INTERNATIONALCRIMINAL LAW:

CASES ANDCOMMENTARY

ANTONIO CASSESE

GUIDO ACQUAVIVA

MARY FANAND

ALEX WHITING

OXFORDUNIVERSITY PRESS

CONTENTS

Preface v

Source Acknowledgements vii

List of Common Abbreviations xxiii

Table of Cases and Reports xxvii

Table of Treaties and Conventions xxxviii

Table of International Instruments xli

Table of Statutes of International Tribunals xliii

Table of Rules of Procedure and Evidence of International Courts xlv

Table of National Legislation xlvi

PART I SOURCES AND PRINCIPLES OF INTERNATIONALCRIMINAL LAW

Introduction

1. SOURCES OF INTERNATIONAL CRIMINAL LAW 5

(A) International Custom and the Value of Precedents 5

ICTY, Prosecutor v. Tadic, Appeals Chamber, Jurisdiction Decision,2 October 1995 6

ICTY, Prosecutor v. Kupreskic et al, Trial Chamber, Judgment of14 January 2000 17

ICTY, Prosecutor v. Aleksovski, Appeals Chamber, Judgment of

24 March 2000 22

Commentary 25

Questions 26

Further Reading 26

(B) Treaties and Instruments Establishing International Tribunals 26

IMT Nuremberg, Goring et al, Judgment of 30 September-1October 1946 27

ICTY, Prosecutor v. Delalic et al. (Celebici case), Trial Chamber,

Judgment of 16 November 1998 30

Commentary 33

Questions 34

Further Reading 34

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(C) General Principles of Law 34

ICTY, Prosecutor v. Erdemovic, Appeals Chamber, Judgment of7 October 1997 (Joint Separate Opinion of Judge McDonald and

Judge Vorah) 36

ICTY, Prosecutor v. Furundzija, Trial Chamber, Judgment of

10 December 1998 38

Commentary 40

Questions 41

Further Reading 41

(D) International Criminal Law and Human Rights 41

ICTY, Prosecutor v. Kupreskic et al., Trial Chamber, Judgmentof 14 January 2000 42

STL, In re Hariri, President, Order on Conditions of Detention,21 April 2009 44

ICC, Situation in the Democratic Republic of the Congo, Pre-Trial Chamber I,Decision on the Applications for Participation in the Proceedings of VPRS 1,VPRS 2, VPRS 3, VPRS 4, VPRS 5 and VPRS 6,17 January 2006 48

ICTR, Prosecutor v. Rwamakuba, Trial Chamber, Decision on AppropriateRemedy, 31 January 2007 49

Commentary 51

Questions 52

Further Reading 52

2. THE FUNDAMENTAL PRINCIPLES OF INTERNATIONALCRIMINAL LAW 53

(A) Nullum Crimen Sine Lege 53

The Notion and Its Origins 53

IMT Nuremberg, Goring et al., Judgment of 30 September-1 October 1946 55

International Military Tribunal for the Far East, US et al. v. Araki et al,Separate Opinion of Bernard Victor Aloysius Roling, 12 November 1948 58

International Military Tribunal for the Far East, US et al. v. Araki et al..Separate Opinion of Radhabinod Pal, 12 November 1948 59

Commentary 60

SCSL, Prosecutor v. Norman, Appeals Chamber, Decision on PreliminaryMotion Based on Lack of Jurisdiction, 31 May 2004 61

Corollary Principles: Specificity, Non-Retroactivity andNon-Extension by Analogy 67

CONTENTS xi

European Court of Human Rights, Kononovv. Latvia, App. No. 36376/04,Grand Chamber, Judgment of 17 May 2010 68

ICTY, Prosecutor v. Milutinovic etal, Decision on Dragoliub Ojdanic's Motion

Challenging Jurisdiction - Joint Criminal Enterprise, 21 May 2003 72

Commentary 73

Questions 75

Further Reading 76

(B) Immunities 76

The Notion and Its Origins 76

Functional Immunities 76

Israel, Eichmann v. Attorney-General, Supreme Court, Judgment of 29May 1962 77

United Kingdom, R v. Bow Street Stipendiary Magistrate (Bartle) expartePinochet Ugarte (No. 3), House of Lords, Judgment of 24 March 1999 79

USA, Matarv. Dichter, US Court of Appeals for the Second Circuit,

Decision of 16 April 2009 85

Commentary 87

Personal Immunities 88

Spain, Fidel Castro, Audiencia Nacional (Central Criminal Court),Decision of 4 March 1999 89

France, Gaddafi case, Cour de cassation, Judgment of13 March 2001 91

Belgium, Sharon and Yaron, Cour de cassation, Judgment of12 February 2003 92

SCSL, Prosecutor v. Taylor, Appeals Chamber, Decision on

Immunity from Jurisdiction, 31 May 2004 93

Commentary 96

Other Sources of 'Immunities' 96

ICTY, Prosecutor v. Karadzic, Decision on Karadzic's Appeal of Trial

Chamber's Decision on Alleged Holbrooke Agreement, 12 October 2009 97

Questions 99

Further Reading 99

(C) Ne Bis In Idem 99

The Notion and Its Origins 99ICTY, Prosecutors Tadic, Trial Chamber, Decision on theDefence Motion on the Principle of Non-BisTn-Idem, 14 November 1995 100

ICTY, Prosecutor v. Karadzic, Trial Chamber, Decision on the Accused'sMotion for a Finding on Non-Bis-In-Idem, 16 November 2009 103

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Commentary

The Complexity of Multiple Sovereigns

Amnesty and Ne Bis In Idem

ECCC, Decision on Appeal Against Provisional Detention Order ofIeng Sary, 17 October 2008

Commentary

Questions

Further Reading

104

105

108

108

111

112

112

PART I I C R I M E S

Introduction 113

1. WAR CRIMES 117

(A) The Notion and Its Origins 118

(B) Grave Breaches 118

(C) War Crimes in Non-International Armed Conflicts 118

(D) Link with the Armed Conflict 119

(E) Categories of War Crimes 120

(F) War Crimes Committed by Civilians 122

Superior Military Government Court of the French Occupation Zone

in Germany, Rochling et al., Judgment of 25 January 1949 122

Israel, Enigster, Tel-Aviv District Court, Judgment of 4 January 1952 127

Commentary 132

(G) Violations of the Rules on the Conduct of Warfare 132

Means of Warfare 132

Japan, Shimoda et al. v. the State, Tokyo District Court, Judgment of

7 December 1963 132

Commentary 138

Methods of Warfare 138

USA, US v. Calley, Court of Military Appeals, Judgment of

21 December 1973 138

ICTY, Prosecutor v. Galic, Trial Chamber, Judgment of 5 December 2003 141

Commentary 153

Questions 153

Further Reading 153

CONTENTS Xiii

2. CRIMES AGAINST HUMANITY 154

(A) The Notion and Its Origins 154

IMT Nuremberg, Goring et al, Judgment 30 September-1 October 1946(Streicher, von Schirach) 156

US Military Tribunal Sitting in Nuremberg, US v. Altstotter et al.{Justice Trial), Judgment of 3-4 December 1947 159

ICTY, Prosecutor \. Tadic, Trial Chamber, Judgment of

7 May 1997 166

Commentary 168

(B) The Perpetrators and the Victims 168

US Military Tribunal Sitting in Nuremberg, US v. Greifelt et al. (RuSHA Trial),

Judgment of 10 March 1948 169

France, Papon case, Cour de cassation, Judgment of 23 January 1997 170

ICTY, Prosecutor v. Limaj et al, Trial Chamber, Judgment of

30 November 2005 170

France, Barbie case, Cour de cassation, Judgment of 20 December 1985 174

ICTY, Prosecutor v. Martic, Appeals Chamber, Judgment of

8 October 2008 175

Commentary 179

(C) The'Chapeau'Elements 179

ICTY, Prosecutor v. Kunarac et al, Appeals Chamber, Judgment of

12 June 2002 181

Commentary 184

(D) The Specific Crimes Within Crimes Against Humanity 184

ICTY, Prosecutor v. Kupreskic et al, Trial Chamber, Judgment of14 January 2000 186ICTR, Nahimana et al. v. Prosecutor (the Media case), Appeals Chamber,Judgment of 28 November 2007 188ICTY, Prosecutor v. Kunarac et al, Trial Chamber, Judgment of

22 February 2001 194

Commentary 198

Questions 199

Further Reading 199

3. GENOCIDE 200

(A) The Notion and Its Origins 200

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(B) The Elements of Genocide 201

The Underlying Acts 201

ICTR, Prosecutor v. Akayesu, Trial Chamber, Judgment of

2 September 1998 201

Commentary 203

Protected Groups 204

ICTY, Prosecutor v. Krstic, Trial Chamber, Judgment of 2 August 2001 204

Commentary 207

Genocidal Intent 209

ICTY, Prosecutor v. Jelisic, Trial Chamber, Judgment of 14 December 1999 209

ICTY, Prosecutor v. Jelisic, Appeals Chamber, Judgment of 5 July 2001 214

ICTY, Prosecutor v. Krstic, Trial Chamber, Judgment of 2 August 2001 217

Report of the International Commission of Inquiry on Darfur to the United

Nations Secretary-General, 25 January 2005 (UN Doc. S/2005/60) 223

Commentary 227

(C) Cultural Genocide? 228

Germany, Jorgic case, Federal Court of Justice (Bundesgerichtshof),Judgment of 30 April 1999 228

(D) Prevention of Genocide vs. Complicity in Genocide 229

ICJ, Application of the Convention on the Prevention and Punishment of theCrime of Genocide (Bosnia and Herzegovina v. Serbia and Montenegro),

Judgment of 26 February 2007 230

(E) Domestic Implementation 234

Australia, Nulyarimma v. Thompson, Federal Court of Australia,

Judgment of 1 September 1999 234

Questions 236

Further Reading 237

4. AGGRESSION 238

US Military Tribunal Sitting in Nuremberg, US v. von Weizsdcker et al.

(Ministries case), Judgment of 11-13 April 1949 241

US Military Tribunal Sitting in Nuremberg, US v. von Leeb et al.(High Command case), Judgment of 27 October 1948 244

Commentary 247

US Military Tribunal Sitting in Nuremberg, US v. Krauch et al.(I.G. Farben case), Judgment of 30 July 1948 248

Commentary 251

United Kingdom, R v. Jones, House of Lords, Judgment of29 March 2006 252

CONTENTS XV

Commentary 254

Questions 255

Further Reading 255

5. TORTURE 256

(A) Overview: The Practice and the Prohibition 256

(B) Elements of the Crime of Torture 258

Severity of Pain or Suffering 259

ICTY, Prosecutor v. Brdanin, Appeals Chamber, Judgment of 3 April 2007 260

Commentary 262

Public Official as Actor 265

ICTY, Prosecutor v. Kunarac, Trial Chamber, Judgment of 22 February 2001 265

Commentary 268

Intent and Purpose 269

ICTY, Prosecutor v. Kunarac, Appeals Chamber, Judgment of 12 June 2002 270

Commentary 271

(C) Necessity? 271

Israel, Legality of the General Security Service Interrogation Methods, Supreme

Court, Judgment of 6 September 1999 271

Commentary 281

Germany, Daschner Wolfgang and E. case, Regional Court (Landgericht) of

Frankfurt am Main, Decision of 20 December 2004 282

Questions 284

Further Reading 285

6. TERRORISM 286

(A) The Notion and Its Origins 286

(B) Outlawing Terrorist Acts 286

(C) Criminalizing Terrorism 288

Lebanon, In re Dany Chamoun et al, Judicial Council, JudgmentNo. 5/1995 of 24 June 1995 288

USA, US v. Fawaz Yunis, US Court of Appeals, District of Columbia Circuit,

Judgment of 29 January 1991 294

(D) Terrorists and International Humanitar ian Law 301

USA, Hamdan v. Rumsfeld, Supreme Court, Judgment of 29 June 2006 301

Italy, Bouyahia Maher Ben Abdelaziz et al.. Supreme Court, JudgmentNo. 1072 of 17 January 2007 305

XVi CONTENTS

Commentary 310

Questions 311

Further Reading 311

7. PIRACY 312

USA, US v. Smith, Supreme Court, Judgment of 25 February 1820 314

USA, The Ambrose Light, Federal District Court of New York, Judgment of 30September 1885 315

United Kingdom, In Re Piracy lure Gentium, Judicial Committee of the PrivyCouncil, Judgment of 26 July 1934 317

Kenya, Hassan M. Ahmed et al. v. Republic, High Court of Kenya, Judgment of

12 May 2009 319

Commentary 321

Questions 321

Further Reading 321

PART III FORMS OF RESPONSIBILITY

Introduction 323

1. COMMISSION 327

USA, US v. Potter, US Navy Board of Review, Judgment of 5 June 1968 328

ICTR, Gacumbitsi v. Prosecutor, Appeals Chamber, Judgment of

7 July 2006 330

Commentary 332

Questions 332

Further Reading 333

2. JOINT CRIMINAL ENTERPRISE 334

ICTY, Prosecutor v. Tadic, Appeals Chamber, Judgment of 15 July 1999 335

ICTY, Prosecutor v. Brdanin, Appeals Chamber, Judgment of 3 April 2007 344

ICTY, Prosecutor v. Martic, Appeals Chamber, Judgment of 8 October 2008 347

Commentary 351

Questions 351

Further Reading 352

CONTENTS XVii

3. CO-PERPETRATION 353

ICC, Prosecutor v. Lubanga, Pre-Trial Chamber, Decision on the

Confirmation of Charges of 29 January 2007 354

Commentary 360

ICC, Prosecutor v. Katanga and Chui, Pre-Trial Chamber, Decision on the

Confirmation of Charges of 30 September 2008 360

Questions 361

Further Reading 362

4. PLANNING 363

ICTY, Prosecutor v. Kordic and Cerkez, Trial Chamber, Judgment of26 February 2001 and Appeals Chamber, Judgment of 17 December 2004 364

ICTY, Prosecutorv. DragomirMilosevic, Appeals Chamber, Judgment of 12

November 2009 365

Commentary 367

Questions 367

Further Reading 368

5. ORDERING 369

(A) Overview 369

(B) Must the Order Be Executed? 370

USA, Court-Martial of General Jacob H. Smith, 3 March 1903 370

Commentary 372

(C) MensRea 373

ICTY, Prosecutor v. Blaskic, Trial Chamber, Judgment of 3 March 2000 373

ICTY, Prosecutor v. Blaskic, Appeals Chamber, Judgment of 29 July 2004 376

Commentary 379

Questions 379

Further Reading 380

6. AIDING AND ABETTING 381

Federal Republic of Germany, S. and others (Hechingen and Haigerloch

Deportation case), Tribunal (Landgericht) Hechingen, Judgment of

28 June 1947 382

Federal Republic of Germany, S. and others (Hechingen and Haigerloch

Deportation case), Court of Appeal (Oberlandesgericht) Tubingen,

Judgment of 20 January 1948 386

xviii CONTENTS

US Military Tribunal Sitting in Nuremberg, US v. Ernst von Weizsacker et al,

(Ministries case), Judgment of 11-13 April 1949 387

Commentary 388

ICTY, Prosecutor v. Furundiija, Trial Chamber, Judgment of10 December 1998 390

USA, Khulumani v. Barclay National Bank Ltd. et al, US

Court of Appeals for the Second Circuit, Judgment of 12 October 2007 399

Questions 400

Further Reading 401

7. INCITEMENT TO COMMIT GENOCIDE 402

(A) The Notion and Its Origins 402

(B) The Meaning of Direct and Public Incitement 404

ICTR, Nahimana et al. v. Prosecutor (Media case), Appeals Chamber,

Judgment of 28 November 2007 405

ICTR, Prosecutor v. Bikindi, Trial Chamber, Judgment of 2 December 2008 412

Commentary 414

(C) Intent and Causation 416

Canada, Mugesera v. Canada (Minister of Citizenship and Immigration),

Judgment of 28 June 2005 416

Commentary 419

Questions 420

Further Reading 420

8. SUPERIOR RESPONSIBILITY 421

(A) The Notion 421

(B) A Controversial Start 422

US Military Commission in Manila, Trial of General Tomoyuki Yamashita,

Case No. 21, US Military Commission, Manila,8 October-7 December 1945 422

USA, In re Application of Yamashita, Supreme Court, Judgment of

4 February 1946 425

Commentary 431

(C) Crystallization and Codification 431

(D) Elements 436

Subordination: Effective Command and Control 436

ICTY, Prosecutor v. Hadzihasanovic, Appeals Chamber, Judgment of22 April 2008 438

CONTENTS xix

SCSL, Prosecutor v. Brima (AFRC case), Appeals Chamber, Judgment of

22 February 2008 444

Commentary 445

Mens Rea 446

ICTY, Prosecutor v. Strugar, Appeals Chamber, Judgment of 17 July 2008 446

Commentary 450

Actus Reus: Omission 450

ICTY, Prosecutor v. Strugar, Appeals Chamber, Judgment of 17 July 2008 451

Commentary 455

Questions 456

Further Reading 456

PART IV CIRCUMSTANCES EXCLUDINGCRIMINAL RESPONSIBILITY

Introduction 459

1. JUSTIFICATIONS: SELF-DEFENCE 461

US General Military Court in Ludwigsburg (Germany),Erich Weiss and Wilhelm Mundo, Decision of 10 November 1945,Report of the Judge Advocate 461

Commentary 462

Questions 463

Further Reading 463

2. EXCUSES 464

(A) Superior Orders 464

Germany, LLandovery Castle case (Dithmar and Boldt case), Supreme Court(Reichsgericht) at Leipzig, Judgment of 16 July 1921 464

US Military Commission, Csihas et al, Report of the Judge Advocate,

September 1946 466

Italy, Kappler et al, Military Tribunal, Judgment No. 631 of 20 July 1948 468

Israel, Jamal Abd El-Kader Mahmud et al. v. The Military AdvocateGeneral et al (Afeircase), Supreme Court, Judgment of

27 December 1989 470

Commentary 471

Questions 472

Further Reading 472

XX CONTENTS

(B) Duress 472

US Military Tribunal Sitting in Nuremberg, US v. Ohlendorfet al.

(Einsatzgruppen case), Judgment of 10 April 1948 473

ICTY, Prosecutor v. Erdemovic, Appeals Chamber, Judgment of

7 October 1997 476

East Timorese Transitional Administration, Prosecutor v. Leki, Special Panels

for Serious Crimes (SPSC), Judgment of 11 June 2001 (English original) 487

Questions 491

Further Reading 491

(C) Necessity 491

US Military Tribunal Sitting in Nuremberg, US v. Flick et al, Judgment of 22December 1947 492

Federal Republic of Germany, Sch. and Dr. L. (Gestapo members case), GermanFederal High Court (Bundesgerichtshof), Judgment of 14 October 1952 494

Israel, Eichmann v. Attorney General, Supreme Court, Judgment of

29 May 1962 496

France, Touvier case, Court of Appeal, Versailles, Judgment of 2 June 1993 497

Commentary 499

Questions 499

Further Reading 500

(D) Mistake of Fact 500

USA, US v. Schxvarz, Navy Court of Military Review, Judgment of

29 October 1971 500

Commentary 501

USA, US v. McMonagle, US Court of Military Appeals, Judgment of27 September 1993 502

Commentary 504

Federal Republic of Germany, Polish prisoner of war case, Federal Court of

Justice (Bundesgerichtshof), Judgment of 12 December 1950 504

Questions 506

Further Reading 507

(E) Mistake of Law 507

Germany, Llandovery Castle case (Dithmar and Boldt case), Supreme Court(Reichsgericht) at Leipzig, Judgment of 16 July 1921 507

Netherlands, In re Wintgen, Special Court of Cassation, Judgment of

6 July 1949 508

Netherlands, B., Court Martial, Judgment of 2 January 1951 509

Federal Republic of Germany, Sch. and Dr. L. (Gestapo members case)Federal High Court (Bundesgerichtshof), Judgment of 14 October 1952 510

CONTENTS Xxi

Questions 511

Further Reading 512

(F) Mental Disorder 512

Germany, Stenger and Crusius, German Imperial Court (Reichsgericht)in Leipzig, Judgment of 6 July 1921 512

Commentary 515

Questions 515

Further Reading 515

(G) TuQuoque 516

IMT Nuremberg, Goring et al, Judgment of 30 September-1 October 1946

(Donitz) 516

ICTY, Prosecutor v. Kupreskic, Trial Chamber, Judgment of 14 January 2000 518

ICTY, Prosecutor v. Martic, Appeals Chamber, Judgment of 8 October 2008 520

Questions 521

Further Reading 522

PART V JURISDICTIONAL A N D PROCEDURAL ISSUES

Introduction 523

1. PRIMACY VERSUS COMPLEMENTARITY 525

ICTR, Prosecutor v. Kanyabashi, Trial Chamber, Decision on theDefence Motion on Jurisdiction, 18 June 1997 526

ICTR, In the Matter ofTheoneste Bagosora, Trial Chamber, Decisionon the Application by the Prosecutor for a Formal Request for Deferral,17 May 1996 526

ICC, Prosecutor v. Kony et al, Pre-Trial Chamber, Decisionon the Admissibility of the Case under Article 19(1) of the Statute,10 March 2009 530

Commentary 534

2. STATE COOPERATION 535

ICTY, Prosecutor v. Blaskic, Appeals Chamber, Judgment on the Requestof the Republic of Croatia for Review of the Decision of Trial Chamber II of

18 July 1997, 29 October 1997 535

ICTY, Prosecutor v. Dokmanovic, Trial Chamber, Decision on the Motion forRelease by the Accused Slavko Dokmanovic, 22 October 1997 553

Commentary 555

XXii CONTENTS

3. SURRENDER AND ARRESTS 557

(A) Relations Between International Tribunals and Domestic Courts 557

ICTY, Prosecutor v. Martic, Trial Chamber, Decision on the Prosecution'sMotion to Request Leave to File a Corrected Amended Indictment,13 December 2002 558

ICTY, Prosecutor v. Nikolic, Appeals Chamber, Decision on Interlocutory

Appeal Concerning Legality of Arrest, 5 June 2003 559

Commentary 563

(B) Interstate Relations 563

Italy, Adler and 32 others (Abu Omar case), Milan Single Judge, Verdict of4 November 2009, Reasons Filed on 1 February 2010 564

Commentary 570

4. TRIAL PROCEDURES 571

ICTY, Prosecutor v. Limaj et al. Trial Chamber, Decision on the Prosecution'sMotions to Admit Prior Statements as Substantive Evidence, 25 April 2005 572

ICC, Prosecutor v. Lubanga Dyilo, Trial Chamber, Decision Regardingthe Practices Used to Prepare and Familiarise Witnesses for GivingTestimony at Trial, 30 November 2007 577

Commentary 580

Questions 580

Further Reading 580

Index 583