TREATISE ON INTERNATIONAL CRIMINAL LAW VOLUME I:FOUNDATIONS AND GENERAL PART2025|PDF|Epub|mobi|kindle电子书版本百度云盘下载

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Chapter Ⅰ: Historical Overview: The Road from Early Prosecutions of War Crimes to the Creation of the ICC1

A. The Versailles Peace Treaty and Historical Precedents1

B. The First Ad Hoc Tribunals: Nuremberg and Tokyo4

(1) The trials against the major war criminals of Germany and Japan5

(2) Post-Nuremberg WWII trials7

(3) The Nuremberg Principles as the immediate consequence of the Nuremberg Trials9

C. The Development of International Criminal Law Prior to the Establishment of the UN Ad Hoc Tribunals10

(1) The Genocide Convention10

(2) The Hague and Geneva laws11

(3) The Draft Codes of the International Law Commission16

(4) Private initiatives18

D. The UN Ad Hoc Tribunals19

(1) The International Criminal Tribunal for the Former Yugoslavia19

(2) The International Criminal Tribunal for Rwanda22

E. The International Criminal Court23

(1) Negotiating history23

(2) The Rome Statute, the structure of the Court and other legal instruments25

(a) General25

(b) The judges26

(c) The Office of the Prosecutor (OTP)29

(d) Registry, and Assembly of States Parties31

(e) Legal sources32

(f) The first Review Conference in Kampala34

(3) Current investigations35

(a) Situations and triggers35

(b) From situations to cases37

F. The 'Mixed' Tribunals40

(1) The legal bases40

(a) Kosovo41

(b) East Timor42

(c) Sierra Leone43

(d) Cambodia44

(e) Iraq46

(f) Lebanon48

(g) Bangladesh50

(2) Comparative analysis51

Chapter Ⅱ: Concept, Function, and Sources of International Criminal Law54

A. Concept, Meaning, and Object of International Criminal Law54

B. Punitive Power, Overall Function, and Purposes of Punishment56

(1) The punitive power (ius puniendi) of the international community57

(2) The overall function of (international) criminal law60

(a) The theoretical starting point: protection of 'Rechtsgüter' and prevention of harm60

(b) The transfer to international criminal law65

(3) On the purposes of punishment stricto sensu67

(a) Traditional theories67

(b) International criminal law68

C. Sources and Methods of Interpretation73

Chapter Ⅲ: Imputation and General Structure of Crime in International Criminal Law81

A. A General Part of International Criminal Law81

B. Imputation in International Criminal Law83

(1) Individuals acting in a collective context84

(2) Individual responsibility86

C. Fundamental Principles: Legality, Culpability, and Fairness87

(1) Legality88

(2) Culpability93

(3) Fairness95

D. The Structure of Crime97

(1) Preliminary remarks: the nature of crime and the question of 'the system'97

(2) The structure of crime in ICL99

Chapter Ⅳ: Individual Criminal Responsibility102

A. The Recognition of Individual Criminal Responsibility in International Criminal Law102

B. Historical Case Law on Individual Criminal Responsibility in ICL103

(1) The Nuremberg, Tokyo, and UNWCC trials103

(a) The applicable law103

(b) Objective elements of individual responsibility (actus reus)105

(ⅰ) Causal connection?105

(ⅱ) Participation/complicity106

(ⅲ) Expansion of attribution108

(1) Command responsibility108

(2) Conspiracy110

(3) Membership in a criminal organization111

(c) Subjective elements of individual responsibility (mens red)112

(2) Selected judgments on Nazi crimes, and other state-sponsored criminality113

(a) Objective elements of responsibility (actus reus)113

(ⅰ) Participation, in particular perpetration by virtue of an organization113

(ⅱ) Others118

(b) Subjective elements of responsibility (mens rea)119

C. The Modern Law on Individual Criminal Responsibility120

(1) Preliminary remarks120

(2) Article 7(1) ICTYS and Article 6(1) ICTRS121

(a) 'Direct' commission: physical and co-perpetration121

(b) 'Indirect' commission I: joint criminal enterprise123

(c) 'Indirect' commission II: aiding and abetting127

(d) Incitement to commit genocide132

(e) Delimitation of co-perpetration and aiding and abetting134

(3) Mixed tribunals135

(a) The applicable law135

(b) The case law136

(ⅰ) The Special Panels of East Timor136

(ⅱ) The Special Court for Sierra Leone138

(ⅲ) The Extraordinary Chambers in the Courts of Cambodia140

(ⅳ) The Iraqi Special Tribunal141

(ⅴ) The Special Tribunal for Lebanon142

(4) Article 25 ICC Statute as the central provision on individual criminal responsibility in modern ICL144

(a) Preliminary remarks: the law of participation and Article 25(3)144

(b) Detailed analysis of paragraph 3148

(ⅰ) Forms of perpetration (subparagraph (a))148

(1) Direct perpetration148

(2) Co-perpetration149

(3) Perpetration through another person, in particular organizational control ('Organisationsherrschaft')154

(4) Special consideration: joint criminal enterprise (ICE)160

(ⅱ) Complicity I: encouragement (subparagraph (b))163

(ⅲ) Complicity II: assistance (subparagraph (c))164

(ⅳ) Responsibility extension I: other contribution to group crime (subparagraph (d))166

(ⅴ) Responsibility extension II: incitement to commit genocide (subparagraph (e))170

(ⅵ) Participation and the crime of aggression (paragraph 3bis)171

(ⅶ) Complicity after commission171

(ⅷ) Special consideration: JCE III and fundamental principles of criminal law172

(c) Conclusions and perspectives176

Chapter Ⅴ: Omission, in Particular Command Responsibility180

A. Rationale, Concept, and Forms of Omission180

B. Is There General Omission Liability (Commission Par Omission) in ICL?189

(1) The sources: written and case law189

(2) Commission by omission as a rule of customary law or a general principle?193

(3) Conclusion197

C. Omission Liability Proper: Command Responsibility197

(1) Preliminary remarks197

(2) Article 7(3) ICTYS and Article 6(3) ICTRS199

(3) Mixed tribunals203

(4) Article 28 ICC Statute206

(a) Preliminary remarks206

(b) Objective requirements of superior responsibility208

(ⅰ) The status of the superior208

(ⅱ) Effective 'command and control' or 'authority and control'210

(ⅲ) Crimes as a 'result' of the superior's failure to exercise control properly215

(ⅳ) 'Necessary and reasonable' countermeasures 'within his or her power'217

(c) Subjective requirements of superior responsibility220

(ⅰ) Military and non-military superior: positive knowledge220

(ⅱ) Military superior: 'should have known'221

(ⅲ) Non-military superior: 'consciously disregarded information which clearly indicated...'227

(d) Special issues228

(ⅰ) Command responsibility and ordering228

(ⅱ) Command responsibility and JCE229

(ⅲ) Command responsibility and the principle of culpability230

(ⅳ) Command responsibility in non-international armed conflicts232

Chapter Ⅵ: Attempt as a Special Form of Individual Criminal Responsibility233

A. General Considerations233

(1) Why punish attempt?234

(2) History of attempt in international criminal law235

(3) Definition (Article 25(3)(f) ICC Statute)236

(4) Crimes subject to attempt liability in ICL238

B. The Essential Elements of Attempt in Comparative Law as a Basis for ICL240

(1) Incompletion of the offence241

(2) Subjective requirement: intent to commit the crime (intent or fault element)243

(3) Objective requirement (conduct element)245

(a) Comparative law: common and civil law approaches245

(b) Conclusion: no 'magic formula' to determine the commencement of attempt251

C. The Correct Approach to the ICC Statute's 'Commencement of Execution': a Formula of Approximation252

D. Application to ICL Core Crimes (Articles 5-8 ICC Statute)256

(1) Genocide (Article 6), including incitement and general (secondary) participation256

(2) Crimes against humanity (Article 7)259

(3) War crimes (Article 8)262

(4) Crime of aggression (Article 8bis)263

E. Abandonment264

F. Conclusion265

Chapter Ⅶ: The Subjective Requirements of International Crimes266

A. The General Mental Requirement: Intent and Knowledge (Article 30 ICC Statute)266

(1) Preliminary remarks and terminological clarifications266

(2) The subject matter or objects of reference of Article 30 in general270

(a) The general object of reference of the mental element: material elements270

(b) The specific objects of reference of the mental element: 'conduct', 'consequence', and 'circumstance'271

(3) The standard or degrees of the mental element274

(a) With regard to 'conduct'274

(b) With regard to 'consequence'275

(c) With regard to 'circumstance'276

(d) Are lower standards than 'intent' and 'knowledge' sufficient?276

(4) The object of reference of the mental element with regard to the specific crimes (Articles 6-8 ICC Statute)278

(a) Genocide (Article 6)279

(b) Crimes against humanity (Article 7)280

(c) War crimes (Article 8)283

(5) The object of reference of the mental element with regard to the forms of participation (Article 25 ICC Statute)288

(6) The mental element and normative elements of the offence289

B. Additional or Different Subjective Requirements Pursuant to the 'Unless Otherwise Provided' Formula291

(1) Preliminary remarks291

(2) Genocide (Article 6 ICC Statute)292

(a) 'Intent to destroy'292

(b) Underlying acts of genocide294

(3) Crimes against humanity (Article 7 ICC Statute)295

(4) War crimes (Article 8 ICC Statute)297

(5) Modes of participation (Article 25(3) ICC Statute)299

C. Conclusion300

Chapter Ⅷ: Grounds Excluding Responsibility ('Defences')301

A. Introduction301

B. Classification of Defences302

(1) Substantive and procedural defences302

(2) Full and partial defences303

(3) Justifications and excuses304

(4) Failure of proof defences and alibi307

(5) Hierarchy of defences308

C. Substantive Defences311

(1) Preliminary conceptual questions311

(a) Substantive defences in ICL311

(b) Relevant point of time312

(c) Standard and burden of proof312

(d) Application of defences by the ICC314

(2) Mental disease or defect (Article 31(l)(a) ICC Statute)314

(a) The insanity defence in national criminal law314

(b) The insanity defence in the international jurisprudence319

(c) The approach of the ICC Statute320

(d) Obstacles to proof and the role of expert witnesses323

(3) Intoxication (Article 31(l)(b) ICC Statute)324

(a) The intoxication defence in national criminal law324

(b) The intoxication defence in the international jurisprudence327

(c) The approach of the ICC Statute328

(4) Self-defence and defence of others (Article 31(l)(c) ICC Statute)330

(a) Self-defence in national criminal law330

(b) The differentiation between state and private self-defence334

(c) The applicability of private self-defence in ICL336

(d) Self-defence in the international jurisprudence337

(e) The approach of the ICC Statute338

(5) Duress and necessity (Article 31(l)(d) ICC Statute)342

(a) Duress/necessity in national criminal law342

(b) Duress/necessity in the international jurisprudence348

(ⅰ) Nuremberg jurisprudence348

(ⅱ) Post-Nuremberg jurisprudence349

(ⅲ) Recent international jurisprudence with a special focus on the Erdemovic case352

(c) The approach of the ICC Statute356

(ⅰ) Threat of death or serious bodily harm356

(ⅱ) Necessary and reasonable reaction359

(ⅲ) Subjective requirements359

(ⅳ) Special considerations applicable to the killing of innocent civilians361

(6) Mistake of fact and mistake of law366

(a) Mistake in national criminal law366

(b) Mistake in the international jurisprudence368

(c) The approach of the ICC Statute370

(ⅰ) Mistakes concerning the elements of an offence370

(ⅱ) Mistakes concerning defences374

(ⅲ) Critical assessment of the error iuris rule375

(7) Superior order376

(a) Superior order in the international jurisprudence377

(b) The approach of the ICC Statute379

(8) Other defences386

(a) Consent of the victim387

(b) Military necessity388

(c) Reprisals390

(d) Tu-quoque principle393

D. Procedural Defences393

(1) Preliminary conceptual questions393

(2) The ne bis in idem principle396

(a) National ne bis in idem396

(b) Transnational ne bis in idem399

(c) International ne bis in idem401

(3) Immunities406

(a) General remarks406

(b) Types of immunities407

(c) Immunity as a procedural defence410

(d) Immunity for international crimes?411

(ⅰ) Vertical immunity (vis-a-vis international criminal tribunals)413

(ⅱ) Horizontal immunity (interstate level)417

(4) Amnesties, pardons, and other waivers of punishment419

(a) The need for a proportionality test420

(b) Consequences for amnesties: two approaches422

(ⅰ) Blanket amnesties: strict approach422

(ⅱ) Conditional amnesty: flexible approach425

(c) Consequences for international tribunals426

(5) Other procedural defences427

(a) Statute of limitations427

(b) Exclusion of jurisdiction over juveniles430

(c) Incompetence/unfitness to stand trial432

(d) Abuse of process434

General Literature438

Index of Names445

Index of Subjects448