘complicityingenocide’ 291
4.3 Elementsofaidingandabetting 303
4.3.1 Physicalelements 304
4.3.1.1 Practicalassistance,encouragement,ormoral
support:firstphysicalelement 305
4.3.1.1.1 Theaccusedlentpracticalassistance,
encouragement,ormoralsupportto
thephysicalperpetratorin
committingacrime 305
4.3.1.1.2 Theaccusedmayaidandabetby
merepresenceatthesceneof
thecrime 307
Contents ix
4.3.1.1.3 Doesaformofresponsibilityknown
as‘aidingandabettingbyomission’
existininternationalcriminallaw? 310
4.3.1.1.4 Theaccusedmayaidandabetinthe
planning,preparation,orexecution
ofacrime,andbefore,during,or
afterthecrimeofthephysical
perpetrator 315
4.3.1.1.5 Theaccusedneednotbe
physicallypresentwhenthe
physicalperpetratorcommits
thecrime 316
4.3.1.2 Substantialeffect:secondphysicalelement 317
4.3.1.2.1 Thepracticalassistance,
encouragement,ormoralsupport
hadasubstantialeffectonthe
commissionofthecrimebythe
physicalperpetrator 317
4.3.2 Mentalelements 319
4.3.2.1 Intentionalaction 319
4.3.2.1.1 Theaccusedactedintentionally
withknowledgeorawarenessthat
hisactwouldlendassistance,
encouragement,ormoral
supporttothephysical
perpetrator 319
4.3.2.2 Awarenessofcrime 321
4.3.2.2.1 Theaccusedwasawareofthe
essentialelementsofthephysical
perpetrator’scrime,includingthe
perpetrator’smentalstate 321
4.3.2.3 Therequisiteintentoftheaccusedaiderand
abettorforspecific-intentcrimes 324
4.4 Elementsofcomplicityingenocide 327
4.4.1 Practicalassistance,encouragement,ormoral
support:firstphysicalelement 328
4.4.1.1 Theaccusedlentpracticalassistance,
encouragement,ormoralsupporttothe
physicalperpetratorincommittingacrime 328
x Contents
4.4.2 Substantialeffect:secondphysicalelement 328
4.4.2.1 Thepracticalassistance,encouragement,or
moralsupporthadasubstantialeffectonthe
commissionofthecrimebythephysical
perpetrator 328
4.4.3 Mentalelements:intentionalactionandawarenessofcrime 329
4.4.3.1 Theaccusedactedintentionally,andwasaware
oftheessentialelementsofthecrimeof
genocide,includingtheperpetrator’smentalstate 329
4.5 ComplicityandaidingandabettingintheInternational
CriminalCourtandinternationalisedtribunals 330
4.5.1 TheInternationalCriminalCourt 330
4.5.2 Theinternationalisedtribunals 334
4.5.2.1 SpecialCourtforSierraLeone(SCSL) 334
4.5.2.2 EastTimor:SpecialPanelsforSeriousCrimes
(SPSC) 336
4.5.2.3 TheExtraordinaryChambersintheCourts
ofCambodia(ECCC) 337
4.5.2.4 SupremeIraqiCriminalTribunal(SICT) 339
4.6 Conclusion 341
5 Planning,instigatingandordering 343
5.1 Evolutionoftheelementsofplanning,instigatingand
orderinginthejurisprudenceoftheadhoctribunals 344
5.2 Elementsofplanning 354
5.2.1 Designofconductwithintentorawareness
ofsubstantiallikelihood 354
5.2.2 Substantialcontribution 357
5.3 Elementsofinstigating 358
5.3.1 Promptingofconductwithintentorawareness
ofsubstantiallikelihood 358
5.3.2 Substantialcontribution 362
5.4 Elementsofordering 364
5.4.1 Instructiontoengageinconductwithintent
orawarenessofsubstantiallikelihood 364
5.4.2 Authorityofaccused 367
5.4.3 Directandsubstantialcontribution 370
5.5 Planning,instigatingandorderingintheInternational
CriminalCourtandinternationalisedcriminaltribunals 371
5.5.1 TheInternationalCriminalCourt 371