Superior Responsibility Westlaw 2

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Ima6es: SUPERIOR RESPONSIBILITY Frida ! No"em#er $%! $&&% '$:() *a+oi *I./0*0NTO 1ORLD23LR '%$45 '' &
The materia- accom7a+ i+6 this summar is su#8ect to co7 ri6ht9 Usa6e is 6o"er+ed # co+tract :ith Thomso+ Reuters! 1est a+d their affi-iates9
5 3INT,R3 445 5 39 I+t;- ,rim9 3ust9 445 (Cite as: 5 J !"t#l Crim Just $$5%
FOR EDU,0TION0L USE ONLY
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3our+a- of I+ter+atio+a- ,rimi+a- 3ustice 3u- ! $&&< Symposium &$$5 SU'ER!(R RES'()S!*!L!T+ UNDER 0RTI,LE $% I,, ST0TUTE For 1hat E=act- Is the Superior *e-d Respo"si,le> ?o-@er Ner-ich AFNa'B ,o7 ri6ht C $&&< # O=ford U+i"ersit PressD ?o-@er Ner-ich -,stra.t Superior respo"si,ility is a co+ce7t for attri#uti+6 crimi+a- -ia#i-it to mi-itar comma+ders a+d other superiors that is em7-o ed :ith some freque+c i+ the ad hoc i+ter+atio+a- crimi+a- tri#u+a-s9 Ne"erthe-ess! it remai+s u+c-ear for :hat the superior is actua-- #-amed9 The author ar6ues that :ith res7ect to superior respo"si,ility as co+strued i+ 0rtic-e $% I,, Statute the a+s:er to this questio+ de7e+ds o+ the form of superior respo"si,ility for :hich the accused is fou+d 6ui-t 9 If the superior is he-d respo"si,le for +ot ha"i+6 7re"e+ted or re7ressed the su#ordi+ate;s crime e"e+ thou6h the superior @+e: of the crime! he or she ca+ #e #-amed for #oth! the crimi+a- co+duct of the su#ordi+ate a+d the :ro+6fu- co+seque+ce caused # it9 For a-other forms of superior respo"si,ility! the superior ca+ o+- #e #-amed for his or her fai-ure to e=ercise co+tro- 7ro7er- ! :hich resu-ted i+ a :ro+6fu- co+seque+ce! #ut +ot for the crimi+a- co+duct of the su#ordi+ate9 / !"tro0u.tio" The +otio+ of superior respo"si,ility has #ee+ descri#ed as E;a+ ori6i+a- creatio+ of i+ter+atio+a- crimi+a-a:E for :hich there are +o 7aradi6ms i+ +atio+a- -e6a- s stems;9 AFN'B 0 rece+t 8ud6me+t of a Tria- ,ham#er of the &$$$ I+ter+atio+a- ,rimi+a- Tri#u+a- for the former Yu6os-a"ia FI,TYG addressed a questio+ that is of crucia- im7orta+ce for a+ accurate u+dersta+di+6 of su7erior res7o+si#i-it : i+ *adHihasa+o"ic a+d .u#ura! the Tria- ,ham#er fou+d the t:o accused 6ui-t so-e- o+ the #asis of su7erior res7o+si#i-it 7ursua+t to 0rtic-e <F(G I,TY St9 AFN$B I+ determi+i+6 the a77ro7riate se+te+ce! the Tria- ,ham#er fou+d that -ia#i-it u+der 0rtic-e <F(G I,TY St9 :as sui 6e+eris: the su7erior did +ot 7artici7ate i+ the commissio+ of the materiae-eme+ts of the su#ordi+ates; crimes! +or did the su7erior ha"e the requisite me+ta- e-eme+t i+ res7ect of these crimes9 AFN(B ,o+seque+t- ! the Tria- ,ham#er he-d that the se+te+ce of a+ accused :ho :as fou+d 6ui-t so-e- o+ the #asis of 0rtic-e <F(G I,TY St9 had to #e -i6hter tha+ if the accused :ere fou+d to ha"e 7artici7ated i+ a crime u+der 0rtic-e <F'G I,TY St9 AFN)B E+"er *adHihasa+o"ic a+d 0mir .u#ura :ere se+te+ced to 5 a+d $ ears of im7riso+me+t! res7ecti"e- 9 AFN5B The 7rese+t co+tri#utio+ see@s to a+a- se :hether the fi+di+6 of the I,TY Tria- ,ham#er that the sui 6e+eris +ature of su7erior res7o+si#i-it 8ustifies -i6hter 7u+ishme+t is a-so :arra+ted u+der the Rome Statute of the I+ter+atio+a- ,rimi+a- ,ourt FI,,St9G9 The questio+ 6uidi+6 the su#seque+t a+a- sis is :hether a su7erior :ho i+curs res7o+si#i-it u+der 0rtic-e $% I,,St9 AFN4B ma #e #-amed for the :ro+6fu- co+seque+ce caused # the crime of &$$1 the su#ordi+ate as :e-- as for the crimi+a- co+duct that co+stituted the su#ordi+ate;s crime9 AFN<B 2 3our 3orms of Superior Respo"si,ility
C $&&% Thomso+ Reuters/1est9 No ,-aim to Ori69 US Io"9 1or@s9
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0rtic-e $% I,,St9 co"ers differe+t forms of su7erior res7o+si#i-it that require disti+ct treatme+t9 AFN%B T:o disti+ctio+s are of 7articu-ar re-e"a+ce9 First of a--! this 7ro"isio+ ma@es a disti+ctio+ :ith res7ect to the seque+tia- re-atio+shi7 #et:ee+ the su7erior;s fai-ure to act a+d the commissio+ of the su#ordi+ate;s crime: the su7erior ma ha"e fai-ed either to 7re"e+t or re7ress the su#ordi+ate;s crime AFNJB or! o+ce a crime has #ee+ committed! to su#mit the matter to the com7ete+t authorities9 AFN'&B The im7orta+ce of the disti+ctio+ is e"ide+t: i+ the first case Fherei+after: ;su7erior res7o+si#i-it #efore the fact;G! the su7erior mi6ht ha"e had a 7ossi#i-it to 7re"e+t the commissio+ of the su#ordi+ate;s &$$4 crime9 AFN''B I+ the seco+d case! it is -o6ica-im7ossi#-e for the su7erior to 7re"e+t the crime # su#mitti+6 the matter to the com7ete+t authorities #ecause the crime a-read :as committed Fherei+after: ;su7erior res7o+si#i-it after the fact;G9 The seco+d disti+ctio+ that is re-e"a+t for the 7rese+t a+a- sis re-ates to the su7erior;s mi+d2set :ith res7ect to the su#ordi+ate;s crime: 7ursua+t to 0rtic-e $%FaG I,,St9 a mi-itar comma+der ca+ #e he-d accou+ta#-e if he or she either @+e: of the su#ordi+ate;s crime or ;o:i+6 to the circumsta+ces at the time! shou-d ha"e @+o:+ that the forces :ere committi+6 or a#out to commit such crimes;9 0rtic-e $%F#G I,,St9 ma@es a simi-ar disti+ctio+ for +o+2mi-itar superiors, usi+6 s-i6ht- differe+t :ordi+69 Thus! i+ the first case the superior had actua@+o:-ed6e of the su#ordi+ate;s crime Fherei+after ;@+o:-ed6e superior respo"si,ility;G9 I+ the -atter case! such @+o:-ed6e is +ot requisiteD it is sufficie+t that the superior :as i+ the 7ossessio+ of i+formatio+ that :ou-d ha"e e+a#-ed him or her to @+o: of the #ase crime Fherei+after: ;-ac@2of2@+o:-ed6e superior respo"si,ility;G9 AFN'$B 0s the t:o disti+ctio+s ma #e com#i+ed! the a+a- sis :i-- co"er four forms of superior respo"si,ility: @+o:-ed6e superior respo"si,ility #efore the fact! @+o:-ed6e superior respo"si,ility after the fact! -ac@2of2 @+o:-ed6e superior respo"si,ility #efore the fact a+d fi+a-- ! -ac@2of2@+o:-ed6e superior respo"si,ility after the fact9 5 Eleme"ts Commo" to -ll 3orms of Superior Respo"si,ility The four forms of superior respo"si,ility ha"e certai+ materia- e-eme+ts i+ commo+: a crime i+ the 8urisdictio+ of the ,ourt 7ursua+t to 0rtic-es 4 to % I,,St9 must ha"e #ee+ committed F#ase crimeGD the 7erso+ crimi+a-- -ia#-e for the #ase crime must #e a su#ordi+ate of the 7erso+ char6ed u+der 0rtic-e $% I,,St9 Fsu7erior22su#ordi+ate re-atio+shi7GD a+d! fi+a-- ! the su7erior must ha"e fai-ed to e=ercise co+tro- 7ro7er- 9 - *ase Crime The first e-eme+t commo+ to a-- four forms of su7erior res7o+si#i-it is the commissio+ of a crime :ithi+ the 8urisdictio+ of the ,ourt9 0-thou6h 0rtic-e $% I,,St9 requires that the #ase crimes #e ;committed;! it is sufficie+t if &$$6 -ia#i-it for the #ase crime is i+curred o+ the #asis of a+ form of 7ri+ci7-e 7er7etratorshi7 or accom7-ice -ia#i-it reco6+iHed i+ 0rtic-e $5F(G I,,St9 AFN'(B The 7ur7ose of su7erior res7o+si#i-it is to e+sure that comma+ders a+d su7eriors e=ercise 7ro7er co+tro- to 7re"e+t a+d! if +ecessar ! 7u+ish crimes of their su#ordi+ates a+d thus to foster com7-ia+ce :ith i+ter+atio+a- huma+itaria+ -a:9 AFN')B 0s crimi+a-ia#i-it u+der 0rtic-e $5F(G I,,St9 reaches #e o+d the 7ri+ci7-e 7er7etrator of a crime! the su7erior a-so ca+ #e he-d crimi+a-- -ia#-e :he+ the su#ordi+ate ;o+- ; is a+ assista+t or i+sti6ator to the crime of a+other 7erso+ a+d +ot a 7ri+ci7-e 7er7etrator9 E"e+ a+ i+choate crime ma #e a #ase crime: 7ursua+t to 0rtic-e $%F'GFaGFiG a+d F$G FaGFiG I,,St9! it suffices that the #ase crime is ;a#out to #e committed;9 The #ase crime! ho:e"er! must ha"e reached the thresho-d of 0rtic-e $5F(GFfG I,,St9! :hich reco6+iHes crimi+a- -ia#i-it for attem7ted crimes9 If the su#ordi+ate;s co+duct does +ot e"e+ fu-fi- the requireme+ts of -ia#i-it for attem7ted crimes u+der 0rtic-e $5F(G FfG I,,St9! su7erior res7o+si#i-it ca++ot attachD i+ such cases! the su#ordi+ate has +ot committed ;a crime i+ the 8urisdictio+ of the ,ourt9; Fi+a-- ! e"e+ crimi+a- -ia#i-it for a crime i+curred u+der 0rtic-e $% I,,St9 ma ser"e as a #ase crime9 * Superior77Su,or0i"ate Relatio"s8ip
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,o+stituti"e for su7erior res7o+si#i-it is the su7erior22su#ordi+ate re-atio+shi7 #et:ee+ the accused a+d the 7erso+ committi+6 the #ase crime9 O+- if the -atter is a su#ordi+ate of the former ca+ the former #e he-d res7o+si#-e u+der the +otio+ of su7erior res7o+si#i-it 9 To determi+e :hether a su7erior22 su#ordi+ate re-atio+shi7 #et:ee+ the accused a+d the 7erso+ actua-- committi+6 the crime e=isted! the ad hoc tri#u+a-s ha"e de"e-o7ed the effecti"e co+tro- test: if the accused e=ercised effecti"e co+tro- o"er the 7erso+ committi+6 the #ase crime is he or she that 7erso+;s su7erior9 0ccordi+6 to the I,TY 077ea-s ,ham#er i+ De-a-ic! effecti"e co+tro- de7e+ds o+ the materia- a#i-it to 7re"e+t or to 7u+ish crimi+a- co+duct9 AFN'5B I+ the B-as@ic case! the I,TY Tria- ,ham#er he-d that ;A:Bhat cou+ts is the materia- a#i-it ! :hich i+stead of issui+6 orders or ta@i+6 disci7-i+ar actio+s ma e+tai-! for i+sta+ce! su#mitti+6 &$19 re7orts to the com7ete+t authorities i+ order for 7ro7er measures to #e ta@e+9; AFN'4B It is +ot +ecessar that the su7erior22su#ordi+ate re-atio+shi7 #e of a de 8ure +ature9 The ad hoc tri#u+a-s ha"e he-d that it suffices if the accused is a de facto su7erior of the 7erso+ res7o+si#-e for the #ase crime9 AFN'<B The Rome Statute 7oi+ts i+ the same directio+! as +ot o+- mi-itar comma+ders #ut a-so 7erso+s ;effecti"e- acti+6 as a mi-itar comma+derAsB; ca+ i+cur comma+d res7o+si#i-it u+der 0rtic-e $%FaG I,,St9 Pursua+t to 0rtic-e $%F#G I,,St9! a+d co+siste+t :ith the 8uris7rude+ce of the ad hoc tri#u+a-s! AFN'%B +o+2 mi-itar su7eriors a-so ma #e he-d crimi+a-- -ia#-e o+ the #asis of su7erior res7o+si#i-it ! 7ro"ided that the ci"i-ia+ su7erior had ;effecti"e authorit or co+tro-; o"er the 7erso+ :ho committed the #ase crime9 The re-atio+shi7 #et:ee+ the su7erior a+d the su#ordi+ate does +ot +ecessariha"e to #e 7ro=imateD su7eriors hi6h u7 i+ the -i+e of comma+d ma #e he-d res7o+si#-e u+der 0rtic-e $% I,,St9 AFN'JB C 3ailure to E:er.ise Co"trol 'roperly 0 su7erior :i-- o+- #e he-d crimi+a-- res7o+si#-e u+der the co+ce7t of su7erior res7o+si#i-it if he or she fai-ed to e=ercise co+tro- 7ro7er- o"er his &$1/ or her forces or su#ordi+ates9 AFN$&B Fai-ure to e=ercise co+tro7ro7er- ma o+- resu-t i+ crimi+a- -ia#i-it if the su7erior is u+der a dut to act9 AFN$'B The dut of mi-itar comma+ders to co+tro- their troo7s is fu+dame+ta- to i+ter+atio+a- huma+itaria+ -a: AFN$$B a+d has #ee+ codified e=7ress- as a+ i+di"idua- dut of the mi-itar comma+der i+ 0rtic-e %< 0dditio+a- Protoco- I F0PIG9 0s to +o+2mi-itar su7eriors! a simi-ar dut to e=ercise co+tro- 7ro7er- deri"es from customar i+ter+atio+a- -a:9 This dut is ref-ected i+ the 8uris7rude+ce of the I,TY a+d I,TR AFN$(B a+d its e=iste+ce is 7resumed # 0rtic-e $%F#G I,,St9 Furthermore! a77-ica#-e domestic -a: ma 7ro"ide the #asis for a -e6a- dut of the su7erior to e=ercise co+tro- 7ro7er- 9 AFN$)B 4 ;"owle0<e Superior Respo"si,ility ,efore t8e 3a.t This form of su7erior res7o+si#i-it requires actua- @+o:-ed6e # the su7erior of the #ase crime9 I+ com7ariso+ to 0rtic-e (&F'G I,,St9 the requisite me+ta- e-eme+t i+ res7ect of the #ase crime is s-i6ht- -o:ered #ecause +o i+te+t is required9 AFN$5B Furthermore! the 8uris7rude+ce of the I,TY i+dicates that 6e+era- &$12 @+o:-ed6e of the #ase crime is sufficie+tD it is +ot required that the su7erior #e a:are of the e=act detai-s of the #ase crime9 AFN$4B 1here the #ase crime is 6e+ocide! the 8uris7rude+ce of the I,TY requires that the su7erior ha"e @+o:-ed6e of the 6e+ocida- i+te+t of the su#ordi+ate9 AFN$<B The 8uris7rude+ce of the I,TY does +ot require that the su7erior share the 6e+ocida- i+te+t9 AFN$%B For the su#8ect of the 7rese+t co+tri#utio+! the crucia- 7oi+t :ith res7ect to @+o:-ed6e su7erior res7o+si#i-it #efore the fact is the re-atio+shi7 #et:ee+ the su7erior;s omissio+ a+d the #ase crime9 The I,TY has he-d co+siste+t- that +o causa- -i+@ is required #et:ee+ the su7erior;s fai-ure to act a+d the #ase crime! AFN$JB :hich! at first 6-a+ce! a77ears to i+dicate that the su7erior ca++ot #e #-amed for either the crimi+aco+duct of the su#ordi+ate or the :ro+6fu- co+seque+ce caused # that co+duct9 This fi+di+6! ho:e"er! does +ot :ithsta+d c-oser a+a- sis9 First of a--! it shou-d #e +oted that accordi+6 to the 8uris7rude+ce of the I,TY! causa-it i+ the se+se of the ;#ut2for; test is +ot required for -ia#i-it as a+ aider a+d a#ettor u+der 0rtic-e <F'G
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I,TYSt9 AFN(&B It suffices that ;the su77ort of the aider a+d a#ettor has a su#sta+tia- effect u7o+ the 7er7etratio+ of the crime9; AFN('B Ne"erthe-ess! the aider a+d a#ettor is he-d crimi+a-- -ia#-e for the crimi+aco+duct of the 7ri+ci7a- 7er7etrator a+d the :ro+6fu- co+seque+ce caused # it9 This demo+strates that ;#ut2for; causa-it is +ot u+der a-- circumsta+ces required for crimi+a- res7o+si#i-it for the co+duct of a+other 7erso+9 Seco+d- ! the 8uris7rude+ce of the I,TY that +o causa-it is required #et:ee+ the fai-ure to act a+d the #ase crime mi6ht o+- #e of -imited re-e"a+ce for the i+ter7retatio+ of 0rtic-e $% I,,St9 AFN($B The cha7eau= of &$15 0rtic-e $%FaG a+d F#G I,,St9 sti7u-ate that the #ase crime #e ;a resu-t of Athe su7erior;sB fai-ure to e=ercise co+tro- 7ro7er- ;9 This i+dicates that there must #e a Fquasi2Gcausa- AFN((B -i+@ #et:ee+ the su7erior;s fai-ure to act a+d the #ase crime9 AFN()B 0r6ua#- ! this does +ot mea+ that +ecessari- ! the thresho-d of the ;#ut2for; test must #e met: the #ase crime must #e a;resu-t; of the fai-ure! #ut as the su7erior is +ot he-d res7o+si#-e for setti+6 i+ actio+ a mecha+ica- set of e"e+ts #ut for fai-i+6 to i+f-ue+ce huma+ #eha"iour! AFN(5B it :ou-d #e a+ i+surmou+ta#-e thresho-d i+ ma+ situatio+s to require that the su7erior;s fai-ure #e a co+ditio si+e qua +o+ for the commissio+ of the #ase crime9 Rather! it suffices that the su7erior;s fai-ure to e=ercise co+tro- 7ro7eri+creased the ris@ that the #ase crime :as committed9 AFN(4B The ;resu-t;2requireme+t thus is more a+ e"a-uatio+ of 7ossi#i-ities tha+ a scie+tific test9 The ;su#sta+tia- effect; test de"e-o7ed # the I,TY for aiders a+d a#ettors that :as me+tio+ed ear-ier mi6ht ser"e as 6uida+ce9 AFN(<B ,o+strued this :a ! @+o:-ed6e su7erior res7o+si#i-it #efore the fact a+d assista+ce i+ the commissio+ of the crime of a+other 7erso+ 7ursua+t to 0rtic-e $5F(GFcG I,,St9 ha"e stri@i+6 simi-arities9 AFN(%B If o+e acce7ts that assista+ce # omissio+ is co"ered # 0rtic-e $5F(GFcG I,,St9! AFN(JB the o+- su#sta+tia- differe+ce #et:ee+ assisti+6 i+ a crime a+d @+o:-ed6e su7erior res7o+si#i-it #efore the fact -ies i+ the s7ecia- me+tae-eme+t required # 0rtic-e $5F(GFcG I,,St9 for assista+ce i+ a crime9 AFN)&B Therefore! it seems doctri+a-co+siste+t to #-ame the su7erior for #oth co+duct a+d :ro+6fu- co+seque+ce of the &$14 su#ordi+ate;s crime! 8ust as the assista+t is #-amed for the crime of the 7ri+ci7a- 7er7etrator 7ursua+t to 0rtic-e $5F(GFcG I,,St9 5 La.=7of7;"owle0<e Superior Respo"si,ility ,efore t8e 3a.t 0s has #ee+ e=7-ai+ed ear-ier! the differe+ce #et:ee+ @+o:-ed6e su7erior res7o+si#i-it #efore the fact a+d -ac@2of2@+o:-ed6e su7erior res7o+si#i-it #efore the fact -ies i+ the me+ta- e-eme+t :ith res7ect to the su#ordi+ate;s crime9 1hi-e i+ the former case! the su7erior ;@+e:; that the su#ordi+ate :as committi+6 or a#out to commit a crime! i+ the -atter case! the mi-itar comma+der ;o:i+6 to the circumsta+ces at the time! shou-d ha"e @+o:+; that such crimes :ere #ei+6 committed or a#out to #e committed F0rtic-e $%FaGFiG I,,St9GD for +o+2 mi-itar su7eriors! the re-e"a+t sta+dard is set out i+ 0rtic-e $%F#GFiG I,,St9 The 8uris7rude+ce of the I,TY a+d I,TR has 7ut much effort i+to defi+i+6 the me+ta- e-eme+t of -ac@2of2 @+o:-ed6e su7erior res7o+si#i-it 9 The authoritati"e stateme+t seems to #e the test ado7ted # the I,TY 077ea-s ,ham#er i+ De-a-ic a+d others! :hich he-d that a su7erior had reaso+ to @+o: of the crime of a su#ordi+ate ;o+- if i+formatio+ :as a"ai-a#-e to him :hich :ou-d ha"e 7ut him o+ +otice of offe+ces committed # su#ordi+ates9; AFN)'B It has #ee+ ar6ued 7ersuasi"e- that the ;had reaso+ to @+o:; sta+dard de"e-o7ed # the I,TY is the same as the ;shou-d ha"e @+o:+; sta+dard for mi-itar comma+ders u+der 0rtic-e $%FaGFiG I,,St9 AFN)$B For +o+2mi-itar su7eriors 0rtic-e $%F#GFiG I,,St9 i+troduces a +e: sta+dard: the su7erior must ha"e ;co+scious- disre6arded i+formatio+ :hich c-ear- i+dicated that the su#ordi+ates :ere committi+6 or a#out to commit such crimes; i+ order to meet the thresho-d for the me+ta- e-eme+t9 0-thou6h 0rtic-e $%F#GFiG I,,St9 requires the su7erior to ;co+scious- disre6ard i+formatio+; a+d therefore a de6ree of a:are+ess of the i+formatio+ that :ou-d ha"e e+a#-ed the su7erior to @+o: of the #ase crime! the su7erior +e"erthe-ess remai+s i6+ora+t of the crime itse-f22the i+formatio+ :as disre6arded9 AFN)(B It ma #e +oted that the sta+dard for the me+ta- e-eme+t for -ac@2of2@+o:-ed6e su7erior res7o+si#i-it u+der 0rtic-e $%FaGFiG a+d F#GFiG I,,St9 is -o:er tha+ :hat is required for res7o+si#i-it as a+ aider or a#ettor u+der the 8uris7rude+ce of the ad hoc crimi+a- tri#u+a-s: the aider or a#ettor must ha"e ;@+o:-ed6e that the acts 7erformed # the aider a+d a#ettor assist the &$15 commissio+ of a s7ecific crime # the 7ri+ci7a-; AFN))B a+d a-thou6h the aider or a#ettor does +ot ha"e to ha"e @+o:-ed6e of the 7recise crime that is i+te+ded or
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committed! he or she must #e ;a:are that o+e of a +um#er of crimes :i-- 7ro#a#- #e committed; a+d ca+ #e he-d res7o+si#-e if ;o+e of those crimes is i+ fact committed;9 AFN)5B 0rtic-e $5F(GFcG I,,St9 7oi+ts to a simi-ar directio+ # requiri+6 that the assista+t acted ;AfBor the 7ur7ose of faci-itati+6 the commissio+ of such a crime;9 Thus! -ia#i-it as a+ assista+t requires at -east some @+o:-ed6e of the crime of the 7ri+ci7a- 7er7etrator9 I+ situatio+s of -ac@2of2@+o:-ed6e su7erior res7o+si#i-it #efore the fact! such @+o:-ed6e is required +either u+der 0rtic-e $%FaGFiG I,,St9 for mi-itar comma+ders +or u+der 0rtic-e $%F#GFiG I,,St9 for +o+2mi-itar su7eriors9 The me+ta- e-eme+t of -ac@2of2@+o:-ed6e su7erior res7o+si#i-it a-so is -o:er tha+ the 6e+era- sta+dard for the me+ta- e-eme+t that is set out i+ 0rtic-e (& I,,St9 0rtic-e (&F$G I,,St9 requires i+te+t i+ re-atio+ to the co+duct of the 7er7etrator a+d i+ re-atio+ to the co+seque+ce caused # the co+duct! a-thou6h i+ res7ect of the co+seque+ce! it is sufficie+t if the 7er7etrator is a:are that the co+seque+ce ;:i-- occur i+ the ordi+ar course of e"e+ts; Asee 0rtic-e (&F$GFaG a+d F#G I,,St9B9 I+ re-atio+ to co+seque+ces a+d circumsta+ces! 0rtic-e (&F(G I,,St9 requires @+o:-ed6e9 AFN)4B The sta+dard esta#-ished i+ 0rtic-e (& I,,St9 thus requires do-us directus a+d e=c-udes sta+dards #e-o: that thresho-d! i+ 7articu-ar do-us e"e+tua-is a+d rec@-ess+ess9 AFN)<B It is! ho:e"er! im7orta+t to +ote that the re-ati"e- hi6h thresho-d esta#-ished i+ 0rtic-e (& I,,St9 does +ot mea+ that crimes :hich require a -o:er sta+dard :ith re6ard to the me+ta- e-eme+t ca++ot #e #rou6ht #efore the I,, u+der a+ circumsta+ce9 0rtic-e (&F'G I,,St9 e=7ress- a--o:s de"iatio+s from the sta+dard for the me+tae-eme+t esta#-ished therei+9 AFN)%B The defi+itio+s of the crimes i+ 0rtic-es 42% I,,St9 a+d the res7ecti"e E-eme+ts of ,rimes co+tai+ se"erade"iatio+s from the sta+dard esta#-ished i+ 0rtic-e (& I,,St9 AFN)JB Nota#- ! for &$1$ the :ar crime of :i-fu- @i--i+6 A0rtic-e %F$GFaGFiG I,,St9B it is sufficie+t that the 7er7etrator serious- harmed the "ictim :ith ;:ith rec@-ess disre6ard of huma+ -ife;9 AFN5&B It has e"e+ #e ar6ued that the ;ru-e2e=ce7tio+ re-atio+shi7 e+"isa6ed # 0rtic-e (& of the I,, Statute is i+ fact re"ersed;9 AFN5'B ,o+seque+t- ! a -o:er thresho-d for the me+ta- e-eme+t does +ot i+ itse-f i+dicate that the actor ca++ot #e he-d fu-- res7o+si#-e for the co+seque+ces of his or her acts9 I+deed! most crimi+a- 8ustice s stems acce7t me+tae-eme+t sta+dards #e-o: fu-- i+te+t a+d @+o:-ed6e as #ei+6 sufficie+t for i+curri+6 crimi+a- res7o+si#i-it if the defi+itio+ of the crime i+ questio+ 7ro"ides for such a -o:er sta+dard9 AFN5$B Ne"erthe-ess! -ia#i-it of the su7erior for the crime of the su#ordi+ate :he+ the su7erior o+- shou-d ha"e @+o:+ of that crime Fa+d! i+ fact! did +ot @+o: of itG -eads to a seemi+6- 7er7-e=i+6 resu-t: the su7erior is 7u+ished for a crime that o+ the face of it ca+ o+- #e committed i+te+tio+a-- ! e"e+ thou6h the su7erior acted ;o+- ; rec@-ess- or +e6-i6e+t- 9 I+ 7articu-ar :ith res7ect to the crime of 6e+ocide! :hich requires s7ecific 6e+ocida- i+te+t! this resu-t has #ee+ criticiHed9 AFN5(B This oste+si#-e difficu-t ca+ #e o"ercome if o+e co+siders more c-ose- for :hat e=act- the superior is #-amed9 I+ the sce+ario of -ac@2of2@+o:-ed6e superior respo"si,ility #efore the fact! it seems a77ro7riate to #-ame the superior ;o+- ; for the resu-t of the crimi+aco+duct of the su#ordi+ate! #ut +ot for the su#ordi+ate;s crimi+a- co+duct itse-f9 Lia#i-it for +e6-i6e+t or rec@-ess causatio+ of a :ro+6fu- co+seque+ce is +ot u+commo+D it is the attri#utio+ to the superior of the su#ordi+ate;s co+duct e"e+ thou6h the superior did +ot @+o: of the co+duct that causes the doctri+a- difficu-ties a+d the seemi+6- u+fair resu-ts9 Structura-- ! -ac@2of2@+o:-ed6e superior -ia#i-it #efore the fact therefore ma #e descri#ed as 7ara--e-ia#i-it of #oth the su#ordi+ate a+d the superior9 The su#ordi+ate is respo"si,le for the i+te+tio+a- commissio+ of the crime a+d is #-amed for his or her crimi+a- co+duct a+d the :ro+6fu- co+seque+ce that resu-ted from it9 The superior! o+ the other ha+d! is #-amed for the same :ro+6fu- co+seque+ce as :e-- as his or her o:+ crimi+a- co+duct22 the fai-ure to 7re"e+t or re7ress the #ase crime9 The su#ordi+ate;s crimi+a- co+duct is +ot attri#uted to the superior9 1ith res7ect to the :ro+6fu- co+seque+ce the superior acted ;o+- ; +e6-i6e+t- or rec@-ess- ! :hich is a de"iatio+ from the sta+dard thresho-d of 0rtic-e (& I,,St9! :hich is! as has #ee+ e=7-ai+ed a#o"e! e=7ress- 7ermitted9 I+ case of the :ar crime of :i-fu- @i--i+6! for e=am7-e! a superior :ho is -ia#-e o+ the #asis of -ac@2of2@+o:-ed6e superior respo"si,ility #efore the fact :ou-d #e he-d respo"si,le for the death of the "ictim F:hich resu-ted from the superior#s fai-ure to actG! #ut the co+duct of his or her su#ordi+ates that -ed to the death :ou-d +ot attri#uted to the superior9 &$11 The co+structio+ of -ac@2of2@+o:-ed6e superior respo"si,ility #efore the fact as 7ara--e- -ia#i-it a-so is su77orted # the -a+6ua6e of 0rtic-e %4F$G 0PI! :hich 7ro"ides that ;AtBhe fact that a #reach of the
Pa6e 4
,o+"e+tio+s or of this Protoco- :as committed # a su#ordi+ate does +ot a#so-"e his su7eriors from 7e+a- or disci7-i+ar res7o+si#i-it 9999; Fem7hasis addedG9 The use of the +e6ati"e formu-atio+ i+ 0rtic-e %4F$G 0PI su66ests that the -ia#i-it of the su7erior is +ot +ecessari- deri"ed from the co+duct of the su#ordi+ate! #ut ma #e a -ia#i-it that is 7ara--e- to a+d! i+ a se+se! i+de7e+de+t of the -ia#i-it of the su#ordi+ate9 0rtic-e %4F$G 0PI ca+ #e co+strued as a+ e=ce7tio+ to the 7ri+ci7-e @+o:+! for e=am7-e! i+ E+6-ish crimi+a- -a: that! ;:here a+ i+di"idua- :ho is +either me+ta-- disordered +or a+ i+fa+t has made a sufficie+t causaco+tri#utio+ to a+ occurre+ce! it is i+a77ro7riate to trace the causatio+ a+ further9; AFN5)B ,o+strui+6 -ac@2of2@+o:-ed6e su7erior res7o+si#i-it as 7ara--e- -ia#i-it for the :ro+6fu- co+seque+ce of the #ase crime so-"es the mai+ doctri+a- 7ro#-em9 It ma a-so :arra+t -i6hter 7u+ishme+t of the su7erior: he or she is +ot #-amed for the crimi+a- co+duct of the #ase crime! #ut ;o+- ; for the :ro+6fu- co+seque+ce that resu-ted from the co+duct9 AFN55B The su7erior is res7o+si#-e for causi+6 Fi+ the a#o"e se+se AFN54BG the :ro+6fu- co+seque+ce o+- +o+2i+te+tio+a-- ! :hich mi6ht 8ustif a more -e+ie+t se+te+ce9 I+ the a#o"e e=am7-e of -ac@2of2@+o:-ed6e su7erior res7o+si#i-it #efore the fact for the :ar crime of :i-fu- @i--i+6 the su7erior;s #-ame:orthi+ess is com7ara#-e to that of a 7er7etrator of +e6-i6e+t homicide9 $ ;"owle0<e Superior Respo"si,ility after t8e 3a.t It has #ee+ ar6ued a#o"e that for su7erior res7o+si#i-it #efore the act! a causa- -i+@! a-#eit -o:er tha+ the co+ditio si+e qua +o+ thresho-d! must #e esta#-ished #et:ee+ the su7erior;s fai-ure to act a+d the su#ordi+ate;s crime9 AFN5<B 0t first 6-a+ce! e"e+ such a reduced causa-it requireme+t ca+ +e"er #e met i+ su7erior2 res7o+si#i-it after the fact situatio+s: fai-ure to su#mit a matter to the com7ete+t authorit after the crime has #ee+ committed ca++ot ha"e caused the su#ordi+ate;s crime9 &$14 Ne"erthe-ess! u+der 0rtic-e $% I,,St9 causa-it is requisite for su7erior res7o+si#i-it after the fact as :e--9 This #ecomes a77are+t if o+e reca--s the structure of the 7ro"isio+: the fai-ure to e=ercise co+tro- 7ro7eris me+tio+ed i+ the cha7eau= of 0rtic-e $%FaG a+d F#G I,,St9 I+ additio+! 0rtic-e $%FaGFiiG a+d F#GFiiiG I,,St9 refer to a more s7ecific fai-ure to e=ercise co+tro- 7ro7er- : the fai-ure to ta@e ;a-- +ecessar a+d reaso+a#-e measures :ithi+ his or her 7o:er to 7re"e+t or re7ress their commissio+ or to su#mit the matter to the com7ete+t authorities for i+"esti6atio+ a+d 7rosecutio+;9 Thus! there are t:o omissio+s for :hich the su7erior is #-amed: his or her fai-ure! i+ 6e+era- terms! to e=ercise co+tro- 7ro7er- a+d the co+crete fai-ure to 7re"e+t! re7ress or 7u+ish the #ase crime9 AFN5%B I+ su7erior2res7o+si#i-it #efore the fact co+ste--atio+s! the t:o omissio+s coi+cide22fai-ure to 7re"e+t or re7ress a crime a-:a s im7-ies that the su7erior fai-ed to e=ercise co+tro- 7ro7er- D the disti+ctio+ #et:ee+ the t:o omissio+s is irre-e"a+t9 AFN5JB I+ su7erior res7o+si#i-it after the fact co+ste--atio+s! ho:e"er! the disti+ctio+ #et:ee+ the t:o omissio+s is crucia-9 The ;resu-t;2requireme+t does +ot e=ist i+ re-atio+ to the fai-ure to su#mit the matter to the com7ete+t authorities A0rtic-e $%FaGFiiG a+d F#G FiiiG I,,St9B! #ut i+ re-atio+ to the ;fai-ure to e=ercise co+tro- 7ro7er- ;9 This fai-ure to e=ercise co+tro- 7ro7ermust -ie #efore the commissio+ of the #ase crime AFN4&B a+d has to #e esta#-ished se7arate- 9 AFN4'B The #ase crime must #e a ;resu-t; of the su7erior;s fai-ure to e=ercise co+tro- 7ro7er- #efore the crime has #ee+ committed9 AFN4$B 1hat is required from a su7erior i+ terms of 7ro7er e=ercise of co+tro- shou-d #e determi+ed o+ the #asis of the su7erior;s fu+ctio+ a+d 7ositio+ a+d the co+crete situatio+ that e"e+tua-- resu-ted i+ the commissio+ of crimes9 AFN4(B 0rtic-e %< 0PI! :hich reco6+iHes the dut of comma+ders! &$16 ma ser"e as a ardstic@ to determi+e :hat is required of the su7erior9 O+ce it has #ee+ esta#-ished that the su7erior fai-ed to e=ercise his co+tro- 7ro7er- ! :hich resu-ted i+ the commissio+ of crimes # his su#ordi+ates! the su7erior;s seco+d omissio+ to su#mit the matter to the com7ete+t authorities ;tri66ers; his crimi+a- res7o+si#i-it u+der 0rtic-e $% I,,St9 AFN4)B 0s to the me+ta- e-eme+t! 0rtic-e (& I,,St9 a77-ies at -east to the su7erior;s fai-ure to e=ercise co+tro7ro7er- : it is +ecessar that the su7erior @+e: of the facts that esta#-ished his or her dut to co+tro- 7ro7erFi+c-udi+6 the facts esta#-ishi+6 the su7erior22su#ordi+ate re-atio+shi7G a+d he or she must ha"e mea+t to fai- to e=ercise the dut 7ro7er- 9 1ith re6ard to the resu-ti+6 crime of the su#ordi+ate! the a77-icatio+ of 0rtic-e (& I,,St9 is 7ro#-ematic: as
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has #ee+ ar6ued a#o"e! the crime of the su#ordi+ate has to #e a co+seque+ce of the su7erior;s fai-ure to e=ercise co+tro- 7ro7er- 9 Thus! 7ursua+t to 0rtic-e (&F$GF#G I,,St9! the su7erior must either ha"e mea+t to cause the crimes of his su#ordi+ates or must ha"e #ee+ a:are that such a crime ;:i-- occur i+ the ordi+ar course of e"e+ts;9 If 0rtic-e (&F$GF#G I,,St9 :ere a77-ied to the resu-ti+6 crime! the differe+ce #et:ee+ @+o:-ed6e superior respo"si,ility #efore the fact a+d after the fact #ecame #-urred a+d there :ou-d o+- #e a sma-- fie-d of a77-icatio+ for the -atter: if the superior had @+o:-ed6e of the #ase crime #efore it :as committed! the superior :ou-d ha"e had to ;7re"e+t; or ;re7ress; the crime a+d thus :ou-d i+cur -ia#i-it for @+o:-ed6e superior respo"si,ility #efore the fact9 AFN45B Superior respo"si,ility after the fact :ou-d #e re-e"a+t o+:here the superior! :hi-e a:are of the su#ordi+ate;s crime! too@ a-- reaso+a#-e measures to 7re"e+t or re7ress the crime! #ut the crime :as committed +e"erthe-ess9 This resu-t :ou-d #e disso+a+t +ot -east #ecause -ac@2of2 @+o:-ed6e superior respo"si,ility #efore the fact is e=7ress- foresee+ # 0rtic-e $% I,,St922:h shou-d @+o:-ed6e of the superior of the su#ordi+ate;s crime #e required for superior respo"si,ility after the fact> Therefore! it is su#mitted that i+ @+o:-ed6e superior respo"si,ility after the fact co+ste--atio+s! the superior does +ot +eed to @+o: that the fai-ure to e=ercise co+tro- 7ro7er- ;resu-ted; i+ a crime # the su#ordi+ate! +or does the superior +eed to ha"e had 7rior @+o:-ed6e of the #ase crime itse-f9 AFN44B The @+o:-ed6e &$49 of the #ase crime! i+ most cases! AFN4<B :i-- #e acquired o+- after the #ase crime has #ee+ committed9 AFN4%B If @+o:-ed6e superior respo"si,ility after the fact is co+strued as is 7ro7osed a#o"e! the superior ca++ot #e #-amed for the crimi+a- co+duct of the su#ordi+ate #ut o+- for the :ro+6fu- co+seque+ce caused # that co+duct9 Si+ce the superior did +ot @+o: that the fai-ure to e=ercise co+tro- 7ro7er- resu-ted i+ the commissio+ of the #ase crime! the superior ca+ o+- #e #-amed for +e6-i6e+t #eha"iour i+ that res7ect9 0s is the case i+ -ac@2of2@+o:-ed6e superior respo"si,ility #efore the fact co+ste--atio+s! @+o:-ed6e superior respo"si,ility after the fact is #est co+cei"ed as 7ara--e- -ia#i-it ! :here the superior a+d the su#ordi+ate are #oth respo"si,le for the :ro+6fu- co+seque+ce of the #ase crime! #ut the superior +ot he-d respo"si,le for the crimi+a- co+duct of the su#ordi+ate9 AFN4JB &$4/ 1 La.=7of7;"owle0<e Superior Respo"si,ility after t8e 3a.t If superior respo"si,ility after the fact is co+strued as respo"si,ility for t:o omissio+s! the doctri+a7ro#-ems :ith res7ect to -ac@2of2@+o:-ed6e superior respo"si,ility after the fact are reduced co+sidera#- 9 0s is the case :ith @+o:-ed6e superior respo"si,ility after the fact! the superior is he-d respo"si,le! first a+d foremost! for his or her fai-ure to e=ercise co+tro- 7ro7er- ! :hich resu-ted i+ the commissio+ of the su#ordi+ate;s crime9 0s to the me+ta- e-eme+t :ith res7ect to the fai-ure to e=ercise co+tro- 7ro7er- ! the ar6ume+ts made i+ the 7recedi+6 Part a77- equa-- 22the su7erior must #e a:are of the facts that esta#-ish the dut to e=ercise co+tro- 7ro7er- a+d the su7erior;s fai-ure to fu-fi- this dut ! #ut +ot of the #ase crime that resu-ted from the fai-ure to e=ercise co+tro- 7ro7er- 9 1ith res7ect to crime of the su#ordi+ate! it suffices that the mi-itar comma+der su#seque+t- shou-d ha"e @+o:+ them or that the +o+2mi-itar su7erior ;co+scious- disre6arded i+formatio+ :hich c-ear- i+dicated; that the su#ordi+ate had committed a crime9 0t first si6ht! this seems to -ead to a coro--ar 7ro#-em re6ardi+6 the me+ta- e-eme+t :ith res7ect to the fai-ure to su#mit the matter to the com7ete+t authorities: this omissio+ qua-ifies as ;co+duct; i+ the se+se of 0rtic-e (&F$GF#G I,,St9 a+d therefore! the su7erior must ha"e mea+t to faito su#mit the matter to the com7ete+t authorities9 The dut to su#mit a matter to the com7ete+t authorit ! ho:e"er! is a reacti"e dut that o+- arises o+ce crimes ha"e #ee+ committed9 .+o:-ed6e of these crimes seems to #e a -o6ica- 7rerequisite for the i+te+tio+a- fai-ure to su#mit the matter to the com7ete+t authorit 9 I+ this co+te=t! ho:e"er! it is im7orta+t to +ote that 0rtic-e $%FaGFiiG a+d F#GFiiiG I,,St9 do +ot use the :ord ;crime; #ut the :ord ;matter; :he+ it comes to the su7erior;s reacti"e dut 9 The ;matter; ma o+- #e a sus7icio+! #ased o+ i+formatio+ a"ai-a#-e to the su7erior! that a crime mi6ht ha"e #ee+ committed9 Therefore! it cou-d #e ar6ued that :he+e"er the su7erior ;shou-d ha"e @+o:+; of the crimes of his or her su#ordi+ates! the su7erior had @+o:-ed6e of circumsta+ces that esta#-ished the sus7icio+ that a crime mi6ht ha"e #ee+ committed9 For that reaso+! it suffices if it ca+ #e esta#-ished that the su7erior had @+o:-ed6e of the ;matter; a+d mea+t to fai- to su#mit it to the com7ete+t authorities9 AFN<&B
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&$42 4 Co".lusio" The Tria- ,ham#ers of the I,,! i+ determi+i+6 the a77ro7riate se+te+ce! :i-- ta@e i+to accou+t the ;de6ree of 7artici7atio+ of the co+"icted 7erso+; as :e-- as the ;de6ree of i+te+t; ARu-e ')5F'GFcG I,, RPEB9 1ith res7ect to respo"si,ility u+der 0rtic-e $% I,,St9! it is su#mitted that the a#o"e a+a- sis mi6ht -ead to a +ua+ced a77roach to se+te+ci+6 that ta@es i+to accou+t the form of superior respo"si,ility that has #ee+ esta#-ished #e o+d reaso+a#-e dou#t9 If a+ accused is co+"icted of @+o:-ed6e superior respo"si,ility #efore the fact! #oth the su#sta+ti"e a+d the me+ta- e-eme+t are simi-ar to that of a+ assista+t i+ a crime 7ursua+t to 0rtic-e $5F(GFcG I,,St9D the accused ca+ #e he-d respo"si,le for #oth the crimi+a- co+duct of the su#ordi+ate a+d the :ro+6fu- co+seque+ce of that co+duct9 Therefore! it does a77ear +either +ecessar +or a77ro7riate to miti6ate the superior#s se+te+ce #e o+d a+ miti6atio+ that mi6ht #e :arra+ted #ecause the superior is he-d respo"si,le +ot as a 7ri+ci7-e 7er7etrator #ut! structura-- ! for assisti+6 i+ a crime of a+other 7erso+9 The fact that the ;assista+t; i+ the case of superior respo"si,ility has a s7ecific dut u+der i+ter+atio+a- -a: to 7re"e+t crimes # his or her su#ordi+ates mi6ht e"e+ :arra+t more se"ere 7u+ishme+t tha+ ma #e :arra+ted for a+ assista+t :ho is +ot a superior of the 7ri+ci7a- 7er7etrator9 AFN<'B For a-- other forms of superior respo"si,ility! the situatio+ a77ears to #e differe+t9 Structura-- ! the superior ca+ #e #-amed o+- for the :ro+6fu- co+seque+ce that :as caused # the #ase crime! #ut +ot for the crimi+a- co+duct of his or her su#ordi+ates that co+stituted the #ase crime9 The superior#s respo"si,ility is a 7ara--e- -ia#i-it :ith a reduced me+ta- e-eme+t22the :ro+6fu- co+seque+ce is a+ u+i+te+tio+a- resu-t of the superior#s fai-ure to act9 0ccordi+6- ! de7e+di+6 o+ the circumsta+ces of the case! it mi6ht #e 8ustified to 7u+ish the superior more -e+ie+t- 9 The fi+di+6 of the I,TY Tria- ,ham#er i+ *adHihasa+o"ic a+d .u#ura thus sheds -i6ht o+ a+ im7orta+t as7ect of superior respo"si,ility that! to a certai+ e=te+t! ma #e a-so of re-e"a+ce to the i+ter7retatio+ a+d a77-icatio+ of 0rtic-e $% I,,St9 AFNa'B9 Doctor iuris! *um#o-dt2U+i"ersit of Ber-i+D /aster of I+ter+atio+a- a+d *uma+ Ri6hts La:! U+i"ersit of the 1ester+ ,a7eD 0ssessor! .ammer6ericht Ber-i+D 0ssociate Le6a- Officer! I+ter+atio+a,rimi+a- ,ourt9 The "ie:s e=7ressed are those of the author a-o+e a+d ca++ot #e attri#uted to the I+ter+atio+a,rimi+a- ,ourt9 A"o-@er9+er-ichKicc2c7i9i+tB AFN'B9 I9 1er-e! Pri+ci7-es of I+ter+atio+a- ,rimi+a- La: FThe *a6ue: T9/9,9 0sser Press! $&&5G! mar6i+ +um#er Fherei+after: ;m+9;G (4%! citi+6 .9 0m#os! Der 0--6emei+e Tei- des ?L-@erstrafrechts FBer-i+: Du+c@er a+d *um#-ot! $&&$G! 44<9 See a-so 39 de Preu=! i+ Y9 Sa+doH! ,9 S:i+ars@i! a+d B9 Mimmerma++ FedsG! ,omme+tar o+ the 0dditio+a- Protoco-s of % 3u+e 'J<< to the Ie+e"a ,o+"e+tio+s of '$ 0u6ust 'J)J FIe+e"a: /arti+us Ni8hoff Pu#-ishers! 'J%<G! 0rt9 %4! m+9 (5$<: ;1e shou-d! ho:e"er! 7oi+t out ri6ht from the start that determi+i+6 the -imits of res7o+si#i-it for acts of omissio+ 6i"es rise to a +um#er of 7ro#-ems of crimi+a- -a: :hich ha"e +ot et #ee+ reso-"ed9; AFN$B9 0rt9 <F(G I,TYSt9 reads as fo--o:s: ;The fact that a+ of the acts referred to i+ 0rtic-es $ to 5 of the 7rese+t Statute :as committed # a su#ordi+ate does +ot re-ie"e his su7erior of crimi+a- res7o+si#i-it if he @+e: or had reaso+ to @+o: that the su#ordi+ate :as a#out to commit such acts or had do+e so a+d the su7erior fai-ed to ta@e the +ecessar a+d reaso+a#-e measures to 7re"e+t such acts or to 7u+ish the 7er7etrators thereof9; 0rt9 4F(G I,TRSt9 co+tai+s a+ ide+tica- 7ro"isio+ for the I+ter+atio+a- ,rimi+a- Tri#u+a- for R:a+da9 AFN(B9 3ud6me+t! *adHihasa+o"ic a+d .u#ura FIT2&'2)<2TG! Tria- ,ham#er! '5 /arch $&&4! N $&<4 Fherei+after: ;*adHihasa+o"ic a+d .u#ura Tria- 3ud6me+t;GD fo--o:ed i+ I,TY! 3ud6me+t! Oric FIT2&(24%G! Tria,ham#er! (& 3u+e $&&4 Fherei+after ;Oric Tria- 3ud6me+t;G! N <$)9 AFN)B9 *adHihasa+o"ic a+d .u#ura Tria- 3ud6me+t! su7ra +ote (! N $&<49
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AFN5B9 I#id9! NN <$) a+d <$<9 AFN4B9 0rt9 $% I,,St9 reads as fo--o:s: I+ additio+ to other 6rou+ds of crimi+a- res7o+si#i-it u+der this Statute for crimes :ithi+ the 8urisdictio+ of the ,ourt: FaG 0 mi-itar comma+der or 7erso+ effecti"e- acti+6 as a mi-itar comma+der sha-- #e crimi+a-res7o+si#-e for crimes :ithi+ the 8urisdictio+ of the ,ourt committed # forces u+der his or her effecti"e comma+d a+d co+tro-! or effecti"e authorit a+d co+tro- as the case ma #e! as a resu-t of his or her fai-ure to e=ercise co+tro- 7ro7er- o"er such forces! :here: FiG That mi-itar comma+der or 7erso+ either @+e: or! o:i+6 to the circumsta+ces at the time! shou-d ha"e @+o:+ that the forces :ere committi+6 or a#out to commit such crimesD a+d FiiG That mi-itar comma+der or 7erso+ fai-ed to ta@e a-- +ecessar a+d reaso+a#-e measures :ithi+ his or her 7o:er to 7re"e+t or re7ress their commissio+ or to su#mit the matter to the com7ete+t authorities for i+"esti6atio+ a+d 7rosecutio+9 F#G 1ith res7ect to su7erior a+d su#ordi+ate re-atio+shi7s +ot descri#ed i+ 7ara6ra7h FaG! a su7erior sha-- #e crimi+a-- res7o+si#-e for crimes :ithi+ the 8urisdictio+ of the ,ourt committed # su#ordi+ates u+der his or her effecti"e authorit a+d co+tro-! as a resu-t of his or her fai-ure to e=ercise co+tro- 7ro7ero"er such su#ordi+ates! :here: FiG The su7erior either @+e:! or co+scious- disre6arded i+formatio+ :hich c-ear- i+dicated! that the su#ordi+ates :ere committi+6 or a#out to commit such crimesD FiiG The crimes co+cer+ed acti"ities that :ere :ithi+ the effecti"e res7o+si#i-it a+d co+troof the su7eriorD a+d FiiiG The su7erior fai-ed to ta@e a-- +ecessar a+d reaso+a#-e measures :ithi+ his or her 7o:er to 7re"e+t or re7ress their commissio+ or to su#mit the matter to the com7ete+t authorities for i+"esti6atio+ a+d 7rosecutio+9 AFN<B9 This questio+ mirrors a re-ated doctri+a- 7ro#-em that is much de#ated: is su7erior res7o+si#i-it a s7ecia- form of accessoria- -ia#i-it or 7er7etratio+ or is it a disti+ct crime i+ itse-f> This de#ate is summariHed # B9B9 3ia! ;The Doctri+e of ,omma+d Res7o+si#i-it Re"isited;! ( ,hi+ese 3our+a- of I+ter+atio+a- La: F$&&)G '2)$! at '( et seq9 See a-so I,TY! 3ud6me+t! *a-i-o"ic FIT2&'2)%2TG! Tria- ,ham#er! '4 No"em#er $&&5 Fherei+after ;*a-i-o"ic Tria- 3ud6me+t;G! N 5): ;The Tria- ,ham#er fi+ds that u+der 0rtic-e <F(G comma+d res7o+si#i-it is res7o+si#i-it for a+ omissio+9 The comma+der is res7o+si#-e for the fai-ure to 7erform a+ act required # i+ter+atio+a- -a: 9999 Thus Efor the acts of his su#ordi+atesE as 6e+era-- referred to i+ the 8uris7rude+ce of the Tri#u+a- does +ot mea+ that the comma+der shares the same res7o+si#i-it as the su#ordi+ates :ho committed the crimes! #ut rather that #ecause of the crimes committed # his su#ordi+ates! the comma+der shou-d #ear res7o+si#i-it for his fai-ure to act; Ffoot+ote omittedGD a+d 3ud6me+t! .r+o8e-ac FIT2 J<2$520G! 077ea-s ,ham#er! '< Se7tem#er $&&(! N '<': ;It ca++ot #e o"erem7hasiHed that! :here su7erior res7o+si#i-it is co+cer+ed! a+ accused is +ot char6ed :ith the crimes of his su#ordi+ates #ut :ith his fai-ure to carr out his dut as a su7erior to e=ercise co+tro-9; The 8uris7rude+ce of the I,TY o+ su7erior res7o+si#i-it co+"e+ie+t- is accessi#-e throu6h *uma+ Ri6hts 1atch Fed9G! Ie+ocide! 1ar ,rimes a+d ,rimes a6ai+st *uma+it /0 To7ica- Di6est of the ,ase La: of the I+ter+atio+a- ,rimi+a- Tri#u+a- for the Former Yu6os-a"ia FNe: Yor@ et a-9: *uma+ Ri6hts 1atch! $&&4G! ))4 et seq9! a"ai-a#-e at htt7://:::9hr:9or6 F-ast accessed o+ (' 3a+uar $&&<G9 AFN%B9 See 09 ,assese! I+ter+atio+a- ,rimi+a- La: FO=ford: O=ford U+i"ersit Press! $&&(G! $&49 AFNJB9 See 0rt9 $%FaGFiiG a+d F#GFiiiG I,,St9: the su7erior ;fai-ed to ta@e a-- +ecessar a+d reaso+a#-e measures 999 to 7re"e+t or re7ress AtheB commissio+ Aof the crimesB;9 See further .9 0m#os! ;Su7erior Res7o+si#i-it ;! i+ 09 ,assese! P9 Iaeta! a+d 39R919D9 3o+es FedsG! The Rome Statute of the I+ter+atio+a- ,rimi+a- ,ourt: 0 ,omme+tar ! ?o-9 I FO=ford: O=ford U+i"ersit Press! $&&$G! %$(2%<$! at %4(D 1er-e! su7ra +ote '! m+9 (%<9 AFN'&B9 See 0rt9 $%FaGFiiG a+d F#GFiiiG I,,St9: the su7erior ;fai-ed to ta@e a-- +ecessar a+d reaso+a#-e measures 999 to su#mit the matter to the com7ete+t authorities for i+"esti6atio+ a+d 7rosecutio+;9 See further
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0m#os! su7ra +ote J! at %4(D 1er-e! su7ra +ote '! m+9 (%%9 AFN''B9 For a discussio+ of :hether 0rt9 $% I,,St9 requires a causa- -i+@ #et:ee+ the su7erior;s fai-ure to act a+d the commissio+ of the su#ordi+ate;s crime see i+fra! Part )9 AFN'$B9 I+ the 8uris7rude+ce of the I,TY the terms ;im7uted @+o:-ed6e; or ;co+structi"e @+o:-ed6e; are occasio+a-- used to descri#e this form of su7erior res7o+si#i-it Fsee I,TY! 3ud6me+t! .ordic a+d ,er@eH FIT2 J52')/$2TG! Tria- ,ham#er! $4 Fe#ruar $&&' Fherei+after: ;.ordic a+d ,er@eH Tria- 3ud6me+t;G! N )$JD Oric Tria- 3ud6me+t! su7ra +ote (! N ($'D 3ud6me+t! Brda+i+ FIT2JJ2(42TG! Tria- ,ham#er! ' Se7tem#er $&&) Fherei+after: ;Brda+i+ Tria- 3ud6me+t;G! N $<%9 AFN'(B9 See! i+ res7ect of 0rt9 <F(G I,TYSt9! Decisio+ o+ the Prosecutio+;s /otio+ to 0me+d the I+dictme+t a+d Su#missio+ of Pro7osed Seco+d 0me+ded I+dictme+t a+d Su#missio+ of 0me+ded Pre2Tria- Brief! Bos@o"s@i a+d Tarcu-o"s@i FIT2&)2%$2TG! Tria- ,ham#er! $4 /a $&&4! NN '% et seq9D fo--o:ed i+ Oric Tria3ud6me+t! su7ra +ote (! NN $J< et seq9 AFN')B9 See *a-i-o"ic Tria- 3ud6me+t! su7ra +ote <! N (JD 3ud6me+t! O#re+o"ic FIT2&$24&/$2TG! Tria- ,ham#er! '& Decem#er $&&(! N '&&9 AFN'5B9 3ud6me+t! De-a-ic a+d others FIT2J42$'20G! 077ea-s ,ham#er! $& Fe#ruar $&&' Fherei+after: ;De-a-ic a+d others 077ea-s 3ud6me+t;G! N $549 O+ that test see further E9 "a+ S-iedre6t! The ,rimi+a- Res7o+si#i-it of I+di"idua-s for ?io-atio+s of I+ter+atio+a- *uma+itaria+ La: FThe *a6ue: T9/9,9 0sser Press! $&&(G! N ')) et seq9 AFN'4B9 3ud6me+t! B-as@ic FIT2J52')2TG! Tria- ,ham#er! ( /arch $&&& Fherei+after: ;B-as@ic Trai- 3ud6me+t;G! NN (&&2(&$9 See a-so 3ud6me+t! De-a-ic a+d others FIT2J42$'2TG! Tria- ,ham#er! '4 No"em#er 'JJ% Fherei+after: ;De-a-ic a+d others Tria- 3ud6me+t;G! N (<<: ;The doctri+e of comma+d res7o+si#i-it is u-timate7redicated u7o+ the 7o:er of the su7erior to co+tro- the acts of his su#ordi+ates;D *a-i-o"ic Tria- 3ud6me+t! su7ra +ote <! N 5<9 AFN'<B9 See! for e=am7-e! 3ud6me+t! Lima8 a+d others FIT2&(2442TG! Tria- ,ham#er! (& No"em#er $&&5 Fherei+after: ;Lima8 a+d others Tria- 3ud6me+t;G! N 5$$D *a-i-o"ic Tria- 3ud6me+t! su7ra +ote <! N 4&D 3ud6me+t! B-a6o8e"ic a+d 3o@ic FIT2&$24&2TG! Tria- ,ham#er! '< 3a+uar $&&5 Fherei+after: B-a6o8e"ic a+d 3o@ic Tria3ud6me+t;G! N <J'D 3ud6me+t! .u+arac a+d others FIT2J42$(O$(/'2TG Tria- ,ham#er! $$ Fe#ruar $&&'D 3ud6me+t! 0-e@so"s@i FIT2J52')/'2TG! Tria- ,ham#er! $5 3u+e 'JJJ Fherei+after: ;0-e@so"s@i Tria- 3ud6me+t;G! N <4D De-a-ic a+d others 077ea-s 3ud6me+t! su7ra +ote '5! NN 'J$ et seq9 AFN'%B9 See! Brda+i+ Tria- 3ud6me+t! su7ra +ote '$! N $%'D 3ud6me+t! Sta@ic FIT2J<2$)2TG Tria- ,ham#er! (' 3u- $&&(! N )4$D 3ud6me+t! Ba6i-ishema FI,TR2J52'02TG Tria- ,ham#er! < 3u+e $&&'! N )$D .ordic a+d ,er@eH Tria- 3ud6me+t! su7ra +ote '$! N )'4D 3ud6me+t a+d Se+te+ce! /usema FI,TR2J42'(2TG! Tria,ham#er! $< 3a+uar $&&&! N '(5D 3ud6me+t! .a ishema a+d RuHida+a FI,TR2J52' a+d I,TR2J42'&2TG! Tria,ham#er! $' /a 'JJJ! N $'(D De-a-ic a+d others Tria- 3ud6me+t! su7ra +ote '4D 3ud6me+t! 0@a esu FI,TR2 J42)2TG! Tria- ,ham#er! $ Se7tem#er 'JJ%! N )J'D o+ the de"e-o7me+t of the 8uris7rude+ce of the I,TR o+ this issue see 3909 1i--iamso+! ;,omma+d Res7o+si#i-it i+ the ,ase La: of the I+ter+atio+a- ,rimi+a- Tri#u+a- for R:a+da;! '( ,rimi+a- La: Forum F$&&$G (452 (%)! at (44 et seq9 AFN'JB9 The 8uris7rude+ce of the I,TY is a#u+da+t o+ this issueD see! for e=am7-e! 3ud6me+t! B-as@ic FIT2J52 ')20G! 077ea-s ,ham#er! $J 3u- $&&) Fherei+after: ;B-as@ic 077ea-s 3ud6me+t;G! N 4<D De-a-ic a+d others 077ea-s 3ud6me+t! su7ra +ote '5! N $5' et seq9D 3ud6me+t! Stru6ar FIT2&'2)$G! Tria- ,ham#er! (' 3a+uar $&&5 Fherei+after: ;Stru6ar Tria- 3ud6me+t;G! NN (4' et seq9 AFN$&B9 If the su7erior actua-- ordered the commissio+ of the su#ordi+ate;s crime! the su7erior ma i+cur
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-ia#i-it for the #ase crime 7ursua+t to 0rt9 $5F(GF#G! first a-ter+ati"e! I,,St9! or as 7er7etrator2# 2mea+s 7ursua+t to 0rt9 $5F(GFaG! third a-ter+ati"e! I,,St9 I+ such situatio+s! :hich sometimes are descri#ed as cases of direct su7erior res7o+si#i-it Fsee 09/9 Da++er a+d 39S9 /arti+eH! ;Iui-t 0ssociatio+s: 3oi+t ,rimi+aE+ter7rise! ,omma+d Res7o+si#i-it a+d the De"e-o7me+t of I+ter+atio+a- ,rimi+a- La:;! J( ,a-ifor+ia La: Re"ie: F$&&5G <52'4J! at '$'D I9R9 ?etter! ;,omma+d Res7o+si#i-it of No+2/i-itar Su7eriors i+ the I+ter+atio+a- ,rimi+a- ,ourt FI,,G;! $5 Ya-e 3our+a- of I+ter+atio+a- La: F$&&&G! %J2')(! at JJG! the su7erior mi6ht #e he-d res7o+si#-e u+der 0rt9 $5F(G I,,St9 as :e-- as u+der 0rt9 $% I,,St9 #ecause a su7erior :ho orders the commissio+ of a crime +ecessari- a-so fai-s to 7re"e+t that crime9 *o:e"er! -ia#i-it u+der 0rt9 $% I,,St9 is su#sidiar to -ia#i-it u+der 0rt9 $5 I,,St9D see 1er-e! su7ra +ote '! m+9 5)&9 The differe+ce #et:ee+ @+o:-ed6e su7erior res7o+si#i-it #efore the act a+d 7er7etratio+2# 2mea+s seems to #e that a 7er7etrator2# 2 mea+s co+tro-s the o"era-- commissio+ of the crimeD the direct actor is mere- a+ i+strume+t of the 7er7etrator2 # 2mea+s Fa c-assica- e=am7-e #ei+6 the ;i++oce+t a6e+t;GD see .9 0m#os! I+ter+atio+a-es Strafrecht F/u+ich: Bec@! $&&4G! N <! m+9 $<D 09 Eser! ;I+di"idua- ,rimi+a- Res7o+si#i-it ;! i+ 09 ,assese! P9 Iaeta! a+d 39R919D9 3o+es FedsG! The Rome Statute of the I+ter+atio+a- ,rimi+a- ,ourt: 0 ,omme+tar ! ?o-9 I FO=ford: O=ford U+i"ersit Press! $&&$G! <4<2%$$! at <J( et seq9D ,9 Ro=i+! TPterschaft u+d Tatherrschaft F<th ed+9! Ber-i+ a+d Ne: Yor@: 1a-ter de Iru ter! $&&&G! ')$ et seq9 AFN$'B9 See 0m#os! su7ra +ote J! at %5(D I9 Ba+te@as! ;The ,o+tem7orar La: of Su7erior Res7o+si#i-t ;! J( 0merica+ 3our+a- of I+ter+atio+a- La: F'JJJG 5<(25J5! at 5<5 et seq9 AFN$$B9 See 0rt9 'F'G *a6ue Re6u-atio+s Res7ecti+6 the La:s a+d ,ustoms of 1ar o+ La+dD 0rt9 )F$GFaG Ie+e"a ,o+"e+tio+ III9 AFN$(B9 See the cases cited su7ra! +ote '%9 AFN$)B9 See! for e=am7-e! 3ud6me+t a+d Se+te+ce! Nta6erura a+d others FI,TR2J42'&0G! Tria- ,ham#er! $5 Fe#ruar $&&)! N 44&9 AFN$5B9 This differe+ce is o+- mar6i+a-: the #ase crime :ou-d qua-if as a ;co+seque+ce; of the 7er7etrator;s co+duct i+ terms of 0rt9 (&F$GF#G I,,St9D therefore! it :ou-d suffice that the 7er7etrator ;is a:are that it :i-occur i+ the ordi+ar course of e"e+ts; to esta#-ish i+te+t i+ this re6ard9 It shou-d #e +oted that i+ res7ect of a-other materia- e-eme+ts of @+o:-ed6e su7erior res7o+si#i-it ! 0rtic-e (& I,,St9 a77-ies9 Thus! it is for e=am7-e +ecessar that the su7erior;s co+duct :as i+te+tio+a- a+d that he had @+o:-ed6e of his or her 7ositio+9 O+ the i+ter7retatio+ of 0rt9 (&F$GF#G I,,St9 see I9 1er-e a+d F9 3ess#er6er! E;U+-ess Other:ise Pro"idedE: 0rtic-e (& of the I,, Statute a+d the /e+ta- E-eme+t of ,rimes u+der I+ter+atio+a- ,rimi+a- La:;! ( 3our+a- of I+ter+atio+a- ,rimi+a- 3ustice F$&&5G (5255! at )' et seq9 AFN$4B9 The I,TY has he-d that the 7rosecutio+ +eed +ot +ecessari- 7ro"e the e=act ide+tit of the su#ordi+ates! #ut o+- the ;cate6or ; of the 7er7etrators Fsee Decisio+ o+ the Defe+ce /otio+ o+ the Form of I+dictme+t! .r+o8e-ac FIT2J<2$52TG! Tria- ,ham#er! $) Fe#ruar 'JJJ! N )4D *adHihasa+o"ic a+d .u#ura Tria3ud6me+t! su7ra +ote (! N J&GD it fo--o:s that the @+o:-ed6e of the su7erior i+ that res7ect does +ot ha"e to #e detai-ed either9 AFN$<B9 B-a6o8e"ic a+d 3o@ic Tria- 3ud6me+t! su7ra +ote '<! N 4%49 AFN$%B9 Brda+i+ Tria- 3ud6me+t! su7ra +ote '$! NN <'< et seq9 AFN$JB9 See! for e=am7-e! *adHihasa+o"ic a+d .u#ura Tria- 3ud6me+t! su7ra +ote (! NN '%< et seq9D *a-i-o"ic Tria- 3ud6me+t! su7ra +ote <! N <%D Brda+i+ Tria- 3ud6me+t! su7ra +ote '$! N $%&D B-as@ic 077ea-s 3ud6me+t! su7ra +ote 'J! N <<9 This 8uris7rude+ce has #ee+ criticiHed for +ot com7- i+6 :ith the cu-7a#i-it 7ri+ci7-e! see! for e=am7-e! .9 0m#os! su7ra +ote $&! N <! m+9 5J9 See a-so De-a-ic a+d others Tria- 3ud6me+t! su7ra +ote '4! N (JJ: ;reco6+itio+ of a +ecessar causa- +e=us ma #e co+sidered to #e i+here+t i+ the requireme+t of crimes
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committed # su#ordi+ates a+d the su7erior;s fai-ure to ta@e the measures :ithi+ his 7o:ers to 7re"e+t them;9 AFN(&B9 B-as@ic 077ea-s 3ud6me+t! su7ra +ote 'J! N )%9 AFN('B9 I#id9 AFN($B9 Pursua+t to 0rt9 $'F'G I,,St9! the I,, sha-- a77- ! first of a--! the I,,St9! the I,, RPE! a+d the E-eme+ts of ,rimes9 ,ustomar i+ter+atio+a- -a: or 6e+era- 7ri+ci7-es of -a:! :hich mi6ht #e ref-ected i+ decisio+s of the I,TY a+d I,TR! :i-- o+- #e re-e"a+t to the e=te+t that the I,,;s s7ecific -e6a- i+strume+ts do +ot re6u-ate a+ issueD see o+ that issue i+ res7ect to 0rt9 $% I,,St9 3ia! su7ra +ote <! at (( et seq9 But see "a+ S-iedre6t! su7ra +ote '5! at '%J et seq9 AFN((B9 0s the re-e"a+t co+duct of the su7erior is a+ omissio+ Ffai-ure to 7re"e+t the crimeG! it is more a77ro7riate to s7ea@ of a quasi2causa- -i+@! as22strict- s7ea@i+622a+ omissio+ ca++ot cause a resu-tD see further o+ this issue I9P9 F-etcher! Basic ,o+ce7ts of ,rimi+a- La: FO=ford a+d Ne: Yor@: O=ford U+i"ersit Press! 'JJ%G! 4< et seq9D ,9 Ro=i+! Strafrecht 0--6emei+er Tei-/Ba+d II: Beso+dere Erschei+u+6sforme+ der Straftat F/u+ich: Bec@! $&&(G! 4(J et seq9 AFN()B9 0rt9 <F(G I,TYSt9 does +ot e=7ressi"e- sti7u-ate that the su7erior;s fai-ure to act must ha"e resu-ted i+ the su#ordi+ate;s crime9 AFN(5B9 See O9 Triffterer! ;,ausa-it ! a Se7arate E-eme+t of the Doctri+e of Su7erior Res7o+si#i-it as E=7ressed i+ 0rtic-e $% Rome Statute>;! '5 Leide+ 3our+a- of I+ter+atio+a- La: F$&&$G '<J2$&5! at 'J4! :ho +otes that ;AtBhe difficu-t is to 7redict! :hich actio+ :i-- #e successfu- to #ri+6 a+other 7erso+ to react i+ a certai+ :a : EProfessio+a- @i--ersE are a"ai-a#-e at differe+t 7ricesQ; AFN(4B9 See 0m#os! su7ra +ote J! at %4&: ;it is sufficie+t that the su7erior;s fai-ure of su7er"isio+ i+creases the ris@ that the su#ordi+ates commit certai+ crimes;9 O+ the issue of causa-it see i+ detai- Triffterer! su7ra +ote (5! at 'J) et seq9 AFN(<B9 O+ the simi-arities #et:ee+ causa-it of the accom7-ice a+d causa-it of omissio+s see I9P9 F-etcher! Rethi+@i+6 ,rimi+a- La: FO=ford a+d Ne: Yor@: O=ford U+i"ersit Press! $&&&G! at 5%$9 AFN(%B9 Simi-ar 0m#os! su7ra +ote '! at 4<'9 AFN(JB9 0ccordi+6 to the 8uris7rude+ce of the ad hoc tri#u+a-s! a+ aider or a#ettor ma co+tri#ute to a crime throu6h a+ omissio+D see Lima8 a+d others Tria- 3ud6me+t! su7ra +ote '<! N 5'<D 3ud6me+t! Ruta6a+ira FI,TR2 J52',G! Tria- ,ham#er! ') /arch $&&5! N45D B-a6o8e"ic a+d 3o@ic Tria- 3ud6me+t! su7ra +ote '<! N <$4D I,TY! Brda+i+ Tria- 3ud6me+t! su7ra +ote '$! N $<'D 3ud6me+t! ?asi-8e"ic FIT2J%2($2TG! Tria- ,ham#er! $J No"em#er $&&$! N <&D B-as@ic Tria- 3ud6me+t! su7ra +ote '4! N $%)D I,TR! 3ud6me+t! Ruta6a+da FI,TR2J42(2TG Tria,ham#er! 4 Decem#er 'JJJ! N )'9 The questio+ :as -eft o7e+ i+ the B-as@ic 077ea-s 3ud6me+t! su7ra +ote 'J! N )<9 AFN)&B9 The assista+t must act ;AfBor the 7ur7ose of faci-itati+6 the commissio+ of such a crime;9 AFN)'B9 The I,TY has he-d o+ the #asis of the ;had reaso+ to @+o:; sta+dard that -ac@2of2@+o:-ed6e su7erior res7o+si#i-it did +ot amou+t to res7o+si#i-it for +e6-i6e+ce! see De-a-ic a+d others 077ea-s 3ud6me+t! su7ra +ote '5! N $)'D co+firmed i+ B-as@ic 077ea-s 3ud6me+t! su7ra +ote 'J! N 4$9 AFN)$B9 See 0m#os! su7ra +ote '! at 4J%9
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AFN)(B9 O+ the sta+dard i+ 0rt9 $%F#GFiG I,,St9 see 0m#os! su7ra +ote %! at %<&D ?etter! su7ra +ote $&! at '$( et seq9D 1er-e! su7ra +ote '! m+9 (%59 AFN))B9 3ud6me+t! Tadic FIT2J)2'20G! 077ea-s ,ham#er! '5 3u- 'JJJ! N $$J9 AFN)5B9 3ud6me+t! Furu+dHi8a FFIT2J52'</'2TG! Tria- ,ham#er! '& Decem#er 'JJ% Fherei+after: Furu+dHi8a Tria- 3ud6me+tG! N $)49 AFN)4B9 O+ the i+ter7retatio+ of 0rt9 (& I,,St9 see 1er-e! su7ra +ote '! m+9 $JJ2(&JD 1er-e a+d 3ess#er6er! su7ra +ote $59 AFN)<B9 See 0m#os! su7ra +ote '! at %&)D ,9 .ress! i+ P92I9 PLtH a+d ,9 .ress FedsG! IrRtH+er/PLtH22 I+ter+atio+a-e Rechtshi-fe i+ Strafsache+! ?o-9 I? F$+d ed+9! *eide-#er6: R9 "9 Dec@er! $&&$G! ?or III $4! m+9 5$D 19 Scha#as! I+troductio+ to the I+ter+atio+a- ,rimi+a- ,ourt F$+d ed+9! ,am#rid6e: ,am#rid6e U+i"ersit Press! $&&)G! '&% et seq9D 1er-e! su7ra +ote '! m+9 ((& et seq9 This issue is much de#atedD the i+c-usio+ of do-us e"e+tua-is u+der 0rt9 (& I,,St9 is ad"ocated # *9*9 3eschec@! ;The Ie+era- Pri+ci7-es of I+ter+atio+a,rimi+a- La: Set Out i+ Nurem#er6! as /irrored i+ the I,, Statute;! $ 3our+a- of I+ter+atio+a- ,rimi+a- 3ustice F$&&)G (%255! at )5D F9 /a+to"a+i! ;The Ie+era- Pri+ci7-es of I+ter+atio+a- ,rimi+a- La:: The ?ie:7oi+t of a Natio+a- ,rimi+a- La: er;! ' 3our+a- of I+ter+atio+a- ,rimi+a- 3ustice F$&&(G $42(%! at ($D D9.9 Pira6off! ;0rtic-e (& /e+ta- E-eme+t;! i+ O9 Triffterer Fed9G! ,omme+tar o+ the Rome Statute of the I+ter+atio+a,rimi+a- ,ourt22O#ser"ers; Notes! 0rtic-e # 0rtic-e FBade+2Bade+: Nomos ?er-a6s6ese--schaft! 'JJJG! 5$<2 5(5! at 5()! m+9 $'9 AFN)%B9 See the cha7eau of 0rt9 (&F'G I,,St9 ;U+-ess other:ise 7ro"ided;9 O+ that issue see 1er-e! su7ra +ote '! m+9 ('& et seq9D 1er-e a+d 3ess#er6er! su7ra +ote $5! at )( et seq9 AFN)JB9 See 1er-e! i#id9! m+9 ('' to ('4D 1er-e a+d 3ess#er6er! i#id9 AFN5&B9 De-a-ic a+d others Tria- 3ud6me+t! su7ra +ote '4! N )(JD see further 1er-e! su7ra +ote '! m+9 %5<! %5%! a+d %<%9 AFN5'B9 1er-e! su7ra +ote '! m+9 ((49 AFN5$B9 See 39 Prade-! Droit PS+a- ,om7arS F$+d ed+9! Paris: Da--oH! $&&$G! m+9 'J<9 AFN5(B9 0m#os! su7ra +ote J! at %5$D 1909 Scha#as! Ie+ocide i+ I+ter+atio+a- La: F,am#rid6e: ,am#rid6e U+i"ersit Press! $&&&G! ('$9 See a-so "a+ S-iedre6t! su7ra +ote '5! at $$&9 AFN5)B9 09 0sh:orth! Pri+ci7-es of ,rimi+a- La: F)th ed+9! O=ford a+d Ne: Yor@: O=ford U+i"ersit Press! $&&(G! '$<9 Ierma+ crimi+a- -a:! o+ the other ha+d! does +ot su#scri#e to this 7ri+ci7-eD see 19 Stree! i+ 09 SchL+@e a+d *9 SchrLder FedsG! Straf6esetH#uch22.omme+tar F$<th ed+9! /u+ich: Bec@! $&&4G! ?or N '(! m+9 <<9 AFN55B9 Some crimes u+der the I,,St9 do +ot require a resu-t Fsee e969 0rt9 %F$GF#GFiG I,,St9: ;I+te+tio+a-directi+6 attac@s a6ai+st the ci"i-ia+ 7o7u-atio+ as such or a6ai+st i+di"idua- ci"i-ia+s +ot ta@i+6 direct 7art i+ hosti-ities;G9 0r6ua#- ! i+ such cases crimi+a- -ia#i-it o+ the #asis of -ac@2of2@+o:-ed6e su7erior res7o+si#i-it #efore the fact ca++ot attach #ecause there is +o :ro+6fu- co+seque+ce of the #ase crime that cou-d #e attri#uted to the su7erior9 AFN54B9 See Part (! a#o"e9
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AFN5<B9 See Part )! a#o"e9 AFN5%B9 See O9 Triffterer! E;,omma+d Res7o+si#i-it E22 crime+ sui 6e+eris or 7artici7atio+ as Eother:ise 7ro"idedE i+ 0rtic-e $% Rome Statute>;! i+ 39 0r+o-d et a-9 FedsG! /e+sche+6erechtes Strafrecht22Festschrift fRr 0-#i+ Eser Hum <&9 Ie#urtsta6 F/u+ich: Bec@! $&&5G J&'2J$)! at J'$D Triffterer! su7ra +ote (5! at 'J' et seq9D 1er-e! su7ra +ote '! m+9 (J4D simi-ar I9 Ba+te@as! Pri+ci7-es of Direct a+d Su7erior Res7o+si#i-it i+ *uma+itaria+ La: F/a+chester: /a+chester U+i"ersit Press! $&&(G! at '$( et seq9 AFN5JB9 See 1er-e! su7ra +ote '! m+9 (J49 AFN4&B9 See Triffterer! su7ra +ote 5%! at J'$D 1er-e! su7ra +ote '! m+9 (J49 AFN4'B9 It :ou-d #e a circu-ar ar6ume+t to state that si+ce the su#ordi+ate has committed a crime! the su7erior must ha"e fai-ed to e=ercise co+tro- o"er the su#ordi+ate 7ro7er- 9 But see Triffterer! su7ra +ote 5%! at J''! :ho su#mits that ;the mere fact that crimes are committed or a#out to #e committed is a 7rima facie e"ide+ce for a fai-ure to e=ercise co+tro- 7ro7er- D #ecause other:ise such atrocities :ou-d +ot ha"e ha77e+ed! #ut :ou-d ha"e #ee+ 7re"e+ted9; AFN4$B9 The requireme+t of t:o omissio+s o+ the 7art of the su7erior for @+o:-ed6e su7erior res7o+si#i-it after the fact :ou-d a-so e=7-ai+ the i+siste+ce of the I,TY 077ea-s ,ham#er that e"e+ i+ su7erior res7o+si#i-it after the fact situatio+s! the su7erior must ha"e e=ercised effecti"e co+tro- o"er the su#ordi+ate at the time of the su#ordi+ate;s crime22assumi+6 effecti"e co+tro- su#seque+t- does +ot e+tai- su7erior res7o+si#i-it for fai-ure to su#mit the matter to the com7ete+t authorit D see I,TY! Decisio+ o+ I+ter-ocutor 077ea- ,ha--e+6i+6 3urisdictio+! *adHihasa+o"ic! 0-a6ic a+d .u#ura FIT2&'2)<20G! 077ea-s ,ham#er! '4 3u$&&(! N 5'9 AFN4(B9 See the e=am7-es 6i"e+ # 1939 Fe+ric@! ;0rtic-e $% Res7o+si#i-it of comma+ders a+d other su7eriors;! i+ Triffterer! su7ra +ote )<! 5'525$$! at 5'%25'J! m+9 JD Triffterer! su7ra +ote 5%! at J''9 AFN4)B9 See Triffterer! su7ra +ote 5%! at J''9 AFN45B9 The I,TY has he-d that the duties to ;7re"e+t a+d re7ress; o+ the o+e ha+d a+d to ;7u+ish; o+ the other ha+d are t:o disti+ct duties a+d that a su7erior i+curs crimi+a- res7o+si#i-it for fai-i+6 to 7re"e+t or re7ress a #ase crime irres7ecti"e of :hether the he or she su#seque+t- 7u+ishes that crimeD see! for e=am7-e! Lima8 a+d others Tria- 3ud6me+t! su7ra +ote '<! N 5$<D *a-i-o"ic Tria- 3ud6me+t! su7ra +ote <! N<$D Stru6ar Tria3ud6me+t! su7ra +ote 'J! N (<(D B-as@ic Tria- 3ud6me+t! su7ra +ote '4! N ((49 AFN44B9 Triffterer! su7ra +ote 5%! at J''! su#mits that it is sufficie+t that the su7erior ;is a:are that his or her fai-ure ma resu-t i+ the commissio+ # EforcesE or Esu#ordi+atesE u+der his effecti"e comma+d or authorit a+d co+tro-; Fem7hasis +ot i+ ori6i+a-G9 AFN4<B9 E"e+ :he+ the @+o:-ed6e is acquired #efore the commissio+ of the crime! @+o:-ed6e su7erior res7o+si#i-it after the fact ma arise if the su7erior ca++ot #e he-d res7o+si#-e for +ot ha"i+6 7re"e+ted or re7ressed the crime! e969 #ecause the su7erior has ta@e+ a-- ;+ecessar a+d reaso+a#-e measures :ithi+ his or her 7o:er to 7re"e+t or re7ress; the crime! #ut the crime :as committed +e"erthe-ess9 If! ho:e"er! the su7erior ca+ #e he-d res7o+si#-e for su7erior res7o+si#i-it #efore the fact! the -ia#i-it for after2the2fact res7o+si#i-it :ou-d seem to #e su#sidiar 22the su7erior shou-d +ot #e 7u+ished t:ice for the same crime of his su#ordi+ate9 AFN4%B9 The :ordi+6 of 0rt9 $% I,,St9 su66ests that this @+o:-ed6e must #e attai+ed at the time the su#ordi+ate committed the crime F;@+e: 999 that the forces :ere committi+6 or a#out to commit such crimes;G9 Thus! situatio+s :here the su7erior -ear+t of the #ase crime o+- after its commissio+ a+d the+ fai-ed to re7ort the matter to the re-e"a+t authorities seemi+6- are +ot co"ered # 0rt9 $% I,,St9 This i+ter7retatio+! ho:e"er!
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is +ot 7ersuasi"e9 The 8uris7rude+ce of the ad hoc tri#u+a-s has esta#-ished that the dut to 7u+ish arises ;after the su7erior acquires @+o:-ed6e of the commissio+ of the crime; FLima8 a+d others Tria- 3ud6me+t! su7ra +ote '<! N 5$<G9 AFN4JB9 The I,TY has he-d that a+ aider or a#ettor ma co+tri#ute to a crime after its commissio+ Fsee! B-as@ic 077ea-s 3ud6me+t! su7ra +ote 'J! N )%D 3ud6me+t! ."oc@a a+d others FIT2J%2(&/'2TG! Tria- ,ham#er! $ No"em#er $&&'! N $54D I,TY! 0-e@so"s@i Tria- 3ud6me+t! su7ra +ote '<! N 4$D 3ud6me+t! .u+arac a+d others FIT2J42$(O$(/'2TG! Tria- ,ham#er! $$ Fe#ruar $&&'! N (J'G9 O+ that #asis! it cou-d #e ar6ued that @+o:-ed6e su7erior res7o+si#i-it after the fact shou-d -ead to res7o+si#i-it for #oth the crimi+a- co+duct a+d the :ro+6fuco+seque+ce of the #ase crime! 8ust as com7-icit after the fact does9 *o:e"er! it is questio+a#-e :hether this 8uris7rude+ce of the I,TY :ou-d #e com7ati#-e :ith 0rt9 $5F(GFcG I,,St9! :hich -a s em7hasis o+ the co+tri#utio+ to the commissio+ of the crime! :hich seemi+6- e=c-udes assista+ce after the fact9 Furthermore! at -east o+e decisio+ of the I,TY as :e-- as the I+ter+atio+a- La: ,ommissio+ i+ its comme+tar o+ the draft ,ode of ,rimes 06ai+st /a+@i+d a+d academic comme+tators ha"e required that a+ 7ost2facto assista+ce must #e a6reed u7o+ #et:ee+ the 7er7etrator a+d the aider a+d a#ettor #efore the commissio+ of the crime Fsee Furu+dHi8a Tria- 3ud6me+t! su7ra +ote )5! N $$JD I+ter+atio+a- La: ,ommissio+! Re7ort of the I9L9,9! o+ the :or@ of its fort 2ei6hth sessio+! I909 Su779 No9 '& F0/5'/'&G 'JJ4! at $'D 0m#os! su7ra +ote '! at )5&! 4(%D O9 Triffterer! ;Besta+dsauf+ahme Hum ?L-@erstrafrecht;! i+ I9 *a+@e- a+d I9 Stu# FedsG! Straf6erichte 6e6e+ /e+schheits"er#reche+/Mum ?L-@erstrafrecht 5& 3ahre +ach de+ NRr+#er6er ProHesse+ F*am#ur6: *am#ur6er Editio+e+! 'JJ5G! '4J2$4J! at $$%G9 It ma #e +oted that accom7-ice -ia#i-it for co+tri#utio+s after the fact is o+ the retreatD i+ E+6-a+d! the -a: re-ati+6 to accom7-ice -ia#i-it after the fact :as a#o-ished a+d re7-aced :ith N ) of the ,rimi+a- La: 0ct of 'J4<! :hich created the se7arate offe+ce of im7edi+6 the a77rehe+sio+ or 7rosecutio+ of arresta#-e offe+dersD see 39,9 Smith! Smith O *o6a+ ,rimi+a- La: F'&th ed+9! Lo+do+: Le=is Ne=is U.! $&&$G! at '%( et seq9 I+ Ierma+ ! accom7-ice -ia#i-it after the fact is 7ossi#-e o+- u+ti- the commissio+ of the crime is materia-- com7-eted! see P9 ,ramer a+d I9 *ei+e! i+ 09 SchL+@e a+d *9 SchrLder FedsG! Straf6esetH#uch22.omme+tar F$<th ed+9! /u+ich: Bec@! $&&4G! N $<! m+9 '<D after the com7-etio+ of the crime! o+- -ia#i-it for o#structio+ of 8ustice ma #e i+curred FN $5% Ierma+ Pe+a- ,odeG9 AFN<&B9 I+ *adHihasa+o"ic a+d .u#ura the I,TY Tria- ,ham#er seemi+6- sou6ht to o"ercome this 7ro#-em # a77- i+6 the ;reaso+2to2@+o:;2requireme+t restricti"e- : the accused :ere fou+d 6ui-t for +ot ha"i+6 7u+ished crimes a-thou6h the had recei"ed re7orts a+d co+crete i+formatio+ i+dicati+6 co+crete- that crimes had #ee+ committedD see *adHihasa+o"ic a+d .u#ura Tria- 3ud6me+t! su7ra +ote (! N '$(&9 AFN<'B9 See! for e=am7-e! Oric Tria- 3ud6me+t! su7ra +ote (! N ()(9 END OF DO,U/ENT
$% *STI,LR $4< FOR EDU,0TION0L USE ONLY $% *asti+6s I+t;- O ,om79 L9 Re"9 $4< (Cite as: 24 >asti"<s !"t#l ? Comp L Rev 2$1%
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*asti+6s I+ter+atio+a- a+d ,om7arati"e La: Re"ie: 1i+ter $&&5 )ote &2$1 ,RI/IN0L RESPONSIBILITY FOR NON2ST0TE ,I?ILI0N SUPERIORS L0,.INI DE 3URE 0UT*ORITY: 0 ,O/P0R0TI?E RE?IE1 OF T*E DO,TRINE OF SUPERIOR RESPONSIBILITY 0ND P0R0LLEL DO,TRINES IN N0TION0L ,RI/IN0L L01S 0"i Si+6h AFNa'B ,o7 ri6ht C $&&5 U, *asti+6s ,o--e6e of the La:D 0"i Si+6h EE=7edie+c is! as it :ere! the mother of :hat is 8ust a+d fair 9 9 9 9E 2 ,ar+aedus AFN'B I9 I+troductio+ ,o+f-icts are i+creasi+6- +either i+ter+atio+a- +or domestic! a+d #et:ee+ 7arties that ma or ma +ot #e state 7arties! -eadi+6 to +e: cha--e+6es i+ i+ter+atio+a- -a:! as i+ R:a+da a+d Yu6os-a"ia! a+d more rece+t- i+ 0f6ha+ista+! Li#eria! Sierra Leo+e! a+d the o+6oi+6 crises i+ Soma-ia9 These 7ost2moder+ co+f-icts! ofte+ i+"o-"i+6 8us co6e+s AFN$B "io-atio+s # actors that def traditio+a- cate6oriHatio+! ha"e &2$4 cha--e+6ed 8udicia- res7o+ses as tri#u+a-s 6ra77-e :ith the cu-7a#i-it of those respo"si,le! the armchair crimi+a-s AFN(B 2 ci"i-ia+ superiors acti+6 :ithi+ quasi27o-itica-! quasi2mi-itar ! amor7hous or6a+iHatio+s9 Perha7s to a"oid the a+oma- of immu+it for 8us co6e+s "io-ators; acti+6 :ithout de 8ure authorit ! there has #ee+ a hesita+t a+d co+te+tious e=te+sio+ of traditio+a- comma+d respo"si,ility doctri+e! +o: referred to as the superior respo"si,ility doctri+e! to ci"i-ia+s :ithout a+ de 8ure authorit ! ofte+ acti+6 i+ or6a+iHatio+s :ithout a+ de 8ure structure9 Superior respo"si,ility is #e-ie"ed to effectuate the 8udicia- 6oa-s of deterre+ce a+d accou+ta#i-it ! 7-aci+6 #-ame :here is ma ma@e the most differe+ce 2 o+ the superior9 AFN)B I+ this +ote! the e"o-utio+ of ci"i-ia+ superior respo"si,ility is a+a- Hed! :ith 7articu-ar em7hasis o+ +o+2 6o"er+me+ta- actors -ac@i+6 de 8ure authorit ! a+d 7ossi#-e mode-s i+ +atio+a- crimi+a- codes su66ested! outside of mi-itar superior respo"si,ility! for fi+di+6 ci"i-ia+ superiors of +o+26o"er+me+t or6a+iHatio+s cu-7a#-e for 8us co6e+s "io-atio+s9 It is su66ested that the mi-itar comma+d respo"si,ility 6e+ea-o6 of ci"i-ia+ superior respo"si,ility! :hi-e im7orta+t! shou-d +either -imit its e"o-utio+ +or #e a strai6ht8ac@et for superior respo"si,ility9 Natio+a- so-utio+s to 7ro#-ems such as or6a+iHed crimes a+d terrorism! i+"o-"i+6 6rou7s that ofte+ 7ara--e- +o+26o"er+me+ta- 6rou7s 7er7etrati+6 8us co6e+s "io-atio+s! offer creati"e mode-s for superior respo"si,ility that ma ha"e #ee+ o"er-oo@ed9 This +ote! ho:e"er! does +ot see@ to restrict or +arro: the doctri+e of +o+2de 8ure superior respo"si,ility! #ut o+- to su66est a-ter+ati"e! a+d 7erha7s more so-id fou+datio+s tha+ mi-itar comma+d respo"si,ility9 &2$6 II9 Traditio+a- Superior Respo"si,ility Superior respo"si,ility! a doctri+e i+itia-- -imited to mi-itar comma+ders :ith de 8ure authorit is :e-esta#-ished i+ i+ter+atio+a- -a:! AFN5B :ith codificatio+s a+d a77-icatio+s9 0 mi-itar comma+der ca+ #e he-d crimi+a-- ! a+d at -east domestica-- i+ the U+ited States! ci"i-- -ia#-e! for 8us co6e+s "io-atio+s committed # his or her su#ordi+ates9 AFN4B Su7erior res7o+si#i-it is #oth a crime of omissio+! e"e+ of +e6-i6e+ce! a+d a crime co+sidered 6rie"ous AFN<B 2 o+ o+e ha+d ho-di+6 a mi-itar comma+der cu-7a#-e! :ithout a+ aidi+6 or a#etti+6 of a su#ordi+ate;s commissio+ of crimi+a- acts! a+d o+ the other ha+d requiri+6 the su#ordi+ates crimes
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to #e serious 8us co6e+s "io-atio+s! such as :ar crimes9 It is su77-eme+ta- to i+di"iduacrimi+a- res7o+si#i-it ! such as a su7erior orderi+6 a su#ordi+ate to commit a 8us co6e+s "io-atio+9 AFN%B There are 6e+era-- three e-eme+ts of su7erior res7o+si#i-it 9 First! the e=iste+ce of a su7erior2su#ordi+ate re-atio+shi7 :ith the 7er7etrator of the su#sta+ti"e crime9 AFNJB Seco+d! a me+s rea e-eme+t that requires @+o:-ed6e! ofte+ co+structi"e! su66esti+6 a +e6-i6e+ce sta+dard! of the su#ordi+ate;s 8us co6e+s "io-atio+s9 AFN'&B Last! a+ actus reus e-eme+t that requires that the su7erior either fai-ed to 7re"e+t the a#uses! or 7ost2hoc! fai-ed to 7u+ish the su#ordi+ate 7er7etrators for their actio+s9 AFN''B ,omma+d res7o+si#i-it has historica- roots9 Irotius; a77-icatio+ of Edisti+ctio+ a+d 7ro7ortio+a-it E to the -a:s of :ar! de"e-o7ed i+ '4$5! i+ see@i+6 to co+strai+ the :a6i+6 of :ar! is reco6+iHed as the fist ste7 to:ards the formatio+ of a mi-itar &219 comma+d res7o+si#i-it doctri+e9 AFN'$B 0+other comme+tator has traced the first codificatio+ of comma+d res7o+si#i-it to ,har-es ?II of Or-ea+s; Ordi+a+ce9 AFN'(B Fra+cis Lie#er;s ,ode co+ti+ued the de"e-o7me+t of Irotius; doctri+e o+ the -a:s of :ar! 7rom7ti+6 its ado7tio+ # the '%4% Dec-aratio+ of St9 Peters#ur69 AFN')B The '%<) Brusse-s ,o+fere+ce dec-aratio+! a+d the '%JJ a+d 'J&) *a6ue ,o+"e+tio+s! furthered the de"e-o7me+t of -a:s of :ar9 0fter 1or-d 1ar I! the ,ommissio+ o+ the Res7o+si#i-it of the 0uthors of 1ar a+d o+ E+forceme+t of Pe+a-ties recomme+ded! :ithout success! a tri#u+a- to tr mi-itar comma+ders :ho had @+o:-ed6e of! #ut fai-ed to 7re"e+t "io-atio+s9 AFN'5B /i-itar comma+ders e=ecute :ars! a+d the +ecessit of mi-itar comma+d res7o+si#i-it i+ a-so effectuati+6 the -a:s of :ar :as first esta#-ished # the 8uris7rude+ce of the 7ost21or-d 1ar II tri#u+a-s9 I+ a semi+a- case! I+ re Yamashita! the U9S9 Su7reme ,ourt u7he-d a U9S9 /i-itar tri#u+a-;s death se+te+ce for 0dmiraYamashita! the :artime comma+der of 3a7a+ese troo7s i+ the Phi-i77i+es! for a strict E7erso+a- res7o+si#i-it for his fai-ure to ta@e Aa77ro7riate measures as are reaso+a#-e i+ his 7o:ers to co+tro- the troo7s u+der his comma+d for the 7re"e+tio+ of the 8us co6e+s "io-atio+s # his troo7sB 9 9 9 :he+ "io-atio+s resu-t9 9 9 9E AFN'4B 0dmira- Yamashita :as he-d to ha"e fai-ed his Eaffirmati"e dut to ta@e 9 9 9 measures 9 9 9 :ithi+ his 7o:er a+d a77ro7riate i+ the circumsta+ces 9 9 9 9E AFN'<B The court a77-ied a strict -ia#i-it test! ho-di+6 mere de 8ure authorit to #e sufficie+t! a+d re8ecti+6 Yamashita;s defe+se that he -ac@ed the a#i-it to 7re"e+t or 7u+ish 8us co6e+s "io-atio+s 2 :ar crimes 2 # &21/ 3a7a+ese troo7s! the actus reus e-eme+t! #ecause the U9S9 cam7ai6+ had disru7ted his commu+icatio+ :ith his su#ordi+ates9 AFN'%B Yamashita;s sta+dard 2 a strict -ia#i-it sta+dard! i+ferred from de 8ure authorit 2 has rare- si+ce #ee+ a77-ied9 This sta+dard a+d the co+duct of the tria7roceedi+6s ha"e #ee+ criticiHed AFN'JB for Eideo-o6ica-2racia- 7re8udice9E AFN$&B The Yamashita sta+dards; shortcomi+6 ha"e #ee+ descri#ed as sufficie+t Eto ma@e a -a: er :ish to for6et a-- a#out them at the ear-iest 7ossi#-e mome+t9E AFN$'B The Nurem#er6 tria-s of Ierma+ NaHi officia-s a+d mi-itar officers a77-ied su7erior res7o+si#i-it :ith a me+s rea requireme+t of @+o:-ed6e of the su#ordi+ates; actio+s9 I+ U9S9 "9 Poh-! the Tri#u+a- he-d mi-itar comma+ders to ha"e a+ Eaffirmati"e dut 9E AFN$$B *o:e"er! the case a6ai+st the Ierma+ E*i6h ,omma+dE esta#-ished a hi6her sta+dard for cu-7a#i-it tha+ Yamashita9 AFN$(B The To@ o Tri#u+a- a-so fou+d mi-itar ! a+d e"e+ 6o"er+me+t ci"i-ia+ -eaders! to 7ossess co+structi"e @+o:-ed6e of mistreatme+t of 7riso+ers of :ar! a+d crimi+a-- -ia#-e for their i+actio+9 AFN$)B The 7ost2/ Lai AFN$5B tria-s of U9S9 fie-d mi-itar comma+ders ref-ect the "aria+ce of sta+dards #ased o+ e=tra28udicia- factors9 ,a7tai+ Er+est /edi+a! the fie-d comma+der! :as acquitted for -ac@i+6 &212 E7ositi"e Aor actua-B AFN$4B @+o:-ed6eE of his su#ordi+ate;s :ar crimes 2 8us co6e+s "io-atio+s9 AFN$<B 0-thou6h E7o-itica-!E AFN$%B a+d co+trar to U9S9 arm re6u-atio+s! ,a7tai+ /edi+a;s case is i--ustrati"e of the i+co+siste+c i+ u7ho-di+6 a+ affirmati"e me+s rea sta+dard to e"e+ de 8ure mi-itar hierarchies9 I+ co+trast! other 8uris7rude+ce i+ the mi-itar co+te=t! sometimes from u+-i@e- sources! has e=te+ded the su#ordi+ate2su7erior re-atio+shi7 to i+c-ude de facto co+tro-9 The .aha+ Re7ort o+ the Pha-a+6ist mi-itia;s massacre i+ Sa#ra a+d Shati-a Pa-esti+ia+ refu6ee cam7s i+ Beirut :he+ it :as u+der Israe-i mi-itar co+tro-! thou6h o+- a+ ad"isor o7i+io+! he-d the+ Defe+se /i+ister 0rie- Sharo+ a res7o+si#-e su7erior e"e+ for Etroo7s outside 9 9 9 AhisB chai+ of comma+d o"er :hom decisio+2ma@ers e=ercised effecti"e i+forma- co+tro-9E
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AFN$JB 0s Defe+se /i+ister! he :as +ot a mi-itar comma+der! a+d his de 8ure authorit :as atte+uated! #ut the .aha+ Re7ort co+sidered his i+"o-"eme+t i+ the Sa#ra i+cide+ts :as a@i+ to de facto effecti"e co+tro-9 Such 8uris7rude+ce has had si6+ifica+t im7act o+ su#seque+t 8uris7rude+ce o+ fi+di+6 ci"i-ia+ su7eriors! :ithi+ a+d outside hierarchica- or6a+iHatio+s! -ia#-e for su#ordi+ates; 8us co6e+s "io-atio+s9 AFN(&B III9 E=te+di+6 Su7erior Res7o+si#i-it to ,i"i-ia+s ,omma+d res7o+si#i-it ! esta#-ished i+ customar i+ter+atio+a- -a: throu6h 7ost 1or-d 1ar II 8uris7rude+ce! :as o+- codified AFN('B i+ the 'J<< 0dditio+a- Protoco- I of the Ie+e"a ,o+"e+tio+! a77-ica#-e to i+ter+atio+a- armed co+f-icts! i+ 0rtic-e %4 F$G: The fact that a #reach of the ,o+"e+tio+ or this Protoco- :as committed # a su#ordi+ate does +ot a#so-"e his su7eriors from 7e+a- or disci7-i+ar res7o+si#i-it ! as the case ma #e! if the @+e:! or had i+formatio+ :hich shou-d ha"e e+a#-ed them to co+c-ude i+ the circumsta+ces at the time! that he :as committi+6 &215 or :as 6oi+6 to commit such a #reach a+d if the did +ot ta@e a-- feasi#-e measures :ithi+ their 7o:er to 7re"e+t or re7ress the #reach9 AFN($B 0rtic-e %< further s7ecified the dut of mi-itar comma+ders9 AFN((B *o:e"er! Protoco- I;s 0rtic-e %4 F$G -a+6ua6e o+ su7erior res7o+si#i-it did +ot -imit its a77-icatio+ to mi-itar su7eriors! referri+6 o+- to Esu7eriors9E AFN()B For #oth mi-itar a+d ci"i-ia+ su7eriors! AFN(5B it articu-ated a me+s rea requireme+t of s7ecific @+o:-ed6e! actua- or co+structi"e! of a su#ordi+ates; 8us co6e+s "io-atio+s for comma+d cu-7a#i-it 9 I+ doi+6 so! for the me+s rea requireme+t! it formu-ated cu-7a#i-it for +e6-i6e+ce9 It did! ho:e"er! set forth a+ e=7-icit dut as a E6uara+torE for mi-itar comma+ders9 AFN(4B 0-so! the Protoco- :as si-e+t o+ the +ature of su7erior res7o+si#i-it ! a+d for at -east o+e comme+tator! EAtBhe more s7ecific determi+atio+ of this res7o+si#i-it 2 7e+a- or disci7-i+ar ! 7rimar or "icarious 2 :as -eft to the domestic -a: of the ratif i+6 states9E AFN(<B The 'J<< 0dditio+a- Protoco- II of the Ie+e"a ,o+"e+tio+! a77-ica#-e to i+ter+a- armed co+f-icts! ho:e"er! did +ot co+tai+ a+ 7ro"isio+ o+ comma+d or su7erior res7o+si#i-it 9 AFN(%B The 'JJ4 Draft ,ode of Offe+ses 06ai+st the Peace a+d Securit &214 of /a+@i+d i+cor7orates Protoco- I;s su7erior res7o+si#i-it doctri+e! stati+6: The fact that a crime a6ai+st the 7eace a+d securit of ma+@i+d :as committed # a su#ordi+ate does +ot re-ie"e his su7eriors of crimi+a- res7o+si#i-it ! if the @+e: or had reaso+ to @+o:! i+ the circumsta+ces at the time! that the su#ordi+ate :as committi+6 or :as 6oi+6 to commit such a crime a+d if the did +ot ta@e a-+ecessar measures :ithi+ their 7o:er to 7re"e+t or re7ress the crime9 AFN(JB The Draft ,ode! -i@e Protoco- I! does +ot e=7-icit- -imit su7erior res7o+si#i-it to mi-itar comma+ders! a+d does +ot disti+6uish #et:ee+ ci"i-ia+ a+d mi-itar su7eriors i+ its 7-ai+ -a+6ua6e9 Simi-ar- ! the I+ter20merica+ ,o+"e+tio+ to Pre"e+t a+d Pu+ish Torture e=te+ds su7erior res7o+si#i-it to EAaB 7u#-ic ser"a+t or em7-o ee :ho acti+6 i+ that ca7acit orders! i+sti6ates or i+duces the use of torture! or directcommits it or :ho! #ei+6 a#-e to 7re"e+t it! fai-s to do so9E AFN)&B The Securit ,ou+ci- reso-utio+s that codif the su#sta+ti"e a+d 7rocedura- -a:s of the I+ter+atio+a- ,rimi+aTri#u+a- for Yu6os-a"ia FEI,TYEG a+d the I+ter+atio+a- ,rimi+a- Tri#u+a- for R:a+da FEI,TREG! e+acted #efore the Draft ,ode! are ide+tica- o+ the issue of su7erior res7o+si#i-it ! a+d co+siste+t :ith Protoco- I9 The I,TY statute! for i+sta+ce! states that: AtBhe fact that a+ of Athe crimesB 9 9 9 :ere committed # a su#ordi+ate does +ot re-ie"e his su7erior of comma+d res7o+si#i-it if he @+e: or shou-d ha"e @+o:+ that the su#ordi+ate :as a#out to commit such acts or had do+e so a+d the su7erior fai-ed to 7re"e+t such acts or to 7u+ish the 7er7etrators thereof9 AFN)'B &215 The I,TY a+d I,TR Statute;s thus! as articu-ated i+ the Secretar Ie+era-;s Re7ort! set forth a+ Eim7uted res7o+si#i-it or crimi+a- +e6-i6e+ce!E AFN)$B that the U9S9 de-e6atio+ to the Securit ,ou+ci- co+sidered a77-ica#-e to #oth mi-itar a+d ci"i-ia+ -eaders9 AFN)(B *o:e"er! the ,ommissio+ of E=7erts for the I,TY i+ their fi+a- re7ort! co+sidered 0rtic-e < F(G to #e EAdBirected 7rimari- at mi-itar comma+derAs9BE AFN))B
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The I,TR Statute e=te+ds the a77-icatio+ of su7erior res7o+si#i-it ! +ot codified i+ Protoco- II! to R:a+da AFN)5B 2 a+ i+ter+a- armed co+f-ict9 It is i+ the Yu6os-a"ia co+te=t! ho:e"er! that the a77-ica#i-it of comma+d res7o+si#i-it to a+ i+ter+a- comma+d res7o+si#i-it :as cha--e+6ed9 0-thou6h the co+f-ict i+ Yu6os-a"ia has #ee+ ru-ed i+ter+atio+a- i+ co+f-ict! the I+dictme+t i+ Prosecutor "9 *adHihasa+o"ic o+- 7-eaded a+ u+c-assified armed co+f-ict9 The 077ea-s ,ham#er he-d that comma+d res7o+si#i-it :as 7art of i+ter+atio+a- customar -a:! a+d its omissio+ from Protoco- II did +ot re+der it i+a77-ica#-e i+ a+ i+ter+a- armed co+f-ict9 AFN)4B ,o+siste+t :ith Protoco- I! the I,TR a+d I,TY statutes do +ot disti+6uish #et:ee+ mi-itar a+d ci"i-ia+ su7eriors i+ their 7-ai+ -a+6ua6e9 0s Securit ,ou+ci- reso-utio+s #i+di+6 o+ a-- states #ased o+ 0rtic-e $5 of the ,harter of the U+ited Natio+s! AFN)<B a-#eit :ith -imited 8urisdictio+! the statutes are u+i"ersa- customar i+ter+atio+a- -a:! thou6h the tri#u+a-s ca+ a+d ha"e ru-ed o+ their com7ete+c a+d 8urisdictio+ as em7o:ered # the ,ou+ci-! as o77osed to the Rome Statute of the I,,! :hich is +ot u+i"ersa-- ratified9 0-so! su7erior cu-7a#i-it ca+ #e a77-ied co+curre+t to direct cu-7a#i-it ! i+creasi+6 the cu-7a#i-it of su7eriors9 AFN)%B The Statute;s :ere i+te+ded to ho-d &21$ accou+ta#-e cu-7a#-e su7eriors i+ co+f-icts :ithout 7recede+ce! as ref-ected i+ the Fi+a- Re7ort of the ,ommittee of E=7erts o+ Yu6os-a"ia! :here the me+s rea for su7erior res7o+si#i-it esta#-ished cu-7a#i-it so -o+6 as it if fair a+d sufficie+t to esta#-ish res7o+si#i-it 9 AFN)JB The Rome Statute AFN5&B esta#-ishi+6 the I+ter+atio+a- ,rimi+a- ,ourt FI,,G e=7-icit- reco6+iHes the e=te+sio+ of su7erior res7o+si#i-it to ci"i-ia+ -eaders! de 8ure a+d de facto9 0rtic-e $% of the Rome Statute 7ro"ides: '9 0 mi-itar comma+der or 7erso+ effecti"e- acti+6 as a mi-itar comma+der sha-- #e he-d crimi+a-res7o+si#-e for crimes :ithi+ the 8urisdictio+ of the ,ourt committed # forces u+der his or her effecti"e comma+d a+d co+tro-! or effecti"e authorit a+d co+tro- as the case ma #e! as a resu-t of his or her fai-ure to e=ercise co+tro- 7ro7er- o"er such forces! :here 9 9 9 9 $9 1ith res7ect to su7erior a+d su#ordi+ate re-atio+shi7s +ot descri#ed i+ 7ara6ra7h '! a su7erior :i-- #e crimi+a-- res7o+si#-e for crimes :ithi+ the 8urisdictio+ of this ,ourt committed # su#ordi+ates u+der his or her effecti"e authorit a+d co+tro-! as a resu-t of his or her fai-ure to e=ercise co+tro- 7ro7er- o"er such su#ordi+ates! :here: FaG The su7erior either @+e:! or co+scious- disre6arded i+formatio+ :hich c-ear- i+dicated! that the su#ordi+ates :ere committi+6 or :ere a#out to commit such crimesD AFN5'B FIta-ics added9G I+ its 7-ai+ -a+6ua6e! the Rome Statute thus sets forth a more f-e=i#-e thresho-d for mi-itar comma+ders a+d ci"i-ia+ -eaders :ith de 8ure authorit ! such as 7o-ice a+d e=ecuti"e -eaders! a+d a se7arate! hi6her thresho-d! :ith a more stri+6e+t me+s rea requireme+t! for ci"i-ia+s :ithout de 8ure authorit ! such as 7o-itica- -eaders9 1hi-e de facto su7erior authorit is reco6+iHed for #oth -eaders! mi-itar su7eriors must e=ercise effecti"e Ecomma+d a+d co+tro-E :hi-e &211 ci"i-ia+ -eaders must e=ercise effecti"e Eauthorit a+d co+tro-9E AFN5$B Thus! 0rtic-e $% F'G i+c-udes ci"i-ia+ -eaders :ho are Ede facto 7art of the chai+ of mi-itar comma+dE AFN5(B Aem7hasis addedB :ith the accom7a+ i+6 dut of co+tro-9 0rtic-e $% F$G! i+ co+trast! e=te+ds comma+d res7o+si#i-it to Esu7erior2su#ordi+ate re-atio+s :ithi+ +o+mi-itar or6a+iHatio+s! such as the -i+@s #et:ee+ a /i+ister of I+terior a+d 7o-iceme+ or #et:ee+ a factor ma+a6er a+d em7-o ees9E AFN5)B The Rome Statute a-so esta#-ished a causa- requireme+t! +ot esta#-ished i+ the I,TY a+d I,TR 8uris7rude+ce! :here the harm must #e a Eresu-t of fai-ure to 9 9 9 e=ercise 7ro7er co+tro-A9BE AFN55B I+ additio+! the su7erior must e=ercise E+ecessar a+d reaso+a#-eE co+tro- to E7re"e+t or re7ress the commissio+ of A8us co6e+s "io-atio+sB9E AFN54B 0s such! the Rome Statute reco6+iHes the e=7erie+ce of the I,TY a+d I,TR i+ a77- i+6 the su7erior res7o+si#i-it doctri+e to ci"i-ia+ su7eriors :ithout de 8ure authorit o"er com#ata+ts! AFN5<B a+d the resu-ti+6 i+co+siste+cies i+ the tri#u+a-s; su7erior res7o+si#i-it 8uris7rude+ce9 Post 1or-d 1ar II tri#u+a-s had re-ucta+t- e=te+ded su7erior res7o+si#i-it to ci"i-ia+ 6o"er+me+t -eaders! a-#eit u+der much criticism9 AFN5%B I+ :hat o+e scho-ars ca--s a+ Eu+7recede+tedE e=te+sio+! 1i-he-m Fric@! NaHi Ierma+ ;s /i+ister of I+terior! :ho :as E:e-- a:areE of the 7o-ic of eutha+asia 7racticed # hea-th faci-ities u+der his co+tro-! :as co+"icted as he E+e"erthe-ess disre6arded 7o7u-ar 7rotests a+d the @i--i+6s co+ti+uedE resu-ti+6 i+ $5&!&&& deaths9 AFN5JB Simi-ar- ! i+ the To@ o Tri#u+a-s! 3a7a+ese Forei6+ /i+ister Shi6emitsu :as co+"icted for +ot resi6+i+6 from his +omi+a- comma+d :he+ u+a#-e to e=ercise 7ro7er co+tro-
Pa6e 5
o"er the co+duct of &214 3a7a+ese troo7s9 AFN4&B I+ the triaof Forei6+ /i+ister .o@i *irota for su7erior res7o+si#i-it for the 3a7a+ese troo7s; mass murders i+ Na+@i+6! ,hi+a! he :as char6ed :ith @+o:-ed6e of the atrocities a+d acce7ta+ce of mi-itar assura+ces! a+d co+"icted for Ecrimi+a- +e6-i6e+ce!E AFN4'B a-thou6h he e=ercised o+- Ei+f-ue+ce rather tha+ forma- authorit o"er the mi-itar 9E AFN4$B I+ the ERoech-i+6 ,ase!E 7erha7s #ecause the accused :as re-ated to /arsha- Ioehri+6! the Nurem#er6 U9S9 /i-itar Tri#u+a- e=te+ded su7erior res7o+si#i-it for a +o+26o"er+me+ta- ci"i-ia+ -eader! a+ i+dustria-ist! for i-- treatme+t of de7ortees em7-o ed as forced -a#or #ecause he E7ermitted itA!B 9 9 9 a+d Adid +ot doB his utmost to 7ut a+ e+d to the a#uses9E AFN4(B 0 rece+t U9S9 case! a-thou6h a77- i+6 su7erior res7o+si#i-it i+ a ci"i- -ia#i-it case! i--ustrates the acce7ta+ce of su7erior cu-7a#i-it for ci"i-ia+s :ith de 8ure authorit ! 7articu-ar- e=ecuti"e co+troof mi-itar forces9 I+ *i-ao "9 Estate of /arcos FE/arcos IIEG! i+ :hich the former Preside+t of Phi-i77i+es! Ferdi+a+d /arcos! :as the defe+da+t i+ a ci"i- suit 7-eadi+6 tortuous co+duct! the court a77-ied su7erior res7o+si#i-it e=7-icit- ! ru-i+6 that the Eco+duct at issue 9 9 9 i+"o-"ed "io-atio+s # mem#ers of mi-itar or 7arami-itar forces of a 8us co6e+s +orm of i+ter+atio+a- -a: 7ara--e- to the t 7es of :ar crimes for :hich i+ter+atio+a- -a: im7oses comma+d res7o+si#i-it 9E AFN4)B The I,TY a+d I,TR ad2hoc tri#u+a-s! as me+tio+ed a#o"e! co+fro+ti+6 7ost2moder+ co+f-icts! ha"e #ee+ 7articu-ar- acti"e i+ e=te+di+6 comma+d res7o+si#i-it to de 8ure a+d de facto ci"i-ia+ su7eriors9 I+ Prosecutor "9 De-a-ic et a- FE,e-e#ici caseEG! the I,TY Tria- ,ham#er e=te+ded su7erior res7o+si#i-it to ci"i-ia+s :ith de facto authorit ! Ea+a-o6ous to mi-itar comma+ders 9 9 9 :ith su#sta+tia-- simi-ar 7o:ers of co+tro- o"er su#ordi+ates A!BE at a Bos+ia+ /us-im2,roat Federatio+ ru+ 7riso+ cam7 housi+6 Bos+ia+ &216 Ser#s! a#se+t a+ de 8ure authorit 9 AFN45B The I,TY 077ea-s ,ham#er seemi+6- did +ot disti+6uish #et:ee+ a de facto a+d de 8ure su7erior! so -o+6 as the su7erior has the E7o:er or authorit 9 9 9 to 7re"e+t a su#ordi+ate;s crime or to 7u+ish the 7er7etrator of the crime9 9 9 9E AFN44B The 077ea-s ,ham#er ac@+o:-ed6ed that E9 9 9customar -a: 9 9 9 does +ot defi+e 7recise- the mea+s # :hich the Aeffecti"eB co+tro- must #e e=ercised9E AFN4<B 077- i+6 this case2s7ecific sta+dard! the Tria- ,ham#er co+"icted Mdra"@o /ucic! comma+der of the 7riso+ cam7! for dere-ictio+ of his dut to e+sure the 7ro7er treatme+t of 7riso+ers at his cam7! the commissio+ of hei+ous offe+ses # su#ordi+ates! a+d the fai-ure to i+itiate disci7-i+ar actio+9 The Tria- ,ham#er :as e=7-icit that +o Eforma- a77oi+tme+tE as a su7erior :as +ecessar 9 AFN4%B ,o+fusi+6- ho:e"er! the ,e-e#ici court! a77- i+6 a de facto sta+dard! acquitted Me8+i- De-a-ic! a -oca- tacticacomma+der! of su7erior res7o+si#i-it for the 7riso+ cam7! thou6h he e=ercised su#sta+tia- i+f-ue+ce o+ the 6uards! as he :as +ot direct- i+ comma+d9 AFN4JB The decisio+ ref-ects the te+sio+ i+ e=te+di+6 su7erior res7o+si#i-it to Edece+tra-iHed a+d diffused mi-itar authoritiesE :ith a+ Eeffecti"e co+tro-E sta+dard9 AFN<&B For the 077ea-s ,ham#er! e"e+ Esu#sta+tia- i+f-ue+ceE :ou-d ha"e #ee+ sufficie+t if it :as a Emateria- a#i-itA B to 7re"e+t su#ordi+ate offe+ses or 7u+ish su#ordi+ate offe+ders9E AFN<'B The ad2hoc tri#u+a-s e=te+sio+ of su7erior res7o+si#i-it to ci"i-ia+s! ref-ecti+6 its mi-itar 6e+ea-o6 ! a+d case2s7ecific a77-icatio+! is i+co+siste+t9 I+ a+other i+sta+ce! Dario .ordic! ?ice Preside+t of the se-f2st -ed Bos+ia+ ,roat ERe7u#-ic!E des7ite his Etreme+dous i+f-ue+ce a+d 7o:erE o"er ,roat armed forces! thou6h co+"icted u+der 0rtic-e < F'G for direct res7o+si#i-it ! :as acquitted for su7erior res7o+si#i-it u+der 0rtic-e < F(G as the Tria- ,ham#er! thou6h oste+si#- a77- i+6 a+ effecti"e co+tro- test Fde factoG! used a de 8ure sta+dard9 AFN<$B The ,ham#er e=7-icit- stated Ethat 6reat care &249 must #e ta@e+ i+ assessi+6 the e"ide+ce to determi+e comma+d res7o+si#i-it i+ res7ect to ci"i-ia+s! -est a+ i+8ustice #e do+e9E AFN<(B The case is i+dicati"e of the -imitatio+s of su7erior res7o+si#i-it for ci"i-ia+s! e"e+ those co+cei"a#- acti+6 -i@e mi-itar comma+ders9 The im7orta+ce! ho:e"er! of the su7erior res7o+si#i-it doctri+e to ci"i-ia+s is i--ustrated # the fact that the o+- 7erso+s co+"icted of su7erior res7o+si#i-it for 6e+ocide! to date! ha"e #ee+ ci"i-ia+s9 The I,TR 8uris7rude+ce! i+ 7articu-ar! faced :ith tria-s of i+di"idua-s acti+6 outside the 7arameters of the forma- state! has had to dea- e=te+si"e- :ith the su7erior cu-7a#i-it of ci"i-ia+s ofte+ -ac@i+6 de 8ure authorit ! a+d has #ee+ -ess cautious i+ fi+di+6 cu-7a#i-it for ci"i-ia+ su7eriors9 I+ its first case! Prosecutor "9 0@a esu! the defe+da+t
Pa6e 4
3ea+2Pau- 0@a esu :as a #our6mestre Fma orG of Ta#a commu+e! a teacher! a+d a schoo- i+s7ector9 AFN<)B The case a77-ied the case2s7ecific sta+dard to determi+e 0@a esu;s de facto E7o:er to ta@e a-- +ecessar a+d reaso+a#-e measures to 7re"e+t the commissio+ of the a--e6ed crimes or to 7u+ish the 7er7etrators thereof9E AFN<5B The Tria- ,ham#er he-d that 0@a esu +ot o+- had had de 8ure authorit o"er the commu+e a+d its 7o-ice! #ut a-so de facto authorit as the Emost 7o:erfu- fi6ures of the commu+eA9BE AFN<4B 077- i+6 this sta+dard! a77are+t- i+co+siste+t :ith the o+e a77-ied # the I,TY i+ ,e-e#ici for De-a-ic! 0@a esu :as fou+d cu-7a#-e u+der su7erior res7o+si#i-it ! e"e+ for the actio+s of the I+teraham:e! AFN<<B the 7o-itica- mi-itia associated :ith the ru-i+6 7art of &24/ R:a+da a+d ascri#i+6 to the e=treme *utu Po:a FPo:erG ideo-o6 to :hich ma+ of the ci"i-ia+ 7er7etrators of 6e+ocide #e-o+6ed! AFN<%B thou6h he had +o de 8ure authorit o"er them9 *e :as! ho:e"er! +ot co+"icted for the I+teraham:e;s crimi+a- actio+s #ecause the I+dictme+t had fai-ed to 7-ead that a su7erior2su#ordi+ate re-atio+shi7 e=isted #et:ee+ 0@a esu a+d the I+teraham:e9 AFN<JB The I,TR co+"icted! u+der the su7erior res7o+si#i-it doctri+e! i+ Prosecutor "9 /usema! a tea factor o:+er :ho :as 7o-itica-- acti"e! for #ei+6 E7rese+t at AtheB attac@ site!E :ith @+o:-ed6e of his em7-o ees committi+6 the crimes! a+d fai-i+6 Eto ta@e a+ measures to 7re"e+t or 7u+ish the commissio+ of these crimes9E AFN%&B I+ a #road e=te+sio+ of the test of effecti"e co+tro-! the Tria- ,ham#er stated that the Ei+f-ue+ce at issue i+ a su7erior2su#ordi+ate comma+d re-atio+shi7 ofte+ a77ears i+ the form of 7s cho-o6ica- 7ressure!E ofte+ from socia-- a+d 7o-itica-- 7romi+e+t 7erso+s9 AFN%'B 0-fred /usema had de facto co+tro- o"er his em7-o ees! :as 7rese+t at the factor ! a+d fai-ed to disci7-i+e! termi+ate! or :ithho-d resources from the 7er7etrators! i+curri+6 su7erior cu-7a#i-it 9 AFN%$B Des7ite /usema a+d I,TR 8uris7rude+ce;s o+ ci"i-ia+ su7eriors! i+ Prosecutor "9 Ba6i-ishema! the I,TR Tria,ham#er re"erted to su7erior res7o+si#i-it ;s mi-itar 6e+ea-o6 ! -imiti+6 it to su7eriors :ho Ee=ercise a de6ree of co+tro- o"er their su#ordi+ates :hich is simi-ar to that of mi-itar comma+ders9E AFN%(B I+deed! the Tria,ham#er referred to the Etra77i+6s of de 8ure authorit E i+stead of effecti"e &242 co+tro- i+ reachi+6 its ho-di+6s9 AFN%)B The i+co+siste+cies i+ the 8uris7rude+ce are a-so e"ide+t from .a ashima a+d RuHi+da+a! :here the I,TR Tria- ,ham#er 7ostu-ated a hi6her thresho-d of cu-7a#i-it for ci"i-ia+ superiors AFN%5B It articu-ated a E@+e: or shou-d ha"e @+o:+E 2 +e6-i6e+ce 2 sta+dard for mi-itar superiors, a+d a E@+e: or co+scious- disre6arded i+formatio+ :hich c-ear- i+dicated or 7ut him o+ +oticeE 2 rec@-ess+ess 2 sta+dard for ci"i-ia+ superiors AFN%4B The I,TY! ho:e"er! usua-- more cautious i+ a77- i+6 superior respo"si,ility to ci"i-ia+ superiors, i+ .ro+8e-ac! e=7-icit- a77-ied the same @+o:-ed6e requireme+t for mi-itar a+d ci"i-ia+ superiors AFN%<B The me+s rea requireme+t for superior respo"si,ility! thus! remai+s a co+te+tious issue i+ I,TR a+d I,TY tria-s9 I+ Prosecutor "9 .a8e-i8e-i! the I,TR Tria- ,ham#er reiterated the three27art test for fi+di+6 ci"i-ia+ superiors respo"si,le for their su#ordi+ates; 8us co6e+s "io-atio+s: FiG There e=isted a superior su#ordi+ate re-atio+shi7 #et:ee+ the 7erso+ a6ai+st :hom the char6e is directed a+d the 7er7etrators of the offe+seD FiiG The superior @+e: or had reaso+ to @+o: that the crimi+a- act :as a#out to #e or had #ee+ committedD FiiiG The superior fai-ed to e=ercise effecti"e co+tro- to 7re"e+t the crimi+a- act or 7u+ish the 7er7etrators thereof9 AFN%%B The Tria- ,ham#er e=7-icit- reaffirmed superior respo"si,ility for de facto superiors :ith Eeffecti"e co+troo"er 9 9 9 su#ordi+atesA!BE i+ferred from the Emateria- a#i-it 9 9 9 to 7re"e+t or to 7u+ish offe+ses committed # su#ordi+ates9E AFN%JB The me+s rea required is u+disti+6uished #et:ee+ mi-itar a+d ci"i-ia+ superiors 7 E@+e: or had reaso+ to @+o: of Asu#ordi+ates;B co+duct9E AFNJ&B I+deed! the ,ham#er e=7-icit- re8ected i+ferri+6 @+o:-ed6e from de 8ure &245 authorit a-o+e9 AFNJ'B The ,ham#er fou+d 3u"S+a- .a8e-i8e-i! a former #our6mestre! :ho :as re2a77oi+ted to his 7ost duri+6 the 6e+ocide! to 7osses a su7erior su#ordi+ate re-atio+shi7 :ith the I+teraham:e deri"ed from his i+structio+s to them! his i+f-ue+ce! a+d his i+here+t authorit as a #our6mestre to 7re"e+t the I+teraham:e;s actio+s9 AFNJ$B The ,ham#er he-d that .a8e-i8e-i E:as a -eader of I+teraham:e :ith co+tro- o"er the I+teraham:e 9 9 9! a+d that he a-so had i+f-ue+ce o"er the
Pa6e <
I+teraham:e of Athe +ei6h#ori+6B commu+e9 9 9 9E AFNJ(B The ,ham#er! thus! fou+d a -oca- officia- to ha"e #oth i+here+t authorit o"er the I+teraham:e! i+ co+trast to 0@a esu! as :e-- as #ei+6 su7erior- res7o+si#-e o+ the #asis of i+f-ue+ce9 I+ doi+6 so! it a77-ied a #road sta+dard of -ia#i-it for ci"i-ia+ su7eriors9 The tri#u+a-s; 8uris7rude+ce o+ ci"i-ia+ su7erior res7o+si#i-it remai+s i+co+siste+t at #est! a+d ofte+ #e:i-deri+69 This shoehor+i+6 of the doctri+e of mi-itar comma+d res7o+si#i-it to fit the +eed to fi+d de facto ci"i-ia+ su7eriors cu-7a#-e i+"aria#- -ea"es the doctri+e :ith stretch mar@s that do it a+d the tri#u+a-s; 8uris7rude+ce disser"ice9 The Rome Statute of the I,,! 7erha7s mi+dfu- of the fo6 o"er the a77-ica#-e sta+dards for su7erior res7o+si#i-it ! has reco6+iHed that de 8ure -a7e-s offer -itt-e assista+ce! a+d articu-ated a de facto determi+atio+ of im7uted -ia#i-it 9 The I,, ho:e"er! has et to comme+ce a -e6a- tria-! a+d de facto sta+dards ofte+ mirror the factuacircumsta+ce of each case9 *istor offers -itt-e cause to ho7e that it;s ci"i-ia+ superior respo"si,ility 8uris7rude+ce :i-- #e -ess i+co+siste+t9 I?9 The E=te+sio+s FReG ,o+sidered Superior respo"si,ility is 6e+era-- co+sidered a+ e=ce7tio+ to the 7ri+ci7-es of crimi+a- -a:! :hich require direct respo"si,ility9 AFNJ)B Superior respo"si,ility! ho:e"er! Ere-ates s stematica-- to the -ia#i-it for orderi+6 a crime! Aas +Borma-- ! Ait isB accom7a+ied # orders to commit certai+ actsD if such orders ca++ot #e 7ro"e+ or attri#uted to the Asuperior@, superior respo"si,ility ser"es as a @i+d of &244 su#sidiar form of crimi+a- -ia#i-it 9E AFNJ5B ?icarious crimi+a- -ia#i-it a-so has a+a-o6ies i+ domestic -a:s! o+e of the 7rimar sources of customar i+ter+atio+a- -a:9 AFNJ4B Superior respo"si,ility is 6rou+ded i+ the +ecessit a+d +ature of co+f-icts! es7ecia-- i+ its e=te+sio+ to ci"i-ia+ de facto superiors The +eed for 8ustice! AFNJ<B the 6rie"ous+ess of the 8us co6e+s "io-atio+s! a+d the e"ide+tiar #urde+ 7articu-ar to superiors, has dri"e+ the doctri+e of superior respo"si,ility9 0ccordi+6 to o+e de-e6ate to the drafti+6 of Protoco- I: AoB+e of the mai+ reaso+s for i+c-udi+6 the co+ce7t of +e6-i6e+ce i+ the seco+d 7ara6ra7h of artic-e A%4 Fsuperior respo"si,ilityGB :as a 7ractica- o+e9 It :ou-d ofte+ #e difficu-t i+ 7ractice to 7ro"e that a comma+der actua-- @+e: :hat :as 6oi+6 o+! :hich :ou-d de7ri"e the 7ro"isio+ of some of its deterre+ce effects9 It :ou-d ha"e #ee+ that a comma+der shou-d #e he-d respo"si,le for acts :hich he! as a comma+der! shou-d @+o: :ere ta@i+6 7-ace9 If :e :ere made so respo"si,le! there :ou-d #e a+ i+duceme+t for the comma+der to e+sure that he :as at a-- times @e7t fu-- i+formed a+d there# e+a#-ed to 7re"e+t #reaches9 AFNJ%B Superior respo"si,ility is a Eco+"e+ie+tE AFNJJB mecha+ism for affi=i+6 respo"si,ility E:here it :i-- ma@e a differe+ce9E AFN'&&B Superior respo"si,ility is a-so i+te+ded to effectuate the 6oa-s of i+ter+atio+a- -a:s 7roscri#i+6 crimes a6ai+st 7eace a+d huma+it that aim to deter "io-atio+s! a+d affirm -a:fuco+duct #et:ee+ arms9 Ii"e+ a superior#s ro-e! superior respo"si,ility #oth deters a+d i+ce+ti"ises AFN'&'B superiors, a+d the E7u+ishme+t of AsuperiorsB mi6ht &245 e=ceed! i+ certai+ circumsta+ces! that of the actua- 7er7etrators of the offe+se9E AFN'&$B The a77-icatio+ of the doctri+e for ci"i-ia+ superiors :ith o+- de facto Eeffecti"e co+tro-E is e"e+ more 7ractica- a+d e=7edie+t! 6i"e+ the difficu-t e"ide+tiar #urde+ outside mi-itar a+d other hierarchica- de 8ure co+te=ts! e"e+ thou6h the thresho-d for -ia#i-it is hi6her tha+ that for de 8ure co+te=ts9 Ii"e+ the +ature of co+f-icts! such as R:a+da a+d Yu6os-a"ia! a+d 6-o#a-iHed :arfare a6ai+st terrorist 6rou7i+6s! AFN'&(B a+d ci"i-ia+ superiors :ithout de 8ure authorit ! such as the I+teraham:e or 0- Taeda 2 -e6a- too-s to ho-d them accou+ta#-e are +ecessar 9 I+ other :ords! comma+d respo"si,ility affi=es #-ame! a+d a 7ositi"e dut ! E:here it :i-- ma@e a differe+ce9E I+ a77- i+6 superior respo"si,ility to ci"i-ia+s! :hi-e de 8ure ci"i-ia+ superiors :ithi+ mi-itar hierarchies fit +eat- i+to the doctri+e of superior respo"si,ility! de facto ci"i-ia+ superiors of 6rou7s such as these co+ti+ue to re7rese+t a cha--e+6e9
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Superior respo"si,ility is 6e+era-- co+sidered a+ e=ce7tio+ to the cu-7a#i-it 7ri+ci7-es of crimi+a- -a:! :hich require a+ i+te+t e-eme+t! a+d rare- 7u+ish +e6-i6e+ce9 AFN'&)B The disti+6uish #et:ee+ i+te+tio+aco+duct a+d +e6-i6e+t omissio+ -ac@i+6 i+ crimi+a- i+te+t! for as 3ustice *o-mes remar@ed 2 Ee"e+ a do6 disti+6uishes #et:ee+ #ei+6 stum#-ed o"er a+d #ei+6 @ic@ed9E AFN'&5B Su7erior res7o+si#i-it ! &24$ ho:e"er! has ma+ a+a-o6ues i+ domestic -a:s! o+e of the 7rimar sources of i+ter+atio+a- customar -a:! a+d e"e+ i+ i+ter+atio+a- 8uris7rude+ce9 1he+ a77-ied to ci"i-ia+ comma+ders :ithi+ a+d outside the mi-itar structure! it is c-ear that the -imited co+te=t of the former fa--s square- :ithi+ the am#it of su7erior res7o+si#i-it 6oa-s! thou6h it 7rese+ts e"ide+tiar a+d #a-a+ci+6 cha--e+6es for the ad8udicati+6 tri#u+a-! forci+6 it to i+du-6e i+ factua- determi+atio+s of de facto e-eme+ts of comma+d res7o+si#i-it ! as see+ a#o"e9 The -atter! ci"i-ia+ -eaders outside the mi-itar ! ofte+ comma+di+6 +o+2traditio+a-! +o+2state or6a+iHatio+s! such as 7o-itica- 7arties! ci"i-ia+ mi-itias FI+teraham:eG! or terrorist 6rou7s! such as 0- Taeda! re7rese+t a 6reater cha--e+6e9 0+ sta+dard of su7erior res7o+si#i-it #ased so-e- o+ de 8ure co+sideratio+s is -i@e- to fai- i+ circumsta+ces such as R:a+da or Yu6os-a"ia9 The Rome Statute of the I,, e=7-icit- reco6+iHes the +eed for a f-e=i#-e doctri+e of su7erior res7o+si#i-it ! a+d o+e that reco6+iHes de facto comma+ders! :hether mi-itar or 7ureci"i-ia+! #ased o+ Eeffecti"e co+tro-9E AFN'&4B The mo"e to:ards a de facto sta+dard for su7erior res7o+si#i-it ! ho:e"er! a-so remo"es its moori+6s i+ de 8ure mi-itar comma+d structures9 For e=am7-e! the curre+t dete+tio+ of sus7ected Ta-i#a+ a+d 0-2Taeda mem#ers! a+d their desi6+atio+ as Eu+-a:fu- com#ata+ts!E forces the questio+ :hether the are 7rotected u+der the Ie+e"a ,o+"e+tio+! a+d ca+ co+seque+t- a-so #e 8ud6ed #ased o+ the sta+dards a77-ied to com#ata+ts9 Thus! 7ractica#i-it ! 6i"e+ the 6rie"ous+ess of crimes a6ai+st huma+it ! a+d the e"ide+tiar #urde+ 7articu-ar to comma+ders rather tha+ the actua- 7er7etrators! has #ee+ a+ im7orta+t u+der- i+6 8ustificatio+ for su7erior res7o+si#i-it 9 0ccordi+6 to o+e de-e6ate to the drafti+6 of Protoco- I! su7erior res7o+si#i-it is! thus a Eco+"e+ie+t mecha+ism for a77ortio+i+6 res7o+si#i-it 9E AFN'&<B Su7erior res7o+si#i-it for ci"i-ia+s has a 7ractica#i-it #e+efit! as it effectuates the 6oa-s of su7erior res7o+si#i-it i+ cases :here the e"ide+tiar #urde+ ma #e more difficu-t due to the -ac@ of traditio+a- mi-itar co+te=ts9 Ba-a+ci+6 the ri6hts of the accused a+d the +eed for accou+ta#i-it ! ho:e"er! I,TY a+d I,TR 8uris7rude+ce a+d the Rome Statute! a77- a more stri+6e+t test :he+ a77- i+6 the doctri+e &241 to de facto ci"i-ia+ su7eriors! 6i"e+ the a#se+ce of de 8ure authorit thou6h the e"ide+tiar cha--e+6es are 6reater9 ?9 ,ritiques of Su7erior Res7o+si#i-it for ,i"i-ia+s :ithout de 8ure authorit The e=te+sio+ of su7erior res7o+si#i-it to ci"i-ia+ su7eriors! #oth de 8ure a+d de facto has +ot #ee+ u+co+tro"ersia-9 AFN'&%B The criticism s7ri+6s 7rimari- from the doctri+e;s fou+datio+s i+ de 8ure mi-itar comma+d structures9 AFN'&JB For i+sta+ce! 0-e=a+der Mahar! former- :ith the I,TR a+d +o: :ith the I,TY! ma@es "a-id ar6ume+ts for -imiti+6 su7erior res7o+si#i-it to mi-itar de 8ure su7eriors9 AFN''&B For Mahar! a su7erior2su#ordi+ate re-atio+shi7 is -imited to Ethe a77eara+ce of a forma- re-atio+shi7 of authorit Fe"e+ if it is +ot forma-co+stitutedG! a+d it must su#sist :ithi+ a 6oa-2directed hierarchica- or6a+iHatio+ or i+stitutio+ Fe"e+ if it is ad hoc or tra+sitor G9E AFN'''B This defi+itio+ :ou-d e=c-ude! for e=am7-e! the I+teraham:e -eaders i+ R:a+da! AFN''$B i-- ser"i+6 the +eed for i+ter+atio+a- -a: to 7ro"ide a remed to serious 8us co6e+s "io-atio+s9 For the actus reus e-eme+t! Mahar disti+6uishes the omissio+ of actio+ from Eo#edie+ce achie"ed throu6h #u-- i+6! or # su#missio+ to a+ i+timidati+6 a+d mora-- de-i+que+t i+di"idua-9E AFN''(B For the -atter! 6rou+di+6 himse-f i+ forma- mi-itar structures! he mai+tai+s that EAtBhere must #e a @+o:+ 7o:er i+ the su7erior to co+tro- a+d disci7-i+e the crimi+a- #eha"ior of su#ordi+ates i+ mea+i+6fu- a+d effecti"e :a s! such as # i+ter"e+i+6 to restrai+ or su#ordi+ate or # direct- sus7e+di+6 his or her ser"ices to the u+it! at -east u+tisuch time as the matter ca+ #e re"ie:ed # a+other Fhi6herG authorit 9E AFN'')B Mahar further ar6ues that
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EAaB-thou6h the de6ree of co+tro- :ie-ded # de 8ure or de facto su7eriorAsB ma ta@e differe+t forms! a de facto &244 su7erior must #e fou+d to :ie-d su#sta+tia-- simi-ar 7o:ers of co+tro- o"er su#ordi+ates to #e he-d crimi+a-- res7o+si#-e for their acts9E AFN''5B 0s such! he co+c-udes that the co+"ictio+s of .a ishema AFN''4B a+d /usema are Edee7- f-a:ed9E AFN''<B For Mahar! /usema is i--ustrati"e of the :ea@+ess of e=te+di+6 8uris7rude+ce arisi+6 from de 8ure mi-itar hierarchies to de facto ci"i-ia+ su7eriors9 /usema;s re-atio+shi7 :ith his em7-o ees :as +ot co+siste+t :ith the acce7ted 6e+era- 8uris7rude+ce o+ su7erior2 su#ordi+ate re-atio+shi7s9 I+deed! the I,TR Tria- ,ham#er re-ied! i+ter a-ia! o+ the To@ o Tri#u+a-;s du#ious co+"ictio+ of Ie+era- 0@iro /uto! the ,hief of Staff of Ie+era- Yamashita! for the ERa7e of Na+@i+6E thou6h he had +o o7eratio+a- su#ordi+ates9 AFN''%B /usema e=te+ds the doctri+e of su7erior res7o+si#i-it e"e+ further tha+ Ie+era- /uto;s tria-! a77- i+6 it to a factor o:+er :ith -imited de 8ure authorit o"er his em7-o ees9 AFN''JB Su7erior res7o+si#i-it for de facto ci"i-ia+ -eaders is a-so criticiHed for +ot #ei+6 su77orted # the E8ustice a+d efficie+c co+sideratio+s! :hich stem from the s7ecia- re-atio+s #et:ee+ su7eriors a+d su#ordi+ates :ho o7erate :ithi+ a structured mi-itar or6a+iHatio+9 9 9 9E AFN'$&B E"e+ i+ traditio+a- su7erior res7o+si#i-it 8uris7rude+ce! as me+tio+ed a#o"e! su7erior res7o+si#i-it has +e"er rested so-e- o+ de 8ure co+sideratio+s! e=ce7t! as e=7-ai+ed a#o"e! i+ cases such as I+ re Yamashita! as e=7-ored a#o"e9 0+other critic of su7erior res7o+si#i-it 2 Damas@a 2 has :ith 6ood cause criticiHed the ad2hoc tri#u+a-s for a+ Eu+critica-E acce7ta+ce as #i+di+6 7recede+t of the Post21or-d 1ar II 8uris7rude+ce des7ite its f-a:s! some of :hich ha"e #ee+ out-i+ed a#o"e i+ this 7a7er9 AFN'$'B For Damas@a! the tri#u+a-s Esto7 defere+tia-- &246 #efore each decisio+ as if it :ere a statio+ i+ a 7i-6rima6e! a+d treat each ru-e discer+ed i+ the decisio+ as if it :ere u+ar6ua#-e as a 7a7a- #u--9E AFN'$$B The ad2hoc tri#u+a-s; seam-ess use of fift 2 ear2o-d 8uris7rude+ce a+d its a77-icatio+ to a77osite facts 6i"es some crede+ce to Damas@a;s critique9 Neither Mahar;s! Damas@a;s! +or other critiques of su7erior res7o+si#i-it for ci"i-ia+ de facto -eaders! ho:e"er! address the +ecessit of ho-di+6 the true 7er7etrators of 8us co6e+s "io-ators accou+ta#-e i+ i+ter+atio+a- -a:9 Faced :ith 7ost2moder+ co+f-icts! tri#u+a-s ha"e stru66-ed :ith a77- i+6 su7erior res7o+si#i-it to de facto ci"i-ia+ -eaders! :ith resu-ti+6 i+co+siste+cies9 This ma #e 7art- e=7-ai+ed # the co+tradictio+s #et:ee+ the +eed for su7erior res7o+si#i-it to so-"e e"ide+tiar 7ro#-ems i+ ho-di+6 8us co6e+s direct- res7o+si#-e for their o:+ actio+s a+d the hi6her thresho-d for ci"i-ia+ su7erior res7o+si#i-it 9 The haHe of co+f-ict a+d the +ature of 8us co6e+s "io-atio+s do +ot a-:a s 7roduce e"ide+ce that satisfies the strict sta+dard for de facto ci"i-ia+ su7eriors9 If such a sho:i+6 is 7ossi#-e! the offe+ses ma #e char6ea#-e direct- as aidi+6 a+d a#etti+69 *o:e"er! most- ! it is +ot! a+d moreo"er! direct -ia#i-it does +ot e+ha+ce 7e+a-ties for EarmchairE 8us co6e+s "io-ators! the "er 7eo7-e it is most +ecessar to ho-d accou+ta#-e9 Thus! mi-itar 6e+ea-o6 has 7ro"ided a usefutoo- to ho-d accou+ta#-e de facto ci"i-ia+ su7eriors! #ut u-timate- o+e that is f-a:ed a+d -imited i+ its effecti"e+ess9 To use Damas@a;s 7ara7hrase of ,-eme+ceau;s dictum! Emi-itar 8ustice re-ates to its ci"i-ia+ cousi+ as a #rass #a+d does to a s m7ho+ic orchestra9E AFN'$(B ?I9 0+other -oo@ #ac@ at Nurem#er6 The defere+ce to the 7ost 1or-d 1ar II tri#u+a-s i+ moder+ i+ter+atio+a- crimi+a- -a: o+ su7erior res7o+si#i-it has +ot e=te+ded to the crimi+a- or6a+iHatio+s 7ro"isio+s ado7ted for the Nurem#er6 tria-9 U+der the 7-ai+ mea+i+6 of the 0rtic-es of the I+ter+atio+a- /i-itar Tri#u+a- FI/TG a+d the 0--ied ,o+tro- ,ou+ciLa:! mere mem#ershi7 i+ a crimi+a- or6a+iHatio+! defi+ed as o+e 6ui-t of a su#sta+ti"e crime! :as sufficie+t :ithout re2-iti6atio+ or 7redicate acts for crimi+a- 7u+ishme+t! i+c-udi+6 the death 7e+a-t 9 AFN'$)B Deri"ate of &269 u+-i@e- sources AFN'$5B i+ 0+6-o20merica+ commo+ -a:! it :as a-most :ithout 7recede+ce for Fre+ch a+d So"iet -e6a- s stems! e=ce7t for -a:s a6ai+st a6e+cies or or6a+iHatio+s da+6erous to the state9 0s :ith the doctri+e of su7erior res7o+si#i-it ! e=7edie+c seems to ha"e #ee+ a+ im7orta+t factor i+ the ,harter;s 7ro"isio+s o+ crimi+a- or6a+iHatio+s9 The -ac@ of a +eed to re2-iti6ate theoretica-- a--o:ed for s7eedier tria-s9 3or6 Freidrich ar6ues that dec-ari+6 or6a+iHatio+ crimi+a-! affecti+6 o+e mi--io+ mem#ers! :as a+ 0--ied too- for co+tro- throu6h Ede+aHificatio+9E AFN'$4B
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I+ the fi+a- a+a- sis! ho:e"er! the 7ro"isio+s a6ai+st crimi+a- or6a+iHatio+s :ere of -itt-e im7ort i+ the Nurem#er6 tria-s9 First! the Tri#u+a- reco6+iHed that Emass 7u+ishme+t shou-d #e a"oidedE a+d the -a: o+ crimi+a- or6a+iHatio+ :as a Efar reachi+6 a+d +o"e- 7rocedureE that Eu+-ess 7ro7er- safe6uarded! ma 7roduce 6reat i+8ustice9E AFN'$<B Dec-ari+6 crimi+a- or6a+iHatio+ a+a-o6ous to crimi+a- co+s7iracies! the court -imited cu-7a#i-it to "o-u+tar mem#ers :ho had @+o:-ed6e of the or6a+iHatio+;s crimi+a- o#8ect or :ere themse-"es im7-icated i+ the commissio+ of a crime9 AFN'$%B Seco+d! the Prosecutor! e=ercisi+6 his discretio+! e=c-uded -o:er -e"e- mem#ers of the Leadershi7 ,or7 of the NaHi 7art 9 AFN'$JB Third! the Ie+era- Staff of the Ierma+ /i-itar *i6h ,omma+d &26/ a+d the Ierma+ ,a#i+et :ere he-d +ot to #e crimi+a- or6a+iHatio+s! the former #ecause there :as +o "o-u+tar mem#ershi7 of a 6rou7 that did +ot e=ist! a+d the -atter #ecause it did +ot fu+ctio+ as a+ effecti"e or6a+iHatio+ after 'J(<! a+d its fe: mem#ers cou-d #e tried i+ i+di"idua- cases9 AFN'(&B The S0 FNaHi mi-itiaG :as +ot a crimi+a- or6a+iHatio+ as the :ere +ot 6ui-t of the su#sta+ti"e crime of :a6i+6 a66ressi"e :ar! thou6h the committed atrocities as the had #ee+ side-i+ed #efore the :ar started9 AFN'('B Fourth! The Leadershi7 ,or7s of the NaHi Part ! the Securit Po-ice FIesta7o a+d SDG! a+d the SS :ere a-- he-d to #e crimi+a- or6a+iHatio+s! #ut :ith -itt-e co+seque+ce9 AFN'($B The Leadershi7 ,or7s of the NaHi Part ! for i+sta+ce! :as 6ui-t of a cam7ai6+ of EIerma+iHatio+E i+ the occu7ied cou+tries! the 7ersecutio+ of 3e:s! the admi+istratio+ of s-a"e -a#or 7ro6rams! a+d the mistreatme+t of Priso+ers of 1ar a+d 0--ied airme+9 AFN'((B I+ the co+"ictio+s of Borma++! a mem#er of the SS a+d a NaHiD ?o+ Neurath! a+ O#er6ru77e+fuehrer i+ the SS as :e-- as a ,a#i+et /i+isterD Fric@! a+ officia- a+d ,hief NaHi 0dmi+istrator! for i+sta+ce! +o refere+ce :as made to their mem#ershi7 i+ a+ of the crimi+a- or6a+iHatio+s! e"e+ thou6h some :ere 7art- acquitted o+ certai+ char6es9 AFN'()B Sauc@e-! a NaHi officia- :ho :as a+ O#er6ru77e+fuehrer :ith #oth the S0 a+d the SS! :as +ot 6ui-t of ,ou+t ' a+d $! thou6h he :as 6ui-t of ,ou+ts ( a+d )9 AFN'(5B Simi-ar- ! FritHsche! a Na=i 7ro7a6a+dist a+d 7art mem#er! :as acquitted of a-- char6es :ithout refere+ce to his NaHi mem#ershi79 AFN'(4B The I+ter+atio+a- /i-itar Tri#u+a- :as 8ustifia#- re-ucta+t to fi+d cu-7a#i-it #ased so-e- o+ mem#ershi7! e"e+ :ith the additio+a- me+s rea requireme+t of "o-u+tar associatio+ a+d @+o:-ed6e of crimi+a- o#8ecti"e9 This re-ucta+ce ma ha"e -ed to the o"ersi6ht of -ater drafters of i+ter+atio+a- crimi+a- -a: to:ards the co+ce7t of crimi+a- or6a+iHatio+9 The drafters of the Nurem#er6 ,harter! ho:e"er! thou6h their hammer :as o"er-ar6e! :ere +ot e+tire- mista@e+ i+ their a77roach9 ,rimi+a- or6a+iHatio+s! :ith the &262 a77ro7riate safe6uards! a+d additio+a- requireme+ts of cu-7a#i-it ! remai+ a #ui-di+6 #-oc@ of effecti"e a+d 7ro7ortio+ate 7rosecutio+ of +o+ de 8ure ci"i-ia+ -eaders9 ?II9 Natio+a- Le6is-atio+ Natio+a- 7e+a- -e6is-atio+! tac@-i+6 issues such as or6a+iHed crime a+d terrorist acti"ities ha"e ado7ted a s-i6ht- differe+t a77roach to ho-di+6 ci"i-ia+ crimi+a- -eaders! a+d their -eaders accou+ta#-e9 0s a com7arati"e e=ercise! this +ote -oo@s at t:o +atio+a- 7e+a- -e6is-atio+s! as 7ossi#-e mode-s for a +e: 7aradi6m for a su7erior res7o+si#i-it doctri+e for ci"i-ia+ de facto -eaders9 F'G RI,O The Rac@eteer I+f-ue+ced a+d ,orru7t Or6a+iHatio+ FERI,OEG -e6is-atio+! 7assed i+ 'J<&! is a cha7ter of the Or6a+iHed ,rime ,o+tro- 0ct of 'J<&! a+d states! i+ter a-ia! i+ su#sectio+ '% U9S9,9 'J4$ FcG! that: AiBt sha-- #e u+-a:fu- for a+ 7erso+ em7-o ed # or associated :ith a+ e+ter7rise e+6a6ed i+! or the acti"ities of :hich affect! i+terstate or forei6+ commerce! to co+duct or 7artici7ate! direct- or i+direct- ! i+ the co+duct of such e+ter7rise;s affairs throu6h a 7atter+ of rac@eteeri+6 acti"it or co--ectio+ of u+-a:fu- de#t9 AFN'(<B RI,O tar6ets a+ or6a+iHatio+! either crimi+a- or co+tro--ed # crimi+a-s! s7ecifica-- the Eor6a+iHed crimi+a- #eha"ior a+d the i+"o-"eme+t of its -eaders i+ directi+6 that #eha"ior 9 9 9 9E AFN'(%B Li@e su7erior res7o+si#i-it ! RI,O is a chi-d of e=7edie+c D the 7ercei"ed +eed to tac@-e or6a+iHed crime! a+d
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the i+adequac of e=isti+6 -a:s a+d crimi+a- doctri+es i+ tac@-i+6 or6a+iHed crime9 1ithout RI,O! or6a+iHed crimi+a- 6rou7s :ere o+- tar6eted throu6h i+di"idua- mem#ers! :ho :ere i+"aria#- a#-e to shie-d themse-"es a+d the or6a+iHatio+ from fu-- accou+ta#i-it 9 AFN'(JB The ,o+6ressio+a- Record of 'J<& e=7-icit- reco6+iHes or6a+iHed crime a+d the: defects i+ the e"ide+ce 6atheri+6 7rocess of the -a: AthatB i+hi#itAB the de"e-o7me+t of the -e6a-- admissi#-e e"ide+ce +ecessar to &265 #ri+6 crimi+a- a+d other sa+ctio+s or remedies o+ the u+-a:fu- acti"ities of those e+6a6ed i+ or6a+iHed crime a+d #ecause the sa+ctio+s a+d remedies a"ai-a#-e to the Io"er+me+t are u++ecessari- -imited i+ sco7e a+d im7act9 AFN')&B For ,o+6ress! the a#i-it of crimi+a- or6a+iHatio+s a+d -eaders to circum"e+t e=isti+6 -a:s :as a 7rime moti"ati+6 factor i+ -e6is-ati+6 RI,O9 AFN')'B I+di"idua-s must direct or 7artici7ate i+ the crimi+a- 6rou7 to i+cur RI,O -ia#i-it 9 I+ Re"es "9 Er+st O You+6! the U9S9 Su7reme ,ourt ru-ed that to i+cur RI,O -ia#i-it u+der N 'J4$ FcG! the i+di"idua-s must ha"e some de6ree of 7artici7atio+ Ei+ the o7eratio+ or ma+a6eme+t of the e+ter7rise A9BE AFN')$B 0-so! The 7redicate offe+ses required # N 'J4$ must #e committed # E"irtue of Ao+e;sB 7ositio+E i+ the or6a+iHatio+ or Ere-ated to the acti"ities of the e+ter7rise9E AFN')(B The ro-e of the 7artici7atio+! ho:e"er! ca++ot #e mi+ima-9 AFN'))B For i+sta+ce! i+ U9S9 "9 /asotto! a+ associate of the EIam#i+o crime fami- E :ho ra+ a EmafiaE 6rou7 :as co+"icted #ecause he :as +ot mere- re-ated to the acti"ities of the crimi+a- e+ter7rise! #ut 7artici7ated i+ the o7eratio+ or ma+a6eme+t of the e+ter7rise9 AFN')5B I+ this co--ecti"e res7o+si#i-it 7rom7ted # i+di"idua-s; 7redicate acts! su77-iers! such as accou+ta+ts! are +ot -ia#-e! as a E7erso+ must @+o:i+6- e+6a6e i+ directi+6 the e+ter7rises; affairs throu6h a 7atter+ of rac@eteeri+6 acti"it 9E AFN')4B F$G POT0 FT0D0G The I+dia+ Pre"e+tio+ of Terrorism 0ct FPOT0G! a+d its 7redecessor! the Terrorism a+d 0+ti2Disru7ti"e 0ct FT0D0G! a-thou6h correct- characteriHed as draco+ia+ -e6is-atio+ for i+ter a-ia! a--o:i+6 7o-ice co+fessio+s a+d 7re2tria- dete+tio+! a+d re7ea-ed # the +e: 6o"er+me+t i+ $&&)! a-so -oo@ at terrorist crimes throu6h the or6a+iHatio+a- 7rism9 AFN')<B I+ doi+6 so! the are re7rese+tatio+a- of s7ecia- a+ti2terrorism statutes e+acted across the :or-d9 POT0! &264 e+acted o+- i+ $&&$ a+d :ith sca+t 8uris7rude+ce to date! :as esse+tia-- a -itt-e cha+6ed u7date of T0D09 0rtic-e (F5G of POT0 states: 0+ 7erso+ :ho is a mem#er of a terrorist 6a+6 or a terrorist or6a+iHatio+ :hich is i+"o-"ed i+ terrorist acts! sha-- #e 7u+isha#-e FsicG :ith im7riso+me+t for a term :hich ma e=te+d to im7riso+me+t for -ife! or :ith fi+e :hich ma e=te+d to ru7ees te+ -ac@! or :ith #oth9 AFN')%B The 0ct e-a#orates i+ 0rtic-e (F$&GF'G that E0 7erso+ commits a+ offe+se if he or she #e-o+6s to a terrorist or6a+iHatio+9E AFN')JB F(G Im7-icatio+s for Su7erior Res7o+si#i-it Natio+a- -e6is-atio+ o+ crimi+a- or terrorist or6a+iHatio+s ca+ 7ote+tia-- co+tri#ute to the i+ter+atio+acustomar -a: doctri+e of su7erior res7o+si#i-it for de facto ci"i-ia+ su7eriors! 7articu-ar- RI,O9 Rac@eteeri+6 or6a+iHatio+s! such as the /afia! share ma+ characteristics to the +e#u-ous or6a+iHatio+s! such as the I+teraham:e! that are ofte+ 7er7etrators of i+ter+atio+a- crimes a+d 8us co6e+s "io-atio+s9 Yet! the doctri+e of su7erior res7o+si#i-it ! deri"ati"e of mi-itar comma+d res7o+si#i-it ! does +ot address the crimi+a-it of or6a+iHatio+s themse-"es9 ,urre+t- ! the I+teraham:e! for e=am7-e! ca++ot #e char6ed :ith #ei+6 a crimi+aor6a+iHatio+! :ith deri"ati"e -ia#i-it for those :ho 7artici7ated! throu6h ma+a6eme+t or o7eratio+! i+ its co+duct9 *o:e"er! as the Prosecutor i+ 0@a esu! Pierre2Richard Pros7er e=7-ai+ed! the I+teraham:e are simi-ar to the Eeth+ica-- #ased street 6a+6s he had 7rosecuted i+ Los 0+6e-es9E AFN'5&B 0ccordi+6 to Pros7er: I+ 6a+6s! Asuch as the I+teraham:e!B it is more crimi+a- mi+ded9 The -i"e i+ a crimi+a- :or-d9 Ties of #-ood a+d eth+icit are hu6e9 It;s a fami- 9 Peo7-e :i-- 6o to a+ e=treme to 7rotect their turf a+d their re7utatio+ 9 9 9 A0@a esu isB -i@e a #usi+essma+ :ith t:o faces! a+ o77ortu+ist :ho 8oi+ed a crimi+a- e+ter7rise9 *e;s doi+6 #usi+ess i+ a+ e+"iro+me+t :here 7art of doi+6 #usi+ess is @i--i+6 7eo7-e9 It :as a co-d ca-cu-ated 7o-iticadecisio+9 *e thou6ht he :as 8oi+i+6 the :i++i+6 side9 It :as a-- a#out 7o:er 9 9 9 smart 7eo7-e ta@i+6 ad"a+ta6e of a crimi+a- e+"iro+me+t9 AFN'5'B &265 RI,O2-i@e -e6is-atio+ :ou-d ha"e a--o:ed focus o+ the crimi+a-
Pa6e '$
e+ter7rise! the I+teraham:e! throu6h e"ide+ce that the E"arious associates fu+ctio+ as a co+ti+ui+6 u+it9E AFN'5$B Tar6eti+6 7er7etrators; or6a+iHatio+s direct- ma he-7 the efficac a+d s7eed of 8ustice! ho-di+6 cu-7a#-e i+di"idua-s :ho 7artici7ated i+ the or6a+iHatio+;s fu-fi--i+6 of a commo+ 7ur7ose! :ithout e=7-icitsho:i+6 a de facto su7erior re-atio+shi79 Thus! the 7rosecutio+ of a+ I+teraham:e mem#er! char6ed :ith su7erior res7o+si#i-it #ased o+ RI,O! ma o+- +eed to 7ro"e either that the offe+se re-ated to the acti"ities of the e+ter7rise! or the mem#er :as a#-e to Ecommit the offe+se so-e- #ecause of his 7ositio+ i+ the e+ter7rise9E AFN'5(B I+ U9S9 "9 0mato for i+sta+ce! the defe+da+t directed actio+ i+timidati+6 a 7ote+tia- i+forma+t! i+curri+6 RI,O -ia#i-ities9 AFN'5)B There a-read e=ist -i+@a6es co++ecti+6 the dots #et:ee+ 7e+a- -a:s focused o+ the crimi+a- or6a+iHatio+! a+d su7erior res7o+si#i-it 9 0s see+ a#o"e! or6a+iHatio+s :ere char6ed as or6a+iHatio+s at Nurem#er69 0-so! i+ a reso-utio+ of the 'JJJ 0ssociatio+ I+ter+atio+a-e de Droit PS+a- F0IDPG ,o+6ress! i+ stressi+6 the im7orta+ce of ho-di+6 Eme+ i+ the #ac@6rou+dE accou+ta#-e! stated that: Because it is ofte+ difficu-t to 7ro"e that -eaders a+d mem#ers of or6a+iHed crimi+a- 6rou7s ha"e acti"e7artici7ated i+ the 7er7etratio+ of 7articu-ar offe+ses! traditio+a- forms of 7er7etratio+ a+d accessoria- -ia#i-it ca+ #e i+sufficie+t to ma@e these i+di"idua-s accou+ta#-e9 To the e=te+t the traditio+a- -a: of 7er7etratorshi7 a+d com7-icit is deemed i+sufficie+t! o+e shou-d co+sider a cautious moder+iHatio+ #ased o+ the 7ri+ci7-e of or6a+iHatio+a- res7o+si#i-it 9 I+ hierarchica-- structured or6a+iHatio+s! 7erso+s :ith decisio+ a+d co+tro- 7o:er ca+ #e made res7o+si#-e for acts of other mem#ers u+der their co+tro- if the ha"e ordered those acts to #e committed or ha"e co+scious- omitted to 7re"e+t their commissio+9 AFN'55B FEm7hasis added9G 0-so! the Rome Statute drafters! accordi+6 to o+e author! co+sidered the Eim7orta+ce of the so2ca--ed doctri+e of domi+atio+ # "irtue of or6a+iHatio+a- co+tro- FOr6a+isatio+sherrschafts-ehreG :ith re6ard to the crimi+aattri#utio+ of 7ositi"e acts :ithi+ a &26$ crimi+a- or6a+iHatio+9E AFN'54B Natio+a- -e6is-atio+ i+f-ue+ci+6 i+ter+atio+a- customar -a: has +ot o+- #ee+ a u+idirectio+a- e=cha+6e9 0rtic-e '$ of the 7ro7osed Euro7ea+ ,or7us 3uris states: F'G If o+e of the offe+ses 9 9 9 is committed for the #e+efit of a #usi+ess # someo+e acti+6 u+der the authorit of a+other 7erso+ :ho is the head of the #usi+esses! or :ho co+tro-s it or e=ercises the 7o:er to ma@e decisio+s :ithi+ it! that other 7erso+ is a-so crimi+a-- -ia#-e if he @+o:i+6- a--o:ed the offe+se to #e committed9 AFN'5<B The 7ro7osed Euro7ea+ 7e+a- code su66ests that su7erior res7o+si#i-it is a-so #ei+6 co+sidered for +atio+a-e6is-atio+9 ,rimes of associatio+ do +ot fit i+ the traditio+a- cate6ories of 7rimar a+d seco+dar -ia#i-it 9 Ne"erthe-ess! -a:s such as RI,O a+d POT0 are -e6a- res7o+ses to societa- 7ro#-ems! i+ RI,O;s case! or6a+iHed crimi+aor6a+iHatio+s9 The offer a #od of 8uris7rude+ce that shou-d #e co+sidered i+ the de"e-o7me+t of su7erior res7o+si#i-it for ci"i-ia+s! i+ a+d of itse-f! a -e6a- res7o+se to 8us co6e+s "io-atio+s i+ 7ost2moder+ co+f-icts9 RI,O has! ho:e"er! #ee+ se"ere- criticiHed i+ the U+ited States9 I+ crimi+a-iHi+6 associatio+ :ith a rac@eteeri+6 or6a+iHatio+! for o+e comme+tator! it i+fri+6es EAtBhe most +atura- 7ri"i-e6e of ma+A9BE AFN'5%B 0t -east i+ 7ri+ci7-e! the U9S9 Su7reme ,ourt he-d that ci"i- -ia#i-it cou-d +ot co+stitutio+a-- #e im7osed #ecause a #o cott -ed # the Natio+a- 0ssociatio+ for the 0d"a+ceme+t of ,o-ored Peo7-e FN00,PG had resu-ted i+ "io-e+ce! a#se+t e"ide+ce that the -eaders s7ecifica-- i+te+ded the "io-e+ce9 AFN'5JB The ,ourt stated that E6ui-t # associatio+ is a 7hi-oso7h a-ie+ to the traditio+ of a free societ 9 9 9 9E AFN'4&B RI,O! -i@e su7erior res7o+si#i-it ! i+ e=7ou+di+6 a Ecom7ou+d mode- of -ia#i-it E a-so a--o:s the 7rosecutio+ to add mu-ti7-e offe+ses for the same e"ide+ce! a+d e=7o+e+tia-- add to the com7-e=it of crimi+a- tria-s9 AFN'4'B I+ the :ords of o+e seaso+ed defe+se &261 attor+e : Thirt ears a6o I #e6a+ m 7ractice tr i+6 7rostitutio+ cases 9 9 9 Rece+t- ! I am e+6a6ed i+ a mu-ti2 defe+da+t! mu-ti2cou+t RI,O co+s7irac tria-9 9 9i+ :hich the #u-@ of the i+dictme+t co+sists of (&2some
Pa6e '(
7rostitutio+ cou+ts! a-- u+der the um#re--a of a RI,O co+s7irac 9 1hat :ou-d ha"e #ee+ a+ hour or t:o tria- i+ the state court is +o: a mo+th or more federa- 7rosecutio+ 9 9 9 9 0-- to :hat e+d> AFN'4$B 0 su7erior res7o+si#i-it deri"ed from RI,O2-i@e -e6is-atio+ must remai+ mi+dfu- of its 7ote+tia- to i+fri+6e a u+i"ersa- ri6ht to associatio+! a+d restrict its a77-icatio+ to o+- the most serious of 8us co6e+s "io-atio+s that dema+d 8ustice! :ith strict me+s rea requireme+ts! e"e+ i+ the a#se+ce of s7ecific 7roof of i+"o-"eme+t for cu-7a#-e su7eriors of cu-7a#-e or6a+iHatio+s9 ?III9 ,o+c-usio+ Su7erior res7o+si#i-it :as a -e6a- res7o+se to the +eeds of accou+ta#i-it for su7eriors o7erati+6 i+ e=7-icit mi-itar comma+d structures! a+d :as co+seque+t- 6rou+ded i+ de 8ure fou+datio+s for its e-eme+ts9 0s co+f-icts ha"e e"o-"ed! a+d actors a+d their or6a+iHatio+s ha"e #ecome more +e#u-ous! su7erior res7o+si#i-it has a-so e"o-"ed! im7-icit- a+d e=7-icit- ! to e=te+d accou+ta#i-it to +o+ de 8ure ci"i-ia+ su7eriors9 I+ doi+6 so! courts ha"e a77-ied differe+t "ariatio+s of me+s rea a+d actus reus requireme+ts9 The record! 7articu-ar- of the ad2hoc tri#u+a-s! ref-ects the i+co+siste+cies i+here+t i+ that e=te+sio+9 La:s! e"e+ i+ their co+te=ts! are ofte+ f-a:ed! a+d RI,O a+d POT0 are susce7ti#-e to "a-id criticism9 *o:e"er! the are -e6a- res7o+ses to societa- 7ro#-ems! a+d i+ter+atio+a- customar -a: must simi-ar- res7o+d to the hei+ous a+d serious 8us co6e+s "io-atio+s that ofte+ accom7a+ moder+ co+f-icts9 0s 8uris7rude+ce that -e+ds :ei6ht to the e"o-utio+ of su7erior res7o+si#i-it for +o+2state ci"i-ia+ actors acti+6 :ithout de 8ure authorit 2 the 7-ai+ -a+6ua6e a+d 8uris7rude+ce of RI,O a+d POT0 are a "a-ua#-e 7aradi6m a+d resource for +atio+a- a+d i+ter+atio+a- -a:9 AFNa'B9 39D9 ,a+didate! U+i"ersit of ,a-ifor+ia! *asti+6s ,o--e6e of the La:! $&&59 AFN'B9 *u6o Irotius! Pro-e6ome+a! i+ I+ter+atio+a- Ru-es: 077roaches from I+ter+atio+a- La: a+d I+ter+atio+a- Re-atio+s )$ FRo#ert 39 Bec@ et a-9 eds9! 'JJ4G9 AFN$B9 See Ed:ard /9 1ise O E--e+ S9 Pod6or! I+ter+atio+a- ,rimi+a- La:: ,ases a+d /ateria-s 5&) F$&&&G! citi+6 0rtic-e 5( of the ?ie++a ,o+"e+tio+ o+ the La: of Treaties F/a $(! 'J4JG :hich states 8us co6e+s to #e a: A7Berem7tor +orm of 6e+era- i+ter+atio+a- -a: 999 acce7ted a+d reco6+iHed # the i+ter+atio+a- commu+it as a :ho-e as a +orm from :hich +o dero6atio+ is 7ermitted a+d :hich ca+ #e modified o+- # a su#seque+t +orm of 6e+era- i+ter+atio+a- -a: ha"i+6 the same character9 1hi-e :hat co+stitutes 8us co6e+s is ofte+ co+te+tious! it is 6e+era-- 7resumed that 8us co6e+s 7rohi#its E6e+ocide! s-a"e trade a+d s-a"er ! a7artheid a+d other 6ross "io-atio+s of huma+ ri6hts! a+d 7erha7s attac@s o+ di7-omatsE a+d torture9 It shou-d #e +oted that this treat is +ot u+i"ersa-- si6+ed or ratified9 AFN(B9 3ud6e Na"a+ethem Pi--a ! The Ru-e of La: a+d the Ro-e of the I+di"idua- i+ the Pursuit of *uma+ Ri6hts! 0ddress at the Friedrich2E#ert Stiftu+6 $&&( *uma+ Ri6hts 0:ard ,eremo+ for the I+ter+atio+a,rimi+a- Tri#u+a- for R:a+da F/a $&! $&&(G9 AFN)B9 I+ ma+ co+tem7orar co+f-icts! there ma #e o+- de facto! se-f27roc-aimed 6o"er+me+ts! a+d de facto armies a+d 7arami-itar 6rou7s su#ordi+ate to them9 To e+force the -a: i+ these circumsta+ces requires a determi+atio+ of accou+ta#i-it +ot o+- of i+di"idua- offe+ders #ut of their comma+ders or their su7eriors :ho :ere! #ased o+ e"ide+ce! i+ co+troof them :ithout! ho:e"er! a forma- commissio+ or a77oi+tme+t9 0 tri#u+acou-d fi+d itse-f 7o:er-ess to e+force huma+itaria+ -a:s a6ai+st de facto su7eriors if it o+- acce7ted as 7roof of comma+d authorit a forma- -etter of authorit 9 See Prosecutor "9 De-a-ic et a- FE,ELEBI,IEG! ,ase No9 IT2J42 $'20! 077ea-s ,ham#er 3ud6eme+t! FI+ter+atio+a- ,rimi+a- Tri#u+a- for the Former Yu6os-a"ia! Fe#9 $&! $&&'G! a"ai-a#-e at U :::9u+9or6/ict /ce-e#ici/a77ea-/8ud6eme+t$/i+de=9htm-V9 AFN5B9 EA,Bustomar i+ter+atio+a- -a: is a+a-o6ous to commo+ -a: i+ the 0+6-o20merica+ traditio+999 AitB
Pa6e ')
de"e-o7s :ithout forma- codificatio+9E 0+tho+ ,-ar@ 0re+d! To:ard a+ U+dersta+di+6 of I+ter+atio+a- Le6aRu-es! i+ I+ter+atio+a- Ru-es! su7ra +ote '! at $J<9 AFN4B9 L9,9 Iree+! ,omma+d Res7o+si#i-it i+ I+ter+atio+a- *uma+itaria+ La:! 5 Tra+s+at;- L9 O ,o+tem79 Pro#s9 ('J F'JJ5G9 AFN<B9 .ai 0m#os! Su7erior Res7o+si#i-it ! i+ ' The Rome Statute of the I+ter+atio+a- ,rimi+a- ,ourt: 0 ,omme+tar F0+to+io ,assese et a-9 eds9! $&&$G AFN%B9 See Prosecutor "9 Ruta6a+da! ,ase No9 I,TR2J42(2T! 3ud6eme+t a+d Se+te+ce FI+ter+atio+a- ,rimi+aTri#u+afor R:a+da! Dec9 4! 'JJJG! Poi+ts ((2 )(! a"ai-a#-e at Uhtt7:// :::9ictr9or6/ENILIS*/cases/Ruta6a+da/8ud6eme+t/i+de=9htmV9 AFNJB9 See 6e+era-- I-ias Ba+te@as! The ,o+tem7orar La: of Su7erior Res7o+si#i-it ! J( 0m9 39 I+t;- L9 5<(! 5<< F'JJJG9 AFN'&B9 Id9 AFN''B9 Id9 AFN'$B9 Nico-e Barrett! *o-di+6 I+di"idua- Leaders Res7o+si#-e for ?io-atio+s of ,ustomar I+ter+atio+a- La:: The U9S9 Bom#ardme+t of ,am#odia a+d Laos! ($ ,o-um9 *um9 Rts9 L9 Re"9 )$J! ))5 F$&&'G9 AFN'(B9 EThe .i+6 orders that each ca7tai+ or -ieute+a+t #e he-d res7o+si#-e for the a#uses! i--s a+d offe+ses committed # mem#ers of his com7a+ 9999E 3oh+ R9 19 D9 3o+es O Ste"e+ Po:-es! I+ter+atio+a- ,rimi+aPractice )$5 F(d ed9! O=ford U+i"ersit Press! $&&(G F'JJ%G Fciti+6 ,har-es ?II;s EOrdi+a+ce des Rois de Fra+ce de -a Troisieme RaceE +oted i+ Theoder /ero+! *e+r ;s La:s a+d Sha@es7eare;s 1ars F'JJ(GG9 AFN')B9 The dec-aratio+ of St9 Peters#ur6 of '%4% stated that the Eo+- -e6itimate o#8ects :hich states shou-d e+dea"or to accom7-ish duri+6 :ar is to :ea@e+ the mi-itar forces of the e+em 9E See Barrett! su7ra +ote '$! at ))59 AFN'5B9 3oh+ R919D9 3o+es O Ste"e+ Po:-es! su7ra +ote '(! at )$5 Fquoti+6 ,ommissio+ Re7ort! /ar9 'J! 'J'J! ') 0m9 39 I+t;- L9 $5 F'J$&GG9 AFN'4B9 0m#os! su7ra +ote <! at %$4 Fquoti+6 I+ re Yamashita! ($< U9S9 '! '5 F'J)4GG9 AFN'<B9 /atthe: Li77ma+! *uma+itaria+ La:: The U+certai+ ,o+tours of ,omma+d Res7o+si#i-it ! J Tu-sa 39 ,om79 O I+t;- L9 '! '$ F$&&'G9 AFN'%B9 See 6e+era-- I+ re Yamashita! ($< U9S9 at '9 AFN'JB9 The Tria- itse-f :as mar@ed # serious 7rocedura- f-a:s that "io-ated 0dmira- Yamashita;s ri6ht to a fair tria-9 For e=am7-e! the Tri#u+a- had +o -a: ers amo+6 the 8ud6es! a+d -itt-e re6ard to the ru-es of e"ide+ce! at o+e 7oi+t admitti+6 i+to e"ide+ce a moc@ fictio+a- docume+tar detai-i+6 secret orders to destro /a+i-a9 /ir8a+ Damas@a! The Shado: Side of ,omma+d Res7o+si#i-it ! )J 0m9 39 ,om79 L9 )55! )J4 +94' F$&&'GD Be-i+da ,oo7er! 0 ,o-d 1ar ,o+f-ict of I+terest! i+ 1ar ,rimes: The Le6ac of Nurem#er6 FBe-i+da ,oo7er ed9! 'JJJG! 4J9 AFN$&B9 See I+ re Yamashita! ($< U9S9 at $% F39 /ur7h ! disse+ti+6G FEThis i+dictme+t i+ effect 7ermitted the mi-itar commissio+ to ma@e the crime :hate"er it :i--ed! de7e+de+t u7o+ its #iased "ie: as to 7etitio+er;s
Pa6e '5
duties 9999EGD See a-so 0m#os! su7ra +ote <! at %$<9 AFN$'B9 Damas@a! su7ra +ote 'J! at )%< Fquoti+6 ScharHe+#er6er! The Pro#-ems of I+ter+atio+a- ,rimi+a- La:! ( ,urre+t Le6a- Pro#-ems (& F'J5&GG9 AFN$$B9 0m#os! su7ra +ote <! at %$J Fquoti+6 U9S 9 "9 Poh- et a-9! F,ase )G! ?T1,! J5%2 ''4(! at ''&'G9 AFN$(B9 See 6e+era-- U9S9 "9 1i-he-m "o+ Lee#! U+ited Natio+s 1ar ,rimes ,ommissio+! WII La: Re7orts of Tria-s of 1ar ,rimi+a-s ' F'J)%G9 AFN$)B9 Thou6h there is -itt-e data! it ma #e that the e"ide+ce i+ Nurem#er6! 6i"e+ NaHi Ierma+ meticu-ous record2@ee7i+6! a+d 7atho-o6 of forma- -a:s! made it 7ossi#-e to a77- a hi6her me+s rea sta+dard9 This 7a7er retur+s to the theme of 7ractica#i-it -ater9 AFN$5B9 / 2Lai is the commo+ term used to descri#e a 7articu-ar i+cide+t of :ar crimes # U9S9 troo7s duri+6 the U9S92?iet+am :ar9 AFN$4B9 90m#os! su7ra +ote <! at %($9 AFN$<B9 Li77ma+! su7ra +ote '<! at (%9 AFN$%B9 Id9 at ))9 AFN$JB9 Id9 at )4! 5'9 AFN(&B9 See 6e+era-- Prosecutor "9 B-as@ic! ,ase No9 IT2J52') FI+ter+atio+a- ,rimi+a- Tri#u+a- for the Former Yu6os-a"ia 'JJ%G! a"ai-a#-e at Uhtt7://:::9u+9or6/ict /cases/i+dicti+de=2e9htmV9 AFN('B9 It shou-d #e +oted that +ot a-- cou+tries are si6+atories to 0dditio+a- Protoco- I! :ith '5& cou+tries ha"i+6 ratified the co+"e+tio+9 0m#os! su7ra +ote <! at %)'9 AFN($B9 Protoco- 0dditio+a- to the Ie+e"a ,o+"e+tio+s of '$ 0u6ust 'J)J! a+d Re-ati+6 to the Protectio+ of ?ictims of I+ter+atio+a- 0rmed ,o+f-icts FProtoco- IG! 3u+e %! 'J<<! art9 %4F$G! ''$5 U9N9T9S9 (! '4 I9L9/9 '(J' F'J<<G! a"ai-a#-e at Uhtt7://:::9u+hchr9ch/htm-/me+u(/#/J(9htmV9 Aherei+after Protoco- IB9 AFN((B9 Id9 at art9 %<9 AFN()B9 Timoth 1u O Yo+62Su+6 F3o+atha+G .a+6! ,rimi+a- Lia#i-it for the 0ctio+s of Su#ordi+ates22The Doctri+e of ,omma+d Res7o+si#i-it a+d its 0+a-o6ues i+ U+ited States La:! (% *ar"9 I+t;- L939 $<$! $J' F'JJ<G9 AFN(5B9 The I,R, ,omme+tar i+c-udes mi-itar comma+ders :ithi+ the am#it of 0rtic-e %4 Esu7eriorE a+d sti7u-ates su7erior to #e 7erso+ :ith E7erso+a- res7o+si#i-it :ith re6ard to the 7er7etrator of the acts co+cer+ed #ecause the -atter! #ei+6 his su#ordi+ate! is u+der his co+tro-9E I+ter+atio+a- ,ommittee of the Red ,ross! ,omme+tar to Protoco- 0dditio+a- to the Ie+e"a ,o+"e+tio+s of '$ 0u6ust 'J)J! a+d re-ati+6 to the Protectio+ of ?ictims of I+ter+atio+a- 0rmed ,o+f-icts FProtoco- IG 2 Part ?: E=ecutio+ of the co+"e+tio+s a+d of this 7rotoco- XSectio+ II 2 Re7ressio+ of #reaches of the co+"e+tio+s a+d of this 7rotoco-! Poi+t (5))! a"ai-a#-e at Uhtt7://:::9icrc9or6/ih-9+sfV9 AFN(4B9 0m#os! su7ra +ote <! at %(%9
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AFN(<B9 Damas@a! su7ra +ote 'J! at )%4 Fquoti+6 Bassiou+i! Re7ressio+ of the Breaches of the Ie+e"a ,o+"e+tio+! % Rut6ers2,am9 L939 '%5! $&5 F'J<<GG9 AFN(%B9 Prosecutor "9 *adHihasa+o"ic! ,ase No9 IT2&'2)<20R<$! 077ea-s ,ham#er! Decisio+ o+ I+ter-ocutor 077ea- ,ha--e+6i+6 3urisdictio+ i+ Re-atio+ to ,omma+d Res7o+si#i-it FI+ter+atio+a- ,rimi+a- Tri#u+a- for the Former Yu6os-a"ia $&&(G! Poi+ts (&2('! a"ai-a#-e at Uhtt7:// :::9u+9or6/ict /cases/i+dicti+de=2e9htmV9 AFN(JB9 Re7ort of the I+ter+atio+a- La: ,ommissio+! U9N9 I0OR! )4th Sess9! Su779 No9 '&! art9 '$! U9N9 Doc9 0/)4/'& F'JJ'G! a"ai-a#-e at Uhtt7:// :::9u+9or6/-a:/i-c/te=ts/dcode9htmV9 AFN)&B9 I+ter20merica+ ,o+"e+tio+ to Pre"e+t a+d Pu+ish Torture! 0rtic-e ( FDec9 J! 'JJ%G! a"ai-a#-e at Uhtt7://:::9oas9or6/8uridico/E+6-ish/Treaties/a25'9htm-V Fem7hasis addedG9 AFN)'B9 0rt9 <F(G! Statute of the I+ter+atio+a- ,rimi+a- Tri#u+a- for the Former Yu6os-a"ia FEI,TYEG! S9,9 Res9 %$<! U9N9 S,OR! )%th Sess9! ($'<th mt69! U9N9 Doc9 S/RES/%$< F'JJ(G! ame+ded S9,9 Res9 ')''9 See a-so ide+tica- 0rt9 4F(G! Statute of the I+ter+atio+a- ,rimi+a- Tri#u+a- for R:a+da FEI,TREG! S9,9 Res9 J55! U9N9 S,OR! )Jth Sess9! ()5( mt69! U9N9 Doc9 S/J55 F'JJ)G! a"ai-a#-e at U:::9ictr9or6/ENILIS*/Reso-utio+s/J55e9htmV FEATBhe fact that a+ of the acts referred to i+ artic-es $ to ) of the 7rese+t Statute :as committed # a su#ordi+ate does +ot re-ie"e his or her su7erior of crimi+a- res7o+si#i-it if he or she @+e: or had reaso+ to @+o: that the su#ordi+ate :as a#out to commit such acts or had do+e so a+d the su7erior fai-ed to ta@e the +ecessar a+d reaso+a#-e measures to 7re"e+t such acts or to 7u+ish the 7er7etrators thereof9EG AFN)$B9 3o+es O Po:-es! su7ra +ote '(! at )(&9 AFN)(B9 Id9 at )('! Fciti+6 U9N9 Doc9 S/P? ($'< F'JJ(GG9 AFN))B9 Id9 at )('9 AFN)5B9 0fter 7rotracted -e6a- ar6ume+ts! the co+f-ict i+ Yu6os-a"ia has c-assified as i+ter+atio+a-9 See Prosecutor "9 B-as@ic! ,ase No9 IT2J52') FI+ter+atio+a- ,rimi+a- Tri#u+a- for the Former Yu6os-a"ia 'JJ%G! a"ai-a#-e at Uhtt7://:::9u+9or6/ict /cases/i+dicti+de=2e9htmV! at ''&9 AFN)4B9 Prosecutor "9 *adHihasa+o"ic! ,ase No9 IT2&'2)<20R<$! 077ea-s ,ham#er! Decisio+ o+ I+ter-ocutor 077ea- ,ha--e+6i+6 3urisdictio+ i+ Re-atio+ to ,omma+d Res7o+si#i-it FI+ter+atio+a- ,rimi+a- Tri#u+a- for the Former Yu6os-a"ia $&&(G! a"ai-a#-e at Uhtt7://:::9u+9or6/ict /cases/i+dicti+de=2e9htmV! at ('2($9 AFN)<B9 Damas@a! su7ra +ote 'J9 AFN)%B9 See .irste+ /9F9 .eith! The /e+s Rea of Su7erior Res7o+si#i-it 3uris7rude+ce! ') L939I9L 4'< F$&&'G9 as De"e-o7ed # I,TY
AFN)JB9 Fi+a- Re7ort of the ,ommissio+ of E=7erts Esta#-ished Pursua+t to S9,9 Res9 %& F'JJ$G! U9N9 S,OR! 0++e=! U9N9 Doc9 S/'JJ)/4<) F/a $<! 'JJ$G9 AFN5&B9 0+ i+ter+atio+a- treat ! the Rome Statute esta#-ishi+6 the I+ter+atio+a- ,rimi+a- ,ourt FI,,G is -imited i+ its "a-ua#-e co+tri#utio+ to customar i+ter+atio+a- -a: as it is +ot ratified # ! i+ter a-ia! the U+ited States! ,hi+a! a+d I+dia9 AFN5'B9 The Rome Statute for a+ I+ter+atio+a- ,rimi+a- ,ourt! U9N9 I0OR! 5(d Sess9! U9N9 Doc9 0/,ONF9
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'%(/J! art9 $% FdateG! re7ri+ted i+ 1ise a+d Pod6or! su7ra +ote $! at 4'(9 AFN5$B9 0m#os su7ra +ote <! at %)J25&9 AFN5(B9 Yu"a- Sha+ O .ere+ R9 /ichae-i! The ,ase 06ai+st 0rie- Sharo+: Re"isiti+6 the Doctri+e of ,omma+d Res7o+si#i-it ! () N9Y9U9 39 I+t;- L9 O Po-9 <J<! %5& F$&&$G9 AFN5)B9 Id9 AFN55B9 90m#os su7ra +ote <! at %)J25&9 AFN54B9 Id9 AFN5<B9 See Prosecutor "9 De-a-ic et a- FE,ELEBI,IEG! ,ase No9 IT2J42$'2 0! 077ea-s ,ham#er 3ud6eme+t! FI+ter+atio+a- ,rimi+a- Tri#u+a- for the Former Yu6os-a"ia! Fe#9 $&! $&&'G! a"ai-a#-e at U :::9u+9or6/ict /ce-e#ici/a77ea-/8ud6eme+t$/i+de=9htm-V9 AFN5%B9 Id9 at $4$ F3! Ro-i+6! disse+ti+6! i+ the triaof Forei6+ /i+ister *irota ar6ued that su7erior res7o+si#i-it shou-d #e -imited to mi-itar su7eriorsG9 AFN5JB9 Li77ma+! su7ra +ote '<! at '59 AFN4&B9 $& To@ o 1ar ,rimes Tria- )J at %(' F'J%'G9 AFN4'B9 0m#os su7ra +ote <! at %)J25& Fciti+6 ' The To@ o 3ud6me+t: The I+ter+atio+a- /i-itar Tri#u+a- for the Far East FI/TFEG ))4 FB9?909 Ro-i+6 O ,9F9 Rutter eds9! 'J<<GG9 AFN4$B9 Li77ma+! su7ra +ote '<! at $(D see a-so Prosecutor "9 De-a-ic et a- FE,ELEBI,IEG! ,ase No9 IT2J42$'2 0! 077ea-s ,ham#er 3ud6eme+t! FI+ter+atio+a- ,rimi+a- Tri#u+a- for the Former Yu6os-a"ia! Fe#9 $&! $&&'G! a"ai-a#-e at U :::9u+9or6/ict /ce-e#ici/a77ea-/8ud6eme+t$/i+de=9htm-V! at $4' FE-a+6ua6e i+dicati+6 7o:ers of 7ersuasio+ rather tha+ forma- authorit 999EG9 AFN4(B9 ,e-e#ici! at $4$9 AFN4)B9 *i-ao "9 Estate of /arcos F/arcos IIG! '&( F9(d <4<! <<% FJth ,ir9 'JJ4G9 AFN45B9 Prosecutor "9 De-a-ic FE,e-e#ici ,aseEG! ,ase No9 IT2J42$'2T! Tria- ,ham#er 3ud6me+t F07ri- %! $&&(G FI+ter+atio+a- ,rimi+a- Tri#u+a- for the Former Yu6os-a"ia! 'JJ%G! a"ai-a#-e at U:::9u+9or6/ict V! ')(! (<%9 AFN44B9 ,e-e#ici! 077ea- ,ham#er 3ud6me+t! at 'J$9 AFN4<B9 Id9 at $449 AFN4%B9 ,e-e#ici Tria- ,ham#er 3ud6me+t! at <(59 AFN4JB9 Id9 AFN<&B9 Id9 at (<&9 AFN<'B9 ,e-e#ici! 077ea- ,ham#er 3ud6me+t! at $449
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AFN<$B9 Prosecutor "9 .ordic! ,ase No9 IT2J52')/$2T! Tria- ,ham#er 3ud6me+t FFe#9 $4! $&&'G F%)&2)' FI+t;,rim9 Tri# for the Former Yu6os-a"ia 'JJ%G! a"ai-a#-e at U:::9u+9or6/ict V9 AFN<(B9 Id9 AFN<)B9 See 6e+era-- Prosecutor "9 0@a esu! ,ase No9 I,TR2J42)2T! Tria- ,ham#er 3ud6me+t FI+ter+atio+a,rimi+a- Tri#u+a- for R:a+da! Se7t9 $! 'JJ%G! a"ai-a#-e at U:::9ictr9or6/V9 AFN<5B9 Id9 at '&9 AFN<4B9 Id9 at 4'! 4(2 4)! <<9 AFN<<B9 The I+terham:e :ere set u7 as a outh mo"eme+t of the ru-i+6 7art ! /ou"eme+t Re"o-utio++aire Natio+a-e 7our -e DS"e-o77eme+t F/RNDG i+ 'JJ$! a+d :ere co++ected to *utu Po:a FPo:erG! a+ e=treme 7o-itica- mo"eme+t that 6ai+ed i+creased su77ort i+ the 'JJ&s i+ the aftermath of the Tutsi2ma8orit R:a+da Patriotic Fro+t FRPFG i+"asio+9 Its core :as the Eco+"ictio+ that Tutsis :ere a+ a-ie+ race to R:a+da! a+d +ot a+ i+di6e+ous eth+ic 6rou79E 1hi-e other 7o-itica- 7arties had their o:+ res7ecti"e mi-itias! the :ere a-- referred to as I+teraham:e duri+6 'JJ)! :he+ the :ere tra+sformed from "i6i-a+te 7o-itica- 6rou7s to a Edeath squad :hose mem#ers -ed house2to2house search for ide+tif i+6 a+d @i--i+6 Tutsis9999E /ahmood *amda+i! 1he+ ?ictims Become .i--ers: ,o-o+ia-ism! Nati"ism! a+d the Ie+ocide i+ R:a+da '%J2J&! $&J! $'$! $'4 F$&&$G9 AFN<%B9 0ccordi+6 to *uma+ Ri6hts 1atch! EAtBhe I+teraham:e :as a+ u+i+cor7orated su77osed- i+de7e+de+t of the /RND! Athe ru-i+6 7o-itica- 7art !B #ut hea"i- i+f-ue+ced # it9E It is #e-ie"ed to ha"e E7ro"ided the ci"i-ia+ stri@i+6 force of the 6e+ocide9E *uma+ Ri6hts 1atch! Lea"e No+e to Te-- the Stor : Ie+ocide i+ R:a+da! /arch 'JJJ! at U :::9hr:9or6/re7orts/'JJJ/r:a+da/Ie+o'2(2&59htmV9 AFN<JB9 0@a esu! Tria- ,ham#ers 3ud6me+t! at 4J'9 AFN%&B9 Prosecutor "9 /usema! ,ase No9 I,TR2J42'(2T! Tria- ,ham#er 3ud6me+t! 5<! %%& FI+ter+atio+a,rimi+a- Tri#u+a- for R:a+da 3a+! $< $&&&G! a"ai-a#-e at U:::9ictr9or6/V Fho-di+6 that E/usema e=ercised de 8ure authorit o"er Atea factor B em7-o ees Aa+dB999 :as i+ a 7ositio+! # "irtue of these 7o:ers! to ta@e reaso+a#-e measures! such as remo"i+6! or threate+i+6 to remo"e! a+ i+di"idua- from his or her 7ositio+ at the Tea Factor if he or she :as ide+tified as a 7er7etrator of crimes 7u+isha#-e u+der the Statute! AthusB999 /usema e=ercised de 8ure 7o:er a+d de factoco+tro- o"er Tea Factor em7-o ees a+d the resources of the Tea Factor EG9 AFN%'B9 Id9 at ')&9 AFN%$B9 Id9 at $$4! (&(! %<%9 AFN%(B9 Prosecutor "9 Ba6i-ishema! ,ase No9 I,TR2J52'202T! Tria- ,ham#er 3ud6eme+t! P )$ FI+ter+atio+a,rimi+a- Tri#u+a- for R:a+da $&&'G! a"ai-a#-e at U:::9ictr9or6V Fem7hasis addedG9 AFN%)B9 Id9 at )$2)(9 AFN%5B9 3o+es O Po:-es! su7ra +ote '(! at )(%9 AFN%4B9 Id9 AFN%<B9 Id9
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AFN%%B9 Prosecutor "9 .a8i-i8e-i! ,ase No9 I,TR2J%2))202T! Tria- ,ham#er 3ud6eme+t! 7oi+t <<$ FI+t;- ,rim9 Tri# for R:a+da! Decem#er '! $&&(G! a"ai-a#-e at U:::9ictr9or6V9 AFN%JB9 Id9 at 7oi+ts <<(2<)9 AFNJ&B9 Id9 at 7oi+t <<59 AFNJ'B9 Id9 at 7oi+t <<4 FE0 su7erior i+ a chai+ of hierarchica- comma+d :ith authorit o"er a 6i"e+ 6eo6ra7hica- area :i-- +ot #e he-d strict- -ia#-e for su#ordi+ates; crimes9 1hi-e a+ i+di"idua-;s hierarchica7ositio+ ma #e a si6+ifica+t i+dicium that he or she @+e: or had reaso+ to @+o: a#out su#ordi+ates; crimi+aacts! @+o:-ed6e :i-- +ot #e 7resumed from status a-o+e9EG9 AFNJ$B9 Id9 at 7oi+ts )&)! <%&! <%'9 AFNJ(B9 Id9 at 7oi+t )&)9 AFNJ)B9 Sha+ O /ichae-i! su7ra +ote 5(! at %($9 AFNJ5B9 0m#os su7ra +ote <! at %5(25)9 AFNJ4B9 ,ustomar i+ter+atio+a- -a: is Ei+ter+atio+a- -a: that deri"es from the 7ractice of states a+d is acce7ted # them as -e6a-- #i+di+69 Y This is o+e of the 7ri+ci7a- sources or #ui-di+6 #-oc@s of the i+ter+atio+a- -e6as stem9E B-ac@;s La: Dictio+ar F%th ed9 $&&)G9 AFNJ<B9 See 3ud6e Louise 0r#our! former 7rosecutor of the I,TY a+d I,TR! quoted i+ Bi-- Ber@e-e ! The Ira"es 0re Not Yet Fu--: Race! Tri#e! a+d Po:er i+ the *eart of 0frica $5'F$&&'G FE,rimi+a- -a: @ic@s i+ :he+ a-- other i+stitutio+s ha"e fai-ed9 This is our -ast redem7tio+! out -ast cha+ce to co+tri#ute to:ards some reso-utio+ of these situatio+s9 1e shou-d +ot short2cha+6e histor # fai-i+6 to sho: the ma6+itude of the crimi+a- or6a+iHatio+ a+d the crimi+a- dri"e9999AThis offersB a measure of 8ustice for the to7 co+s7irators! a+d a cohere+t +arrati"e of ho: the co+s7irac :as or6a+iHed9EG9 AFNJ%B9 .eith! su7ra +ote )%! at 4()9 AFNJJB9 1u O .a+6! su7ra +ote ()! at $<J2%$ +9%J9 AFN'&&B9 Id9 at $J&9 AFN'&'B9 See Li77ma+! su7ra +ote '<! at J& Fstati+6 that comma+d res7o+si#i-it Ee+coura6eAsB mi-itar a+d ci"i-ia+ su7eriors to fu-fi-- their -e6a- dut to co+tro- the co+duct of com#ata+tsEG9 AFN'&$B9 Sha+ O /ichae-i! su7ra +ote 5(! at %((9 AFN'&(B9 For i+sta+ce! the curre+t desi6+atio+ of Ta-i#a+ a+d 0-2Taeda mem#ers # the U+ited States as Eu+-a:fu- com#ata+tsE forces the questio+ :hether the ca+ o+- #e he-d -ia#-e u+der a sta+dard of su7erior res7o+si#i-it that e=te+ds to de facto ci"i-ia+ -eaders9 See Federa-ist Societ of La: a+d Pu#-ic Po-ic Studies! The 0re+;t PO1s! 1ash9 Post! /ar9 (! $&&$ Fco+te+di+6 that Ta-i#a+ a+d 0- Taeda are Eu+-a:fu- com#ata+tsE u+der the Ie+e"a ,o+"e+tio+ 7art- #ased o+ their fai-ure to res7ect the ru-es of co+f-ictsEG9 0-so ad"a+ced is the o77osite! a+d o+e ma ar6ue! ma8orit 7ositio+! that sus7ects shou-d #e accorded the 7rotectio+s of i+ter+atio+a- -a:! su66ests that 0- Taeda mem#ers! for i+sta+ce! shou-d #e he-d res7o+si#-e u+der i+ter+atio+a-a:! e"e+ if the are +ot de 8ure comma+ders9 See Le:is! Nei- 09 3ud6e ,a--s *a-t to Iua+ta+amo Tria-! I+t9
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*era-d Tri#9! No"9 '&! $&&) Fre7orti+6 3ud6e 3ames Ro#ertso+;s reassertio+ of PO1 status o+ detai+ees 7e+di+6 heari+6sG AFN'&)B9 See Damas@a! su7ra +ote 'J! at )4)9 FE0 su7erior :ho ma +ot e"e+ ha"e co+do+ed the misdeeds of his su#ordi+ates A#ut :as +e6-i6e+tB is to #e sti6matiHed i+ the same :a as the i+ter+atio+a- 7er7etrators of those misdeeds9 0s a resu-t of this dramatic esca-atio+ of res7o+si#i-it ! a comma+der;s -ia#i-it is di"orced from his cu-7a#i-it to such a de6ree that his co+"ictio+ +o -o+6er mirrors his u+der- i+6 co+duct a+d his actuame+s rea9EG9 I+ co+trast! mu+ici7a- crimi+a- -a: rare- co+"icts for such crimi+a- #eha"ior! es7ecia-- for the most 6rie"ous of crimes9 AThis is a+ editoria- comme+t o+ the 7re"ious 7ro7ositio+B AFN'&5B9 Id9 at ))) Fciti+6 O-i"er 19 *o-mes! 3r9! The ,ommo+ La: ( F'%%'GG9 AFN'&4B9 See 6e+era-- ! The Rome Statute for a+ I+ter+atio+a- ,rimi+a- ,ourt! su7ra +ote 5'9 AFN'&<B9 Li77ma+! su7ra +ote '<! at J&9 AFN'&%B9 See Prosecutor "9 0@a esu! ,ase No9 I,TR2J42)2T! Tria- ,ham#er 3ud6eme+t! FI+ter+atio+a,rimi+a- Tri#u+a- for R:a+da! Se7t9 $! 'JJ%G! at 7oi+t )J' FEATBhe a77-icatio+ of the 7ri+ci7-es of i+di"iduacrimi+a- res7o+si#i-it ! e+shri+ed i+ 0rtic-e 4F(G! to ci"i-ia+s remai+s co+te+tious9EG Fem7hasis addedG9 AFN'&JB9 See 6e+era-- 0-e=a+der Mahar! ,omma+d Res7o+si#i-it of ,i"i-ia+ Su7eriors for Ie+ocide! ') L939I9L9 5J' F$&&'G9 AFN''&B9 Id9 AFN'''B9 Id9 at 4&J9 AFN''$B9 Id9 AFN''(B9 Id9 at 4&J2'&9 AFN'')B9 Id9 at 4'&9 AFN''5B9 Id9 at 4'(9 AFN''4B9 Prosecutor "9 .a ishema! ,ase No9 I,TR2J52I! Tria- ,ham#er 3ud6me+t! 7oi+ts 5&'! 5&% FI+t;- ,rim9 Tri# for R:a+da $&&&G! a"ai-a#-e at U :::9ictr9or6V FE.a ishema :as ofte+ ide+tified tra+s7orti+6 or -eadi+6 ma+ of the assai-a+ts to the massacre sites9 *e :as re6u-ar- ide+tified! for e=am7-e! i+ the com7a+ of mem#ers of the I+teraham:e 2 tra+s7orti+6 them! i+structi+6 them! re:ardi+6 them! as :e-- as directi+6 a+d -eadi+6 their attac@s9 The Tria- ,ham#er! therefore is satisfied that .a ishema had stro+6 affi-iatio+s :ith these assai-a+ts! a+d his comma+d o"er them at each massacre site! as :ith other assai-a+ts! :as c-ear- esta#-ished # :it+ess testimo+ 9EG9 AFN''<B9 Id9 at 4'49 AFN''%B9 Prosecutor "9 /usema! ,ase No9 I,TR2J42'(2T! Tria- ,ham#er 3ud6eme+t! 5<! %%& FI+t;- ,rim9 Tri# for R:a+da $&&&G! at 7oi+t '(J9 AFN''JB9 Id9 at 7oi+t ')&9
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AFN'$&B9 Sha+ O /ichae-i! su7ra +ote 5(! at %(49 AFN'$'B9 Damas@a! su7ra +ote 'J! at )%J9 AFN'$$B9 Id9 AFN'$(B9 Id9 at )J49 AFN'$)B9 0rtic-e 4 of the ,harter of the I/T states that the Tri#u+a- cou-d tr 7erso+s Eas i+di"idua-s or as mem#ers of or6a+iHatio+s9E 0rtic-e J dec-ares that a+ or6a+iHatio+ cou-d #e dec-ared a Ecrimi+a- or6a+iHatio+E :ith the 7ossi#i-it of its mem#ershi7s defe+di+6 these char6es a6ai+st the or6a+iHatio+9 0rtic-e '& states i+ :ho-e that: AiB+ cases :here a 6rou7 or or6a+iHatio+ is dec-ared crimi+a- # the Tri#u+a-! the com7ete+t +atio+a- authorit of a+ Si6+ator :i-- ha"e the ri6ht to #ri+6 i+di"idua-s to tria- for mem#ershi7 therei+ #efore +atio+a-! mi-itar or occu7atio+ courts9 I+ a+ case the crimi+a- +ature of the 6rou7 or or6a+iHatio+ is co+sidered 7ro"ed a+d sha-+ot #e questio+ed9 0--ied ,o+tro- ,ou+ci- La: No9 '& a-so sti7u-ates mem#ershi7 to #e sufficie+t for 7u+ishme+t! i+c-udi+6 the death se+te+ce9 ,harter of the I+ter+atio+a/i-itar Tri#u+a-! at :::9 a-e9edu/-a::e#/a"a-o+/7roc/oric/imtco+st9htmD Eu6e+e Da"idso+! triaof the Ierma+s! 554 F'JJ<GD The Nurem#er6 Tria- 'J)4! 4 F9R9D9 4J F'J)42'J)<G9 AFN'$5B9 3ud6e 3ac@so+ cited -a:s desi6+ed to 7u+ish the racist .-u .-u= .-a+! :hi-e the British cited the s7ecia- -a:s to su77ress Ethu66iesE Farmed #a+ditsG i+ I+dia a+d 7irate shi7s that im7osed crimi+a- -ia#i-ities e"e+ o+ shi7 coo@s9 Da"idso+! su7ra +ote '$) at '49 AFN'$4B9 Peter /a6uire! 0 ,o-d 1ar ,o+f-ict of I+terest! i+ 1ar ,rimes! su7ra +ote 'J! at %J9 AFN'$<B9 The Nurem#er6 Tria- 'J)4! 4 F9R9D9 at 'J$2J(9 AFN'$%B9 Id9 at 'J)D Ruti Teite-! Nurem#er6 a+d its Le6ac ! i+ 1ar ,rimes! su7ra +ote 'J at )%9 AFN'$JB9 The Nurem#er6 Tria- 'J)4! 4 F9R9D9 at $&<9 AFN'(&B9 Id9 at $)&2)'9 AFN'('B9 Id9 at $(<9 AFN'($B9 Id9 at $&4! $$'! $((9 AFN'((B9 Id9 at 'JJ2$&59 AFN'()B9 Id9 at (4424J! $J&9 AFN'(5B9 Id9 at ((<2)'9 AFN'(4B9 Id9 at (<(2<<9 AFN'(<B9 '% U9S9,90 N 'J4$ F1est-a:! $&&(G9 AFN'(%B9 I9 Ro#ert B-a@e ! La: a+d the ,o+ti+ui+6 E+ter7rise: Pers7ecti"es o+ RI,O! 45 Notre Dame L9 Re"9
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/i-itar La: Re"ie: Fa--! $&&< -rti.le &52 T*E DO,TRINE OF ,O//0ND RESPONSIBILITY 0ND ITS 0PPLI,0TION TO SUPERIOR ,I?ILI0N LE0DERS*IP: DOES T*E INTERN0TION0L ,RI/IN0L ,OURT *0?E T*E ,ORRE,T ST0ND0RD> /a8or 3ames D9 Le"i+e II AFNa'B O7i+io+s a+d co+c-usio+s i+ artic-es 7u#-ished i+ the /i-itar La: Re"ie: are so-e- those of the authors9 The do +ot +ecessari- ref-ect the "ie:s of the 3ud6e 0d"ocate Ie+era-! the De7artme+t of the 0rm ! or a+ other 6o"er+me+t a6e+c 9 I9 I+troductio+ I+ 'JJ%! the Rome Statute of the I+ter+atio+a- ,rimi+a- ,ourt FI,,G codified the doctri+e of comma+d! or superior, respo"si,ility i+ 0rtic-e $%9 AFN'B 0rtic-e $% is u+ique i+ the de"e-o7me+t of the doctri+e of superior respo"si,ility i+ that it s7ecifica-- 7ro"ides for differe+t me+s rea sta+dards de7e+di+6 u7o+ :hether the superior is a mi-itar comma+der or a ci"i-ia+ +o+2mi-itar superior9 AFN$B Pro"idi+6 differe+t sta+dards of @+o:-ed6e has met :ith some co+tro"ers a+d co+cer+9 AFN(B &55 The doctri+e of superior respo"si,ility ho-ds a superior crimi+a-- respo"si,le for the crimi+aco+duct of his su#ordi+ates9 AFN)B ,omma+d respo"si,ility ca+ #e su#di"ided i+to t:o differe+t t 7es of respo"si,ility! direct a+d i+direct9 AFN5B Direct respo"si,ility i+"o-"es ho-di+6 a superior crimi+a-respo"si,le for issui+6 u+-a:fu- orders9 AFN4B I+direct or im7uted crimi+a- respo"si,ility i+"o-"es ho-di+6 a superior crimi+a-- respo"si,le for fai-i+6 to ta@e actio+ i+ order to 7re"e+t crimi+a- acti"it of su#ordi+ates! i+"esti6ate a--e6atio+s of crimi+a- acti"it of su#ordi+ates! a+d re7ort or 7u+ish su#ordi+ates :ho are fou+d to ha"e committed crimi+a- acts9 AFN<B This artic-e :i-- focus o+ the i+direct or im7uted form of su7erior res7o+si#i-it 9 AFN%B ,rimi+a- res7o+si#i-it is #ased o+ the su7erior;s omissio+s9 AFNJB The doctri+e co+sists of three 6e+era- e-eme+ts: F'G the e=iste+ce of a su7erior2su#ordi+ate re-atio+shi7D F$G actua- or co+structi"e @+o:-ed6e of the su7erior that a crimi+a- act :as a#out to #e or had #ee+ committedD a+d F(G fai-ure # the su7erior to ta@e reaso+a#-e a+d +ecessar measures to 7re"e+t the crimes or 7u+ish the :ro+6doers9 These :i-#e e=7-ored further duri+6 the course of the artic-e9 &54 This artic-e :i-- address the creatio+ of a differe+t me+s rea sta+dard for ci"i-ia+ su7eriors i+ 0rtic-e $% a+d discuss :hether i+ fact this cha+6e rea-- i+creases the difficu-t of a successfu- 7rosecutio+9 Part II :i-7ro"ide a+ o"er"ie: of the historica- de"e-o7me+t of the doctri+e of su7erior res7o+si#i-it 9 The moder+ a77-icatio+ of the doctri+e :i-- #e discussed i+ Part III9 Part I? :i-- e=ami+e the e-eme+ts of the su7erior res7o+si#i-it doctri+e as ide+tified i+ 0rtic-e $% of the Rome Statute9 Fi+a-- ! i+ Part ?! three sce+arios :i-- #e 7rese+ted i+"o-"i+6 ci"i-ia+ su7eriors a+d su#ordi+ate crimi+a- co+duct! a+d the+ 0rtic-e $% :i-- #e a77-ied a+d a 7ote+tia- resu-t discussed9
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II9 *istorica- De"e-o7me+t of the Doctri+e of Su7erior Res7o+si#i-it 09 Pre21or-d 1ar II The idea of ho-di+6 a comma+der crimi+a-- -ia#-e for the actio+s of his su#ordi+ates emer6es from the co+ce7t of comma+d res7o+si#i-it ! that is! the +otio+ that a comma+der is 6e+era-- res7o+si#-e for his comma+d9 AFN'&B The doctri+e of comma+d res7o+si#i-it ca+ #e traced #ac@ i+ time to the :riti+6s of Su+ THu9 AFN''B 0+ ear- recordi+6 of the co+ce7t of su7erior res7o+si#i-it for the actio+s of others :as made # Irotius! :ho stated that EAaB commu+it ! or its ru-ers! ma #e he-d res7o+si#-e for the crime of a su#8ect if the @+o: of it a+d do +ot 7re"e+t it :he+ the cou-d a+d shou-d 7re"e+t it9E AFN'$B The doctri+e co+ti+ued to de"e-o7 i+ Euro7e # ide+tif i+6 i+di"idua-s i+ comma+d as 7ote+tia-- crimi+a-- -ia#-e for their orders to su#ordi+ates a+d their su#ordi+ates; crimi+a- #eha"ior9 AFN'(B For i+sta+ce! i+ ')(J! .i+6 ,har-es ?II of Fra+ce issued the fo--o:i+6 ordi+a+ce: The .i+6 orders that each ca7tai+ or -ieute+a+t #e he-d res7o+si#-e for the a#uses! i--s a+d offe+ces committed # mem#ers of his com7a+ ! a+d that as soo+ as he &55 recei"es a+ com7-ai+t co+cer+i+6 a+ such misdeed or a#use! he #ri+6 the offe+der to 8ustice so that the said offe+der #e 7u+ished i+ a ma++er comme+surate :ith his offe+ce! accordi+6 to these Ordi+a+ces9 If he fai-s to do so or co"ers u7 the misdeed or de-a s ta@i+6 actio+! or if! #ecause of his +e6-i6e+ce or other:ise! the offe+der esca7es a+d thus e"ades 7u+ishme+t! the ca7tai+ sha-- #e deemed res7o+si#-e for the offe+ce as if he had committed it himse-f a+d sha-- #e 7u+ished i+ the same :a as the offe+der :ou-d ha"e #ee+9 AFN')B I+ the U+ited States! a+ ear- 7ro+ou+ceme+t of the doctri+e ca+ #e fou+d i+ the e-e"e+th artic-e of the '<<5 /assachusetts 0rtic-es of 1ar! 7ro"idi+6 that: E"er Officer comma+di+6! i+ quarters! or o+ a march! sha-- @ee7 6ood order! a+d to the utmost of his 7o:er! redress a-- such a#uses or disorders :hich ma #e committed # a+ Officer or So-dier u+der his comma+dD if u7o+ com7-ai+t made to him of Officers or So-diers #eati+6 or other:ise i--2treati+6 a+ 7erso+! or committi+6 a+ @i+d of riots to the disquieti+6 of the i+ha#ita+ts of this ,o+ti+e+t! he! the said comma+der! :ho sha-- refuse or omit to see 3ustice do+e to this offe+der or offe+ders! a+d re7aratio+ made to the 7art or 7arties i+8ured! as soo+ as the offe+der;s :a6es sha-- e+a#-e him or them! u7o+ due 7roof thereof! #e 7u+ished! as ordered # Ie+era- ,ourt2/artia-! i+ such ma++er as if he himse-f had committed the crimes or disorders com7-ai+ed of9 AFN'5B &5$ I+ 'J&<! the doctri+e recei"ed im7-icit reco6+itio+ i+ the Fourth *a6ue ,o+"e+tio+ res7ecti+6 the -a:s a+d customs of :ar o+ -a+d9 AFN'4B 0rtic-e ' of the 0++e= to the ,o+"e+tio+ 7ro"ides that i+ order for a+ armed force to recei"e the ri6hts of a -a:fu- #e--i6ere+t! it must #e Ecomma+ded # a 7erso+ res7o+si#-e for his su#ordi+ates9E AFN'<B I+ additio+ to reco6+iHi+6 the im7orta+ce of a res7o+si#-e comma+der! the ,o+"e+tio+ a-so im7osed u7o+ a+ occu7 i+6 comma+der the res7o+si#i-it to mai+tai+ 7u#-ic order a+d safet 9 AFN'%B 1hi-e +ot s7ecifica-- addressi+6 or defi+i+6 the res7o+si#i-it of a comma+der for the actio+s of his su#ordi+ates! 0rtic-e ( of the ,o+"e+tio+ reco6+iHed the res7o+si#i-it of a +atio+ for Ea-- acts committed # 7erso+s formi+6 7art of its armed forces9E AFN'JB 0fter the e+d of hosti-ities at the co+c-usio+ of 1or-d 1ar I! the first i+ter+atio+a- attem7t :as made to ho-d comma+ders accou+ta#-e for the crimes of their su#ordi+ates9 AFN$&B The ,ommissio+ o+ the Res7o+si#i-it of the 0uthors of the 1ar a+d o+ E+forceme+t of Pe+a-ties 7rese+ted a re7ort recomme+di+6 the creatio+ of a+ i+ter+atio+a- tri#u+a- to 7rosecute "io-ators of the -a:s a+d customs of :ar arisi+6 out of 1or-d 1ar I9 AFN$'B O+e co+c-usio+ of the re7ort :as that EAaB-- 7erso+s #e-o+6i+6 to e+em cou+tries! ho:e"er hi6h their 7ositio+ ma ha"e #ee+! :ithout disti+ctio+ of ra+@! i+c-udi+6 ,hiefs of States! :ho ha"e #ee+ 6ui-t of offe+ces a6ai+st the -a:s a+d customs of :ar or the -a:s of huma+it ! are -ia#-e to crimi+a- 7rosecutio+9E AFN$$B Due to o#8ectio+ a+d disa6reeme+t of some commissio+ mem#ers! +o i+ter+atio+a- tri#u+a- :as e"er &51 formed! AFN$(B #ut a sma-- +um#er of i+di"idua-s :ere tried # the Ierma+ Su7reme ,ourt at Lei7Hi6! Ierma+ 9 AFN$)B B9 Post21or-d 1ar II
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The first i+ter+atio+a- a77-icatio+ of the doctri+e of su7erior res7o+si#i-it occurred after the co+c-usio+ of 1or-d 1ar II! at the Nurem#ur6 a+d To@ o tri#u+a-s9 AFN$5B The 7ost21or-d 1ar II cases are im7orta+t #ecause the form the fou+datio+ a+d 7recede+t for future de"e-o7me+t a+d a77-icatio+ of the doctri+e9 Neither the Nurem#er6 +or To@ o charters s7ecifica-- addressed the co+ce7t of ho-di+6 a su7erior accou+ta#-e for the actio+s of his su#ordi+ates! AFN$4B a-thou6h #oth addressed the issue of Edirect comma+d res7o+si#i-it 9E AFN$<B These cases had a &54 si6+ifica+t im7act i+ esta#-ishi+6 i+ter+atio+a- reco6+itio+ for a+d de"e-o7me+t of the doctri+e of comma+d res7o+si#i-it ! s7ecifica-- ho-di+6 su7erior comma+ders a+d ci"i-ia+s res7o+si#-e for the actio+s of their su#ordi+ates9 '9 Yamashita The case :hich 6e+erated the most co+tro"ers is that of Ie+era- Tomo u@i Yamashita9 AFN$%B Ie+eraYamashita :as the comma+der of the Fourtee+th 0rm Irou7 of the 3a7a+ese Im7eria- 0rm res7o+si#-e for the Phi-i77i+e Is-a+ds from J Octo#er 'J))! u+ti- he surre+dered o+ ( Se7tem#er 'J)59 AFN$JB Duri+6 this time 7eriod! Ie+era- Yamashita :as #oth the mi-itar comma+der of a-- 3a7a+ese forces i+ the Phi-i77i+es a+d the mi-itar 6o"er+or of the Phi-i77i+es9 AFN(&B O+ $ Octo#er 'J)5! Ie+era- Yamashita :as char6ed :ith fai-i+6 to dischar6e his duties as a comma+der to co+tro- the so-diers of his comma+d from committi+6 atrocities a+d other crimes a6ai+st 0merica+s! 0merica+ a--ies a+d Fi-i7i+os i+ the Phi-i77i+es9 AFN('B 0t tria-! Yamashita de+ied @+o:-ed6e of the atrocities committed a+d asserted that his comma+d a+d co+tro- :ere &56 disru7ted # fi6hti+6 the 0merica+s! dista+ce! time! a+d the i+a#i-it to i+s7ect his troo7s9 AFN($B *e :as tried # a+ 0merica+ mi-itar commissio+ of fi"e 6e+era- officers :ho co+"icted him a+d se+te+ced him to death # ha+6i+69 AFN((B Yamashita;s defe+se cou+se- successfu-- sou6ht re"ie: #efore the U+ited States Su7reme ,ourt9 AFN()B The issues #efore the ,ourt co+cer+ed the -a:fu-+ess of the mi-itar commissio+;s 7o:er to tr YamashitaD :hether the char6e 7referred stated a+ offe+se i+ "io-atio+ of the -a: of :arD a+d :hether Yamashita :as 7ro"ided a fair tria-9 AFN(5B The ,ourt decided a-- issues i+ fa"or of the U+ited States9 AFN(4B The Yamashita tria- is of im7orta+ce i+ the de"e-o7me+t of the comma+d res7o+si#i-it doctri+e #ecause it reco6+iHed the affirmati"e dut of a comma+der to ta@e a77ro7riate measures u+der the circumsta+ces to e+sure his su#ordi+ates a#ide # the -a: of :arD that fai-i+6 to do so "io-ates the -a: of :arD a+d that a 7ro7erco+stituted tri#u+a- of a+other +atio+ has 8urisdictio+ o"er a former e+em comma+der9 AFN(<B &$9 $9 Tri#u+a-s of Ierma+ 1ar ,rimi+a-s I+ Ierma+ ! the tria-s of Ierma+ :ar crimi+a-s :ere co+ducted # a +um#er of differe+t courts9 The most famous :as the I+ter+atio+a- /i-itar Tri#u+a- at Nurem#er6 :hich tried t:e+t 2t:o of the most se+ior Ierma+ :ar crimi+a-s9 AFN(%B Su7erior res7o+si#i-it :as o+- a+ i+direct co+cer+ #efore that tri#u+a-9 AFN(JB The tria-s :ith the 6reatest im7act o+ the de"e-o7me+t of the su7erior res7o+si#i-it doctri+e :ere those co+ducted # mi-itar tri#u+a-s of the four 0--ied Po:ers u+der 0--ied ,o+tro- ,ou+ci- La: No9 '& F,,L '&G9 AFN)&B 0 +um#er of these cases direct- co+tri#uted to the de"e-o7me+t of the doctri+e9 I+ addressi+6 the issue of su7erior res7o+si#i-it ! the tri#u+a-;s 8ud6me+t i+ the *i6h ,omma+d ,ase AFN)'B e=7ress- re8ected a strict -ia#i-it sta+dard :ith res7ect to a comma+der;s tra+smitta- of a+ order9 AFN)$B The 8ud6me+t a-so reco6+iHed the -imited res7o+si#i-it of comma+ders of occu7ied territories9 AFN)(B The tri#u+a- required more tha+ the :ides7read &$/ +ature of the crimes that the Yamashita tri#u+a- re-ied o+ to im7ute @+o:-ed6e to a su7erior9 I+ order to #e crimi+a-- res7o+si#-e for the crimes of su#ordi+ates! their actio+s +eeded to #e traced #ac@ direct- to the su7erior or the su7erior;s fai-ure to 7ro7er- su7er"ise amou+ted to crimi+a- +e6-i6e+ce o+ his 7art9 AFN))B &$2 I+ the *osta6e ,ase! AFN)5B the tri#u+a- fou+d a comma+der crimi+a-- res7o+si#-e for actio+s of his
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su#ordi+ates #ecause of i+formatio+ he shou-d ha"e @+o:+9 AFN)4B .+o:-ed6e :as im7uted to him #ecause of the re7orts that :ere recei"ed # his comma+d :hich shou-d ha"e 7ut him o+ +otice that :ar crimes :ere ta@i+6 7-ace! or at the -east that he +eeded more i+formatio+ to determi+e :hat e=act- :as 6oi+6 o+ :ithi+ his area of res7o+si#i-it 9 AFN)<B The Fre+ch tri#u+a- a77-ied the su7erior res7o+si#i-it doctri+e to a ci"i-ia+ su7erior i+ the Roech-i+6 case9 AFN)%B *erma++ Roech-i+6 :as a Ierma+ ci"i-ia+ i+dustria-ist :ho #efore the :ar o:+ed a+ im7orta+t stee:or@s com7a+ 9 AFN)JB Duri+6 the :ar! he :as u-timate- a77oi+ted to head the Ierma+ stee- 7roductio+ i+ Ierma+ a+d the occu7ied cou+tries9 Roech-i+6 uti-iHed the ser"ices of 7riso+ers of :ar a+d &$5 de7ortees9 AFN5&B The tri#u+a- fou+d Roech-i+6 6ui-t as a su7erior for the co+ditio+s that the :or@ers -i"ed a+d :or@ed u+der at a +um#er of stee- 7-a+ts! #ecause e"e+ thou6h it :as his dut a+d res7o+si#i-it ! he did +othi+6 to im7ro"e the Emisera#-e situatio+9E AFN5'B Roech-i+6;s so+2i+2-a: :as a-so fou+d 6ui-t of i+huma+ treatme+t of these :or@ers #ecause he fai-ed to ta@e a+ actio+ to im7ro"e their situatio+ a+d the tri#u+a- s7ecifica-- fou+d that his re-atio+ to Roech-i+6 6a"e him sufficie+t authorit Eto o#tai+ a+ a--e"iatio+ i+ the treatme+t of these :or@ers9E AFN5$B (9 I+ter+atio+a- /i-itar Tri#u+a- for the Far East FTo@ o Tri#u+a-G AFN5(B The To@ o Tri#u+a- further de"e-o7ed the a77-icatio+ of su7erior res7o+si#i-it to ci"i-ia+ su7eriors9 AFN5)B Res7o+si#i-it to ci"i-ia+ su7eriors &$4 :as a77-ied :ith res7ect to the 7ro7er treatme+t of 7riso+ers of :ar9 AFN55B The To@ o Tri#u+a- ado7ted a+ actua- or co+structi"e @+o:-ed6e requireme+t! there# refi+i+6 a+d re7-aci+6 the Yamashita sta+dard9 AFN54B If a 6o"er+me+t officia- had @+o:-ed6e of :ar crimes! he :as required to ta@e 7ositi"e actio+ to address the crimi+a- acti"it 9 AFN5<B 0-so! se+ior 6o"er+me+t officia-s cou-d +ot re- o+ assura+ces that crimi+a- acti"it :ou-d #e sto77ed a+d i6+ore co+ti+ued re7orts of co+ti+ued acti"it 9 AFN5%B The To@ o Tri#u+a- esse+tia-- c-arified the res7o+si#i-it of ci"i-ia+ 6o"er+me+t officia-s as to their dut to ta@e affirmati"e actio+ to 7re"e+t or 7u+ish su#ordi+ates :ho fai- to a#ide # i+ter+atio+a- or domestic -a:9 AFN5JB &$5 ,9 Ie+e"a ,o+"e+tio+s22'J)J Des7ite the a77-icatio+ a+d the de"e-o7me+t of the su7erior res7o+si#i-it doctri+e i+ the 7ost21or-d 1ar II tria-s! the Ie+e"a ,o+"e+tio+s of 'J)J AFN4&B :ere si-e+t o+ the doctri+e9 AFN4'B It has #ee+ ar6ued that this fai-ure! cou7-ed :ith the :ides7read +ature of the ci"i- :ars of the time! -ed to a dec-i+e i+ the use of the doctri+e for the +e=t thirt 27-us ears9 AFN4$B D9 Fie-d /a+ua- $<2'&! Sectio+ 5&' I+ 'J54! the U+ited States 0rm addressed the doctri+e i+ its Fie-d /a+ua- FF/G o+ the La: of La+d 1arfare9 Para6ra7h 5&' of that ma+ua- states: I+ some cases! mi-itar comma+ders ma #e res7o+si#-e for :ar crimes committed # su#ordi+ate mem#ers of the armed forces! or other 7erso+s su#8ect to their co+tro-9 Thus! for i+sta+ce! :he+ troo7s commit massacres a+d atrocities a6ai+st the ci"i-ia+ 7o7u-atio+ of occu7ied territor or a6ai+st 7riso+ers of :ar! the res7o+si#i-it ma rest +ot o+- :ith the actua- 7er7etrators #ut a-so :ith the comma+der9 Such a &$$ res7o+si#i-it arises direct- :he+ the acts i+ questio+ ha"e #ee+ committed i+ 7ursua+ce of a+ order of the comma+der co+cer+ed9 The comma+der is a-so res7o+si#-e if he has actua- @+o:-ed6e! or shou-d ha"e @+o:-ed6e! throu6h re7orts recei"ed # him or throu6h other mea+s! that troo7s or other 7erso+s su#8ect to his co+tro- are a#out to commit or ha"e committed a :ar crime a+d he fai-s to ta@e the +ecessar a+d reaso+a#-e ste7s to i+sure com7-ia+ce :ith the -a: of :ar or to 7u+ish "io-ators thereof9 AFN4(B 0s 7ara6ra7h 5&' i+dicates! the 0rm ado7ted the me+s rea requireme+t that a comma+der shou-d ha"e #ee+ a:are of :ar crime "io-atio+s of those u+der his co+tro- throu6h re7orts recei"ed # him or throu6h other mea+s9 This sta+dard ref-ects that ado7ted # the tri#u+a- i+ the *osta6e ,ase9 AFN4)B
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E9 ?iet+am I+ 'J<'! the U9S9 0rm #rou6ht to tria- ,a7tai+ Er+est /edi+a! a com7a+ comma+der! for res7o+si#i-it of his su#ordi+ates; actio+s i+ the / Lai massacre9 AFN45B The co+tro"ersia- as7ect of this case re-ated to the doctri+e of comma+d res7o+si#i-it a+d the mi-itar 8ud6e;s i+structio+s to the 7a+e-9 AFN44B The mi-itar 8ud6e;s i+structio+s co+cer+i+6 the res7o+si#i-it of the comma+der stated: I+ re-atio+ to the questio+ 7ertai+i+6 to the su7er"isor res7o+si#i-it of a ,om7a+ ,omma+der! I ad"ise ou that as a 6e+era- 7ri+ci7-e of mi-itar -a: a+d custom a mi-itar su7erior i+ comma+d is res7o+si#-e for a+d required! i+ the 7erforma+ce of his comma+d duties! to &$1 ma@e certai+ the 7ro7er 7erforma+ce # his su#ordi+ates of their duties as assi6+ed # him9 I+ other :ords! after ta@i+6 actio+ or issui+6 a+ order! a comma+der must remai+ a-ert a+d ma@e time- ad8ustme+ts as required # a cha+6i+6 situatio+9 Furthermore! a comma+der is a-so res7o+si#-e if he has actua- @+o:-ed6e that troo7s or other 7erso+s su#8ect to his co+tro- are i+ the 7rocess of committi+6 or are a#out to commit a :ar crime a+d he :ro+6fu-- fai-s to ta@e the +ecessar a+d reaso+a#-e ste7s to i+sure com7-ia+ce :ith the -a: of :ar9 You :i-- o#ser"e that these -e6a- requireme+ts 7-aced u7o+ a comma+der require actua- @+o:-ed6e 7-us a :ro+6fu- fai-ure to act9 Thus mere 7rese+ce at the sce+e :ithout @+o:-ed6e :i-- +ot suffice9 That is! the comma+der su#ordi+ate re-atio+shi7 a-o+e :i-- +ot a--o: a+ i+fere+ce of @+o:-ed6e9 1hi-e it is +ot +ecessar that a comma+der actua-- see a+ atrocit #ei+6 committed! it is esse+tia- that he @+o: that his su#ordi+ates are i+ the 7rocess of committi+6 atrocities or are a#out to commit atrocities9 AFN4<B This i+structio+ ma@es actua- @+o:-ed6e a requireme+t for co+"ictio+ i+ co+trast to the Eshou-d ha"e @+o:-ed6eE -a+6ua6e of F/ $<2'&9 AFN4%B ,a7tai+ /edi+a :as acquitted of a-- char6es9 AFN4JB F9 0dditio+a- Protoco- I! Ie+e"a ,o+"e+tio+s F'J<<G The first i+ter+atio+a- codificatio+ of the doctri+e occurred i+ 'J<<! i+ 0dditio+a- Protoco- I to the Ie+e"a ,o+"e+tio+s of '$ 0u6ust 'J)J9 AFN<&B 1ith res7ect to the doctri+e! there :ere differi+6 "ie:s as to the @+o:-ed6e e-eme+t a+d :hat sta+dard :ou-d a77- 9 AFN<'B The co+fere+ce &$4 ado7ted the *osta6e ,ase 7recede+t a+d re8ected t:o 7ro7osa-s for a shou-d2ha"e2@+o:+ sta+dard9 AFN<$B '9 0rtic-e %4 0rtic-e %4 of 0dditio+a- Protoco- I is e+tit-ed EFai-ure to 0ctE a+d states: '9 The *i6h ,o+tracti+6 Parties a+d the Parties to the co+f-ict sha-- re7ress 6ra"e #reaches! a+d ta@e measures +ecessar to su77ress a-- other #reaches! of the ,o+"e+tio+s or of this Protoco- :hich resu-t from a fai-ure to act :he+ u+der a dut to do so9 $9 The fact that a #reach of the ,o+"e+tio+s or of this Protoco- :as committed # a su#ordi+ate does +ot a#so-"e his su7eriors from 7e+a- disci7-i+ar res7o+si#i-it ! as the case ma #e! if the @+e:! or had i+formatio+ :hich shou-d ha"e e+a#-ed them to co+c-ude i+ the circumsta+ces at the time! that he :as committi+6 or :as 6oi+6 to commit such a #reach a+d if the did +ot ta@e a-- feasi#-e measures :ithi+ their 7o:er to 7re"e+t or re7ress the #reach9 AFN<(B 0rtic-e %4 refers to Esu7eriorsE a+d is +ot -imited to mi-itar su7eriors9 AFN<)B $9 0rtic-e %< 0rtic-e %< 7ro"ides actua- duties for comma+ders to fo--o: re6ardi+6 the issue of 7ossi#-e #reaches of the ,o+"e+tio+s9 '9 The *i6h ,o+tracti+6 Parties a+d the Parties to the co+f-ict sha-- require mi-itar comma+ders! :ith res7ect to mem#ers of the armed forces u+der their comma+d a+d other 7erso+s u+der their co+tro-! to 7re"e+t a+d! &$6 :here +ecessar ! to su77ress a+d to re7ort to com7ete+t authorities #reaches of the
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,o+"e+tio+s a+d of this Protoco-9 $9 I+ order to 7re"e+t a+d su77ress #reaches! *i6h ,o+tracti+6 Parties a+d Parties to the co+f-ict sha-require that! comme+surate :ith their -e"e- of res7o+si#i-it ! comma+ders e+sure that mem#ers of the armed forces u+der their comma+d are a:are of their o#-i6atio+s u+der the ,o+"e+tio+s a+d this Protoco-9 (9 The *i6h ,o+tracti+6 Parties a+d Parties to the co+f-ict sha-- require a+ comma+der :ho is a:are that su#ordi+ates or other 7erso+s u+der his co+tro- are 6oi+6 to commit or ha"e committed a #reach of the ,o+"e+tio+s or of this Protoco-! to i+itiate such ste7s as are +ecessar to 7re"e+t such "io-atio+s of the ,o+"e+tio+s or this Protoco-! a+d! :here a77ro7riate! to i+itiate disci7-i+ar or 7e+a- actio+ a6ai+st "io-ators thereof9 AFN<5B 0-thou6h a+ im7orta+t ste7 i+ the de"e-o7me+t of I+ter+atio+a- *uma+itaria+ La: a+d im7osi+6 o#-i6atio+s u7o+ the 7arties to a co+f-ict! 0dditio+a- Protoco- I is +ot :ithout its shortcomi+6s9 0dditio+aProtoco- I fai-ed to 7ro"ide for i+ter+atio+a- 8urisdictio+ o"er #reaches of its 7ro"isio+s! therefore! the creatio+ of a mea+s to e+force this a6reeme+t :ou-d require further i+ter+atio+a- co+se+sus9 AFN<4B 0dditio+a-- ! the U+ited States has +ot ratified 0dditio+a- Protoco- I a+d has o#8ected to certai+ artic-es co+tai+ed therei+9 AFN<<B I9 Le#a+o+22Sa#ra O Shati--a /assacre Bet:ee+ Se7tem#er '4 a+d Se7tem#er '%! 'J%$! at the Sa#ra a+d Shati--a refu6ee cam7s i+ Beirut! Le#a+o+! o"er %&& Pa-esti+ia+ a+d &19 Le#a+ese ci"i-ia+s :ere @i--ed9 AFN<%B These @i--i+6s :ere carried out # the Le#a+ese ,hristia+ Pha-a+6ists i+ res7o+se to the assassi+atio+ of their -eader a fe: da s ear-ier9 AFN<JB These e"e+ts tra+s7ired i+ the course of the Israe-i i+"asio+ of Le#a+o+ i+ order to destro the Pa-esti+e Li#eratio+ Or6a+iHatio+;s mi-itar i+frastructure -ocated there9 AFN%&B The Israe-i a+d Pha-a+6ist forces :or@ed to6ether to co+tro- Beirut9 AFN%'B Des7ite co+cer+s a#out 7ote+tia- harm to the i+ha#ita+ts of the cam7s # the Pha-a+6ists! the decisio+ :as made # the Israe-i mi-itar ! i+c-udi+6 the /i+ister of Defe+ce 0rie- Sharo+! to a--o: the Pha-a+6ists to e+ter the refu6ee cam7s :ithout Israe-i Defe+ce Forces FIDFG accom7a+ i+6 them9 AFN%$B 0fter the massacre :as disco"ered! Israe- esta#-ished a ,ommissio+ of I+quir Fthe .aha+ ,ommissio+G! headed # the Preside+t of the Su7reme ,ourt! to -oo@ i+to the detai-s of :hat tra+s7ired9 AFN%(B The ,ommissio+ co+c-uded that direct res7o+si#i-it for the massacre #e-o+6ed to the actua- 7er7etrators22 the Pha-a+6ist mi-itia9 AFN%)B /ore im7orta+t- for 7ur7oses of su7erior res7o+si#i-it ! the ,ommissio+ a-so co+c-uded that Ee"er o+e :ho had a+ thi+6 to do :ith e"e+ts i+ Le#a+o+ shou-d ha"e fe-t a77rehe+sio+ a#out a massacre i+ the cam7s! if armed Pha-a+6ist forces :ere to #e mo"ed i+to them :ithout the I9D9F9 e=ercisi+6 co+tro- a+d effecti"e su7er"isio+ a+d scruti+ of them9E AFN%5B ,-ear- fi+di+6 the doctri+e of comma+d res7o+si#i-it a77-ica#-e to Israe-i mi-itar authorities! AFN%4B the ,ommissio+ a-so fou+d &1/ that the Israe-i Defe+ce /i+ister shared res7o+si#i-it for the decisio+ to a--o: the Pha-a+6ists to e+ter the cam7s9 AFN%<B The ,ommissio+! ho:e"er! did +ot fi+d the Defe+se /i+ister res7o+si#-e for fai-i+6 to do more i+ res7o+se to -ear+i+6 of the atrocities #ei+6 committed9 AFN%%B 0s a resu-t of the ,ommissio+;s re7ort! Sharo+ :as forced to resi6+ as the Defe+se /i+ister! #ut remai+ed i+ Prime /i+ister /e+achem Be6i+;s ca#i+et as a /i+ister :ithout 7ortfo-io9 AFN%JB III9 /oder+ 077-icatio+ 09 I+ter+atio+a- ,rimi+a- Tri#u+a- for the Former Yu6os-a"ia FI,TYG a+d the I+ter+atio+a- ,rimi+a- Tri#u+afor R:a+da FI,TRG The first a77-icatio+ of the comma+d res7o+si#i-it doctri+e # i+ter+atio+a- crimi+a- tri#u+a-s to crimes u+re-ated to 1or-d 1ar II has ta@e+ 7-ace at the I,TY a+d I,TR9 AFNJ&B These ad hoc tri#u+a-s :ere created # the U+ited Natio+s as a resu-t of the i+ter+atio+a- disco"er of :ides7read eth+ic "io-e+ce a+d atrocities committed i+ the former Yu6os-a"ia a+d R:a+da res7ecti"e- 9 AFNJ'B &12 Both the I,TY a+d I,TR ha"e artic-es i+ their res7ecti"e statutes addressi+6 the su7erior res7o+si#i-it
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doctri+e9 AFNJ$B The -a+6ua6e of these t:o statutes is a-most ide+tica-9 AFNJ(B Both ma@e a su7erior crimi+a-res7o+si#-e for ide+tified crimes of a su#ordi+ate if the su7erior E@+e: &15 or had reaso+ to @+o: that the su#ordi+ate :as a#out to commit such acts or had do+e so!E AFNJ)B a+d the+ fai-ed to 7re"e+t the acts or Eto 7u+ish the 7er7etrators thereof9E AFNJ5B B9 I,TY O I,TR 3uris7rude+ce The Tria- ,ham#ers of #oth the I,TY a+d I,TR ha"e addressed the doctri+e of su7erior res7o+si#i-it a+d dea-t s7ecifica-- :ith its a77-icatio+ to ci"i-ia+ a+d +o+2mi-itar su7eriors9 0 re"ie: of their decisio+s 7ro"ides a "ie: of the moder+ de"e-o7me+t of the doctri+e a+d some of the s7ecific areas that ha"e #ee+ addressed9 0s to the a77-ica#i-it of I,TY 0rtic-e <F(G a+d I,TR 0rtic-e 4F(G to ci"i-ia+s! the Tri#u+a-s ha"e determi+ed that superior respo"si,ility a77-ies to #oth mi-itar comma+ders a+d ci"i-ia+ superiors i+ 7ositio+s of authorit 9 AFNJ4B I+ determi+i+6 :hether a+ i+di"idua- is a superior for 7ur7oses of crimi+arespo"si,ility! it is the actua- 7ossessio+ or +o+27ossessio+ of 7o:ers of effecti"e co+tro- o"er the actio+s of the i+di"idua-;s su#ordi+ates that is dis7ositi"e9 AFNJ<B 0s stated 7re"ious- ! o+e of the e-eme+ts of the superior respo"si,ility doctri+e requires a se+ior2su#ordi+ate re-atio+shi7 #et:ee+ the accused superior a+d the su#ordi+ate 7er7etrator of the crime9 This e-eme+t is crucia- #ecause the doctri+e e=ists to 7u+ish the superior for fai-i+6 to ta@e actio+ a6ai+st the su#ordi+ate 7er7etrator9 O+e :a to determi+e :hether such a re-atio+shi7 e=ists! es7ecia-- i+ the +o+2mi-itar situatio+! is to e=ami+e the Eeffecti"e co+tro-E that the superior has o"er the su#ordi+ate9 The I,TY Tria- ,ham#er has he-d that Ei+ order for the 7ri+ci7-e of superior respo"si,ility to #e a77-ica#-e! it is +ecessar that the superior ha"e effecti"e co+tro- o"er the 7erso+s &14 committi+6 the u+der- i+6 "io-atio+s of i+ter+atio+a- huma+itaria+ -a:! i+ the se+se of ha"i+6 the materia- a#i-it to 7re"e+t a+d 7u+ish the commissio+ of the offe+ses9E AFNJ%B The forma- desi6+atio+ as a comma+der is +ot co+tro--i+6! as this authorit ca+ #e either de 8ure or de facto9 AFNJJB Furthermore! e"e+ if the 7er7etrators :ere +ot the direct su#ordi+ates of the su7erior! he cou-d sti-- #e crimi+a-res7o+si#-e for their actio+s Ei+sofar as he e=ercises effecti"e co+tro- o"er them9E AFN'&&B I+ reachi+6 these co+c-usio+s! the I,TY Tria- ,ham#er i+ ,e-e#ici e=ami+ed the 7ost21or-d 1ar II 7recede+t a+d some of the questio+a#-e resu-ts :here i+di"idua-s :ith mere 7o:ers of i+f-ue+ce or 7ersuasio+ :ere fou+d 6ui-t u+der the su7erior res7o+si#i-it doctri+e9 AFN'&'B The I,TY a77roach a77ears to #e a safe6uard from stretchi+6 the doctri+e too far as a77-ied to those +o+2mi-itar comma+ders9 .+o:-ed6e o+ the 7art of the su7erior of offe+ses committed # his su#ordi+ates ca+ #e 7ro"ed # either direct or circumsta+tia- e"ide+ce! #ut ca+ +ot #e 7resumed9 AFN'&$B 0 su7erior :i-- o+- #e he-d crimi+a-res7o+si#-e if the 7rosecutio+ ca+ 7ro"e that there :as some s7ecific e"ide+ce actua-- a"ai-a#-e to him that cou-d ha"e 7ro"ided +otice that his su#ordi+ates :ere 7-a++i+6 or committi+6 offe+ses9 AFN'&(B It is e+ou6h that the i+formatio+ a"ai-a#-e to the su7erior i+dicated that further i+"esti6atio+ :as required to determi+e if offe+ses :ere #ei+6 7-a++ed or committed9 AFN'&)B I+ terms of ho: far a su7erior must 6o to 7re"e+t the commissio+ of offe+ses # su#ordi+ates! the I,TY 8uris7rude+ce states that this i+quir must #e determi+ed o+ a case2# 2case #asis! #ut that crimi+a- res7o+si#i-it shou-d attach o+- :he+ the su7erior fai-s Eto ta@e such &15 measures that are :ithi+ his materia- 7ossi#i-it 9E AFN'&5B Those measures 7ossi#-e u+der the circumsta+ces are required re6ard-ess of :hether the su7erior has a reco6+iHed -e6a- authorit to 7re"e+t or 7u+ish9 AFN'&4B 0-so! the re7orti+6 of crimes or sus7ected acti"it to a77ro7riate authorities # a ci"i-ia+ su7erior ma satisf the e-eme+t requiri+6 the su7erior to ta@e disci7-i+ar actio+9 AFN'&<B 0 +um#er of ci"i-ia+ su7eriors i+ differe+t 7ositio+s ha"e #ee+ 7rosecuted i+ the I,TY a+d I,TR9 3ea+ .am#a+da! the Prime /i+ister of the I+terim Io"er+me+t of R:a+da from % 07ri- 'JJ)! to '< 3u- 'JJ)! 7-ed 6ui-t to #ei+6 res7o+si#-e for acts of 6e+ocide a+d crimes a6ai+st huma+it 9 AFN'&%B *e s7ecifica-ac@+o:-ed6ed that he 7artici7ated i+ +umerous meeti+6s :ith other 6o"er+me+t officia-s :here the massacres
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of Tutsis :ere mo+itored! #ut +othi+6 :as do+e to sto7 them9 AFN'&JB Omar Serusha6o! a 7romi+e+t -ocaci"i-ia+ a+d -eader of the I+teraham:e mi-itia 6rou7 i+ the Iise+ i Prefecture! a-so 7-ed 6ui-t to #ei+6 res7o+si#-e for acts of 6e+ocide a+d crimes a6ai+st huma+it i+ "io-atio+ of 0rtic-e 4F(G of the I,TR Statute9 AFN''&B 0 director of a tea factor ! 0-fred /usema :as co+"icted of acts of 6e+ocide a+d the crime &1$ of e=termi+atio+ committed # the em7-o ees of the tea factor 9 AFN'''B The /usema tri#u+a- fou+d that he had #oth de 8ure a+d de facto co+tro- o"er the em7-o ees of the tea factor 9 AFN''$B I+ a+other I,TR case! ,-eme+t .a ishema! a 7refect i+ R:a+da! :as fou+d 6ui-t as a su7erior for acts of 6e+ocide committed # his su#ordi+ates9 AFN''(B I+ I,TY cases! Mdra"@o /ucic! a ci"i-ia+! :as fou+d to #e the de facto comma+der of the ,e-e#ici 7riso+2 cam7 a+d therefore crimi+a-- res7o+si#-e as the su7erior for the acts of the 7erso++e- of the cam79 AFN'')B 0-so! M-at@o 0-e@so"s@i the ci"i-ia+ 7riso+ :arde+ of the .ao+i@ 7riso+ :as he-d res7o+si#-e as a su7erior for the dete+tio+ co+ditio+s a+d the crimes committed # the 6uards i+side the 7riso+9 AFN''5B The I,TY a+d I,TR tri#u+a-s 7ro"ide the first a77-icatio+ of the -a: of su7erior res7o+si#i-it to actuacases si+ce the e+d of 1or-d 1ar II9 The a+a- sis of the tria- a+d a77e--ate cham#ers i+ ide+tif i+6 customar i+ter+atio+a- -a: :ith res7ect to su7erior res7o+si#i-it a+d its a77-icatio+ to cases i+"o-"i+6 #oth i+ter+atio+aa+d i+ter+a- armed co+f-ict! a+d to #oth mi-itar a+d ci"i-ia+ su7eriors! shou-d 7ro"e to #e a+ i+structi"e refere+ce :he+ the I+ter+atio+a- ,rimi+a- ,ourt #e6i+s ad8udicati+6 cases i+"o-"i+6 these issues9 AFN''4B ,9 I+ter+atio+a- ,rimi+a- ,ourt FI,,G O+ '< 3u- 'JJ%! the Statute of the I,, :as ado7ted # the Rome Di7-omatic ,o+fere+ce9 AFN''<B This mar@ed the cu-mi+atio+ of ear-ier &11 efforts! #e6i++i+6 :ith the 7ost21or-d 1ar I attem7t to create a+ i+ter+atio+a- court to ho-d res7o+si#-e those char6ed :ith starti+6 that :ar! the Nurem#ur6 a+d To@ o tria-s after 1or-d 1ar II! a+d the ad hoc tria-s of the I,TY a+d I,TR! to the creatio+ of a 7erma+e+t i+ter+atio+acrimi+a- court9 AFN''%B The 6oa- of the Rome Statute is a court 7ro"idi+6 Efor the effecti"e 7rosecutio+ a+d 7u+ishme+t of serious "io-atio+s of i+ter+atio+a- huma+itaria+ -a: :here"er such a#uses ma occur a+d # :home"er the ma #e 7er7etrated9E AFN''JB The Rome Statute e+tered i+to force o+ ' 3u- $&&$9 AFN'$&B Of 7rimar im7orta+ce to the doctri+e of su7erior res7o+si#i-it is the esta#-ishme+t of 0rtic-e $% of the Rome Statute! e+tit-ed Res7o+si#i-it of ,omma+ders a+d other Su7eriors9 AFN'$'B 0rtic-e $% of the I,, reads: I+ additio+ to other 6rou+ds of crimi+a- res7o+si#i-it u+der this Statute for crimes :ithi+ the 8urisdictio+ of the ,ourt: '9 0 mi-itar comma+der or 7erso+ effecti"e- acti+6 as a mi-itar comma+der sha-- #e crimi+a-res7o+si#-e for crimes :ithi+ the 8urisdictio+ of the ,ourt committed # forces u+der his or her effecti"e comma+d a+d co+tro-! &14 or effecti"e authorit a+d co+tro- as the case ma #e! as a resu-t of his or her fai-ure to e=ercise co+tro- 7ro7er- o"er such forces! :here: FaG That mi-itar comma+der or 7erso+ either @+e: or! o:i+6 to the circumsta+ces at the time! shou-d ha"e @+o:+ that the forces :ere committi+6 or a#out to commit such crimesD a+d F#G That mi-itar comma+der or 7erso+ fai-ed to ta@e a-- +ecessar a+d reaso+a#-e measures :ithi+ his or her 7o:er to 7re"e+t or re7ress their commissio+ or to su#mit the matter to the com7ete+t authorities for i+"esti6atio+ a+d 7rosecutio+9 $9 1ith res7ect to su7erior a+d su#ordi+ate re-atio+shi7s +ot descri#ed i+ 7ara6ra7h F'G! a su7erior sha-#e crimi+a-- res7o+si#-e for crimes :ithi+ the 8urisdictio+ of the ,ourt committed # su#ordi+ates u+der his or her effecti"e authorit a+d co+tro-! as a resu-t of his or her fai-ure to e=ercise co+tro- 7ro7er- o"er such su#ordi+ates :here: FaG The su7erior either @+e:! or co+scious- disre6arded i+formatio+ :hich c-ear- i+dicated! that the su#ordi+ates :ere committi+6 or a#out to commit such crimesD F#G The crimes co+cer+ed acti"ities that :ere :ithi+ the effecti"e res7o+si#i-it a+d co+troof the su7eriorD a+d FcG The su7erior fai-ed to ta@e a-- +ecessar a+d reaso+a#-e measures :ithi+ his or her 7o:er to 7re"e+t
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or re7ress their commissio+ or to su#mit the matter to the com7ete+t authorities for i+"esti6atio+ a+d 7rosecutio+9 AFN'$$B For the first time! the su7erior res7o+si#i-it of ci"i-ia+s is s7ecifica-- disti+6uished from that of mi-itar comma+ders9 The doctri+e of comma+d res7o+si#i-it ! ide+tified as direct res7o+si#i-it i+ the i+troductio+! is a-so addressed i+ the Rome Statute! #ut i+de7e+de+t of 0rtic-e $%9 Direct res7o+si#i-it is co"ered u+der 0rtic-e $5 :hich is e+tit-ed I+di"idua- ,rimi+a- Res7o+si#i-it 9 AFN'$(B 0rtic-e &16 $5 s7ecifica-- addresses the i+di"idua- :ho orders! so-icits! or i+duces the commissio+ of a co"ered crime9 AFN'$)B D9 I+ter+atio+a- ,ommittee of the Red ,ross FI,R,G22,ustomar I+ter+atio+a- La: Stud I+ a $&&5 7u#-icatio+ cata-o6ui+6 customar i+ter+atio+a- -a: of armed co+f-ict! t:o I,R, authors addressed the i+di"idua- res7o+si#i-it of su7eriors for the actio+s of su#ordi+ates i+ their Ru-e '5(9 AFN'$5B Ru-e '5( states: ,omma+ders a+d other su7eriors are crimi+a-- res7o+si#-e for :ar crimes committed # their su#ordi+ates if the @+e:! or had reaso+ to @+o:! that the su#ordi+ates :ere a#out to commit or :ere committi+6 such crimes a+d did +ot ta@e a-- +ecessar a+d reaso+a#-e measures i+ their 7o:er to 7re"e+t their commissio+! or if such crimes had #ee+ committed! to 7u+ish the 7erso+s res7o+si#-e9 AFN'$4B The I,R, i+ter7rets a +um#er of 7oi+ts a#out the doctri+e as #ei+6 esta#-ished i+ customar i+ter+atio+a-a:9 These i+c-ude: a77-icatio+ of the doctri+e i+ #oth i+ter+atio+a- a+d +o+2i+ter+atio+a- armed co+f-ictD AFN'$<B -ia#i-it for #oth mi-itar 7erso++e- a+d ci"i-ia+s u+der the doctri+eD AFN'$%B that the comma+d su#ordi+ate re-atio+shi7 ca+ #e #oth de 8ure a+d de factoD AFN'$JB that the doctri+e is +ot -imited to the direct @+o:-ed6e of the su7erior #ut a-so co+structi"e @+o:-ed6eD AFN'(&B that fai-ure to 7u+ish su#ordi+ates :ho commit :ar crimes ca+ resu-t from fai-i+6 to i+"esti6ate or re7ort to hi6her authoritiesD AFN'('B a+d that the term E+ecessar a+d reaso+a#-e measuresE is -imited to such measures :ithi+ a su7erior;s &49 7o:er to i+c-ude ta@i+6 a+ im7orta+t ste7 to:ard dis7e+si+6 7u+ishme+t or re7orti+6 the matter to com7ete+t authorities9 AFN'($B E9 SummariHi+6 the De"e-o7me+t a+d 077-icatio+ of Su7erior Res7o+si#i-it The doctri+e of su7erior res7o+si#i-it has e"o-"ed from a 6e+eraco+ce7t of the res7o+si#i-it of a mi-itar comma+der! to a -e6a- co+ce7t of a su7erior;s crimi+a- res7o+si#i-it for the crimes of su#ordi+ates9 Res7o+si#i-it +o: a77-ies to #oth mi-itar a+d +o+2mi-itar or ci"i-ia+ su7eriors9 0dditio+a-- ! the doctri+e has e"o-"ed from esse+tia-- 8ud6e or tri#u+a-2crafted -a: to i+ter+atio+a-- drafted codificatio+s! most rece+t- that co+tai+ed i+ the Rome Statute9 Part I? :i-- discuss this most rece+t codificatio+ of the doctri+e9 I?9 E=ami+atio+ of ,i"i-ia+ Lia#i-it u+der I,, 0rtic-e $% This sectio+ :i-- e=ami+e the e-eme+ts of the superior respo"si,ility doctri+e as the e=ist i+ 0rtic-e $%9 0s 7re"ious- stated! the superior respo"si,ility doctri+e esse+tia-- has three e-eme+ts: F'G the e=iste+ce of a superior2su#ordi+ate re-atio+shi7D F$G actua- or co+structi"e @+o:-ed6e of the superior that a crimi+a- act :as a#out to #e or had #ee+ committedD F(G fai-ure # the superior to ta@e reaso+a#-e a+d +ecessar measures to 7re"e+t the crimes or 7u+ish the :ro+6doers9 AFN'((B 0rtic-e $%F$GF#G of the Rome Statute addressi+6 +o+2 mi-itar superiors ar6ua#- creates a+other e-eme+t :hich :i-- #e discussed #e-o:9 AFN'()B 09 The Superior2Su#ordi+ate Re-atio+shi7 0rtic-e $% of the I,, #ifurcates the a77roach to dea-i+6 :ith superiors 0rtic-e $%F'G a77-ies to a Emi-itar comma+der or 7erso+ effecti"e- acti+6 as a mi-itar comma+der!E AFN'(5B :hereas 0rtic-e $%F$G a77-ies to
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Esuperior a+d su#ordi+ate re-atio+shi7s +ot descri#ed i+ &4/ 7ara6ra7h '9E AFN'(4B U+der 0rtic-e $%! a factuaa+a- sis +eeds to #e u+derta@e+ to determi+e if a ci"i-ia+ F+o+2mi-itar G accused is Eeffecti"e- acti+6 as a mi-itar comma+derE or +ot! i+ order to determi+e :hich e-eme+ts u+der the statute a77- 9 It a77ears that duri+6 the drafti+6 of the Rome Statute! the +eed to differe+tiate these t:o t 7es of superiors resu-ted i+ this fi+a7roduct9 AFN'(<B Some ha"e criticiHed this #ifurcatio+ a+d ar6ue that it :i-- a--o: a ci"i-ia+ superior to a"oid crimi+a- respo"si,ility9 AFN'(%B I+ Part ?! this artic-e :i-- a77- 0rtic-e $%F$G to a +um#er of ci"i-ia+ superior sce+arios! determi+e a 7ossi#-e outcome! a+d e"a-uate :hether this ar6ume+t is fair9 The @e as7ect of the superior2su#ordi+ate re-atio+shi7 :ith res7ect to -ia#i-it is the superior#s effecti"e authorit a+d co+tro-9 AFN'(JB EThe 7ossi#i-it of co+tro- forms the -e6a- a+d -e6itimate #asis of the superior#s respo"si,ilityD it 8ustifies his or her dut of i+ter"e+tio+9E AFN')&B 1ith res7ect to ci"i-ia+ superiors u+der 0rtic-e $%F$G! this is 7ote+tia-- e"e+ more im7orta+t9 AFN')'B Effecti"e authorit a+d co+tro- a77-ies to #oth a de 8ure a+d de facto superior9 AFN')$B 0t tria-! 8ust ho: effecti"e a+ accused;s authorit a+d co+tro- :as o"er the su#ordi+ates i+ questio+ :i-- stre+6the+ the 7rosecutio+;s case9 AFN')(B 0+other as7ect to the superior2su#ordi+ate re-atio+shi7 is ide+tified i+ 0rtic-e $%F$GF#G9 EThe crimes co+cer+ed acti"ities that :ere :ithi+ the &42 effecti"e respo"si,ility a+d co+troof the superior9E AFN'))B This e-eme+t does +ot a77- to the mi-itar comma+der or 7erso+ effecti"e- acti+6 as a mi-itar comma+der9 It a77ears to #e a -imitatio+ o+ the im7ositio+ of crimi+a- -ia#i-it o+ a ci"i-ia+ superior9 O+e i+ter7retatio+ 7osited is that it is a causatio+ requireme+t9 AFN')5B 0+other is that it ide+tifies the fact that ci"i-ia+ superiors do+;t ha"e the same de6ree of co+tro- o"er su#ordi+ates as mi-itar comma+ders ha"e9 AFN')4B 0 third a+d fi+ai+ter7retatio+ is that this re7rese+ts the idea that there ca++ot #e effecti"e co+tro- E:ith re6ard to +o+2:or@ re-ated acti"ities of the su#ordi+ates9E AFN')<B 0-o+6 these -i+es! this cou-d a-so #e "ie:ed as a -imitatio+ o+ -ia#i-it #ased o+ the sco7e of the re-atio+shi7 of the su7erior a+d su#ordi+ate9 AFN')%B If the crimi+a- acts are u+re-ated to the +ature of the re-atio+shi7! the ar6ume+t 6oesD the+ it is u+fair to im7ose -ia#i-it for +ot co+tro--i+6 su#ordi+ates; #eha"ior :here there is +o dut to do so! as it is outside the res7o+si#i-it of the su7erior9 AFN')JB B9 /e+s Rea Perha7s the most co+tro"ersia- of the e-eme+ts i+ 0rtic-e $% is the @+o:-ed6e e-eme+t a+d the differe+ces that e=ist for mi-itar a+d ci"i-ia+ su7eriors9 0ctua- @+o:-ed6e o+ the 7art of a+ t 7e of su7erior that his su#ordi+ates! E:ere committi+6 or a#out to commit such crimes!E AFN'5&B is sufficie+t a+d a+ eas :a to satisf the @+o:-ed6e requireme+t if that e"ide+ce e=ists9 The co+tro"ers surrou+ds the more stri+6e+t requireme+t from the 7rosecutor;s 7ers7ecti"e re6ardi+6 ci"i-ia+ su7eriors u+der 0rtic-e $%F$GFaG! :hich states that EAtBhe su7erior 999 co+scious- disre6arded i+formatio+ :hich c-ear- i+dicated that the su#ordi+ates :ere committi+6 or a#out to commit such crimes9E AFN'5'B This &45 is i+ co+trast to the Eo:i+6 to the circumsta+ces at the time! shou-d ha"e @+o:+E sta+dard a77-ied to mi-itar su7eriors9 AFN'5$B O+e comme+tator has ide+tified that i+ order to satisf this @+o:-ed6e e-eme+t! the 7rosecutio+ must 7ro"e: Ethat i+formatio+ c-eari+dicati+6 a si6+ifica+t ris@ that su#ordi+ates :ere committi+6 or :ere a#out to commit offe+ses e=isted! that this i+formatio+ :as a"ai-a#-e to the su7erior! a+d that the su7erior! :hi-e a:are that such cate6or of i+formatio+ e=isted! dec-i+ed to refer to the cate6or of i+formatio+9E AFN'5(B This sta+dard for ci"i-ia+ su7eriors esse+tia-- e-imi+ates cu-7a#i-it for +e6-i6e+t su7er"isio+9 0t -east o+e comme+tator has ide+tified this as a rec@-ess or a :i--fu- #-i+d+ess sta+dard9 AFN'5)B It fa--s some:here #et:ee+ actua- @+o:-ed6e a+d +e6-i6e+ce9 AFN'55B 1ith res7ect to the im7act that the +e: @+o:-ed6e sta+dard for ci"i-ia+ su7eriors :i-- ha"e i+ the courtroom! it has #ee+ ide+tified that the @e questio+ ma #e the I,,;s determi+atio+ as to :hether a su7erior;s dut to remai+ i+formed is reduced9 AFN'54B If the dut is -o:ered! &44 this :i-- a--o: the su7erior to fai- to acquire the +ecessar i+formatio+ to -ear+ of a+ crimi+a- or questio+a#-e #eha"ior of su#ordi+ates a+d u-timate- affect the e"ide+ce a"ai-a#-e at tria-9 AFN'5<B O+ the other ha+d! if the dut to remai+ i+formed remai+s the same! the -e"e- of i+formatio+ a+d re7orts recei"ed # the su7erior shou-d #e the same a+d i+crease
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the 7ote+tia- e"ide+ce a"ai-a#-e at tria-9 AFN'5%B U-timate- ! this co+tro"ers :i-- #e decided :he+ a+d if the I,, actua-- a77-ies it i+ a case9 ,9 Fai-ure to 0ct The fi+a- e-eme+t u+der 0rtic-e $% is the su7erior;s fai-ure to act9 This e-eme+t is ide+ticafor #oth mi-itar comma+ders a+d ci"i-ia+ su7eriors! requiri+6 7roof that the su7erior Efai-ed to ta@e a-- +ecessar a+d reaso+a#-e measures :ithi+ his or her 7o:er to 7re"e+t or re7ress their commissio+ or to su#mit the matter to the com7ete+t authorities for i+"esti6atio+ a+d 7rosecutio+9E AFN'5JB The -atter 7art of this e-eme+t! su#mitti+6 the matter to a com7ete+t authorit ! :as added to address the situatio+ :here either a ci"i-ia+ su7erior or a mi-itar comma+der is +ot i+ a 7ositio+ to 7rosecute9 AFN'4&B I+ter+atio+a- -a: reco6+iHes that su7eriors &45 ma #e -imited i+ the amou+t of 7o:er the ha"e i+ this area a+d does +ot require them to 7erform the im7ossi#-e9 AFN'4'B 0 su7erior;s required actio+ or fai-ure to act de7e+ds o+ the timi+6 of :he+ he acquires @+o:-ed6e of the crimi+a- actio+s of su#ordi+ates9 AFN'4$B If @+o:-ed6e is acquired 7rior to the crimes ta@i+6 7-ace! the su7erior is required to ta@e a-- +ecessar a+d reaso+a#-e 7re"e+ti"e measures :ithi+ his 7o:er9 AFN'4(B If the crime has a-read ta@e+ 7-ace! the+ the su7erior is required to ta@e re7ressi"e actio+ or to su#mit the matter to com7ete+t authorities to co+duct a+ i+"esti6atio+9 AFN'4)B Esse+tia-- ! a 7rosecutor :i-- +eed to esta#-ish that after the accused acquired @+o:-ed6e of the 7ote+tia- crimi+a- act! he fai-ed to ta@e a-- +ecessar a+d reaso+a#-e measures to 7re"e+t the act from ha77e+i+69 If the accused acquired @+o:-ed6e after the crimi+a- act occurred! the+ the 7rosecutor :i-- +eed to 7ro"e that the accused fai-ed to disci7-i+e the su#ordi+ate 7er7etrator! or if the su7erior does +ot ha"e the 7o:er to disci7-i+e! that she fai-ed to su#mit the matter to a+ authorit :ith disci7-i+ar 7o:er o"er the su#ordi+ate9 AFN'45B &4$ ?9 Sce+ario 077-icatio+s This sectio+ :i-- a77- 0rtic-e $% to three h 7othetica- sce+arios i+"o-"i+6 differe+t ci"i-ia+ su7eriors a+d a+a- He the 7ote+tia- outcomes #efore the I,,9 0+a- sis :i-- focus o+ the factua- de"e-o7me+t of the sce+arios as the re-ate to the e-eme+ts of 0rtic-e $%F$G9 0ssume for the 7ur7oses of a-- three sce+arios that the cou+tr of Lat"ia has i+"aded Esto+ia i+ order to secure access to the Iu-f of Fi+-a+d9 0dditio+a- facts :i-- #e 7ro"ided for each sce+ario9 09 ,i"i-ia+ ,o+tractor '9 Factua- Sce+ario I+ this sce+ario! the 0cme Securit O Su77ort Ser"ices F0cmeG is a 7ri"ate 0ustra-ia+ co+tractor :ho has co+tracted :ith the 6o"er+me+t of Lat"ia to 7ro"ide -o6istica- su77ort to Lat"ia;s mi-itar 9 Su77ort i+c-udes the de-i"er of fue-! food! a+d other su77-ies from Ri6a! the ca7ita- of Lat"ia! to Esto+ia :here the Lat"ia+ 0rm is e+6a6ed i+ armed co+f-ict :ith Esto+ia9 The -o6istica- su77ort is carried out 7rimari- # armed truc@ co+"o 9 0-- 7erso++e- o+ the co+"o s are mem#ers of 0cme to i+c-ude the securit co+ti+6e+t9 /ic@ Du+dee is the ,EO of 0cme9 O"er the course of a t:o2:ee@ 7eriod! -ar6e +um#ers of ci"i-ia+s of Esto+ia are fou+d dead a-o+6 the /ai+ Su77- Route F/SRG used # the 0cme co+"o s9 O+ the 0cme :e#site! a "ideo sho:i+6 ci"i-ia+s #ei+6 shot! a 6re+ade #ei+6 tossed at them! a+d e"e+ a77are+t- #ei+6 hit # "ehic-es! is accessi#-e throu6h a -i+@9 The "ideo is shot from the "ie: of a mo"i+6 "ehic-e :ith a time date ima6e -ocated o+ the "ideo i+dicati+6 these e"e+ts ha"e occurred t:ice o"er the -ast t:o :ee@s9 AFN'44B 0s a resu-t of 7u#-ic outra6e o"er the "ideo a+ i+"esti6atio+ is co+ducted # Lat"ia;s /i+ister of 3ustice9 The resu-ts of the i+"esti6atio+ i+dicate that o+ three occasio+s! co+"o s retur+i+6 from Esto+ia to Lat"ia o7erated # 0cme i+te+tio+a-- tar6eted Esto+ia+ ci"i-ia+s a-o+6 the /SR a+d @i--ed or :ou+ded o"er three hu+dred9 E"ide+ce e=ists that /ic@ :as o+2site at the 0cme Lo6istics #ase -ocated i+ Lat"ia duri+6 the e+tire
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time these crimes too@ 7-ace9 *e :as +ot o+ a+ of the co+"o s9 Further e"ide+ce su66ests that the "ideo :as 7osted to the 0cme :e#site #et:ee+ the seco+d a+d third i+cide+t9 There is +o &41 e"ide+ce c-ear- esta#-ishi+6 that he @+e: that 0cme em7-o ees :ere committi+6 these crimes or that he effecti"e- acted as a mi-itar comma+der9 Fi+a-- ! after the i+"esti6atio+ :as i+itiated /ic@ fired a-- the 0cme em7-o ees o+ the co+"o s i+ questio+9 /ic@ is forma-- #rou6ht to tria- #efore the I,, char6ed :ith a "io-atio+ of 0rtic-e $% as the su7erior crimi+a-- res7o+si#-e for the :ar crimes of his su#ordi+ates9 AFN'4<B $9 077-icatio+ of -e6a- frame:or@ First! the 7rosecutor must 7ro"e that /ic@ :as the su7erior of the 0cme em7-o ees :ho committed the crimes9 This ca+ #e do+e # sho:i+6 that as the ,EO of the com7a+ ! he ho-ds the 7o:er to hire or fire a+ of the em7-o ees9 The 7rosecutio+ must a-so esta#-ish the com7a+ -eadershi7 structure9 Seco+d! the 7rosecutor must esta#-ish that the crimes i+ this case co+cer+ed acti"ities that :ere :ithi+ the res7o+si#i-it a+d co+troof /ic@! that is! the de-i"er of su77-ies # 0cme to Lat"ia;s mi-itar 9 These crimes occurred :hi-e the 0cme co+"o s :ere retur+i+6 from ma@i+6 their de-i"eries i+ Esto+ia a-o+6 the /SR9 0s the su#ordi+ates did +ot de"iate from their assi6+ed route these facts shou-d satisf the e-eme+t9 The more difficu-t issue :i-- #e 7ro"i+6 the @+o:-ed6e e-eme+t9 0s required # 0rtic-e $%F$GFaG! the 7rosecutor must 7ro"e that /ic@ Eco+scious- disre6arded i+formatio+ :hich c-ear- i+dicatedE that his su#ordi+ates E:ere committi+6 or a#out to commit such crimes9E AFN'4%B E"ide+ce i+dicati+6 that /ic@ sa: the "ideo! heard of the "ideo! heard his su#ordi+ates ta-@i+6 a#out :hat occurred o+ the co+"o s! the e=iste+ce of a+ after actio+ re7orts i+dicati+6 that the co+"o +eeded to defe+d itse-f or came across the "ictims! :ou-d assist i+ 7ro"i+6 the @+o:-ed6e e-eme+t9 The issue of accou+ta#i-it o"er ammu+itio+ cou-d a-so he-7 the 7rosecutio+9 If it cou-d #e sho:+ that /ic@ @+e: of the e=7e+diture of -ar6e amou+ts of ammu+itio+ this cou-d stre+6the+ the ar6ume+t that he co+scious- disre6arded i+formatio+ i+dicati+6 that crimes :ere #ei+6 committed9 &44 U+der the 0rtic-e $%F$GFaG @+o:-ed6e sta+dard it is "er -i@e- that the 7rosecutio+ :i-- #e u+-i@e- to succeed i+ satisf i+6 the I,, that /ic@ had the required me+s rea9 ,o+trast this :ith the @+o:-ed6e sta+dard u+der 0rtic-e $%F'GFaG! a+d those factors 8ust -isted ha"e a much stro+6er 7ro#a#i-it of satisf i+6 the @+o:-ed6e e-eme+t9 The 7rosecutio+ a-so +eeds to satisf the fi+a- e-eme+t22sho:i+6 that /ic@ fai-ed to ta@e a-- +ecessar a+d reaso+a#-e measures :ithi+ his 7o:er to 7re"e+t or re7ress the commissio+ of the crimes9 AFN'4JB Because this e-eme+t is so c-ose- re-ated to the @+o:-ed6e e-eme+t assume for 7ur7oses of this discussio+ that the 7rosecutor satisfied the @+o:-ed6e e-eme+t9 Is /ic@;s actio+ of firi+6 his su#ordi+ates e+ou6h to satisf this requireme+t> The defe+se :ou-d 7ro#a#- ar6ue that /ic@ had +o 7o:er to disci7-i+e the su#ordi+ates9 1hat a#out the fact that a+ i+"esti6atio+ had a-read started> This factor hi+6es o+ :he+ the 7rosecutio+ esta#-ished that /ic@ had the requisite @+o:-ed6e9 Before the fi+a- co+"o -eft #ase> Immediate- after the co+"o retur+ed to 0cme LOI#ase> If /ic@ -ear+ed of the co+duct #efore either the fi+a- co+"o -eft #ase or the i+"esti6atio+ started a+d fired the su#ordi+ates :ithout re7orti+6 the co+duct to the 7ro7er authorities! the 7rosecutio+ shou-d meet its #urde+9 AFN'<&B (9 Resu-t223ust or U+8ust> Ii"e+ the facts a+d e"ide+ce i+ this sce+ario! :ithout the assum7tio+s! a fi+di+6 of +ot 6ui-t is 7ro#a#the 8ust resu-t9 There is -itt-e e"ide+ce to esta#-ish that /ic@ co+scious- disre6arded i+formatio+ c-eari+dicati+6 that these crimes :ere ta@i+6 7-ace9 E"e+ u+der the mi-itar comma+der sta+dard this e"ide+ce does+;t a77ear to satisf the @+o:-ed6e e-eme+t9 B9 ,i"i-ia+ /a or
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'9 Factua- Sce+ario I+ the Esto+ia+ ca7ita- of Ta--i++! /a or I6or *ertH has remai+ed i+ his 7ositio+ des7ite the occu7atio+ of Ta--i++ # Lat"ia+ forces9 I6or &46 s m7athiHes :ith the Lat"ia+s! a+d his coo7eratio+ is re:arded # #ei+6 7-aced i+ char6e of the re#ui-di+6! securit ! a+d safet of the cit after its destructio+ i+ its ca7ture9 The Lat"ia+ 0rm is e=treme- disci7-i+ed a+d adheres strict- to the -a:s of :ar a+d customar i+ter+atio+a- -a:9 Earre7orts of the I,R, ha"e comme+ded the Lat"ia+ mi-itar i+ this adhere+ce9 To assist i+ the re#ui-di+6 of Ta--i++! I6or is 6i"e+ the ser"ices of a Lat"ia+ I+fa+tr Batta-io+ to secure co+structio+ 7ro8ects from sa#ota6e from Esto+ia+ i+sur6e+ts9 I6or is a#-e to te-- the #atta-io+ comma+der :hich 7ro8ects to 6uard! #ut he does +ot ha"e the 7o:er to disci7-i+e the comma+der or a+ of the so-diers9 The mai+ 7ro8ect is the re7air of 7ort faci-ities9 The +ei6h#orhood c-osest to the 7ort recei"ed the -east amou+t of dama6e a+d its i+ha#ita+ts ha"e either remai+ed i+ or retur+ed to their homes9 I6or directs the #atta-io+ to 6uard the 7ort a+d to 7o-ice the +ei6h#orhood c-osest to the 7ort9 0 re7ort is aired i+ the -oca+e:s7a7er that se"era- :ome+ -i"i+6 i+ this +ei6h#orhood ha"e #ee+ ra7ed # Lat"ia+ so-diers 6uardi+6 the 7ort9 I6or hears this stor ! #ut dismisses it #ecause he ca++ot #e-ie"e these disci7-i+ed so-diers :ou-d do such a thi+69 0fter the stor airs! his office #e6i+s to recei"e a +um#er of com7-ai+ts from the :ome+ of the +ei6h#orhood i+dicati+6 that this is true9 0fter t:o da s of com7-ai+ts! he "isits the Lat"ia+ #atta-io+ comma+der :ho assures him that there is +o truth to these stories9 I6or fee-s assured a+d retur+s to his duties at the ma or;s office9 The com7-ai+ts do +ot su#side9 0fter a fe: mo+ths! the 7ort faci-it is re7aired9 I6or is re:arded :ith a+ i+"itatio+ to come to Ri6a! the Lat"ia+ ca7ita-! to discuss #ecomi+6 the /i+ister of Norther+ Esto+ia9 1hi-e i+ Ri6a! the I,R, 7u#-ishes a re7ort i+dicati+6 that ra7es ha"e #ee+ committed throu6hout Ta--i++ a+d most es7ecia-- i+ the +ei6h#orhood c-osest to the 7ort9 The re7ort a-so i+dicates that +umerous re7orts a+d com7-ai+ts a#out this :ere made to the ma or;s office9 The :or-d media 6ra#s the stor 9 E=treme- u7set! the Lat"ia+ Preside+t decides to tur+ I6or o"er to the I,, for 7rosecutio+9 The #atta-io+ comma+der a+d his u+it are retur+ed to Lat"ia :here the 7er7etrators are su#8ect to the Lat"ia+ mi-itar 8ustice s stem9 I6or is #rou6ht to tria- a+d char6ed u+der 0rtic-e $%9 &69 $9 077-icatio+ of -e6a- frame:or@ The first questio+ here is :hether I6or had effecti"e authorit a+d co+tro- o"er the Lat"ia+ i+fa+tr #atta-io+9 The e"ide+ce i+dicates that the #atta-io+ :as 7-aced u+der I6or;s co+tro- a+d that he had the authorit to direct their actio+s9 The o+- -imit i+dicated :as his a#i-it to disci7-i+e the so-diers9 This :i-- 7ro#a#- +ot 7re"e+t the 7rosecutio+ from 7ro"i+6 that the Lat"ia+ so-diers :ere su#ordi+ates of I6or9 0s discussed 7rior! the drafters of 0rtic-e $% ide+tified that there ma #e situatio+s :here mi-itar u+its are 7-aced u+der the co+troof ci"i-ia+ su7eriors a+d ci"i-ia+ su7eriors ma #e u+a#-e to disci7-i+e9 AFN'<'B 1ere the ra7es crimes co+cer+i+6 acti"ities :ithi+ the effecti"e res7o+si#i-it a+d co+troof the su7erior> The facts i+dicate that I6or directed the i+fa+tr #atta-io+ to 6uard the 7ort a+d 7o-ice the +ei6h#orhood :here the ra7es occurred9 The 7rosecutio+ shou-d #e o+ firm 6rou+d here to satisf its #urde+ as to this e-eme+t9 Did I6or co+scious- disre6ard i+formatio+ :hich c-ear- i+dicated that his su#ordi+ates :ere ra7i+6 the :ome+ i+ the +ei6h#orhood> 06ai+! as :ith the 7re"ious sce+ario! this is the tou6her e-eme+t for the 7rosecutio+ to 7ro"e9 U+der these facts! I6or first hears of the ra7e a--e6atio+s i+ the -oca- 7a7er9 *e chooses to i6+ore the stor a+d does +othi+69 Does a stor i+ a +e:s7a7er rise to the -e"e- of c-ear- i+dicati+6 as 0rtic-e $%F$GFaG requires> Pro#a#- +ot9 The facts the+ te-- us that his office #e6a+ to recei"e re7orts direct- a#out the a--e6ed ra7es9 06ai+! I6or chooses to do +othi+6 after the first da ! #ut the+ after the seco+d da of re7orts he a77roaches the #atta-io+ comma+der9 The defe+se shou-d #e a#-e to successfu-- ar6ue that this actio+ i+dicates that he did +ot disre6ard i+formatio+! a+d i+ fact re7orted these a--e6atio+s to someo+e :ho had the authorit to i+"esti6ate a+d 7ossi#- 7rosecute9 The 7rosecutio+;s res7o+se is to ar6ue that I6or;s re-ia+ce o+ o+- the
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comma+der;s assertio+s is +ot e+ou6h! es7ecia-- :he+ the com7-ai+ts co+ti+ued to come to his office9 The outcome is difficu-t to determi+e! #ut the I,, :i-- 7ro#a#- decide i+ I6or;s fa"or9 ,ha+6e the facts to I6or +e"er co+fro+ti+6 or s7ea@i+6 to the #atta-io+ comma+der9 U+der these facts! the 7rosecutio+;s cha+ces are stro+6er i+ satisf i+6 #oth the @+o:-ed6e e-eme+t a+d the fai-ure to act e-eme+t9 I6or is i6+ori+6 +umerous re7orts that ar6ua#- c-ear- i+dicate &6/ that his su#ordi+ates are ra7i+6 the :ome+ of the +ei6h#orhood u+der their 7rotectio+9 Satisf the @+o:-ed6e e-eme+t here a+d the fai-ure to act is satisfied #ecause +o actio+ is ta@e+ # I6or9 (9 Resu-t223ust or U+8ust> 0+ acquitta- of I6or u+der the facts a#o"e a77ears to #e a+ u+8ust resu-t9 0s the ma or is char6ed :ith the safet of the cit ! I6or;s dut e+com7asses the 7re"e+tio+ of ra7e of -oca- :ome+9 *is re-ia+ce o+ the #atta-io+ comma+der;s assura+ce :as mis7-aced es7ecia-- :ith the re7eated com7-ai+ts9 I6or had the a#i-it to direct the so-diers; actio+s! he cou-d ha"e co+ducted a+ i+"esti6atio+! he cou-d ha"e reassi6+ed the u+it! he cou-d ha"e raised his co+cer+s to a hi6her authorit tha+ the #atta-io+ comma+der9 ,9 ,i"i-ia+ 0rea 0dmi+istrator '9 Factua- Sce+ario Tom 3o+es is a77oi+ted to #e the 0dmi+istrator of the Esto+ia+ Pro"isio+a- 0uthorit FEP0G9 *e is res7o+si#-e for the reco+structio+ of 7ost2co+f-ict Esto+ia9 1ithi+ this res7o+si#i-it is the authorit to e+ter i+to co+tracts! s7e+d mo+e ! a+d re7rese+t the Lat"ia+ 6o"er+me+t :ith res7ect to matters co+cer+i+6 reco+structio+9 0-- em7-o ees of the EP0 u-timate- fa-- u+der the res7o+si#i-it of 3o+es9 *e ca+ ta@e admi+istrati"e actio+ a6ai+st them a+d termi+ate their em7-o me+t9 O+e area of 7articu-ar i+terest is the cit of Par+u9 The EP0 7-a+s to re-ocate the ca7ita- of Esto+ia there9 I+sur6e+t acti"it a+d -ar6e sca-e resista+ce to reco+structio+ efforts 7-a6ue the cit 9 3o+es directs a :or@i+6 6rou7 to so-"e the 7ro#-em a+d to :or@ :ith the mi-itar to do so9 The so-utio+ is the forced re-ocatio+ of thousa+ds of ci"i-ia+ citiHe+s of Par+u9 1hi-e the actua- 7h sica- remo"a- of the citiHe+s is do+e # mi-itar a+d 7o-ice forces! the -o6istics of the re-ocatio+ is 7-a++ed! fu+ded! a+d su7er"ised # the EP0 :or@i+6 6rou79 /o+ths after #e6i++i+6! the reco+structio+ of Par+u is :e-- u+der:a 9 3o+es "isits the cit a+d sees remar@a#-e 7ro6ress9 *e recei"es +o re7orts of co+ti+ued resista+ce a+d co+6ratu-ates his :or@i+6 6rou7 for their reso-utio+ of this 7ro#-em9 *e +e"er as@s ho: the &62 decided to reso-"e the issue9 Re7orts 6e+erated co+cer+i+6 the co+tracti+6 a+d s7e+di+6 of EP0 reco+structio+ efforts come i+to his office! #ut are se+t to i+di"idua-s res7o+si#-e for those areas9 3o+es recei"es a mo+th- re7ort! #ut o+- i+ the #i6 7icture9 *e does +ot questio+ the s7e+di+6 for the re-ocatio+ of the citiHe+s of Par+u9 06ai+! a+ I,R, re7ort e=7oses the forced re-ocatio+ of the Par+u citiHe+s9 /r9 3o+es a+d his staff are tur+ed o"er to the I,, for 7rosecutio+9 $9 077-icatio+ of -e6a- frame:or@ Did 3o+es ha"e effecti"e authorit a+d co+tro- o"er the EP0 :or@i+6 6rou7 that carried out the forced re-ocatio+> AFN'<$B The a+s:er to this is es9 0s the facts i+dicate! the em7-o ees of the EP0 are a-- su#8ect to 3o+es;s authorit 9 1as the forced re-ocatio+ a+ acti"it :ithi+ the effecti"e res7o+si#i-it a+d co+troof /r9 3o+es> This e-eme+t is s-i6ht- more difficu-t9 1hi-e +ot 7erso+a-- directi+6 the re-ocatio+! it :as sti-- carried out # EP0 em7-o ees a+d :ith EP0 fu+di+6 as a 7rocess to satisf the EP0;s char6e of reco+structi+6 a+d 7articu-ar- re-ocati+6 the ca7ita-9 This e-eme+t is 7ro#a#- satisfied # those facts9 Did 3o+es co+scious- disre6ard i+formatio+ :hich c-ear- i+dicated that his su#ordi+ates :ere committi+6 or a#out to commit this crime> O+ce a6ai+! this is the tou6hest e-eme+t for the 7rosecutio+ to 7ro"e9 The
Pa6e '5
e"ide+ce i+dicates that there :ere re7orts dea-i+6 :ith the s7e+di+6 to re-ocate the citiHe+s! #ut ho: detai-ed :ere the > The more detai-s as to :hat e=act- this mo+e :as #ei+6 s7e+t o+ :ou-d stre+6the+ the 7rosecutio+;s case9 0-so! the facts i+dicate a -ac@ of c-ear fo--o: u7 as to ho: the i+itia- 7ro#-em :ith the resista+ce :as dea-t :ith9 This cou-d #e 3o+es tr i+6 to tur+ a #-i+d e e to this 7ro#-em! #ut the facts do +ot e+tire- su77ort a co+c-usio+ that he :as tr i+6 to i6+ore the reso-utio+ of the 7ro#-em9 0s me+tio+ed #efore! o+e of the @e as7ects of this case :i-- #e ho: the I,, i+ter7rets the ci"i-ia+ su7erior;s dut to remai+ i+formed9 AFN'<(B If the I,, ado7ts the dut to remai+ i+formed of a su#ordi+ate;s actio+s! the+ i+ this case! 3o+es ar6ua#- shou-d ha"e as@ed ho: the 7ro#-em :as reso-"ed9 &65 (9 Resu-t223ust or U+8ust> It :ou-d a77ear that reso-utio+ of this case de7e+ds o+ ho: the I,, determi+es a ci"i-ia+ su7erior;s dut to remai+ i+formed9 If the historica- tre+d is fo--o:ed! the+ the dut remai+s hi6h a+d 3o+es :i-- most -i@e- #e co+"icted9 If the dut sta+dard is -o:ered! the 7rosecutio+;s cha+ces of success are :ea@e+ed9 I+ this case a+d u+der the facts 6i"e+! that ma +ot +ecessari- #e the :ro+6 decisio+9 Does 3o+es tru- deser"e to #e crimi+a-res7o+si#-e for his su#ordi+ates; actio+s here #ecause he fai-ed to @+o: :hat :as ha77e+i+6> 1hi-e c-ear- if he had @+o:+ a#out it! 3o+es cou-d ha"e ta@e+ actio+ to 7re"e+t or re7ress the actio+s! it is u+c-ear that he @+e: of the crimes a+d so shou-d +ot #e he-d crimi+a-- res7o+si#-e9 D9 Summatio+ of Sce+arios 0s the sce+arios i+dicate! there are a +um#er of critica- e-eme+ts that the 7rosecutio+ :i-- +eed to esta#-ish: :hether the su7erior had effecti"e authorit a+d co+tro-! :hether the crimes :ere :ithi+ the su7erior;s effecti"e res7o+si#i-it ! :hat i+formatio+ e=isted! a+d :hat the i+formatio+ i+dicated9 The critica- issue :i-- #e :hat is mea+t # Eco+scious- disre6arded9E Perha7s assista+ce ca+ #e fou+d i+ e=ami+i+6 :h this differe+ce i+ @+o:-ed6e sta+dards e=ists i+ the first 7-ace9 The a+s:er a77ears to start :ith the U+ited States de-e6atio+ to the Pre7arator ,ommittee to the Rome Statute9 AFN'<)B ,o+cer+s o"er a ci"i-ia+ su7erior;s de6ree of co+tro- a+d a#i-it to 7re"e+t a+d 7u+ish a77are+t- 6e+erated the disti+ctio+ i+ @+o:-ed6e sta+dards fou+d i+ 0rtic-e $%9 AFN'<5B Furthermore! it a77ears that there :ere e=te+si"e +e6otiatio+s a+d 7o-itica- com7romises i+ drafti+6 the te=t of :hat &64 e"e+tua-- #ecame 0rtic-e $%9 AFN'<4B Ii"e+ these co+cer+s! this author co+c-udes that e-imi+ati+6 the a77-icatio+ of crimi+a-- cu-7a#-e +e6-i6e+ce to ci"i-ia+ su7eriors addressed the Pre7arator ,ommittee;s co+cer+s9 This is accom7-ished i+ the se+se that a +o+2mi-itar or6a+iHatio+ ma #e or6a+iHed i+ a+ of a mu-titude of :a s! from the strict hierarchica- to o+e of -oose co+tro-9 The de6ree of su7er"isio+ ca+ a-so "ar 9 B requiri+6 more tha+ +e6-i6e+ce for ci"i-ia+ su7eriors! 0rtic-e $% attem7ts to e-imi+ate the ris@ that a ci"i-ia+ su7erior :i-- #e he-d to a hi6her sta+dard tha+ is a77ro7riate 6i"e+ his or her situatio+9 ?I9 ,o+c-usio+ Su7erior res7o+si#i-it has e"o-"ed from its a77-icatio+ to mi-itar comma+ders to e+com7assi+6 ci"i-ia+s acti+6 as mi-itar comma+ders to +o+2mi-itar ci"i-ia+ su7eriors9 The 7ost21or-d 1ar II tri#u+a-s de"e-o7ed the doctri+e :ith actuacases a+d sha7ed a co+ce7t i+to a more refi+ed doctri+e9 AFN'<<B From the e+d of those tri#u+a-s u+ti- the creatio+ of the I,TY a+d I,TR tri#u+a-s! the doctri+e de"e-o7ed throu6h "arious efforts to codif it9 AFN'<%B The rece+t creatio+ of the I,, has ta@e+ the doctri+e a+d +ot o+- codified it! #ut added +e: e-eme+ts9 AFN'<JB 0rtic-e $% has created requireme+ts that the su#ordi+ates; crimes co+cer+ a+ acti"it :ithi+ the su7eriors; effecti"e res7o+si#i-it a+d co+tro-9 Furthermore! 0rtic-e $% has created a +e: @+o:-ed6e sta+dard a77-ica#-e to +o+2mi-itar ci"i-ia+ su7eriors9 AFN'%&B It is the differe+ce i+ @+o:-ed6e sta+dards that has raised co+cer+s9 AFN'%'B Prese+t- ! the I,, has +ot heard a case a+d therefore has +ot i+ter7reted :hat this +e: ci"i-ia+ su7erior sta+dard mea+s9 The co+cer+ a77ears to #e that ci"i-ia+ su7eriors :i-- #e a#-e to a"oid crimi+a- res7o+si#i-it #ecause of the difficu-t i+ 7ro"i+6 that the co+scious- disre6arded i+formatio+ c-ear- i+dicati+6 that su#ordi+ates &65 :ere committi+6 or 7-a++i+6 to commit crimes9 AFN'%$B 0-so! this differe+t sta+dard :i-- :ea@e+ a+ deterre+t effect the
Pa6e '4
doctri+e mi6ht ha"e as to ci"i-ia+ su7eriors9 AFN'%(B I+ raisi+6 these co+cer+s! com7ariso+ has #ee+ dra:+ to 7re"ious cases! ar6ui+6 that the outcomes :ou-d #e differe+t a+d +o: the co+"icted :ou-d #e acquitted9 AFN'%)B The fai-ure i+ this ar6ume+t is i6+ori+6 :hether those 7rior cases :ere ri6ht- decided9 AFN'%5B *o: much did "ictor;s 8ustice ha"e to 7-a i+ the outcome> AFN'%4B The Rome Statute reco6+iHes a differe+ce #et:ee+ a mi-itar comma+der or someo+e effecti"e- acti+6 as a mi-itar comma+der! a+d a ci"i-ia+ su7erior9 AFN'%<B This is a+ im7orta+t differe+ce 7rimari- #ecause of the differe+t -e"e-s of i+here+t res7o+si#i-it that each ho-ds9 /i-itar comma+ders are e+trusted :ith a treme+dous amou+t of res7o+si#i-it ! a+d the +ature of the mi-itar comma+der2su#ordi+ate structure a--o:s a comma+der the requisite too-s to fu-fi-- his dut 9 The mi-itar # its +ature requires a hi6her sta+dard of disci7-i+e9 AFN'%%B 0 ci"i-ia+ +o+2mi-itar hierarch does +ot ha"e this structure9 I+ reco6+itio+ of the mi-itar ;s hei6hte+ed disci7-i+e! most +atio+s i+ the :or-d ha"e se7arate 8ustice s stems for the mi-itar a+d ci"i-ia+s9 Thus! 0rtic-e $% reco6+iHes that ci"i-ia+ su7eriors o7erate i+ a+ e+"iro+me+t -ac@i+6 the disci7-i+ed structure of the mi-itar 9 It :ou-d a77ear from the -imited histor of the drafti+6 of the Rome Statute! that co+cer+s o"er a ci"i-ia+ su7erior;s de6ree of co+tro- a+d a#i-it to 7re"e+t a+d 7u+ish 7rom7ted this decisio+9 AFN'%JB Because of these co+cer+s! a ci"i-ia+ su7erior shou-d +ot #e he-d to the same me+s rea requireme+t! #ecause this cou-d im7ose crimi+a- res7o+si#i-it :here it shou-d +ot e=ist9 This cautious a77roach a77ears to #e a res7o+se to the outcomes of some of the cases decided immediate- after 1or-d 1ar II9 The I,TY Tria- ,ham#er i+ ,e-e#ici a-so a77eared to ta@e a cautious a77roach i+ a77- i+6 crimi+a- res7o+si#i-it to +o+2mi-itar ci"i-ia+ su7eriors9 AFN'J&B &6$ From the sce+arios i+ Part ?! it is u+c-ear :hether the creatio+ of a se7arate @+o:-ed6e sta+dard for ci"i-ia+ su7eriors is +ecessari- u+fair com7ared to the sta+dard required for the mi-itar 2t 7e su7erior9 U-timate- ! the I,, :i-- actua-- ha"e to a77- 0rtic-e $%F$GFaG to a 6e+ui+e set of facts to reso-"e the issue9 Leadi+6 to that da ! it a77ears that the e-eme+ts of 0rtic-e $%F$G do +ot dimi+ish its deterre+t "a-ue or im7ose a+ i+surmou+ta#-e o#stac-e for successfu- 7rosecutio+ of ci"i-ia+ su7eriors9 AFNa'B9 3ud6e 0d"ocate! U9S9 0rm 9 Prese+t- assi6+ed as the Bri6ade 3ud6e 0d"ocate! $d Bri6ade ,om#at Team! (d I+fa+tr Di"isio+! Fort Ste:art! Ia9! curre+t- de7-o ed i+ su77ort of O7eratio+ Iraqi Freedom9 LL9/9! $&&4! The 3ud6e 0d"ocate Ie+era-;s Le6a- ,e+ter a+d Schoo-! U+ited States 0rm ! ,har-ottes"i--e! ?a9D 39D9! 'JJ<! Tui++i7iac U+i"ersit Schoo- of La:D B909! 'JJ&! U+i"ersit of ,a-ifor+ia at Sa+ta Bar#ara9 Pre"ious assi6+me+ts i+c-ude Defe+se ,ou+se-! Darmstadt! Ierma+ ! $&&(2$&&5D Tria- ,ou+se-! I ,or7s a+d Fort Le:is! Fort Le:is! 1ash9! $&&'2$&&(D 0dmi+istrati"e La: 0ttor+e ! I ,or7s a+d Fort Le:is! Fort Le:is! 1ash9! $&&'D Ph sica- E"a-uatio+ Board So-diers; ,ou+se-! I ,or7s a+d Fort Le:is! Fort Le:is! 1ash9! $&&&2 $&&'D Le6a- 0ssista+ce 0ttor+e ! I ,or7s a+d Fort Le:is! Fort Le:is! 1ash9! $&&&D P-atoo+ Leader! '5th Tra+s7ortatio+ ,om7a+ ! Fort Si--! O@9! 'JJ(2'JJ)D P-atoo+ Leader! )'%th Tra+s7ortatio+ ,om7a+ ! Soma-ia! 'JJ(D P-atoo+ Leader! )<'st Tra+s7ortatio+ ,om7a+ ! Fort Si--! O@9! 'JJ$2'JJ(9 /em#er of the #ars of ,o++ecticut a+d the U9S9 District ,ourt for the District of ,o++ecticut9 This artic-e :as su#mitted i+ 7artiacom7-etio+ of the /aster of La:s requireme+ts of the 5)th 3ud6e 0d"ocate Officer Iraduate ,ourse9 AFN'B9 Rome Statute of the I+ter+atio+a- ,rimi+a- ,ourt art9 $%! 3u- '<! 'JJ%! $'%< U9N9T9S9 J&! '&4 F'JJ%G Aherei+after Rome StatuteB9 AFN$B9 Id9 art9 $%F'GFaG! F$GFaG9 AFN(B9 See .ai 0m#os! Su7erior Res7o+si#i-it ! i+ ' T*E RO/E ST0TUTE OF T*E INTERN0TION0L ,RI/IN0L ,OURT: 0 ,O//ENT0RY %4(2<& F0+to+io ,asesse et a-9 eds9! $&&$GD Norma+ Dorse+ O 3err Fo:-er! The I+ter+atio+a- ,rimi+a- ,ourt: 0+ Im7orta+t Ste7 To:ard Effecti"e I+ter+atio+a- 3ustice! i+ 0,LU INT;L ,I?IL LIBERTIES REP9 F/a 'JJJG! a"ai-a#-e at htt7://:::9ac-u2sc9or6/attach/i/I+t-[ ,i"Li#[Re7ort['JJJ97dfD /atthe: Li77ma+! The E"o-utio+ a+d Sco7e of ,omma+d Res7o+si#i-it ! '( LEIDEN 39 INT;L L9 '(J! '45 F/ar9 $&&&GD Per Sa-a+d! I+ter+atio+a- ,rimi+a- La: Pri+ci7-es! i+ T*E INTERN0TION0L ,RI/IN0L ,OURT: T*E /0.INI OF T*E RO/E ST0TUTE ISSUES: NEIOTI0TIONS! RESULTS '%J! $&) FRo S9 Lee ed9! 'JJJGD Ire6 R9 ?etter! ,omma+d Res7o+si#i-it of
Pa6e '<
No+2/i-itar Su7eriors i+ the I+ter+atio+a- ,rimi+a- ,ourt FI,,G! $5 Y0LE 39 INT;L L9 %J! J(2J)! '$&2 $) F$&&&G9 AFN)B9 Prosecutor "9 De-a-ic F,e-e#iciG! ,ase No9 IT2J42$'2T! 3ud6eme+t! \ ((( FNo"9 '4! 'JJ%GD /9 ,*ERIF B0SSIOUNI! INTRODU,TION TO INTERN0TION0L ,RI/IN0L L01 $J& F$&&(GD /9 ,*ERIF B0SSIOUNI O PETER /0NI.0S! T*E L01 OF T*E INTERN0TION0L ,RI/IN0L TRIBUN0L FOR T*E FOR/ER YUIOSL0?I0 ()5 F'JJ4G9 AFN5B9 B0SSIOUNI! su7ra +ote )! at $J&D L9 ,9 Iree+! ,omma+d Res7o+si#i-it i+ I+ter+atio+a- *uma+itaria+ La:! 5 Tra+s+at;- L9 O ,o+tem79 Pro#s9 ('J! ($& F'JJ5GD Bassiou+i O /a+i@as! su7ra +ote )! at ()5D /a8or 1i--iam *9 Par@s! ,omma+d Res7o+si#i-it for 1ar ,rimes! 4$ /i- L9 Re"9 '! $ F'J<(G9 AFN4B9 B0SSIOUNI! su7ra +ote )! at $J&D Iree+! su7ra +ote 5! at ($&9 AFN<B9 B0SSIOUNI! su7ra +ote )! at $J&2J'D Iree+! su7ra +ote 5! at ($&9 AFN%B9 This artic-e :i-- refer to the doctri+e of im7uted comma+d or superior respo"si,ility as superior respo"si,ility9 The doctri+e is #etter @+o:+ as comma+d respo"si,ility a+d a+ me+tio+ or refere+ces to that term are used i+tercha+6ea#- :ith superior respo"si,ility9 This artic-e ado7ts the use of the term superior respo"si,ility from a su66estio+ first read i+ 1939 Fe+ric@! Some I+ter+atio+a- La: Pro#-ems Re-ated to Prosecutio+s Before the I+ter+atio+a- ,rimi+a- Tri#u+a- for the Former Yu6os-a"ia! 4 DU.E 39 ,O/P9 O INT;L L9 '&(! ''& +9$' F'JJ5G Aherei+after Fe+ric@! Prosecutio+s Before the I,TYB! i+ :hich Fe+ric@ states: Eit is 7ossi#-e that a +e: term of art such as su7erior res7o+si#i-it shou-d #e de"e-o7ed!E a+d +e=t u+co"ered i+ 0m#os! su7ra +ote (! at %$) +9'! referri+6 to Fe+ric@;s artic-e a+d foot+ote9 Because this artic-e is focusi+6 o+ the ci"i-ia+ su7erior a+d ho: the doctri+e is a77-ied to them! use of the term su7erior is chose+ o"er the :ord comma+d to e+com7ass a #roader cate6or of i+di"idua-s9 See a-so So+8a Boe-aert2Suomi+e+! Prosecuti+6 Su7eriors for ,rimes ,ommitted # Su#ordi+ates: 0 Discussio+ of the First Si6+ifica+t ,ase La: Si+ce the Seco+d 1or-d 1ar! )' ?09 39 INT;L L9 <)<! <5& F$&&'G9 AFNJB9 B0SSIOUNI! su7ra +ote )! at $J(2J)D 0m#os! su7ra +ote (! at %$)9 AFN'&B9 See 1i--iam 39 Fe+ric@! 0rtic-e $%! i+ ,O//ENT0RY ON T*E RO/E ST0TUTE OF T*E INTERN0TION0L ,RI/IN0L ,OURT: OBSER?ERS; NOTES! 0RTI,LE BY 0RTI,LE 5'5! 5'4 FOtto Triffterer ed9! 'JJJG Aherei+after Fe+ric@! 0rtic-e $%BD Par@s! su7ra +ote 5! at $9 AFN''B9 See B0SSIOUNI O /0NI.0S! su7ra +ote )! at (5'D Par@s! su7ra +ote 5! at (2)9 AFN'$B9 $ *UIO IROTIUS! DE 3URE BELLI 0, P0,IS 5$( F3ames Bro:+ Scott ed9! Fra+cis 19 .e-se tra+s9! 'J$5G F'4$5G9 Irotius a-so stated: E1ith res7ect to to-eratio+ :e must acce7t the 7ri+ci7-e that he :ho @+o:s of a crime! a+d is a#-e a+d #ou+d to 7re"e+t it #ut fai-s to do so! himse-f commits a crime9E Id9 AFN'(B9 See Par@s! su7ra +ote 5! at )25 F7ro"idi+6 a+ o"er"ie: a+d a77-icatio+ of the doctri+eG9 AFN')B9 Iree+! su7ra +ote 5! at ($' Fquoti+6 ORDONN0N,ES DES ROIS DE FR0N,E DE L0 TROISIE/E R0,E FLouis Iui--aume de ?i-e"au-t O Louis de Brequi6+ eds9! '<%$GG9 AFN'5B9 See Par@s! su7ra +ote 5! at 59 This -a+6ua6e :as further ado7ted # the 0merica+ 0rtic-es of 1ar i+ '<<5 a+d '<<49 Id9 For further e=am7-es of the ado7tio+ of the comma+d res7o+si#i-it doctri+e i+ the U+ited States! a+d its a77-icatio+ from the 1ar of '%'$ throu6h the 0merica+ 7rese+ce i+ the Phi-i77i+es i+ the 'J&&s! see id9 at 42'&9
Pa6e '%
AFN'4B9 Fe+ric@! 0rtic-e $%! su7ra +ote '&! at 5'4D Yu"a- Sha+ O .ere+ R9 /ichae-i! The ,ase 06ai+st 0rieSharo+: Re"isiti+6 the Doctri+e of ,omma+d Res7o+si#i-it ! () N9Y9U9 39 INT;L L9 O POL9 <J<! %'< F$&&$G9 AFN'<B9 ,o+"e+tio+ FI?G Res7ecti+6 the La:s a+d ,ustoms of 1ar o+ La+d! 0++e= FRe6s9G! art9 '! Oct9 '%! 'J&<! (4 Stat9 $$<<! $$J52J4! ' Be"a+s 4('! 4)(2)) Aherei+after *a6ue I?B9 AFN'%B9 Id9 0++e= FRe6s9G! art9 )(! (4 Stat9 at $(&4! ' Be"a+s at 45'9 AFN'JB9 *a6ue I? art9 (! (4 Stat9 at $$J&! ' Be"a+s at 4)&9 AFN$&B9 See Prosecutor "9 De-a-ic F,e-e#iciG! ,ase No9 IT2J42$'2T! 3ud6eme+t! \\ ((52(4 FNo"9 '4! 'JJ%GD ,O//ENT0RY ON T*E 0DDITION0L PROTO,OLS OF % 3UNE 'J<< TO T*E IENE?0 ,ON?ENTIONS OF '$ 0UIUST 'J)J \ (5(& FY"es Sa+doH et a-9 eds9 'J%<G Aherei+after ,O//ENT0RY TO T*E 0DDITION0L PROTO,OLSB9 AFN$'B9 ,ommissio+ o+ the Res7o+si#i-it of the 0uthors of the 1ar a+d o+ E+forceme+t of Pe+a-ties! Re7ort Prese+ted to the Pre-imi+ar Peace ,o+fere+ce! re7ri+ted i+! ') 0/9 39 INT;L9 L9 J5 F'J$&G Aherei+after 0uthors of the 1ar Re7ortBD see a-so Par@s! su7ra +ote 5! at ''9 AFN$$B9 0uthors of the 1ar Re7ort! su7ra +ote $'! at ''<9 AFN$(B9 See B0SSIOUNI O /0NI.0S! su7ra +ote )! at (5)D Par@s! su7ra +ote 5! at '$2'(9 The U+ited States o#8ected to the 7ro7osed tria- # i+ter+atio+a- tri#u+a-! 7referri+6 mi-itar tri#u+a-s i+stead9 See 0uthors of the 1ar Re7ort! su7ra +ote $'! at '(J2)<9 3a7a+ o#8ected to 7rosecutio+ i+ the case :here Ethe accused! :ith @+o:-ed6e a+d :ith 7o:er to i+ter"e+e! a#stai+ed from 7re"e+ti+6 or ta@i+6 measures to 7re"e+t! 7utti+6 a+ e+d to! or re7ressi+6 acts i+ "io-atio+ of the -a:s a+d customs of :ar9E Id9 at '5$9 AFN$)B9 See Par@s! su7ra +ote 5! at '(2')9 T:e-"e of the fort 2fi"e 7eo7-e ide+tified # the a--ies :ere tried # the Ierma+ Su7reme ,ourt a+d si= :ere co+"icted of "arious La: of 1ar "io-atio+s9 Id9D see a-so 0m#os! su7ra +ote (! at %$% F7oi+ti+6 out that the Lei7Hi6 Tria- did +ot a77- the doctri+e of su7erior authorit G9 EThe Ierma+ Reichs6ericht did +ot e"e+ @+o: this doctri+e a+d o+- 8ud6ed the defe+da+ts o+ the #asis of the ordi+ar ru-es of 7artici7atio+ as -aid do:+ i+ the Straf6esetH#uch9E Id9 Par@s co+c-udes that 7rior to e+teri+6 i+to 1or-d 1ar II! there e=isted Ea custom of comma+d res7o+si#i-it ! codified i+ -ar6e 7art # the *a6ue ,o+"e+tio+s of 'J&< a+d the 'J$J Red ,ross ,o+"e+tio+! a+d :ith some:hat of a :ar+i+6 #ased o+ the esse+tia-- u+fi--ed dema+ds of the ?ersai--es Treat that co+ce7ts of comma+d res7o+si#i-it :ou-d #e im7-eme+ted at the co+c-usio+ of a+ future co+f-ict9E Par@s! su7ra +ote 5! at ')9 AFN$5B9 I-ias Ba+te@as! The ,o+tem7orar La: of Su7erior Res7o+si#i-it ! J( 0939I9L9 5<(! 5<( F'JJJGD 0+dre: D9 /itche--! Fai-ure to *a-t! Pre"e+t or Pu+ish: The Doctri+e of ,omma+d Res7o+si#i-it for 1ar ,rimes! $$ SYDNEY L9 RE?9 (%'! (%% F$&&&GD Sha+ O /ichae-i! su7ra +ote '4! at %'%D Timoth 1u O Yo+62Su+6 .a+6! ,rimi+a- Lia#i-it for the 0ctio+s of Su#ordi+ates22The Doctri+e of ,omma+d Res7o+si#i-it a+d its 0+a-o6ues i+ U+ited States La:! (% *0R?9 INT;L L939 $<$! $<) F'JJ<G9 AFN$4B9 /itche--! su7ra +ote $5! at (%%D Sha+ O /ichae-i! su7ra +ote '4! at %'%D ?etter! su7ra +ote (! at '&59 AFN$<B9 ?etter! su7ra +ote (! at '&59 Both charters co+tai+ed the fo--o:i+6 -a+6ua6e: ELeaders! or6a+iHers! i+sti6ators a+d accom7-ices 7artici7ati+6 i+ the formu-atio+ or e=ecutio+ of a commo+ 7-a+ or co+s7irac to commit a+ of the fore6oi+6 crimes are res7o+si#-e for a-- acts 7erformed # a+ 7erso+s i+ e=ecutio+ of such 7-a+9E Id9 Fquoti+6 06reeme+t for the Prosecutio+ a+d Pu+ishme+t of the /a8or 1ar ,rimi+a-s of the Euro7ea+ 0=is! 0u69 %! 'J)5! ,harter of the I+ter+atio+a- /i-itar Tri#u+a-! 5J Stat9 '5))! '5)4! %$ U9N9T9S9 $<J! $%)D ,harter of the I+ter+atio+a- /i-itar Tri#u+a- for the Far East! 3a+9 'J! 'J)4! T9I909S9 No9 '5%J! at ''G9
Pa6e 'J
AFN$%B9 See B0SSIOUNI O /0NI.0S! su7ra +ote )! at (5)255D /a8or Bruce D9 La+drum! The Yamashita 1ar ,rimes Tria-: ,omma+d Res7o+si#i-it The+ a+d No:! ')J /IL9 L9 RE?9 $J(! $J<2J% F'JJ5GD Par@s! su7ra +ote 5! at $$9 For a detai-ed e=7-a+atio+ a+d a+a- sis of the Yamashita case see RI,*0RD L9 L0EL! T*E Y0/0S*IT0 PRE,EDENT: 10R ,RI/ES 0ND ,O//0ND RESPONSIBILITY F'J%$GD 09 FR0N. REEL! T*E ,0SE OF IENER0L Y0/0S*IT0 F'J)JGD Par@s! su7ra +ote 5! at $$2(%9 AFN$JB9 Tra+scri7t of Record at (5'J! U+ited States "9 Tomo u@i Yamashita! Before the /i-itar ,ommissio+ ,o+"e+ed # the ,omma+di+6 Ie+era-! U+ited States 0rm Forces! 1ester+ Pacific! Oct9 'J)52Dec9 'J)5 Aherei+after Tra+scri7tBD see a-so Par@s! su7ra +ote 5! at $$9 AFN(&B9 Id9 at $$2$(9 AFN('B9 Tra+scri7t! su7ra +ote $J! at ('2($9 The char6e read as fo--o:s: Tomo u@i Yamashita! Ie+era- Im7eria- 3a7a+ese 0rm ! #et:ee+ J Octo#er 'J)) a+d $ Se7tem#er 'J)5! at /a+i-a a+d at other 7-aces i+ the Phi-i77i+e Is-a+ds! :hi-e comma+der of armed forces of 3a7a+ at :ar :ith the U+ited States of 0merica a+d its a--ies! u+-a:fu-- disre6arded a+d fai-ed to dischar6e his dut as comma+der to co+tro- the o7eratio+s of the mem#ers of his comma+d! 7ermitti+6 them to commit #rutaatrocities a+d other hi6h crimes a6ai+st 7eo7-e of the U+ited States a+d of its a--ies a+d de7e+de+cies! 7articu-ar- the Phi-i77i+esD a+d he! Ie+era- Tomo u@i Yamashita! there# "io-ated the -a:s of :ar9 Id9 at ('9 AFN($B9 Id9 at (45)25<9 AFN((B9 Id9 at )&4(9 No+e of the 6e+era- officers :ere attor+e s9 See Par@s! su7ra +ote 5! at (&9 I+ its o7i+io+! the commissio+ stated: ,-ear- ! assi6+me+t to comma+d mi-itar troo7s is accom7a+ied # #road authorit a+d hea" res7o+si#i-it 9 This has #ee+ true i+ a-- armies throu6hout recorded histor 9 It is a#surd! ho:e"er! to co+sider a comma+der a murderer or ra7ist #ecause o+e of his so-diers commits a murder or a ra7e9 No+ethe-ess! :here murder a+d ra7e a+d "icious! re"e+6efu- actio+s are :ides7read offe+ses! a+d there is +o effecti"e attem7t # a comma+der to disco"er a+d co+tro- the crimi+a- acts! such a comma+der ma #e he-d res7o+si#-e! e"e+ crimi+a-- -ia#-e! for the -a:-ess acts of his troo7s! de7e+di+6 u7o+ their +ature a+d the circumsta+ces surrou+di+6 them9 Tra+scri7t! su7ra +ote $J! at )&4'9 AFN()B9 I+ re Yamashita! ($< U9S9 ' F'J)4G9 AFN(5B9 Id9 at 49 AFN(4B9 Id9 at $59 AFN(<B9 See Par@s! su7ra +ote 5! at (<9 AFN(%B9 See Iree+! su7ra +ote 5! at ($<2((9 The I+ter+atio+a- /i-itar Tri#u+a- :as esta#-ished # the Lo+do+ ,harter :hich 7ro"ided that: EThe officia- 7ositio+ of defe+da+ts! :hether as *eads of State or res7o+si#-e officia-s i+ Io"er+me+t De7artme+ts! sha-- +ot #e co+sidered as freei+6 them from res7o+si#i-it or miti6ati+6 7u+ishme+t9E 06reeme+t for the Prosecutio+ a+d Pu+ishme+t of the /a8or 1ar ,rimi+a-s of the Euro7ea+ 0=is! art9 <! 0u69 %! 'J)5! 5J Stat9 '5))! '5)%! %$ U9N9T9S9 $<J! $%%9 AFN(JB9 See Iree+! su7ra +ote 5! at (((9
Pa6e $&
AFN)&B9 See id9 at (((2)&D 0m#os! su7ra +ote (! at %$%D ?etter! su7ra +ote (! at '&49 AFN)'B9 U+ited States "9 ?o+ Lee# F*i6h ,omma+d ,aseG! '' Tria-s of 1ar ,rimi+a-s Before the Nuer+#er6 /i-itar Tri#u+a-s U+der ,o+tro- ,ou+ci- La: No9 '&! Nuer+#er6! Oct9 'J)42No"9 'J)J! at )4$ F'J5'G9 This case i+"o-"ed the 7rosecutio+ of fourtee+ hi6h- ra+@ed Ierma+ officers for! amo+6 other thi+6s! :ar crimes a+d crimes a6ai+st huma+it 9 Of 7articu-ar im7orta+ce :as the res7o+si#i-it of these i+di"idua-s for 7assi+6 i--e6a- orders issued from hi6her do:+ to their su#ordi+ates a+d for crimes committed # su#ordi+ates9 See Lieute+a+t ,omma+der 1esto+ D9 Bur+ett! ,omma+d Res7o+si#i-it a+d a ,ase Stud of the ,rimi+aRes7o+si#i-it of Israe-i /i-itar ,omma+ders for the Po6rom at Shati-a a+d Sa#ra! '&< /IL9 L9 RE?9 <'! ''4 F'J%5G9 The i--e6a- orders i+c-uded orderi+6 the summar e=ecutio+ of ca7tured So"iet 7o-itica- officers! *i6h ,omma+d ,ase! a+d 7ro"isio+s 7ermitti+6 the Ierma+ arm to E-iquidate ruth-ess- E 6uerri--a fi6hters! a+d to ma@e the 7rosecutio+ of Ierma+ so-diers discretio+ar for crimes committed a6ai+st e+em ci"i-ia+s9 *i6h ,omma+d ,ase! '' Tria-s of 1ar ,rimi+a-s Before the Nuer+#er6 /i-itar Tri#u+a-s U+der ,o+tro- ,ou+ciLa: No9 '&! Nuer+#er6! Oct9 'J)42No"9 'J)J! at 5'<! 5$'! 5$$9 /a+ of the accused i+ this case :ere comma+ders of occu7ied territories9 Id9 at 5)$2)(9 AFN)$B9 Id9 at 5'&D see a-so Bur+ett! su7ra +ote )'! at '')D Par@s! su7ra +ote 5! at )&! 4(24)9 AFN)(B9 *i6h ,omma+d ,ase! '' Tria-s of 1ar ,rimi+a-s Before the Nuer+#er6 /i-itar Tri#u+a-s U+der ,o+tro- ,ou+ci- La: No9 '&! Nuer+#er6! Oct9 'J)42No"9 'J)J! at 5)(9 The tri#u+a- stated: /i-itar su#ordi+atio+ is a com7rehe+si"e #ut +ot co+c-usi"e factor i+ fi=i+6 crimi+a- res7o+si#i-it 9 The authorit ! #oth admi+istrati"e a+d mi-itar ! of a comma+der a+d his crimi+a- res7o+si#i-it are re-ated #ut # +o mea+s coe=te+si"e9 /oder+ :ar such as the -ast :ar e+tai-s a -ar6e measure of dece+tra-iHatio+9 0 hi6h comma+der ca++ot @ee7 com7-ete- i+formed of the detai-s of mi-itar o7eratio+s of su#ordi+ates a+d most assured- +ot of e"er admi+istrati"e measure9 *e has the ri6ht to assume that detai-s e+trusted to res7o+si#-e su#ordi+ates :i-- #e -e6a-- e=ecuted9 The Preside+t of the U+ited States is ,omma+der i+ ,hief of its mi-itar forces9 ,rimi+a- acts committed # those forces ca++ot i+ themse-"es #e char6ed to him o+ the theor of su#ordi+atio+9 The same is true of other hi6h comma+ders i+ the chai+ of comma+d9 ,rimi+a-it does +ot attach to e"er i+di"idua- i+ this chai+ of comma+d from that fact a-o+e9 Id9 at 5)(9 AFN))B9 Id9 The tri#u+a- stated: There must #e a 7erso+a- dere-ictio+ that ca+ occur o+- :here the act is direct- tracea#-e to him or :here his fai-ure to 7ro7er- su7er"ise his su#ordi+ates co+stitutes crimi+a- +e6-i6e+ce o+ his 7art9 I+ the -atter case! it must #e a 7erso+a- +e6-ect amou+ti+6 to a :a+to+! immora- disre6ard of the actio+ of his su#ordi+ates amou+ti+6 to acquiesce+ce9 0+ other i+ter7retatio+ of i+ter+atio+a- -a: :ou-d 6o far #e o+d the #asic 7ri+ci7-es of crimi+a- -a: as @+o:+ to ci"i-iHed +atio+s9 9999 1e are of the o7i+io+ 999 that the occu7 i+6 comma+der must ha"e @+o:-ed6e of these offe+ces a+d acquiesce or 7artici7ate or crimi+a-- +e6-ect to i+terfere i+ their commissio+ a+d that the offe+ses committed must #e 7ate+t- crimi+a-9 Id9 at 5)(2)5D see a-so ,hristo7her N9 ,ro:e! ,omma+d Res7o+si#i-it i+ the Former Yu6os-a"ia: The ,ha+ces for Successfu- Prosecutio+! $J U9 RI,*9 L9 RE?9 'J'! $'5 F'JJ)G9 The tri#u+a- fou+d ?o+ Lee# +ot 6ui-t of im7-eme+ti+6 o+e order #ecause EAhBe did +ot dissemi+ate the order9 *e 7rotested a6ai+st it a+d o77osed it i+ e"er :a short of o7e+ a+d defia+t refusa- to o#e 9E *i6h ,omma+d ,ase! '' Tria-s of 1ar ,rimi+a-s Before the Nuer+#er6 /i-itar Tri#u+a-s U+der ,o+tro- ,ou+ci- La: No9 '&! Nuer+#er6! Oct9 'J)42No"9 'J)J! at 55<9 *o:e"er! he :as fou+d 6ui-t of im7-eme+ti+6 a+other order E# 7assi+6 it i+to the chai+ of comma+d!E a+d +ot o77osi+6 the order or attem7ti+6 to 7re"e+t it from #ei+6 carried out9 Id9 at 54&9 AFN)5B9 U+ited States "9 List F*osta6e ,aseG! '' Tria-s of 1ar ,rimi+a-s Before the Nuer+#er6 /i-itar Tri#u+a-s U+der ,o+tro- ,ou+ci- La: No9 '&! Nuer+#er6! Oct9 'J)42No"9 'J)J! at <5J F'J5'G9 This case i+"o-"ed t:e-"e Ierma+ 6e+era-s 7rosecuted for :ar crimes a+d crimes a6ai+st huma+it committed # so-diers u+der their comma+d i+ Ireece! Yu6os-a"ia! a+d 0-#a+ia9 Id9 at <452 <49 The defe+da+ts c-aimed that orders or
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re7orts! some of :hich i+"o-"ed the @i--i+6 of 7riso+ers as a mea+s of su77ressi+6 resista+ce a+d i+ re7risa- for the @i--i+6 of Ierma+ so-diers! directed to them did +ot come to their atte+tio+ a+d de+ied res7o+si#i-it for some acts char6ed #ecause the :ere a:a from their headquarters at the time committed9 Id9 at '$5J! '$4524J9 AFN)4B9 See ,ro:e! su7ra +ote ))! at $'J2$&9 AFN)<B9 See id9 at $'JD Bur+ett! su7ra +ote )'! at '')9 1ith res7ect to Fie-d /arsha- List! the tri#u+a- co+c-uded that as the comma+di+6 6e+era- of occu7ied territor he had a dut to mai+tai+ 7eace a+d order i+ the area of his comma+d9 *osta6e ,ase! '' Tria-s of 1ar ,rimi+a-s Before the Nuer+#er6 /i-itar Tri#u+a-s U+der ,o+tro,ou+ci- La: No9 '&! Nuer+#er6! Oct9 'J)42No"9 'J)J! at '$<'9 0dditio+a-- ! i+ discussi+6 the res7o+si#i-ities of a comma+der! the tri#u+a- stated: *e is char6ed :ith +otice of occurre+ces ta@i+6 7-ace :ithi+ that territor 9 *e ma require adequate re7orts of a-- occurre+ces that come :ithi+ the sco7e of his 7o:er a+d! if such re7orts are i+com7-ete or other:ise i+adequate! he is o#-i6ed to require su77-eme+tar re7orts to a77riHe him of a-- the 7erti+e+t facts9 If he fai-s to require a+d o#tai+ com7-ete i+formatio+! the dere-ictio+ of dut rests u7o+ him a+d he is i+ +o 7ositio+ to 7-ead his o:+ dere-ictio+ as a defe+se9 Id9 The tri#u+a- co+"icted List #ased o+ his #road authorit a+d res7o+si#i-it as the comma+der of a+ occu7ied territor a+d his fai-ure to @ee7 himse-f i+formed a+d to read re7orts se+t to him detai-i+6 the :ar crimes #ei+6 committed i+ his area of res7o+si#i-it 9 See Bur+ett! su7ra +ote )'! at ''$9 AFN)%B9 Fra+ce "9 Roech-i+6! ') Tria-s of 1ar ,rimi+a-s Before the Nuer+#er6 /i-itar Tri#u+a-s U+der ,o+tro- ,ou+ci- La: No9 '&! a779 B at '&4' F'J5'G9 AFN)JB9 Id9 at '&<<9 AFN5&B9 Id9 at '&<<2%&9 AFN5'B9 Id9 at '&%%2%J9 The tri#u+a- stated: 1hereas Roech-i+6 is +ot accused of ha"i+6 ordered this a#omi+a#-e treatme+t #ut of ha"i+6 to-erated it a+d of +ot ha"i+6 do+e a+ thi+6 i+ order to ha"e it modifiedD 9999 ATBhat it :as his dut as the head to i+quire i+to the treatme+t accorded to the forei6+ :or@ers a+d to the 7riso+ers of :ar :hose em7-o me+t i+ his :ar 7-a+ts :as! moreo"er! for#idde+ # the ru-es of :arfare! of :hich fact he must ha"e #ee+ a:areD that he ca++ot esca7e his res7o+si#i-it # stati+6 that the questio+ had +o i+terest for himD that his dou#-e 7ositio+ as chief of a+ im7orta+t i+dustr a+d as 7reside+t of the R?E :ou-d ha"e 6i"e+ him the +ecessar authorit to #ri+6 a#out cha+6es i+ the i+huma+ treatme+t of these :or@ersD that :it+esses ha"e stated that se"era- times he had the o77ortu+it to ascertai+ :hat the co+ditio+ of his 7erso++e- :as duri+6 his "isits to the 7-a+tsD that he himse-f states that he came i+ co+tact :ith these me+ from ?oe-@-i+6e+! 7articu-ar- :ith the i+ter+ees from EtHe+hofe+! :ho :ere reco6+iHa#-e # the 7riso+ 6ar#! #ut that he had +e"er co+sidered the co+ditio+ of their e=iste+ce! a-thou6h their misera#-e situatio+ :as a77are+t to a-- those :ho 7assed them o+ the street9 Id9 AFN5$B9 Id9 at '&J$9 AFN5(B9 The I+ter+atio+a- /i-itar Tri#u+a- for the Far East FI/TFEG! @+o:+ as the To@ o Tri#u+a-! :as esta#-ished to 7rosecute the o+- the ma8or 3a7a+ese :ar crimes sus7ects char6ed :ith crimes a6ai+st 7eace9 .RI0NIS0. .ITTI,*0IS0REE! INTERN0TION0L ,RI/IN0L L01 'J F$&&'G9 Li@e the Nurem#er6 Tri#u+a-! it created its o:+ charter9 Id9 AFN5)B9 See 0m#os! su7ra +ote (! at %(&D Li77ma+! su7ra +ote (! at ')59
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AFN55B9 See 0m#os! su7ra +ote (! at %(&D Li77ma+! su7ra +ote (! at ')59 AFN54B9 Li77ma+! su7ra +ote (! at ')49 I+ the case of Shimada Shi6etaro! Na" /i+ister from 'J)' to 'J))! he :as acquitted #ased o+ a -ac@ of @+o:-ed6e :ith re6ards to the murders of 7riso+ers9 Id9 AFN5<B9 Id9 at ')49 The a77-icatio+ of the tri#u+a-;s @+o:-ed6e sta+dard is +ot :ithout criticism9 See! e969! 0m#os! su7ra +ote (! at %(' Fdiscussi+6 the case of /amoru Shi6emitsu! /i+ister of Forei6+ 0ffairs from 'J)( to 'J)5! fou+d 6ui-t #ecause he had @+o:-ed6e of mistreatme+t of 7riso+ers of :ar a+d as a mem#er of the 6o"er+me+t he had a s7ecia- res7o+si#i-it for their :e-- #ei+6GD see a-so $ T*E TO.YO 3UDI/ENT: T*E INTERN0TION0L /ILIT0RY TRIBUN0L FOR T*E F0R E0ST FI/TFEG ''((2(% FB9?909 Ro-i+6 O ,9F9 Ruter eds9! 'J<<G Aherei+after T*E TO.YO 3UDI/ENTB9 AFN5%B9 Li77ma+! su7ra +ote (! at ')42)<9 I--ustrati+6 this 7ri+ci7-e is the case of .o@i *irota! Forei6+ /i+ister from 'J(( to 'J(4! after -ear+i+6 of the mistreatme+t of 7riso+ers :as assured # the 1ar /i+istr that this co+duct :ou-d sto79 Id9 The tri#u+a- fou+d his re-ia+ce o+ these assura+ces a+d i+actio+ amou+ted to crimi+a+e6-i6e+ce9 Id9 This case is a-so criticiHed :ith the -eadi+6 critic 3ud6e Ro-i+6 :ho authored a disse+t i+ this case9 See $ T*E TO.YO 3UDI/ENT! su7ra +ote 5<! at ''$'2$<9 AFN5JB9 See Fe+ric@! Prosecutio+s Before the I,TY! su7ra +ote %! at ''%9 Fe+ric@ ar6ues that the To@ o Tri#u+a-;s decisio+ :ith res7ect to ci"i-ia+ su7erior res7o+si#i-it sta+ds for the fo--o:i+6: F'G o+ce the "ei- of statehood is 7ierced! i+ter+atio+a- -a: ma im7ose o#-i6atio+s o+ 7o-itica- a+d #ureaucratic -eaders i+ the same :a that it im7oses o#-i6atio+s o+ mi-itar -eadersD F$G 7o-itica- a+d #ureaucratic -eaders ma #e he-d res7o+si#-e for the acts of su#ordi+ates :he+ the ha"e ordered the commissio+ of these actsD F(G 7o-itica- a+d #ureaucratic -eaders ma #e he-d res7o+si#-e for the acts of su#ordi+ates :he+ the -eaders ha"e a re-atio+shi7 :ith su#ordi+ates simi-ar to those of a mi-itar comma+der a+d the fai- to act to 7re"e+t or 7u+ishD a+d F)G 7o-itica- a+d #ureaucratic -eaders ma #e he-d res7o+si#-e for the acts of su#ordi+ates :he+ the -eaders ha"e a dut esta#-ished either direct- # i+ter+atio+a- -a: or i+direct- # domestic -a: or 7ractice to e+sure that their su#ordi+ates com7- :ith the -a: a+d the -eaders fai- to fu-fi-- that dut 9 Id9 AFN4&B9 Ie+e"a ,o+"e+tio+ for the 0me-ioratio+ of the ,o+ditio+ of the 1ou+ded a+d Sic@ i+ 0rmed Forces i+ the Fie-d! 0u69 '$! 'J)J! 4 U9S9T9 ('')! <5 U9N9T9S9 ('D Ie+e"a ,o+"e+tio+ for the 0me-ioratio+ of the ,o+ditio+ of the 1ou+ded! Sic@ a+d Shi7:rec@ed /em#ers of 0rmed Forces at Sea! 0u69 '$! 'J)J! 4 U9S9T9 ($'<! <5 U9N9T9S9 %5D Ie+e"a ,o+"e+tio+ Re-ati"e to the Treatme+t of Priso+ers of 1ar! 0u69 '$! 'J)J! 4 U9S9T9 (('4! <5 U9N9T9S9 '(5D Ie+e"a ,o+"e+tio+ Re-ati"e to the Protectio+ of ,i"i-ia+ Perso+s i+ Time of 1ar! 0u69 '$! 'J)J! 4 U9S9T9 (5'4! <5 U9N9T9S9 $%<9 AFN4'B9 See Ba+te@as! su7ra +ote $5! at 5<)D /itche--! su7ra +ote $5! at (J)9 For a+ e=ami+atio+ of the duties a+d requireme+ts for mi-itar comma+ders that the Ie+e"a ,o+"e+tio+s of 'J)J do s7ecif ! see Bur+ett! su7ra +ote )'! at '(52(J9 AFN4$B9 See Ba+te@as! su7ra +ote $5! at 5<)2<5D /itche--! su7ra +ote $5! at (J)2J59 /a+ of the ci"i- :ars fou6ht duri+6 this time i+"o-"ed re#e- armies -ac@i+6 the formacomma+d structures fou+d i+ +atio+a- armies thus 7rohi#iti+6 the a77-icatio+ of su7erior res7o+si#i-it #ecause of the difficu-t i+ ide+tif i+6 comma+ders or su7eriors9 Ba+te@as! su7ra +ote $5! at 5<)2<59 Ba+te@as a-so ide+tifies the 7o-itica- e+"iro+me+t of the times a+d Ethe 7o-itica- im7-icatio+s of such char6es!E as co+tri#uti+6 factors to the dec-i+e i+ the use of the doctri+e a+d refers to the case of U+ited States 0rm ,a7tai+ /edi+a as a+ e=am7-e of +atio+a- re-ucta+ce to co+"ict officers for the crimes of their su#ordi+ates9 Id9 at 5<)! 5<) +9')D see i+fra Part II9E for a discussio+ of the /edi+a case9 AFN4(B9 U9S9 DEP;T OF 0R/Y! FIELD /0NU0L $<2'&! T*E L01 OF L0ND 10RF0RE \ 5&' F'% 3u'J54G9
Pa6e $(
AFN4)B9 See su7ra +otes )52)< a+d accom7a+ i+6 te=t9 AFN45B9 U+ited States "9 /edi+a! )( ,9/9R9 $)( F,9/909 'J<'G9 For more histor of the facts surrou+di+6 the / Lai massacre! see 1ILLI0/ R9 PEERS! T*E /Y L0I INTUIRY F'J<JGD /I,*0EL R9 BEL.N0P! T*E ?IETN0/ 10R ON TRI0L: T*E /Y L0I /0SS0,RE 0ND ,OURT2/0RTI0L OF LIEUTEN0NT ,0LLEY F$&&$G9 AFN44B9 See B0SSIOUNI O /0NI.0S! su7ra +ote )! at (4$24(D Ba+te@as! su7ra +ote $5! at 5<) +9')D .e++eth 09 *o:ard! ,omma+d Res7o+si#i-it for 1ar ,rimes! $' 39 PUB9 L9 <! < F'J<$G F*o:ard :as the mi-itar 8ud6e i+ the /edi+a case9G9 AFN4<B9 *o:ard! su7ra +ote 44! at '&2''9 AFN4%B9 See su7ra +otes 4(24) a+d accom7a+ i+6 te=t9 AFN4JB9 *omer Bo6art! /edi+a Fou+d Not Iui-t of 0-- ,har6es o+ / -ai! N9Y9 TI/ES! Se7t9 $(! 'J<'! at '9 AFN<&B9 Protoco- 0dditio+a- to the Ie+e"a ,o+"e+tio+s of '$ 0u6ust 'J)J! a+d Re-ati+6 to the Protectio+ of ?ictims of I+ter+atio+a- 0rmed ,o+f-icts FProtoco- IG arts9 %4! %<! 3u+e %! 'J<<! ''$5 U9N9T9S9 ( Aherei+after Protoco- IB9 AFN<'B9 See ,O//ENT0RY TO T*E 0DDITION0L PROTO,OLS! su7ra +ote $&! \ (5)5 +9('D L0EL! su7ra +ote $%! at '()D ,ro:e! su7ra +ote ))! at $$)2$59 AFN<$B9 See L0EL! su7ra +ote $%! at '()D ,ro:e! su7ra +ote ))! at $$59 The U+ited States 7ro7osa- stated: EIf the @+e: or shou-d reaso+a#- ha"e @+o:+ i+ the circumsta+ces at the time9E ,O//ENT0RY TO T*E 0DDITION0L PROTO,OLS! su7ra +ote $&! \ (5)5 +9('9 AFN<(B9 Protoco- I! su7ra +ote <&! art9 %49 AFN<)B9 See ,O//ENT0RY TO T*E 0DDITION0L PROTO,OLS! su7ra +ote $&! \\ (5)&2 )%9 AFN<5B9 Protoco- I! su7ra +ote <&! art9 %<9 AFN<4B9 Fe+ric@! Prosecutio+s Before the I,TY! su7ra +ote %! at '&) Fquoti+6 the I,R,;s 7re-imi+ar remar@s made o+ the setti+6 u7 of a+ I+ter+atio+a- Tri#u+a- for the former Yu6os-a"ia i+ 'JJ( a+d the +eed to re- o+ a U+ited Natio+s; reso-utio+ rather tha+ e=isti+6 i+ter+atio+a- huma+itaria+ -a:G9 AFN<<B9 *o:ard S9 Le"ie! The 'J<< Protoco- I a+d the U+ited States! (% ST9 LOUIS U9 L939 )4J F'JJ(G9 The U+ited States does +ot o#8ect to either 0rtic-es %4 or %<9 /ichae- 39 /atheso+! The U+ited States Positio+ o+ the Re-atio+ of ,ustomar I+ter+atio+a- La: to the 'J<< Protoco-s 0dditio+a- to the 'J)J Ie+e"a ,o+"e+tio+s! $ 0/9 U9 39 INT;L L9 O POL9 )'J F'J%<G9 AFN<%B9 Fi+a- re7ort of the ,ommissio+ of I+quir i+to the E"e+ts at the Refu6ee ,am7s i+ Beirut F'J%(G F0uthoriHed Tra+s-atio+G! re7ri+ted i+ $$ I9L9/9 )<(! )J' F'J%(G Aherei+after .aha+ Re7ortB9 AFN<JB9 Id9 at )<(2<)9 AFN%&B9 Id9 at )<42<<9
Pa6e $)
AFN%'B9 Id9 at )<<2<%9 AFN%$B9 Id9 at )<J2%'D see a-so Iree+! su7ra +ote 5! at (4'24$9 AFN%(B9 .aha+ Re7ort! su7ra +ote <%! at )<(D see a-so Iree+! su7ra +ote 5! at (4$9 AFN%)B9 .aha+ Re7ort! su7ra +ote <%! at )J(9 AFN%5B9 Id9 at )J%9 AFN%4B9 Id9 at )J49 I+ its re7ort! the ,ommissio+ res7o+ded to o#8ectio+s "oiced o"er fi+di+6 a+ i+direct res7o+si#i-it o+ the 7art of Israe- if +o direct res7o+si#i-it o+ Israe-;s 7art :ere fou+d # stati+6: ATBhose :ho made the decisio+s a+d those :ho im7-eme+ted them are i+direct- res7o+si#-e for :hat u-timate- occurred! e"e+ if the did +ot i+te+d this to ha77e+ a+d mere- disre6arded the a+tici7ated da+6er 9999 It is a-so +ot 7ossi#-e to a#so-"e of such i+direct res7o+si#i-it those 7erso+s :ho! :he+ the recei"ed the first re7orts of :hat :as ha77e+i+6 i+ the cam7s! did +ot rush to 7re"e+t the co+ti+uatio+ of the Pha-a+6ists; actio+s a+d did +ot do e"er thi+6 :ithi+ their 7o:er to sto7 them9 Id9 AFN%<B9 Id9 at 5&$2&(9 Re6ardi+6 Defe+se /i+ister Sharo+! the ,ommissio+ stated: It is our "ie: that res7o+si#i-it is to #e im7uted to the /i+ister of Defe+se for ha"i+6 disre6arded the da+6er of acts of "e+6ea+ce a+d #-oodshed # the Pha-a+6ists a6ai+st the 7o7u-atio+ of the refu6ee cam7s! a+d ha"i+6 fai-ed to ta@e this da+6er i+to accou+t :he+ he decided to ha"e the Pha-a+6ists e+ter the cam7s9 I+ additio+! res7o+si#i-it is to #e im7uted to the /i+ister of Defe+se for +ot orderi+6 a77ro7riate measures for 7re"e+ti+6 or reduci+6 the da+6er of massacre as a co+ditio+ for the Pha-a+6ists; e+tr i+to the cam7s9 These #-u+ders co+stitute the +o+fu-fi--me+t of a dut :ith :hich the Defe+se /i+ister :as char6ed9 Id9 at 5&(9 AFN%%B9 Id9 at 5&(D see Iree+! su7ra +ote 5! at (4< Far6ui+6 that the ,ommissio+;s decisio+ to +ot ho-d Sharo+ res7o+si#-e for ma@i+6 further i+quiries at that time a 7o-iticadecisio+G9 AFN%JB9 Sha+ O /ichae-i! su7ra +ote '4! at <J<9 The ,ommissio+ recomme+ded that Sharo+ resi6+ as defe+se mi+ister a+d if +ot that Prime /i+ister /e+achem Be6i+ co+sider remo"i+6 him from office9 .aha+ Re7ort! su7ra +ote <%! at 5'J9 AFNJ&B9 Boe-aert2Suomi+e+! su7ra +ote %! at <%)9 AFNJ'B9 See B0SSIOUNI! su7ra +ote )! at )$$2()9 AFNJ$B9 Statute of the I+ter+atio+a- Tri#u+a- for the Prosecutio+ of Perso+s Res7o+si#-e for Serious ?io-atio+s of I+ter+atio+a- *uma+itaria+ La: ,ommitted i+ the Territor of the Former Yu6os-a"ia si+ce 'JJ' art9 <F(G! /a $5! 'JJ(! ($ I9L9/9 ''J$! ''J) Aherei+after I,TY StatuteBD Statute of the I+ter+atio+a- Tri#u+a- for R:a+da art9 4F(G! No"9 %! 'JJ)! (( I9L9/9 '4&$! '4&)2&5 Aherei+after I,TR StatuteB9 The mi-itar re6u-atio+s of the Socia-ist Federa- Re7u#-ic of Yu6os-a"ia FSFRYG co+cer+i+6 the a77-icatio+ of the i+ter+atio+a- -a: of :ar to the armed forces dated 'J%% i+c-ude a 7ara6ra7h e+tit-ed Res7o+si#i-it for the acts of su#ordi+ates :hich states: The comma+der is 7erso+a-- res7o+si#-e for "io-atio+s of the -a: of :ar if he @+e: or cou-d ha"e @+o:+ that his su#ordi+ate u+its or i+di"idua-s are 7re7ari+6 to "io-ate the -a:! a+d he does +ot ta@e measures to 7re"e+t "io-atio+s of the -a: of :ar9 The comma+der :ho @+o:s that the "io-atio+s of the -a: of :ar too@ 7-ace a+d did +ot char6e those res7o+si#-e for the "io-atio+s is 7erso+a-- res7o+si#-e9 I+ case
Pa6e $5
he is +ot authoriHed to char6e them! a+d he did +ot re7ort them to the authoriHed mi-itar comma+der! he :ou-d a-so #e 7erso+a-- res7o+si#-e9 0 mi-itar comma+der is res7o+si#-e as a 7artici7a+t or a+ i+sti6ator if! # +ot ta@i+6 measures a6ai+st su#ordi+ates :ho "io-ate the -a: of :ar! he a--o:s his su#ordi+ate u+its a+d i+di"idua-s to co+ti+ue to commit the acts9 Federa- Secretariat for Natio+a- Defe+ce! Re6u-atio+s ,o+cer+i+6 the 077-icatio+ of the I+ter+atio+a- La: of 1ar to the 0rmed Forces of SFRY art9 $' F'J%%G! re7ri+ted i+ B0SSIOUNI O /0NI.0S! su7ra +ote )! at 44'9 AFNJ(B9 0rtic-e <F(G of the I,TY Statute states: The fact that a+ of the acts referred to i+ artic-es $ to 5 of the 7rese+t Statute :as committed # a su#ordi+ate does +ot re-ie"e his su7erior of crimi+a- res7o+si#i-it if he @+e: or had reaso+ to @+o: that the su#ordi+ate :as a#out to commit such acts or had do+e so a+d the su7erior fai-ed to ta@e the +ecessar a+d reaso+a#-e measures to 7re"e+t such acts or to 7u+ish the 7er7etrators thereof9 I,TY Statute! su7ra +ote J$! at ''J)9 0rtic-e 4F(G of the I,TR Statute states: The fact that a+ of the acts referred to i+ artic-es $ to ) of the 7rese+t Statute :as committed # a su#ordi+ate does +ot re-ie"e his or her su7erior of crimi+a- res7o+si#i-it if he or she @+e: or had reaso+ to @+o: that the su#ordi+ate :as a#out to commit such acts or had do+e so a+d the su7erior fai-ed to ta@e the +ecessar a+d reaso+a#-e measures to 7re"e+t such acts or to 7u+ish the 7er7etrators thereof9 I,TR Statute! su7ra +ote J$! at '4&)2&59 AFNJ)B9 I,TY Statute! su7ra +ote J$! at ''J)D I,TR Statute! su7ra +ote J$! at '4&)2&59 AFNJ5B9 I,TY Statute! su7ra +ote J$! at ''J)D I,TR Statute! su7ra +ote J$! at '4&)2&59 AFNJ4B9 Prosecutor "9 /usema! I,TR ,ase No9 J42'(2T! 3ud6eme+t O Se+te+ce! \\ '$<2)%! %4)! %44 F3a+9 $<! $&&&GD Prosecutor "9 .a ishema O RuHi+da+a! ,ase No9 I,TR J52'2T! 3ud6eme+t! \\ $'(2'4 F/a $'! 'JJJGD Prosecutor "9 De-a-ic F,e-e#iciG! ,ase No9 IT2J42$'20! 3ud6eme+t! \\ 'J52J4! $)& FFe#9 $&! $&&'GD Prosecutor "9 0-e@so"s@i! ,ase No9 IT2J52')/'2T! 3ud6eme+t! \ <5 F3u+e $5! 'JJJGD Prosecutor "9 De-a-ic F,e-e#iciG! ,ase No9 IT2J42$'2T! 3ud6eme+t! \ (4( FNo"9 '4! 'JJ%GD AFNJ<B9 Prosecutor "9 *a-i-o"ic! ,ase No9 IT2&'2)%2T! 3ud6eme+t! \ 5% FNo"9 '4! $&&5GD Prosecutor "9 B-as@ic! ,ase No9 IT2J52')2T! 3ud6eme+t! \ (&' F/ar9 (! $&&&GD 0-e@so"s@i! ,ase No9 IT2J52')/'2T! 3ud6eme+t! \ <4D ,e-e#ici! ,ase No9 IT2J42$'20! \ 'J<D ,e-e#ici! ,ase No9 IT2J42$'2T! 3ud6eme+t! \ (<&9 AFNJ%B9 B-as@ic! ,ase No9 IT2J52')2T! 3ud6eme+t! \\ (&&2&'D ,e-e#ici! ,ase No9 IT2J42$'2T! 3ud6eme+t! \ (<%9 AFNJJB9 B-as@ic! ,ase No9 IT2J52')2T! 3ud6eme+t! \ (&&D ,e-e#ici! ,ase No9 IT2J42$'2T! 3ud6eme+t! \ (<%D B-as@ic! ,ase No9 IT2J52')2T! 3ud6eme+t! \ (&&9 AFN'&&B9 B-as@ic! ,ase No9 IT2J52')2T! 3ud6eme+t! \ (&'9 AFN'&'B9 ,e-e#ici! ,ase No9 IT2J42$'2T! 3ud6eme+t! \\ (4)2(<%9 The I,TY Tria- ,ham#er s7ecifica-discussed the Roech-i+6 a+d *irota cases i+ their e=ami+atio+ of 7recede+t9 Id9 \ (<49 See a-so su7ra +otes 5$! 5% a+d accom7a+ i+6 te=t9 AFN'&$B9 ,e-e#ici! ,ase No9 IT2J42$'2T! 3ud6eme+t! \ (%49 I+ ,e-e#ici! the tria- cham#er ide+tified a -ist of i+dicia that it cou-d co+sider i+ determi+i+6 :hether a su7erior 7ossessed the required @+o:-ed6e9 Id9D see a-so *a-i-o"ic! ,ase No9 IT2&'2)%2T! 3ud6eme+t! \ 44D B-as@ic! ,ase No9 IT2J52')2T! 3ud6eme+t! \ (&<9 AFN'&(B9 ,e-e#ici! ,ase No9 IT2J42$'2T! 3ud6eme+t! \ (J(9
Pa6e $4
AFN'&)B9 Id9 AFN'&5B9 Id9 \ (J5D see *a-i-o"ic! ,ase No9 IT2&'2)%2T! 3ud6eme+t! \ <(D B-as@ic! ,ase No9 IT2J52')2T! 3ud6eme+t! \\ (&$! ((5D Prosecutor "9 0-e@so"s@i! ,ase No9 IT2J52')/'2T! 3ud6eme+t! \ %' F3u+e $5! 'JJJG9 AFN'&4B9 *a-i-o"ic! ,ase No9 IT2&'2)%2T! 3ud6eme+t! \ <(D ,e-e#ici! ,ase No9 IT2J42$'2T! 3ud6eme+t! \ (J59 AFN'&<B9 0-e@so"s@i! ,ase No9 IT2J52')/'2T! 3ud6eme+t! \ <%9 The tria- cham#er i+ 0-e@so"s@i reco6+iHed that a ci"i-ia+ su7erior;s 7o:er to disci7-i+e su#ordi+ates ma +ot #e the same as that of a mi-itar comma+der9 0-thou6h the 7o:er to sa+ctio+ is the i+dissocia#-e coro--ar of the 7o:er to issue orders :ithi+ the mi-itar hierarch ! it does +ot a77- to the ci"i-ia+ authorities9 It ca++ot #e e=7ected that a ci"i-ia+ authorit :i-- ha"e disci7-i+ar 7o:er o"er his su#ordi+ate equi"a-e+t to that of the mi-itar authorities i+ a+ a+a-o6ous comma+d 7ositio+9 To require a ci"i-ia+ authorit to ha"e sa+ctio+i+6 7o:ers simi-ar to those of a mem#er of the mi-itar :ou-d so -imit the sco7e of the doctri+e of su7erior authorit that it :ou-d hard#e a77-ica#-e to ci"i-ia+ authorities9 Id9D see B-as@ic! ,ase No9 IT2J52')2T! 3ud6eme+t! \\ (&$! ((5D 0-e@so"s@i! ,ase No9 IT2J52')/'20! 3ud6eme+t! \\ <&2<<9 AFN'&%B9 Prosecutor "9 .am#a+da! ,ase No9 I,TR J<2$(2S! 3ud6eme+t O Se+te+ce! \ 5 FSe7t9 )! 'JJ%G9 AFN'&JB9 Id9 \ (J9 AFN''&B9 Prosecutor "9 Serusha6o! ,ase No9 I,TR J%2(J2S! Se+te+ce! \ $4 FFe#9 5! 'JJJG9 AFN'''B9 Prosecutor "9 /usema! ,ase No9 J42'(2T! 3ud6eme+t O Se+te+ce! \\ %J)2J5! J)J25' F3a+9 $<! $&&&G9 AFN''$B9 Id9 \ %J)9 AFN''(B9 Prosecutor "9 .a ishema O RuHi+da+a! ,ase No9 I,TR J52'2T! 3ud6eme+t! \\ 555! 55J! 54(! 54J F/a $'! 'JJJG9 AFN'')B9 Prosecutor "9 De-a-ic F,e-e#iciG! ,ase No9 IT2J42$'2T! 3ud6eme+t! \ <<5 FNo"9 '4 'JJ%G9 AFN''5B9 Prosecutor "9 0-e@so"s@i! ,ase No9 IT2J52')/'2T! 3ud6eme+t! \\ ''%! '(% F3u+e $5! 'JJJG9 AFN''4B9 I+ its re"ie: of the ,e-e#ici case! the I,TY 077e--ate ,ham#er made the fo--o:i+6 reco6+itio+ of the state of customar -a: :ith res7ect to ci"i-ia+ su7eriors: E,i"i-ia+ su7eriors u+dou#ted- #ear res7o+si#i-it for su#ordi+ate offe+ces u+der certai+ co+ditio+s! #ut :hether their res7o+si#i-it co+tai+s ide+tica- e-eme+ts to that of mi-itar comma+ders is +ot c-ear i+ customar -a:9E ,e-e#ici! ,ase No9 IT2J42$'20! 077ea- 3ud6eme+t! \ $)& F07r9 %! $&&(G9 AFN''<B9 Rome Statute for the I+ter+atio+a- ,rimi+a- ,ourt 0do7ted # the U+ited Natio+s Di7-omatic ,o+fere+ce of P-e+i7ote+tiares o+ the Esta#-ishme+t of a+ I+ter+atio+a- ,rimi+a- ,ourt! '< 3u- 'JJ%! U9N9 Doc9 0/,ONF9 '%(/J! re7ri+ted i+ (< I9L9/9 JJJ9 See a-so T*E ST0TUTE FOR T*E INTERN0TION0L ,RI/IN0L ,OURT: 0 DO,U/ENT0RY *ISTORY (J F/9 ,herif Bassiou+i ed9! 'JJ%G9 AFN''%B9 See 0+to+io ,assese! From Nurem#ur6 to Rome: I+ter+atio+a- /i-itar Tri#u+a-s to the I+ter+atio+a,rimi+a- ,ourt! i+ ' T*E RO/E ST0TUTE OF T*E INTERN0TION0L ,RI/IN0L ,OURT (2'% F0+to+io ,assese et a-9 eds9! $&&$G9
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AFN''JB9 Id9 at '%9 U+der the Rome Statute! the I,, has 8urisdictio+ o"er the crime of 6e+ocideD crimes a6ai+st huma+it D :ar crimesD a+d the crime of a66ressio+9 Rome Statute! su7ra +ote '! art9 59 0rtic-e 5 states i+ 7art: EThe 8urisdictio+ of the ,ourt sha-- #e -imited to the most serious crimes of co+cer+ to the i+ter+atio+acommu+it as a :ho-e9E Id9 The I,, ca+ e=ercise 8urisdictio+ if a State that is a 7art to the Rome Statute is: F'G the -ocatio+ of the crimi+a- co+duct i+ questio+D F$G the State of re6istratio+ of a "esse- or aircraft :here the crimi+a- co+duct occurredD F(G the State of :hich the accused 7erso+ is a +atio+a-D or F)G a State that is +ot a 7art to the statute acce7ts the 8urisdictio+ of the I,,9 Id9 art9 '$9 ,rimes are #rou6ht to the atte+tio+ of the I,, # : referra- to the I,, 7rosecutor from either a State 7art to the Rome Statute or the U+ited Natio+s Securit ,ou+ci-D or the 7rosecutor;s i+de7e+de+t i+itiatio+ of a+ i+"esti6atio+9 Id9 arts9 '(! ')! '59 AFN'$&B9 I+ter+atio+a- ,rimi+a- ,ourt! htt7://:::9icc2c7i9i+t/a#out/ata6-a+ce/histor 9htm- F-ast "isited Dec9 5! $&&<G9 0s of '< Octo#er $&&<! there are '&5 cou+tries :ho are States Parties to the Rome Statute9 I+ter+atio+a,rimi+a- ,ourt! htt7://:::9icc2c7i9i+t/as7/states7arties9htm- F-ast "isited Dec9 5! $&&<G9 The U+ited States is +ot a State Part 9 Id9 AFN'$'B9 Rome Statute! su7ra +ote '! art9 $%9 AFN'$$B9 Id9 AFN'$(B9 Id9 art9 $59 AFN'$)B9 Id9 art9 $5F(G9 AFN'$5B9 ' 3E0N2/0RIE *EN,.0ERTS O LOUIS INTERN0TION0L *U/0NIT0RI0N L01: RULES 55% F$&&5G9 AFN'$4B9 Id9 AFN'$<B9 Id9 at 55J24&9 AFN'$%B9 Id9 at 54'9 AFN'$JB9 Id9 AFN'(&B9 Id9 at 54'24$9 AFN'('B9 Id9 at 54$24(9 AFN'($B9 Id9 at 54(9 AFN'((B9 See Prosecutor "9 De-a-ic F,e-e#iciG! ,ase No9 IT2J42$'2T! 3ud6eme+t! \ ()4 FNo"9 '4! 'JJ%G9 AFN'()B9 See i+fra +otes '5& to '5< a+d accom7a+ i+6 te=t9 AFN'(5B9 Rome Statute! su7ra +ote '! art9 $%F'G9 AFN'(4B9 Id9 art9 $%F$G9 AFN'(<B9 See Sa-a+d! su7ra +ote (! at '%J9 Sa-a+d :as a mem#er of the ad hoc committee :ho :or@ed o+ the drafti+6 of the Rome Statute9 DOS10LD2BE,.! ,USTO/0RY
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0+ idea de"e-o7ed for a +e: structure for the artic-e that :ou-d i+cor7orate differe+t requireme+ts for mi-itar a+d ci"i-ia+ su7eriors9 But a+other "er difficu-t issue e+tered the de#ate9 It :as 7oi+ted out that there cou-d "er :e-- #e situatio+s :here crimes :ere committed # de facto forces9 It :ou-d +ot #e acce7ta#-e to ha"e -ess stri+6e+t requireme+ts for de facto comma+ders tha+ those for mi-itar comma+ders i+ re6u-ar armed forces9 O+e cou-d a-so ima6i+e situatio+s :here re6u-ar mi-itar u+its :ere 7ut u+der a ci"i-ia+ comma+d to 7erform! for e=am7-e! 7u#-ic :or@s9 Id9 at $&(9 AFN'(%B9 See ?etter! su7ra +ote (! at ''49 AFN'(JB9 See Fe+ric@! 0rtic-e $%! su7ra +ote '&! at 5$&2$'9 AFN')&B9 0m#os! su7ra +ote (! at %5(9 AFN')'B9 See id9 at %5<24&D Ba+te@as! su7ra +ote $5! at 5%$2%(9 AFN')$B9 See Fe+ric@! 0rtic-e $%! su7ra +ote '&! at 5$'9 AFN')(B9 See! e969! Prosecutor "9 /usema! ,ase No9 J42'(2T! 3ud6eme+t O Se+te+ce! \\ %J)2J5! J)J25' F3a+9 $<! $&&&G9 AFN'))B9 Rome Statute! su7ra +ote '! art9 $%F$GF#G9 AFN')5B9 See ?etter! su7ra +ote (! at ''J9 AFN')4B9 See id9 at '$&9 AFN')<B9 0m#os! su7ra +ote (! at %5%D see a-so Fe+ric@! 0rtic-e $%! su7ra +ote '&! at 5$$ FEANo+2mi-itar su#ordi+atesB are :ithi+ the effecti"e res7o+si#i-it a+d co+troof a su7erior :hi-e at :or@ or :hi-e e+6a6ed i+ :or@ re-ated acti"ities 9999 Their :or@ su7eriors do +ot +orma-- ha"e co+tro- o"er them :he+ the are +ot so e+6a6ed9EG9 AFN')%B9 See 0m#os! su7ra +ote (! at %5% Fide+tif i+6 the re-ated ar6ume+t made i+ 1u O .a+6! su7ra +ote $5! at $J5G9 AFN')JB9 1u O .a+6! su7ra +ote $5! at $J&2J59 AFN'5&B9 Rome Statute! su7ra +ote '! art9 $%F'GFaG! F$GFaG9 AFN'5'B9 Id9 art9 $%F$GFaG9 For discussio+ or reco6+itio+ of the co+tro"ers #et:ee+ the @+o:-ed6e requireme+ts for mi-itar su7eriors a+d ci"i-ia+ su7eriors see Sa-a+d! su7ra +ote (! at $&)D 0m#os! su7ra +ote (! at %4(2<&D ?etter! su7ra +ote (! at '$&2$)D Li77ma+! su7ra +ote (! at '459 AFN'5$B9 Rome Statute! su7ra +ote '! art9 $%F'GFaG9D see a-so Fe+ric@! 0rtic-e $%! su7ra +ote '&! at 5$'9 AFN'5(B9 See id9 Fe+ric@ a-so ide+tifies the fo--o:i+6 factors! ta@e+ from ,e-e#ici! that mi6ht #e used to determi+e if a +o+2mi-itar su7erior had the requisite @+o:-ed6e: ATBhe +um#er of i--e6a- actsD the t 7e of i--e6a- actsD the sco7e of i--e6a- actsD the time duri+6 :hich the i--e6a- acts occurredD the +um#er a+d t 7e of troo7s i+"o-"edD the -o6istics i+"o-"ed! if a+ D the 6eo6ra7hica- -ocatio+ of the actsD the :ides7read occurre+ce of the actsD the tactica- tem7o of o7eratio+sD the modus o7era+di of simi-ar i--e6a- actsD the officers a+d staff i+"o-"edD the -ocatio+ of the comma+der at
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the time9 Id9 at 5'J9 AFN'5)B9 0m#os! su7ra +ote (! at %<&D see a-so Prosecutor "9 De-a-ic F,e-e#iciG! ,ase No9 IT2J42$'2T! 3ud6eme+t! \ (%< FNo"9 '4! 'JJ%G Fdiffere+tiati+6 the situatio+ :here a su7erior Ei6+ores i+formatio+ :ithi+ his actua- 7ossessio+ com7e--i+6 the co+c-usio+ that crimi+a- offe+ces are #ei+6 committed! or are a#out to #e committed! # his su#ordi+ates!E :ith that :here the su7erior E-ac@s such i+formatio+ # "irtue of his fai-ure to 7ro7er- su7er"ise his su#ordi+ates9EGD 1u O .a+6! su7ra +ote $5! at $%)2%5 Fe=ami+i+6 the "arious me+s rea sta+dards em7-o ed # the su7erior res7o+si#i-it doctri+eG9 AFN'55B9 0m#os! su7ra +ote (! at %<&9 AFN'54B9 See ?etter! su7ra +ote (! at '$)9 I+ addressi+6 the issue of the su7erior;s dut :ith re6ards to remai+i+6 i+formed! the ,e-e#ici tria- cham#er stated: I+ this res7ect! it is to #e +oted that the 8uris7rude+ce from the 7eriod immediate- fo--o:i+6 the Seco+d 1or-d 1ar affirmed the e=iste+ce of a dut of comma+ders to remai+ i+formed a#out the acti"ities of their su#ordi+ates9 I+deed! from a stud of these decisio+s! the 7ri+ci7-e ca+ #e o#tai+ed that the a#se+ce of @+o:-ed6e shou-d +ot #e co+sidered a defe+ce if! i+ the :ords of the To@ o 8ud6eme+t! the su7erior :as ;at fau-t i+ ha"i+6 fai-ed to acquire such @+o:-ed6e9; ,e-e#ici! ,ase No9 IT2J42$'2T! 3ud6eme+t! \ (%%D see a-so U+ited States "9 List F*osta6e ,aseG! '' Tria-s of 1ar ,rimi+a-s Before the Nuer+#er6 /i-itar Tri#u+a-s U+der ,o+tro- ,ou+ci- La: No9 '&! Nuer+#er6! Oct9 'J)42No"9 'J)J! <5'! '$<' F'J5'G9 AFN'5<B9 See ?etter! su7ra +ote (! at '$)9 AFN'5%B9 See id9 AFN'5JB9 Rome Statute! su7ra +ote '! arts9 $%F'GF#G! F$GFcG9 AFN'4&B9 See Sa-a+d! su7ra +ote (! at $&)9 0+other issue :hich +eeded further discussio+ re-ated to a comma+der;s or ci"i-ia+ su7erior;s 7o:er to 7re"e+t or re7ress the commissio+ of crimes9 It :as 7oi+ted out that ci"i-ia+ su7eriors! i+ 7articu-ar! are +ot a-:a s themse-"es i+ a 7ositio+ to 7rosecute9 I+ some s stems the same :ou-d #e true of mi-itar comma+ders! :ho ha"e to su#mit the matter to the ci"i-ia+ s stem of 7o-ice! 7rosecutors a+d courts9 For these reaso+s su#missio+ of crimes to the com7ete+t authorities for i+"esti6atio+ a+d 7rosecutio+ :as added i+ #oth su#7ara6ra7hs 'F#G a+d $FcG of 0rtic-e $%! as 7art of the res7o+si#i-it a77-ica#-e to #oth comma+ders a+d ci"i-ia+ su7eriors9 Id9 AFN'4'B9 See Protoco- I! su7ra +ote <&! arts9 %4! %<D ,O//ENT0RY TO T*E 0DDITION0L PROTO,OLS! su7ra +ote $&! \\ (5$)! (5)%! (54$9 I+ ,e-e#ici! the tria- cham#er stated: EIt must! ho:e"er! #e reco6+iHed that i+ter+atio+a- -a: ca++ot o#-i6e a su7erior to 7erform the im7ossi#-e9 *e+ce! a su7erior ma o+- #e he-d crimi+a-- res7o+si#-e for fai-i+6 to ta@e such measures that are :ithi+ his 7o:ers9E ,e-e#ici! ,ase No9 IT2J42 $'2T! 3ud6eme+t! \ (J59 AFN'4$B9 See ,e-e#ici! ,ase No9 IT2J42$'2T! 3ud6eme+t! \ (J)D 0m#os! su7ra +ote (! at %4$D Fe+ric@! 0rtic-e $%! su7ra +ote '&! at 5'J2$&9 AFN'4(B9 See ,e-e#ici! ,ase No9 IT2J42$'2T! 3ud6eme+t! \ (J)D 0m#os! su7ra +ote (! at %4$D Fe+ric@! 0rtic-e $%! su7ra +ote '&! at 5'J2$&9 AFN'4)B9 See ,e-e#ici! ,ase No9 IT2J42$'2T! 3ud6eme+t! \ (J)D 0m#os! su7ra +ote (! at %4$D Fe+ric@! 0rtic-e
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$%! su7ra +ote '&! at 5'%9 AFN'45B9 See ,e-e#ici! ,ase No9 IT2J42$'2T! 3ud6eme+t! \ (J) Freco6+iHi+6 that this is a fact2s7ecific a+a- sisG9 It is the "ie: of the Tria- ,ham#er that a+ e"a-uatio+ of the actio+ ta@e+ # a su7erior to determi+e :hether this dut has #ee+ met is so i+e=trica#- -i+@ed to the facts of each 7articu-ar situatio+ that a+ attem7t to formu-ate a 6e+era- sta+dard i+ a#stracto :ou-d +ot #e mea+i+6fu-9 Id9 AFN'44B9 This h 7othetica- is +ot #ased o+ a+ s7ecific i+cide+t9 AFN'4<B9 For 7ur7oses of the sce+ario assume there are +o 7ro#-ems :ith 8urisdictio+ o"er /ic@ or the crimes descri#ed9 AFN'4%B9 Rome Statute! su7ra +ote '! art9 $%F$GFaG9 AFN'4JB9 Id9 art9 $%F$GFcG9 AFN'<&B9 See su7ra +otes '4&24) a+d accom7a+ i+6 te=t9 AFN'<'B9 See su7ra +ote '(4 a+d accom7a+ i+6 te=t9 AFN'<$B9 For 7ur7oses of this sce+ario! assume the forced re-ocatio+ of the Par+u citiHe+s is crimi+a- u+der 0rtic-e <F'GFdG of the Rome Statute9 See Rome Statute! su7ra +ote '! art9 <F'GFdG9 AFN'<(B9 See su7ra +otes '5525< a+d accom7a+ i+6 te=t9 AFN'<)B9 See Sa-a+d! su7ra +ote (! at $&(! stati+6: Duri+6 the Pre7arator ,ommittee meeti+6s! the U+ited States raised a+ im7orta+t 7oi+t: :hether ci"i-ia+ su7eriors :ou-d +orma-- ha"e the same de6ree of co+tro- as mi-itar comma+ders a+d shou-d therefore i+cur the same de6ree of res7o+si#i-it 9 0 further e-a#oratio+ of this 7oi+t :as a-so raised! +ame- ! :hether ci"i-ia+ su7eriors :ou-d #e i+ the same 7ositio+ as mi-itar comma+ders to 7re"e+t or re7ress the commissio+ of crimes # their su#ordi+ates a+d 7u+ish the 7er7etrators9 Id9 AFN'<5B9 Id9 AFN'<4B9 E2mai- from /ichae- 09 Ne:to+! 0cti+6 0ssociate ,-i+ica- Professor of La:! ?a+der#i-t U+i"ersit Schoo- of La:! to author F/ar9 $&! $&&4! '&:(( ESTG Fo+ fi-e :ith authorG Fdiscussi+6 the drafti+6 of 0rtic-e $% # the :or@i+6 6rou7 a+d de7arture of fi+a- draft of 0rtic-e $% from 7re"ious drafts! s7ecifica-- -a+6ua6e u+ique to ci"i-ia+ su7eriors! i+ order to achie"e co+se+sus to e=te+d doctri+e to ci"i-ia+ su7eriorsG9 AFN'<<B9 See su7ra +otes $% to 5J a+d accom7a+ i+6 te=t9 AFN'<%B9 See su7ra +otes 4(24)! <&2<4! J&2J5 a+d accom7a+ i+6 te=t9 AFN'<JB9 See Rome Statute! su7ra +ote '! art9 $%F$GFaG9 AFN'%&B9 Id9 art9 $%F$GFaG! F#G9 AFN'%'B9 See! e969! ?etter! su7ra +ote (! at '$&2$)9
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AFN'%$B9 See id9 AFN'%(B9 See id9 at J)9 AFN'%)B9 See id9 at '$52(49 AFN'%5B9 See! e969! 0m#os! su7ra +ote (! at %('9 AFN'%4B9 See! e969! ' T*E TO.YO 3UDI/ENT! su7ra +ote 5<! at )5<25%D $ id9 at ''$42$%! ''(<2(%9 AFN'%<B9 Rome Statute! su7ra +ote '! art9 $%F'G! F$G9 AFN'%%B9 ,O//ENT0RY TO T*E 0DDITION0L PROTO,OLS! su7ra +ote $&! \ (5)J9 AFN'%JB9 See su7ra +ote '<) a+d accom7a+ i+6 te=t9 AFN'J&B9 See Prosecutor "9 De-a-ic F,e-e#iciG! ,ase No9 IT2J42$'2T! 3ud6eme+t! \\ (4)2(<% FNo"9 '4! 'JJ%G9 END OF DO,U/ENT
5 3INT,R3 4'J 5 39 I+t;- ,rim9 3ust9 4'J (Cite as: 5 J !"t#l Crim Just $/6%
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3our+a- of I+ter+atio+a- ,rimi+a- 3ustice 3u- ! $&&< Symposium &$/6 ,O//0ND RESPONSIBILITY /ode of Lia#i-it for the ,rimes of Su#ordi+ates or Se7arate Offe+ce of the Su7erior> ,ha+ta- /e-o+i AFNa'B ,o7 ri6ht C $&&< # O=ford U+i"ersit PressD ,ha+ta- /e-o+i -,stra.t The +ature of comma+d res7o+si#i-it is sti-- o7e+ to de#ate i+ i+ter+atio+a- crimi+a- -a:: is a su7erior to #e he-d crimi+a-- res7o+si#-e for the crimes committed # his su#ordi+ates ;as a+ accom7-ice;! for ha"i+6 7artici7ated i+ the commissio+ of the crime # omissio+! or as a 7er7etrator of a se7arate offe+ce of dere-ictio+ of dut > This artic-e sur"e s the 7ost211$ case -a: a+d the first i+ter+atio+a- i+strume+ts o+ this 7oi+t! a+d the+ a+a- ses the 8uris7rude+ce of the I+ter+atio+a- ,rimi+a- Tri#u+a- for the former Yu6os-a"ia FI,TYG9 The 8ud6es a77ear to ha"e rece+t- ado7ted a +e: a77roach to 0rtic-e <F(G I,TYSt9 i+ that the su7erior is he-d res7o+si#-e ;for fai-ure to 7re"e+t or 7u+ish :ith re6ard to the crimes of the su#ordi+ate; a+d +o -o+6er ;for the crimes of his su#ordi+ates;9 It is a res7o+si#i-it ;sui 6e+eris; i+deed! :here the crime of the su#ordi+ate 7-a s a ce+tra- ro-e i+ the attri#utio+ of res7o+si#i-it to the su7erior9 It is! therefore! +ecessar to carefu-- co+sider the re-atio+shi7 #et:ee+ the su7erior;s fai-ure to act a+d the su#ordi+ate;s crime! #oth :ith re6ard to o#8ecti"e a+d su#8ecti"e e-eme+ts9 The same questio+ fi+a-- arises i+ re-atio+ to 0rtic-e $% of the Rome Statute! the -iterai+ter7retatio+ of :hich im7-ies that a su7erior sha-- #e 7u+ished for the same crime committed # his su#ordi+ates9 I+ order to a"oid the ris@ of ho-di+6 a 7erso+ 6ui-t of a+ offe+ce committed # others i+ "io-atio+ of the 7ri+ci7-e of 7erso+a- a+d cu-7a#-e crimi+a- res7o+si#i-it ! it is crucia- to co+sider se7arate- the differe+t cases of comma+d res7o+si#i-it ! :hich are #ased o+ disti+ct o#8ecti"e a+d su#8ecti"e requireme+ts9 / T8e Terms of t8e 'ro,lem ,omma+d res7o+si#i-it AFN'B has #ee+ reco6+iHed as a 7ri+ci7-e of customar i+ter+atio+a- -a: for a -o+6 time9 AFN$B *o:e"er! the F-e6a-G +ature of comma+d &$29 res7o+si#i-it is sti-- o7e+ to de#ate i+ i+ter+atio+acrimi+a- -a:: is it a mode of -ia#i-it for the crimes committed # su#ordi+ates or rather a se7arate offe+ce of the su7erior for fai-ure to dischar6e his duties of co+tro- 7ursua+t to i+ter+atio+a- -a:> I+ other :ords! is a su7erior to #e he-d crimi+a-- res7o+si#-e for the crimes committed # his su#ordi+ates ;as a+ accom7-ice;! AFN(B or for a se7arate offe+ce of omissio+! co+sisti+6 of the dere-ictio+ of his dut to co+tro-! 7re"e+t or 7u+ish> AFN)B No dou#t! this 7articu-ar -e6a- questio+ arises :ithi+ the co+te=t of su7erior res7o+si#i-it for omissio+ or! more 7ro7er- ! for dere-ictio+ of dut 9 It is c-ear! i+ fact! that if the su7erior co+tri#utes :ith a+ 7ositi"e act to the commissio+ of the crime Ft 7ica-- # orderi+6 or i+sti6ati+6 the su#ordi+ate to commit the crimeG! he #ecomes a 7artici7a+t i+ the crime! a+d his crimi+a- -ia#i-it fo--o:s from the 6e+era- 7ri+ci7-es of accom7-ice -ia#i-it 9 I+ other :ords! the questio+ is :hether the su7erior :ho @+e:! or had reaso+ to @+o:! that his su#ordi+ates :ere committi+6 or had committed crimes! a+d fai-ed to ta@e 7ro7er measures to 7re"e+t the commissio+ of such crimes or to 7u+ish them! sha-- #e char6ed a+d 7ossi#- co+"icted mere- for his omissio+! or for his su#ordi+ates; crime that he fai-ed to 7re"e+t or 7u+ish9
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0s it :as rece+t- stated # the 8ud6es of the I+ter+atio+a- ,rimi+a- Tri#u+a- for the former Yu6os-a"ia FI,TYG: a cet S6ard! se 7ose -a questio+ de sa"oir si u+ comma+da+t qui a ma+quS ] so+ o#-i6atio+ de faire res7ecter -e droit i+ter+atio+a- huma+itaire 7ar ses trou7es est te+u 7S+a-eme+t res7o+sa#-e de sa 7ro7re omissio+ ou 7-ut^t des crimes qui s;e+sui"e+t9 AFN5B Determi+i+6 the +ature of comma+d res7o+si#i-it is re-e"a+t +ot o+- from a theoretica-! #ut a-so from a 7ractica- 7oi+t of "ie:9 O+ o+e ha+d! there is a+ im7act o+ se+te+ci+6 i+ i+ter+atio+a- 7roceedi+6s9 Limiti+6 a su7erior;s res7o+si#i-it to his fai-ure to 7re"e+t or 7u+ish ma ha"e a su#sta+tia- im7act o+ se+te+ci+6 to the e=te+t that the su7erior :ou-d #e co+"icted +ot for the 7ri+ci7a- crime Fe969 crimes a6ai+st huma+it ! :ar crimes a+d 6e+ocideG! #ut for a se7arate offe+ce of omissio+9 This ca+ #e o#ser"ed i+ the rece+t co+"ictio+ of Naser Oric! a former comma+der of the Sre#re+ica armed forces! &$2/ :ho :as se+te+ced # the Tria- ,ham#er of the I,TY to t:o ears of im7riso+me+t Fi+stead of the '% ears requested # the ProsecutorG for fai-ure to 7re"e+t the crimes committed # his so-diers9 AFN4B I+ the Prosecutor;s o7i+io+! the ;t:o ears se+te+ce is ma+ifesti+adequate #ecause it is #ased o+ a fu+dame+ta- error i+ the +ature of Oric;s crimi+a- res7o+si#i-it # c-assif i+6 Oric;s crimes as a fai-ure to dischar6e his dut as a su7erior! rather tha+ as a mode of -ia#i-it for the actua- crimes! 999;9 AFN<B O+ the other ha+d! the effort to accommodate the su7erior;s res7o+si#i-it for fai-ure to act :ithi+ the com7-e= +et of co+tri#utio+s22t 7ica- of the commissio+ of i+ter+atio+a- crimes22is a-so usefu- at a +atio+a- -e"ei+ terms of the im7-eme+tatio+ of the Rome Statute i+ domestic -e6is-atio+9 Difficu-ties arise if su7erior res7o+si#i-it is u+derstood as a mode of -ia#i-it 7ursua+t to :hich the su7erior sha-- #e se+te+ced for the i+te+tio+a- crimes of his su#ordi+ates9 This is 7articu-ar- e"ide+t :ith res7ect to t:o as7ects of su7erior res7o+si#i-it : :he+ the su7erior +e6-i6e+t- fai-ed to @+o:! a+d thus to 7re"e+t or 7u+ish! the commissio+ of crimes # his su#ordi+ates! a+d :he+ -ia#i-it is so-e- #ased o+ the fai-ure to 7u+ish9 AFN%B Some domestic -a:s ha"e structured at -east o+e as7ect of comma+d res7o+si#i-it 22the fai-ure to co+tro- or the fai-ure to 7u+ish22as a crime+ sui 6e+eris9 AFNJB 2 3rom t8e (ri<i"s of t8e 'ri".iple to t8e 3irst Co0ifi.atio"s 09 The Post211$ Period: ,omma+d Res7o+si#i-it as a Form of Partici7atio+ Ioi+6 #ac@ to the remote ori6i+s of the 7ri+ci7-e! it ca+ #e o#ser"ed that! 7ursua+t to the comma+d res7o+si#i-it theor ! the comma+der :as 6e+era-- he-d res7o+si#-e for the same crime committed # his su#ordi+ates9 AFN'&B Sur"e i+6 se"era- 7recede+ts! the 8ud6es of the I,TY fou+d that +atio+a- -e6is-atio+ o+ :ar crimes e+acted after 1or-d 1ar II co+sidered comma+d res7o+si#i-it as a form of accom7-ice -ia#i-it 9 AFN''B The Fre+ch ordo++a+ce of &$22 'J))! for i+sta+ce! dec-ared res7o+si#-e as a+ ;accom7-ice; the su7erior :ho ;to-erated; the crimi+a- acts of his su#ordi+atesD AFN'$B a "er# :hich im7-ied that! to #e he-d res7o+si#-e! the su7erior actua-@+e: a#out the crimes a+d co+scious- decided +ot to ta@e actio+ to 7re"e+t or re7ress them9 I+ this re6ard! it shou-d #e +oted that most of the ru-es referri+6 to the res7o+si#i-it of su7eriors ado7ted duri+6 this 7eriod ca+ #e co+sidered o+- -ato se+su forms of comma+d res7o+si#i-it ! AFN'(B i+ that the 6e+era-- im7-ied a @i+d of 7ositi"e 7artici7atio+ of the su7erior i+ the su#ordi+ates; crime: the su7erior :as therefore correct- he-d res7o+si#-e for the crime as a+ accom7-ice! ha"i+6 co+tri#uted direct- to the commissio+ of the crime9 AFN')B Duri+6 the Nurem#er6 tria-s a+d the su#seque+t 7roceedi+6s most of the co+"ictio+s of hi6h2ra+@i+6 Ierma+ comma+ders a+d of other su#8ects ho-di+6 7ositio+s of authorit i+ Ierma+ i+dustr :ere actua-- #ased o+ 7ositi"e acts of the su7eriors9 AFN'5B Some im7orta+t co+"ictio+s! ho:e"er! :ere #ased a-so o+ their fai-ure to act9 AFN'4B I+ these -atter cases the 8ud6es referred to co+ce7ts such as ;acquiesce+ce; accordi+6 to :hich to #e he-d crimi+a-- res7o+si#-e for the crimi+a- acts of his su#ordi+ates! the
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su7erior must #e fou+d ;#oth to ha"e had @+o:-ed6e a+d to ha"e #ee+ co++ected to such crimi+a- acts! either # :a of 7artici7atio+ or crimi+a- acquiesce+ce;9 AFN'<B Simi-ar co+c-usio+s ca+ #e dra:+ from the a+a- sis of the case of 3a7a+ese Ie+era- Yamashita! :ho :as se+te+ced to death #ecause! throu6h his omissio+! 7ermitted his troo7s to commit atrocities9 AFN'%B 0-thou6h +o adequate fi+di+6 :as made # the 0merica+ mi-itar commissio+ a#out the actua- @+o:-ed6e of &$25 the Ie+era- :ith res7ect to the crimes committed # his so-diers! AFN'JB it :as #e-ie"ed that ;the crimes :ere so e=te+si"e a+d :ides7read! #oth as to time a+d area! that the must either ha"e #ee+ :i-fu-- 7ermitted # the accused! or secret- ordered # the accused;9 AFN$&B I+ other :ords! the u+der- i+6 reaso+i+6 of the 8ud6es :as that Yamashita 7artici7ated F+ot 7h sica-- ! #ut throu6h secret orders or acquiesce+ceG i+ the commissio+ of the atrocities9 AFN$'B I+ sum! a-thou6h 7ost211$ case -a: ;:as +ot u+iform i+ its determi+atio+ as to the +ature of the res7o+si#i-it arisi+6 from the co+ce7t of comma+d res7o+si#i-it ;! AFN$$B at that time comma+d res7o+si#i-it :as -ar6e- i+ter7reted as a mode of -ia#i-it # :hich the su7erior :as res7o+si#-e for the crimes of the su#ordi+ates9 This form of res7o+si#i-it sometimes a77eared as a form of 7artici7atio+ i+ the su#ordi+ates; crime! a+d sometimes shifted to:ards forms of "icarious/im7uted -ia#i-it 9 AFN$(B I+ either case! the su7erior :as char6ed a+d co+"icted for the 7ri+ci7a- crime Fi9e9 the u+der- i+6 offe+ce committed # his su#ordi+atesG9 ,omma+d res7o+si#i-it ! ho:e"er! :as +ot +ecessari- u+der2stood as it is toda i+ terms of #ei+6 #ased o+ a 7re2e=isti+6 -e6a- dut to 7re"e+t or 7u+ish: i+ most of the cases the su7erior :as fou+d 6ui-t for ha"i+6 7ositi"e- co+tri#uted to the commissio+ of crimes # his su#ordi+ates a+d therefore se+te+ced for such crimes9 AFN$)B * T8e 3irst #Co0ifi.atio"s#: -rti.le 4$(2% of -00itio"al 'roto.ol ! a"0 0rtic-e <F(G of the I,TY Statute The first i+ter+atio+a- i+strume+t to e=7ress- ;codif ; this form of res7o+si#i-it is the 0dditio+a- Protoco- I of 'J<< to the Ie+e"a ,o+"e+tio+s9 I+ this res7ect! the :ordi+6 of 0rtic-e %4F$G of the 0dditio+a- Protoco-! that ;the fact &$24 that a #reach of the ,o+"e+tio+s or of this Protoco- :as committed # a su#ordi+ate does +ot a#so-"e his su7eriors from 7e+a- or disci7-i+ar res7o+si#i-it ! as the case ma #e! if 999;! cou-d a--o: #oth a+ i+ter7retatio+ of comma+d res7o+si#i-it as a mode of -ia#i-it for the crimes of su#ordi+ates! as :e-- as a se7arate offe+ce of dere-ictio+ of dut of the su7erior9 /oreo"er! +ot o+- does this 7ro"isio+ remai+ i+ 7ri+ci7-e o7e+ to #oth these readi+6s! #ut it a-so does +ot defi+e the character of the res7o+si#i-it ! :hether 7e+a- or disci7-i+ar ! 7rimar or "icarious! to #e im7osed o+ the su7erior for fai-ure to act9 Such a determi+atio+ is -eft to the domestic -a:9 AFN$5B 0 simi-ar o7e+ a77roach! a-thou6h -imited to a res7o+si#i-it crimi+a- i+ character! ca+ #e fou+d i+ the formu-atio+ of 0rtic-e <F(G of I,TY Statute AFN$4B a+d i+ the re-ated UN Secretar 2Ie+era-;s Re7ort stati+6 that ;a comma+der shou-d #e he-d res7o+si#-e for fai-ure to 7re"e+t a crime or to deter the u+-a:fu- #eha"iour of his su#ordi+ates;9 *o:e"er! the UN ,ommissio+ of E=7erts! i+ its Fi+a- Re7ort o+ the I,TY Statute! AFN$<B affirmed that su7eriors are ;i+di"idua-- res7o+si#-e for a :ar crime or a crime a6ai+st huma+it committed # a su#ordi+ate;! :hich e+tai-s that the co+sidered the su7erior res7o+si#-e for the same crime committed # the su#ordi+ate9 The I+ter+atio+a- La: ,ommissio+ i+ its ,omme+tar to the Draft ,ode of ,rimes a6ai+st the Peace a+d Securit of /a+@i+d of 'JJ4 a-so stated that a ;mi-itar comma+der ma #e he-d crimi+a-- res7o+si#-e for the u+-a:fuco+duct of his su#ordi+ates if he co+tri#utes direct- or i+direct- to their commissio+ of a crime; a+d that he ;co+tri#utes i+direct- to the commissio+ of a crime # his su#ordi+ate # fai-i+6 to 7re"e+t or re7ress the u+-a:fuco+duct;9 AFN$%B 5 T8e Case Law of !CT+ - Be"eral
Pa6e )
0 simi-ar a77roach :as ref-ected i+ the ear- case -a: of the ad hoc Tri#u+a-s! AFN$JB starti+6 :ith the -a+dmar@ 8ud6me+t i+ De-a-ic a+d others9 AFN(&B That comma+d res7o+si#i-it is a t 7e of i+di"iduacrimi+ares7o+si#i-it for the i--e6a- acts of su#ordi+ates AFN('B is a commo+ affirmatio+ i+ I,TY 8ud6me+ts9 &$25 0s :as summariHed i+ a rece+t 8ud6me+t: 1hether comma+d res7o+si#i-it is a mode of -ia#i-it for the crimes of su#ordi+ates or res7o+si#i-it of a comma+der for dere-ictio+ of dut has +ot #ee+ co+sidered at -e+6th i+ the 8uris7rude+ce of the Tri#u+a-9 *o:e"er! the co+siste+t 8uris7rude+ce of the Tri#u+a- has fou+d that a comma+der is res7o+si#-e for the crimes of his su#ordi+ates u+der artic-e <F(G9 AFN($B The e=act mea+i+6 of the e=7ressio+ ;res7o+si#-e for the crimes; has +ot #ee+ discussed i+ the case -a: u+ti"er rece+t- 9 AFN((B I+ a+ e"e+t! the fact that #oth i+ i+dictme+ts a+d i+ se+te+ci+6! 7ursua+t to 0rtic-e <F(G! the su7erior is usua-- char6ed a+d fou+d 6ui-t For fou+d +ot 6ui-t G of the same crime committed # his su#ordi+ates! ma@es it c-ear that comma+d res7o+si#i-it has #ee+ traditio+a-- co+sidered # the ad hoc Tri#u+a-s as a mode of -ia#i-it 7ursua+t to :hich the su7erior is made res7o+si#-e for the same crime committed # his su#ordi+ates9 AFN()B No+ethe-ess! as me+tio+ed ear-ier! some rece+t 8ud6me+ts of the I,TY seem to cha--e+6e this assum7tio+9 * 3rom Superior#s Respo"si,ility #for t8e Crimes of 8is Su,or0i"ates# to Su7erior;s Res7o+si#i-it for Fai-ure to 0ct ;1ith Re6ard to the ,rimes of the Su#ordi+ates; Rece+t- a Tria- ,ham#er of the I,TY affirmed that su7erior res7o+si#i-it 7ursua+t to 0rtic-e <F(G shares ;a commo+ feature; :ith other modes of -ia#i-it ! a+d i+ 7articu-ar :ith the i+sti6atio+ a+d aidi+6 a+d a#etti+6! i+ that ;#oth are accessor to 7ri+ci7a- crimes committed # other 7er7etrators;9 AFN(5B The differe+ce! ho:e"er! is that ;:hereas for a fi+di+6 of i+sti6atio+ a+d aidi+6 a+d a#etti+6 there ou6ht to #e a certai+ co+tri#utio+ to the commissio+ of the 7ri+ci7a- crime! superior crimi+a- respo"si,ility is characterised # the mere omissio+ of 7re"e+ti+6 or 7u+ishi+6 crimes committed # Fsu#ordi+ateG others;9 AFN(4B Not:ithsta+di+6 7re"ious fi+di+6s :here# superior respo"si,ility :as see+ as a @i+d of accessoria-ia#i-it a+d ;therefore 999 the superior A:asB descri#ed as respo"si,le Efor the acts of his su#ordi+atesE;! the 8ud6me+t c-arifies that ;this does +ot mea+! ho:e"er! that the superior shares the same respo"si,ility as the su#ordi+ate :ho commits the crime i+ terms of 0rtic-e <F'G of the Statute! #ut that the superior #ears respo"si,ility for his o:+ omissio+ i+ fai-i+6 to act;! a+d co+c-udes that the superior is respo"si,le ;mere- for his +e6-ect of dut :ith re6ard to crimes committed # su#ordi+ates;9 AFN(<B This e=7ressio+! &$2$ if read to6ether :ith other detai-s of the same 8ud6me+t! mar@s a differe+ce i+ the 8ud6es; i+ter7retatio+ of superior respo"si,ility9 The superior is respo"si,le +ot ;for the crime committed # su#ordi+ates; #ut ;mere- ; for ;his +e6-ect of dut ; :ith re6ard to the crimes committed9 To this e=te+t! the +e6-ect of dut seems to #e co+sidered as a se7arate crime of omissio+9 This i+ter7retatio+ is co+firmed # the fact that i+ the fi+a- 7ara6ra7hs of the 8ud6me+t! :hich refer to the determi+atio+ of the se+te+ce! the fai-ure to 7re"e+t or 7u+ish is i+dicated as the o+- crime for :hich the su7erior is to #e se+te+ced9 AFN(%B /oreo"er! the Tria- ,ham#er did +ot fi+d the accused 6ui-t for the crimes of murder a+d cruetreatme+t he fai-ed to 7re"e+t9 O+ the co+trar ! as further c-arified # the Prosecutio+ i+ its rece+t a77ea- #rief! ;the Tria- ,ham#er erro+eous- co+"icted Oric of a se7arate dere-ictio+ of dut crime FEfai-ure to dischar6e his dut as a su7eriorEG! rather tha+ murder a+d cruetreatme+t;9 AFN(JB I+ this se+se! the crimi+a- -ia#i-it of the su7erior u+der 0rtic-e <F(G :as -imited to the +e6-ect of his dut to act! :ith re6ard to the crimes committed # others9 This 8ud6me+t a77ears to co+sider su7erior res7o+si#i-it +ot as a mode of -ia#i-it for the crimes of su#ordi+ates! #ut as a+ auto+omous #asis for the su7erior;s res7o+si#i-it for a se7arate ;dere-ictio+ of dut offe+ce;9 AFN)&B This ;+e: a77roach; ado7ted # the Tria- ,ham#er of the I,TY i+ the Oric 8ud6me+t is +ot a com7-ete
Pa6e 5
a+oma- i+ the case -a: of the Tri#u+a-D to some e=te+t it ca+ #e traced #ac@ to the *a-i-o"ic 8ud6me+t of $&&5! AFN)'B a+d to the *adHihasa+o"ic 8ud6me+t! :hich soo+ fo--o:ed9 AFN)$B I+ the effort to c-ear- differe+tiate su7erior res7o+si#i-it from the modes of -ia#i-it 7ro"ided for i+ 0rtic-e <F'G! the *a-i-o"ic 8ud6me+t stresses the differe+t +ature of 0rtic-e <F(G! u+derscori+6 the fact that it is a res7o+si#i-it for a+ omissio+! 7ursua+t to :hich the su7erior is res7o+si#-e for his fai-ure to act i+ order to 7re"e+t or re7ress the crimes committed # his su#ordi+ates as required # i+ter+atio+a- -a:: Thus ;for the acts of his su#ordi+ates; as 6e+era-- referred to i+ the 8uris7rude+ce of the Tri#u+a- does +ot mea+ that the comma+der shares the same res7o+si#i-it as the su#ordi+ates :ho committed the crimes! #ut rather that #ecause of the crimes committed # his su#ordi+ates! the comma+der shou-d #ear res7o+si#i-it for his fai-ure to act9 AFN)(B 0-o+6 the same -i+es the *adHihasa+o"ic 8ud6me+t affirms that the accused sha-- +ot #e co+"icted for the crimes committed # his su#ordi+ates! #ut o+- for the fai-ure to fu-fi- his dut to 7re"e+t the crimes or 7u+ish the 7er7etrators9 AFN))B To this e=te+t! i+ the 8ud6es; "ie:! su7erior res7o+si#i-it must #e &$21 co+sidered as a mode of 7erso+a- -ia#i-it for omissio+ F;u+ mode de res7o+sa#i-itS 7erso++e--e 7our omissio+;G9 AFN)5B Simi-ar reaso+i+6 had a-read #ee+ e=7ressed i+ $&&( # some 8ud6es of the 077ea-s ,ham#er i+ the co+te=t of the decisio+ o+ i+ter-ocutor a77ea- o+ comma+d res7o+si#i-it i+ the *adHihasa+o"ic case9 AFN)4B I+ his disse+ti+6 o7i+io+ 3ud6e Shaha#uddee+! a-thou6h admitti+6 that ar6ume+ts ca+ #e fou+d i+ su77ort of a readi+6 of 0rtic-e <F(G of the Statute as ha"i+6 the effect of ma@i+6 a comma+der ;6ui-t for a+ offe+ce committed # others e"e+ thou6h he +either 7ossessed the a77-ica#-e me+s rea +or had a+ i+"o-"eme+t :hatsoe"er i+ the actus reus;! stated that he 7referred ;to i+ter7ret the 7ro"isio+ as ma@i+6 the comma+der 6ui-t for fai-i+6 i+ his su7er"isor ca7acit to ta@e the +ecessar correcti"e actio+ after he @+o:s or has reaso+ to @+o: that his su#ordi+ate :as a#out to commit the act or had do+e so;9 I+ his o7i+io+! a reaso+a#-e readi+6 of the 7ro"isio+ ca++ot ma@e ;the comma+der a 7art to the 7articu-ar crime committed # his su#ordi+ate;9 AFN)<B 3ud6e *u+t! i+ ar6ui+6 that comma+d res7o+si#i-it ca+ attach a-so to situatio+s :here the crimes that the su7erior fai-ed to 7u+ish :ere committed #efore the assum7tio+ of co+tro- # the su7erior o"er the 7er7etrators! affirmed that ;the crimi+a- res7o+si#i-it of the su7erior is +ot a direct res7o+si#i-it for the acts of the su#ordi+ate9 It is a res7o+si#i-it for his o:+ acts For! rather! omissio+sG i+ fai-i+6 to 7re"e+t or to 7u+ish the su#ordi+ate :he+ he @+e: or had reaso+ to @+o: that he :as a#out to commit acts amou+ti+6 to a :ar crime or had do+e so;9 AFN)%B There is certai+- +othi+6 re"o-utio+ar i+ fi+di+6 the +ature of su7erior res7o+si#i-it as co+sisti+6 of the su7erior;s fai-ure to act u+der a dut to do so9 AFN)JB *o:e"er! a +e: e-eme+t has arise+ from rece+t &$24 I,TY 8uris7rude+ce: the fact that i+ the Oric 8ud6me+t the su7erior is For! at -east! a77ears to #eG co+"icted for a se7arate crime of ;fai-ure to dischar6e his dut as a su7erior;! rather tha+ for the crimes of his su#ordi+ates9 AFN5&B It :i-- #e for the 077ea-s ,ham#er u-timate- to decide :hether such a+ i+ter7retatio+ is correct a+d co+siste+t :ith the i+ter+atio+a- -a: a77-ied # the Tri#u+a-s9 I+ the mea+time! some remar@s ca+ #e made o+ this issue9 C T8e Relatio"s8ip *etwee" t8e 3ailure to -.t of t8e Superior a"0 t8e Crimes of Su#ordi+ates: 0 ;Sui Ie+eris; Res7o+si#i-it for Dere-ictio+ of Dut I+ order to esta#-ish crimi+a- res7o+si#i-it 7ursua+t to the 7ri+ci7-e of comma+d res7o+si#i-it ! the su7erior;s mere fai-ure to act is +ot sufficie+t9 It has #ee+ co+siste+t- fou+d that the first Fa-thou6h ofte+ im7-icitG requireme+t of comma+d res7o+si#i-it is the actuacommissio+ of a crime # a su#ordi+ate9 AFN5'B The su7erior;s 6e+era- fai-ure to co+tro- his troo7s does +ot e+tai- crimi+a- res7o+si#i-it 7er se i+ i+ter+atio+a-a:9 AFN5$B The su7erior;s crimi+a- res7o+si#i-it f-o:s from the +e6-ect of a s7ecific dut to ta@e the measures that are +ecessar a+d reaso+a#-e i+ the 6i"e+ circumsta+ces! i+ order to 7re"e+t those s7ecific crimes or to 7u+ish the 7er7etrators thereof9 This im7-ies! o+ o+e ha+d! that the su7erior :ho has do+e e"er thi+6 materia-7ossi#-e to 7re"e+t or 7u+ish the commissio+ of crimes # his su#ordi+ates! shou-d +ot #e he-d res7o+si#-e if! +ot:ithsta+di+6 his a77ro7riate e=ercise of co+tro-! crimes ha"e #ee+ committedD #ut! o+ the other ha+d! it a-so mea+s that +o crimi+a- res7o+si#i-it ca+ attach 7ursua+t to 0rtic-e <F(G of the Statute to the su7erior :ho has
Pa6e 4
fai-ed to dischar6e his dut to co+tro- su#8ects u+der his comma+d/authorit i+ter+atio+a- crime has #ee+ committed9 AFN5(B
a+d co+tro- as -o+6 as +o
This raises the questio+ of :hat re-atio+shi7 su#sists #et:ee+ the omissio+ of the su7erior a+d the crimes of his su#ordi+ates i+ the 8uris7rude+ce of the I,TY from t:o 7ers7ecti"es: first! there is the o#8ecti"e e-eme+t Fcausa-it GD seco+d! there is the su#8ecti"e e-eme+t Fme+s reaG9 I+ other :ords: does the omissio+ of the su7erior +eed to #e causa-- -i+@ed to the su#ordi+ates; crime> 0+d seco+d- : does the me+s rea of the su7erior +eed to #e esta#-ished :ith refere+ce to Fa--G the e-eme+ts of the crime committed # the su#ordi+ates> &$26 '9 The O#8ecti"e Re-atio+shi7 #et:ee+ the Su7erior;s Omissio+ a+d the Su#ordi+ates; ,rime: The Pro#-em of ,ausa-it Re6ardi+6 the o#8ecti"e e-eme+t! it is +ot e+tire- c-ear :hether Fa+d! if so! :hich @i+d ofG AFN5)B a causare-atio+shi7 is required #et:ee+ the omissio+ of the su7erior a+d the crimes of the su#ordi+ates9 AFN55B 1ith re6ard to the fai-ure to 7re"e+t! #oth i+ter7retatio+s of the causa- e-eme+t are theoretica-- 7ossi#-e9 De7e+di+6 o+ the o+e ado7ted! the 7ri+ci7-e of comma+d res7o+si#i-it :i-- assume a differe+t character9 I+ the o+e case! it :i-- #e co+siste+t :ith the -ia#i-it of the su7erior for his mere fai-ure to act F:here the crime of su#ordi+ates is +ot -i+@ed to the fai-ure of the su7eriorGD i+ the other case! it :i-- #e co+siste+t :ith the -ia#i-it of the su7erior for his co+tri#utio+! a+d therefore 7artici7atio+! i+ the crime of su#ordi+ates F:hich :ou-d re7rese+t the resu-t of the crimi+a- offe+ceG9 The 8uris7rude+ce of the Tri#u+a- has 6e+era-- fou+d that there is +o +eed to 7ro"e the e-eme+t of causatio+ i+ re-atio+ to comma+d res7o+si#i-it 9 AFN54B This accords :ith the reco6+itio+ of comma+d res7o+si#i-it as a form of auto+omous -ia#i-it of the su7erior! 6e+erated # his fai-ure to act a+d -imited to his omissio+9 I+ this se+se! it has #ee+ rece+t- affirmed that if it had to #e 7ro"e+ that the su7erior;s fai-ure to act causa-- co+tri#uted to the commissio+ of the su#ordi+ates; crime! there :ou-d #e +o differe+ce #et:ee+ 0rtic-e <F(G a+d 0rtic-e <F'G! a+d su7erior res7o+si#i-it :ou-d #e re+dered su7erf-uous9 AFN5<B *o:e"er! the +e6atio+ of the e-eme+t of causatio+ a77ears to #e -ess co+siste+t :ith a+ u+dersta+di+6 of comma+d res7o+si#i-it as a mode of -ia#i-it 7ursua+t to :hich the su7erior is se+te+ced for the crimes of su#ordi+ates9 0s affirmed i+ De-a-ic a+d others! ;a reco6+itio+ of a +ecessar causa- +e=us ma #e co+sidered to #e i+here+t i+ the requireme+t of crimes committed # su#ordi+ates a+d the su7erior;s fai-ure to ta@e the measures :ithi+ his 7o:er to 7re"e+t them;9 AFN5%B Therefore! ;i+ this situatio+ the su7erior ma #e co+sidered to #e causa-- -i+@ed to the offe+ces! i+ that! #ut for his fai-ure to fu-fi- his dut to act! the acts of his su#ordi+ates :ou-d +ot ha"e #ee+ committed;9 AFN5JB Such a+ i+ter7retatio+ of causa-it i+ comma+d res7o+si#i-it ! ho:e"er! is u+satisfactor to the e=te+t that the 8ud6me+t f-at- co+c-udes there is +o requireme+t of 7roof of causatio+ as a se7arate e-eme+t of su7erior res7o+si#i-it u+der i+ter+atio+a- -a:9 AFN4&B &$59 1ith re6ard to the fai-ure to 7u+ish! the situatio+ is differe+t a+d com7-icated # the fact that it is hi6h- 7ro#-ematic to require a causa- -i+@ #et:ee+ a crime committed # a su#ordi+ate a+d the su#seque+t fai-ure of the su7erior to 7u+ish the 7er7etrator9 AFN4'B The 8uris7rude+ce of the ad hoc Tri#u+a-s sim77ro"ides that it ;:ou-d ma@e +o se+se to require; a causa- -i+@ :ith re6ard to the fai-ure to 7u+ish9 AFN4$B It ca+ #e +oted that such a fi+di+622co+siste+t :ith a+ u+dersta+di+6 of comma+d respo"si,ility as a+ auto+omous #asis of -ia#i-it for the superior -imited to his fai-ure to act! a+d more 7recise- to 7u+ish Fas a se7arate offe+ceG22a77ears to #e a6ai+ u+satisfactor from the o77osite 7oi+t of "ie: Fas a mode of -ia#i-it 7ursua+t to :hich the superior is made respo"si,le for the crimes of su#ordi+atesG9 AFN4(B $9 The Su#8ecti"e Re-atio+shi7 Bet:ee+ the Omissio+ of the Superior a+d the Su#ordi+ate;s ,rime 0 -i+@ #et:ee+ the superior#s fai-ure to act a+d the su#ordi+ate;s crime ca+ e=ist a-so o+ the su#8ecti"e -e"e-! :ith refere+ce to the me+ta- e-eme+t of the superior9 The 8uris7rude+ce of the ad hoc Tri#u+a-s has
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e=7ress- re8ected comma+d respo"si,ility as a form of "icarious or o#8ecti"e -ia#i-it : it is ;u+dis7uted that comma+d respo"si,ility does +ot im7ose strict -ia#i-it o+ a superior for the offe+ces of su#ordi+ates;9 AFN4)B *o:e"er! ma+ as7ects re-ated to the me+s rea of superior respo"si,ility are sti-- o7e+ to de#ate i+ the case -a: of the Tri#u+a-s9 The re-e"a+t questio+ to this discussio+ is 7articu-ar- :hether the me+s rea of the superior +eeds to #e esta#-ished # refere+ce to a-- the e-eme+ts of the crime committed # the su#ordi+ates9 AFN45B The mai+ 7ro#-ems arise :ith res7ect to the ;has reaso+ to @+o:; sta+dard9 AFN44B It is discussed :hether! to tri66er su7erior res7o+si#i-it ! the i+formatio+ recei"ed # the accused Fsu7eriorG +eeds to 7oi+t to a s7ecific crime! or :hether it suffices that the su7erior recei"ed i+formatio+ of a 6e+era- +ature that :ou-d 7ut him &$5/ o+ +otice of the ris@ of crimes #ei+6 committed9 AFN4<B The 077ea-s ,ham#er has fou+d that it is sufficie+t that a su7erior ;had some 6e+era- i+formatio+ i+ his 7ossessio+; to 7ro"e that he had reaso+ to @+o:! a+d that ;this i+formatio+ does +ot +eed to 7ro"ide s7ecific i+formatio+ a#out u+-a:fuacts committed;9 AFN4%B 0s it :as c-arified i+ a -ater 8ud6me+t! ho:e"er: It ma +ot #e i+ferred from this case2-a: that! :here o+e offe+ce Fthe ;first offe+ce;G has a materiae-eme+t i+ commo+ :ith a+other Fthe ;seco+d offe+ce;G #ut the seco+d offe+ce co+tai+s a+ additio+ae-eme+t +ot 7rese+t i+ the first! it suffices that the su7erior has a-armi+6 i+formatio+ re6ardi+6 the first offe+ce i+ order to #e he-d res7o+si#-e for the seco+d o+ the #asis of 0rtic-e <F(G of the Statute Fsuch as for e=am7-e! i+ the case of offe+ces of cruetreatme+t a+d torture :here torture su#sumes the -esser offe+ce of cruetreatme+tG9 AFN4JB To #e he-d res7o+si#-e the su7erior does +ot e"e+ +eed to @+o: the ide+tit of the 7er7etrator Fsu#ordi+ateG of the crime he fai-ed to 7re"e+tD it suffices to ;7ro"eAB that the i+di"idua-s :ho are res7o+si#-e for the commissio+ of the crimes :ere :ithi+ a u+it or a 6rou7 u+der the co+troof the su7erior;9 AFN<&B The fact that! as emer6es from the case -a: of the Tri#u+a-! the me+s rea of the su7erior does +ot +eed to #e esta#-ished :ith refere+ce to Fa--G the o#8ecti"e a+d su#8ecti"e e-eme+ts of the su#ordi+ates; crime a77ears more co+siste+t :ith a res7o+si#i-it for fai-ure to act rather tha+ :ith a form of 7artici7atio+ i+ the crime of su#ordi+ates9 AFN<'B (9 0 ;Sui Ie+eris; Res7o+si#i-it 1hat actua-- emer6es # the case -a: of the ad hoc Tri#u+a-s is that the su7erior;s res7o+si#i-it is a ;sui 6e+eris; res7o+si#i-it 22as it has #ee+ i+ fact re7eated- -a#e--ed AFN<$B22:hich de7artures from the @+o:+ cate6ories of crimi+a- -ia#i-it reco6+iHed # most -e6a- s stems9 0-thou6h a77are+t- c-ear i+ its -itera- mea+i+6 AFN<(B a+d i+ its e-eme+ts AFN<)B the am#i6uit of such res7o+si#i-it is i+tri+sic i+ the 7articu-ar -i+@ e=isti+6 &$52 #et:ee+ the su7erior;s crimi+a- -ia#i-it for dere-ictio+ of his dut to act a+d the crime F+ot 7re"e+ted or 7u+ishedG committed # his su#ordi+ate9 This form of -ia#i-it is actua-- u+@+o:+ i+ domestic crimi+a- -a: a+d re7rese+ts a h #rid of se"eraco+ce7ts9 O+ o+e ha+d! it is +ot co+siste+t :ith a+ form of com7-icit ! si+ce there is +o +eed to 7ro"e the causa- -i+@ :ith the u+der- i+6 crime committed # the su#ordi+ate a+d si+ce the me+s rea thresho-d is -o:er tha+ the o+e required for com7-icit 9 AFN<5B O+ the other ha+d! it is hard- co+cei"a#-e as a se7arate offe+ce of fai-ure to act si+ce the -ia#i-it of the su7erior is strict- a+d +ecessari- de7e+de+t from the commissio+ of the crime # the su#ordi+ate9 This is :e-- ref-ected :ith res7ect to the se+te+ci+6 7rocess: +ot:ithsta+di+6 the affirmatio+ that the fai-ure to 7re"e+t or 7u+ish ;i+ itse-f is the o+- crime for :hich he/she is to #e se+te+ced;! it is affirmed that the determi+atio+ of se+te+ce sha-- #e co+sidered i+ 7ro7ortio+ to the 6ra"it of the crimes committed # the su#ordi+ates9 AFN<4B The 6ra"it of the offe+ce of the su7erior! :hich is i+dicated as the most im7orta+t criterio+ to determi+e the measure of the se+te+ce to #e im7osed! AFN<<B actua-- de7e+ds o+ "arious factors amo+6 :hich the 6ra"it of the su#ordi+ates; crime is the first of the 7ri+ci7a- factors9 AFN<%B Therefore! e"e+ assumi+6 that u+der 0rtic-e <F(G a+ i+di"idua- is +ot co+"icted for the crimes committed # his su#ordi+ates! AFN<JB the fact that the 6ra"it of the su#ordi+ates; crime is o+e of the most im7orta+t se+te+ci+6 factors sho:s the crucia- ro-e 7-a ed # the crime of su#ordi+ates i+ assessi+6 the F6ra"it of theG respo"si,ility of the superior9 I+ co+c-usio+! superior respo"si,ility! as i+ter7reted # the 8uris7rude+ce of the ad hoc Tri#u+a-s! is a sui
Pa6e %
6e+eris mode of -ia#i-it for fai-ure to act that fi+ds +o direct equi"a-e+t i+ domestic crimi+a- -a:9 This co+c-usio+ does +ot mea+! ho:e"er! that comma+d respo"si,ility ca+ a"oid res7ecti+6 the fu+dame+ta7ri+ci7-es of crimi+a- -a:! es7ecia-- the 7ri+ci7-e of i+di"idua- a+d cu-7a#-e crimi+a- -ia#i-it 9 AFN%&B De7e+di+6 o+ the su#8ecti"e a+d o#8ecti"e e-eme+ts &$55 actua-- 7rese+t i+ a 7articu-ar case! #oth readi+6s Fas a respo"si,ility for mere fai-ure to act or as a respo"si,ility for the su#ordi+ates; crimesG #ecome theoretica-7ossi#-e9 AFN%'B 4 -rti.le 24 of t8e Rome Statute: Co".lusio"s i" t8e Li<8t of t8e 'ri".iple of ,u-7a#i-it Superior respo"si,ility ca+ +e"er #e i+te+ded as a +orma- form of com7-icit 9 This fo--o:s from the +ecessar superior22su#ordi+ate re-atio+shi7 a+d from the 7articu-ar requireme+ts -i+@ed to the status of superior9 AFN%$B For the same reaso+s! ho:e"er! co+sideri+6 the 7ecu-iar +e=us #et:ee+ the superior#s fai-ure to act a+d the crime of the su#ordi+ate! superior respo"si,ility ca+ +either #e i+te+ded as i+troduci+6 a +e: a+d se7arate crime of the superior i+ i+ter+atio+a- -a:! #esides :ar crimes! crimes a6ai+st huma+it ! 6e+ocide a+d a66ressio+ Fo+ce it is defi+edG9 It is a mode of crimi+a- -ia#i-it for i+ter+atio+a- offe+ces that 7rese+ts differe+t as7ects de7e+di+6 o+ the facts i+ each case9 The questio+ raised i+ the tit-e is mere- a 7ro#-em of attri#utio+ of crimi+a- acts! #oth i+ a+ o#8ecti"e Fcausatio+G a+d i+ a su#8ecti"e Fcu-7a#i-it G se+se: +o o+e! i+ fact! ca+ #e 7u+ished for a :ro+6fu- act u+-ess the act is attri#uta#-e to him9 AFN%(B The 8ud6es of the I+ter+atio+a- ,rimi+a- ,ourt FI,,G :i-- face simi-ar 7ro#-ems9 0ccordi+6 to the :ordi+6 of 0rtic-e $% of the Rome Statute! a su7erior ;sha-- #e crimi+a-- res7o+si#-e for crimes :ithi+ the 8urisdictio+ of the ,ourt; committed # his su#ordi+ates ;as a resu-t; of his ;fai-ure to e=ercise co+tro- 7ro7er- ;9 From a -iterai+ter7retatio+ of this 7ro"isio+ it fo--o:s that the su7erior is res7o+si#-e Fa+d! therefore! shou-d #e 7u+ishedG for the 7ri+ci7a- crime committed # his su#ordi+ates9 AFN%)B *o:e"er! it is +ecessar to a"oid the ris@ of ho-di+6 someo+e 6ui-t for a+ offe+ce committed # others i+ "io-atio+ of the 7ri+ci7-e of i+di"idua- a+d cu-7a#-e crimi+a- res7o+si#i-it 9 AFN%5B &$54 It is 7ossi#-e to disti+6uish "arious cases of su7erior res7o+si#i-it AFN%4B o+ the #asis of their differe+t o#8ecti"e a+d su#8ecti"e requireme+ts as 7ro"ided for i+ 0rtic-e $%9 AFN%<B U+der the Rome Statute the su7erior is res7o+si#-e for ha"i+6 fai-ed to ta@e a-- +ecessar a+d reaso+a#-e measures :ithi+ his 7o:er to 7re"e+t or 7u+ish AFN%%B the crimi+a- acts of the su#ordi+ates if he @+e:! shou-d ha"e @+o:+ F:ith re6ard to mi-itar comma+dersG! or co+scious- disre6arded i+formatio+ :hich c-ear- i+dicated that the su#ordi+ates :ere committi+6 or :ere a#out to commit such crimes F:ith re6ard to ci"i-ia+ su7eriorsG9 0rtic-e $%! thus! i+troduces a+ e=ce7tio+ to the 6e+era- ru-e o+ me+s rea ado7ted # the Statute9 AFN%JB U+-i@e the su7erior :ho @+e:! AFNJ&B the comma+der :ho shou-d ha"e @+o:+ does +ot 7ossess the actua- @+o:-ed6e a#out the ris@! a+d therefore ca++ot i+te+tio+a-- fai- to 7re"e+t or 7u+ish the commissio+ of crimes # his su#ordi+ates9 AFNJ'B I+ this case! the omissio+ ca+ #e +e6-i6e+t! to the e=te+t that the su7erior :as +e6-i6e+t i+ fai-i+6! u+der a dut to do so! to co+sider the i+formatio+ that shou-d ha"e a-erted him to the Fris@ ofG commissio+ of crimi+aacts # the su#ordi+ates9 AFNJ$B Simi-ar- ! the omissio+ of the su7erior :ho co+scious- disre6arded the i+formatio+! AFNJ(B is i+ter7reted as i+troduci+6 a form of 6ross &$55 +e6-i6e+ce Fa-so ca--ed co+scious +e6-i6e+ce i+ ci"i- -a:G! or a form of rec@-ess+ess9 AFNJ)B 1ith re6ard to the fai-ure to 7re"e+t! a su7erior ma #e he-d accou+ta#-e for the crime of his su#ordi+ates 7ursua+t to the #asic crimi+a- -a: 7ri+ci7-es o+ accom7-ice -ia#i-it # omissio+ AFNJ5B a+d o+ commissio+ # omissio+ AFNJ4B to the e=te+t that #oth the su#8ecti"e a+d o#8ecti"e requireme+ts are fu-fi--ed! that is! :he+ he i+te+tio+a-- fai-s to ta@e the measures i+ order to 7re"e+t the crime @+o:i+6 that his su#ordi+ates are committi+6 it a+d #ei+6 a :are that the crime :i-- occur i+ the ordi+ar course of e"e+ts9 AFNJ<B I+ this case! the su7erior ma a-so #e co+sidered as a+ accom7-ice i+ the crimes of his su#ordi+ates i+ that! :ith his i+te+tio+a- fai-ure to act u+der a dut to do so! he su#sta+tia-- co+tri#utes to the commissio+ of the crimes # the su#8ects u+der his co+tro-9 AFNJ%B I+ the case of the su7erior :ho +e6-i6e+t- fai-s to 7re"e+t a crime! it is a-so theoretica-- 7ossi#-e to ho-d him res7o+si#-e for the crimes committed # his su#ordi+ates ;as a co+seque+ce; of his +e6-i6e+t fai-ure to 7re"e+t them! #ut this is more 7ro#-ematic9 It is de#ated i+ crimi+a- -a: :hether is 7ossi#-e to +e6-i6e+t- 7artici7ate i+ a+ i+te+tio+a- offe+ceD +ot:ithsta+di+6 some ar6ume+ts i+
Pa6e J
fa"our! most of the authors te+d to e=c-ude this 7ossi#i-it 9 AFNJJB *o:e"er! some domestic s stems reco6+iHe the 7ossi#i-it of ho-di+6 someo+e crimi+a-- &$5$ res7o+si#-e for a+ i+te+tio+a- offe+ce committed # others o+ the so-e #asis of his +e6-i6e+t #eha"iour9 AFN'&&B 0s a+ ar6ume+t i+ fa"our! it ma a-so #e co+te+ded that the omissio+ of the su7erior is causa-- -i+@ed :ith the crime! i+ that ;# #reachi+6 his su7er"isor dut ; the su7erior ;has i+ some :a co+tri#uted to #ri+6i+6 a#out the offe+ce;9 AFN'&'B Ne"erthe-ess it shou-d #e +oted that! 7ursua+t to the 7ri+ci7-es of cu-7a#i-it a+d 7ro7ortio+ of sa+ctio+s! it :ou-d #e +ecessar to i+troduce a 6radatio+ i+ the de6ree of crimi+a- -ia#i-it of the su7erior at -east at the se+te+ci+6 sta6e! AFN'&$B as the su7erior did +ot i+te+d to ;co+tri#ute; i+ the crime9 AFN'&(B Fi+a-- ! :ith re6ard to the fai-ure to 7u+ish! :here +o rea- causa- -i+@ su#sists #et:ee+ the su#seque+t fai-ure to act of the su7erior a+d the crime 7re"ious- committed! the co+"ictio+ of the su7erior for the same crime committed # the su#ordi+ates is difficu-t to 8ustif 9 AFN'&)B 0+ i+teresti+6 "ie: has #ee+ 7ro7osed o+ this matter! :hich mai+tai+s that 0rtic-e $% :ou-d co+tai+ a dou#-e causaco++ectio+: the first Fa+d rea-G o+e occurri+6 #et:ee+ the superior#s first omissio+! the fai-ure to co+tro- the su#ordi+ates! a+d their crimesD the seco+d o+e occurri+6 #et:ee+ the fai-ure to ta@e the measures to 7re"e+t or 7u+ish a+d the crimes9 Ta@i+6 the a77ro7riate measures! the superior :ou-d ha"e a ;seco+d cha+ce; to sto7 the mo"i+6 chai+ of causa-it he started # his fai-ure to co+tro-9 If he fai-s to do so a ;stre+6the+i+6 effect; occurs! re7rese+ti+6 the seco+d causaco++ectio+ #et:ee+ the superior#s omissio+ a+d the su#ordi+ates; crime9 AFN'&5B I+ co+c-usio+! it ca+ #e o#ser"ed that! as far as the fai-ure to 7re"e+t is co+cer+ed! de7e+di+6 o+ :hether or +ot the superior actua-- @+e: a#out the su#ordi+ates; crime! superior respo"si,ility :ou-d #e more co+siste+t :ith a form of com7-icit i+ the former case! a+d more co+siste+t :ith a respo"si,ility for mere "io-atio+ of the s7ecific dut to act i+ the -atter case9 AFN'&4B &$51 I+deed! :he+ a superior i+te+tio+a-- fai-s to 7re"e+t the commissio+ of crimes # his su#ordi+ates! the +ature of comma+d respo"si,ility ma #ecome "er c-ose to a form of com7-icit AFN'&<B a+d the superior ma #e co+"icted for the co+seque+ces of his fai-ure to act! +ame- ! for the su#ordi+ates; crime9 /ore difficu-ties arise i+ ho-di+6 the superior respo"si,le for the 7ri+ci7acrime committed # his su#ordi+ates that he +e6-i6e+t- fai-ed to 7re"e+t9 0-thou6h theoretica-- 7ossi#-e! the fu-- res7ect for the 7ri+ci7-e of cu-7a#i-it recomme+ds a cautious a77roach to co+"icti+6 a superior for the crimes of his su#ordi+ates that he +e6-i6e+t- fai-ed to 7re"e+t! i+ order to a"oid the ris@ of co+"ictio+s #ased o+ strict -ia#i-it 9 This :ou-d #e the case if the fo--o:i+6 t:o co+ditio+s :ere +ot 7ro7er- 7ro"e+: FiG that the su7erior actua-- had the materia- 7ossi#i-it to e=ercise his co+tro- 7ro7er- D FiiG that! if the su7erior had 7ro7er- e=ercised his co+tro-! he :ou-d ha"e @+o:+ of the ris@9 1ith re6ard to the cases of fai-ure to 7u+ish! :here the :ro+6fu-+ess of the su7erior;s omissio+ is co+ce+trated i+ the "io-atio+ of the s7ecific -e6a- dut to act t 7ica- of the su#8ect e+do:ed :ith 7o:ers of comma+d a+d co+tro-! the co+duct of the su7erior ca++ot fu-fi- a+ 7artici7atio+ i+ the Fa+tecede+tG crime of the su#ordi+ate9 The +ature of su7erior res7o+si#i-it i+ these cases shou-d thus #e more co+"e+ie+t- fou+d i+ the mere fai-ure to act u+der a dut to do so9 ,o+seque+t- ! the su7erior shou-d +ot #ear res7o+si#i-it for the su#ordi+ates; crimes ;as if he had committed them; o+ the so-e #asis of his fai-ure to 7u+ish them9 0s emer6es from this #rief a+a- sis! 6reat care must #e ta@e+ that the differe+t features of the forms of superior respo"si,ility are ta@e+ i+to accou+t227articu-ar- at a +atio+a- -e"e- :he+ im7-eme+ti+6 the 7ri+ci7-e of superior respo"si,ility i+to domestic -a:22i+ order to a"oid 7ote+tia- "io-atio+s of the fu+dame+ta- 7ri+ci7-e of i+di"idua- a+d cu-7a#-e crimi+a- -ia#i-it 9 AFN'&%B AFNa'B9 Post2doctora- researcher! U+i"ersit of /i-a+9 Acha+ta-me-o+i K6mai-9comB AFN'B9 0-thou6h the e=7ressio+ superior respo"si,ility shou-d #e 7referred si+ce it com7rises the mi-itar comma+der a+d the ci"i-ia+ superior! the traditio+a- mi-itar e=7ressio+ comma+d respo"si,ility! :hich is sti--ar6e- i+ use! :i-- a-so #e used i+ this artic-e :ithout i+te+di+6 a+ su#sta+tia- differe+ce of mea+i+6 #et:ee+ the t:o e=7ressio+s9
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AFN$B9 See .9 0m#os! ;Superior Respo"si,ility;! i+ 09 ,assese! P9 Iaeta! 39R919D9 3o+es FedsG! The Rome Statute of I+ter+atio+a- ,rimi+a- La:! ?o-9 I FO=ford: O=ford U+i"ersit Press! $&&$G %$52%)%D as re6ards I,TY case -a:! see 3ud6me+t! De-a-ic a+d others FIT2J42$'2TG! Tria- ,ham#er! '4 No"em#er 'JJ%! NN (((! ()( Fherei+after De-a-ic a+d others 3ud6me+tG9 AFN(B9 ;0s a+ accom7-ice; is used here +ot +ecessari- to descri#e the forma- status of the su7erior 7ursua+t to crimi+a- -a: cate6ories! #ut rather from the 7ers7ecti"e of the co+seque+ces that attach to his -ia#i-it 9 I+ i+ter+atio+a- crimi+a- -a: Ffo--o:i+6 the 0+6-o20merica+ s stem! as :e-- as i+ ma+ ci"i- -a: cou+triesG the accom7-ice is char6ed a+d co+"icted for the FsameG crime committed # the 7er7etrators! i9e9 for the 7ri+ci7acrime! see E9 "a+ S-iedre6t! The ,rimi+a- Res7o+si#i-it of I+di"idua-s for ?io-atio+s of I+ter+atio+a*uma+itaria+ La: FThe *a6ue: T/, 0sser Press! $&&(G! 4' ff9 AFN)B9 For a+ im7orta+t co+tri#utio+ o+ the su#8ect! see O9 Triffterer! E;,omma+d Res7o+si#i-it E22crime+ sui 6e+eris or 7artici7atio+ as Eother:ise 7ro"idedE i+ 0rtic-e $% of the Rome Statute>;! i+ 39 0r+o-d Fed9G! /e+sche+6erechtes Strafrecht! Festschrift fRr 0-#i+ Eser F/R+che+: Bec@! $&&5G! J&'2J$)9 AFN5B9 3ud6me+t! *adHihasa+o"ic FIT2&'2)<2TG! Tria- ,ham#er! $5 /arch $&&4 Fherei+after *adHihasa+o"ic 3ud6me+tG! N 4% ff9 AFN4B9 See i+fra 7art (B9 AFN<B9 See The Prosecutio+;s 077ea- Brief! Oric FIT2&(24%20G! '4 Octo#er $&&4! N '& Fherei+after The Prosecutio+;s 077ea- BriefG9 AFN%B9 See the e=te+si"e a+a- sis of /9 Damas@a! ;The Shado: Side of ,omma+d Res7o+si#i-it ;! )J 0merica+ 3our+a- of ,om7arati"e La: F$&&'G )552)J49 AFNJB9 See Triffterer! su7ra +ote )! at J&(! :ith refere+ce to the Ierma+ ?L-@erstraf6esetH#uch of $&&$! :hich ado7ted a differe+t so-utio+! defi+i+6 the fai-ure to co+tro- as a se7arate offe+ce of the su7erior FN '(G! as :e-- as the fai-ure to re7ort the crime to the com7ete+t authorities FN ')G9 ,f9 i+fra +ote '&%9 AFN'&B9 For a+ i+teresti+6 historica- sur"e of comma+d res7o+si#i-it for :ar crimes! see 19*9 Par@s! ;,omma+d Res7o+si#i-it for 1ar ,rimes;! 4$ /i-itar La: Re"ie: F'J<(G '2'&)9 AFN''B9 See 3ud6me+t! *a-i-o"ic FIT2&'2)%2TG! Tria- ,ham#er! '4 No"em#er $&&5 Fherei+after *a-i-o"ic 3ud6me+tG! N (9 AFN'$B9 0rt9 ) of the Fre+ch Ordi+a+ce of $% 0u6ust 'J))! i+ The UN 1ar ,rimes ,ommissio+! La: Re7orts of Tria-s of 1ar ,rimi+a-s 'J)<2)%! ?o-9 I? FBuffa-o: *ei+! 'JJ<G Fherei+after La: Re7ortsG! %<9 AFN'(B9 The res7o+si#i-it of the su7erior :ho ordered or i+sti6ated the commissio+ of the crimes # su#ordi+ates is ofte+ i+dicated as comma+d res7o+si#i-it -ato se+su! to disti+6uish it from the res7o+si#i-it of the su7erior :ho fai-ed to 7re"e+t or re7ress the crimi+a- co+duct of su#ordi+ates Fcomma+d res7o+si#i-it stricto se+suG9 AFN')B9 This is! i+ our "ie:! "a-id a-so :ith re6ard to Re6u-atio+ '& of the ,a+adia+ 0ct res7ecti+6 :ar crimes of 'J)4 Fi+ La: Re7orts! ?o-9 I?! '$%2'$JG a+d Re6u-atio+ %FiiG of the British Ro a- 1arra+t of 'J)5 Fi+ La: Re7orts! ?o-9 I! '&%2'JJG quoted # the *a-i-o"ic 8ud6me+t as e=am7-es of comma+d res7o+si#i-it 9 0 7ro"isio+ a#out comma+d res7o+si#i-it stricto se+su :as! i+stead! i+ the British /a+ua- of /i-itar La: F'J5%G! see Par@s! su7ra +ote '&! at '<2$&9
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AFN'5B9 I+ this re6ard see! B9?909 RL-i+6! 09 ,assese Fed9G! The To@ o Tria- a+d Be o+d: Ref-ectio+s of a Peacemo+6er F,am#rid6e: Po-it Press! 'JJ(G! <) ff9 AFN'4B9 *i6h- si6+ifica+t 7roceedi+6s o+ this issue i+c-ude the *osta6e tria- a+d the *i6h ,omma+d tria-: see i+fra +ote '<9 AFN'<B9 Nurem#er6 Tria- of the U+ited States "9 1i-he-m "o+ Lee# Fthe *i6h ,omma+d tria-G! i+ Tria-s of 1ar ,rimi+a-s #efore the Nurem#er6 /i-itar Tri#u+a-s u+der ,o+tro- ,ou+ci- La: No9 '&! ?o-9 WI FBuffa-o: *ei+! 'JJ<G! 5)(2 5'$ Fherei+after T1,G9 See a-so U9S9 "9 1i-he-m "o+ List Fthe *osta6e tria-G! i+ T1,! ?o-s W a+d WI! '$<'9 AFN'%B9 The char6e a6ai+st Ie+era- Yamashita :as to ha"e ;u+-a:fu-- disre6arded a+d fai-ed to dischar6e his dut as a comma+der to co+tro- the o7eratio+ of the mem#ers of his comma+d! 7ermitti+6 them to commit #rutaatrocities a+d other hi6h crimes;! i+ La: Re7orts! ?o-9 I?! ( ff9 For a sur"e of the 7rocess see R9 Lae-! The Yamashita Precede+t: 1ar ,rimes a+d ,omma+d Res7o+si#i-it F1i-mi+6to+: Scho-ar- Resources! 'J%$G9 AFN'JB9 The case of Ie+era- Yamashita has #ee+ stro+6- criticiHed as a+ e=am7-e of a co+"ictio+ o+ the #asis of strict -ia#i-it : see /9,9 Bassiou+i! ;Ratio+e 7erso+ae a+d e-eme+ts of crimi+a- res7o+si#i-it ;! i+ ,rimes a6ai+st *uma+it i+ I+ter+atio+a- ,rimi+a- La: F$+d ed+9! The *a6ue: .-u:er La: I+ter+atio+a-! 'JJJG9 For a differe+t i+ter7retatio+! see Par@s! su7ra +ote '&! $$ ff9 AFN$&B9 Tuoted i+ L9,9 Iree+! ;,omma+d Res7o+si#i-it i+ I+ter+atio+a- *uma+itaria+ La:;! 5 Tra+s+atio+aLa: a+d ,o+tem7orar Pro#-ems F'JJ5G ('J2 (<'! at ((49 AFN$'B9 I+ this se+se! Par@s! su7ra +ote '&! $$ ff! ho:e"er! co+cedes that the "a-ue of the Yamashita tria- -ies i+ the reco6+itio+ of the e=iste+ce of a+ affirmati"e dut of the su7erior to ta@e the a77ro7riate measures i+ his 7o:er to co+tro- his su#ordi+ates! a+d that the fai-ure to dischar6e such dut co+stitutes a "io-atio+ of the -a: of :ar9 See a-so the 8ud6me+t of the US Su7reme ,ourt! i+ Re Yamashita! ($< U9S9 ' F'J)5G9 AFN$$B9 *a-i-o"ic 3ud6me+t! su7ra +ote ''! N )%9 AFN$(B9 See Yamashita! su7ra +ote 'J9 See a-so the To@ o 8ud6me+t of the I+ter+atio+a- /i-itar Tri#u+a- for the Far East :here the i+dictme+t se7arate- char6ed those :ho ;ordered! authoriHed a+d 7ermitted; to commit the "io-atio+s of the -a:s of :ar Fcou+t 5)G a+d those :ho ;de-i#erate- a+d rec@-ess- disre6arded their -e6adut to ta@e adequate ste7s to secure the o#ser"a+ce a+d 7re"e+t #reaches; of the -a:s of :ar Fcou+t 55G9 Nearthe e+tire 3a7a+ese ca#i+et :as fou+d res7o+si#-e for :ar crimes a6ai+st 7riso+ers u+der the -atter cou+t9 0s stated # 3ud6e RL-i+6 i+ his disse+ti+6 o7i+io+! ;It seems that the 8ud6me+t 6oes too far :here it assumes the res7o+si#i-it of e"er mem#er of the 6o"er+me+t for the atrocities committed 9999; See ,assese! su7ra +ote '59 AFN$)B9 This :as ho:e"er +ot the case i+ the To@ o 8ud6me+t! su7ra +ote $(9 AFN$5B9 See Damas@a! su7ra +ote %! at )%49 AFN$4B9 ;The fact that a+ of the acts referred to i+ artic-es $ to 5 of the 7rese+t Statute :as committed # a su#ordi+ate does +ot re-ie"e his su7erior of crimi+a- res7o+si#i-it if 9999; 0+ equi"a-e+t formu-atio+ is co+tai+ed i+ 0rt9 4F(G I,TRSt9 AFN$<B9 Fi+a- Re7ort of the ,ommissio+ of E=7erts! UN Doc9 S/'JJ)/4<)! $< /a 'JJ)9 AFN$%B9 Draft is a"ai-a#-e o+-i+e at _$&artic-es/<[(['J5)97df F"isited % /a $&&<G9 htt7:// u+treat 9u+9or6/i-c/te=ts/i+strume+ts/e+6-ish/draft
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AFN$JB9 For sa@e of c-arit it shou-d #e +oted that! a-thou6h i+ the fo--o:i+6 a+a- sis! refere+ce has #ee+ made s7ecifica-- to the 8uris7rude+ce of the I,TY! the I,TR has a-so e=te+si"e- dea-t :ith this su#8ect a+d has issued im7orta+t 8ud6me+ts o+ su7erior res7o+si#i-it 9 See! for i+sta+ce! the 8ud6me+ts a6ai+st .am#a+da! /usema! Bara a6:iHa a+d .a8e-i8e-i9 AFN(&B9 ,f9 su7ra +ote $9 AFN('B9 De-a-ic a+d others 3ud6me+t! su7ra +ote $! NN (('2(((9 AFN($B9 *a-i-o"ic 3ud6me+t! su7ra +ote ''! 5(9 AFN((B9 *adHihasa+o"ic 3ud6me+t! su7ra +ote 5! N 4J9 AFN()B9 See The Prosecutio+;s 077ea- Brief! su7ra +ote <! NN '5J ffD i#id9! N '5$9 AFN(5B9 3ud6me+t! Oric FIT2&(24%2TG! Tria- ,ham#er! (& 3u+e $&&4! NN $J$2 $J( Fherei+after Oric 3ud6me+tG9 AFN(4B9 I#id9! N $J(9 AFN(<B9 I#id9 AFN(%B9 I#id9! N <$<9 AFN(JB9 The Prosecutio+;s 077ea- Brief! su7ra +ote <! N '5$9 AFN)&B9 I#id9! N '5%9 AFN)'B9 *a-i-o"ic 3ud6me+t! su7ra +ote ''! N 5)9 AFN)$B9 I#id9! N 5)9 See a-so *adHihasa+o"ic 3ud6me+t! su7ra +ote 5! NN <)2<59 AFN)(B9 *a-i-o"ic 3ud6me+t! su7ra +ote ''! N 5) Fem7hasis addedG9 AFN))B9 *adHihasa+o"ic 3ud6me+t! su7ra +ote 5! N $&<59 AFN)5B9 It ma #e +oted! ho:e"er! that the u+certai+t a#out the +ature of this form of -ia#i-it resu-ts i+ some:hat co+tradictor stateme+ts o+ the co+seque+ces of a co+"ictio+ u+der 0rt9 <F(G I,TYSt9 It is affirmed that the co+ce7t of su7erior res7o+si#i-it is a+ e=ce7tio+ to the 6e+era- 7ri+ci7-es of crimi+a- -a:! to the e=te+t that it a--o:s a su7erior to #e he-d res7o+si#-e for a crime e"e+ if he did +ot ta@e a+ 7art i+ the commissio+ of the crime a+d e"e+ if he did +ot ha"e the i+te+tio+ to commit the crime! thus co+tradicti+6 the assum7tio+ that the su7erior shou-d #e -ia#-e of a se7arate crime of omissio+9 This 8ud6me+t re7rese+ts the first co+"ictio+ o+ the so-e #asis of 0rt9 <F(G I,TYSt9 *adHihasa+o"ic 3ud6me+t! su7ra +ote 5! NN $&<52$&<49 AFN)4B9 Decisio+ o+ i+ter-ocutor a77ea- cha--e+6i+6 8urisdictio+ i+ re-atio+ to comma+d res7o+si#i-it ! *adHihasa+o"ic FIT2&'2)<20R<$G! 077ea-s ,ham#er! '4 3u- $&&( Fherei+after ,omma+d Res7o+si#i-it 077ea-G9 AFN)<B9 Partia- disse+ti+6 o7i+io+ of 3ud6e Shaha#uddee+! ,omma+d Res7o+si#i-it 077ea-! *adHihasa+o"ic! i#id9! N ($9
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AFN)%B9 Se7arate a+d 7artia-*adHihasa+o"ic! i#id9! N '(9
disse+ti+6 o7i+io+ of 3ud6e *u+t! ,omma+d Res7o+si#i-it
077ea-!
AFN)JB9 The ;fai-ure to act u+der a dut to do so; has #ee+ a-:a s reco6+iHed # the 8uris7rude+ce of the Tri#u+a-s as the esse+ce of comma+d res7o+si#i-it D it is a dut that arises from the su7erior;s 7ossessio+ of effecti"e co+tro- o"er the su#ordi+atesD see 3ud6me+t! Tadic FIT2J)2'20G! 077ea-s ,ham#er! '5 3u- 'JJJ Fherei+after Tadic 077ea- 3ud6me+tG! N J% ff9 It shou-d #e reca--ed that +ot o+- those ho-di+6 de 8ure 7ositio+s of authorit ! #ut a-so those e=ercisi+6 de facto 7o:ers of co+tro- ca+ #e char6ed9 For a critica- a77roach! see T9 1ei6e+d! ;Bemer@u+6e+ Hur ?or6esetHte+"era+t:ort-ich@eit im ?L-@erstrafrecht;! Meitschrift fRr die 6esamte Strafrecht:isse+schaft F$&&)G '&&)2'&&59 AFN5&B9 See The Prosecutio+;s 077ea- Brief! su7ra +ote <! N '5$9 AFN5'B9 0t -east i+ the attem7ted form! see Oric 3ud6me+t! su7ra +ote (5! N ((&9 AFN5$B9 The fact that u+der i+ter+atio+a- -a: the fai-ure to e=ercise co+tro- 7ro7er- is +ot 7u+ished does +ot e=c-ude that it ma ha"e disci7-i+ar or e"e+ crimi+a- co+seque+ces u+der +atio+a- -a:! see Triffterer! su7ra +ote )! at J''9 AFN5(B9 I#id9! J'' ff9 AFN5)B9 O+ the 7ro#-ematic causare-atio+shi7 #et:ee+ the fai-ure to act a+d the crime committed! see .9 0m#os! Der a--6emei+e Tei- des ? L-@erstrafrecht! 0+sPtHe ei+er Do6matisieru+6 FBer-i+: Du+@er O *um#-ot! $&&$G! 4%( ff9 AFN55B9 See the im7orta+t co+tri#utio+ of O9 Triffterer! ;,ausa-it ! 0 Se7arate E-eme+t of the Doctri+e of Su7erior Res7o+si#i-it as E=7ressed i+ 0rtic-e $% Rome Statute>;! '5 Leide+ 3our+a- of I+ter+atio+a- La: F$&&$G '<J2 $&5 a+d! 7artia-- critica-! 1ei6e+d! su7ra +ote )J! JJJ ff9 AFN54B9 See 3ud6me+t! B-as@ic FIT2J52')20G! 077ea-s ,ham#er! $J 3u- $&&)! N <( ff9 AFN5<B9 See Oric 3ud6me+t! su7ra +ote (5! N ((%9 AFN5%B9 See De-a-ic a+d others 3ud6me+t! su7ra +ote $! NN (%J ff9 AFN5JB9 I#id9! N (JJ Fem7hasis addedG9 AFN4&B9 I#id9! N (J%9 This affirms the e=iste+ce of a causa- +e=us to #e 7ro"e+ # the Prosecutor! co+sisti+6 i+ ;the su7erior;s 7o:er to 7ro7er- Fa+d thus effecti"e- G co+tro- a+d that :ithout this fai-ure to co+tro-! such crimes22at -east most 7ro#a#- 22:ou-d +ot ha"e occurred;! Triffterer! su7ra +ote )! at J'J a+d more e=te+si"e- ! su7ra +ote 559 AFN4'B9 The reaso+i+6 is of course differe+t if the fai-ure to 7u+ish is co+sidered i+ re-atio+ to the commissio+ of future crimes! see Triffterer! su7ra +ote 55! at $&'2$&$9 From this 7ers7ecti"e the su7erior;s fai-ure to 7u+ish ca+ #e causa-- re-ated i+ the se+se that it does +ot deter the commissio+ of future a+d immi+e+t crimes # the same 7er7etrators9 AFN4$B9 See Oric 3ud6me+t! su7ra +ote (5! N ((%9 AFN4(B9 For a difficu-t reco+ci-iatio+ #et:ee+ the fai-ure to 7u+ish a+d the e-eme+t of causatio+ i+ comma+d
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res7o+si#i-it ! see a6ai+ the 7ositio+ of Triffterer! su7ra +ote 559 AFN4)B9 3ud6me+t! De-a-ic a+d others FIT2J42$'20G! 077ea-s ,ham#er! $& Fe#ruar $&&' Fherei+after De-a-ic a+d others 077ea- 3ud6me+tG! N ('( Fem7hasis addedG9 AFN45B9 See Triffterer! su7ra +ote )! J&J9 AFN44B9 Pursua+t to 0rt9 <F(G of the Statute! i+ fact! the su7erior ca+ #e he-d res7o+si#-e +ot o+- if he @+e:! #ut a-so if he had reaso+ to @+o: that his su#ordi+ates :ere a#out to commit crimes or had a-read committed them9 O+ the i+ter7retatio+ of this co+tro"ersia- sta+dard! see De-a-ic a+d others 077ea- 3ud6me+t! su7ra +ote 4)! N $(( ff9 AFN4<B9 See 3ud6me+t! .r+o8e-ac FIT2J<2$520G! 077ea-s ,ham#er! '< Se7tem#er $&&(! N ')J ff Fherei+after .r+o8e-ac 077ea- 3ud6me+tG9 AFN4%B9 De-a-ic a+d others 077ea- 3ud6me+t! su7ra +ote 4)! N $(%9 AFN4JB9 .r+o8e-ac 077ea- 3ud6me+t! su7ra +ote 4<! N '559 AFN<&B9 Oric 3ud6me+t! su7ra +ote (5! N ('59 AFN<'B9 See a6ai+ Triffterer! su7ra +ote )! J&J9 AFN<$B9 ,f9 *a-i-o"ic 3ud6me+t! su7ra +ote ''! N <%D *adHihasa+o"ic 3ud6me+t! su7ra +ote 5! N <5D Oric 3ud6me+t! su7ra +ote (5! N $J(9 AFN<(B9 ;The -itera- mea+i+6 of 0rtic-e <F(G is +ot difficu-t to ascertai+9 0 comma+der ma #e he-d crimi+a--ia#-e i+ res7ect to the acts of his su#ordi+ates i+ "io-atio+ of 0rtic-es $ to 5 of the Statute 9999 The comma+der :ou-d #e tried for fai-ure to act i+ res7ect of the offe+ces of his su#ordi+ates i+ the 7er7etratio+ of :hich he did +ot direct- 7artici7ate;: De-a-ic a+d others 077ea- 3ud6me+t! su7ra +ote 4)! N $$5 Fem7hasis addedG9 AFN<)B9 0s co+siste+t- fou+d from the De-a-ic a+d others 8ud6me+t! three e-eme+ts +eed to #e 7ro"e+ for su7erior res7o+si#i-it to #e fou+d: FiG the su7erior2su#ordi+ate re-atio+shi7D FiiG the me+ta- e-eme+t of the su7erior a+d FiiiG the fai-ure to ta@e the +ecessar measures to 7re"e+t or 7u+ish9 0 fourth e-eme+t ca+ #e added: the commissio+ of the crime # 7erso+s other tha+ the su7erior! see Oric 3ud6me+t! su7ra +ote (5! N $J) a+d re-ated +otes9 AFN<5B9 I+ order to assess accom7-ice -ia#i-it for a+ i+te+tio+a- offe+ce! the mi+imum criteria required are the accom7-ice;s a:are+ess of ma@i+6 a co+tri#utio+ that faci-itated the commissio+ of the crime a+d the su#sta+tiaa+d direct effect of the co+tri#utio+ o+ the commissio+ of the crime9 See 3ud6me+t! Furu+dHi8a FIT2J52'</'2TG! Tria- ,ham#er! '& Decem#er 'JJ%! NN $$J ff9D see a-so 0rt9 $ of the Draft ,ode of ,rimes a6ai+st the Peace a+d Securit of /a+@i+d of 'JJ4 a+d its ,omme+tar # the I+ter+atio+a- La: ,ommissio+! su7ra +ote $%9 For a #roader a+a- sis! see E9 0mati! ;,o+corso di 7erso+e +e- diritto 7e+a-e i+ter+aHio+a-e;! i+ Di6esto Disci7-i+e Pe+a-istiche! 077e+dice di a77rofo+dime+to FTori+o! $&&)G! '$% ff9 AFN<4B9 Oric 3ud6me+t! su7ra +ote (5! N <$< Fem7hasis addedG9 AFN<<B9 I#id9! N <$4 :ith re-ated +otes9 AFN<%B9 I#id9! NN <$%2<$J9 The Tria- ,ham#er fou+d that i+ determi+i+6 the 6ra"it of the su#ordi+ates; crimes i+ re-atio+ to the res7o+si#i-it of the su7erior the fo--o:i+6 factors sha-- #e co+sidered: the -e6a- +ature of the
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offe+ces! their sca-e a+d #ruta-it ! their im7act u7o+ the "ictims a+d their fami-ies a+d the e=te+t of the -o+6 term 7h sica-! 7s cho-o6ica- a+d emotio+a- sufferi+6 of the sur"i"ors9 AFN<JB9 I#id9! N <$)9 AFN%&B9 See Damas@a! su7ra +ote %9 AFN%'B9 Doctri+a-- ! as it has #ee+ correct- affirmed! the co+ce7t of comma+d res7o+si#i-it fa--s #et:ee+ -ia#i-it for omissio+ a+d com7-icit ! I9 1er-e! ?L-@erstrafrecht FTR#i+6e+: /ohr Sie#ec@! $&&(G! '<J9 AFN%$B9 The Iare+te+ste--u+6 im7osed o+ the su7erior # i+ter+atio+a- -a: re"ea-s the ratio+a-e #e o+d such res7o+si#i-it ! aimed at stre+6the+i+6 the 7re"e+ti"e a+d deterre+t effect of i+ter+atio+a- -a: 7ro"isio+sD see! i+ this se+se! the affirmati"e duties esta#-ished # 0rt9 %< additio+a- 7rotoco- I of 'J<< a+d its comme+tar # 39 De Preu=! ;0rtic-e %<;! i+ ,9 Pi--oud et a-9 FedsG! ,omme+tar o+ the 0dditio+a- Protoco-s of % 3u+e 'J<< to the Ie+e"a ,o+"e+tio+s of '$ 0u6ust 'J)J FIe+e"a: I,R,! 'J%<G! '&'<2'&$(9 AFN%(B9 I9P9 F-etcher! Rethi+@i+6 ,rimi+a- La: FO=ford: O=ford U+i"ersit Press! $&&&G! )5)9 AFN%)B9 See 1ei6e+d! su7ra +ote )J! '&&(2'&&)! referri+6 to su7erior res7o+si#i-it u+der 0rt9 $% as ;ei+e er:eiterte Form der *aftu+6 fRr fremdes U+recht;9 AFN%5B9 09 ,assese! I+ter+atio+a- ,rimi+a- La: FO=ford: O=ford U+i"ersit Press! $&&(G! '(4 ff9 For the ado7tio+ of this 7ri+ci7-e # the Rome Statute! see N9 Pisa+i! ;L;e-eme+to 7sico-o6ico de- crimi+e i+ter+aHio+a-e +e--a 7arte 6e+era-e de--a ,orte 7e+a-e i+ter+aHio+a-e;! Ri"ista Ita-ia+a di Diritto e Procedura Pe+a-e F$&&'G '(<& ff9 AFN%4B9 See I9 ,ar-iHHi!;L; h 7oth`se s7Scia-e de res7o+sa#i-itS du su7Srieur hiSrarchique da+s -e Statut du Tri#u+a- PS+a- I+ter+atio+a-e 7our -;e=2You6os-a"ie;! i+ E9 Fro+Ha a+d S9 /a+acorda FedsG! La 8ustice 7S+a-e i+ter+atio+a-e da+s -es dScisio+ des tri#u+au= ad hoc F/i-a+o: Iiuffr`! $&&(G! '5&9 AFN%<B9 It is ;-o6ica-- a77ro7riate a+d re-e"a+t for 7ractica- 7ur7oses of se+te+ci+6 to dra: a disti+ctio+ #et:ee+ differe+t c-asses; of comma+d res7o+si#i-it : see ,assese! su7ra +ote %5! at $&49 AFN%%B9 1here ;7u+ish; i+ 0rt9 $% is i+te+ded to e+com7ass the t:o e=7ressio+s ;re7ress; a+d ;su#mit the matter to the com7ete+t authorities;9 AFN%JB9 0rt9 $%! ho-di+6 res7o+si#-e the su7erior that ;shou-d ha"e @+o:+; of the crimes! is a de7arture to the 6e+era- me+s rea ru-e 7ro"ided for # 0rt9 (& I,,St9! 7ursua+t to :hich to #e crimi+a-- ;res7o+si#-e a+d -ia#-e for 7u+ishme+t for a crime :ithi+ the 8urisdictio+ of the ,ourt;! it is required that ;the materia- e-eme+ts are committed :ith i+te+t a+d @+o:-ed6e;: see 09 Eser! ;/e+ta- E-eme+ts22/ista@e of Fact a+d /ista@e of La:;! i+ ,assese! Iaeta! a+d 3o+es FedsG! su7ra +ote $! %%J ff9 AFNJ&B9 Such @+o:-ed6e ca+ #e 7ro"e+ direct- or throu6h circumsta+tia- e"ide+ce! #ut ca+ +e"er #e 7resumed! cf9 De-a-ic a+d others 3ud6me+t! su7ra +ote $! NN (%)2(%4D 3ud6me+t! 0-e@so"s@i FIT2J52')/'2TG! Tria,ham#er! $5 3u+e 'JJJ! N %&9 AFNJ'B9 0s a 6e+era- ru-e of crimi+a- -a:! i+te+t does +ot require o+- the :i--i+6+ess to commit or to omit somethi+6! #ut a-so @+o:-ed6e Fi9e9 a:are+essG of the factuacircumsta+ces u+der- i+6 the situatio+9 O+ the t:o2fo-d +otio+ of @+o:-ed6e! a+d 7articu-ar- o+ its ro-e as a 7art of i+te+t! see ,assese! su7ra +ote %5! at '4$ ff9 See a-so! F-etcher! su7ra +ote %(! at ))J9
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AFNJ$B9 This sta+dard! a-thou6h sti-- de#ated! :ou-d i+troduce a form of +e6-i6e+t i6+ora+ce #ased o+ the "io-atio+ of the dut to co+tro- su#ordi+ates im7osed o+ the su7erior # i+ter+atio+a- -a:: see .9 0m#os! su7ra +ote $! %4) ff9 0r6ume+ts a-o+6 these -i+es are fou+d! i+ter a-ia! i+ the US /ode- Pe+a- ,ode! 0rt9 $9&$F$GFdG9 For a #rief sur"e o+ this matter! see /9 Neu+er! ;Su7erior res7o+si#i-it a+d the I,, Statute;! i+ I9 ,ar-iHHi! I9 De--a /orte! S9 Laure+ti a+d 09 /archesi FedsG! La ,orte Pe+a-e I+ter+aHio+a-e FNa7o-i: ?i"arium! $&&(G $4<2 $<%9 AFNJ(B9 This form of cu-7a#i-it ! is simi-ar to the sta+dard the 8uris7rude+ce of the I,TY has referred to as :i-fu- #-i+d+ess! that is! :he+ a su7erior ;i6+ores i+formatio+ :ithi+ his actua- 7ossessio+ com7e--i+6 the co+c-usio+ that crimi+a- offe+ces are #ei+6 committed! or are a#out to #e committed;9 ,f9 De-a-ic a+d others 3ud6me+t! su7ra +ote $! N (%<9 AFNJ)B9 For the co+ce7t of rec@-ess+ess! u+@+o:+ i+ ci"i- -a: Fit fa--s #et:ee+ co+scious +e6-i6e+ce a+d do-us e"e+tua-isG! see F-etcher! su7ra +ote %(9 See a-so the US /ode- Pe+a- ,ode! 0rt9 $9&$F$GFcG9 To co+sciousdisre6ard! o+ o+e ha+d! im7-ies that sim7-e i6+ora+ce is +ot e+ou6h #ut! o+ the other ha+d! does +ot require that the su7erior desired or i+te+ded the crimes #e committedD see Neu+er! su7ra +ote J$! at $<)2$<49 AFNJ5B9 O+ 7artici7atio+ # omissio+ i+ i+ter+atio+a- crimi+a- -a:! see the stud U+ter-assu+6shaftu+6 im ?L-@erstrafrecht FFrei#ur6! $&&)G! i+ 7articu-ar! $)'ff9 of .9 1e-H! Die
AFNJ4B9 Pursua+t to this 7ri+ci7-e! someo+e ca+ #e he-d crimi+a-- res7o+si#-e for a resu-t if! u+der a -e6a- dut to do so! he fai-s to act i+ order to 7re"e+t the resu-t! a+d a causa- -i+@ e=ists #et:ee+ his fai-ure to act a+d the resu-t9 Therefore! assumi+6 that i+ter+atio+a- -a: im7oses o+ the su7erior a Iara+te+ste--u+6 co+sisti+6 of the dut to co+tro- a+d to 7re"e+t the crimes of su#ordi+ates! such crimes ca+ #e attri#uted to the su7erior if he i+te+tio+a-- fai-s to fu-fi- his dut a+d the occur as a co+seque+ce of his fai-ure9 The 7ri+ci7-e of ;commissio+ # omissio+; is +ot reco6+iHed # e"er +atio+a- s stem: it is +ot reco6+iHed i+ Fra+ce! #ut is reco6+iHed i+ Itaa+d Ierma+ 9 For the US0 s stem! #ut :ith a #roader "ie:! see F-etcher! su7ra +ote %(! at 5%' ff9 AFNJ<B9 See o+ 0rt9 (&F$G I,,St9! Eser! su7ra +ote %J9 AFNJ%B9 See 09/9 /au6eri! ;La res7o+sa#i-itS des comma+da+ts da+s -e Statut de -a ,our 7S+a-e i+ter+atio+a-e et -a dSfe+se d;ordres su7Srieurs;! i+ /9 ,hia"ario Fed9G! La 8ustice 7S+a-e i+ter+atio+a-e e+tre 7assS et a"e+ir F/i-a+: Iiuffre! $&&(G! $4( ff9 AFNJJB9 The ear- 8uris7rude+ce of the I,TY reco6+iHed ;a requireme+t of i+te+t! :hich i+"o-"es a:are+ess of the act of 7artici7atio+ cou7-ed :ith a co+scious decisio+ to 7artici7ate # 7-a++i+6! i+sti6ati+6! orderi+6! committi+6! or other:ise aidi+6 a+d a#etti+6 the commissio+ of a crime;! 3ud6me+t! Tadic FIT2J)2'2TG! Tria,ham#er! < /a 'JJ<! N 4<)9 The -ater 8uris7rude+ce 6e+era-- ado7ted a -o:ered thresho-d of 7artici7atio+! em7hasiHi+6 the co6+iti"e e-eme+t F;@+o:-ed6e that the act :i-- assist;G o"er the "o-itio+a- e-eme+t9 See 0m#os! su7ra +ote 5)! at $4(2($4D (4$2(<&D 4(% ff9 U+der the Rome Statute! the me+s rea thresho-d of com7-icit has #ee+ si6+ifica+t- raised: 0rt9 $5F(GFcG +o: e=7-icit- requires that the accom7-ice acts ;for the 7ur7ose of faci-itati+6; the commissio+ of the crime9 ,f9 09 Di /arti+o! ;La disci7-i+a de- co+corso di 7erso+e;! i+ 09 ,assese! /9 ,hia"ario! I9 De Fra+cesco FedsG! Pro#-emi attua-i de--a 6iustiHia 7e+a-e i+ter+aHio+a-e FTori+o: Iia77iche--i! $&&5G! '%J ff9 AFN'&&B9 0rt9 5< of the Ita-ia+ ,rimi+a- ,ode! for i+sta+ce! 7ro"ides for a form of crimi+a- -ia#i-it of the director of a +e:s7a7er :ho +e6-i6e+t- fai-s to e=ercise his dut to su7er"ise for the :i-fu- crimes committed # others thou6h the +e:s7a7er9 See F9 0-#e66ia+i! I reati di a6e"o-aHio+e co-7osa F/i-a+: Iiuffre! 'J%)G9 AFN'&'B9 ,assese! su7ra +ote %5! at $&<9 AFN'&$B9 Simi-ar- ! /au6eri! su7ra +ote J%! at $4% ff9
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AFN'&(B9 The case at ha+d cou-d a-so #e co+sidered as a form of accom7-ice -ia#i-it ! desi6+ed u+der the ;+atura- a+d 7ro#a#-e co+seque+ce; doctri+e! :here the su7erior #ears res7o+si#i-it for a-- the foreseea#-e co+seque+ces of his co+duct9 This im7-ies! ho:e"er! that the su7erior has i+te+t! or at -east @+o:-ed6e! :ith re6ard to his co+duct! see T9 1u a+d Y9S9 .a+6! ;,rimi+a- Lia#i-it for the 0ctio+s of Su#ordi+ates22the Doctri+e of ,omma+d Res7o+si#i-it a+d its 0+a-o6ues i+ U+ited States La:;! (% *ar"ard I+ter+atio+a- La: 3our+a- F'JJ<G $<$2$J<9 AFN'&)B9 Lia#i-it for fai-ure to 7u+ish cou-d #e theoretica-- #ased o+ the commo+ -a: doctri+e of the ;accessor after the fact;! :hich is ho:e"er o#so-ete a+d has #ee+ re8ected as such: see the Defe+ce;s /otio+ to stri@e 7ortio+s of i+dictme+t a--e6i+6 ;fai-ure to 7u+ish; -ia#i-it ! ,er@eH FIT2J52 ')/$2PTG! '' Decem#er 'JJ<9 I+ a+ case! 0rt9 $5 I,,St9 does +ot admit forms of com7-icit after the fact9 See "a+ S-iedre6t! su7ra +ote (! at ''' ff9 AFN'&5B9 See Triffterer! su7ra +ote 55! at '<J ff9 For a 7artia-- critica- "ie:! see 1ei6e+d! su7ra +ote )J! at JJJff9 AFN'&4B9 T9 1ei6e+d! ;Mur Fra6e ei+es i+ter+atio+a-e+ a--6emei+e+ Tei-s;! i+ B9 SchR+ema++ Fed9G! Festschrift fRr ,-aus Ro=i+ FBer-i+! Ne: Yor@: ?er-a6 de Iru ter! $&&'G! '(J<9 AFN'&<B9 ,omma+d res7o+si#i-it shou-d a-:a s #e disti+6uished from the other forms of com7-icit 7ro"ided for i+ 0rt9 $5F(G I,,St9 Pursua+t to 0rt9 $%! su7erior res7o+si#i-it is ;i+ additio+ to other 6rou+ds of crimi+ares7o+si#i-it ; u+der the Rome Statute9 ;I+ the case :here #oth the 7ro"isio+s! 0rtic-es $5 a+d $%! are a77-ica#-e the acti"e 7artici7atio+ shou-d a-:a s 7re"ai-;: Triffterer! su7ra +ote 55! at '%%9 AFN'&%B9 The Ierma+ ?L-@erstraf6esetH#uch F?StIBG of $&&$! for i+sta+ce! ado7ted a 6ood so-utio+ o+ this 7oi+t! i+ that it im7-eme+ted the 7ri+ci7-e of su7erior res7o+si#i-it i+ three differe+t 7ro"isio+s ha"i+6 differe+t requireme+ts a+d co+seque+ces! see 1ei6e+d! su7ra +ote )J! at '&$42'&$<9 O+ the ?StIB! see I9 1er-e a+d F9 3ess#er6er! ;Das ?L-@erstraf6esetH#uch;! 3uriste+ Meitu+6 F$&&$G! <$J ff9 The ma8orit of domestic -e6is-atio+s! Fi+c-udi+6 Ita- G are sti-- missi+6 a re6u-atio+ o+ this 7oi+t9 END OF DO,U/ENT
)' ?03IL <)< )' ?a9 39 I+t;- L9 <)< (Cite as: 4/ Ca J !"t#l L 141%
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?ir6i+ia 3our+a- of I+ter+atio+a- La: Summer! $&&' &141 PROSE,UTINI SUPERIORS FOR ,RI/ES ,O//ITTED BY SUBORDIN0TES: 0 DIS,USSION OF T*E FIRST SIINIFI,0NT ,0SE L01 SIN,E T*E SE,OND 1ORLD 10R So+8a Boe-aert2Suomi+e+ AFNa'B ,o7 ri6ht C $&&' # ?ir6i+ia 3our+a- of I+ter+atio+a- La: 0ssociatio+D So+8a Boe-aert2Suomi+e+ TABLE OF CONTENTS Introduction ........................................................ 748 I. II. III. Two Main Theories of Lia i!it" ...................................... 7#$ Brief %istorica! O&er&iew of the 'octrine of Su(erior )es(onsi i!it" Contri ution 7#4
" the ICT* and ICT) Case Law .......................... 7+,
A. -roof That an Offense .as Co//itted .............................. 7+, B. E0istence of a Su(erior1Su ordinate )e!ationshi( ................. 7+$ $. The Criterion of 2Effecti&e Contro!2 .......................... 7+$ 3. For/a! 'esi4nation Is Not a -rere5uisite ...................... 7+# 6. It does Not Matter .hether the Su(erior Is Mi!itar" or Ci&i!ian .......................................................... 7+7 4. No Li/itation to 2.ar Cri/es2 Co//itted in Internationa! Ar/ed Conf!icts ......................................................... 773 #. Concurrent A((!ication of Theories of Lia i!it" ............... 776 C. The Menta! E!e/ent ............................................... 77+ $. 8now!ed4e ..................................................... 77+ 3. 2%ad )eason to 8now2 .......................................... 777
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'. Necessar" and )easona !e Measures ................................ 78, I9. Conc!usion .......................................................... 784
&144 INTRODU,TION 1hat do a Prime /i+ister! the director of a tea factor ! a 7riso+ :arde+ a+d a mi-itar comma+der ha"e i+ commo+ from the 7oi+t of "ie: of i+ter+atio+a- huma+itaria+ -a:> 0-- four rece+t- ha"e #ee+ co+"icted for serious "io-atio+s of i+ter+atio+a- huma+itaria+ -a: committed # 7erso+s or 6rou7s of 7erso+s co+sidered as their su#ordi+ates9 3ea+ .am#a+da :as Prime /i+ister of the I+terim Io"er+me+t of R:a+da from 07ri- %! 'JJ) to 3u- '<! 'JJ)9 I+ his 6ui-t 7-ea #efore a Tria- ,ham#er of the I,TR! AFN'B he ac@+o:-ed6ed res7o+si#i-it for acts of 6e+ocide a+d crimes a6ai+st huma+it committed i+ter a-ia # mem#ers of his 6o"er+me+t! se+ior ci"i- ser"a+ts a+d se+ior officers i+ the mi-itar 9 AFN$B *e recei"ed a -ife se+te+ce9 0-fred /usema :as fou+d 6ui-t # a Tria- ,ham#er of the I,TR for crimes committed i+ the Biserero re6io+ of the .i#u e 7refecture of R:a+da9 AFN(B The Tria- ,ham#er co+"icted him for acts of 6e+ocide a+d for the crime of e=termi+atio+ committed # em7-o ees of the Iiso"u Tea Factor ! of :hich he :as &146 the director9 AFN)B /usema :as a-so se+te+ced to -ife im7riso+me+t9 AFN5B 0t the time of the offe+ses char6ed i+ the i+dictme+t! M-at@o 0-e@so"s@i :as a 7riso+ :arde+ of the .ao+i@ 7riso+ i+ ce+tra- Bos+ia9 0+ I,TY AFN4B Tria,ham#er fou+d that he had c-ear- e=ercised su7erior authorit o"er the 7riso+ 6uards :ho had committed serious offe+ses a6ai+st the /us-im detai+ees9 AFN<B O+ a77ea-! 0-e@so"s@i;s se+te+ce :as i+creased from t:o a+d a ha-f ears to se"e+ ears im7riso+me+t9 AFN%B Tihomir B-as@ic! a mi-itar comma+der of the Bos+ia+ ,roats! :as fou+d -ia#-e # a+ I,TY Tria- ,ham#er for crimes committed # a "ariet of armed forces o7erati+6 i+ ce+tra- Bos+ia9 AFNJB The 7er7etrators :ere re6u-ar as :e-- as irre6u-ar armed forces i+ additio+ to s7ecia- mi-itar u+its of the Bos+ia+ ,roats9 AFN'&B The u+der- i+6 crimes im7uted to B-as@ic i+c-ude acts of 7ersecutio+! "io-atio+s of the -a: o+ the co+duct of hosti-ities a+d crimes committed a6ai+st /us-ims detai+ed i+ the dete+tio+ ce+tres of ce+tra- Bos+ia9 AFN''B *e :as se+te+ced to fort 2fi"e ears im7riso+me+t9 AFN'$B &159 The theor of -ia#i-it that a--o:ed the Prosecutio+ to re- o+ the im7uted res7o+si#i-it of these four accused is @+o:+ as Ecomma+dE or Esu7eriorE res7o+si#i-it 9 AFN'(B It is a doctri+e i+ i+ter+atio+a- -a: :here# a 7erso+ i+ authorit ma ! u+der certai+ circumsta+ces! #e he-d crimi+a-- res7o+si#-e for acts committed # su#ordi+ates #ecause of a fai-ure to 7re"e+t them from committi+6 such acts or a fai-ure to 7u+ish them after the acts ha"e #ee+ committed9 The term Esu7eriorE 7ro7er- e+ca7su-ates the cate6ories of 7erso+s :ho ma #e accou+ta#-e a+d the forms of co+tro- or authorit o"er 7er7etrators that are required9 I+ 7articu-ar! as descri#ed i+ this artic-e! the doctri+e i+cor7orates mi-itar comma+ders! 7arami-itar -eaders! -eaders of irre6u-ar structures a+d e"e+ ci"i-ia+ -eaders9 AFN')B &15/ I+ the I,TY a+d the I,TR! there a77ear to #e a+ i+creasi+6 +um#er of cases i+ :hich the +otio+ of su7erior res7o+si#i-it is em7-o ed9 This de"e-o7me+t is! i+ 7art! a ref-ectio+ of the te+de+c of the I,TY Prosecutor to co+ce+trate o+ hi6her2-e"e- accused as the cases discussed i+ this artic-e demo+strate9 0s the 7ros7ects of further hi6h2 7rofi-e tria-s i+ the *a6ue are steadi- i+creasi+6! the time has come to assess the co+tri#utio+s made # the 8uris7rude+ce of the I,TY a+d the I,TR thus far! to the co+ce7t of su7erior res7o+si#i-it u+der i+ter+atio+a- -a:9 AFN'5B This artic-e is di"ided i+to four 7arts9 0fter a+ i+troductor -oo@ i+to the t:o mai+ theories of -ia#i-it used i+ co+tem7orar i+ter+atio+a- crimi+a- -a:! the ori6i+s of the co+ce7t of su7erior res7o+si#i-it :i-- #e discussed9 This :i-#e fo--o:ed # a+ assessme+t of the co+tri#utio+ made # the I,TR a+d the I,TY 8uris7rude+ce9 The co+c-usio+s :i-- #e set out i+ the fourth 7art9 I9 T1O /0IN T*EORIES OF LI0BILITY The +otio+ that i+di"idua-s ma #e he-d crimi+a-- res7o+si#-e for their 7artici7atio+ i+ the commissio+ of offe+ses is firm- esta#-ished as a 6e+era- 7ri+ci7-e of crimi+a- -a: a+d customar i+ter+atio+a- -a:9 AFN'4B U+der the statutes of the i+ter+atio+a- crimi+a- tri#u+a-s that ha"e #ee+ &152 esta#-ished or ha"e #ee+ 7ro7osed o"er the -ast te+ ears! the Prosecutio+ ca+ re- o+ t:o mai+ theories of -ia#i-it to -i+@ a+ accused :ith a 7articu-ar crime u+der i+ter+atio+a- -a:9
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The most commo+- used method co+sists of 7ro"i+6 that the accused 7artici7ated 7erso+a-- i+ crimi+a- co+duct9 This o7tio+ is e+shri+ed i+ 0rtic-e <F'G of the I,TY Statute! AFN'<B 0rtic-e 4F'G of the I,TR Statute! AFN'%B a+d 0rtic-e $5 of the I,, Statute9 AFN'JB 3uris7rude+ce of the I,TY has 6i"e+ a "er #road i+ter7retatio+ to this #asic 7ro"isio+ o+ the 7erso+a- res7o+si#i-it of the accused9 The case-a: ref-ects the i+te+tio+ that: Ea-- those :ho ha"e e+6a6ed i+ serious "io-atio+s of i+ter+atio+a- huma+itaria+ -a:! :hate"er the ma++er i+ :hich the ma ha"e 7er7etrated! or 7artici7ated i+ the 7er7etratio+ of those "io-atio+s! must #e #rou6ht to 8ustice9E AFN$&B 0ccordi+6- ! the forms of 7artici7atio+ e+umerated u+der 0rtic-e <F'G227-a++i+6! i+sti6ati+6! orderi+6! committi+6! aidi+6 a+d a#etti+622are +ot co+sidered to e=haust the su#8ect9 I+ the Tadic case! the 077ea-s ,ham#er decided that the Prosecutio+ cou-d re- o+ the Ecommo+ 7ur7oseE doctri+e to 7ro"e its case9 AFN$'B I+ additio+! it seems that Tria- ,ham#ers are free to a77- a+ &155 theor the fi+d a77-ica#-e to the facts of a case! re6ard-ess of :hether that theor is the 7articu-ar o+e ad"a+ced # the Prosecutio+9 The defe+se;s o#8ectio+ that such a #road i+ter7retatio+ :ou-d "io-ate its ri6hts has #ee+ dismissed o+ the 6rou+d that the 7-eadi+6 of 0rtic-e <F'G affords the defe+se sufficie+t +otice that a+ o+e of the theories of res7o+si#i-it co"ered # this 7ro"isio+ cou-d a77- 9 AFN$$B 0+ additio+a- or a-ter+ati"e route to 7ro"e the -i+@ #et:ee+ the crime #ase a+d the accused ma #e used i+ the 7rosecutio+ of a certai+ c-ass of 7er7etrators9 AFN$(B 0t issue is the co+ce7t of E superiorD respo"si,ility that is 7ro"ided for i+ 0rtic-e <F(G of the I,TY Statute! AFN$)B 0rtic-e 4F(G of the I,TR Statute AFN$5B a+d 0rtic-e $% of the I,, Statute9 AFN$4B The doctri+e of &154 superior respo"si,ility ma@es a superior respo"si,le22 +ot for his acts of 7erso+a- 7artici7atio+ AFN$<B22#ut for his fai-ure to act9 The 077ea-s ,ham#er of the I,TY has descri#ed the esse+ce of the co+ce7t of superior respo"si,ility as fo--o:s: 0rtic-e <F(G 7ro"ides the -e6a- criteria for comma+d respo"si,ility! thus 6i"i+6 the :ord Ecomma+derE a 8uridicamea+i+6! i+ that the 7ro"isio+ #ecomes a77-ica#-e o+- :here a superior :ith the required me+ta- e-eme+t fai-ed to e=ercise his 7o:ers to 7re"e+t su#ordi+ates from committi+6 offe+ses or to 7u+ish them after:ards9 This +ecessariim7-ies that a superior must ha"e such 7o:ers 7rior to his fai-ure to e=ercise them9 If the facts of a case meet the criteria for the authorit of a superior as -aid do:+ i+ 0rtic-e <F(G! the -e6a- fi+di+6 :ou-d #e that a+ accused is a superior :ithi+ the mea+i+6 of that 7ro"isio+9 AFN$%B I+ sum! u+der 0rtic-e <F(G! a comma+der or superior is Ethe o+e :ho 7ossesses the 7o:er or authorit i+ either a de 8ure or a de facto form to 7re"e+t a su#ordi+ate;s crime or to 7u+ish the 7er7etrators of the crime after the crime is committed9E AFN$JB II9 BRIEF *ISTORI,0L O?ER?IE1 OF T*E DO,TRINE OF SUPERIOR RESPONSIBILITY The doctri+e of su7erior res7o+si#i-it has its ori6i+s i+ the mi-itar s7here9 0ccordi+6 to 19*9 Par@s! EAcBomma+d has a-:a s im7osed res7o+si#i-it D et there are fe: i+sta+ces recorded 7rior to the e+d of 1or-d 1ar II :here that res7o+si#i-it :as either crimi+a- or i+ter+atio+a- i+ +ature9E AFN(&B Ne"erthe-ess! there ca+ #e -itt-e dou#t that the &155 co+ce7t of su7erior res7o+si#i-it :as reco6+ised ear- o+ i+ i+ter+atio+a- crimi+a- -a:9 AFN('B It is ofte+ su66ested that the roots of the moder+ doctri+e of comma+d res7o+si#i-it ma #e fou+d i+ the *a6ue ,o+"e+tio+s of 'J&<9 AFN($B It :as +ot u+ti- the e+d of 1or-d 1ar I! ho:e"er! that the +otio+ of i+di"iduacrimi+a- res7o+si#i-it for fai-ure to ta@e the +ecessar measures to 7re"e+t or to re7ress #reaches of the -a:s of armed co+f-ict :as 6i"e+ e=7-icit e=7ressio+ i+ a+ i+ter+atio+a- co+te=t9 AFN((B I+ its re7ort 7rese+ted to the Pre-imi+ar Peace ,o+fere+ce i+ 'J'J! the I+ter+atio+a,ommissio+ o+ the Res7o+si#i-it of the 0uthors of the 1ar a+d o+ E+forceme+t of Pe+a-ties recomme+ded that a tri#u+a- #e esta#-ished for the 7rosecutio+ of! i+ter a-ia! a-- those :ho Eordered! or :ith @+o:-ed6e thereof a+d :ith 7o:er to i+ter"e+e! a#stai+ed from 7re"e+ti+6 or ta@i+6 measures to 7re"e+t! 7utti+6 a+ e+d to or re7ressi+6! "io-atio+s of the -a:s or customs of :ar9E AFN()B Thou6h this tri#u+a- :as +e"er esta#-ished! the e=iste+ce of co+crete duties 7ertai+i+6 to mi-itar comma+ders :as reco6+ised i+ tria-s co+ducted #efore the Ierma+ Reichs6ericht FSu7reme ,ourtG i+ Lei7Hi69 For e=am7-e! /a8or Be++o ,rusius :as fou+d 6ui-t for ha"i+6 ordered the e=ecutio+ of :ou+ded 7riso+ers of :ar a+d :as se+te+ced to t:o ears co+fi+eme+t9 AFN(5B The 7ri+ci7-e of su7erior res7o+si#i-it :as a-so reco6+ised i+ the cases a6ai+st 'st Lt9 Lud:i6 Dithmar a+d 'st Lt9 3oh+ Bo-dt! :ho :ere fou+d to ha"e "io-ated i+ter+atio+a- -a: #ecause the fired o+ sur"i"ors i+ -ife#oats of the hos7ita- shi7 The L-a+do"er ,ast-e9 AFN(4B The ,ourt fou+d that the comma+der of U2#oat %4! co+trar to i+structio+s of his su7eriors! ordered the tor7edoi+6 of the British *os7ita- Shi7! a+d su#seque+t- 6a"e the order of firi+6 o+ the &15$ sur"i"ors of the su+@e+ shi79 I+ the 8ud6me+t! the ,ourt +oted that u+der its o:+ /i-itar Pe+a- ,ode! Eif the e=ecutio+ of a+ order i+ the ordi+ar course of dut i+"o-"es a "io-atio+ of the
Pa6e )
-a: as is 7u+isha#-e! the su7erior officer issui+6 such order is a-o+e res7o+si#-e9E AFN(<B It :as o+- i+ the aftermath of 1or-d 1ar II that the doctri+e of comma+d res7o+si#i-it for fai-ure to act recei"ed its first 8udicia- reco6+itio+ i+ a+ i+ter+atio+a- co+te=t9 Yet! +either the ,harter for the I+ter+atio+a- /i-itar Tri#u+a- at NRr+#er6 Fthe ENRr+#er6 Tri#u+a-EG AFN(%B +or the ,harter for the I+ter+atio+a- /i-itar Tri#u+a- for the Far East Fthe EFar East Tri#u+a-EG AFN(JB e=7ress- 7ro"ided for the crimi+a- res7o+si#i-it of a mi-itar comma+der for fai-i+6 to 7re"e+t or re7ress the u+-a:fuco+duct of his su#ordi+ates9 I+ s7ite of the dearth of e=7ress 7ro"isio+s o+ this 7oi+t! the 8uris7rude+ce re-ated to crimes 7er7etrated # Ierma+ a+d 3a7a+ese ma8or :ar crimi+a-s duri+6 1or-d 1ar II is 7articu-ar- re-e"a+t! mai+tai+i+6 that those i+ the hi6hest eche-o+s of the mi-itar a+d 7o-itica- comma+d ha"e a dut +ot o+- to com7- :ith the -a:s of :ar! #ut a-so to effecti"e- su7er"ise their su#ordi+ates; com7-ia+ce9 AFN)&B I+ additio+! fo--o:i+6 1or-d 1ar II! the 7ri+ci7-e of su7erior res7o+si#i-it For comma+d res7o+si#i-it as it :as the+ @+o:+G :as a77-ied # a "ariet of +atio+a- courts! :hich #ased the 7rosecutio+ of su7eriors :ho to-erated the crimes of their su#ordi+ates o+ e=7ress 7ro"isio+s of +atio+a- -a:s9 AFN)'B This case -a: &151 demo+strates that the cate6ories of 7er7etrators that ca+ #e co+"icted u+der the theor of su7erior res7o+si#i-it e+com7ass +ot o+- mi-itar officers such as comma+ders AFN)$B a+d other staff officers! #ut a-so 7o-itica- -eaders such as mem#ers of the 6o"er+me+t! AFN)(B other ci"i- ser"a+ts AFN))B a+d i+dustria-ists9 AFN)5B The t 7e of char6es -e"e--ed a6ai+st these accused i+c-uded res7o+si#i-it for the ma-treatme+t # su#ordi+ates of 7riso+ers of :arD AFN)4B s stematic e=termi+atio+ of ci"i-ia+s a+d o77o+e+ts of the re6ime # their su#ordi+atesD AFN)<B acquiesce+ce i+ the e=ecutio+ of ci"i-ia+ hosta6es i+ reta-iatio+ for 6uerri--a attac@sD AFN)%B fai-ure to o77ose the a++ihi-atio+ of the 3e:ish 7o7u-atio+ a+d fai-ure to ta@e -e6a- actio+ to 7re"e+t those crimesD AFN)JB res7o+si#i-it for acts of s-a"e -a#our! murder a+d i--2treatme+t of ci"i-ia+s a+d 7riso+ers of :ar FPO1sG AFN5&B a+d the e+s-a"eme+t a+d de7ortatio+ of ci"i-ia+ a+d PO1 s-a"e -a#our i+ their i+dustria- e+ter7rises9 AFN5'B Thus! there is -itt-e dou#t that the 7ri+ci7-e of su7erior res7o+si#i-it for fai-ure to act :as re-ied u7o+ # mi-itar courts a+d tri#u+a-s short- after 1or-d 1ar II as a "a-id #asis for 7-aci+6 i+di"iduacrimi+a- res7o+si#i-it o+ su7eriors for the crimi+a- acts of their su#ordi+ates9 &154 Ne"erthe-ess! i+ the 7eriod fo--o:i+6 the 1or-d 1ar II cases u7 u+ti- the esta#-ishme+t of Yu6os-a" a+d R:a+da+ ad hoc tri#u+a-s! +o i+ter+atio+a- 8udicia- #od had a77-ied the doctri+e of su7erior res7o+si#i-it 9 AFN5$B It is equa-- sur7risi+6 that i+ s7ite of the e-a#orate 8uris7rude+ce re-ated to 1or-d 1ar II! the Ie+e"a ,o+"e+tio+s of 'J)J do +ot co+tai+ a+ e=7ress refere+ce to this doctri+e9 AFN5(B O+- :ith the e+actme+t of the 'J<< 0dditio+a- Protoco- I to the 'J)J Ie+e"a ,o+"e+tio+s of '$ 0u6ust 'J)J! re-ati+6 to the Protectio+ of ?ictims of I+ter+atio+a- 0rmed ,o+f-icts! AFN5)B :ere 7ro"isio+s detai-i+6 the duties of su7eriors a+d the co+comita+t +otio+ of su7erior res7o+si#i-it i+c-uded i+ a treat te=t9 0rtic-e %< of 0dditio+a- Protoco- I! e+tit-ed EDut of ,omma+ders!E sets forth the dut of comma+ders :ith res7ect to the co+duct of their su#ordi+ates9 This artic-e reco6+iHes that a mi-itar comma+der has a dut to 7re"e+t a+d su77ress "io-atio+s of i+ter+atio+a- huma+itaria+ -a: committed # his su#ordi+ates9 AFN55B The 7ri+ci7-e of i+di"iduacrimi+a- res7o+si#i-it ! u+der :hich a mi-itar comma+der is he-d res7o+si#-e for his fai-ure to 7re"e+t or re7ress the u+-a:fuco+duct of his su#ordi+ates! is e-a#orated i+ 0rtic-e %4 of &156 0dditio+a- Protoco- I! :hich is e+tit-ed EFai-ure to 0ct9E 0rtic-e %4F$G im7oses E7e+a- or disci7-i+ar res7o+si#i-it E o+ su7eriors :ho @+e:! or had i+formatio+ :hich shou-d ha"e e+a#-ed them to co+c-ude i+ the circumsta+ces at the time! that a su#ordi+ate :as committi+6 or :as 6oi+6 to commit such a #reach of the ,o+"e+tio+s or of this Protoco- a+d if the did +ot ta@e a-- feasi#-e measures :ithi+ their 7o:ers to 7re"e+t or re7ress the #reach9 AFN54B The co+ce7t of su7erior res7o+si#i-it is firm- e+shri+ed i+ 0rtic-e <F(G of the I,TY Statute a+d 0rtic-e 4F(G of the I,TR Statute9 These 7ro"isio+s sti7u-ate that a 7erso+ i+ a 7ositio+ of su7erior authorit shou-d #e he-d i+di"idua-res7o+si#-e! +ot o+- for 6i"i+6 the u+-a:fu- order to commit a crime u+der the Statute! #ut a-so for fai-i+6 to 7re"e+t a crime or to deter the u+-a:fu- #eha"ior of his su#ordi+ates throu6h 7u+ishme+t9 U+der the I,TY a+d the I,TR Statutes! such res7o+si#i-it of crimi+a- +e6-i6e+ce is im7uted if the 7erso+ i+ su7erior authorit @+e: or had reaso+ to @+o: that his su#ordi+ates :ere a#out to commit or had committed crimes a+d et fai-ed to ta@e the +ecessar a+d reaso+a#-e ste7s to 7re"e+t or re7ress the commissio+ of such crimes or to 7u+ish those :ho had committed them9 The "a-idit of the 7ri+ci7-e of su7erior res7o+si#i-it for fai-ure to act :as further reaffirmed i+ 'JJ4 i+ the I+ter+atio+a- La: ,ommissio+;s Draft ,ode of ,rimes 06ai+st the Peace a+d Securit of /a+@i+d! :hich co+tai+s a formu-atio+ of the doctri+e "er simi-ar to that fou+d i+ the Statutes of the I,TY a+d the I,TR9 AFN5<B 0s discussed #e-o:! 0rtic-e $% of
Pa6e 5
the I,, Statute! :hich :as ado7ted i+ 'JJ%! is 7ro#-ematic i+ that it does +ot dea- :ith a-- su7eriors i+ a+ e"e+2ha+ded ma++er9 U+-i@e the I,TY a+d the I,TR Statutes! it e=7ress- disti+6uishes #et:ee+ t:o 6rou7s of su7eriors i+sofar as the E@+o:-ed6eE requireme+t is co+cer+ed9 AFN5%B &1$9 III9 ,ONTRIBUTION BY T*E I,TY 0ND I,TR ,0SE L01 The I,TY a+d I,TR case -a: sho:s that i+ order to 7rosecute successfu-- u+der the co+ce7t of su7erior res7o+si#i-it ! four co+ditio+s +eed to #e fu-fi--ed9 The 7rosecutio+ must 7ro"e #e o+d a reaso+a#-e dou#t that: F'G a+ offe+se :as committedD F$G the accused e=ercised su7erior authorit o"er the 7er7etrator of the offe+se or o"er his su7eriorsD F(G the accused @+e: or had reaso+ to @+o: that 7er7etrator :as a#out to commit the offe+se or had a-read do+e soD a+d F)G the accused fai-ed to ta@e the +ecessar a+d reaso+a#-e measures to 7re"e+t the offe+se or to 7u+ish the 7er7etrator9 AFN5JB Each of these co+stitue+t e-eme+ts :i-- #e discussed se7arate- 9 To date! the doctri+e of su7erior res7o+si#i-it has #ee+ a77-ied # I,TY Tria- ,ham#ers i+ the ,e-e#ici! 0-e@so"s@i a+d B-as@ic cases9 0s7ects of the theor :ere addressed #rief- # the I,TY 077ea-s ,ham#er i+ the 0-e@so"@si 077eadecisio+! re+dered o+ /arch $)! $&&&! a+d i+ a more e-a#orate ma++er! i+ the ,e-e#ici 077ea- decisio+ of Fe#ruar $&! $&&'9 AFN4&B 0s far as the I,TR is co+cer+ed! the most detai-ed 8ud6me+t thus far is the Tria- ,ham#er decisio+ i+ .a ishema a+d RuHi+da+a! a-thou6h the doctri+e has a-so #ee+ a77-ied i+ other cases9 AFN4'B 0s :i-- #e see+ #e-o:! the Tria- ,ham#er decisio+ re6ardi+6 .a ishema is the o+- case to refer to disti+ctio+s made i+ the I,, Statute re6ardi+6 the @+o:-ed6e requireme+t9 AFN4$B 09 Proof That a+ Offe+se 1as Ommitted The first requireme+t is that the Prosecutio+ +eeds to 7ro"ide 7roof that a certai+ offe+se! 7rosecuta#-e u+der the I,TY or I,TR Statute! :as committed # a certai+ 7er7etrator or 6rou7FsG of 7er7etrators9 3ud6me+ts i+ :hich tria- cham#ers carefu-- e=ami+ed the 6rou7FsG of 7er7etratorFsG a+d the crimes the committed are! for e=am7-e! the &1$/ 0-e@so"s@i Tria- ,ham#er 3ud6me+t AFN4(B a+d the .a ishema a+d RuHi+da+a Tria- ,ham#er 3ud6me+t9 AFN4)B 0-thou6h this questio+ has +ot #ee+ e=7-icit- addressed i+ the case -a: et! there is +o requireme+t that the su#ordi+ate actua-- #e co+"icted for the offe+se9 Furthermore! to esta#-ish su7erior res7o+si#i-it for a crime! the ma++er i+ :hich a su#ordi+ate 7artici7ated i+ the commissio+ of a+ offe+se is +ot re-e"a+t9 For e=am7-e! the su#ordi+ate ma ha"e #ee+ a co27er7etrator u+der 0rtic-e <F'G of the I,TY Statute or 0rtic-e 4F'G of the I,TR Statute! or ma ha"e aided a+d a#etted the crimi+a- co+duct9 AFN45B The questio+ of the form a+d de6ree of 7artici7atio+ of the su#ordi+ate i+ the commissio+ of the crime ma #e ta@e+ i+to accou+t! ho:e"er! i+ the se+te+ci+6 of the superior9 AFN44B B9 E=iste+ce of a Superior2Su#ordi+ate Re-atio+shi7 '9 The ,riterio+ of EEffecti"e ,o+tro-E The fu+dame+ta- 7remise of the a77-icatio+ of superior respo"si,ility u+der i+ter+atio+a- huma+itaria+ -a: is the e=iste+ce of a re-atio+shi7 #et:ee+ the superior a+d the su#ordi+ate9 Therefore! i+ order for a+ accused to #e fou+d crimi+a-- -ia#-e u+der the theor of superior respo"si,ility! a superior2su#ordi+ate re-atio+shi7 must ha"e e=isted #et:ee+ the accused a+d the 7er7etrator at the re-e"a+t time9 I+ the re6u-ar armed forces the re-atio+shi7 #et:ee+ the superior a+d the su#ordi+ate! a+d the co+te=t :ithi+ :hich these duties are to #e &1$2 im7-eme+ted! i+"o-"es mostdirect su#ordi+atio+ i+ a c-ear- or6a+ised hierarch 9 AFN4<B *o:e"er! the term EsuperiorE is +ot -imited to comma+ders :ho are a#o"e the 7er7etrators i+ the re6u-ar chai+ of comma+d9 AFN4%B 0rtic-e <F(G of the I,TY Statute! 0rtic-e 4F(G of the I,TR Statute! a+d 0rtic-e %4 of 0dditio+a- Protoco- I refer to Esu7eriorsE i+ 6e+era- :ho e=ercise co+tro- o"er su#ordi+ates9 The I,R, ,omme+tar a-so states that 0rtic-e %4 does +ot o+- a77- to su7eriors Eu+der :hose direct orders the su#ordi+ate is 7-acedE #ut i+stead Eshou-d #e see+ i+ terms of a hierarch e+com7assi+6 the co+ce7t of co+tro-9E AFN4JB Furthermore! 0rtic-e %< of Protoco- I s7ecifies that the duties of mi-itar comma+ders e=te+d +ot o+to Earmed forces u+der their comma+dE #ut a-so to Eother 7erso+s u+der their co+tro-9E AFN<&B The test to determi+e :hether a 7erso+ is a su7erior is! accordi+6 to the co+siste+t 8uris7rude+ce of the ad hoc tri#u+a-s!
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o+e of Eeffecti"e co+tro-E For Emateria- a#i-it EG9 O+ the #asis of 8udicia- 7recede+ts a+d the co+ce7t of Ei+direct su#ordi+atio+E defi+ed i+ 0rtic-e %< of the 'J<< 0dditio+a- Protoco- I to the Ie+e"a ,o+"e+tio+s of 'J)J! AFN<'B the ,e-e#ici Tria- ,ham#er he-d that Ei+ order for the 7ri+ci7-e of su7erior res7o+si#i-it to #e a77-ica#-e! it is +ecessar that the su7erior ha"e effecti"e co+tro- o"er the 7erso+s committi+6 the u+der- i+6 "io-atio+s of i+ter+atio+a- huma+itaria+ -a:! i+ the se+se of ha"i+6 the materia- a#i-it to 7re"e+t a+d 7u+ish the commissio+ of these offe+ses9E AFN<$B The &1$5 Tria- ,ham#er i+ the B-as@ic case co+curred :ith this "ie:! a+d he-d that a comma+der ma i+cur crimi+ares7o+si#i-it for crimes committed # 7erso+s :ho are +ot forma-- his FdirectG su#ordi+ates! i+sofar as he e=ercises effecti"e co+tro- o"er them9 AFN<(B The Tria- ,ham#er i+ the B-as@ic case a-so stressed that :hat cou+ts is a su7erior;s materia- a#i-it ! AFN<)B :hich i+stead of issui+6 orders or ta@i+6 disci7-i+ar actio+! ma e+tai-! for i+sta+ce! su#mitti+6 re7orts to the com7ete+t authorities i+ order for 7ro7er measures to #e ta@e+9 AFN<5B Simi-ar- ! i+ the ,e-e#ici case! the I,TR Tria- ,ham#er a6reed that the doctri+e of comma+d res7o+si#i-it is u-timate- 7redicated u7o+ the 7o:er of the su7erior to co+tro- the acts of his su#ordi+ates9 AFN<4B The same "ie: :as e=7ressed i+ the /usema 3ud6me+t9 AFN<<B The I,TY 077ea-s ,ham#er i+ the ,e-e#ici case rece+t- co+firmed that the a77ro7riate sta+dard is the Eeffecti"e co+tro-E sta+dard9 AFN<%B I+ additio+! e"e+ if the most commo+ situatio+ i+ :hich the doctri+e of su7erior res7o+si#i-it ca+ #e a77-ied is i+ re-atio+ to re6u-ar armed forces u+der the direct su#ordi+atio+ of a+ officia-- desi6+ated mi-itar comma+der! the doctri+e is +ot -imited to such 7erso+s9 This is 7articu-ar- im7orta+t for the 7rosecutio+s #efore the I,TY a+d the I,TR9 /a+ of the structures a+d chai+s of comma+d of the armed forces! i+c-udi+6 7arami-itar a+d irre6u-ar mi-itia! o7erati+6 i+ the co+f-icts i+ the e=2SFRY a+d R:a+da! a+d the re-atio+shi7s #et:ee+ them! are +ot a-:a s e"ide+t from forma- authoriHatio+s a+d docume+tatio+9 The fo--o:i+6 o#ser"atio+s made # the 077ea-s ,ham#er i+ the ,e-e#ici case seem therefore! 7articu-ar- 7erti+e+t: The 7o:er or authorit to 7re"e+t or to 7u+ish does +ot so-e- arise from de 8ure authorit co+ferred throu6h officiaa77oi+tme+t9 I+ ma+ co+tem7orar co+f-icts! there ma #e o+- de facto! se-f27roc-aimed 6o"er+me+ts a+d therefore de &1$4 facto armies a+d 7arami-itar 6rou7s su#ordi+ate thereto9 ,omma+d structure! or6a+ised hasti- ! ma :e-- #e i+ disorder a+d 7rimiti"e9 To e+force the -a: i+ these circumsta+ces requires a determi+atio+ of accou+ta#i-it +ot o+- of i+di"idua- offe+ders #ut of their comma+ders or other su7eriors :ho :ere! #ased o+ e"ide+ce! i+ co+troof them :ithout! ho:e"er! a forma- commissio+ or a77oi+tme+t9 0 tri#u+a- cou-d fi+d itse-f 7o:er-ess to e+force huma+itaria+ -a: a6ai+st de facto su7eriors if it o+- acce7ted as 7roof of comma+d authorit a forma- -etter of authorit ! des7ite the fact that the su7eriors acted at the re-e"a+t time :ith a-- the 7o:ers that :ou-d attach to a+ officia-- a77oi+ted su7erior or comma+der9 AFN<JB I+ the /usema case! the I,TR Tria- ,ham#er +eeded to e=ami+e :hether the accused! a director of a tea factor ! cou-d #e he-d -ia#-e u+der 0rtic-e 4F(G of the I,TR Statute for the actio+s of a "ariet of 7er7etrators! :hich i+c-uded +ot o+the em7-o ees of the tea factor ! #ut a-so other ci"i-ia+s! i+ additio+ to so-diers! 7o-ice a+d 7arami-itar 6rou7s FI+teraham:eG9 AFN%&B U7o+ a re"ie: of the e"ide+ce the Tria- ,ham#er co+c-uded that at the time of the e"e+ts a--e6ed i+ the I+dictme+t! /usema e=ercised de 8ure a+d de facto authorit o"er tea factor em7-o ees i+ his officia- ca7acit as Director of the Tea Factor 9 AFN%'B *o:e"er! as for other 6rou7s of 7er7etrators! such as the "i--a6eois 7-a+tatio+ :or@ers! the Tria- ,ham#er reached differe+t co+c-usio+sD :hi-e the ,ham#er :as satisfied that such i+di"idua-s 7ercei"ed /usema as a fi6ure of authorit a+d as someo+e :ho :ie-ded co+sidera#-e 7o:er i+ the re6io+! it :as +ot satisfied #e o+d reaso+a#-e dou#t o+ the #asis of the e"ide+ce 7rese+ted that /usema did! i+ fact! e=ercise de 8ure 7o:er a+d de facto co+tro- o"er these i+di"idua-s9 AFN%$B I+ the case of Serusha6o! the I,TR Tria- ,ham#er co+"icted the accused u7o+ a 6ui-t 7-ea for his ro-e as a 7arami-itar -eader duri+6 the 6e+ocide i+ R:a+da9 AFN%(B The Tria,ham#er acce7ted that at the time of commissio+ of the offe+ses for :hich he :as he-d res7o+si#-e! Omar Serusha6o e+8o ed defi+ite authorit i+ his re6io+ a+d :as a de facto &1$5 -eader of the I+teraham:e i+ Iise+ i9 AFN%)B 1ithi+ the sco7e of the acti"ities of these mi-itiame+! the Tria- ,ham#er fou+d that Serusha6o 6a"e orders that :ere fo--o:ed9 Serusha6o a-so admitted that se"era- "ictims :ere e=ecuted o+ his orders :hi-e he :as ma++i+6 a road#-oc@ erected +ear the #order #et:ee+ R:a+da a+d the Democratic Re7u#-ic of ,o+6o9 AFN%5B The Tria- ,ham#er fou+d him 6ui-t o+ the #asis of 0rtic-e 4F'G a+d 4F(G of the I,TR Statute9 AFN%4B It shou-d #e +oted that! as fo--o:s from the Eeffecti"e co+tro-E test! more tha+ o+e su7erior ca+ #e res7o+si#-e for the acts of the same su#ordi+ates9 This :as affirmed # the Tria- ,ham#ers i+ the 0-e@so"s@i a+d the B-as@ic cases9 AFN%<B Fi+a-- ! it shou-d #e +oted that i+ the rece+t ,e-e#ici 3ud6me+t the I,TY 077ea-s ,ham#er stated c-ear- that the
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doctri+e of comma+d res7o+si#i-it :as +ot i+te+ded to im7ose crimi+a- -ia#i-it o+ 7erso+s for the acts of other 7erso+s of com7-ete- equa- status9 AFN%%B $9 Forma- Desi6+atio+ Is Not a Prerequisite 0rtic-e <F(G of the I,TY Statute a+d 0rtic-e 4F(G of the I,TR Statute refer to Esu7eriorsE i+ 6e+era-9 It is :e-- esta#-ished i+ customar i+ter+atio+a- -a: that su7erior authorit ca+ #e assi6+ed a+d e=ercised i+ a "ariet of forma- Fde 8ureG a+d/or de facto :a s9 This "ie: fi+ds su77ort i+ the comme+taries to 0rtic-es %4 a+d %< of 0dditio+a- Protoco- I9 AFN%JB ,o+"erse- ! a 7erso+ :ho is forma-- a su7erior i+ the -i+e of comma+d ma #e e=c-uded from crimi+a- -ia#i-it if that su7erior does +ot e=ercise actua- co+tro-9 0s e=7-ai+ed i+ the I,R, ,omme+tar ! the e=7ressio+ Esu7eriorE i+ 0rtic-e %< is i+te+ded to co"er Eo+- 999 the su7erior :ho has a 7erso+a- res7o+si#i-it :ith re6ard to the 7er7etrator of the acts co+cer+ed #ecause the -atter 999 is u+der his co+tro-9E AFNJ&B This :as co+firmed i+ 6e+era- terms # the I,TY 077ea-s ,ham#er i+ the ,e-e#ici 077ea- 3ud6me+t: I+ 6e+era-! the 7ossessio+ of de 8ure 7o:er i+ itse-f ma +ot suffice for the fi+di+6 of comma+d res7o+si#i-it if it does +ot &1$$ ma+ifest i+ effecti"e co+tro-! a-thou6h a court ma 7resume that 7ossessio+ of such 7o:er 7rima facie resu-ts i+ effecti"e co+tro- u+-ess 7roof to the co+trar is 7roduced9 AFNJ'B Fi+a-- ! it shou-d #e +oted i+ this re6ard that the te=t of 0rtic-e %< of 0dditio+a- Protoco- I e=7-icit- states that the duties of mi-itar comma+ders e=te+d +ot o+- to Ethe armed forces u+der their comma+dE #ut a-so to Eother 7erso+s u+der their co+tro-9E AFNJ$B 3udicia- decisio+s from the tria-s that occurred after 1or-d 1ar II demo+strate that su7erior authorit ca+ #e e=ercised i+ "arious :a s a+d assume di"er6e+t forms9 I+ the To oda case! the Tri#u+a- fou+d that a comma+der;s res7o+si#i-it cou-d +ot #e artificia-- de-i+eated i+to differe+t @i+ds of forma- authorit ! such as o7eratio+a- authorit a+d admi+istrati"e authorit 9 AFNJ(B The Tri#u+a- he-d that the Ethe 7ractica-ities of the situatio+! the o#-i6atio+s a+d duties of the immediate comma+d! must #e "ie:ed :ith rea-ism!E a+d fou+d that i+ that case the E+a"a- 7erso++e- :ere #oth -e6a-- a+d i+ fact comma+ded # the 3a7a+ese 0rm at the times 999 u+der co+sideratio+9E AFNJ)B I+ the Poh- case! AFNJ5B the court i+ reachi+6 the "erdict co+sidered as hi6h- re-e"a+t the accused;s associatio+ :ith a co+ce+tratio+ cam7 throu6h his use of i+mate -a#or for i+dustries u+der his su7er"isio+9 E"e+ thou6h it :as +ot 7ro"ed that he :as forma-- i+ comma+d of the cam7 or the 7erso+s :ho :or@ed there! he :as he-d res7o+si#-e for the crimes committed a6ai+st the i+mates o+ the #asis of the ro-e he fu-fi--ed i+ rea-it 9 AFNJ4B The US Su7reme ,ourt i+ the Yamashita case discussed a comma+der;s Edut to ta@e such a77ro7riate measures as are :ithi+ his 7o:er to co+tro- the troo7s u+der his comma+d!E rather tha+ those :ithi+ his forma- ma+date or authorit 9 AFNJ<B Simi-ar- ! i+ the /edica- Tria-! AFNJ%B the court he-d that Ethe -a: of :ar im7oses o+ a mi-itar officer i+ a 7ositio+ of comma+d a+ affirmati"e dut to ta@e such ste7s as are :ithi+ his 7o:er9E AFNJJB The &1$1 *osta6es case he-d that :ith res7ect to a comma+der :ith e=ecuti"e authorit o"er occu7ied territor ! direct su#ordi+atio+ is +ot +ecessari- required9 AFN'&&B It is a-so si6+ifica+t that i+ the Ierma+ *i6h ,omma+d Tria-! Fie-d /arsha- "o+ .uech-er :as he-d res7o+si#-e for the i--e6a- e=ecutio+ of Red 0rm so-diers :hich occurred #efore Fa+d afterG he too@ u7 comma+d! o+ the #asis that :ord of a-- of these e=ecutio+s :as re7orted to his headquarters after he assumed comma+d! et he too@ +o 7u+iti"e actio+9 AFN'&'B 0 su7erior;s dut to 7u+ish su#ordi+ates! thus! e"e+ e=te+ds to "io-atio+s that :ere committed #efore the su7erior assumed authorit 9 Fi+a-- ! some ho-d the "ie: that the To@ o Tria- e+u+ciated the 7ri+ci7-e that e"e+ 7erso+s i+ i+f-ue+tia- 7ositio+s! :ho do +ot ha"e direct! forma- co+tro- o"er the 7er7etrators! a-so ma ha"e a dut to ta@e certai+ measures to 7re"e+t "io-atio+s of i+ter+atio+a- huma+itaria+ -a:9 It has #ee+ su66ested that Ie+era- 0@ira /uto :as fou+d crimi+a-- res7o+si#-e o+ the #asis that he :as deemed to ha"e 7ossessed the mea+s to su#sta+tia-- i+f-ue+ce comma+d decisio+s9 AFN'&$B *o:e"er! i+ the rece+t ,e-e#ici 3ud6me+t! the I,TY 077ea-s ,ham#er firm- re8ected the su66estio+ that the +otio+ of effecti"e co+tro- ca+ #e met # 7roof of Esu#sta+tia- i+f-ue+ceE a-o+e: It is c-ear! ho:e"er! that su#sta+tia- i+f-ue+ce as a mea+s of co+tro- i+ a+ se+se :hich fa--s short of the 7ossessio+ of effecti"e co+tro- o"er su#ordi+ates! :hich requires the 7ossessio+ of materia- a#i-ities to 7re"e+t su#ordi+ate offe+ses or to 7u+ish su#ordi+ate offe+ders! -ac@s sufficie+t su77ort i+ State 7ractice a+d 8udicia- decisio+s9 Nothi+6 re-ied o+ # the Prosecutio+ i+dicates that there is sufficie+t e"ide+ce of State 7ractice or 8udicia- authorit to su77ort a theor that su#sta+tia- i+f-ue+ce as a mea+s of e=ercisi+6 comma+d res7o+si#i-it has the sta+di+6 of a ru-e of customar -a:! 7articu-ar- a ru-e # :hich crimi+a- -ia#i-it :ou-d #e im7osed9 AFN'&(B
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The 8uris7rude+ce of the I,TY a+d I,TR Tria- ,ham#ers co+firms that forma- desi6+atio+ as a comma+der For a su7eriorG is +ot a +ecessar 7rerequisite for su7erior res7o+si#i-it ! a+d that such res7o+si#i-it ma #e im7osed # "irtue of a 7erso+;s de facto! as :e-- as de 8ure! 7ositio+ &1$4 of authorit or 7o:ers of co+tro-9 AFN'&)B The ,e-e#ici Tria,ham#er co+c-uded that crimi+a- res7o+si#i-it ca+ #e attri#uted Eu+der the doctri+e of comma+d res7o+si#i-it o+ the #asis of either their de facto or their de 8ure 7ositio+s as su7eriors9 The mere a#se+ce of forma- -e6a- authorit to co+trothe actio+s of su#ordi+ates shou-d therefore +ot #e u+derstood to 7rec-ude the im7ositio+ of such res7o+si#i-it 9E AFN'&5B This 7ositio+ :as e+dorsed # the 077ea-s ,ham#er i+ the same case: EU+der 0rtic-e <F(G! a comma+der or su7erior is thus the o+e :ho 7ossesses the 7o:er or authorit i+ either a de 8ure or a de facto form to 7re"e+t a su#ordi+ate;s crime or to 7u+ish the 7er7etrators of the crime after the crime is committed9E AFN'&4B The 0-e@so"s@i Tria- ,ham#er co+sidered factua- a#i-it of a su7erior i+ additio+ to his forma- ra+@ :he+ it he-d that su7erior authorit is +ot reser"ed for officia- authorities9 AFN'&<B I+ the 0-e@so"s@i case! the Tria- ,ham#er a-so affirmed e=7-icit- that the a#se+ce of de 8ure authorit does +ot 7re"e+t a fi+di+6 of de facto authorit 9 AFN'&%B Simi-ar 7ri+ci7-es :ere u7he-d i+ the /usema 3ud6me+t! i+ :hich the Tria- ,ham#er stated that i+ re-atio+ to 0rtic-e 4F(G! it :as +ecessar to assess the +ature a+d e=te+t of the authorit ! :hether de facto or de 8ure! a+d the effecti"e co+tro- e=ercised # the accused i+ the co+te=t of the e"e+ts a--e6ed i+ the i+dictme+t9 AFN'&JB *o:e"er! some of the -e6a- fi+di+6s of the /usema 3ud6me+t seem questio+a#-e e"e+ if the do +ot affect the fi+a- 8ud6me+t o+ the accused;s res7o+si#i-it 9 AFN''&B &1$6 (9 It Does Not /atter 1hether the Su7erior Is /i-itar or ,i"i-ia+ I+ its comme+tar to 0rtic-e %4 of 0dditio+a- Protoco- I! the I,R, -ame+ts that Ehistor is fu-- of e=am7-es of ci"i-ia+ authorities :hich ha"e #ee+ 6ui-t of :ar crimesD thus +ot o+- mi-itar authorities are co+cer+ed9E AFN'''B I+ the To@ o Tria- ci"i-ia+ su7eriors :ere fou+d 6ui-t of ha"i+6 Ede-i#erate- a+d rec@-ess- disre6arded their -e6a- dut to ta@e ste7s to secure the o#ser"a+ce a+d 7re"e+t #reachesE of the -a:s of :ar! e"e+ thou6h the had +ot s7ecifica-ordered the commissio+ of these #reaches9E AFN''$B There are other tria-s re-ati+6 to 1or-d 1ar II duri+6 :hich ci"i-ia+s :ere fou+d res7o+si#-e for crimes committed # their su#ordi+ates9 AFN''(B The /i+istries case :as co+cer+ed :ith the 7o:er of officia-s i+ the Reich Io"er+me+t to o77ose the a++ihi-atio+ of the 3e:ish 7o7u-atio+ a+d :ith the actio+s to 7re"e+t those crimes -e6a-- required of those officia-s9 AFN'')B Simi-ar- ! i+ the Roech-i+6 E+ter7rises case Ierma+ i+dustria-ists :ere fou+d res7o+si#-e for acts of s-a"e -a#or! murder a+d i--2treatme+t of ci"i-ia+s a+d 7riso+ers of :ar :ho :or@ed i+ their firms #ecause the had the 7o:er a+d i+f-ue+ce to 7re"e+t those crimes or to at -east reduce them co+sidera#- 9 AFN''5B These co+"ictio+s :ere #ased o+ the ratio+a-e that 7erso+s i+ de facto co+tro- are res7o+si#-e for 7erso+s u+der their 7o:er! irres7ecti"e of :hether a mi-itar or ci"i-ia+ fu+ctio+ :as ser"ed9 AFN''4B There ca+ #e -itt-e dou#t that u+der curre+t customar i+ter+atio+a- -a:! the crimi+a- res7o+si#i-it of su7eriors is +ot co+fi+ed to mi-itar comma+ders or to situatio+s arisi+6 u+der a mi-itar comma+d9 0rtic-e <F(G of the I,TY Statute a+d 0rtic-e 4F(G of the I,TR Statute 7ro"ide that a-- Esu7eriorsE ma #e he-d crimi+a-- -ia#-e for the acts of their su#ordi+ates! there# c-ear- a"oidi+6 restrictio+ of its a77-icatio+ to &119 mi-itar 7erso++e- o+- 9 Further! 0rtic-e <F$G of the I,TY Statute a+d 0rtic-e 4F$G of the I,TR Statute s7ecifica-- c-arif that ci"i-ia+ -eaders ma #e he-d crimi+a-res7o+si#-e for the crimes -isted i+ the Tri#u+a-;s Statute9 The fore6oi+6 i+ter7retatio+ :as co+firmed i+ a+ authoritati"e ma++er i+ the 0-e@so"s@i 077ea-! i+ :hich the 077ea-s ,ham#er he-d that Eit does +ot matter :hether he :as a ci"i-ia+ or a mi-itar su7erior! if it ca+ #e 7ro"ed that :ithi+ the .ao+i@ 7riso+! he had the 7o:ers to 7re"e+t or to 7u+ish i+ terms of 0rtic-e <F(G9E AFN''<B Simi-ar "ie:s :ere e=7ressed # the 077ea-s ,ham#er i+ the ,e-e#ici case9 AFN''%B ?irtua-- a-- I,TY a+d the I,TR Tria- ,ham#ers ha"e reached simi-ar co+c-usio+s9 The ,e-e#ici tria- decisio+ is of 7articu-ar i+terest as it addresses the a77-ica#i-it of the doctri+e of comma+d to +o+2mi-itar su7eriors i+ detai-9 AFN''JB It co+c-udes that Ethe a77-ica#i-it of the 7ri+ci7-e of su7erior res7o+si#i-it i+ 0rtic-e <F(G e=te+ds +ot o+- to mi-itar comma+ders #ut a-so to i+di"idua-s i+ +o+2mi-itar 7ositio+s of su7erior authorit 9E AFN'$&B The court a-so fi+ds that Eit is +ecessar that the su7erior ha"e effecti"e co+tro- o"er the 7erso+s committi+6 the u+der- i+6 "io-atio+s of i+ter+atio+a- huma+itaria+ -a:! i+ the se+se of ha"i+6 the materia- a#i-it to 7re"e+t a+d 7u+ish the commissio+ of those offe+ses9E AFN'$'B /oreo"er! it shou-d #e +oted that I,TR Tria- ,ham#ers ha"e e+tered 8ud6me+t a6ai+st a series of su7eriors o+ the #asis of 0rtic-e 4F(G! ma+ of :hom ca++ot #e descri#ed as #e-o+6i+6 to the forma- mi-itar hierarch of the cou+tr ! for e=am7-e: .am#a+da Fe=27rime mi+ister of R:a+daG! Serusha6o Fa 7romi+e+t -ocaci"i-ia+ a+d -eader of the mem#ers of the I+teraham:eGD /usema Fdirector of a tea factor G a+d .a ishema Fa 7refectG9 Of +ote! i+ the .a ishema a+d RuHi+da+a case! The I,TR Tria- ,ham#er co+c-uded that
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the crucia- questio+ i+ those cases :as +ot the ci"i-ia+ status of the accused! #ut of the de6ree of authorit he e=ercised o"er his su#ordi+ates9 0ccordi+6- the ,ham#er acce7ts the su#missio+ made # the Prosecutio+ that a ci"i-ia+ i+ a 7ositio+ of authorit ma #e -ia#-e u+der the doctri+e of comma+d res7o+si#i-it 9 AFN'$$B The Tria- ,ham#er i+ the /usema case made simi-ar o#ser"atio+s9 AFN'$(B &11/ Fi+a-- ! the IL, Re7ort o+ the Draft ,ode of ,rimes a6ai+st the Peace a+d Securit of /a+@i+d co+firmed the state of customar i+ter+atio+a- -a: o+ this questio+ i+ 'JJ49 The re7ort +otes that the refere+ce to Esu7eriorsE is sufficie+t- #road to co"er mi-itar comma+ders or other ci"i-ia+ authorities :ho are i+ a simi-ar 7ositio+ of comma+d a+d e=ercise a simi-ar de6ree of co+tro- :ith res7ect to their su#ordi+ates9 AFN'$)B I+ the -i6ht of the fore6oi+6! the o#ser"atio+ made i+ the 0@a esu 3ud6me+t that the questio+ of :hether the co+ce7t of su7erior res7o+si#i-it a77-ies to +o+2mi-itar su7eriors :ou-d sti-- #e co+te+tious does +ot seem to accurate- ref-ect the state of customar -a:9 AFN'$5B The fore6oi+6 has #ee+ co+firmed i+ a+ authoritati"e fashio+ # the 077ea-s ,ham#er of the I,TY9 I+ the rece+t ,e-e#ici 077ea- 3ud6me+t the I,TY 077ea-s ,ham#er o#ser"ed first that i+ its "ie:! the term Ecomma+dE +orma-mea+s 7o:ers that attach to a mi-itar su7erior! :hi-e the term Eco+tro-!E :hich has a :ider mea+i+6! ma e+com7ass 7o:ers :ie-ded # ci"i-ia+ -eaders9 AFN'$4B The 077ea-s ,ham#er a-so affirmed i+ the c-earest 7ossi#-e terms that it Edoes +ot co+sider that the ru-e is co+tro"ersia- that ci"i-ia+ -eaders ma i+cur res7o+si#i-it i+ re-atio+ to acts committed # their su#ordi+ates or other 7erso+s u+der their effecti"e co+tro-9E AFN'$<B This is +ot to sa ! of course! that the e=act terms of the requireme+ts for ho-di+6 ci"i-ia+ -eaders -ia#-e are as c-ear as for mi-itar comma+ders9 I+ this re6ard! the Tria- ,ham#er i+ the 0-e@so"s@i case :as of the "ie: that the Esa+ctio+i+6 7o:er!E i9e9! the 7o:er of the ci"i-ia+ superior to 7re"e+t or 7u+ish! +ecessari- had to #e -o:er or "ie:ed more -i#era-tha+ a mi-itar superior i+ the same 7ositio+9 AFN'$%B I+ additio+! as discussed #e-o:! the e=act thresho-d of the @+o:-ed6e requireme+t for +o+2mi-itar superiors remai+s to #e c-arified9 It is a-so true that the esta#-ished authorities a+d the case -a:! 7articu-ar- i+ fo--o:i+6 1or-d 1ar II! are more de"e-o7ed for mi-itar superiors The 077ea-s ,ham#er of the I,TY co+firmed as much :he+ it stated i+ the rece+t ,e-e#ici 077ea- 3ud6me+t that :hi-e EAcBi"i-ia+ superiors u+dou#ted- #ear respo"si,ility for su#ordi+ate offe+ses u+der certai+ co+ditio+s 999 :hether their respo"si,ility co+tai+s ide+tica- e-eme+ts to that of mi-itar comma+ders is +ot c-ear i+ customar -a:9E AFN'$JB Because &112 there are a+ i+creasi+6 +um#er of +o+2mi-itar superiors that are #ei+6 char6ed :ith 0rtic-e <F(G/4F(G respo"si,ility! a c-arificatio+ of this questio+ :i-- u+dou#ted- #e 7ro"ided i+ due course # the case -a: of the ad hoc tri#u+a-s9 )9 No Limitatio+ to E1ar ,rimesE ,ommitted i+ I+ter+atio+a- 0rmed ,o+f-icts The doctri+e of comma+d respo"si,ility has its ori6i+s i+ 7ro"isio+s dea-i+6 :ith :ar crimes i+ i+ter+atio+a- armed co+f-icts o+- 9 These t:o sets of -imitatio+s are a77are+t u7o+ readi+6 0rtic-es %4 a+d %< of 0dditio+a- Protoco- I9 *o:e"er! there are sufficie+t 6rou+ds to ar6ue that these -imitatio+s +o -o+6er o#tai+9 First! as far as the first -imitatio+ is co+cer+ed! it is c-ear that doctri+e is #ei+6 a77-ied i+ re-atio+ to a :ide ra+6e of i+ter+atio+a- crimes! such as :ar crimes! crimes a6ai+st huma+it or 6e+ocide9 0s is a77are+t from the I,TY! I,TR a+d I,, Statutes! the Ei+ter+atio+a-e6is-atorE has a77-ied the co+ce7t of su7erior res7o+si#i-it to a :ide ra+6e of i+ter+atio+a- crimes! a+d +ot mere- to the traditio+a- cate6or of :ar crimes9 The IL, Re7ort o+ the Draft ,ode of ,rimes a6ai+st the Peace a+d Securit of /a+@i+d co+firms that this is the state of customar i+ter+atio+a- -a: o+ this issue9 AFN'(&B Seco+d- ! as far as the seco+d -imitatio+ is co+cer+ed! the I,TY Prosecutor has co+siste+t- re-ied o+ 0rtic-e <F(G of the Statute! irres7ecti"e of the +ature of the armed co+f-ict9 0s7ects of this char6i+6 7ractice of the Prosecutio+ ha"e #ee+ cha--e+6ed o+- i+ a fe: cases! i+ re-atio+ to the co+ce7t of Esu7eriorE res7o+si#i-it u+der 0rtic-e <F(G9 I+ three of these cases! tria- cham#ers ha"e issued i+ter-ocutor decisio+s dismissi+6 the defe+se o#8ectio+s o+ the 6rou+d that the 7ri+ci7-e of i+di"iduacrimi+a- res7o+si#i-it of su7eriors22for fai-ure to 7re"e+t or re7ress the crimes committed # su#ordi+ates22formed 7art of customar i+ter+atio+a- -a: at the time of the commissio+ of the offe+ses char6ed i+ the i+dictme+t a6ai+st the accused9 AFN'('B The ,e-e#ici Tria,ham#er reached a simi-ar co+c-usio+9 AFN'($B &115 To6ether! these decisio+s co+firm i+ u+am#i6uous terms that
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0rtic-e %4 of 0dditio+a- Protoco- ' o+ EFai-ure to 0ct!E a+d 0rtic-e %< of 0dditio+a- Protoco- I! dea-i+6 :ith the EDut of ,omma+ders!E ref-ect customar -a:9 Si6+ifica+t- ! i+ re8ecti+6 cha--e+6es to the customar -a: status of the +otio+ of su7erior res7o+si#i-it ! the Tria- ,ham#ers i+ the aforeme+tio+ed cases did +ot d:e-- o+ the character of the armed co+f-ict9 ,o+seque+t- ! these cases ca+ #e cited i+ su77ort of the char6i+6 7ractice :here# the Etoo-sE -aid do:+ i+ 0dditio+a- Protoco- I ca+ #e used i+ cases :here the character of the co+f-ict is +ot! or +ot et! determi+ed9 I+ a simi-ar "ei+! o+e shou-d +ote that the I,TR Statute co+tai+s a 7ro"isio+ o+ su7erior res7o+si#i-it e"e+ thou6h it seems to 7re8ud6e the armed co+f-ict i+ R:a+da as a +o+2i+ter+atio+a- armed co+f-ict of the t 7e referred to i+ ,ommo+ 0rtic-e ( to the Ie+e"a ,o+"e+tio+s a+d 0dditio+a- Protoco- II9 Therefore! a-- I,TR 8ud6me+ts i+ :hich accused are co+"icted o+ the #asis of the 7ri+ci7-e of su7erior res7o+si#i-it ca+ #e see+ as co+firmi+6 the "ie: that u+der co+tem7orar i+ter+atio+a- crimi+a- -a:! this theor a77-ies to +o+i+ter+atio+a- armed co+f-icts as :e--9 AFN'((B 59 ,o+curre+t 077-icatio+ of Theories of Lia#i-it I+ most cases! the Prosecutor te+ds to char6e su7eriors +ot o+- :ith -ia#i-it u+der 0rtic-e <F(G of the I,TY Statute For 4F(G of the I,TR StatuteG! #ut a-so i+ re-atio+ to the same co+duct u+der the mai+ theor of -ia#i-it set forth i+ <F'G of the I,TY Statute For 4F'G of the I,TR StatuteG9 Se"era- I,TY Tria- ,ham#ers ha"e +ot o+- e=7-icit- a77ro"ed of this char6i+6 7ractice! #ut ha"e fou+d a-so that co+"ictio+ u+der #oth 7ro"isio+s :as 7ossi#-e9 The 7ro7ositio+ that res7o+si#i-it u+der 0rtic-es <F'G a+d <F(G is mutua-- e=c-usi"e :as fou+d to #e Eu+im7eacha#-e!E # the ,e-e#ici Tria,ham#er! #ut o+- i+ theor 9 AFN'()B I+ 7ractice! I,TY tria- cham#ers ha"e fou+d that there are factua- situatio+s re+deri+6 the char6i+6 a+d co+"icti+6 of the same 7erso+ u+der #oth 0rtic-es <F'G a+d <F(G 7erfect- a77ro7riate: EA0B comma+di+6 officer ca+ #e he-d -ia#-e either o+ the #asis of his o:+ acts 7ursua+t to 0rtic-e <F'G! or o+ the #asis of his fai-ure to 7re"e+t or 7u+ish the i--e6a- actio+s of his su#ordi+ates 7ursua+t to 0rtic-e <F(G! or! :here a77ro7riate! #oth9E AFN'(5B 0ccordi+6- ! i+ the ,e-e#ici case! the Tria- &114 ,ham#er fou+d the comma+der of the 7riso+2cam7! Mdra"@o /ucic! 6ui-t u+der #oth <F'G a+d <F(G res7o+si#i-it 9 AFN'(4B O+ the #asis of this 8uris7rude+ce! it cou-d #e c-aimed that the t:o forms of res7o+si#i-it are +ot mutua-- e=c-usi"e a+d ca+ #e char6ed either cumu-ati"e- or a-ter+ati"e- 9 This "ie: has recei"ed a fo--o:i+6 i+ the I,TR 8uris7rude+ce9 I+ the case of .a ishema22:ho :as char6ed #oth u+der 0rtic-e 4F'G a+d 4F(G i+ re-atio+ to the same co+duct22the Tria,ham#er c-arified that a+ im7orta+t disti+ctio+ shou-d #e made accordi+6 to :hether the accused did or did +ot order certai+ crimes to #e committed # his su#ordi+ates9 It he-d that :here it ca+ #e sho:+ that the accused :as the de 8ure or de facto su7erior! a+d that the atrocities :ere committed 7ursua+t to his orders! these facts :ere suffice to esta#-ish comma+d res7o+si#i-it 9 AFN'(<B I+ such a case! the ,ham#er +eed o+- co+sider :hether he @+e:! or had reaso+ to @+o:! a+d fai-ed to 7re"e+t or 7u+ish the commissio+ of the crimes if he did +ot i+ fact order them9 AFN'(%B The 8ud6me+t co+tai+s ma+ e=am7-es of factua- fi+di+6s i+ :hich .a ishema as a 7refect :as fou+d -ia#-e #oth u+der 4F'G a+d 4F(G for crimes :hich he had actua-- ordered his su#ordi+ates to commit9 AFN'(JB I+ the /usema case! the accused :as a-so fou+d -ia#-e u+der 0rtic-e 4F'G a+d 4F(G i+ re-atio+ to crimes :hich he had ordered his su#ordi+ates to commit9 AFN')&B Ne"erthe-ess! these fi+di+6s ha"e #ee+ questio+ed to a certai+ de6ree as a resu-t of the 7ri+ci7-ed 7ositio+ ta@e+ # the Tria- ,ham#er i+ the B-as@ic 8ud6me+t9 I+ that case the Tria- ,ham#er he-d that it :ou-d #e i--o6ica- to ho-d a comma+der crimi+a-- res7o+si#-e for 7-a++i+6! i+sti6ati+6 or orderi+6 the commissio+ of crimes a+d! at the same time! re7roach him for +ot 7re"e+ti+6 or 7u+ishi+6 them9 *o:e"er! as su#mitted # the Prosecutio+! the fai-ure to 7u+ish 7ast crimes! :hich e+tai-s the comma+der;s res7o+si#i-it u+der 0rtic-e <F(G! ma ! 7ursua+t to 0rtic-e <F'G a+d su#8ect to the fu-fi-me+t AsicB of the res7ecti"e me+s rea a+d actus reus requireme+ts! a-so #e the &115 #asis for his -ia#i-it for either aidi+6 a+d a#etti+6 or i+sti6ati+6 the commissio+ of further crimes9 AFN')'B *o:e"er! :hi-e the B-as@ic 8ud6me+t 7ur7orts to e+u+ciate as a 6e+era- 7ri+ci7-e that a 7erso+ ca++ot #e fou+d 6ui-t #oth u+der 0rtic-es <F'G a+d <F(G! there is -itt-e i+dicatio+ that this 7ri+ci7-e :as ri6orous- a77-ied # the Tria- ,ham#er to the factua- fi+di+6s of the case9 The I,TY Tria- ,ham#er ofte+ co+c-udes that o+ the e"ide+ce 7rese+ted! the accused :as res7o+si#-e for the acts of 7ersecutio+ committed # his su#ordi+ates! either #ecause he ordered them to #e committed or fai-ed to 7re"e+t them9 AFN')$B This is a-so the 6e+eraco+c-usio+ reached # the Tria- ,ham#er: EI+ a+ e"e+t! as a comma+der! he fai-ed to ta@e the +ecessar a+d reaso+a#-e measures :hich :ou-d ha"e a--o:ed these crimes to #e 7re"e+ted or the 7er7etrators thereof to #e 7u+ished9E AFN')(B
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0r6ua#- ! the differe+t theoretica- a77roaches to the questio+ of co+curre+t a77-icatio+ of the t:o forms of -ia#i-it cou-d 7oi+t to fu+dame+ta-- differe+t "ie:s he-d o+ the sco7e a+d the e=act +ature of the +otio+ of su7erior res7o+si#i-it 9 O+e "ie: is that the +otio+ of su7erior res7o+si#i-it is i+ esse+ce! a residua- char6e amou+ti+6 to a form of accom7-ice -ia#i-it for cases of +e6-i6e+t su7er"isio+9 I+ this "ie: the+! 0rtic-e <F'G/4F'G a+d 0rtic-e <F(G/4F(G are o+- a-ter+ati"e forms of -ia#i-it 9 The o77osite "ie: e-e"ates the +otio+ of su7erior res7o+si#i-it to a fu--f-ed6ed i+stitutio+ that e+com7asses more tha+ mere- 7u+ishi+6 su7eriors for +e6-i6e+t su7er"isio+9 It is o+- i+ the -atter "ie: that char6i+6 a+d co+"icti+6 the same 7erso+ u+der #oth 0rtic-e <F'G/4F'G a+d 0rtic-e <F(G/4F(G is 7erfect- a77ro7riate9 The res7ected author 19 *9 Par@s has 7ro"ided the fo--o:i+6 e-a#oratio+ of the sta+dard for comma+d res7o+si#i-it ! #ut it is hard to 6au6e :hich "ie: he :ou-d su77ort: 0cce7ta+ce of comma+d c-ear- im7oses u7o+ the comma+der a dut to su7er"ise a+d co+tro- the co+duct of his su#ordi+ates i+ accorda+ce :ith e=isti+6 7ri+ci7-es of the -a: of :ar9 Equa-- c-ear! a comma+der :ho orders or directs the commissio+ of :ar crimes shares the 6ui-t of the actua- 7er7etrators of the offe+se9 This is true :hether the order ori6i+ates :ith that comma+der or is a+ order 7ate+t- i--e6a- 7assed from a hi6her comma+d throu6h the accused comma+der to his su#ordi+ates9 O+- the 6e+re of cu-7a#i-it ma disti+6uish the comma+der from those mem#ers of his &11$ comma+d accused of committi+6 the :ar crimes for :hich he is char6ed9 AFN'))B ,9 The /e+ta- E-eme+t The me+s rea requireme+t for su7erior res7o+si#i-it ! -aid do:+ i+ 0rtic-e <F(G of the I,TY Statute a+d 0rtic-e 4F(G of the I,TR Statute! is that the accused either E@+e:E or Ehad reaso+ to @+o:E that a su#ordi+ate :as a#out to commit a crime! or had a-read do+e so9 '9 .+o:-ed6e The term E@+e:E im7-ies actua- @+o:-ed6e9 .+o:-ed6e ma +ot #e 7resumed! #ut actua- @+o:-ed6e ca+ #e esta#-ished either throu6h: F'G direct e"ide+ce of actua- @+o:-ed6eD or F$G circumsta+tia- e"ide+ce from :hich it ca+ #e i+ferred that the comma+der must ha"e had actua- @+o:-ed6e9 AFN')5B I+ the case of mi-itar comma+ders! I,TY tria- cham#ers ha"e acce7ted that i+ order to determi+e :hether actua- @+o:-ed6e ca+ #e i+ferred from circumsta+tia- e"ide+ce! the ma resort to co+sideri+6 re-e"a+t factors su66ested i+ the Fi+a- Re7ort of the ,ommissio+ of E=7erts9 AFN')4B The re-e"a+t factors i+c-ude: the +um#er of i--e6a- actsD the t 7e of i--e6a- actsD the sco7e of i--e6a- actsD the time duri+6 :hich the i--e6a- acts occurredD the +um#er a+d t 7e of troo7s i+"o-"edD the -o6istics i+"o-"ed! if a+ D the 6eo6ra7hica- -ocatio+ of the actsD the :ides7read occurre+ce of the actsD the tactica- tem7o of o7eratio+sD the modus o7era+di of simi-ar i--e6aactsD the officers a+d staff i+"o-"edD a+d the -ocatio+ of the comma+der at the time9 AFN')<B I+ additio+! i+ the B-as@ic AFN')%B a+d 0-e@so"s@i AFN')JB cases! the Tria- ,ham#ers he-d that the +ature a+d sco7e of the 7articu-ar 7ositio+ he-d # the su7erior :as a si6+ifica+t i+dicator of the su7erior;s actua- @+o:-ed6e of crimes that ma ha"e #ee+ committed # his or her su#ordi+ates9 AFN'5&B The ,omme+tar to the 0dditio+a- Protoco-s a-so -ists as additio+a- factors te+di+6 to i+dicate that a+ accused had the requisite @+o:-ed6e to e+tai- &111 su7erior res7o+si#i-it : FaG character traits of su#ordi+atesD F#G e"e+ts ta@i+6 7-ace duri+6 a+ tem7orar a#se+cesD a+d FcG the -ac@ of i+structio+ of su#ordi+ates9 AFN'5'B $9 E*ad Reaso+ to .+o:E The i+ter7retatio+ of the Ehad reaso+ to @+o:E co+ce7t has #ee+ more co+te+tious9 Not o+- ha"e I,TY Tria- ,ham#ers come to differe+t co+c-usio+s o+ this issue! the I,, Statute has ado7ted differe+t sta+dards for mi-itar a+d +o+2mi-itar su7eriors9 The I,TY cases i+ questio+ are the ,e-e#ici a+d B-as@ic Tria- ,ham#er decisio+s9 Both 8ud6me+ts e=ami+e the co+te+t of customar i+ter+atio+a- -a: i+ detai- o+ this questio+! #ut come to differe+t co+c-usio+s9 AFN'5$B Im7orta+t as7ects of this questio+ ha"e rece+t- #ee+ addressed # the 077ea-s ,ham#er i+ the ,e-e#ici 077ea3ud6me+t9 AFN'5(B The ,e-e#ici Tria- ,ham#er ado7ted the fo--o:i+6 i+ter7retatio+ of Ehad reaso+ to @+o:E: 0 su7erior ca+ #e he-d crimi+a-- res7o+si#-e o+- if some s7ecific i+formatio+ :as i+ fact a"ai-a#-e to him :hich
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:ou-d 7ro"ide +otice of offe+ses committed # his su#ordi+ates9 This i+formatio+ +eed +ot #e such that it # itse-f :as sufficie+t to com7e- the co+c-usio+ of the e=iste+ce of such crimes9 It is sufficie+t that the su7erior :as 7ut o+ further i+quir # the i+formatio+! or! i+ other :ords! that it i+dicated the +eed for additio+a- i+"esti6atio+ i+ order to ascertai+ :hether offe+ses :ere #ei+6 committed or a#out to #e committed # his su#ordi+ates9 AFN'5)B B co+trast! the B-as@ic Tria- ,ham#er ado7ted a differe+t i+ter7retatio+9 AIBf a comma+der has e=ercised due di-i6e+ce i+ the fu-fi-me+t of his duties et -ac@s @+o:-ed6e that crimes are a#out to #e or ha"e #ee+ committed! such -ac@ of @+o:-ed6e ca++ot #e he-d a6ai+st him9 *o:e"er! ta@i+6 i+to accou+t his 7articu-ar 7ositio+ of comma+d a+d the circumsta+ces 7re"ai-i+6 at the time! such i6+ora+ce ca++ot #e a defe+ce :here the a#se+ce of @+o:-ed6e is the resu-t of +e6-i6e+ce i+ the dischar6e of &114 his duties: this comma+der had reaso+ to @+o: :ithi+ the mea+i+6 of the Statute9 AFN'55B The B-as@ic Tria- ,ham#er thus fou+d that if a comma+der has e=ercised due di-i6e+ce i+ the fu-fi-me+t of his duties et -ac@s @+o:-ed6e that crimes are a#out to #e or ha"e #ee+ committed! such -ac@ of @+o:-ed6e ca++ot #e he-d a6ai+st him9 *o:e"er! ta@i+6 i+to accou+t his 7articu-ar 7ositio+ of comma+d a+d the circumsta+ces 7re"ai-i+6 at the time! such i6+ora+ce ca++ot #e a defe+se :here the a#se+ce of @+o:-ed6e is the resu-t of +e6-i6e+ce i+ the dischar6e of his duties9 This comma+der! accordi+6 to the B-as@ic Tria- ,ham#er! had reaso+ to @+o: :ithi+ the mea+i+6 of the Statute9 AFN'54B The a77roach ta@e+ # the B-as@ic Tria- ,ham#er has the effect of tur+i+6 the Ehad reaso+ to @+o:E sta+dard u+der certai+ circumsta+ces i+to a case that the comma+der Eshou-d ha"e @+o:+9E *o:e"er! the a77roach ta@e+ # the B-as@ic Tria- ,ham#er! :as firm- re8ected # the I,TY 077ea-s ,ham#er i+ the ,e-e#ici case9 The 077ea-s ,ham#er :as of the "ie: that the Eshou-d ha"e @+o:+ sta+dardE tur+ed the theor of su7erior res7o+si#i-it i+to a "icarious -ia#i-it doctri+e! a@i+ to a form of strict im7uted -ia#i-it 9 AFN'5<B I+ affirmi+6 the ho-di+6s of the ,e-e#ici Tria- ,ham#er o+ the questio+ of the i+ter7retatio+ of Ehad reaso+ to @+o:!E the 077ea-s ,ham#er 6a"e the fo--o:i+6 reaso+s: 0rtic-e <F(G of the Statute is co+cer+ed :ith su7erior -ia#i-it arisi+6 from fai-ure to act i+ s7ite of @+o:-ed6e9 Ne6-ect of a dut to acquire such @+o:-ed6e! ho:e"er! does +ot feature i+ the 7ro"isio+ as a se7arate offe+se! a+d a su7erior is +ot therefore -ia#-e u+der the 7ro"isio+ for such fai-ures #ut o+- for fai-i+6 to ta@e +ecessar a+d reaso+a#-e measures to 7re"e+t or to 7u+ish The 077ea-s ,ham#er ta@es it that the Prosecutio+ see@s a fi+di+6 that Ereaso+ to @+o:E e=ists o+ the 7art of a comma+der if the -atter is serious- +e6-i6e+t i+ his dut to o#tai+ the re-e"a+t i+formatio+9 The 7oi+t here shou-d +ot #e that @+o:-ed6e ma #e 7resumed if a 7erso+ fai-s i+ his dut to o#tai+ the re-e"a+t i+formatio+ of a crime! #ut that it ma #e 7resumed if he had the mea+s to o#tai+ the @+o:-ed6e #ut de-i#erate- refrai+ed from doi+6 so9 The Prosecutio+;s ar6ume+t that a #reach of the dut of a su7erior to remai+ co+sta+t- i+formed of his su#ordi+ate;s actio+s &116 :i-- +ecessari- resu-t i+ crimi+a- -ia#i-it comes c-ose to the im7ositio+ of crimi+a- -ia#i-it o+ a strict or +e6-i6e+ce #asis9 It is ho:e"er +oted that a-thou6h a comma+der;s fai-ure to remai+ a77rised of his su#ordi+ates; actio+! or to set u7 a mo+itori+6 s stem ma co+stitute a +e6-ect of dut :hich resu-ts i+ -ia#i-it :ithi+ the mi-itar disci7-i+ar frame:or@! it :i-- +ot +ecessari- resu-t i+ crimi+a- -ia#i-it 9 AFN'5%B 0s a resu-t of this decisio+! the I,TY Prosecutio+ :i-- ha"e to meet the hi6her sta+dard! i+ that it +eeds to 7ro"e that Ei+formatio+ :as a"ai-a#-e to Athe su7eriorB :hich :hou-d ha"e 7ut him o+ +otice of offe+ces AsicB committed # su#ordi+ates9E AFN'5JB I+ accorda+ce :ith the ho-di+6s of the ,e-e#ici Tria- ,ham#er! :hich :ere e+dorsed # the 077ea-s ,ham#er! this i+formatio+ +eed +ot #e such that it # itse-f :as sufficie+t to com7e- the co+c-usio+ of the e=iste+ce of such crimes9 It is sufficie+t that the su7erior :as 7ut o+ further i+quir # the i+formatio+! or! i+ other :ords! that it i+dicated the +eed for additio+ai+"esti6atio+ i+ order to ascertai+ :hether offe+ses :ere #ei+6 committed or a#out to #e committed # his su#ordi+ates9 AFN'4&B Fi+a-- ! it shou-d #e +oted that +either the I,TY +or the I,TR Statute disti+6uish #et:ee+ mi-itar a+d +o+2mi-itar su7eriors! #ut that the I,, Statute! ado7ted i+ 'JJ%! ma@es a co+tro"ersia- disti+ctio+ #et:ee+ Ea mi-itar comma+der or 7erso+ effecti"e- acti+6 as a mi-itar comma+derE o+ the o+e ha+d! a+d other su7erior2su#ordi+ate re-atio+shi7s o+ the other9 AFN'4'B The I,TR Tria- ,ham#er decisio+ i+ .a ishema a+d RuHi+da+a sta+ds out as the o+- decisio+ thus far to e=7-icit- co+sider the I,, Statute;s disti+ctio+ #et:ee+ mi-itar comma+ders a+d other su7eriors9 AFN'4$B I+ that case! the I,TR Tria- ,ham#er fou+d the Ehad reaso+ to @+o:E co+ce7t u+c-ear! #ut +oted that the disti+ctio+ em#odied i+
Pa6e '(
0rtic-e $% of the I,, Statute :as i+structi"e9 It 8ud6ed that the -atter 7ro"isio+ im7oses a more acti"e dut u7o+ a mi-itar su7erior to i+form himse-f of the acti"ities of his su#ordi+ates :he+ he E@+e: or! o:i+6 to the circumsta+ces at the time! &149 shou-d ha"e @+o:+ that the forces :ere committi+6 or a#out to commit such crimes9E The Tria- ,ham#er the+ cited the me+s rea e-eme+t dema+ded of a-- other su7eriors :ho must ha"e! accordi+6 to the 'JJ% Statute! EA@+o:+B! or co+scious- disre6arded i+formatio+ :hich c-ear- i+dicated! that the su#ordi+ates :ere committi+6 or a#out to commit such crimes9E AFN'4(B The Tria- ,ham#er added that it a6reed :ith this "ie: to the e=te+t that it does +ot dema+d a 7rima facie dut u7o+ a +o+2mi-itar comma+der to #e seiHed of e"er acti"it of a-- 7erso+s u+der his or her co+tro-9 AFN'4)B *o:e"er! it shou-d #e +oted that the ,e-e#ici 077ea-s ,ham#er de-i#erate- refused to co+sider :hether the doctri+e of su7erior res7o+si#i-it for ci"i-ia+ su7eriors co+tai+s ide+tica- e-eme+ts to that a77-ica#-e to mi-itar comma+ders9 AFN'45B *e+ce! u+certai+t remai+s as to e=act mea+i+6 of the Ehad reaso+ to @+o:E co+ce7t for +o+2mi-itar su7eriors9 D9 Necessar a+d Reaso+a#-e /easures The se7aratio+ #et:ee+ the requireme+t of E+ecessar a+d reaso+a#-eE measures a+d the e-eme+t of Eeffecti"e co+tro-E discussed a#o"e is some:hat du7-icati"e9 I+ the ,e-e#ici 077ea- 3ud6me+t the 077ea-s ,ham#er he-d that! :hi-e customar -a: has s7ecificied a sta+dard of Eeffecti"e co+tro-!E it does +ot s7ecif the mea+s # :hich the co+tro- must #e e=ercised9 Ne"erthe-ess! the 077ea-s ,ham#er c-arified that the 7ossessio+ of effecti"e co+tro- Erequires the 7ossessio+ of the materia- a#i-ities to 7re"e+t su#ordi+ate offe+ces or to 7u+ish offe+ders9E AFN'44B The 7rerequisite of su7erior authorit o"er 7er7etrators i+cor7orates the a#i-it to im7-eme+t 7re"e+tati"e or 7u+iti"e measures9 This :as co+firmed # the 3ud6me+t of the 077ea-s ,ham#er i+ the 0-e@so"s@i case: 0rtic-e <F(G 7ro"ides the -e6a- criteria for comma+d res7o+si#i-it ! thus 6i"i+6 the :ord Ecomma+derE a 8uridicamea+i+6! i+ that the 7ro"isio+ #ecomes a77-ica#-e o+- :here a su7erior :ith the required me+ta- e-eme+t fai-ed to e=ercise his 7o:ers to 7re"e+t su#ordi+ates from committi+6 offe+ses or to 7u+ish them after:ards9 This +ecessariim7-ies that a su7erior must ha"e such 7o:ers 7rior to his fai-ure to e=ercise them9 AFN'4<B &14/ This "ie: is a-so ref-ected i+ the fo--o:i+6 7ara6ra7h of the B-as@ic 3ud6me+t: The Tria- ,ham#er has a-read characterised a Esu7eriorE as a 7erso+ e=ercisi+6 Eeffecti"e co+rtro-E o"er his su#ordi+ates 9999 :here a 7erso+ has the materia- a#i-it to 7re"e+t or 7u+ish crimes committed # others! that 7erso+ must #e co+sidered a su7erior9 0ccordi+6- ! it is a comma+der;s de6ree of effecti"e co+rtro-! his materia- a#i-it ! :hich :i-- 6uide the Trai- ,ham#er i+ determi+i+6 :hether he reaso+a#- too@ the measures required either to 7re"e+t the crime or to 7u+ish the 7er7etrator 9999 this im7-ies that! u+der some circumsta+ces! a comma+der ma dischar6e his o#-i6atio+ to 7re"e+t or 7u+ish # re7orti+6 the matter to the com7ete+t authorities9 AFN'4%B I+ a simi-ar "ei+! the Tria- ,ham#ers i+ the ,e-e#ici a+d .a ishema a+d RuHi+da+a cases he-d that the doctri+e of comma+d res7o+si#i-it is u-timate- 7redicated u7o+ the 7o:er of the su7erior to co+tro- the acts of his su#ordi+ates9 AFN'4JB ,o+cer+i+6 the mea+i+6 of +ecessar a+d reaso+a#-e measures to 7re"e+t or 7u+ish! the B-as@ic Tria- ,ham#er a6reed :ith the ,e-e#ici a+d 0-e@so"s@i Tria- ,ham#ers i+ ho-di+6 that the comma+der +eed +ot ha"e a+ -e6a- authorit to 7re"e+t or 7u+ish acts of his su#ordi+ates9 1hat cou+ts is his materia- a#i-it ! :hich i+stead of issui+6 orders or ta@i+6 disci7-i+ar actio+ ma e+tai-! for i+sta+ce! su#mitti+6 re7orts to the com7ete+t authorities i+ order for 7ro7er measures to #e ta@e+9 AFN'<&B Ne"erthe-ess! it is usefu- to co+sider the requireme+t of Ereaso+a#-e a+d +ecessar measuresE #ecause it :i-- ser"e as a ardstic@ for the su7erior;s #eha"ior22the su7erior;s -ia#i-it a+d the de6ree of 7u+ishme+t to #e im7osed! if a+ ! :i-- tur+ o+ this measureme+t: 1hi-e +o+e of the I,TY a+d I,TR 3ud6me+ts ha"e set 6e+era- sta+dards for the E+ecessar a+d reaso+a#-e measuresE factor! AFN'<'B some of the 6e+era- o#ser"atio+s made i+ these 8ud6me+ts are! +o+ethe-ess! :orth me+tio+i+69 The Tria- ,ham#er i+ the ,e-e#ici case he-d as fo--o:s: &142 The -e6a- dut :hich rests u7o+ a-- i+di"idua-s i+ 7ositio+s of su7erior authorit requires them to ta@e a-+ecessar a+d reaso+a#-e measures to 7re"e+t the commissio+ of offe+ses # their su#ordi+ates or! if such crimes ha"e #ee+ committed! to 7u+ish the 7er7etrators thereof9 It is the "ie: of the Tria- ,ham#er that a+ e"a-uatio+ of the actio+ ta@e+ # a su7erior to determi+e :hether this dut has #ee+ met is so i+e=trica#- -i+@ed to the facts of each 7articu-ar
Pa6e ')
situatio+ that a+ attem7t to formu-ate a 6e+era- sta+dard i+ a#stracto :ou-d +ot #e mea+i+6fu-9 AFN'<$B It must! ho:e"er! #e reco6+ised that i+ter+atio+a- -a: ca++ot o#-i6e a superior to 7erform the im7ossi#-e9 *e+ce! a superior ma o+- #e he-d crimi+a-- respo"si,le for fai-i+6 to ta@e such measures that are :ithi+ his 7o:ers9 The questio+ the+ arises of :hat actio+s are to #e co+sidered to #e :ithi+ the superior#s 7o:ers i+ this se+se9 0s the coro--ar to the sta+dard ado7ted # the Tria- ,ham#er :ith res7ect to the co+ce7t of superior! :e co+c-ude that a superior shou-d #e he-d respo"si,le for fai-i+6 to ta@e such measures that are :ithi+ his materia- 7ossi#i-it 9 The Tria,ham#er accordi+6- does +ot ado7t the 7ositio+ ta@e+ # the IL, o+ this 7oi+t! a+d fi+ds that the -ac@ of forma- -e6acom7ete+ce to ta@e the +ecessar measures to 7re"e+t or re7ress the crime i+ questio+ does +ot +ecessari- 7rec-ude the crimi+a- res7o+si#i-it of the su7erior9 AFN'<(B I+ the case of Ie+era- B-as@ic! a mi-itar su7erior! the Prosecutio+ made detai-ed -e6a- su#missio+s o+ the e-eme+t of Efai-ure to 7re"e+t or 7u+ish9E It :as su#mitted that there is +o c-osed cate6or of the t 7es of measures that ca+ #e ta@e+ # a mi-itar comma+der to 7re"e+t or 7u+ish9 I+ the su#missio+ of the Prosecutio+! the e=7ressio+ Ereaso+a#-e measuresE i+ 0rtic-e <F(G has the same mea+i+6 as the e=7ressio+ Efeasi#-e measuresE i+ 0rtic-e %4F$G of 0dditio+aProtoco- I9 This e=7ressio+ has #ee+ the su#8ect of a +um#er of stateme+ts of u+dersta+di+6 # States :ho ha"e ratified 0dditio+a- Protoco- I9 AFN'<)B It &145 :as a-so ar6ued that e"e+ :here su#ordi+ates act 7ursua+t to crimi+a- orders 7assed do:+ from hi6her u7 i+ the chai+ of comma+d! # 7assi+6 the comma+der! the comma+der remai+s u+der a+ o#-i6atio+ to ta@e :hate"er measures ma #e 7ossi#-e i+ the circumsta+ces9 AFN'<5B 0-thou6h the B-as@ic Tria- ,ham#er did +ot cite the Prosecutio+;s su#missio+s i+ detai-! the 8ud6me+t co+firms the Prosecutio+;s "ie: that a comma+der Eca++ot c-aim to #e i6+ora+tE of this i+formatio+ o"er :ar crimes committed # his su#ordi+ates9 AFN'<4B /oreo"er! the Tria- ,ham#er co+sidered the ,omme+tar ;s 6uida+ce o+ 0rtic-es %4 F$G a+d %< Ei+structi"e9E AFN'<<B The B-as@ic Tria- ,ham#er a-so +otes that accordi+6 to the ,ommissio+ of E=7erts! Ea comma+der has a dut to do e"er thi+6 reaso+a#-e a+d 7ractica#-e to 7re"e+t "io-atio+s of the -a:9 Fai-ure to carr out such a dut carries :ith it res7o+si#i-it 9E AFN'<%B Last- ! the Tria- ,ham#er stresses that the o#-i6atio+ to E7re"e+t or 7u+ishE does +ot 7ro"ide the accused :ith t:o a-ter+ati"e a+d equa-- satisf i+6 o7tio+s: Eo#"ious- ! :here the accused @+e: or had reaso+ to @+o: that su#ordi+ates :ere a#out to commit crimes a+d fai-ed to 7re"e+t them! he ca++ot ma@e u7 for the fai-ure to act # 7u+ishi+6 the su#ordi+ates after:ards9E AFN'<JB *o:e"er! the I,TY 077ea-s ,ham#er has cast stro+6 dou#t o+ the theor that dere-ictio+ of dut # a comma+der :ou-d #e as such 7u+isha#-e u+der the theor of su7erior res7o+si#i-it u+der i+ter+atio+a- crimi+a- -a:9 I+ its rece+t 8ud6me+t i+ the ,e-e#ici case! the I,TY 077ea-s ,ham#er stressed that 0rtic-e <F(G of the I,TY Statute is o+- co+cer+ed :ith su7erior -ia#i-it Earisi+6 from fai-ure to act i+ s7ite of @+o:-ed6e9E AFN'%&B The 077ea-s ,ham#er +oted firm- that a-thou6h a comma+der;s fai-ure to remai+ a77rised of his su#ordi+ate;s actio+! or fai-ure to set u7 a mo+itori+6 s stem! ma co+stitute a +e6-ect of dut :hich resu-ts i+ -ia#i-it :ithi+ the mi-itar disci7-i+ar frame:or@! it :i-- +ot +ecessari- resu-t i+ crimi+a- -ia#i-it 9 AFN'%'B &144 I?9 ,ON,LUSION The Yu6os-a" a+d R:a+da+ ad hoc tri#u+a-s are the first i+ter+atio+a- crimi+a- tri#u+a-s to a77- the +otio+ of su7erior res7o+si#i-it to crimes that are +ot co++ected :ith 1or-d 1ar II9 The 7ur7ose of this artic-e :as to descri#e the 8uris7rude+tia- EacquisE i+ res7ect of this form of -ia#i-it a+d to 7oi+t to areas :here further c-arificatio+ is +eeded9 The o"er"ie: of the 8uris7rude+ce of the I,TY a+d the I,TR demo+strates that the +otio+ of su7erior res7o+si#i-it has come of a6e i+ that it has #ee+ sho:+ to co+stitute a fu-- 2f-ed6ed theor of -ia#i-it for a certai+ c-ass of 7er7etrators accused of crimes u+der i+ter+atio+a- -a:9 The I,TY a+d I,TR case -a: sho:s that i+ order to 7rosecute successfu-u+der the co+ce7ts of su7erior res7o+si#i-it ! four 6e+eraco+ditio+s +eed #e fu-fi--ed9 It must #e 7ro"ed #e o+d a reaso+a#-e dou#t that: F'G a+ offe+se :as committedD F$G the accused e=ercised su7erior authorit o"er the 7er7etrator of the offe+se or o"er his or her su7eriorsD F(G the accused @+e: or had reaso+ to @+o: that 7er7etrator :as a#out to commit the offe+se or had do+e soD a+d F)G the accused fai-ed to ta@e the +ecessar a+d reaso+a#-e measures to 7re"e+t the offe+se or to 7u+ish the 7er7etrator9 O+ the #asis of the I,TY a+d the I,TR 8uris7rude+ce discussed i+ this artic-e! it ca+ #e stated safe- that the fo--o:i+6 7ro7ositio+s form 7art of customar i+ter+atio+a- -a:9 F'G The o"erridi+6 factor that determi+es superior respo"si,ility is the actua- 7ossessio+! or +o+27ossessio+! of 7o:ers of co+tro- o"er the actio+s of su#ordi+ates9 F$G 0-- 7erso+s! from the hi6hest to the -o:est superiors, :ho e=ercise effecti"e co+tro-! are o#-i6ated to e+sure that the ru-es of i+ter+atio+a-
Pa6e '5
huma+itaria+ -a: are res7ected :ithi+ their area of com7ete+ce9 F(G The term E superiorE is +ot -imited to comma+ders :ho are a#o"e the 7er7etrators i+ the re6u-ar chai+ of comma+d9 F)G /ore tha+ o+e 7erso+ ma #e he-d respo"si,le for the same crime committed # su#ordi+ates9 F5G Forma- desi6+atio+ as a superior is +ot a 7rerequisite9 0+ accused ca+ #e a superior o+ the #asis of de 8ure a+d/or de facto authorit 9 F4G It does +ot matter :hether the accused is a ci"i-ia+ or a mi-itar superior9 F<G The doctri+e of superior respo"si,ility is a77-ica#-e re6ard-ess of the character of the armed co+f-ict Fi+ter+atio+a- or domesticG9 F%G The doctri+e of superior respo"si,ility a77-ies +ot o+- to :ar crimes! #ut to a-serious "io-atio+s of i+ter+atio+a- huma+itaria+ -a:! i+c-udi+6 6e+ocide a+d crimes a6ai+st huma+it 9 FJG The me+s rea requireme+t for superior respo"si,ility is that the accused either E@+e:E or Ehad reaso+ to @+o:E that a su#ordi+ate :as a#out to commit a crime or had &145 a-read do+e so9 F'&G 0ctua- @+o:-ed6e ca+ #e esta#-ished throu6h direct or circumsta+tia- e"ide+ce9 F''G 0s a 6e+era- ru-e! a su7erior is required to ta@e measures i+ his or her 7o:er9 F'$G EReaso+a#-e measuresE im7-ies that! u+der some circumsta+ces! a su7erior ma dischar6e his o#-i6atio+ to 7re"e+t or 7u+ish # re7orti+6 the matter to com7ete+t authorities9 F'(G There is +o ri6id cata-o6 of a-- +ecessar measures a su7erior cou-d ta@e9 F')G Pu+ishi+6 7er7etrators after crimes ha"e #ee+ committed offers +o e=cuse i+ those cases :he+ the su7erior is at fau-t # +ot 7re"e+ti+6 the commissio+ of crimes i+ the first 7-ace9 This artic-e has a-so ide+tified a fe: areas that remai+ to #e c-arified9 0mo+6 these is the a77-icatio+ of the Ehad reaso+ to @+o:E sta+dard to +o+2mi-itar su7eriors9 0+other area of u+certai+t is the e=te+t to :hich the 7ri+ci7-e of su7erior res7o+si#i-it ca+ #e a77-ied co+curre+t- :ith other! more 6e+era- of forms of -ia#i-it u+der the statutes of the i+ter+atio+a- crimi+a- tri#u+a-s9 AFNa'B9 ,o7 ri6ht FcG Dr9 So+8a Boe-aert2Suomi+e+! Lice+ciaat i+ de Rechte+ F.ULG! L9L9/ F*ar"ardG! Ph9D FLSEG9 The author is :ith the Le6a- 0d"isor Sectio+ of the Office of the Prosecutor FOTPG of the I+ter+atio+a- ,rimi+aTri#u+a- for the former Yu6os-a"ia FI,TYG i+ The *a6ue9 She has ar6ued cases #efore the 077ea-s ,ham#er of the I,TY a+d the I,TR9 The "ie:s e=7ressed herei+ are those of the author a-o+e a+d do +ot +ecessari- re7rese+t the "ie:s of the U+ited Natio+s9 AFN'B9 I+ter+atio+a- ,rimi+a- Tri#u+a- for the Prosecutio+ of Perso+s Res7o+si#-e for Ie+ocide a+d Other Serious ?io-atio+s of I+ter+atio+a- *uma+itaria+ La: ,ommitted i+ the Territor of R:a+da a+d R:a+da+ ,itiHe+s Res7o+si#-e for Ie+ocide a+d other such ?io-atio+s ,ommitted i+ the Territor of Nei6h#ouri+6 States! #et:ee+ 3a+uar '! 'JJ) a+d Decem#er ('! 'JJ) FI,TRG9 I,TR cases are a"ai-a#-e at Uhtt7://:::9ictr9or6V9 AFN$B9 Prosecutor "9 .am#a+da! 3ud6me+t a+d Se+te+ce! I,TR ,ase No9 J<2 $(2S! Se7t9 )! 'JJ% Aherei+after .am#a+da 3ud6me+tB9 .am#a+da ac@+o:-ed6ed that he @+e: or shou-d ha"e @+o:+ that 7erso+s for :hom he :as res7o+si#-e :ere committi+6 crimes of massacre u7o+ Tutsi a+d that he fai-ed to 7re"e+t them or 7u+ish the 7er7etrators9 *e ac@+o:-ed6ed that he :as head of the t:e+t 2mem#er ,ou+ciof /i+isters a+d e=ercised de 8ure authorit a+d co+troo"er the mem#ers of his 6o"er+me+t! a+d that the -atter +ot o+- determi+ed a+d co+tro--ed +atio+a- 7o-ic #ut a-so had the admi+istratio+ a+d armed forces at its dis7osa-9 *e further admitted that as Prime /i+ister! he a-so e=ercised de 8ure a+d de facto authorit o"er se+ior ci"i- ser"a+ts a+d se+ior officers i+ the mi-itar 9 /oreo"er! 3ea+ .am#a+da a-so admitted that he :as a+ e e:it+ess to the massacres of Tutsi a+d a-so had @+o:-ed6e of them from re6u-ar re7orts of 7refects! a+d ca#i+et discussio+s9 See id9 \ (J9 *e 7-eaded 6ui-t to the si= cou+ts co+tai+ed i+ the i+dictme+t226e+ocideD co+s7irac to commit 6e+ocideD direct a+d 7u#-ic i+citeme+t to commit 6e+ocideD com7-icit i+ 6e+ocideD crimes a6ai+st huma+it FmurderGD a+d crimes a6ai+st huma+it Fe=termi+atio+G22for :hich he recei"ed a -ife se+te+ce9 See id9 at 7t9 I? F?erdictG9 0+ a77ea- a6ai+st this 3ud6me+t a+d Se+te+ce :as dismissed9 See .am#a+da "9 The Prosecutor! 3ud6me+t! I,TR ,ase No9 J<2$(20! Oct9 'J! $&&&9 AFN(B9 Prosecutor "9 /usema! 3ud6me+t a+d Se+te+ce! ,ase No9 I,TR2J42'(2 T! 3a+9 $<! $&&&! \\ 5'25(! %< Aherei+after /usema 3ud6me+tB9 AFN)B9 See id9 at 7t9 49'! 49(9 The ,ham#er fou+d it 7ro"e+ #e o+d a reaso+a#-e dou#t that at the time of the e"e+ts a--e6ed i+ the i+dictme+t! a su7erior2su#ordi+ate re-atio+shi7 e=isted #et:ee+ /usema a+d the em7-o ees of the Iiso"u Tea Factor 9 See id9 at 7t9 59)! \ %%$9 *o:e"er! the ,ham#er :as +ot satisfied #e o+d reaso+a#-e dou#t that /usema e=ercised sufficie+t 7o:er o"er other mem#ers of the 7o7u-atio+ of .i#u e Prefecture9 See id9 at 7t9 59)! \ %%'9
Pa6e '4
AFN5B9 See id9 at 7t9 % FSe+te+ci+6G9 AFN4B9 I+ter+atio+a- Tri#u+a- for the Prosecutio+ of Perso+s Res7o+si#-e for Serious ?io-atio+s of I+ter+atio+a*uma+itaria+ La: ,ommitted i+ the Territor of the Former Yu6os-a"ia si+ce 'JJ' FI,TYG9 I,TY cases are a"ai-a#-e at U htt7://:::9u+9or6/ict V9 AFN<B9 Prosecutor "9 0-e@so"s@i! 3ud6me+t! ,ase No9 IT2J52')/'2T! 3u+e $5! 'JJJ Aherei+after 0-e@so"s@i 3ud6me+tB9 0ccordi+6 to the 3ud6me+t! 0-e@so"s@i @+e: that crimes :ere #ei+6 committed a6ai+st the /us-im detai+ees! #ut fai-ed to ta@e the +ecessar a+d reaso+a#-e measures to 7re"e+t or 7u+ish such crimes9 See id \ ''%9 The Tria- ,ham#er decided! ho:e"er! that the e"ide+ce did +ot 7ro"ide a #asis for the co+c-usio+ that the accused had su7erior authorit o"er the *?O so-diers :ho re6u-ar- e+tered the 7riso+ a+d :ho committed serious "io-atio+s of i+ter+atio+ahuma+itaria+ -a: a6ai+st the same detai+ees9 See id9 \ ''J9 AFN%B9 Prosecutor "9 0-e@so"s@i! 3ud6me+t! ,ase No9 IT2J52')/'20! /ar9 $)! $&&&! \\ '<%! 'J' Aherei+after 0-e@so"s@i 077ea- 3ud6me+tB9 For the 8ud6me+t # the 077ea-s cham#er o+ the questio+ of su7erior res7o+si#i-it i+ this case! see id9 \\ 4J2<<9 AFNJB9 Prosecutor "9 B-as@ic! 3ud6me+t! ,ase No9 IT2J52')2T! /ar9 (! $&&& Aherei+after B-as@ic 3ud6me+tB9 AFN'&B9 See id9 at 7t9 III! \\ ()'2<)( FFacts a+d Discussio+G9 The 7er7etrators of the u+der- i+6 crimes :ere mem#ers of re6u-ar *?O Bri6ades! s7ecia- mi-itar u+its such as the ?iteHo"i! the Lud"i6 Pa"-o"ic Bri6ade Ethe Bru+o Busic!E the I? Batta-io+ of the *?O /i-itar Po-ice i+c-udi+6 the 3o@eri S7ecia- Pur7oses u+it! as :e-- as mem#ers of the *? a+d the ,roatia+ *ome Iuard9 See id9 AFN''B9 See id9 at 7t9 I9B9$ Fcrimes char6edG! 7t9 ?I FDis7ositio+G9 ,o+duct of hosti-ities char6es are -aid 7ursua+t to 0rtic-e ( of the I,TY Statute! :hich refers to "io-atio+s of the -a:s or customs of :ar as e+com7assi+6 char6es such as attac@i+6 +o+2mi-itar o#8ecti"es a+d i+discrimi+ate attac@s9 Statute of the I+ter+atio+a- Tri#u+a- for the Prosecutio+ of Perso+s Res7o+si#-e for Serious ?io-atio+s of I+ter+atio+a- *uma+itaria+ La: ,ommitted i+ the Territor of the Former Yu6os-a"ia si+ce 'JJ'! /a $5! 'JJ(! U9N9 Res9 %$<! a"ai-a#-e at Uhtt7:// :::9u+9or6/ict /#asic9htmV Fherei+after I,TY StatuteB9 AFN'$B9 See B-as@ic 3ud6me+t! su7ra +ote J! at 7t9 ?I FDis7ositio+G9 AFN'(B9 Because it ori6i+ated i+ mi-itar circ-es! this doctri+e of im7uted res7o+si#i-it used to #e @+o:+ as Ecomma+dE res7o+si#i-it 9 It :i-- #e referred to i+ this 7a7er as the doctri+e of Esu7erior res7o+si#i-it !E i+ accorda+ce :ith the termi+o-o6 used i+ the Statutes of the I,TY a+d the I,TR9 AFN')B9 The re7orts a+d comme+taries co+su-ted for this artic-e are: /I,*0EL BOT*E ET 0L9! NE1 RULES FOR ?I,TI/S OF 0R/ED ,ONFLI,TS 5$(2$J F'J%$GD Fi+a- Re7ort of the ,ommissio+ of E=7erts Esta#-ished Pursua+t to Securit ,ou+ci- Reso-utio+ <%& F'JJ$G! FEFi+a- Re7ort of the ,ommissio+ of E=7ertsEG FU9N9 Doc9 S/'JJ)/4<)GD YitHha@ .aha+ et a-9! Fi+a- Re7ort of the ,ommissio+ of I+quir i+to the E"e+ts at the Re8u6ee ,am7s i+ Beirut FE.aha+ Re7ortEG! re7roduced i+ $$ INTERN0TION0L LEI0L /0TERI0LS )<(25$& F'J%(GD INTERN0TION0L ,O//ITTEE OF T*E RED ,ROSS! ,O//ENT0RY ON T*E 0DDITION0L PROTO,OLS OF % 3UNE 'J<< TO T*E IENE?0 ,ON?ENTIONS OF '$ 0UIUST 'J)J! 779 '&&52$(! \\ (5$)2(54( FY"es Sa+doH et a-9 eds9! 'J%<G Aherei+after I,R, ,O//ENT0RY TO T*E 0DDITION0L PROTO,OLSBD I+ter+atio+a- La: ,ommissio+ Draft ,ode of ,rimes 06ai+st the Peace a+d Securit of /a+@i+d: Te=ts of a+d ,omme+taries to 0rtic-es '2$&! U9N9 I0OR! 5'st9 sess9! Su779 No9 '&! U9N9 Doc9 0/5'/'& F'JJ4G! re7ri+ted i+ '% *U/9 RTS9 L939 J4 F'JJ<G Aherei+after IL, Draft ,ode ,omme+tar B9 The fo--o:i+6 artic-es :ere co+su-ted # the author: Rod+e Di=o+! Prosecuti+6 the Leaders: the 077-icatio+ of the Doctri+e of Su7erior Res7o+si#i-it #efore the U+ited Natio+s I+ter+atio+a- ,rimi+a- Tri#u+a-s for the former Yu6os-a"ia a+d R:a+da! i+ The ,omma+der;s Res7o+si#i-it i+ Difficu-t ,ircumsta+ces! NL 0R/S! NET*ERL0NDS
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0NNU0L RE?IE1 OF /ILIT0RY STUDIES '&J2$J F?o6e-aar et a-9 eds9! 'JJ%GD I-ias Ba+te@as! The ,o+tem7orar La: of Su7erior Res7o+si#i-it ! J( 0/9 39 INT;L L9 5<( F'JJJGD 1esto+ D9 Bur+ett! ,omma+d Res7o+si#i-it a+d a ,ase Stud of the ,rimi+a- Res7o+si#i-it of Israe-i /i-itar ,omma+ders for the Po6rom at Shati-a a+d Sa#ra! '&< /IL9 L9 RE?9 <' F'J%5GD Ro6er S9 ,-ar@! /edi+a: 0+ Essa o+ the Pri+ci7-es of ,rimi+a- Lia#i-it for *omicide! ) RUT92 ,0/9 L939 5J F'J<(GD 1i--iam I9 Ec@hardt! ,omma+d ,rimi+a- Res7o+si#i-it : 0 P-ea for a 1or@a#-e Sta+dard! J< /IL9 L9 RE?9 ' F'J%$GD 19 39 Fe+ric@! Some I+ter+atio+a- La: Pro#-ems Re-ated to Prosecutio+s Before the I+ter+atio+a- ,rimi+a- Tri#u+a- for the Former Yu6os-a"ia! 4 DU.E 39 ,O/P9 O INT;L L9 '&( F'JJ5G D L9 ,9 Iree+! ,omma+d Res7o+si#i-it i+ I+ter+atio+a- *uma+itaria+ La:! 5 TR0NSN0T;L L9 O ,ONTE/P9 PROBS9 ('J F'JJ5GD .e++eth 09 *o:ard! ,omma+d Res7o+si#i-it for 1ar ,rimes! $' 39 PUB9 L9 < F'J<$GD 3orda+ 39 Paust! / Lai a+d ?iet+am: Norms! / ths a+d Leader Res7o+si#i-it ! 5< /IL9 L9 RE?9 JJ F'J<$GD 1i--iam *9 Par@s! ,omma+d Res7o+si#i-it for 1ar ,rimes! 4$ /IL9 L9 RE?9 ' F'J<(GD Timoth 1u O Yo+62Su+6 F3o+atha+G .a+6! Rece+t De"e-o7me+ts: ,rimi+a- Lia#i-it for the 0ctio+s of Su#ordi+ates2The Doctri+e of ,omma+d Res7o+si#i-it a+d its 0+a-o6ues i+ U+ited States La:! (% *0R?9 INT;L L939 $<$ F'JJ<GD ,hristo7her N9 ,ro:e! Note! ,omma+d Res7o+si#i-it i+ the Former Yu6os-a"ia: The ,ha+ces of Successfu- Prosecutio+! $J U9 RI,*9 L9 RE?9 'J' F'JJ)GD Bruce D9 La+drum! Note! The Yamashita 1ar ,rimes Tria-: ,omma+d Res7o+si#i-it The+ a+d No:! ')J /IL9 L9 RE?9 $J( F'JJ5G9 AFN'5B9 This artic-e ta@es accou+t of I,TY a+d I,TR Decisio+s re+dered u+ti- $& Fe#ruar $&&'9 The fo--o:i+6 I,TY decisio+s :i-- #e discussed i+ this 7a7er: 0-e@so"s@i 077ea- 3ud6me+t! su7ra +ote %! \\ 4J2<<D Prosecutor "9 De-a-ic et a-9! 3ud6me+t! ,ase No9 IT2J42$'20! $& Fe#9 $&&'! \\ '%$2(') Aherei+after ,e-e#ici 077ea- 3ud6me+tBD Prosecutor "9 De-a-ic et a-9! 3ud6me+t! ,ase No9 IT2J42$'2T! '4 No"9 'JJ%! \\ ((&2%'& Aherei+after ,e-e#ici 3ud6me+tBD 0-e@so"s@i 3ud6me+t! su7ra +ote <! \\ 442%'! J&2$'&D B-as@ic 3ud6me+t! su7ra +ote J! \\ $%J2<J$D Prosecutor "9 B-as@ic! ,ase No9 IT2J52')2PT! Decisio+ o+ Defe+se /otio+ to Stri@e Portio+s of the 0me+ded I+dictme+t 0--e6i+6 EFai-ure to Pu+ish Lia#i-it !E ) 07ri- 'JJ<! \\ '2 '%D Prosecutor "9 .ordic a+d ,er@eH! ,ase No9 IT2J52')/$2PT! Decisio+ o+ 3oi+t Defe+ce /otio+ to Dismiss for Lac@ of 3urisdictio+ Portio+s of the 0me+ded I+dictme+t 0--e6i+6 EFai-ure to Pu+ish Lia#i-it E! $ /arch 'JJJ! \\ '2 '4D Prosecutor "9 Rado"a+ .aradHic a+d Rat@o /-adic! ,ases No9 IT2J5252R4' O No IT2J52'%2R4'! Re"ie: of I+dictme+t Pursua+t to Ru-e 4'! '' 3u- 'JJ4! \\ %'2 %5D Prosecutor "9 /omci-o .ra8is+i@! ,ase No9 IT2&&2 (J! PT! Decisio+ o+ /otio+ ,ha--e+6i+6 3urisdictio+ 1ith Reaso+s! $$ Se7tem#er $&&&! \\ 'J2$)D Prosecutor "9 /i-a+ /artic! ,ase No9 IT2J52''2I! % /arch 'JJ4 FRP D'<&2 D'%(G! D'<5 FRe"ie: of I+dictme+t Pursua+t to Ru-e 4'GD Na-eti-ic a+d /arti+o"ic! Decisio+ o+ Defe+da+t ?i+@o /arti+o"ic;s O#8ectio+ to the I+dictme+t! '5 Fe#ruar $&&&D ."oc@a et a-9! Decisio+ o+ Defe+ce Pre-imi+ar /otio+s o+ the Form of the I+dictme+t! '$ 07ri- 'JJJ9 The fo--o:i+6 I,TR decisio+s :i-- #e discussed i+ this 7a7er: Prosecutor "9 0@a esu! 3ud6me+t! ,ase No9 I,TR2J42)2T! $ Se7tem#er 'JJ%! \\ )%42)J' Aherei+after 0@a esu 3ud6me+tBD .am#a+da 3ud6me+t! su7ra +ote $D Prosecutor "9 Omar Serusha6o! 3ud6me+t! ,ase No9 I,TR J%2(J2S! 5 Fe#ruar 'JJJ Aherei+after Serusha6o 3ud6me+tBD Prosecutor "9 .a ishema a+d RuHi+da+a! 3ud6me+t! ,ase No9 I,TR2J52'2T! $' /a 'JJJ! \\ $&%2$('! )<(25'4 Aherei+after .a ishema a+d RuHi+da+a 3ud6me+tBD /usema 3ud6me+t! su7ra +ote (! %4(2%(9 AFN'4B9 See! e969! Prosecutor "9 Dus@o Tadic! ,ase No9 IT2J)2'2T! O7i+io+ a+d 3ud6me+t! < /a Aherei+after Tadic 3ud6me+tBD ,e-e#ici 3ud6me+t! su7ra +ote '5! \ ($'9 'JJ<! \ 44J
AFN'<B9 Statute of the I,TY! su7ra +ote ''! at art9 <F'G9 0rtic-e <F'G states: E0 7erso+ :ho 7-a++ed! i+sti6ated! ordered! committed or other:ise aided a+d a#etted i+ the 7-a++i+6! 7re7aratio+ or e=ecutio+ of a crime referred to i+ artic-es $ to 5 of the 7rese+t Statute! sha-- #e i+di"idua-- res7o+si#-e for the crime9E Id9 AFN'%B9 0rtic-e 4F'G of the I,TR Statute reads as fo--o:s: E'9 0 7erso+ :ho 7-a++ed! i+sti6ated! ordered! committed or other:ise aided a+d a#etted i+ the 7-a++i+6! 7re7aratio+ or e=ecutio+ of a crime referred to i+ artic-es $ to ) of the 7rese+t Statute! sha-- #e i+di"idua-- res7o+si#-e for the crime9E Statute of the I+ter+atio+a- ,rimi+a- Tri#u+a- for the Prosecutio+ of Perso+s Res7o+si#-e for Ie+ocide a+d Other Serious ?io-atio+s of I+ter+atio+a- *uma+itaria+ La: ,ommitted i+ the Territor of R:a+da a+d R:a+da+ ,itiHe+s Res7o+si#-e for Ie+ocide a+d other such ?io-atio+s ,ommitted i+ the Territor of Nei6h#ouri+6 States! #et:ee+ 3a+uar '! 'JJ) a+d Decem#er ('! 'JJ)! a"ai-a#-e at Uhtt7://:::9ictr9or6V Aherei+after I,TR StatuteBD 06reeme+t #et:ee+ the U+ited Natio+s a+d the Io"er+me+t of Sierra Leo+e o+ the Esta#-ishme+t of a S7ecia- ,ourt for Sierra Leo+e! a++e=ed to Re7ort of the Secretar 2Ie+era- o+ the esta#-ishme+t of a S7ecia- ,ourt for Sierra Leo+e! U9N9 Doc9 S/$&&&/J'% F$&&&G9
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AFN'JB9 The Rome Statute of the I+ter+atio+a- ,rimi+a- ,ourt! art9 $5! U9N9 Doc9 0/,ONF9 '%(/J F'JJ%G! re7ri+ted i+ (< I+t;- Le6a- /ateria-s JJJ F'JJ%G Aherei+after I,, StatuteB9 AFN$&B9 Prosecutor "9 Dus@o Tadic! ,ase No9 IT2J)2'20! 3ud6me+t! '5 3u- 'JJJ! \ '%J Aherei+after Tadic 077ea3ud6me+tBD see a-so! Re7ort of the Secretar 2Ie+era- Pursua+t to Para6ra7h $ of Securit ,ou+ci- Reso-utio+ %&% F'JJ(G! U9N9 Doc9 S/$5<&) F'JJ(G! \ 5) FEThe Secretar 2Ie+era- #e-ie"es that a-- 7erso+s :ho 7artici7ate i+ the 7-a++i+6! 7re7aratio+ or e=ecutio+ of serious "io-atio+s of i+ter+atio+a- huma+itaria+ -a: i+ the former Yu6os-a"ia 999 are 999 i+di"idua-- res7o+si#-e Afor such "io-atio+sB9E Fem7hasis addedGG9 AFN$'B9 Tadic 077ea- 3ud6me+t! su7ra +ote $&! \\ '%52$$J9 This form of 7artici7atio+! :hich is +ot e=7ress- me+tio+ed i+ 0rtic-e <F'G! refers to the case :here se"era- 7erso+s! re6arded as ha"i+6 a commo+ 7ur7ose! em#ar@ o+ crimi+aacti"it that is the+ carried out either 8oi+t- or # some mem#ers of this 7-ura-it of 7erso+s9 1hoe"er co+tri#utes to the commissio+ of crimes # the 6rou7 of 7erso+s or some mem#ers of the 6rou7! i+ e=ecutio+ of a commo+ crimi+a7ur7ose! ma #e thus he-d to #e crimi+a-- -ia#-e! su#8ect to certai+ co+ditio+s! as s7ecified # the 077ea-s ,ham#er of the I,TY9 See id9! \\ '%<2$$J! a+d i+ 7articu-ar! summar of co+ditio+s! set out i+ \ $$<9 AFN$$B9 See Prosecutor "9 .ordic a+d ,er@eH! Decisio+ o+ the Defe+ce /otio+ to Stri@e the 0me+ded I+dictme+t for ?a6ue+ess! ,ase No9 IT2J52')/$2 PT! T9 ,h9 III! $ /ar9 'JJJ9 AFN$(B9 See Part III2B25 #e-o: o+ the questio+ of the co+curre+t a77-icatio+ of the t:o mai+ theories of -ia#i-it 9 AFN$)B9 0rtic-e <F(G of the I,TY Statute reads as fo--o:s: The fact that a+ of the acts referred to i+ artic-es $ to 5 of the 7rese+t Statute :as committed # a su#ordi+ate does +ot re-ie"e his su7erior of crimi+a- res7o+si#i-it if he @+e: or had reaso+ to @+o: that the su#ordi+ate :as a#out to commit such acts or had do+e so a+d the su7erior fai-ed to ta@e the +ecessar a+d reaso+a#-e measures to 7re"e+t such acts or to 7u+ish the 7er7etrators thereof9 I,TY Statute! su7ra +ote ''9 AFN$5B9 0rtic-e 4F(G of the I,TR Statute states: The fact that a+ of the acts referred to i+ artic-es $ to ) of the 7rese+t Statute :as committed # a su#ordi+ate does +ot re-ie"e his or her su7erior of crimi+a- res7o+si#i-it if he or she @+e: or had reaso+ to @+o: that the su#ordi+ate :as a#out to commit such acts or had do+e so a+d the su7erior fai-ed to ta@e the +ecessar a+d reaso+a#-e measures to 7re"e+t such acts or to 7u+ish the 7er7etrators thereof9 I,TR Statute! su7ra +ote '%9 AFN$4B9 0rtic-e $% of the I,, Statute! e+tit-ed ERes7o+si#i-it of comma+ders a+d other su7eriors!E states: I+ additio+ to other 6rou+ds of crimi+a- res7o+si#i-it u+der this Statute for crimes :ithi+ the 8urisdictio+ of the ,ourt: FaG 0 mi-itar comma+der or 7erso+ effecti"e- acti+6 as a mi-itar comma+der sha-- #e crimi+a-- res7o+si#-e for crimes :ithi+ the 8urisdictio+ of the ,ourt committed # forces u+der his or her effecti"e comma+d a+d co+tro-! or effecti"e authorit a+d co+tro- as the case ma #e! as a resu-t of his or her fai-ure to e=ercise co+tro- 7ro7er- o"er such forces! :here: FiG That mi-itar comma+der or 7erso+ or either @+e: or! o:i+6 to the circumsta+ces at the time! shou-d ha"e @+o:+ that the forces :ere committi+6 or a#out to commit such crimesD a+d FiiG That mi-itar comma+der or 7erso+ fai-ed to ta@e a-- +ecessar a+d reaso+a#-e measures :ithi+ his or her 7o:er to 7re"e+t or re7ress their commissio+ or to su#mit the matter to the com7ete+t authorities for i+"esti6atio+ a+d 7rosecutio+9 F#G 1ith res7ect to su7erior a+d su#ordi+ate re-atio+shi7s +ot descri#ed i+ 7ara6ra7h '! a su7erior sha-- #e crimi+a-res7o+si#-e for crimes :ithi+ the 8urisdictio+ of the ,ourt committed # su#ordi+ates u+der his or her effecti"e authorit a+d co+tro-! as a resu-t of his or her fai-ure to e=ercise co+tro- 7ro7er- o"er such su#ordi+ates! :here: FiG The su7erior either @+e:! or co+scious- disre6arded i+formatio+ :hich c-ear- i+dicated! that the su#ordi+ates :ere committi+6 or a#out to commit such crimesD
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FiiG The crimes co+cer+ed acti"ities that :ere :ithi+ the effecti"e res7o+si#i-it a+d co+troof the su7eriorD a+d FiiiG The su7erior fai-ed to ta@e a-- +ecessar a+d reaso+a#-e measures :ithi+ his or her 7o:er to 7re"e+t or re7ress their commissio+ or to su#mit the matter to the com7ete+t authorities for i+"esti6atio+ a+d 7rosecutio+9 I,, Statute! su7ra +ote 'J! at art9 $%9 AFN$<B9 0s me+tio+ed a#o"e! acts of 7erso+a- 7artici7atio+ are 7rimari- sa+ctio+ed # 0rtic-e <F'G of the I,TY Statute! 0rtic-e 4F'G of the I,TR Statute a+d 0rtic-e $5 of the I,, Statute9 AFN$%B9 0-e@so"@si 077ea- 3ud6me+t! su7ra +ote %! \ <49 AFN$JB9 ,e-e#ici 077ea- 3ud6me+t! su7ra +ote '5! \ '$J9 AFN(&B9 19*9 Par@s! ,omma+d Res7o+si#i-it for 1ar ,rimes! 4$ /IL9 L9 RE?9 '! 'J F'J<(G9 AFN('B9 For a short descri7tio+ of the ear- roots of the co+ce7t of comma+d res7o+si#i-it ! see ,e-e#ici 3ud6me+t! su7ra +ote '5! \\ ((52(<9 AFN($B9 See ,o+"e+tio+ ANo9 I?B Res7ecti+6 the La:s a+d ,ustoms of 1ar o+ La+d a+d its a++e=: Re6u-atio+ co+cer+i+6 the La:s a+d ,ustoms of 1ar o+ La+d! The *a6ue! '% Octo#er 'J&<9 0rtic-e ' F'G of the 'J&< *a6ue Re6u-atio+s 7ro"ides that mem#ers of the armed forces must E#e comma+ded # a 7erso+ res7o+si#-e for his su#ordi+ates9E Id9 at art9 '9 0rtic-e )( of the *a6ue Re6u-atio+s o#-i6ates the occu7 i+6 7o:er to Eta@e a-- the measures i+ his 7o:er to restore! a+d e+sure! as far as 7ossi#-e! 7u#-ic order a+d safet ! :hi-e res7ecti+6! u+-ess a#so-ute7re"e+ted! the -a:s i+ force i+ the cou+tr 9E Id9 at art9 )(9 AFN((B9 I,R, ,O//ENT0RY TO T*E 0DDITION0L PROTO,OLS! su7ra +ote ')! at '&&<! \ (5(&9 AFN()B9 ,ommissio+ o+ the Res7o+si#i-it of the 0uthors of the 1ar a+d o+ E+forceme+t of Pe+a-ties22Re7ort Prese+ted to the Pre-imi+ar Peace ,o+fere+ce! ?ersai--es! /ar9 $J! 'J'J! re7ri+ted i+ ') 0/9 39 INT;L L9 J5! '$' F'J$&G9 AFN(5B9 See Par@s! su7ra +ote (&! at '( +9 (< Freferri+6 to U9S9 De7;t 0rm ! Pam7h-et No9 $<2'4'2$! I+ter+atio+a- La: $$'2$$$ F'J4$GGD ,hristo7her N9 ,ro:e! Note! ,omma+d Res7o+si#i-it i+ the Former Yu6os-a"ia: The ,ha+ces of Successfu- Prosecutio+! $J U9 RI,*9 L9 RE?9 'J'! 'J< F'JJ)G9 AFN(4B9 See id9D ,ro:e! su7ra +ote (5! at 'J<D see a-so Les-e ,9 Iree+! The ,o+tem7orar La: of 0rmed ,o+f-ict! /a+chester U+i"ersit Press F'JJ(G at ((! '<$! $'(! $J)2J59 AFN(<B9 See Par@s! su7ra +ote (&! at '(9 AFN(%B9 06reeme+t for the Prosecutio+ a+d Pu+ishme+t of /a8or 1ar ,rimi+a-s of the Euro7ea+ 0=is! a+d Esta#-ishi+6 the ,harter of the I+ter+atio+a- /i-itar Tri#u+a- FI/TG! % 0u6ust 'J)5! 5J Stat9 '5))! %$ UNTS $<J9 AFN(JB9 ,harter of the I+ter+atio+a- /i-itar Tri#u+a- for the Far East! 'J 3a+uar 'J)4! as ame+ded $4 07ri- 'J)4! TI0S No9 '5%J9 AFN)&B9 E969! Ie+era- I:a+e /atsui! :ho :as i+ char6e of the 3a7a+ese forces that 7er7etrated the so2ca--ed ERa7e of Na+@i+6!E :as co+"icted for ha"i+6 fai-ed to dischar6e his dut to co+tro- his troo7s from ram7a6i+6 throu6h Na+@i+69 See The *irota ,ase ( 3ud6me+ts of the I+ter+atio+a- /i-itar Tri#u+a- for the Far East ' F'J)%GD "o-9 $&$ OfficiaTra+scri7t of the I+ter+atio+a- 3a7a+ese 1ar ,rimes Tria-s i+ the I+ter+atio+a- /i-itar Tri#u+a- for the Far East! at )J! %'52'4D Par@s! su7ra +ote (&! at 4%24J9 AFN)'B9 See! e969! Yamashita "9 U9S9! U+ited Natio+s 1ar ,rimes ,ommissio+! La: Re7orts of the Tria-s of 1ar
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,rimi+a-s! "o-9 I?! ':'J)5 Aherei+after LRT1,BD Tria- of 1i-he-m "o+ Lee# a+d Thirtee+ Others FU+ited States "9 1i-he-m ?o+ Lee#G! Tria-s of 1ar ,rimi+a-s Before the Nurem#er6 /i-itar Tri#u+a-s U+der ,o+tro- ,ou+ci- La: No9 '&! "o-9 WI! ')4$24J< FU+ited States Io"er+me+t Pri+ti+6 Office! 'J5&G Aherei+after Ierma+ *i6h ,omma+d Tria-BD The Tria- of 1i-he-m List a+d Others FU+ited States "9 1i-he-m ListG! Tria-s of 1ar ,rimi+a-s Before the Nurem#er6 /i-itar Tri#u+a-s U+der ,o+tro- ,ou+ci- La: No9 '&! "o-9 WI! '$(&2'('J FU+ited States Io"er+me+t Pri+ti+6 Office! 'J5'G Aherei+after *osta6es caseB9 The most 7romi+e+t -a:s cited i+ these cases are 0rtic-e IW of the ,hi+ese La: of Octo#er $)! 'J)4! ,o+cer+i+6 the Tria- of 1ar ,rimi+a-sD 0rtic-e ) of the Fre+ch Ordi+a+ce of 0u6ust $%! 'J))! ,o+cer+i+6 the Su77ressio+ of 1ar ,rimesD a+d 0rtic-e ( of the La: of 0u6ust $! 'J)<! of the Duch of Lu=em#our6 o+ the Su77ressio+ of 1ar ,rimes9 For other such -a:s! see Par@s! su7ra +ote (&! at '%2'J9 AFN)$B9 See U9S9 "9 Tomo u@i Yamashita! La:! LRT1, "o-9 I?! 79 (5D I+ re Yamashita! ($< U9S9 '! '5 F'J)5G9 AFN)(B9 See To@ o 3ud6me+t! I+ter+atio+a- /i-itar Tri#u+a- for the Far East F$J 07ri- 'J)42'$ No"em#er 'J)%G! "o-9 '! 779 ))%25&! )5<25%! )4'24(9 AFN))B9 U+ited States "9 "o+ 1eiHsaec@er! Tria-s of 1ar ,rimi+a-s Before the Nurem#er6 /i-itar Tri#u+a-s U+der ,o+tro- ,ou+ci- La: No9 '&! "o-9 WI?! at (&% F'J5$G Aherei+after /i+istries caseB9 AFN)5B9 The Io"er+me+t ,ommissio+er of the Ie+era- Tri#u+a- of the /i-itar Io"er+me+t for the Fre+ch Mo+e of Occu7atio+ i+ Ierma+ "9 Roech-i+6! 3ud6me+t o+ 077ea- to the Su7erior /i-itar Io"er+me+t ,ourt of the Fre+ch Occu7atio+ Mo+e i+ Ierma+ ! Tria-s of 1ar ,rimi+a-s Before the Nurem#er6 /i-itar Tri#u+a-s U+der ,o+tro- ,ou+ciLa: No9 '&! "o-9 WI?! '&%% at '&J<! ''(4 Aherei+after Roech-i+6 caseBD U+ited States of 0merica "s9 Friedrich F-ic@ et a-9! $$ Decem#er 'J)<! Tria-s of 1ar ,rimi+a-s #efore the Nurem#er6 /i-itar Tri#u+a- u+der ,o+tro- ,ou+ci- La: No9 '&! "o-9 ?I! 779 ''%<! '$&$9 AFN)4B9 The To@ o Tri#u+a- decided throu6h a series of cases a6ai+st i+di"idua- accused that it :as the dut of a-- those o+ :hom res7o+si#i-it rested to secure 7ro7er treatme+t of 7riso+ers a+d to 7re"e+t their i--2treatme+tD see a-so Par@s! su7ra +ote (&! at 4)2<( Fdiscussi+6! for e=am7-e! the cases a6ai+st the fo--o:i+6 accused: Dohiharu! *ata! /atsui a+d /utoGD the case of 0dmira- To oda! tried # /i-itar Tri#u+a- i+ To@ o a+d acquitted: U+ited States "9 Soemu To oda! Officia- tra+scri7t of Record of tria-! 779 5&''2'$D Par@s! su7ra +ote (&! at <$2<(9 AFN)<B9 See The Ierma+ *i6h ,omma+d case! su7ra +ote )'! at ')4$ Fthe defe+da+ts had im7orta+t staff a+d/or comma+d 7ositio+s i+ the Ierma+ mi-itar G9 AFN)%B9 See the *osta6es case! su7ra +ote )' Fi+ :hich the accused :ere a-- hi6h2ra+@i+6 officers of the mi-itar G9 AFN)JB9 See the /i+istries case! su7ra +ote ))! at (&%9 AFN5&B9 See Roech-i+6 case! su7ra +ote )5! at '&J<! ''(49 AFN5'B9 See U+ited States of 0merica "s9 Friedrich F-ic@ et a-9! $$ Decem#er 'J)<! Tria-s of 1ar ,rimi+a-s #efore the Nurem#er6 /i-itar Tri#u+a- u+der ,o+tro- ,ou+ci- La: No9 '&! "o-9 ?I! 779 ''%<! '$&$D Roech-i+6 case! su7ra +ote )5! at '&J<! ''(49 AFN5$B9 This does +ot mea+ that there ha"e #ee+ +o cases at a-- i+ :hich the doctri+e of su7erior res7o+si#i-it cou-d ha"e #ee+ a usefutoo- o+ :hich the 7rosecutio+ cou-d re- 9 I+ the / Lai case! ,a7tai+ /edi+a :as co+"icted o+- for i+"o-u+tar ma+s-au6hter arisi+6 from the murder of o"er '&& ?iet+amese ci"i-ia+s # troo7s u+der his comma+d! i+ accorda+ce :ith 0rtic-e ''JF#GF'G of the U+iform ,ode of /i-itar 3ustice FU9,9/939G! '& U9S9,9 NJ'JF#GF'G F'J<&G9 0-thou6h the doctri+e of comma+d res7o+si#i-it :as referred to! +o co+"ictio+ u+der this theor fo--o:ed9 The test 6i"e+ to the 8ur # the 7residi+6 8ud6e :as :hether the accused :as Eactua-- a:areE that his me+ :ere doi+6 the @i--i+6s a+d! thereafter! did +othi+6 to 7ut a+ e+d to them9 See U+ited States "9 /edi+a! )( ,9/9R9 $)( F'J<'GD see a-so Fi+a- Re7ort of the ,ommissio+ of I+quir i+to the E"e+ts at the Refu6ee ,am7s i+ Beirut! Fe#ruar <! 'J%( FauthoriHed
Pa6e $'
tra+s-atio+G! re7ri+ted i+ $$ I9L9/9 )<(25$& F'J%(G Aherei+after the .aha+ Re7ortB9 AFN5(B9 E=ce7t for the Third Ie+e"a ,o+"e+tio+ 0rtic-e (J! :hich ta@es u7 o+e of the co+ditio+s -aid do:+ i+ the 'J&< *a6ue Re6u-atio+s! i+ re-atio+ to Eres7o+si#-e comma+dE a+d ma@es this a s7ecific o#-i6atio+ for the admi+istratio+ of 7riso+er2of2:ar cam7s9 0rtic-e (J of the Third Ie+e"a ,o+"e+tio+ states i+ re-e"a+t 7art that EAEB"er 7riso+er of :ar cam7 sha-- #e 7ut u+der the immediate authorit of a res7o+si#-e commissio+ed officer #e-o+6i+6 to the re6u-ar armed forces of the Detai+i+6 Po:er9E AFN5)B9 Protoco- I 0dditio+a- to the 'J)J Ie+e"a ,o+"e+tio+s of '$ 0u6ust 'J)J! a+d re-ati+6 to the Protectio+ of ?ictims of I+ter+atio+a- 0rmed ,o+f-icts! Ie+e"a! % 3u+e 'J<<! o7e+ed for si6+ature '$ Decem#er 'J<<! ''$5 UNTS (9 re7ri+ted i+ '4 IL/ '(J' F'J<<G Aherei+after 0dditio+a- Protoco- IB9 AFN55B9 See id9 at art9 %<F(G9 0rtic-e %<F(G 7ro"ides that The *i6h ,o+tracti+6 Parties a+d the Parties to the co+f-ict sha-- require that a+ comma+der :ho is a:are that su#ordi+ates or other 7erso+s u+der his co+tro- are 6oi+6 to commit or ha"e committed a #reach of the ,o+"e+tio+s or of this Protoco-! to i+itiate such ste7s as are +ecessar to 7re"e+t such "io-atio+s of the ,o+"e+tio+s or this Protoco-! a+d! :here a77ro7riate! to i+itiate disci7-i+ar or 7e+a- actio+ a6ai+st "io-ators thereof9 Id9 AFN54B9 Id9 at art9 %4F$G9 AFN5<B9 See IL, Draft ,ode ,omme+tar ! su7ra +ote ')9 0rtic-e 4 of the IL, Draft ,ode ,omme+tar ! e+tit-ed ERes7o+si#i-it of the su7erior!E states: The fact that a crime a6ai+st the 7eace a+d securit of ma+@i+d :as committed # a su#ordi+ate does +ot re-ie"e his su7eriors of crimi+a- res7o+si#i-it ! if the @+e: or had reaso+ to @+o:! i+ the circumsta+ces at the time! that the su#ordi+ate :as committi+6 or :as 6oi+6 to commit such a crime a+d if the did +ot ta@e a-- +ecessar measures :ithi+ their 7o:er to 7re"e+t or re7ress the crime9 Id9 AFN5%B9 Id9 at art9 $% Fdisti+6uishi+6 #et:ee+ Ea mi-itar comma+der or 7erso+ effecti"ecomma+derE o+ the o+e ha+d! a+d Esu7erior a+d su#ordi+ate re-atio+shi7sE o+ the otherG9 AFN5JB9 See ,e-e#ici 3ud6me+t! su7ra +ote '5! \ ()4D 0-e@so"s@i 3ud6me+t! su7ra +ote <! \\ 4J2<'9 AFN4&B9 ,e-e#ici 077ea- 3ud6me+t! su7ra +ote '5! at 5)2'&)! \\ '%$2(')9 AFN4'B9 0@a esu 3ud6me+t! su7ra +ote '5D .am#a+da 3ud6me+t! su7ra +ote $D Serusha6o 3ud6me+t! su7ra +ote '5D Prosecutor "9 .a ishema a+d RuHi+da+a! 3ud6me+t! ,ase No9 I,TR2J52'2T! /a $' 'JJJ! Aherei+after .a ishema a+d RuHi+da+a 3ud6me+tBD /usema 3ud6me+t! su7ra +ote (! \\ %4(2%(9 AFN4$B9 .a ishema a+d RuHi+da+a 3ud6me+t! su7ra +ote '5! \\ $&%2('! )<(25'4D the I,TR 077ea-s ,ham#er has rece+t- co+firmed the Tria- ,ham#er;s 3ud6me+t FRuHi+da+a a+d .a ishema "9 Prosecutor! ,ase No9 I,TR2J52'20! ora8ud6me+t of ' 3u+e $&&' F:ritte+ 8ud6me+t is a:aitedGG9 AFN4(B9 See 0-e@so"@si 3ud6me+t! su7ra +ote <! \\ '&(2&4! '&<2''9 The Tria- ,ham#er carefu-- disti+6uished #et:ee+ the crimes committed # the re6u-ar 7riso+ staff! id9 \\ '&(2&4! a+d # the *?O so-diers! see id9 \\ '&<2''9 The former cate6or :as mai+- res7o+si#-e for offe+ses committed i+ the 7riso+ :hi-e the -atter :ou-d come to the 7riso+ to se-ect 7riso+ers to #e used as huma+ shie-ds a+d for tre+ch2di66i+6 dut 9 See id9 \\ '$&2(%! '(J2 $'&9 0-e@so"@si :as co+sidered a su7erior of the re6u-ar 7riso+ staff #ut the Tria- ,ham#er decided that the e"ide+ce did +ot 7ro"ide a #asis for the co+c-usio+ that the accused had su7erior authorit o"er the -atter cate6or of 7er7etrators9 See id9 \\ ''<! '(%9 acti+6 as a mi-itar
Pa6e $$
AFN4)B9 See .a ishema a+d RuHi+da+a 3ud6me+t! su7ra +ote 4'! \\ (')2)<$! 55'24J9 07art from the accused themse-"es! the 6rou7s of 7er7etrators ide+tified at the "arious massacres sites :ere 6e+darmes! commu+a- 7o-ice! mem#ers of the EI+teraham:eE F7arami-itar mi-itias! -i+@ed :ith o+e of the mai+ Io"er+me+t 7arties! :ho :ere hea"ii+"o-"ed i+ carr i+6 out the 6e+ocida- 7ro6ram i+ R:a+da i+ the #e6i++i+6 of 'JJ)G! -oca- officia-s! i+c-udi+6 7riso+ :arde+s! co+sei--ers! #our6mestres a+d armed ci"i-ia+s9 See id9 AFN45B9 Su77ort for this 7ro7ositio+ ca+ #e fou+d i+ the case -a: of the I,TY a+d the I,TR! :hich sho:s that accused ha"e #ee+ fou+d -ia#-e as a su7erior for the offe+ses committed # 6rou7s of su#ordi+ates! irres7ecti"e of the form a+d de6ree of 7artici7atio+ # each i+di"idua- su#ordi+ate9 See for i+sta+ce! the fo--o:i+6 8ud6me+ts: .am#a+da 3ud6me+t! su7ra +ote $D Serusha6o 3ud6me+t! su7ra +ote '5! .a ishema a+d RuHi+da+a 3ud6me+t! su7ra +ote '5! /usema 3ud6me+t! su7ra +ote (9 AFN44B9 ,e-e#ici 077ea- 3ud6me+t! su7ra +ote '5! \\ <5J2%$49 AFN4<B9 See I,R, ,O//ENT0RY TO T*E 0DDITION0L PROTO,OLS! su7ra +ote ')! at '&'J2$&! \\ (55$2559 AFN4%B9 See Par@s! su7ra +ote (&! at '&$ FEI+ order to fi+d a comma+der res7o+si#-e! the acts char6ed must ha"e #ee+ committed # troo7s u+der his comma+d9 Norma-- this refers to troo7s of his u+it or of a+other u+it o"er :hich he has #oth o7eratio+a- a+d admi+istrati"e co+tro-D #ut a#se+t either he ma sti-- #e res7o+si#-e if he other:ise had a dut a+d the mea+s to co+tro- those troo7s a+d fai-ed to do so9EG9 AFN4JB9 I,R, ,O//ENT0RY TO T*E 0DDITION0L PROTO,OLS! su7ra +ote ')! at '&'J2 $&! \\ (55$2559 AFN<&B9 0rtic-e %< of 0dditio+a- Protoco- I! e+tit-ed EDut of comma+ders!E reads as fo--o:s: '9 The *i6h ,o+tracti+6 Parties a+d the Parties to the co+f-ict sha-- require mi-itar comma+ders! :ith res7ect to mem#ers of the armed forces u+der their comma+d a+d other 7erso+s u+der their co+tro-! to 7re"e+t a+d! :here +ecessar ! to su77ress a+d to re7ort to com7ete+t authorities #reaches of the ,o+"e+tio+s a+d of this Protoco-9 $9 I+ order to 7re"e+t a+d su77ress #reaches! *i6h ,o+tracti+6 Parties a+d Parties to the co+f-ict sha-- require that! comme+surate :ith their -e"e- of res7o+si#i-it ! comma+ders e+sure that mem#ers of the armed forces u+der their comma+d are a:are of their o#-i6atio+s u+der the ,o+"e+tio+s a+d this Protoco-9 (9 The *i6h ,o+tracti+6 Parties a+d Parties to the co+f-ict sha-- require a+ comma+der :ho is a:are that su#ordi+ates or other 7erso+s u+der his co+tro- are 6oi+6 to commit or ha"e committed a #reach of the ,o+"e+tio+s or of this Protoco-! to i+itiate such ste7s as are +ecessar to 7re"e+t such "io-atio+s of the ,o+"e+tio+s or this Protoco-! a+d! :here a77ro7riate! to i+itiate disci7-i+ar or 7e+a- actio+ a6ai+st "io-ators thereof9 0dditio+a- Protoco- I! su7ra +ote 5)9 AFN<'B9 ,e-e#ici 3ud6me+t! su7ra +ote '5! \\ (4)2<%9 AFN<$B9 Id9 \ (<%9 AFN<(B9 See B-as@ic 3ud6me+t! su7ra +ote J! \\ (&&2&'9 The B-as@ic Tria- ,ham#er too@ +otice of 0rtic-e $%F'G of the I,, Statute! :hich -imits a mi-itar comma+der;s crimi+a- res7o+si#i-it to crimes :hich are a#out to #e or :hich are #ei+6 committed # Eforces u+der his or her effecti"e comma+d a+d co+tro-E a+d 7rosecutio+9 AFN<)B9 See ,e-e#ici 3ud6me+t! su7ra +ote '5! \ (J5 FEa su7erior ma o+- #e he-d crimi+a-- res7o+si#-e for fai-i+6 to ta@e such measures that are :ithi+ his 7o:ersEGD see a-so I,R, ,O//ENT0RY TO T*E 0DDITION0L PROTO,OLS! su7ra +ote ')! i+ re-atio+ to 0rtic-e %4F$G of 0dditio+a- Protoco- I F:hich dea-s :ith the questio+ of Ea-feasi#-e measuresE :ithi+ the 7o:er of su7eriors to 7re"e+t or re7ressG9 AFN<5B9 See B-as@ic 3ud6me+t! su7ra +ote J! \ (&$9 See a-so 0-e@so"s@i 3ud6me+t! su7ra +ote <! \ <% Fco+cer+i+6 re7orti+6 to the a77ro7riate authorities the commissio+ of crimesG9
Pa6e $(
AFN<4B9 See ,e-e#ici 3ud6me+t! su7ra +ote '5! \ (<4D .a ishema a+d RuHi+da+a 3ud6me+t! su7ra +ote 4'! \ $'<9 AFN<<B9 See /usema 3ud6me+t! su7ra +ote (! \ ')%9 AFN<%B9 ,e-e#ici 077ea- 3ud6me+t! su7ra +ote '5! \ 'J49 AFN<JB9 Id9 \ 'J(D see a-so id9 at $)%25$9 AFN%&B9 See /usema 3ud6me+t! su7ra +ote (! \ '))9 AFN%'B9 See id9 \\ %<%2%$9 But see i+fra +ote ''& o+ the questio+ of :hether the Tria- ,ham#er :as correct to decide that /usema e=ercised de 8ure authorit o"er factor em7-o ees acti+6 outside the sco7e of their 7rofessio+a- duties9 AFN%$B9 See id9 \ %%'9 AFN%(B9 See Serusha6o 3ud6me+t! su7ra +ote '59 AFN%)B9 See id9 \ $%9 AFN%5B9 See id9 \ $J9 AFN%4B9 See id9 \ $4 a+d ?erdict9 AFN%<B9 See 0-e@so"s@i 3ud6me+t! su7ra +ote <! \ '&4D B-as@ic 3ud6me+t! su7ra +ote J! \ (&(9 AFN%%B9 See ,e-e#ici 077ea- 3ud6me+t! su7ra +ote '5! \ (&(9 AFN%JB9 See I,R, ,O//ENT0RY TO T*E 0DDITION0L PROTO,OLS! su7ra +ote ')! at '&'(! \ (5))9 The I,R, ,omme+tar to the 0dditio+a- Protoco- i+dicates that the :ord Esu7eriorE i+ 0rtic-e %< of 0dditio+a- Protoco- I +ot o+a77-ies to su7eriors Eu+der :hose direct orders the su#ordi+ate is 7-acedE #ut i+stead Eshou-d #e see+ i+ terms of a hierarch e+com7assi+6 the co+ce7t of co+tro-9E Id9 Fem7hasis addedG9 AFNJ&B9 Id9 at '&'( Fem7hasis addedG9 AFNJ'B9 ,e-e#ici 077ea- 3ud6me+t! su7ra +ote '5! \ 'J<9 AFNJ$B9 See a-so I,R, ,O//ENT0RY TO T*E 0DDITION0L PROTO,OLS! su7ra +ote ')! at '&$& +9J! '&'J Fstressi+6 that the Efu-- 7ractica- mea+i+6E must #e 6i"e+ to the 7hrase Ethe armed forces u+der their comma+dEG9 The e=am7-e is 7ro"ided of a comma+der :ho is su77-ied :ith troo7s that are +ot +orma-- u+der his comma+d a+d the ,omme+tar states that EAhBe must e+sure that Athe B com7- :ith Ai+ter+atio+a- huma+itaria+ -a:B9E Id9 at '&'J9 AFNJ(B9 U+ited States "9 Soemu To oda! Officia- tra+scri7t of Record of tria-! at 5&''2'$9 AFNJ)B9 Id9 AFNJ5B9 The Poh- ,ase! .ar- /emme+the ! ? Tria-s of 1ar ,rimi+a-s #efore the Nurem#er6 /i-itar Tri#u+a- FU+ited States Io"er+me+t Pri+ti+6 Office! 'J5&G9 AFNJ4B9 See id9 at '&5$9
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AFNJ<B9 I+ re Yamashita! ($< US '! '5 F'J)5G9 AFNJ%B9 /edica- Tria-! II The Tria-s of 1ar ,rimi+a-s #efore the Nurem#er6 /i-itar Io"er+me+t Pri+ti+6 Office! 'J5&G9 AFNJJB9 Id9 at $'$9 AFN'&&B9 See *osta6es case! su7ra +ote )'! at "o-9 ?III! 79 <'9 See a-so! I,R, ,O//ENT0RY TO T*E 0DDITION0L PROTO,OLS! su7ra +ote ')! at '&$&9 AFN'&'B9 See Ierma+ *i6h ,omma+d Tria-! su7ra +ote )'! at "o-9 WI! at 54%9 AFN'&$B9 See T*E TO.YO 10R ,RI/ES TRI0L )J%$&2)J%$' FR9 3oh+ Pritchard O So+ia /a6#a+ua Maide! eds9 Iar-a+d Pu#-ishi+6 I+c9 'J%'G9 See a-so /usema 3ud6me+t! su7ra +ote (! \\ '(J2)) Fseems to e+dorse this Ei+f-ue+ce theor EG9 AFN'&(B9 ,e-e#ici 077ea- 3ud6me+t! su7ra +ote '5! \ $449 AFN'&)B9 See id9 at (5(! (5)! (4)2<'D 0-e@so"s@i 3ud6me+t! su7ra +ote <! \\ <4! '&'! '&(D see a-so .a ishema a+d RuHi+da+a 3ud6me+t! su7ra +ote 4'! \\ $'%2$$! $(&! )<%! )J&25&<9 AFN'&5B9 ,e-e#ici 3ud6me+t! su7ra +ote '5! \ (5)9 AFN'&4B9 ,e-e#ici 077ea- 3ud6me+t! su7ra +ote '5! \ 'J$9 AFN'&<B9 0-e@so"s@i 3ud6me+t! su7ra +ote <! \ <49 AFN'&%B9 Id9 AFN'&JB9 See /usema 3ud6me+t! su7ra +ote (! \\ %4424<9 AFN''&B9 The ,ourt fou+d that it has #ee+ esta#-ished #e o+d reaso+a#-e dou#t that FaG /usema had de 8ure authorit o"er the Tea Factor em7-o ees :hi-e the :ere o+ the 7remises a+d :hi-e the :ere e+6a6ed i+ their 7rofessio+aduties outside factor 7remises! a+d F#G that /usema had de facto authorit o"er the em7-o ees at other times9 See id9 \ %%&9 *o:e"er! the Tria- ,ham#er the+ 7roceeds :ith fi+di+6 that Eit has #ee+ esta#-ished #e o+d reaso+a#-e dou#t that there e=isted at the time of the e"e+ts a--e6ed i+ the I+dictme+t a de 8ure su7erior2su#ordi+ate re-atio+shi7 #et:ee+ /usema a+d the em7-o ees of the Iiso"u Tea Factor 9E Id9 \ %%$9 This is co+firmed i+ the 3ud6me+t;s -e6a- fi+di+6s See id9 \\ %J5! J')9 From these fi+di+6s it a77ears that the 3ud6me+t co+c-udes that /usema had de facto a+d de 8ure authorit o"er the em7-o ees a-- the time! e"e+ :he+ the :ere committi+6 crimes outside their 7rofessio+a- duties9 This -e6a- fi+di+6! :hich does +ot i+"a-idate the 8ud6me+t! seems to stretch the e+"e-o7e too far9 0r6ua#- ! de 8ure authorit shou-d #e -imited i+ time a+d s7ace for ci"i-ia+ su7eriors Fa-thou6h 7erha7s +ot for mi-itar su7eriorsG9 Para6ra7h %%& sho:s that the Tria- ,ham#er fau-ted /usema for +ot ha"i+6 7re"e+ted em7-o ees from usi+6 tea factor 7ro7ert to commit crimes outside their 7rofessio+a- duties9 I+ additio+! the Tria- ,ham#er re7eated- fi+ds that /usema :as 7rese+t :hi-e his em7-o ees committed the crimes outside the factor 7remises9 Such facts shou-d ha"e -ed! at most! to a fi+di+6 of de facto authorit u+der 0rtic-e 4F(G # /usema o"er the Tea factor em7-o ees a+d/or a fi+di+6 of -ia#i-it u+der 0rtic-e 4F'G of the I,TR Statute for aidi+6! a#etti+6! i+sti6ati+6 etc9 AFN'''B9 I,R, ,O//ENT0RY TO T*E 0DDITION0L PROTO,OLS! su7ra +ote ')! at '&'& +9'4 Fcitatio+ omittedG9 Tri#u+a-s FU+ited States
Pa6e $5
AFN''$B9 T*E INTERN0TION0L /ILIT0RY TRIBUN0L FOR T*E F0R E0ST! 30P0NESE 10R ,RI/ES TRI0LS FU+i"ersit Press 0msterdam! 'J<<GD id9 at )5% Fcase of /amoru Shi6emitsu! Ehe! as a mem#er of the 6o"er+me+t! #ore o"erhead res7o+si#i-it for the :e-fare of the 7riso+ers9 *e shou-d ha"e 7ressed the matter! if +ecessar to the 7oi+t of resi6+i+6! i+ order to quit himse-f of a res7o+si#i-it :hich he sus7ected :as +ot #ei+6 dischar6edEGD id9 at ))42)% Fcase of .o@i *iroti! ho-di+6 that it :as his dut to i+sist #efore the 3a7a+ese ,a#i+et that Eimmediate actio+ #e ta@e+ to 7ut a+ e+d to the atrocitiesE or to ta@e Ea+ other actio+ o7e+ to him to #ri+6 a#out the same resu-tEG9 AFN''(B9 For a detai-ed discussio+ of these cases! see ,e-e#ici 3ud6me+t! su7ra +ote '5! \\ (5<24'9 AFN'')B9 See /i+istries case! su7ra +ote ))! at (&%9 AFN''5B9 See Roech-i+6 case! su7ra +ote )5! at '''49 AFN''4B9 ,e-e#ici 3ud6me+t! su7ra +ote '5! \\ (4'24$9 AFN''<B9 0-e@so"s@i 077ea- 3ud6me+t! su7ra +ote <! \ <49 AFN''%B9 ,e-e#ici 077ea- 3ud6me+t! su7ra +ote '5! \ 'J49 AFN''JB9 ,e-e#ici 3ud6me+t! su7ra +ote '5! \\ (5)24(9 AFN'$&B9 Id9 at \ (4(9 AFN'$'B9 ,e-e#ici 3ud6me+t! su7ra +ote '5! \ (<%9 AFN'$$B9 .a ishema a+d RuHi+da+a 3ud6me+t! su7ra +ote 4'! \ $'4D see a-so id9 \\$')2'59 AFN'$(B9 See /usema 3ud6me+t! su7ra +ote (! \ '($9 AFN'$)B9 See IL, Draft ,ode ,omme+tar ! su7ra +ote ')! comme+tar to 0rtic-e 4F)G9 AFN'$5B9 See 0@a esu 3ud6me+t! su7ra +ote '5! \ )J&9 AFN'$4B9 ,e-e#ici 077ea- 3ud6me+t! su7ra +ote '5! \ 'J49 AFN'$<B9 Id9 \ 'J49 AFN'$%B9 See 0-e@so"s@i 3ud6me+t! su7ra +ote <! \ <%9 AFN'$JB9 ,e-e#ici 077ea- 3ud6me+t! su7ra +ote '5! \ $)&9 AFN'(&B9 See IL, Draft ,ode ,omme+tar ! su7ra +ote ')! comme+tar to 0rtic-e 4F)G FEATBhe refere+ce to ;a crime a6ai+st the 7eace a+d securit of ma+@i+d; i+dicates that the res7o+si#i-it of a su7erior for the u+-a:fuco+duct of his su#ordi+ate e=te+ds +ot o+- to :ar crimes! #ut a-so to the other crimes -isted i+ Part II9EG AFN'('B9 See Prosecutor "9 B-as@ic! ,ase No IT2J52')2PT! Decisio+ o+ Defe+ce /otio+ to Stri@e Portio+s of the 0me+ded I+dictme+t 0--e6i+6 EFai-ure to Pu+ish Lia#i-it !E 07r9 )! 'JJ<! \\ 42''! '<D Prosecutor "9 .ordic a+d ,er@eH! ,ase No IT2J52')/$2PT! Decisio+ o+ 3oi+t Defe+ce /otio+ to Dismiss for Lac@ of 3urisdictio+ Portio+s of the 0me+ded I+dictme+t 0--e6i+6 EFai-ure to Pu+ish Lia#i-it !E /ar9 $! 'JJJ! \\ J2'4D Prosecutor "9 /omci-o .ra8is+i@! ,ase No9 IT2
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&&2(J! PT! Decisio+ o+ /otio+ ,ha--e+6i+6 3urisdictio+ 2 1ith Reaso+s!E Se7t9 $$! $&&&! \ $59 AFN'($B9 See a-so ,e-e#ici 077ea- 3ud6me+t! su7ra +ote '5! \\ 'J5! $('! $(59 AFN'((B9 See i+ 7articu-ar! the .am#a+da 3ud6me+t! su7ra +ote $D the .a ishema a+d RuHi+da+a 3ud6me+t! su7ra +ote 4'D the /usema 3ud6me+t! su7ra +ote (D a+d the Serusha6o 3ud6me+t! su7ra +ote '59 AFN'()B9 See ,e-e#ici 3ud6me+t! su7ra +ote '5! \\ '$$'2$(9 AFN'(5B9 Id9D see a-so Prosecutor "9 De-a-ic! Decisio+ o+ /otio+ # the 0ccused *aHim De-ic Based o+ Defects i+ the Form of the I+dictme+t! ,ase No9 IT2J42$'2T! No"9 '5! 'JJ4! \\ '42'%D ."oc@a et a-9! Decisio+ o+ Defe+ce Pre-imi+ar /otio+s o+ the Form of the I+dictme+t! 07r9 '$ 'JJJ! \ 5&D Na-eti-ic a+d /arti+o"ic! Decisio+ o+ Defe+da+t ?i+@o /arti+o"ic;s O#8ectio+ to the I+dictme+t! Fe#9 '5! $&&&9 AFN'(4B9 See ,e-e#ici 3ud6me+t! su7ra +ote '5! \\ <<5! ''$(9 AFN'(<B9 See .a ishema a+d RuHi+da+a 3ud6me+t! su7ra +ote 4'! \ $$(9 AFN'(%B9 See id9 AFN'(JB9 See! e969! id9 \\ ())! (5&! (5$! 5&)! 5&4! 55$! 55(! 5559 AFN')&B9 See /usema 3ud6me+t! su7ra +ote (! \\ J($2(49 AFN')'B9 B-as@ic 3ud6me+t! su7ra +ote J! \ ((<9 AFN')$B9 See id9 \\ )<)! ()'2<)(9 AFN')(B9 Id9 at 7t9 ?I FDis7ositio+G9 AFN'))B9 Par@s! su7ra +ote (&! at <<9 AFN')5B9 See 0-e@so"s@i 3ud6me+t! su7ra +ote <! \ %&D B-as@ic 3ud6me+t! su7ra +ote J! \ (&%9 These 3ud6me+ts i+dicate that the 7ositio+ of authorit of the su7erior o"er the su#ordi+ate ma i+ some circumsta+ces of itse-f #e a+ i+dicator that the su7erior must ha"e @+o:+ of the su#ordi+ate;s co+duct9 See a-so .a ishema a+d RuHi+da+a 3ud6me+t! su7ra +ote 4'! \ $$59 AFN')4B9 See Fi+a- Re7ort of the ,ommissio+ of E=7erts Esta#-ished Pursua+t to Securit ,ou+ci- Reso-utio+ <%& U9N9 Doc9 S/'JJ)/4<) F'JJ$G! \ 5% Aherei+after Fi+a- Re7ort of the ,ommissio+ of E=7ertsB9 AFN')<B9 See ,e-e#ici 3ud6me+t! su7ra +ote '5! \ (%4D B-as@ic 3ud6me+t! su7ra +ote J! \ (&<9 AFN')%B9 See B-as@ic 3ud6me+t! su7ra +ote J! \ (&%9 AFN')JB9 See 0-e@so"s@i 3ud6me+t! su7ra +ote <! \ %&9 AFN'5&B9 See id9 AFN'5'B9 See I,R, ,O//ENT0RY TO T*E 0DDITION0L PROTO,OLS! su7ra +ote ')! at '&'(! \ (5)59
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AFN'5$B9 See ,e-e#ici 3ud6me+t! su7ra +ote '5! \\ (%<2J(D B-as@ic 3ud6me+t! su7ra +ote J! \\ (&J2($9 AFN'5(B9 See ,e-e#ici 077ea- 3ud6me+t! su7ra +ote '5! \\ $'42)&9 AFN'5)B9 ,e-e#ici 3ud6me+t! su7ra +ote '5! \ (J(9 AFN'55B9 B-as@ic 3ud6me+t! su7ra +ote J! \ (($9 AFN'54B9 See id9 AFN'5<B9 See ,e-e#ici 077ea- 3ud6me+t! su7ra +ote '5! \ $)&9 AFN'5%B9 Id9 \ $$49 AFN'5JB9 Id9 \ $)'9 AFN'4&B9 Id9 \ $(49 AFN'4'B9 I,, Statute! su7ra +ote 'J! at art9 $JF'G! F$G9 AFN'4$B9 See .a ishema a+d RuHi+da+a 3ud6me+t! su7ra +ote 4'! \\ $$52$%9 0t the time of :riti+6! the 077ea-s ,ham#er;s 3ud6me+t i+ .a ishema a+d RuHi+da+a is a:aited #ut it is u+-i@e- that the 077ea-s ,ham#er :i-- 7ro+ou+ce o+ this 7articu-ar questio+9 AFN'4(B9 Id9 AFN'4)B9 See id9 \ $%%9 AFN'45B9 See ,e-e#ici 077ea- 3ud6me+t! su7ra +ote '5! \ $)&9 AFN'44B9 Id9 \ $449 AFN'4<B9 0-e@so"@si 077ea- 3ud6me+t! su7ra +ote %! \ <49 AFN'4%B9 B-as@ic 3ud6me+t! su7ra +ote J! \ ((59 AFN'4JB9 See ,e-e#ici 3ud6me+t! su7ra +ote '5! \ (<4D .a ishema a+d RuHi+da+a 3ud6me+t! su7ra +ote 4'! \ $'<9 AFN'<&B9 B-as@ic 3ud6me+t! su7ra +ote J! \ (&$D com7are :ith 0-e@so"@si 3ud6me+t! su7ra +ote <! \ <%D a+d ,e-e#ici 3ud6me+t! su7ra +ote '5! \ (&$9 AFN'<'B9 See 0-e@so"s@i 3ud6me+t! su7ra +ote <! \ %'D ,e-e#ici 3ud6me+t! su7ra +ote '5! \ (J)D .a ishema a+d RuHi+da+a 3ud6me+t! su7ra +ote 4'! \ $('9 AFN'<$B9 ,e-e#ici 3ud6me+t! su7ra +ote '5! \ (J)9 AFN'<(B9 Id9 \ (J59 AFN'<)B9 See Stateme+t of U+dersta+di+6 made # Ita- u7o+ ratificatio+! $< Fe#ruar 'J%4 FEThe Ita-ia+ Io"er+me+t
Pa6e $%
u+dersta+ds i+ re-atio+ to 0rt9 )'! 54! 5<! 5%! <% a+d %4 the :ord ;feasi#-e; is to #e u+derstood as 7ractica#-e or 7ractica-- 7ossi#-e! ta@i+6 i+to accou+t a-- circumsta+ces ru-i+6 at the time! i+c-udi+6 huma+itaria+ a+d mi-itar co+sideratio+sEGD Stateme+t of U+dersta+di+6 made # Ierma+ u7o+ ratificatio+! ') Fe#ruar 'JJ'D Stateme+t of U+dersta+di+6 made # ,a+ada u7o+ ratificatio+! $& No"em#er 'JJ&9 AFN'<5B9 Refere+ce :as made to the Ierma+ *i6h ,omma+d Tria-! su7ra +ote )'! at <)2<5 FEThe choices :hich he has for o77ositio+ i+ this case are fe:: F'G he ca+ issue a+ order cou+terma+di+6 the orderD F$G he ca+ resi6+D F(G he ca+ sa#ota6e the e+forceme+t of the order :ithi+ a some:hat -imited s7here 9999 U+der #asic 7ri+ci7-es of comma+d authorit a+d res7o+si#i-it ! a+ officer :ho mere- sta+ds # :hi-e his su#ordi+ates e=ecute a crimi+a- order of his su7eriors :hich he @+o:s is crimi+a-! "io-ates a mora- o#-i6atio+ u+der I+ter+atio+a- La:9 B doi+6 +othi+6 he ca++ot :ash his ha+ds of i+ter+atio+a- res7o+si#i-it 9EG9 AFN'<4B9 B-as@ic 3ud6me+t! su7ra +ote J! \ ($J9 AFN'<<B9 Id9 \ ($J9 See a-so I,R, ,O//ENT0RY TO T*E 0DDITION0L PROTO,OLS! su7ra +ote ')! at '&')! \\ (5)52(5)4 a+d '&'J2$(! \\ (55$24(9 AFN'<%B9 B-as@ic 3ud6me+t! su7ra +ote J! \ ($'9 AFN'<JB9 Id9 \ ((49 AFN'%&B9 ,e-e#ici 077ea- 3ud6me+t! su7ra +ote '5! \ $$49 AFN'%'B9 Id9 END OF DO,U/ENT
$5 Y3IL %J $5 Ya-e 39 I+t;- L9 %J (Cite as: 25 +ale J !"t#l L 46%
Pa6e '
Ya-e 3our+a- of I+ter+atio+a- La: 1i+ter $&&& -rti.le -,stra.ts &46 ,O//0ND RESPONSIBILITY OF NON2/ILIT0RY SUPERIORS IN T*E INTERN0TION0L ,RI/IN0L ,OURT FI,,G Ire6 R9 ?etter AFNd'B ,o7 ri6ht C $&&& Ya-e 3our+a- of I+ter+atio+a- La:! I+c9D Ire6 R9 ?etter
I. II.
Introduction ......................................................... 7, The Lar4er Conte0t of the Co//and )es(onsi i!it" 'octrine ............ 77 A. Other For/s of Cri/ina! )es(onsi i!it" .......................... 78 B. 2'irect2 Co//and )es(onsi i!it" ................................. 77 C. Indi&idua! )es(onsi i!it" and Officia! State Ca(acit" .......... $,, '. The 'efense of Fo!!owin4 Su(erior Orders ....................... $,$ E. Su//ari:in4 the Conte0t Surroundin4 Co//and )es(onsi i!it" ..... $,3
III.
Esta !ishin4 the Basis of the Co/(arison ............................ $,6 A. To .hat 'e4ree Is the Co//and )es(onsi i!it" 'octrine A((!ied to Ci&i!ians; ..................................................... $,6 B. The Law fro/ the -ost1.or!d .ar II Tri una!s ................... $,# C. More )ecent 'e&e!o(/ents ....................................... $,7 '. .hich Law To Co/(are; .......................................... $$,
I9.
The ICC Standard11Co/(arin4 Ci&i!ian and Mi!itar" Co//and )es(onsi i!it" .................................................... $$6 A. The E!e/ents of Co//and )es(onsi i!it" That Fra/e the Co/(arison ........................................................ $$6
Pa6e $
B. The Su(erior1Su ordinate )e!ationshi( E!e/ent .................. $$+ $. The Te0t of the ICC Statute .................................. $$+ 3. Ce!e ici on the Su(erior1Su ordinate )e!ationshi( E!e/ent .... $$+ 6. The New 2Cri/es Concerned Acti&ities2 Ne0us E!e/ent in Artic!e 38<3=< = of the ICC Statute ............................... $$7 C. The 8now!ed4e E!e/ent .......................................... $3, $. The Te0t of the ICC Statute .................................. $3, 3. Ce!e ici on the 8now!ed4e E!e/ent ............................ $3, 6. The 2Conscious!" 'isre4arded2 Standard in the 8now!ed4e E!e/ent in Artic!e 38<3=<a= of the ICC Statute .................... $36 9. -rior Cases )e1E&a!uated >nder the ICC Statute?s Co//and )es(onsi i!it" Standard ........................................... $3# A. The To@"o Tria!s and the %irota Case ........................... $3# B. The Nure/ er4 Tria!s and the )oech!in4 Case .................... $38 $. The 2-re(arin4 To >nderta@e a .ar of A44ression2 Count ....... $38 3. The 2>nderta@in4 a .ar of A44ression2 Count .................. $37 6. The 2Mistreatin4 .or@ers2 Count .............................. $6, C. The ICT) and the A@a"esu Case .................................. $63 $. Is There a 2S(!it of Authorit"2 on Ci&i!ian Co//and )es(onsi i!it"; ................................................... $63 3. The ICT) in A@a"esu Narrow!" Construes Cri/ina! Lia i!it" for Ci&i!ians Arisin4 fro/ Co//and )es(onsi i!it" ..................... $64 6. A((!"in4 A@a"esu to the ICC Statute .......................... $6# 9I. The Co//and )es(onsi i!it" 'octrine and the Mi!ose&ic Indict/ent .... $6+ A. A((!"in4 the 'octrine A4ainst a %ead of State .................. $6+
Pa6e (
B. The Mi!ose&ic Case >nder the ICC Statute ....................... $68 9II. Conc!usion .......................................................... $4$
&69 I9 I+troductio+ De-e6ates from a77ro=imate- '5& +atio+s 6athered i+ Rome duri+6 the summer of 'JJ% to +e6otiate a+d fi+a-iHe the treat esta#-ishi+6 the :or-d;s first 7erma+e+t i+ter+atio+a- crimi+a- court9 AFN'B The co+"e+tio+ de-e6ates had to co+te+d :ith a :ide arra of issues9 The had to +e6otiate the 7ro"isio+s of the court;s 8urisdictio+ a+d su#sta+ti"e -a: a+d decide ma+ 7rocedura- a+d admi+istrati"e matters9 AFN$B The Rome co+"e+tio+ a+d resu-ti+6 treat cu-mi+ated a mu-ti2 ear 7rocess to esta#-ish a 7erma+e+t crimi+a- court9 AFN(B The U+ited Natio+s a+d the No+2Io"er+me+taOr6a+iHatio+ FNIOG commu+it -ed this 7rocess9 AFN)B The resu-ti+6 court! if im7-eme+ted! :i-- s m#o-iHe huma+@i+d;s stutteri+6 #ut determi+ed 7ro6ress to:ard cur#i+6 huma+ ri6hts a#uses9 AFN5B The court that ma arise from this 7ro6ress sta+ds i+ star@ co+trast to the rece+t huma+ ri6hts a#uses i+ the former Yu6os-a"ia a+d R:a+da9 AFN4B These a#uses ca7 a dead- ce+tur of :ar crimes! crimes a6ai+st huma+it ! a+d &6/ 6e+ocide! AFN<B :ith the -ast ear of the mi--e++ium :it+essi+6 eth+ic c-ea+si+6 i+ the 7ro"i+ce of .oso"o i+ the former Yu6os-a"ia9 AFN%B /a+ ho7e that a 7erma+e+t court :ith :or-d:ide 8urisdictio+ o"er the most e6re6ious crimes :i-he-7 "i+dicate the ru-e of -a:9 AFNJB To #e successfu-! the court arisi+6 from the Rome co+"e+tio+ must 6ro: i+ stre+6th a+d stature as a+ i+stitutio+ 7ercei"ed to #e ca7a#-e of #ri+6i+6 "io-ators to 8ustice9 AFN'&B If rea-iHed! these 6oa-s mi6ht a--o: the I+ter+atio+a- ,rimi+a- ,ourt FI,,G to cast a shado: of deterre+ce o+ future huma+ ri6hts "io-ators9 AFN''B The I,, faces +umerous cha--e+6es a+d o#stac-es im7edi+6 its mome+tum to:ard these as7iratio+s9 O+e set of #arriers has #ee+ a+d :i-- #e of a 7o-itica- +ature9 To 6o i+to effect! the Rome treat +eeds si=t cou+tries to ratif it9 AFN'$B O+e ma8or 7-a er! the U+ited States! e=7ressed o77ositio+ to the court! a+d i+itia-- threate+ed to use its i+f-ue+ce to 7ressure other cou+tries +ot to si6+ or ratif the Rome treat 9 AFN'(B 0+other set of #arriers arises from the &62 dau+ti+6 admi+istrati"e a+d 7ractica- requireme+ts +ecessar to esta#-ish a+ i+stitutio+ such as the I,,9 0 cursor re"ie: of the headi+6s of the I,, Statute i--ustrates the su#8ects decided i+ Rome or at the 7re7arator meeti+6s -eadi+6 u7 to the Rome co+"e+tio+9 The decisio+s o+ a-- of these su#8ects im7act the court;s effecti"e+ess to some de6ree9 The de-e6ates had to +e6otiate a+d a6ree to -a+6ua6e for '$% 7ro"isio+s cate6oriHed i+ the thirtee+ headi+6s of the I,, Statute: F'G esta#-ishme+t of the courtD F$G 8urisdictio+! admissi#i-it ! a+d a77-ica#-e -a:D F(G 6e+era- 7ri+ci7-es of crimi+a- -a:D F)G com7ositio+ a+d admi+istratio+ of the courtD F5G i+"esti6atio+ a+d 7rosecutio+D F4G tria- 7rocedure! e"ide+ce! a+d other court fu+ctio+sD F<G 7e+a-tiesD F%G a77ea- a+d re"isio+D FJG i+ter+atio+a- coo7eratio+ a+d 8udicia- assista+ceD F'&G e+forceme+tD F''G assem#- of states 7artiesD F'$G fi+a+ci+6D a+d F'(G other misce--a+eous matters9 AFN')B 1ithi+ this 7a+o7- of issues re-ated to esta#-ishi+6 the court! i+di"iduacrimi+a- res7o+si#i-it 7ro"isio+s are 7articu-ar- im7orta+t for a+ effecti"e court9 O+e t 7e of i+di"iduacrimi+a- cu-7a#i-it is the doctri+e of comma+d res7o+si#i-it ! Eu+der :hich a comma+der i+curs certai+ -e6a- res7o+si#i-ities for the acts of his su#ordi+ates9E AFN'5B The form of the doctri+e at issue i+ this 0rtic-e im7utes crimi+a- res7o+si#i-it to a -eader :ho fai-s to co+tro- his or her su#ordi+ates! a+d is thus a t 7e of im7uted cu-7a#i-it #ased o+ the -eader;s omissio+s9 AFN'4B The doctri+e has three e-eme+ts: su7erior2su#ordi+ate re-atio+shi7! @+o:-ed6e! a+d i+actio+9 AFN'<B I+di"iduacrimi+a- res7o+si#i-it ! a+d comma+d res7o+si#i-it i+ 7articu-ar! are im7orta+t #ecause! to deter huma+ ri6hts a#uses! 7ote+tia- 7er7etrators must 7ercei"e I,, 7rosecutio+ as a 7ossi#-e co+seque+ce of their actio+s9 AFN'%B *istorica-- ! the doctri+e of comma+d res7o+si#i-it has #ee+ a+ im7orta+t too- to ho-d accou+ta#-e -eaders :ho 7-a+! 7artici7ate i+! or acquiesce i+ -ar6e2sca-e huma+ ri6hts a#uses9 AFN'JB O+e :a that the doctri+e i+creases deterre+ce is # 7ro"idi+6 a+ I,, 7rosecutor a+other -e6a- theor that ca+ 6e+erate additio+a- cou+ts to char6e a6ai+st a -eader9 AFN$&B Thus! the &65 Esco7e of the comma+d res7o+si#i-it doctri+e remai+s o+e of the most im7orta+t issues i+ 7rosecuti+6 huma+ ri6hts atrocities9E AFN$'B The sco7e of the doctri+e determi+es the de6ree to :hich a -eader ca+ i+su-ate himse-f from crimi+a- cu-7a#i-it :he+ the crimi+a- acts :ere committed # others #ut :ere caused # the -eader;s -ac@ of di-i6e+ce! resu-ti+6 i+ E7oor- trai+ed a+d disci7-i+ed Asu#ordi+ates :ho areB -i@e- to ha"e sca+t re6ard
Pa6e )
for the dictates of huma+ ri6hts or huma+itaria+ -a:9E AFN$$B To co+sider a h 7othetica- e=am7-e! a 7rosecutor;s i+itia- c-aim mi6ht #e a direct crimi+a- res7o+si#i-it c-aim! such as that the -eader ordered so-diers to ra7e a+d @i-- ci"i-ia+ :ome+9 To sho: ho: the comma+d res7o+si#i-it doctri+e a--o:s the 7rosecutor to #ri+6 additio+a- cou+ts! assume that the so-diers did ra7e a+d @i-- ci"i-ia+ :ome+! #ut that the e"ide+ce :as i+ dis7ute as to :hether the -eader ordered the so-diers; actio+9 I+ this sce+ario! the 7rosecutor cou-d a-so #ri+6 a comma+d res7o+si#i-it c-aim a6ai+st the -eader! char6i+6 that the -eader is crimi+a-- res7o+si#-e for the so-diers; actio+s if the -eader @+e: or had reaso+ to @+o: of the so-diers; u+-a:fuacts a+d did +ot act to sto7 or 7u+ish them9 AFN$(B The comma+d res7o+si#i-it doctri+e creates a+ e=tra i+ce+ti"e for a -eader to e=ercise co+tro- o"er su#ordi+ates! a+d it dimi+ishes the cha+ces that a -eader :ith e"i- desi6+s ca+ #ui-d a defe+se to 7rosecutio+ # remai+i+6 :i--fu-- #-i+d9 AFN$)B Ii"e+ the comma+d respo"si,ility doctri+e;s im7orta+ce! AFN$5B a+d 6i"e+ the I,,;s 7rimar 6oa- of deterri+6 i+ter+atio+a- crimi+a-s! es7ecia-- those :ho -ead ri6hts2a#usi+6 mo"eme+ts! AFN$4B the Rome co+"e+tio+ de"e-o7ed sur7risi+6 +e: -a+6ua6e descri#i+6 the co+ditio+s u+der :hich a -eader :ou-d #e he-d crimi+a-- respo"si,le for the actio+s of su#ordi+ates9 The Rome +e6otiatio+s de-i"ered a +e: comma+d respo"si,ility sta+dard that ma :ea@e+ the reach of the doctri+e for ci"i-ia+ superiors, that is! ci"i-ia+s :hose su#ordi+ates ha"e committed crimes that "io-ate the I,, Statute! com7ared to the doctri+e;s reach for mi-itar comma+ders9 0m+est I+ter+atio+a- :ar+ed a6ai+st :ea@e+i+6 comma+d respo"si,ility9 It 7u#-ished a -ist of Ete+ :a s to :rec@ the court9E AFN$<B Item se"e+ from the -ist s7ecifica-me+tio+ed that o+e &64 :a to :rec@ the court :as to E:ea@e+ 7ri+ci7-es of crimi+a- respo"si,ility! such as superior respo"si,ility9E AFN$%B 0 :ea@er ci"i-ia+ comma+d respo"si,ility sta+dard is u+desira#-e #ecause it :i-- +ot deter ci"i-ia+ superiors to the same e=te+t as mi-itar comma+ders9 ,omma+d respo"si,ility cases decided i+ the :a@e of 1or-d 1ar II AFN$JB as :e-- as rece+t e"e+ts AFN(&B demo+strate that ci"i-ia+ superiors ca+ #e i+timate- associated :ith "io-atio+s of huma+ ri6hts -a:9 ,i"i-ia+ superiors shou-d #e he-d +o -ess accou+ta#-e tha+ mi-itar comma+ders for their i+"o-"eme+t :ith! com7-icit i+! or -ac@ of di-i6e+ce co+tri#uti+6 to these crimes! as -o+6 as ci"i-ia+ accou+ta#i-it does +ot e=te+d #e o+d a+ o#8ecti"e- 8ustifia#-e ca7a#i-it to co+tro- su#ordi+ates! @+o: of atrocities! a+d ta@e actio+ to sto7 them or 7u+ish the su#ordi+ate offe+ders9 AFN('B These ca7a#i-ities shou-d #e o#8ecti"e- 8ud6ed so that the doctri+e ca+ reach those :ho 7ur7osefu-- desi6+ a ci"i-ia+ hierarch that a--o:s them to remai+ :i--fu-- #-i+d9 AFN($B Ii"e+ that the I,, statue ma@es crimi+a- o+- the most e6re6ious of crimes! AFN((B a :ea@er ci"i-ia+ comma+d res7o+si#i-it doctri+e u+dercuts the court;s 6oa- of stro+6! i+di"idua- deterre+ce9 AFN()B I+di"idua- accou+ta#i-it :as the :atershed de"e-o7me+t arisi+6 from the Nurem#er6 tria-s! AFN(5B a+d i+di"idua- accou+ta#i-it is :hat :i-- e+a#-e the I,, to meet its as7iratio+s of deterri+6 huma+ ri6hts a#uses a+d "i+dicati+6 the ru-e of -a:9 Reco6+iHi+6 the im7orta+ce of the comma+d res7o+si#i-it doctri+e! the e=isti+6 i+ter+atio+a- crimi+a- courts i+c-ude this doctri+e AFN(4B i+ their i+di"idua- &65 crimi+a- res7o+si#i-it 7ro"isio+s9 Li@e the I,,! the I+ter+atio+a- ,rimi+aTri#u+a- for the former Yu6os-a"ia FI,TYG a+d the I+ter+atio+a- ,rimi+a- Tri#u+a- for R:a+da FI,TRG each ha"e a comma+d res7o+si#i-it 7ro"isio+9 AFN(<B I+ co+trast! the Nurem#er6 a+d To@ o i+ter+atio+a- mi-itar tri#u+a-s did +ot co+tai+ a+ e=7-icit comma+d res7o+si#i-it 7ro"isio+9 *o:e"er! des7ite this! these t:o 1or-d 1ar II era courts a77-ied the comma+d res7o+si#i-it doctri+e to some defe+da+ts9 AFN(%B Thus! comma+d res7o+si#i-it is a reco6+iHed doctri+e i+ i+ter+atio+a- -a:! AFN(JB a+d its i+c-usio+ i+ the I,, Statute :as to #e e=7ected9 0rtic-e $% of the I,, Statute 7ro"ides that mi-itar comma+ders a+d +o+2mi-itar su7eriors Esha-- #e crimi+a-res7o+si#-e for crimes :ithi+ the 8urisdictio+ of the AI,,B committed # AthoseB u+der AtheirB effecti"e authorit a+d co+tro-9E AFN)&B The+! i+ a+ e=7ressio+ of the doctri+e that a77ears to #e u+ique! the I,, Statute te=tua-- #ifurcates the co+ce7t of comma+d res7o+si#i-it #et:ee+ mi-itar comma+ders a+d +o+2mi-itar su7eriors9 AFN)'B The -atter cate6or :i-- most -i@e- #e co+strued as mea+i+6 ordi+ar ci"i-ia+s! #ureaucrats! a+d 7o-itica- -eaders9 AFN)$B 1hi-e the issue is o7e+ to de#ate! the I,, comma+d res7o+si#i-it sta+dard for mi-itar comma+ders is esse+tia-- the curre+t customar i+ter+atio+a- -a: sta+dard9 AFN)(B *o:e"er! the I,, ci"i-ia+ sta+dard is to some de6ree :ea@er a+d :ou-d -i@e- a--o: some ci"i-ia+ authorities to esca7e co+"ictio+ :here the court cou-d reach a+d 7u+ish mi-itar comma+ders9 AFN))B &6$ Both rece+t courts a+d courts from the 7ost21or-d 1ar II era ha"e had occasio+ to co+strue a+d a77- the comma+d
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res7o+si#i-it doctri+e9 AFN)5B The I,, has arise+ duri+6 a time :he+ t:o UN2chartered! cou+tr 2s7ecific i+ter+atio+atri#u+a-s o7erate s7ecifica-- i+ res7o+se to 7-a++ed! -ar6e2sca-e! s stematic huma+ ri6hts "io-atio+s9 AFN)4B The I,TY :as esta#-ished o+ /a $5! 'JJ(! AFN)<B :hi-e the I,TR :as esta#-ished o+ No"em#er %! 'JJ)9 AFN)%B Both courts; statutes co+tai+ comma+d res7o+si#i-it 7ro"isio+s9 I+ co+trast! the Nurem#er6 a+d To@ o i+ter+atio+a- mi-itar tri#u+a-s o7erated 8ust after 1or-d 1ar II9 AFN)JB Both the Nurem#er6 a+d To@ o i+ter+atio+a- mi-itar tri#u+a-s tried a+d co+"icted su7eriors #ased o+ the crimes of their su#ordi+ates! AFN5&B des7ite the a#se+ce of a s7ecific comma+d res7o+si#i-it 7ro"isio+ i+ their court2authoriHi+6 statutes9 AFN5'B I+ -i6ht of the e=7erie+ce of these four i+ter+atio+a- crimi+a- courts! a+d i+ -i6ht of the e=7erie+ce of other 7ost21or-d 1ar II courts! this 0rtic-e com7ares the comma+d res7o+si#i-it 7ro"isio+s em#odied i+ artic-e $% of the I,, Statute :ith the comma+d res7o+si#i-it doctri+e that arose after 1or-d 1ar II! a+d as im7-eme+ted a+d i+ter7reted si+ce the+ # the I,TY a+d the I,TR9 I+ doi+6 this! the 0rtic-e;s 6oa- is to focus o+ the issue of ci"i-ia+ comma+d res7o+si#i-it as codified i+ the I,, Statute9 To 7roceed! Part II 7ro"ides #ac@6rou+d to shar7e+ the -ater discussio+ of comma+d res7o+si#i-it 9 S7ecifica-- ! Part II i+troduces the comma+d res7o+si#i-it doctri+e a+d discusses se"era- re-ated doctri+es9 Ne=t! Part III com7-etes the 7re-imi+ar su#8ects +ecessar for the 0rtic-e;s mai+ ar6ume+ts # #rief- traci+6 the emer6e+ce of the comma+d res7o+si#i-it doctri+e a+d discussi+6 :hich "aria+ts of the doctri+e shou-d #e com7ared to the +e: I,, ci"i-ia+ comma+d res7o+si#i-it sta+dard9 This 0rtic-e;s mai+ ar6ume+ts rest i+ Part I? a+d Part ?9 The former ar6ues that cha+6es i+ t:o of the @e e-eme+ts of the comma+d res7o+si#i-it doctri+e 7roduce a ci"i-ia+ comma+d res7o+si#i-it sta+dard that hi+ders the deterre+t 7o:er of the doctri+e for ci"i-ia+ -eaders9 This ar6ume+t re-ies o+: F'G the differe+ces i+ the te=t of the I,, mi-itar comma+der sta+dard "ersus the I,, Statute;s ci"i-ia+ su7erior sta+dardD a+d F$G the rece+t i+f-ue+ces o+ &61 the comma+d res7o+si#i-it doctri+e # the ,e-e#ici AFN5$B case from the I,TY! the first i+ter+atio+a- tri#u+a- case si+ce the 7ost2 1or-d 1ar II cases to a77- the comma+d res7o+si#i-it doctri+e9 AFN5(B Part ? e=7a+ds the ar6ume+t # a+a- Hi+6 the facts of se"era- 7ast cases a6ai+st the I,, ci"i-ia+ comma+d res7o+si#i-it sta+dard9 O+- a ha+dfu- of ci"i-ia+ comma+d res7o+si#i-it cases e=ist9 The 0rtic-e se-ects from this ha+dfu- those cases :hose facts ca+ i--ustrate ho: the +e: I,, ci"i-ia+ sta+dard :ou-d 7roduce a differe+t outcome tha+ :he+ the case :as ori6i+a-- ad8udicated9 Part ?I the+ uses the i+dictme+t of S-o#oda+ /i-ose"ic i+ the I,TY to re"ie: the a77-icatio+ of the I,, comma+d res7o+si#i-it doctri+e at the hi6hest -e"e- i+ the chai+ of comma+d9 Fi+a-- ! Part ?II co+c-udes # em7hasiHi+6 the effect of the cha+6es i+ the @+o:-ed6e e-eme+t a+d the su7erior2su#ordi+ate re-atio+shi7 e-eme+t of the +e: I,, ci"i-ia+ comma+d res7o+si#i-it sta+dard9 II9 The Lar6er ,o+te=t of the ,omma+d Res7o+si#i-it Doctri+e I+ Part I?! this 0rtic-e :i-- focus o+ the issue of :he+! or :hether! u+der the I,, Statute! a 7erso+ i+ a 7ositio+ of authorit a+d co+tro- o"er a su#ordi+ate or su#ordi+ates ca+ #e he-d crimi+a-- -ia#-e for the acts of the su#ordi+ates9 I+ other :ords! :he+ ca+ a -eader #e he-d crimi+a-- res7o+si#-e u+der the comma+d res7o+si#i-it doctri+e> The doctri+e ca+ create direct crimi+a- -ia#i-it ! as i+ the case :here a -eader orders a su#ordi+ate to commit a crime! a+d the doctri+e ca+ create im7uted crimi+a- res7o+si#i-it :he+ a -eader fai-s to e=ercise sufficie+t di-i6e+ce i+ mo+itori+6 a+d co+tro--i+6 his or her su#ordi+ates9 AFN5)B This seco+d form of the doctri+e creates -ia#i-it from the -eader;s omissio+s! a+d it is t 7ica-- e=7ressed i+ three e-eme+ts9 AFN55B 1hi-e ma+ s-i6ht- "ar i+6 formu-atio+s e=ist! these three e-eme+ts are: F'G the superior2su#ordi+ate re-atio+shi7 e-eme+tD F$G the @+o:-ed6e e-eme+tD a+d F(G the i+actio+ e-eme+t9 AFN54B The superior2su#ordi+ate re-atio+shi7 e-eme+t co+cer+s :hether the comma+der or &64 superior had sufficie+t co+troof the su#ordi+atesD the @+o:-ed6e e-eme+t co+cer+s :hether the comma+der or superior u+derstood or @+e: that crimes :ere #ei+6 committedD a+d the i+actio+ e-eme+t co+cer+s :hether the comma+der or superior acted o+ his or her dut to i+ter"e+e9 AFN5<B Before e=ami+i+6 the comma+d respo"si,ility doctri+e i+ 6reater detai-! this 7art first discusses the #roader co+te=t a+d re-ated doctri+es surrou+di+6 comma+d respo"si,ility9 This frames the 0rtic-e;s 7rimar focus! the efficac of the I,,;s ci"i-ia+ comma+d respo"si,ility sta+dard! for -ater treatme+t9 I+ this u+derta@i+6! this 7art associates the doctri+es that 7ro"ide the #roader co+te=t :ith the re-e"a+t 7ro"isio+s i+ the I,, Statute9 Li@e the I,, Statute;s im7-eme+tatio+ of
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comma+d respo"si,ility i+ artic-e $%! it de-i+eates these other doctri+es # im7-eme+ti+6 them i+ desi6+ated 7ro"isio+s9 09 Other Forms of ,rimi+a- Respo"si,ility ,omma+d respo"si,ility shares some characteristics :ith other forms of crimi+a- -ia#i-it for a+ accom7-ice! i+c-udi+6! -oose- ! the co+ce7ts of com7-icit ! accom7-ice -ia#i-it ! a+d aidi+6 a+d a#etti+69 AFN5%B 0-- of these doctri+es ha"e the commo+ feature that o+e is crimi+a-- respo"si,le #ecause of o+e;s re-atio+shi7 or associatio+ :ith others9 *o:e"er! comma+d respo"si,ility is differe+t i+ ori6i+ a+d formu-atio+ from a-- of these doctri+es9 AFN5JB The crimi+arespo"si,ility 7ro"isio+s of the I,, Statute reco6+iHe this disti+ctio+9 I+ artic-e $5! the statute assi6+s i+di"iduacrimi+a- respo"si,ility for o+e :ho aids! a#ets! assists i+! or 7ro"ides the mea+s for a crime AFN4&B or its attem7t9 AFN4'B 0rtic-e $5 reaches o+e :ho Eco+tri#utes to the commissio+ or attem7ted commissio+ of 9 9 9 a crime # a 6rou7 of 7erso+s acti+6 :ith a commo+ 7ur7ose9E AFN4$B Further! for 6e+ocide! artic-e $5 reaches o+e :ho Edirect- a+d 7u#-ic- i+cites others to commit 6e+ocide9E AFN4(B Thus! the structure of the I,, Statute c-ear- de-i+eates these other forms of crimi+a- res7o+si#i-it from comma+d res7o+si#i-it 9 AFN4)B &66 B9 EDirectE ,omma+d Res7o+si#i-it The I,, Statute e+codes EdirectE comma+d res7o+si#i-it i+ artic-e $5! :hi-e artic-e $%! the sectio+ u+der discussio+ i+ this 0rtic-e! e+codes Eim7utedE comma+d res7o+si#i-it 9 These t:o t 7es of crimi+a- cu-7a#i-it are co+ce7tua-disti+ct! et sometimes the are descri#ed as t:o su#2t 7es of the comma+d res7o+si#i-it doctri+e9 AFN45B The @e disti+ctio+ is that u+der direct comma+d res7o+si#i-it the comma+der or su7erior Eis he-d -ia#-e for orderi+6 u+-a:fuacts9E AFN44B I+ co+trast! im7uted comma+d res7o+si#i-it e=ists E:here the comma+der is he-d -ia#-e for a su#ordi+ate;s u+-a:fuco+f-ict :hich is +ot #ased o+ the comma+der;s Aor su7erior;sB orders9E AFN4<B Thus! :hi-e some refere+ces to the comma+d res7o+si#i-it doctri+e discuss the co+ce7t of orderi+6 o+e;s su#ordi+ates to commit a crime! AFN4%B a com7-ete stateme+t of the doctri+e em7hasiHes im7uted comma+d res7o+si#i-it as :e--9 AFN4JB The I,, Statute em7hasiHes the co+ce7tua- disti+ctio+ #et:ee+ these t:o forms of crimi+a- res7o+si#i-it # 7-aci+6 each i+ a se7arate artic-e9 For direct comma+d res7o+si#i-it ! artic-e $5 of the I,, Statute! e+tit-ed EI+di"idua- ,rimi+aRes7o+si#i-it !E AFN<&B reaches o+e :ho EAoBrders! so-icits! or i+duces the commissio+ of such a crime :hich i+ fact occurs or is attem7ted9E AFN<'B Thus! u+der the I,, Statute! orderi+6 o+e;s su#ordi+ates to 7erform a crime is +ot a form of "icarious crimi+a- -ia#i-it ! AFN<$B #ut rather is i+di"idua-- cu-7a#-e crimi+a- #eha"ior9 AFN<(B ,o+"e i+6 7ate+ti--e6a- orders do:+ the comma+d chai+ :ou-d a-so fa-- u+der the direct comma+d res7o+si#i-it ru#ric9 AFN<)B Im7uted comma+d res7o+si#i-it u+der the I,, is descri#ed i+ artic-e $%! a+d is a form of "icarious crimi+a- -ia#i-it #ecause the -ia#i-it arises from the re-atio+shi7 #et:ee+ the su7erior a+d the su#ordi+ate! a+d +ot from the comma+der or su7erior;s direct actio+ to commu+icate &/99 orders i+itiati+6 the u+-a:fu- #eha"ior9 AFN<5B Thus! im7uted comma+d res7o+si#i-it is #ased o+ a fai-ure of the comma+der or su7erior to act9 AFN<4B For e=am7-e! a mi-itar officer mi6ht #e he-d crimi+a-- res7o+si#-e u+der im7uted comma+d res7o+si#i-it for Efai-i+6 to esta#-ish 7o-icies a+d 7rocedures for the 7re"e+tio+ of "io-atio+s a+d for the 7u+ishme+t of "io-ators! a+d for fai-i+6 to im7-eme+t them9E AFN<<B Because this 0rtic-e focuses o+ im7uted comma+d res7o+si#i-it ! u+dersta+di+6 direct comma+d res7o+si#i-it is o++ecessar to 7ro"ide #ac@6rou+d a+d co+te=t for the discussio+ of im7uted comma+d res7o+si#i-it 9 0ccordi+6- ! the remai+der of the 0rtic-e uses the term Ecomma+d res7o+si#i-it E to refer to im7uted comma+d res7o+si#i-it 9 ,9 I+di"idua- Res7o+si#i-it a+d Officia- State ,a7acit The 7rosecutio+s after 1or-d 1ar II esta#-ished as o+e of the Nurem#er6 Pri+ci7-es the doctri+e that i+di"idua-s ca+ #e he-d crimi+a-- -ia#-e for acts :hich "io-ate i+ter+atio+a- -a:! e"e+ :he+ acti+6 as a6e+ts of the state9 AFN<%B O+e;s ca7acit as a state officia- does +ot 7ro"ide a defe+se9 Prior to the 7ost21or-d 1ar II 7rosecutio+s! a comma+der :as much more -i@e- to esca7e crimi+a- res7o+si#i-it #ecause the comma+der :as su7er"isi+6 so-diers i+ his or her ca7acit as a+ officia- of the state9 AFN<JB The state itse-f :ou-d #e the o+- e+tit res7o+si#-e for the act! e"e+ thou6h the state cou-d +ot #e he-d crimi+a-- res7o+si#-e9 AFN%&B For e=am7-e! assume that a NaHi mi-itar &/9/ comma+der
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fo--o:s state 7o-ic a+d orders his forces to tur+ o"er 7riso+ers to the NaHi death cam7 s stem9 If 7rosecuted for this actio+! the NaHi comma+der :ou-d 7-ead that his ro-e required him to fo--o: the state 7o-ic of tur+i+6 o"er 7riso+ers to the cam7 s stem9 The Nurem#er6 Pri+ci7-es +e6ate this 7-ea if the NaHi comma+der @+e: that the 7riso+ers :ere #ei+6 murdered or mistreated i+ the cam7 s stem9 Thus! 7ierci+6 the "ei- of Eofficia- state ca7acit E is simi-ar to the doctri+e that sa s that Esu7erior orders is +ot a defe+se!E discussed i+ the +e=t sectio+9 0+ accused :ho c-aims a defe+se of state res7o+si#i-it or officia- ca7acit is c-aimi+6 that the accused;s 7ositio+! a+d +ot some s7ecific order! required or "a-idauthoriHed the u+-a:fu- acts9 The I,, Statute fo--o:s the +o: :e--2esta#-ished i+ter+atio+a- -a: +orm that officia- ca7acit does +ot immu+iHe a -eader9 AFN%'B Thus! #ei+6 a state actor is +ot a defe+se to comma+d respo"si,ility -ia#i-it 9 O+ the other side of the coi+! the I,, Statute a-so e+sures that ho-di+6 the i+di"iduacrimi+a-- respo"si,le does +ot -imit the state;s respo"si,ility u+der other forms of i+ter+atio+a- -a: for the "io-atio+s9 AFN%$B D9 The Defe+se of Fo--o:i+6 Superior Orders The I,, Statute 7ro"ides se"era- defe+ses! AFN%(B a+d amo+6 these is the -imited defe+se of superior orders9 Some comme+tators characteriHe the superior orders defe+se as the f-i7 side of comma+d respo"si,ility9 AFN%)B The Nurem#er6 7ri+ci7-es e=7ress- -imit the defe+se of superior orders: EThe fact that a 7erso+ acted 7ursua+t to order of his Io"er+me+t or of a superior does +ot re-ie"e him from respo"si,ility u+der i+ter+atio+a- -a:! 7ro"ided a morachoice :as i+ fact 7ossi#-e to him9E AFN%5B The I,, Statute co+fi+es the defe+se +arro:- so that it does +ot s:a--o: the e+tire +otio+ of i+di"iduacrimi+a- respo"si,ility! :hether i+ the form of direct 7artici7atio+ or i+ the form of im7uted respo"si,ility "ia the superior#s re-atio+shi7 :ith his or her &/92 su#ordi+ates9 AFN%4B If the superior orders defe+se :ere +ot -imited! the+ Ethe acce7ta+ce of superior orders o+ the o+e ha+d! a+d the -ac@ of @+o:-ed6e as to Athe crimes!B e=ecutio+ # su#ordi+ates! o+ the other! :ou-d -ead to the a#o-ishme+t of a+ 7e+a-t 9E AFN%<B E9 SummariHi+6 the ,o+te=t Surrou+di+6 ,omma+d Respo"si,ility I+ sum! the co+ce7ts of F'G i+di"idua- respo"si,ility Fas o77osed to state respo"si,ility or officia- ca7acit G! F$G direct 7artici7ator Ecomma+d respo"si,ility!E F(G com7-icit a+d accessor -ia#i-it ! a+d F)G the defe+se of superior orders 7ro"ide a co+te=t for the core comma+d respo"si,ility doctri+e9 I+ esse+ce! these four doctri+es de-imit the outer co+ce7tua- #ou+daries of comma+d respo"si,ility as discussed i+ this 0rtic-e9 The structure of the I,, Statute a-so ac@+o:-ed6es these differe+t doctri+es a+d their disti+ct ro-e com7ared to the ro-e of comma+d respo"si,ility9 The I,, Statute iso-ates the comma+d respo"si,ility doctri+e i+ artic-e $%! reco6+iHi+6 its u+ique character as a crimi+a- -ia#i-it 7ro"isio+ #ased o+ +e6-ect of o+e;s dut to su7er"ise a+d co+tro- su#ordi+ates9 0s rece+t- stated # the I,TY i+ the ,e-e#ici case: EATBhe crimi+a- respo"si,ility of superiors for fai-i+6 to ta@e measures to 7re"e+t or re7ress the u+-a:fuco+duct of their su#ordi+ates is #est u+derstood :he+ see+ a6ai+st the 7ri+ci7-e that crimi+a- respo"si,ility for omissio+s is i+curred o+- :here there e=ists a -e6a- o#-i6atio+ to act9E AFN%%B This omissio+2#ased character AFN%JB of the comma+d respo"si,ility doctri+e u+derscores the 7ote+tia- #readth of the doctri+e a+d 7erha7s e=7-ai+s :h it has +ot #ee+ :ithout co+tro"ers 9 AFNJ&B Ne=t! Part III discusses the doctri+e;s e-eme+ts! :hich this 0rtic-e uses to com7are the I,, Statute;s ci"i-ia+ comma+d respo"si,ility sta+dard :ith its mi-itar sta+dard9 Some e-eme+ts do +ot cha+6e #et:ee+ the I,, ci"i-ia+ a+d mi-itar sta+dards9 0+a- Hi+6 the differe+ces that do e=ist i+ the :ordi+6 a+d structure of the e-eme+ts 6e+erates the thesis of this 0rtic-e: that the +e: ci"i-ia+ sta+dard :ea@e+s the court;s a#i-it to #ri+6 ci"i-ia+ 7er7etrators to 8ustice for the 7ur7ose of deterri+6 huma+ ri6hts a#uses9 &/95 III9 Esta#-ishi+6 the Basis of the ,om7ariso+ This 0rtic-e;s thesis is that the ci"i-ia+ comma+d res7o+si#i-it sta+dard codified i+ artic-e $%F$G of the I,, Statute reduces the efficac of the 7erma+e+t i+ter+atio+a- crimi+a- court9 This ar6ume+t rests o+ the 7remise that the +e: ci"i-ia+ sta+dard is -ess strict tha+ the I,, mi-itar sta+dard a+d 7erha7s -ess strict tha+ the 7rior -a: of comma+d res7o+si#i-it as a77-ied to ci"i-ia+s9 AFNJ'B It a-so rests o+ the 7resum7tio+ that i+di"idua- accou+ta#i-it i+ the I,, :i-- he-7 deter huma+ ri6hts a#uses a+d that a -ess strict sta+dard a--o:s a ci"i-ia+ su7erior to either e=ercise -ess
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di-i6e+ce i+ co+tro--i+6 su#ordi+ates! or ha"e -ess fear of #ei+6 co+"icted :he+ i+te+tio+a-- a--o:i+6 or e+coura6i+6 su#ordi+ates to commit huma+ ri6hts a#uses9 To su77ort these ar6ume+ts! this 7art #rief- e=ami+es the de"e-o7me+t of the comma+d res7o+si#i-it doctri+e to frame the com7ariso+ u+derta@e+ i+ Part I?9 09 To 1hat De6ree Is the ,omma+d Res7o+si#i-it Doctri+e 077-ied to ,i"i-ia+s> Prior to the I,, Statute! o+e issue i+ i+ter+atio+a- -a: :as :hether the comma+d res7o+si#i-it doctri+e em#odied a si+6-e sta+dard that a77-ied to mi-itar comma+ders For those effecti"e- acti+6 as mi-itar comma+dersG a+d +o+2 mi-itar comma+ders9 AFNJ$B E"e+ thou6h it arose i+ mi-itar -a:! the comma+d res7o+si#i-it doctri+e has i+ a fe: i+sta+ces #ee+ a77-ied to ci"i-ia+ -eaders9 AFNJ(B ,om7ou+di+6 this issue! artic-e $% of the I,, Statute uses simi-ar -a+6ua6e to 7ro"ide se7arate- t:o comma+d res7o+si#i-it sta+dards! o+e for mi-itar comma+ders a+d a+other for ci"i-ia+ su7eriors9 AFNJ)B &/94 Some ar6ue that the comma+d res7o+si#i-it doctri+e shou-d ha"e a differe+t sta+dard :he+ a77-ied to ci"i-ia+s! AFNJ5B a+d rece+t- the I,TR has e"e+ questio+ed :hether the comma+d res7o+si#i-it doctri+e shou-d #e a77-ied to ci"i-ia+s at a--9 AFNJ4B *o:e"er! i+ter+atio+a- -a: seems to reco6+iHe that the doctri+e a77-ies to ci"i-ia+s i+ some form9 AFNJ<B Furthermore! the 7ost21or-d 1ar II cases discussed i+ Part ? do +ot im7-eme+t a -esser sta+dard for ci"i-ia+ su7eriors9 I+ a+ e"e+t! :hether the 7re2I,, ci"i-ia+ comma+d res7o+si#i-it sta+dard is differe+t from the 7re2I,, mi-itar sta+dard is a+ issue that :i-- -i@e- remai+ o7e+ to de#ate! a+d it is +ot the 7ur7ose of this 0rtic-e to directaddress or e+d this de#ate9 Ii"e+ this de#ate! the I,, drafters had a choice: either e+code a si+6-e sta+dard a+d a77- it to #oth mi-itar a+d ci"i-ia+ -eaders or e+code se7arate sta+dards for each9 B choosi+6 to e+code se7arate sta+dards! the ha"e raised the issue of :hether se7arate sta+dards hi+der or su77ort the u+der- i+6 6oa-s of the court9 &/95 The remai+der of this 7art traces the e"o-utio+ of the comma+d res7o+si#i-it doctri+e a+d e=ami+es! i+ Sectio+ III9D! the s7ecific -a: to #e used i+ the com7ariso+ u+derta@e+ # this 0rtic-e i+ Part I?9 B9 The La: from the Post21or-d 1ar II Tri#u+a-s The I,TY a+d the I,TR statutes co+tai+ e=7-icit comma+d res7o+si#i-it 7ro"isio+s9 I+ co+trast! the i+ter+atio+ami-itar tri#u+a-s at Nurem#er6 a+d To@ o did +ot9 AFNJ%B This sectio+ re"ie:s comma+d res7o+si#i-it as esta#-ished at the Nurem#er6 a+d To@ o i+ter+atio+a- tri#u+a-s a+d # other 7ost21or-d 1ar II mi-itar court cases9 AFNJJB The Nurem#er6 a+d To@ o charters are esse+tia-- equi"a-e+t9 AFN'&&B The Lo+do+ 06reeme+t of 0u6ust %! 'J)5! chartered the Nurem#er6 i+ter+atio+a- mi-itar tri#u+a- FI/T2NG9 AFN'&'B The To@ o tri#u+a- i+ the Far East FI/T2FEG E:as set u7 # 7roc-amatio+ of Ie+era- Dou6-as /ac0rthur 9 9 9 o+ 3a+uar 'J! 'J)49E AFN'&$B Both the I/T2N a+d the I/T2FE co+tai+ed the fo--o:i+6 -a+6ua6e: ELeaders! or6a+iHers! i+sti6ators a+d accom7-ices 7artici7ati+6 i+ the formu-atio+ or e=ecutio+ of a commo+ 7-a+ or co+s7irac to commit a+ of the fore6oi+6 crimes are res7o+si#-e for a-acts 7erformed # a+ 7erso+s i+ e=ecutio+ of such 7-a+9E AFN'&(B Thus! the te=t of each tri#u+a-;s statute o+articu-ated EdirectE comma+d res7o+si#i-it 9 *o:e"er! the U+ited States had 7ro7osed a defi+itio+ that :as +e"er i+cor7orated i+to a+ 7romu-6ati+6 order! #ut that :ou-d ha"e esta#-ished res7o+si#i-it for the Eomissio+ of a su7erior officer to 7re"e+t :ar crimes :he+ he @+o:s of! or is o+ +otice as to their commissio+ or co+tem7-ated commissio+ a+d is i+ a 7ositio+ to 7re"e+t &/9$ them9E AFN'&)B Thus! forma-! e=7-icit comma+d res7o+si#i-it :as co+sidered #ut +ot i+c-uded i+ these t:o charters9 The most si6+ifica+t comma+d res7o+si#i-it cases to come from Nurem#er6 came from the mi-itar tria-s co+ducted u+der ,o+tro- ,ou+ci- La: No9 '&! +ot the I/T2N9 AFN'&5B I+ the *i6h ,omma+d AFN'&4B case! the U9S9 mi-itar court i+ Nurem#er6 re8ected a strict -ia#i-it AFN'&<B co+ce7t of crimi+a- -ia#i-it 9 AFN'&%B The defe+da+ts Ehe-d "arious -eadi+6 comma+d or staff 7ositio+s i+ the Ierma+ 0rmed Forces9E AFN'&JB The :ere char6ed :ith "arious cou+ts re-ati+6 to acts such as s-au6hteri+6 e+em troo7s! e=ecuti+6 7artisa+s! a+d mistreati+6 7riso+ers9 AFN''&B I+ requiri+6 7erso+a- dere-ictio+ of duties for cu-7a#i-it ! the *i6h ,omma+d court resisted the E+ear2strict2-ia#i-it E sta+dard that some scho-ars attri#ute to the I+ re Yamashita case! AFN'''B a U9S9 mi-itar triaof a 3a7a+ese 6e+era- for crimes committed # his troo7s i+ the Phi-i77i+e Is-a+ds9 AFN''$B
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Perha7s the most cited a+d discussed 7ost21or-d 1ar II case! Yamashita! e+6e+ders co+sidera#-e co+tro"ers #oth for 7rocedura- issues a+d for the comma+d res7o+si#i-it sta+dard a77-ied to Ie+era- Yamashita9 AFN''(B The &/91 Ie+erade+ied @+o:i+6 a#out the atrocities! a+ order- 7atter+ of e=ecutio+ of thousa+ds of ci"i-ia+s! a+d de+ied 6i"i+6 orders to massacre Fi-i7i+os! a+d there :as some dis7ute as to :hether effecti"e commu+icatio+s e=isted from his -ocatio+ to the troo7s i+ the fie-d9 AFN'')B The case is 7articu-ar- si6+ifica+t i+ U9S9 domestic -a: #ecause after his co+"ictio+ # the mi-itar tri#u+a-! the Su7reme ,ourt de+ied Ie+era- Yamashita;s :rit of ha#eas cor7us9 AFN''5B E"e+ the Su7reme ,ourt;s ru-i+6 is dis7uted! ho:e"er! as some comme+tators c-aim that the ,ourt e+dorsed the comma+d res7o+si#i-it doctri+e! AFN''4B :hi-e others assert that the ,ourt mere- he-d that the mi-itar tri#u+a- had the 7o:er to tr Ie+eraYamashita9 AFN''<B For this 0rtic-e;s 7ur7oses! these disti+ctio+s are +ot critica-9 /ore im7orta+t is the s +thesiHed effect of the mi-itar tri#u+a- cases! i+c-udi+6 Yamashita a+d *i6h ,omma+d! that Ea comma+der;s @+o:-ed6e of :ides7read atrocities :ithi+ the comma+d area :as re#utta#- 7resumed &/94 rather tha+ irre#utta#- 7resumed!E #ecause this assessme+t i+dicates the e"ide+tiar #urde+ a--ocated to the 7rosecutor a+d defe+da+t i+ the @+o:-ed6e e-eme+t of the doctri+e9 AFN''%B 3ust as some of the most im7orta+t comma+d res7o+si#i-it cases at Nurem#er6 came from mi-itar tri#u+a-s! a+d +ot the i+ter+atio+a- mi-itar tri#u+a-s! AFN''JB the Yamashita case i--ustrates this same 7he+ome+o+ i+ the Far East9 0s i+ 7ost21or-d 1ar II Ierma+ ! mi-itar tri#u+a-s i+ the Far East 7roduced si6+ifica+t comma+d res7o+si#i-it cases9 AFN'$&B The I/T2FE! or To@ o tri#u+a-! a-so co+tri#uted to the i+ter+atio+a- -a: of comma+d res7o+si#i-it 9 E"e+ thou6h a s7ecific comma+d res7o+si#i-it 7ro"isio+ :as -ac@i+6! the defe+da+ts at I/T2FE :ere char6ed u+der ,ou+t 55 AFN'$'B :ith +e6ati"e crimi+a-it 22that the Ede-i#erate- a+d rec@-ess- disre6arded their -e6a- dut to ta@e adequate ste7s to secure the o#ser"a+ce a+d 7re"e+t #reaches of the -a:s a+d customs of :ar9E AFN'$$B &/96 *a"i+6 re"ie:ed a77-icatio+ of the comma+d res7o+si#i-it doctri+e i+ some of the most i+f-ue+tia- 7ost21or-d 1ar II cases that a77- the doctri+e! the 0rtic-e +e=t discusses the e"o-utio+ of the doctri+e after 1or-d 1ar II9 ,9 /ore Rece+t De"e-o7me+ts I+ the i+terim #et:ee+ the 7ost21or-d 1ar II tri#u+a-s a+d the I,TY a+d I,TR tri#u+a-s! the most si6+ifica+t de"e-o7me+t for the i+ter+atio+a- -a: of comma+d res7o+si#i-it is the e+codi+6 of the doctri+e i+ 'J<< as 7art of 0dditio+a- Protoco- I of the Ie+e"a ,o+"e+tio+s of 'J)J9 AFN'$(B 0fter re8ecti+6 t:o Eshou-d ha"e @+o:+E formu-atio+s! AFN'$)B the de-e6atio+s +e6otiati+6 the Protoco- sett-ed o+ the fo--o:i+6 sta+dard: The fact that a #reach of the ,o+"e+tio+s or of this Protoco- :as committed # a su#ordi+ate does +ot a#so-"e his su7eriors from 7e+a- or disci7-i+ar res7o+si#i-it ! as the case ma #e! if the @+e:! or had i+formatio+ :hich shou-d ha"e e+a#-ed them to co+c-ude i+ the circumsta+ces at the time! that he :as committi+6 or :as 6oi+6 to commit such a #reach a+d if the did +ot ta@e a-- feasi#-e measures :ithi+ their 7o:er to 7re"e+t or re7ress the #reach9 AFN'$5B The 0dditio+a- Protoco- direct- i+f-ue+ced the ,e-e#ici court;s co+structio+ of artic-e <F(G! the comma+d res7o+si#i-it 7ro"isio+ of the I,TY9 AFN'$4B The I,TY a+d I,TR comma+d res7o+si#i-it 7ro"isio+s are su#sta+tia-- equi"a-e+t a+d descri#e comma+d res7o+si#i-it as fo--o:s: The fact that a+ of the acts 9 9 9 :as committed # a su#ordi+ate does +ot re-ie"e his or her su7erior of crimi+ares7o+si#i-it if he @+e: or had reaso+ to @+o: that the su#ordi+ate :as a#out to commit such acts or had do+e so a+d the su7erior fai-ed to ta@e the +ecessar a+d reaso+a#-e measures to 7re"e+t such acts or to 7u+ish the 7er7etrators &//9 thereof9 AFN'$<B 1hi-e ma+ of the i+dictme+ts i+ #oth the I,TY a+d the I,TR co+tai+ cou+ts #ased o+ comma+d res7o+si#i-it ! the ,e-e#ici case i+ the I,TY is the first i+ter+atio+a- mi-itar tri#u+a- o7i+io+ to ho-d a defe+da+t -ia#-e u+der this forma-iHatio+ of comma+d res7o+si#i-it 9 AFN'$%B This 0rtic-e e=ami+es the ,e-e#ici o7i+io+ more c-ose- i+ Part I? :he+ discussi+6 the s7ecific e-eme+ts of comma+d res7o+si#i-it 9 The ,e-e#ici o7i+io+ re"ie:ed a+d discussed a-- of the comma+d res7o+si#i-it cases a+d -e6a- de"e-o7me+ts hi6h-i6hted here i+ Part III9 The discussio+ i+ this 7art sho:s that
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the doctri+e of comma+d res7o+si#i-it has e"o-"ed historica-- i+ c-ose 7ro=imit to some of the most mo+strous e"e+ts of the moder+ :or-d! a+d this histor of the doctri+e forms its curre+t co+te+t a+d creates a starti+6 7oi+t to com7are the doctri+e :ith the I,, comma+d res7o+si#i-it 7ro"isio+9 D9 1hich La: To ,om7are> The drafters of the I,, Statute created se7arate 7ro"isio+s for the mi-itar a+d ci"i-ia+ comma+d res7o+si#i-it sta+dards that are structura-- simi-ar #ut differ i+ :ordi+6 :ith res7ect to the su7erior2su#ordi+ate e-eme+t a+d the @+o:-ed6e e-eme+t9 This i+"ites a com7ariso+ of the +e: I,, ci"i-ia+ sta+dard :ith the I,, mi-itar sta+dard9 The I,, mi-itar sta+dard :i-- #e i+ter7reted i+ -i6ht of e=isti+6 customar i+ter+atio+a- -a:9 Therefore! the com7ariso+ shou-d start :ith the mi-itar comma+d res7o+si#i-it sta+dard i+ customar i+ter+atio+a- -a:9 AFN'$JB O+ the ci"i-ia+ side! it is difficu-t to assess :hether the I,, ci"i-ia+ sta+dard is a de7arture from 7rior customar i+ter+atio+a- -a: for ci"i-ia+ comma+d res7o+si#i-it for t:o reaso+s: F'G The ho-di+6s of the ha+dfu- of ci"i-ia+ cases tried after 1or-d 1ar II are su#8ect to "arious i+ter7retatio+sD AFN'(&B a+d F$G the source of a ci"i-ia+ su7erior;s dut ma #e difficu-t to determi+e a+d ma #e -ess o+erous tha+ a mi-itar comma+der;s dut 9 AFN'('B Thus! to the e=te+t that a -o:er sta+dard ma ha"e de"e-o7ed for &/// ci"i-ia+ comma+d res7o+si#i-it ! o+e cou-d ar6ue that the I,, sta+dard mere- codifies this -o:er sta+dard9 *o:e"er! it is a-so 7-ausi#-e that the ci"i-ia+ sta+dard is #ei+6 +e:- de"e-o7ed for i+ter+atio+a- tri#u+a-s that ha"e e=7-icit comma+d res7o+si#i-it 7ro"isio+s i+ their charters9 The differe+t 7aths ta@e+ # the I,TY a+d I,TR i+ the ,e-e#ici a+d 0@a esu cases su66est this 7ossi#i-it 9 I+ 0@a esu! the I,TR dec-i+ed to a77- a #road "ersio+ of the comma+d res7o+si#i-it doctri+e to the ma or of a to:+ i+ R:a+da :here the -oca- mi-itia committed a#uses a6ai+st dis7-aced Tutsis ta@i+6 refu6e i+ the to:+9 AFN'($B Further! it is u+-i@e- that a c-ear s +thesis of a ci"i-ia+ comma+d res7o+si#i-it sta+dard :i-- emer6e from the 7ost21or-d 1ar II cases! a-thou6h some of the cases ca+ #e Eused as a 6uide for esta#-ishi+6 that ci"i-ia+ -eaders ca+ #e he-d cu-7a#-e for certai+ acts of su#ordi+ates9E AFN'((B Ii"e+ that the 7re2I,, status of the ci"i-ia+ comma+d res7o+si#i-it sta+dard is 7-ausi#- i+ dis7ute! this 0rtic-e com7ares the te=t of the I,, ci"i-ia+ sta+dard to the te=t of the I,, mi-itar comma+d res7o+si#i-it sta+dard #ecause the I,, drafters c-ear- chose to de-i+eate the t:o sta+dards9 This 0rtic-e a-so com7ares the I,, sta+dard to the most rece+t case i+ter7reti+6 the comma+d res7o+si#i-it doctri+e! the ,e-e#ici 7riso+ cam7 case9 This com7ariso+ is i+formed # the comma+d res7o+si#i-it doctri+e;s histor 7rior to ,e-e#ici9 Duri+6 this histor the doctri+e o7erated 7rimari- i+ the mi-itar co+te=t! #ut :as o+ occasio+ a77-ied to ci"i-ia+s9 AFN'()B Strict- s7ea@i+6! the court;s reaso+i+6 i+ ,e-e#ici mere- co+strues the I,TY statute;s comma+d res7o+si#i-it 7ro"isio+ e+ route to co+"icti+6 the 7riso+ cam7 comma+der u+der that 7ro"isio+9 AFN'(5B *o:e"er! the ,e-e#ici court treats comma+d res7o+si#i-it i+ 6reat detai- a+d uses the doctri+e to co+"ict a comma+der9 AFN'(4B Furthermore! the ,e-e#ici court e=te+si"e- re"ie:s the comma+d res7o+si#i-it doctri+e as a77-ied to ci"i-ia+s! AFN'(<B 7ro#a#- for the 7ur7ose of su77orti+6 its ho-di+6 to the e=te+t that the cam7 comma+der cou-d #e characteriHed as a ci"i-ia+ -eader9 Thus! it is -i@e- that the curre+t #est e"ide+ce of customar i+ter+atio+a- -a: for comma+d res7o+si#i-it is the ,e-e#ici case #ecause of its thorou6h treatme+t of the doctri+e9 AFN'(%B The &//2 court se-f2co+scious- dec-ares that Ethe 7ri+ci7-e of i+di"iduacrimi+a- res7o+si#i-it of su7eriors for fai-ure to 7re"e+t the crimes committed # su#ordi+ates forms 7art of customar i+ter+atio+a- -a:9E AFN'(JB The fact that ,e-e#ici is the first i+ter+atio+a- crimi+a- tri#u+a- si+ce the 7ost21or-d 1ar II tri#u+a-s to ho-d a su7erior crimi+a-- -ia#-e u+der the comma+d res7o+si#i-it doctri+e AFN')&B further su77orts the ar6ume+t that ,e-e#ici is 6ood e"ide+ce of the state of customar i+ter+atio+a- -a:9 AFN')'B O+ the other ha+d! 0@a esu! a+ I,TR case! :hich this 0rtic-e a+a- Hes i+ Sectio+ ?9,! a-so discussed comma+d res7o+si#i-it a+d hesitated to a77- the mi-itar sta+dard to ci"i-ia+s9 AFN')$B Thus! the I,TR co+strued comma+d res7o+si#i-it for ci"i-ia+s differe+t- tha+ the court i+ ,e-e#ici9 AFN')(B 0s the a+a- sis i+ Sectio+ ?9, demo+strates! ,e-e#ici seems #etter reaso+ed a+d #etter rooted i+ e"ide+ce of customar i+ter+atio+a- -a:9 0-thou6h the defe+da+t i+ 0@a esu is more readi- characteriHed as a ci"i-ia+! this characteriHatio+ is o7e+ to dis7ute9 Thus! the t:o cases ta+6e+tia-- co+tri#ute to the de#ate :hi-e +either co+c-usi"ereso-"es the issue9 I+deed! searchi+6 for co+c-usi"e+ess i+ a 7rior ci"i-ia+ sta+dard ma #e futi-e #ecause the 7ost21or-d 1ar II cases are su#8ect to the o"erridi+6 criticism that the em#od "ictor;s 8ustice a+d retroacti"e a77-icatio+ of the -a:9 AFN'))B I+ co+trast! the esta#-ishme+t of the I,,! :hose charter defi+es i+ detai- the su#sta+ti"e crimes that ca+ #e #rou6ht #efore the court! AFN')5B e-imi+ates these criticisms for cases that :ou-d e"e+tua-- come #efore the I,,9
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&//5 To a+s:er the questio+ of E:hich -a: to com7are!E this sectio+ has i+dicated that the 7rimar com7ariso+ :i-- #e #et:ee+ the te=t of the I,, mi-itar a+d ci"i-ia+ sta+dards9 ,om7ari+6 the te=t of each sta+dard is the 7ur7ose of Part I?9 The+! to 6i"e the com7ariso+ 6reater mea+i+6! Part ? a77-ies the facts of se"era- comma+d res7o+si#i-it cases i+"o-"i+6 ci"i-ia+ -eaders to the I,, te=t9 These cases :ere se-ected from the sma-- +um#er of ci"i-ia+ comma+d res7o+si#i-it cases #ecause their facts sho: ho: a ci"i-ia+ -eader cou-d 7-ausi#- esca7e co+"ictio+ u+der the I,, ci"i-ia+ sta+dard! #ut 7ro#a#- :ou-d +ot esca7e co+"ictio+ if the -a+6ua6e of the I,, mi-itar sta+dard :ere a77-ied9 Each case i+ Part ? he-7s u+derscore differe+t as7ects of the com7ariso+ #et:ee+ the I,, ci"i-ia+ a+d mi-itar sta+dards9 I?9 The I,, Sta+dard22,om7ari+6 ,i"i-ia+ a+d /i-itar ,omma+d Res7o+si#i-it This 7art :i-- com7are the I,, ci"i-ia+ sta+dard to the I,, mi-itar sta+dard # focusi+6 o+ the first e-eme+t! the su7erior2su#ordi+ate re-atio+shi7! a+d o+ the seco+d e-eme+t! the sta+dard of @+o:-ed6e for the su7erior! #ecause these t:o e-eme+ts ha"e si6+ifica+t te=tua- differe+ces #et:ee+ the t:o sta+dards9 This 0rtic-e;s com7ariso+ does +ot address the third comma+d res7o+si#i-it e-eme+t! the i+actio+ e-eme+t! #ecause i+ the I,, this e-eme+t is su#sta+ti"e- ide+ticafor either t 7e of -eader! mi-itar or ci"i-ia+9 AFN')4B 1ithi+ the first e-eme+t! the co+cer+ is :hether a 7re2I,, requireme+t e=ists for a co++ectio+ #et:ee+ the crime a+d the -eader;s co+troof the su#ordi+ate! #ecause the I,, Statute ma ha"e added this +e: +e=us e-eme+t for ci"i-ia+ su7eriors to #e he-d -ia#-e9 1ithi+ the seco+d e-eme+t! the co+cer+ is :ith the -e"e- of di-i6e+ce a -eader must e=ercise i+ mo+itori+6 a+d co+tro--i+6 su#ordi+ates9 09 The E-eme+ts of ,omma+d Res7o+si#i-it That Frame the ,om7ariso+ The I,TY i+ the ,e-e#ici case e=7ou+ded u7o+ the i+tricacies of each e-eme+t of the comma+d res7o+si#i-it doctri+e9 The case co+cer+ed a 7riso+ cam7 used # ,roat forces to house Ser# 7riso+ers duri+6 the ci"i- :ar i+ the former Yu6os-a"ia9 AFN')<B Of the four defe+da+ts! three :ere char6ed :ith comma+d res7o+si#i-it for "arious huma+ ri6hts "io-atio+s such as murder! torture! a+d cruetreatme+t! :hich i+c-uded acts of ra7e9 AFN')%B O+e of the three! the cam7 comma+der! Mdra"@o /ucic! :as co+"icted for the comma+d res7o+si#i-it cou+ts9 AFN')JB The court stated its ho-di+6 as fo--o:s: /r9 /ucic :as the de facto comma+der of the ,e-e#ici 7riso+2cam79 *e e=ercised de facto authorit o"er the 7riso+2 cam7! the de7ut comma+der a+d the 6uards9 /r9 /ucic is accordi+6- crimi+a-- res7o+si#-e for the acts of the 7erso++e- i+ the &//4 ,e-e#ici 7riso+2cam7! o+ the #asis of the 7ri+ci7-e of su7erior res7o+si#i-it 9 AFN'5&B The I,TY i+ the ,e-e#ici case co+strued the fo--o:i+6 three e-eme+ts from the te=t of artic-e <F(G of the I,TY statute: FiG the e=iste+ce of a su7erior2su#ordi+ate re-atio+shi7D FiiG the su7erior @+e: or had reaso+ to @+o: that the crimi+a- act :as a#out to #e or had #ee+ committedD a+d FiiiG the su7erior fai-ed to ta@e the +ecessar a+d reaso+a#-e measures to 7re"e+t the crimi+a- act or 7u+ish the 7er7etrator thereof9 AFN'5'B These same three e-eme+ts are readi- a77are+t i+ artic-e $%F'G! the I,, mi-itar comma+der sta+dard! as sho:+ #e-o:9 '9 0 mi-itar comma+der or 7erso+ effecti"e- acti+6 as a mi-itar comma+der sha-- #e crimi+a-- res7o+si#-e for crimes :ithi+ the 8urisdictio+ of the ,ourt committed # forces u+der his or her effecti"e comma+d a+d co+tro-! or effecti"e authorit a+d co+tro- as the case ma #e! as a resu-t of his or her fai-ure to e=ercise co+tro- 7ro7er- o"er such forces! A re-atio+shi7 e-eme+tB :here: FaG That mi-itar comma+der or 7erso+ either @+e: or! o:i+6 to the circumsta+ces at the time! shou-d ha"e @+o:+ that the forces :ere committi+6 or a#out to commit such crimesD A @+o:-ed6e e-eme+tB a+d
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F#G That mi-itar comma+der or 7erso+ fai-ed to ta@e a-- +ecessar a+d reaso+a#-e measures :ithi+ his or her 7o:er to 7re"e+t or re7ress their commissio+ or to su#mit the matter to the com7ete+t authorities for i+"esti6atio+ a+d 7rosecutio+9 A i+actio+ e-eme+tB AFN'5$B The I,, ci"i-ia+ sta+dard! artic-e $%F$G! additio+a-- em#odies these same three e-eme+ts9 It is 7rese+ted #e-o: i+ a ma++er to sho: the cha+6es #et:ee+ artic-e $%F$G a+d artic-e $%F'G9 '9 $9 0 mi-itar comma+der or 7erso+ effecti"e- acti+6 as a mi-itar comma+der 1ith res7ect to su7erior a+d su#ordi+ate re-atio+shi7s +ot descri#ed i+ 7ara6ra7h '! a su7erior sha-- #e crimi+a-- res7o+si#-e for crimes :ithi+ the 8urisdictio+ of the ,ourt committed # forces su#ordi+ates u+der his or her effecti"e comma+d authorit a+d co+tro-! or effecti"e authorit a+d co+tro- as the case ma #e! as a resu-t of his or her fai-ure to e=ercise co+tro- 7ro7er- o"er such forces su#ordi+ates :here: &//5 FaG That mi-itar comma+der or 7erso+ either @+e: or! o:i+6 to the circumsta+ces at the time! shou-d ha"e @+o:+ that the forces The su7erior either @+e:! or co+scious- disre6arded i+formatio+ :hich c-ear- i+dicated! that the su#ordi+ates :ere committi+6 or a#out to commit such crimesD a+d F#G The crimes co+cer+ed acti"ities that :ere :ithi+ the effecti"e res7o+si#i-it a+d co+troof the su7eriorD a+d F#G That mi-itar comma+der or 7erso+FcG The su7erior fai-ed to ta@e a-- +ecessar a+d reaso+a#-e measures :ithi+ his or her 7o:er to 7re"e+t or re7ress their commissio+ or to su#mit the matter to the com7ete+t authorities for i+"esti6atio+ a+d 7rosecutio+9 AFN'5(B 1hi-e the I,, ci"i-ia+ sta+dard has the same three e-eme+ts as the mi-itar sta+dard! it ma ar6ua#- add a fourth e-eme+t :ith the 7ro"isio+ of artic-e $%F$GF#G! AFN'5)B a requireme+t for a +e=us #et:ee+ the crimi+a- acti"it of the su#ordi+ate a+d the su#ordi+ate;s acti"ities that the su7erior ca+ co+tro-9 O+ the other ha+d! o+e cou-d a-so i+ter7ret artic-e $%F$GF#G as mere- a modificatio+ of the su7erior2su#ordi+ate re-atio+shi7 e-eme+t9 0s the I,, 7ro"isio+s re"ea-! the heart of the com7ariso+ of ci"i- a+d mi-itar comma+d res7o+si#i-it requires e=ami+atio+ of the su7erior2su#ordi+ate re-atio+shi7 e-eme+t a+d the @+o:-ed6e e-eme+t9 The cha+6e to the i+actio+ e-eme+t does +ot require a+a- sis #ecause it is +ot su#sta+ti"e9 The ,e-e#ici court treatme+t of the i+actio+ e-eme+t :as terse a+d strai6htfor:ard! AFN'55B a-so i+dicati+6 that this e-eme+t 7oses the fe:est doctri+a- cha--e+6es9 0dditio+a-- ! the -a+6ua6e of the I,, i+actio+ e-eme+t is simi-ar to the I,TY a+d I,TR i+actio+ e-eme+t -a+6ua6e! AFN'54B su66esti+6 that the I,, &//$ mi6ht co+strue artic-es $%F'GF#G a+d $%F$GFcG a-o+6 the -i+es that the ,e-e#ici court co+strued the i+actio+ e-eme+t9 AFN'5<B I+ sum! it is u+-i@e- that the -e6a- sta+dard for the i+actio+ e-eme+t :i-- differ 6reat- for ci"i-ia+ su7eriors "ersus mi-itar comma+ders9 AFN'5%B B9 The Su7erior2Su#ordi+ate Re-atio+shi7 E-eme+t '9 The Te=t of the I,, Statute 0rtic-e $%F'G of the I,, Statute a77-ies to a Emi-itar comma+der or 7erso+ effecti"e- acti+6 as a mi-itar comma+der9E AFN'5JB I+ co+trast! artic-e $%F$G a77-ies to Esu7erior a+d su#ordi+ate re-atio+shi7s +ot descri#ed i+ 7ara6ra7h '!E AFN'4&B that is! +o+2mi-itar su7erior2su#ordi+ate re-atio+shi7s9 *istorica-- ! the mi-itar comma+d res7o+si#i-it doctri+e a77-ied +ot o+- to mi-itar comma+ders! #ut a-so to ci"i-ia+s9 AFN'4'B Thus! o+e ca+ ar6ue that i+ #ifurcati+6 the comma+d res7o+si#i-it sta+dard #ased o+ the t 7e of su7erior2su#ordi+ate re-atio+shi7! the I,, Statute -esse+s the efficac of the 7erma+e+t court #ecause the #ifurcated structure a--o:s a -esser @+o:-ed6e sta+dard for ci"i-ia+s! that is! Eco+scious- disre6arded!E a+d a--o:s the 7ote+tia-- +e: +e=us e-eme+t! that is! Ecrimes co+cer+ed acti"ities!E to a-so 7ote+tia-- #ar -ia#i-it for ci"i-ia+s9 AFN'4$B $9,e-e#ici o+ the Su7erior2Su#ordi+ate Re-atio+shi7 E-eme+t The court i+ ,e-e#ici discussed the +ature of the su7erior2su#ordi+ate re-atio+shi7 at issue i+ the I,TY Statute;s comma+d res7o+si#i-it 7ro"isio+9 To co+strue the :ord Esu7erior!E the court a+a- Hed se"era- cases! i+c-udi+6 &//1 the
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*i6h ,omma+d a+d *osta6e cases9 AFN'4(B The ,e-e#ici court he-d that :hi-e forma- desi6+atio+ as a comma+der :as +ot +ecessar ! de facto or de 8ure 7ossessio+ of 7o:ers of co+tro- o"er actio+s of su#ordi+ates :as i+ some cases sufficie+t to qua-if o+e as a Esu7erior9E AFN'4)B Further! the court s7ecifica-- he-d that a su7erior ma #e a mi-itar 7erso+ or a ci"i-ia+9 AFN'45B *o:e"er! the fi+a- stateme+t i+ the court;s ho-di+6 o+ the su7erior2su#ordi+ate re-atio+shi7 e-eme+t si6+ifica+t- -imits the 7ote+tia- #readth of the -a+6ua6e a#o"e9 The court reco6+iHed that there is a Ethresho-d at :hich 7erso+s cease to 7ossess the +ecessar 7o:ers of co+tro- o"er the actua- 7er7etrators of offe+ces! a+d! accordi+6- ! ca++ot 7ro7er- #e co+sidered their Esu7eriors; 9 9 9 9E AFN'44B The+ the court fi+ds that a su7erior must ha"e Emateria- a#i-it to 7re"e+t a+d 7u+ish the commissio+ of these offe+ces!E a+d further states: 1ith the ca"eat that such authorit ca+ ha"e a de facto as :e-- as a de 8ure character! the Tria- ,ham#er accordi+6shares the "ie: e=7ressed # the I+ter+atio+a- La: ,ommissio+ that the doctri+e of su7erior res7o+si#i-it e=te+ds to ci"i-ia+ su7eriors o+- to the e=te+t that the e=ercise a de6ree of co+tro- o"er their su#ordi+ates :hich is simi-ar to that of mi-itar comma+ders9 AFN'4<B Thus! the court co+c-udes that ci"i-ia+ su7eriors are o+- -ia#-e u+der comma+d res7o+si#i-it to the e=te+t that the o7erate as mi-itar comma+ders! that is! e=ercise a mi-itar 2-i@e de6ree of co+tro- o"er their su#ordi+ates9 Determi+i+6 :hether a+ i+di"idua- o7erates as a mi-itar comma+der :ou-d #e a factua- i+quir 9 The more the i+di"idua-;s or6a+iHatio+ resem#-ed the traditio+a- armed forces! the more -i@e- this i+di"idua-! if a -eader :ith forma- 7o:er a+d authorit :ithi+ the or6a+iHatio+! :ou-d #e characteriHed as a mi-itar comma+der9 ,i"i-ia+s :ou-d #e e"a-uated as a mi-itar comma+der if the :ere i+ the chai+ of comma+d 7erformi+6 the fu+ctio+ of a mi-itar comma+der9 AFN'4%B The ,e-e#ici court;s fi+a- ho-di+6 is actua-- more -imited tha+ the facts of the cases that it &//4 re-ies o+ to esta#-ish ci"i-ia+s as Esu7eriors9E AFN'4JB *o:e"er! i+ fair+ess to the court! most of these cases :ere from the 7ost21or-d 1ar II era! a+d ma+ of these cases! as +oted a#o"e! ha"e #ee+ criticiHed si+ce as E"ictors; 8ustice9E AFN'<&B This sectio+ has e=7-ored the su7erior2su#ordi+ate re-atio+shi7 e-eme+t from the 7ers7ecti"e of #oth a mi-itar comma+der a+d a ci"i-ia+ su7erior! 7ursua+t to artic-es $%F'G a+d $%F$G of the Statute res7ecti"e- 9 AFN'<'B 0+other &//6 7ers7ecti"e arises from a su#2e-eme+t of artic-e $%! the Ecrimes co+cer+ed acti"itiesE +e=us e-eme+t of artic-e $%F$G F#G9 The +e=t sectio+ discusses this com7o+e+t of the I,, Statute;s ci"i-ia+ comma+d res7o+si#i-it sta+dard #ecause it affects the su7erior2su#ordi+ate re-atio+shi7 e-eme+t9 This +e=us su#2e-eme+t ma further codif a -ess strict ci"i-ia+ comma+d res7o+si#i-it sta+dard! or it ma sim7- e=7ress the commo+2se+se requireme+t that #efore a ci"i-ia+ su7erior ca+ #e fou+d to ha"e crimi+a-- +e6-ected his or her dut to co+tro- su#ordi+ates! the authorit to co+tro- them must 7re2 e=ist9 (9 The Ne: E,rimes ,o+cer+ed 0cti"itiesE Ne=us E-eme+t i+ 0rtic-e $%F$GF#G of the I,, Statute 0rtic-e $%F$G! the I,, Statute;s ci"i-ia+ comma+d res7o+si#i-it sta+dard! has a su#2e-eme+t that requires that the su#ordi+ates; crimes must EAco+cer+B acti"ities that :ere :ithi+ the effecti"e res7o+si#i-it a+d co+troof the su7erior9E AFN'<$B This su#2e-eme+t is +ot 7rese+t i+ the I,, Statute;s mi-itar comma+d res7o+si#i-it 7ro"isio+! raisi+6 the questio+ of its 7ur7ose i+ the ci"i-ia+ sta+dard9 O+e 7ote+tia- e=7-a+atio+ of artic-e $%F$GF#G! the Ecrimes co+cer+edE 7ro"isio+! is that it im7-icit- em#odies a causatio+ e-eme+t9 This su66estio+ arises from the defe+se;s causatio+ ar6ume+t i+ the ,e-e#ici case! :hich the court re8ected i+sofar as it a77-ies to su7erior res7o+si#i-it 9 AFN'<(B The defe+se i+ ,e-e#ici ar6ued that the 7rosecutio+ must 7ro"e that the su7erior;s fai-ure direct- caused each "io-atio+9 The court Efou+d +o su77ort for the e=iste+ce of a requireme+t of 7roof of causatio+ as a se7arate e-eme+t of su7erior res7o+si#i-it 9E AFN'<)B 1hi-e re8ecti+6 causatio+ as a se7arate e-eme+t! the court hed6ed a #it # im7- i+6 that a causa+e=us ma #e +ecessar for 7roof of the i+actio+ e-eme+t9 AFN'<5B The 7ro#-em :ith this 7roffered e=7-a+atio+ is that the -a+6ua6e of artic-e $%F$GF#G! Ecrimes co+cer+ed acti"ities!E does +ot seem fu-- to e=7ress the idea of causatio+9 First! Eco+cer+ed!E mea+s Ere-ati+6 to! 7ertai+i+6 to! affecti+6! i+"o-"i+6! #ei+6 su#sta+tia-- e+6a6ed i+ or ta@i+6 7art i+9E AFN'<4B O+- the :ord Eaffecti+6E co++otes traditio+a- crimi+acausatio+9 This defi+itio+ of &/29 Eco+cer+edE seems to 7u-- the mea+i+6 of artic-e $%F$GF#G u+der the su7erior2 su#ordi+ate re-atio+shi7! s7ecifica-- u+der the fair+ess co+cer+ that the su7erior actua-- ha"e authorit o"er! or #e a#-e
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to co+tro-! the su#ordi+ates; actio+s for :hich the su7erior mi6ht #e crimi+a-- -ia#-e9 Seco+d! o+e ca+ ar6ue that artic-e $%F$GF#G sim7- states the o#"ious! that ci"i-ia+ su7eriors do +ot ha"e the same @i+d of arou+d2the2c-oc@! se"e+2da s2a2:ee@ co+tro- o"er su#ordi+ates that mi-itar comma+ders ha"e9 U+der this ar6ume+t! artic-e $%F$GF#G is +ot a causatio+ e-eme+t! #ut is a mere reco6+itio+ of the +ature of ci"i-ia+ authorit 9 *o:e"er! u+der this i+ter7retatio+! artic-e $%F$GF#G mi6ht #e su7erf-uous #ecause the sco7e of the su7erior2su#ordi+ate re-atio+shi7 is articu-ated i+ #oth artic-es $%F'G a+d $%F$G9 ,ourts are hesita+t to co+strue a 7ortio+ of a statute as su7erf-uousD thus! it is u+-i@e- that artic-e $%F$GF#G :ou-d #e ta@e+ as a mere stateme+t of the differe+ces #et:ee+ ci"i-ia+ co+tro- a+d mi-itar co+tro-9 ,o+seque+t- ! :hi-e artic-e $%F$GF#G ma +ot e=7ress causatio+! its actua- mea+i+6 :i-- remai+ u+c-ear u+tico+strued # the I,,9 This com7-etes the discussio+ of the su7erior2su#ordi+ate re-atio+shi7 e-eme+t as e=7ressed # the I,, Statute;s comma+d res7o+si#i-it 7ro"isio+9 Ne=t! Sectio+ I?9, discusses the @+o:-ed6e e-eme+t! :hich co+tai+s the most 7rofou+d cha+6es #et:ee+ the I,, Statute;s mi-itar a+d ci"i-ia+ sta+dard9 It 6i"es a ci"i-ia+ su7erior -ess reaso+ to #e di-i6e+t #ecause he or she has more -e6a- room to remai+ :i--fu-- #-i+d to the u+-a:fu- actio+s of su#ordi+ates9 ,9 The .+o:-ed6e E-eme+t '9 The Te=t of the I,, Statute 0rtic-e $%F'GFaG sa s that a mi-itar comma+der is crimi+a-- res7o+si#-e for crimes of su#ordi+ates u+der his or her effecti"e co+tro- :he+ the comma+der E@+e:! or! o:i+6 to the circumsta+ces at the time! shou-d ha"e @+o:+!E a#out the actua- or im7e+di+6 crime9 AFN'<<B I+ co+trast! artic-e $%F$GFaG requires that the ci"i-ia+ su7erior Eeither @+e:! or co+scious- disre6arded i+formatio+ :hich c-ear- i+dicated that the su#ordi+ates :ere committi+6 or a#out to commitE the crime9 AFN'<%B The ci"i-ia+ formu-atio+ sets a+ easier sta+dard for the accused to e=o+erate himse-f or herse-f "ia the @+o:-ed6e e-eme+t9 $9 ,e-e#ici o+ the .+o:-ed6e E-eme+t The c-ear differe+ce i+ -a+6ua6e #et:ee+ Eco+scious- disre6arded!E a+d Eo:i+6 to the circumsta+ces at the time! shou-d ha"e @+o:+!E ma@es it u++ecessar for this 0rtic-e to s7-it hairs o+ the @+o:-ed6e sta+dard as the ,e-e#ici court did9 It a+a- Hed the I,TY Statute @+o:-ed6e e-eme+t i+ t:o 7arts: F'G actua- @+o:-ed6e! E@+e:DE a+d F$G Ehad reaso+ to @+o:9E AFN'<JB 0-so! &/2/ the ,e-e#ici court :as c-ear- a:are of the I,, Statute9 AFN'%&B 1ith res7ect to actua- @+o:-ed6e! the ,e-e#ici court re8ected the 7rosecutors; 7roffered EYamashita2-i@eE 7resum7tio+ that a comma+der;s @+o:-ed6e of the crimes ca+ #e 7resumed9 AFN'%'B The court he-d that actua- @+o:-ed6e ca++ot #e 7resumed #ut! i+ the a#se+ce of direct e"ide+ce of su7erior @+o:-ed6e! ca+ #e i+ferred from circumsta+tia- e"ide+ce9 AFN'%$B The ,e-e#ici court :e+t o+ to -ist t:e-"e factors that ca+ i+form the i+fere+ce9 AFN'%(B Thus! actua- @+o:-ed6e ca+ #e Eesta#-ished throu6h direct or circumsta+tia- e"ide+ce! that Aa su7erior;sB su#ordi+ates :ere committi+6 or a#out to commit crimes9E AFN'%)B 1ith res7ect to the Ehad reaso+ to @+o:E sta+dard! the court ac@+o:-ed6ed that :i--fu- #-i+d+ess is crimi+a-! a+d the+ :as carefu- to disti+6uish the I,TY sta+dard! E@+e: or had reaso+ to @+o:!E from Eshou-d ha"e @+o:+9E I+ this area the court :as carefu-- res7ecti+6 these mi+ute differe+ces i+ -a+6ua6e #ecause of the re8ected Eshou-d ha"e @+o:+E formu-atio+s offered duri+6 the +e6otiatio+s o"er 0dditio+a- Protoco- I to the Ie+e"a ,o+"e+tio+s9 AFN'%5B The court he-d that the fo--o:i+6 sta+dard ref-ected the 7ractice of customar -a: at the time of the i+dictme+t of the ,e-e#ici defe+da+ts! a+d :as accordi+6- the me+s rea sta+dard for artic-e <F(G of the I,TY Statute: A0B su7erior ca+ #e he-d crimi+a-- res7o+si#-e o+- if some s7ecific i+formatio+ :as i+ fact a"ai-a#-e to him :hich :ou-d 7ro"ide +otice of offe+ces committed # his su#ordi+ates9 This i+formatio+ +eed +ot #e such that it # itse-f :as sufficie+t to com7e- the co+c-usio+ of the e=iste+ce of such crimes9 It is sufficie+t that the su7erior :as 7ut o+ further i+quir # the i+formatio+! or! i+ other :ords! that it i+dicated the +eed for additio+a- i+"esti6atio+ i+ order to ascertai+ :hether offe+ces :ere #ei+6 committed or a#out to #e committed # his su#ordi+ates9 AFN'%4B Thus! u+der this sta+dard! a su7erior ma 7ossess the me+s rea for crimi+a- -ia#i-it :he+ Ehe had i+ his 7ossessio+ i+formatio+ of a +ature! :hich at the -east! :ou-d 7ut him o+ +otice of the ris@ of such offe+ses # i+dicati+6 the +eed for
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additio+a- i+"esti6atio+ i+ order to ascertai+ :hether &/22 such crimes :ere committed or :ere a#out to #e committed # his su#ordi+ates9E AFN'%<B The court the+ made se"era- stateme+ts that seem to i+dicate the court #e-ie"ed that the I,, Statute ma cha+6e the state of i+ter+atio+a- customar -a:9 The court e=7ress- said that it Ema@es +o fi+di+6 as to the 7rese+t co+te+t of customar -a: o+ this 7oi+t9E AFN'%%B The+! the court 7ara7hrased the I,, Statute! stati+6 that the I,, Statute ma@es a comma+der crimi+a-- res7o+si#-e :here he @+e: or shou-d ha"e @+o:+ of offe+ses9 AFN'%JB If this :ere the e=act -a+6ua6e of the I,, Statute! the+! 6i"e+ the ame+dme+t histor of Protoco- I! this mi6ht si6+a- a si6+ifica+t cha+6e i+ the comma+d res7o+si#i-it me+s rea sta+dard9 *o:e"er! the ,e-e#ici court fai-ed to me+tio+ the modif i+6 c-ause Eo:i+6 to the circumsta+ces at the time!E immediate- 7recedi+6 the 7hrase Eshou-d ha"e @+o:+E i+ the I,, Statute9 This c-ause :ou-d ma@e a su#sta+tia- differe+ce a+d 7ro#a#- ma@es the I,, sta+dard c-oser to the I,TY sta+dard tha+ to the m thica- Eshou-d ha"e @+o:+E sta+dard9 AFN'J&B The co+cer+ a#out :hether Ehad reaso+ to @+o:E is differe+t from Eo:i+6 to the circumsta+ces at the time! shou-d ha"e @+o:+!E :i-- #e a+ im7orta+t issue :he+ artic-e $%F'GFaG is co+strued # the I,,9 But to com7are artic-e $%F'G to artic-e $%F$G! such 7recise a+a- sis of the @+o:-ed6e sta+dard is u++ecessar #ecause the ci"i-ia+ @+o:-ed6e sta+dard is u+am#i6uous- -ess strict9 The fo--o:i+6 ta#-e i--ustrates the 7oi+t9 AFN'J'B &/25 Ta#-e '2 La+6ua6e of /e+s Rea for the .+o:-ed6e E-eme+t of ,omma+d Res7o+si#i-it T0BUL0R OR IR0P*I, /0TERI0L SET FORT* 0T T*IS POINT IS NOT DISPL0Y0BLE 0s sho:+! the I,, ci"i-ia+ sta+dard is sufficie+t- disti+ct from the -a+6ua6e of the 7re"ious sta+dards a+d from the I,, mi-itar sta+dard so that it is u+-i@e- that a court :i-- co+strue them to #e equi"a-e+t9 E"e+ thou6h the I,, mi-itar sta+dard is -isted i+ the midd-e co-um+! the ta#-e a-so sho:s that the status of the I,, mi-itar sta+dard is o7e+ to de#ate9 AFN'J(B O+e ca+ ar6ue that the I,, mi-itar sta+dard is more strict tha+ the 0dditio+a- Protoco- I sta+dard #ecause its -a+6ua6e is +ear- ide+tica- to the seco+d formu-atio+ re8ected for Protoco- I9 The discussio+ of Su#sectio+s I?9,9' a+d I?9,9$ sho:s that the I,, ci"i-ia+ sta+dard is te=tua-- differe+t from the I,, mi-itar sta+dard a+d the other mi-itar sta+dards! a+d therefore! deser"es c-oser e"a-uatio+9 The +e=t sectio+ does this # discussi+6 the effect of the ci"i-ia+ sta+dard o+ a su7erior;s dut to remai+ i+formed of the su#ordi+ate;s acti"ities! a+d ho: this effect ma+ifests itse-f i+ the e"ide+tiar setti+6 of the court room9 (9 The E,o+scious- Disre6ardedE Sta+dard i+ the .+o:-ed6e E-eme+t i+ 0rtic-e $%F$GFaG of the I,, Statute The +e: ci"i-ia+ @+o:-ed6e sta+dard su66ests a si6+ifica+t- -esse+ed dut of the ci"i-ia+ su7erior! com7ared to the mi-itar comma+der! to remai+ i+formed of e"e+ts :ithi+ the su7erior;s domai+9 The I,TY sta+dard! E@+e: or had reaso+ to @+o:!E im7-ies that the su7erior or comma+der meets the @+o:-ed6e requireme+t :he+ he or she has e+ou6h i+formatio+ to co+c-ude &/24 that the crimes are occurri+6 or ha"e occurred9 AFN'J)B E,o+scious- disre6ardedE ma 6o much further! a+d 7erha7s re7rese+ts the E:i--fu- #-i+d+essE that the ,e-e#ici court said :as actio+a#-e9 AFN'J5B The :ord Eco+scious- E mea+s #ei+6 E:e-- a:are of some o#8ect! im7ressio+! or truth9E AFN'J4B The ,e-e#ici court said :i--fu- #-i+d+ess is :he+ a su7erior Esim7- i6+ores i+formatio+ :ithi+ his actua- 7ossessio+ com7e--i+6 the co+c-usio+ that crimi+a- offe+ses are #ei+6 committed or a#out to #e committed9E AFN'J<B Ii"e+ these mea+i+6s! the most im7orta+t questio+ a#out the Eco+scious- disre6ardedE sta+dard is :hether it reduces the su7erior;s dut ! from a crimi+a-ia#i-it 7ers7ecti"e! to remai+ i+formed9 If the dut remai+s at the same -e"e-! a+d is su#8ect to the same scruti+ ! the+ the su7erior shou-d #e recei"i+6 the same re7orts! i+formatio+! a+d commu+icatio+s from su#ordi+ates9 AFN'J%B If the dut remai+s the same! the differe+ce #et:ee+ artic-e $%F'GFaG a+d $%F$GFaG is 7erha7s +ot as 6reat as it cou-d #e9 The de6ree of differe+ce the+ tur+s o+ the -oose+i+6 of the sta+dard im7-ied # the +e: 7hrase Eco+scious- disre6ard9E O+ the other ha+d! if the I,, co+strues artic-e $%F$GFaG to -esse+ the dut of the su7erior to sta i+formed! this :ou-d cha+6e the e"ide+ce a"ai-a#-e at tria- #ecause su7eriors mi6ht s stematica-- Efai- to acquire such @+o:-ed6e9E AFN'JJB I+ the -o+6 ru+! e"e+ a mar6i+a- reductio+ i+ the su7erior;s dut cou-d ha"e a more si6+ifica+t im7act o+ 7rosecutio+s tha+ the -oose+i+6 of the @+o:-ed6e im7utatio+ sta+dard from Eo:i+6 to the circumsta+ces at the time! shou-d ha"e @+o:+!E to Eco+scious- disre6arded i+formatio+ that c-ear- i+dicated9E 1hi-e dama6i+6 to the efficac of the court! this
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-oose+i+6 is -ess dama6i+6 tha+ a -o:ered dut for 7ur7oses of comma+d res7o+si#i-it 9 1ith a -o:ered dut ! there cou-d #e -ess e"ide+ce a"ai-a#-e9 1ith the same -e"e- of dut ! #ut a Eco+scious- disre6ardedE sta+dard! the court :ou-d ha"e to decide t:o questio+s: F'G :hether the su7erior;s actio+s em#od a choice to tur+ a:a from the i+formatio+! a+d F$G :hether the i+formatio+ :as c-ear a#out the fact that crimes :ere occurri+6 or a#out to occur9 U+der the I,TY Statute! the court has to e"a-uate these same t:o questio+s to decide :hether the defe+da+t Ehad reaso+ to @+o:9E Thus! there are simi-arities! #ut u+der the I,, te=t the e"ide+tiar #urde+ :i-- -i@e- #e hi6her for the 7rosecutor :he+ the defe+da+t is a ci"i-ia+ su7erior9 This 7art has thus a+a- Hed the I,, Statute from the 7ers7ecti"e of the t:o most re-e"a+t e-eme+ts of the comma+d res7o+si#i-it doctri+e9 1ith this a77reciatio+ of the co+tours of artic-e $%! Part ? a77-ies artic-e $% to the fact 7atter+s of "arious ci"i-ia+ defe+da+ts from 7ast cases9 &/25 ?9 Prior ,ases Re2E"a-uated U+der the I,, Statute;s ,omma+d Res7o+si#i-it Sta+dard 09 The To@ o Tria-s a+d the *irota ,ase The To@ o tria-s of the I/T2FE i+dicted E$% 3a7a+ese! :ho had a--! :ith t:o e=ce7tio+s! occu7ied the hi6hest 6o"er+me+t a+d mi-itar 7osts at sometime #et:ee+ 'J$% a+d 'J)59E AFN$&&B O+e comme+tator characteriHed the To@ o tria-s as Ethe 6reatest i+quisitio+ of 7o-itica- -eaders # their forei6+ e+emies that :e ha"e see+ i+ this ce+tur D that is #oth its 6-or a+d its i+fam 9E AFN$&'B .^@i *irota! a di7-omat a+d a ci"i-ia+! :as o+e of the defe+da+ts9 AFN$&$B The I/T2FE fou+d *irota 6ui-t o+ ,ou+t 55! AFN$&(B a comma+d2res7o+si#i-it 2-i@e 7ro"isio+9 AFN$&)B *irota had #ee+ forei6+ mi+ister of 3a7a+ from 'J((2(4! ser"ed a short sti+t as 7rime mi+ister! a+d :as a6ai+ forei6+ mi+ister i+ 'J(<2(%9 AFN$&5B Duri+6 *irota;s seco+d term as forei6+ mi+ister! 3a7a+;s arm :as i+"adi+6 ,hi+a a+d the 3a7a+ese arm committed atrocities o"er a se"e+2:ee@ 7eriod i+ a+d arou+d the cit of Na+@i+69 AFN$&4B *irota had recei"ed re7orts of these atrocities9 AFN$&<B 1he+ the 3a7a+ese too@ co+troof Na+@i+6 the simu-ta+eousesta#-ished a+ em#ass :ith a -i+e of authorit traced to *irota: 3a7a+ese Em#ass officia-s e+tered the cit of Na+@i+6 :ith the ad"a+ce e-eme+ts of the 0rm ! a+d a+ officia- of the Em#ass i+formed the I+ter+atio+a- ,ommittee for the Na+@i+6 Safet Mo+e that the E0rm :as determi+ed to ma@e it #ad for Na+@i+6! #ut that &/2$ the Em#ass officia-s :ere 6oi+6 to tr to moderate the actio+9E AFN$&%B /a+ of the atrocities occurred at the U+i"ersit of Na+@i+6! :hich :as -ocated +e=t to the 3a7a+ese Em#ass ! AFN$&JB ma@i+6 it 7-ai+ that 3a7a+ese officia-s at the em#ass E:ere a:are of the de7-ora#-e situatio+9E AFN$'&B *irota discussed the re7orts :ith the 3a7a+ese 1ar /i+istr ! #ut he acce7ted Eassura+cesE from the 1ar /i+istr that the 7ro#-em :ou-d #e corrected des7ite co+ti+ui+6 re7orts9 AFN$''B The I/T2FE fou+d this #eha"ior to #e a dere-ictio+ of dut a+d crimi+a- +e6-i6e+ce9 AFN$'$B *irota :as a-so fou+d 6ui-t of co+s7irac to commit a66ressio+ a+d :a6i+6 a :ar of a66ressio+ a6ai+st ,hi+a9 AFN$'(B For a-- these crimes he :as se+te+ced to death9 AFN$')B *ad *irota;s case #ee+ e"a-uated u+der the I,, ci"i-ia+ comma+d res7o+si#i-it sta+dard! he -i@e- :ou-d esca7e the ,ou+t 55 char6e9 There is +o e"ide+ce that *irota! as forei6+ mi+ister! :as a 7erso+ Eeffecti"e- acti+6 as a mi-itar comma+derE AFN$'5B :ith res7ect to the troo7s :ho committed atrocities at the ERa7e of Na+@i+69E Thus! *irota :ou-d fa-- u+der I,, artic-e $%F$G9 ,o+sideri+6 first the su7erior2su#ordi+ate re-atio+shi7 e-eme+t! artic-e $%F$G :ou-d -i@ee=o+erate *irota #ecause these atrocities :ere 7ro#a#- +ot Ecommitted # su#ordi+ates u+der his or her effecti"e authorit a+d co+tro-9E AFN$'4B The 3a7a+ese arm committed the crimes! a+d u+-ess *irota;s em#ass had some authorit ! co+tro-! or si6+ifica+t i+f-ue+ce o"er these troo7s! it is u+-i@e- that the su7erior2su#ordi+ate re-atio+shi7 e-eme+t :ou-d #e satisfied9 AFN$'<B &/21 Seco+d! *irota :ou-d 7ro#a#- #e fou+d +ot cu-7a#-e o+ the @+o:-ed6e e-eme+t of the I,, Statute! artic-e $%F$G FaG! #ecause he did +ot Eco+scious- disre6ardAB i+formatio+ :hich c-ear- i+dicatedE the atrocities9 The i+formatio+ :as c-ear e+ou6h for *irota to act o+ it9 I+ additio+! the fact that he acted # raisi+6 the issue :ith the 1ar /i+istr sho:s
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that he did +ot co+scious- disre6ard it9 *o:e"er! o+e cou-d cou+ter2ar6ue that -ater! after the Eassura+ces!E *irota did co+scious- disre6ard the co+ti+ui+6 re7orts9 AFN$'%B U+der the I,, Statute! if *irota had reacted to the re7orts to the e=te+t of his 7o:er a+d i+f-ue+ce! i+ a time- ma++er! a+d reacted to each re7ort as it came i+! the+ it :ou-d #e difficu-t to c-aim that he co+scious- disre6arded the i+formatio+9 Retur+i+6 to the su7erior2su#ordi+ate re-atio+shi7 e-eme+t! this discussio+ adds a h 7othetica- fact to the *irota case to e"a-uate artic-e $%F$GF#G: the I,,;s +e: +e=us e-eme+t9 ,o+sider that *irota -i@e- had ci"i-ia+ forei6+ ser"ice em7-o ees i+ the cit of Na+@i+6 at the 3a7a+ese Em#ass 9 0dd the h 7othetica- fact that some of these em7-o ees :ere 7artici7ati+6 i+ atrocities after their :or@ hours9 0s required # artic-e $%F$GF#G! :ou-d these crimes Eco+cer+E the su#ordi+ates; acti"ities u+der *irota;s co+tro-> I+ this h 7othetica-! defe+se cou+se- mi6ht #e a#-e to use artic-e $%F$GF#G to e=o+erate *irota #ecause the em7-o ees committed the crimi+a- acti"ities duri+6 off2dut hours9 1ith a-- other e-eme+ts #ei+6 equa-! a ci"i-ia+ su7erior mi6ht #e e=o+erated :here a mi-itar comma+der ru++i+6 the same i+stitutio+ i+ the Na+@i+6 area staffed :ith mi-itar 7erso++e- :ou-d #e he-d -ia#-e9 The discussio+ of the *irota case raises o+e of the 7rimar co+cer+s :ith the #ifurcated I,, comma+d res7o+si#i-it sta+dard: that it 7ri"i-e6es form o"er fu+ctio+9 Status2#ased determi+atio+s are ofte+ hi6h- fact s7ecific! a+d a :ide ra+6e of 7ote+tiadefe+da+ts :i-- sure- 7-ead that the fa-- outside the co+fi+es of artic-e $%F$G9 I+ a+ era of -oose! 7arami-itar or6a+iHatio+s 7ractici+6 terrorism a+d 6uerri--a :arfare! the difficu-ties of a status2#ased! #ifurcated sta+dard seem es7ecia-- 7ro+ou+ced9 AFN$'JB &/24 B9 The Nurem#er6 Tria-s a+d the Roech-i+6 ,ase To further e=7-ore the effect of the I,, ci"i-ia+ comma+d res7o+si#i-it sta+dard! this sectio+ a77-ies the facts of the Roech-i+6 AFN$$&B case to these 7ro"isio+s9 *erma++ Roech-i+6 :as a Ierma+ stee- i+dustr e=ecuti"e :ho o:+ed or o7erated "arious 7roductio+ faci-ities #efore 1or-d 1ar II9 AFN$$'B 0s the Third Reich e=7a+ded! he su7er"ised a+d im7ro"ed stee- 7roductio+ i+ the occu7ied cou+tries a+d #e6a+ ta@i+6 ad"a+ta6e of com7e--ed -a#or from the citiHe+s of these occu7ied cou+tries to o7erate the factories9 AFN$$$B Some of the factories usi+6 7riso+ -a#or e=isted s m#iotica-:ith mi-itar 7riso+ cam7s :here the :or@ers :ere s stematica-- mistreated9 AFN$$(B 0 Fre+ch mi-itar tri#u+a- tried *erma++ Roech-i+6 a+d se"era- others for "arious cou+ts9 The cou+ts a6ai+st Roech-i+6 i+c-uded: F'G 7re7ari+6 to u+derta@e a :ar of a66ressio+D F$G u+derta@i+6 a66ressi"e :arD a+d F(G mistreatme+t of :or@ers su77-ied # the Ierma+ armed forces a+d state 7o-ice9 The Fre+ch court a+a- Hed the first t:o cou+ts u+der a EdirectE comma+d res7o+si#i-it or direct 7artici7atio+ sta+dard9 AFN$$)B Our tas@ #e-o: is to a+a- He the facts u+der- i+6 each cou+t a6ai+st the I,, Statute;s comma+d res7o+si#i-it sta+dard! assumi+6 that a-- three cou+ts :ere #rou6ht usi+6 the comma+d res7o+si#i-it doctri+e9 '9 The EPre7ari+6 To U+derta@e a 1ar of 066ressio+E ,ou+t The first cou+t :ou-d ha"e the same outcome u+der the I,, Statute as i+ the actua- Roech-i+6 case9 The Fre+ch su7erior mi-itar court affirmed the 6e+era- tri#u+a-;s AFN$$5B ho-di+6 that mere- usi+6 -o:26rade ore i+ stee- &/26 7roductio+ :as +ot sufficie+t e"ide+ce to co+c-ude that Roech-i+6 7artici7ated i+ E7re7aratio+s for a66ressi"e :ar9E AFN$$4B Factua-- ! at issue :as :hether Roech-i+6 @+e: of the 7re7aratio+s! due to his atte+da+ce at se"era- secret co+fere+ces :ith Ioeri+6 a+d others i+ 'J(4 a+d 'J(<9 AFN$$<B Roech-i+6 asserted that he did +ot @+o:! a+d that the discussio+ at the co+fere+ces co+cer+ed re"i"i+6 the Ierma+ eco+om 9 AFN$$%B Focusi+6 o+- o+ the @+o:-ed6e e-eme+t! u+der these facts a+d the I,, ci"i-ia+ sta+dard of @+o:-ed6e! E@+e: or co+scious- disre6arded!E Roech-i+6 :ou-d -i@e- #e e=o+erated9 There :as +o e"ide+ce that Roech-i+6 e"er had a+ i+formatio+ to Eco+scious- disre6ardE a+d i+ this 7re2 :ar 7eriod it seems -o6ica- that! as a+ i+dustria-ist! he :ou-d atte+d such co+fere+ces for other 7ur7oses9 The Roech-i+6 court seemed u+:i--i+6 to im7ute to Roech-i+6 the @+o:-ed6e of 7re7ari+6 for a66ressi"e :ar from Roech-i+6;s @+o:i+6 use of u+eco+omica-! -o:26rade ore to raise stee- 7roductio+9 1hi-e the i+fere+ce is 7erha7s +ot so i--o6ica-! to the court;s credit! there are a-so other 7-ausi#-e e=7-a+atio+s for usi+6 -o:26rade ore9 1ith res7ect to the +e: +e=us e-eme+t! Roech-i+6;s su#ordi+ates; acti"ities 7ro#a#- :ou-d #e crimes that co+cer+ed these acti"ities! #ut this co+c-usio+ f-o:s 7rimari- from the "er :ide +et cast # the #road crime of E7re7ari+6 for
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a66ressi"e :ar9E If stee- 7roductio+ is ad8ud6ed to #e 7u+isha#-e u+der this #road crime! the +e=us e-eme+t is 7ro#a#met #ecause mere- 7roduci+6 e=cess stee- #ecomes the #asis for the crime9 $9 The EU+derta@i+6 a 1ar of 066ressio+E ,ou+t I+ the seco+d cou+t! co+ducti+6 a66ressi"e :ar! Roech-i+6 :ou-d -i@e- #e e=o+erated u+der the I,, ci"i-ia+ sta+dard9 The Roech-i+6 su7erior court a-so e=o+erated Roech-i+6 o+ this cou+t AFN$$JB after the Ie+era- Tri#u+a- -et the cou+t sta+d9 AFN$(&B The cou+t arose from Roech-i+6;s ma+a6eria- ro-e! o+ce the :ar :as u+der:a ! :ith res7ect to his steeco+6-omerate i+ Ierma+ a+d stee- 7roductio+ faci-ities i+ occu7ied cou+tries9 AFN$('B 0s i+ the first cou+t! :hether Roech-i+6 :ou-d meet the +e: I,, ci"i-ia+ +e=us e-eme+t de7e+ds i+ -ar6e 7art o+ the #readth of the defi+itio+ of Eco+ducti+6 a :ar of a66ressio+9E AFN$($B The I,, ci"i-ia+ @+o:-ed6e e-eme+t is a6ai+ -i@e- to e=o+erate Roech-i+6 if the facts of this cou+t :ere a77-ied to comma+d res7o+si#i-it -ia#i-it 9 Roech-i+6 ca+ easi- c-aim that he :as mere7roduci+6 stee-9 To meet the Eco+scious- disre6ardE sta+dard! a 7rosecutor :ou-d ha"e to sho: #oth that F'G co+crete i+formatio+ :as 7rese+ted to &/59 Roech-i+6 i+formi+6 him that his com7a+ ;s acti"ities :ere a 7art of Eu+derta@i+6 a :ar of a66ressio+!E a+d F$G that Roech-i+6 chose to remai+ :i--fu-- #-i+d to this i+formatio+9 1ith this hi6h hurd-e! Roech-i+6 :ou-d #e e=o+erated u+-ess! fo--o:i+6 the herita6e of the Yamashita a+d *irota cases! the I,, ado7ted a 7resum7tio+ of such @+o:-ed6e :he+ the acti"ities are :ides7read9 AFN$((B *o:e"er! 8ud6i+6 from the ,e-e#ici court;s ho-di+6! ado7tio+ of such a 7resum7tio+ is u+-i@e- 9 AFN$()B Fi+a-- ! e"e+ :ith the 7resum7tio+ of e=7osure to Ei+formatio+ that c-ear- i+dicated!E a 7rosecutor sti-- :ou-d -i@e- ha"e to 7ro"e that Roech-i+6 chose to Eco+sciousdisre6ardE the i+formatio+9 Thus! the @+o:-ed6e e-eme+t of the I,, ci"i-ia+ sta+dard is a si6+ifica+t #arrier to 7rosecutio+ of i+dustria-ists -i@e Roech-i+6 :ho 7artici7ate i+ co+ducti+6 a :ar of a66ressio+9 (9 The E/istreati+6 1or@ersE ,ou+t I+ the third cou+t! mistreati+6 :or@ers! AFN$(5B Roech-i+6 :ou-d -i@e- #e e=o+erated u+der the I,, Statute e"e+ thou6h the Fre+ch court he-d! u+der a comma+d res7o+si#i-it theor ! that he :as 6ui-t 9 AFN$(4B 0s a 7re-imi+ar matter! Roech-i+6 :as a-so fou+d 6ui-t of direct 7artici7atio+ i+ comma+deeri+6 ci"i-ia+s from occu7ied cou+tries to :or@ i+ the stee- factories o+ the #asis of his requests to the armed forces for more :or@ers9 AFN$(<B O+ the 7rimar cou+t! mistreati+6 :or@ers! at the tria- -e"e-! the Fre+ch court reco6+iHed that the #asis of Roech-i+6;s -ia#i-it :as +ot from Eha"i+6 ordered this a#omi+a#-e treatme+t #ut of ha"i+6 to-erated it a+d of +ot ha"i+6 do+e a+ thi+6 i+ order to ha"e Athe treatme+tB modified9E AFN$(%B I+ affirmi+6 the 8ud6me+t! the su7erior &/5/ court reco6+iHed that Roech-i+6 :as E+ot accused of ha"i+6 ordered this horri#-e treatme+t! #ut of ha"i+6 7ermitted itD a+d i+deed su77orted it! a+d i+ additio+! of +ot ha"i+6 do+e AhisB utmost to 7ut a+ e+d to these a#uses9E AFN$(JB The su7erior court re8ected Roech-i+6;s co+te+tio+ that he :as +ot co+cer+ed :ith Ema+7o:er matters9E AFN$)&B U+der the I,, Statute;s +e: +e=us requireme+t i+ artic-e $%F$GF#G! Roech-i+6;s -ia#i-it :ou-d tur+ o+ :hether the mistreatme+t occurred at the factor or at the +ear# cam79 Because the armed forces a+d the SS ori6i+a-- su77-ied the :or@ers! the SS retai+ed si6+ifica+t as7ects of co+tro- o"er the :or@ers9 AFN$)'B S7ecifica-- ! at o+e 7-a+t u+der Roech-i+6;s cor7orate um#re--a! the SS esta#-ished a +ear# 7u+ishme+t cam79 AFN$)$B 1or@ers :ho "io-ated "arious re6u-atio+s a+d ordi+a+ces :ere housed i+ the cam7! #ut tra+s7orted each da to the factor to :or@9 AFN$)(B This fact raises the questio+ of :hether Roech-i+6 :ou-d #e he-d -ia#-e u+der I,, comma+d res7o+si#i-it for mistreatme+t at #oth the factor a+d the cam7s9 The Roech-i+6 court he-d the defe+da+t -ia#-e for mistreatme+t at #oth -ocatio+s9 AFN$))B Presuma#- ! u+der I,, artic-e $%F$GF#G! mistreatme+t at the factor is a Ecrime co+cer+edE :ith the acti"ities that Roech-i+6 :as u-timate- res7o+si#-e for as a ma+a6er9 *o:e"er! at the cam7! the +e: I,, +e=us requireme+t :ou-d -i@e- shie-d Roech-i+6 from -ia#i-it for mistreatme+t! des7ite the s m#iotic re-atio+shi7 #et:ee+ the 7-a+t a+d the factor 9 AFN$)5B /istreatme+t at the 7-a+t is +ot a crime co+cer+i+6 a+ acti"ities u+der Roech-i+6;s co+tro- #ecause the SS ra+ the 7u+ishme+t cam79 1ithout this +e: +e=us requireme+t! Roech-i+6 mi6ht #e he-d -ia#-e #ecause :or@ers :ere su#8ected to cam7 7u+ishme+t #ecause of their ori6i+a- i+fractio+s at the factor 9 AFN$)4B U+der the Eco+scious- disre6ardedE @+o:-ed6e e-eme+t sta+dard of the I,, Statute! Roech-i+6 :ou-d 7ro#a#- esca7e -ia#i-it :here the Roech-i+6 &/52 court fou+d -ia#i-it 9 AFN$)<B The 7rosecutio+ :ou-d ha"e to 7ro"e a+ affirmati"e actio+ # Roech-i+6 that direct- e+a#-ed him to a"oid i+formatio+ co+cer+i+6 the crimes9 Roech-i+6 c-aimed to @+o: +othi+6 of the mistreatme+t or 7oor co+ditio+s at the factor 9 AFN$)%B Some :it+esses testified to the co+trar 9 AFN$)JB E"e+ if Roech-i+6 i+s7ected the factor at issue! he sti-- cou-d a"oid -ia#i-it u+der the Eco+scious- disre6ardedE sta+dard u+-ess the 7rosecutio+ had some e"ide+ce that sho:ed that Roech-i+6 ado7ted a 7articu-ar factor tour route or
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dec-i+ed to i+s7ect certai+ areas9 The -oca- 7-a+t ma+a6er has it i+ his i+terest to sho: Roech-i+6 that the 7-a+t is ru++i+6 :e--! so a Es7ruci+62u7E #efore i+s7ectio+ # -oca- 7-a+t ma+a6eme+t :ou-d -i@e- e=o+erate Roech-i+6 u+der a Eco+scious- disre6ardedE sta+dard9 Thus! the +e: @+o:-ed6e e-eme+t si6+ifica+t- e+ha+ces a defe+da+t;s a#i-it to esca7e -ia#i-it throu6h de-e6atio+ a+d shie-di+6 i+formatio+! so -o+6 as the shie-di+6 or fi-teri+6 of u7:ard2f-o:i+6 i+formatio+ has some 8ustificatio+ other tha+ as a mecha+ism for the ma+a6er to remai+ :i--fu-- #-i+d9 I+ co+trast! u+der a Ehad reaso+ to @+o:!E or e"e+ a Eshou-d ha"e @+o:+E sta+dard! a court ca+ more readi- co+duct a factua- #a-a+ci+6 as to the 6e+ui+e+ess of the ma+a6ers; efforts to sta i+formed9 Sectio+ ?9B has recast the facts u+der- i+6 three of the cou+ts a6ai+st Roech-i+6 o+to artic-e $%F$G of the I,, Statute9 The recasti+6 sho:s that the -ess strict sta+dard ca+ si6+ifica+t- im7act case outcomes! a+d therefore the +e: I,, ci"i-ia+ sta+dard -esse+s the 7erma+e+t court;s a#i-it to reach those i+di"idua-s :ho are #ehi+d a+ or6a+iHed mo"eme+t that 7roduces serious "io-atio+s of huma+ ri6hts9 ,9 The I,TR a+d the 0@a esu ,ase '9 Is There a ES7-it of 0uthorit E o+ ,i"i-ia+ ,omma+d Res7o+si#i-it > I+ the case of 0@a esu! the I,TR dec-i+ed to state a 6e+era- ru-e that the comma+d res7o+si#i-it doctri+e a77-ies to ci"i-ia+s9 AFN$5&B /r9 0@a esu :as e-ected ma8or of a to:+ i+ R:a+da a77ro=imate- a ear #efore the 6e+ocide of the Tutsi 7eo7-e9 AFN$5'B The -oca- mi-itia committed a#uses a6ai+st dis7-aced Tutsis ta@i+6 refu6e i+ the to:+9 AFN$5$B O+e of the mai+ dis7utes i+ the case :as &/55 :hether /r9 0@a esu had authorit a+d co+tro- o"er this -oca- mi-itia9 AFN$5(B The 0@a esu court a+a- Hed the *irota case from the I/T2FE tria-s9 The court cited 3ud6e RL-i+6;s disse+t! :hich e=7ressed co+cer+ :ith ho-di+6 6o"er+me+t officia-s res7o+si#-e for the #eha"ior of the arm 9 AFN$5)B The 0@a esu court the+ fou+d that Ecomma+d res7o+si#i-it for ci"i-ia+s remai+s co+te+tious!E therefore! the I,TR shou-d e"a-uate ci"i-ia+s o+ a case # case #asis to #e sure that the E7o:er of authorit actua-- de"o-"ed u7o+ the Aci"i-ia+B 9 9 9 to ta@e a-- +ecessar a+d reaso+a#-e measuresE to 7re"e+t or 7u+ish the crimes9 AFN$55B Thus! com7ared to the court i+ ,e-e#ici! the 0@a esu court articu-ated a si6+ifica+t- reduced sco7e of ci"i-ia+ comma+d res7o+si#i-it 9 0s the o+- t:o moder+ i+ter+atio+a- crimi+a- tri#u+a-s to s7ea@ o+ the su#8ect! the courts; differe+ces o+ the sco7e of ci"i-ia+ comma+d res7o+si#i-it are si6+ifica+t e+ou6h to #e characteriHed as a Es7-it of authorit 9E I+ ,e-e#ici! the I,TY he-d u+equi"oca-- that comma+d res7o+si#i-it Ee=te+ds +ot o+- to mi-itar comma+ders #ut a-so to i+di"idua-s i+ +o+2mi-itar 7ositio+s of su7erior authorit !E AFN$54B e"e+ thou6h it -ater -imited its stateme+t to ci"i-ia+ su7eriors :ho e=ercise su#ordi+ate co+tro- simi-ar to that of mi-itar comma+ders9 AFN$5<B These t:o courts! :or@i+6 from +ear- ide+tica- a+d su#sta+ti"e- equi"a-e+t statutor -a+6ua6e! co+strued si6+ifica+tdiffere+t defau-t 7ositio+s for the sco7e of the comma+d res7o+si#i-it doctri+e for ci"i-ia+s9 Readi+6 the o7i+io+s side # side! o+ the ci"i-ia+ comma+d res7o+si#i-it issue the ,e-e#ici case seems #etter reaso+ed #ecause it dra:s o+ a #a-a+ced set of sources to e"ide+ce customar i+ter+atio+a- -a:D :hereas the I,TR court reaso+s from o+e 8ud6e;s disse+t i+ a 7ost21or-d 1ar II case9 AFN$5%B These co+f-icti+6 "ie:s of the sco7e of comma+d res7o+si#i-it ma further mudd the :aters :ith res7ect to ci"i-ia+ comma+d res7o+si#i-it i+ the I,, Statute9 Factua-- ! the 0@a esu case is more o+ 7oi+t for this 0rtic-e;s e=ami+atio+ of the I,, ci"i-ia+ sta+dard9 3ea+2Pau0@a esu :as a ci"i-ia+! :hi-e the 7riso+ cam7 comma+der a+d other authorities i+ ,e-e#ici :ere more &/54 -i@e- to #e "ie:ed as mi-itar comma+ders9 AFN$5JB *o:e"er! 0@a esu;s status ma #e de#ata#-e9 0@a esu :as the ma or of Ta#a i+ R:a+da9 AFN$4&B Duri+6 his time as ma or! amidst the crisis i+ R:a+da! Ehu+dreds of ci"i-ia+s 9 9 9 sou6ht refu6e at the #ureau commu+a-E :here 0@a esu E:as res7o+si#-e for mai+tai+i+6 -a: a+d 7u#-ic order9E AFN$4'B Thus! 6i"e+ the chaos a+d a#use for :hich 0@a esu :as co+"icted! AFN$4$B o+e cou-d cou+ter2ar6ue that the E#ureau commu+a-E :as simi-ar to a 7riso+ cam7 a+d that 0@a esu;s authorit :as more -i@e a 7riso+ cam7 comma+der tha+ a ma or9 Thus! 0@a esu;s 7ure- ci"i-ia+ ro-e AFN$4(B ma #e a+a-o6iHed to that of a semi2mi-itar officia-! a+d thus mi6ht fa-- u+der the Eor effecti"e- acti+6 as a mi-itar comma+derE sta+dard i+ artic-e $%F'G of the I,, Statute9 Re6ard-ess of 0@a esu;s status as either a ci"i-ia+ su7erior or a semi2mi-itar comma+der! the I,TR used i+co+siste+t reaso+i+6 to co+c-ude that 0@a esu is +ot -ia#-e u+der comma+d res7o+si#i-it for a+ cou+ts9 AFN$4)B The 0@a esu
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case ho-ds that the su7erior2su#ordi+ate re-atio+shi7 e-eme+t is +ot satisfied! a+d! therefore! that 0@a esu is +ot -ia#-e u+der the comma+d res7o+si#i-it cou+t9 The court +otes that after a certai+ 7oi+t i+ the 7ro6ressio+ of the R:a+da+ atrocities! 0@a esu met the other t:o e-eme+ts of comma+d res7o+si#i-it F@+o:-ed6e a+d i+actio+G9 AFN$45B The +e=t sectio+ e=ami+es the comma+d res7o+si#i-it ho-di+6 for 0@a esu a+d e=7-ai+s ho: the court;s i+co+siste+t reaso+i+6 causes it to misha+d-e the a+a- sis of the su7erior2su#ordi+ate re-atio+shi7 e-eme+t9 $9 The I,TR i+ 0@a esu Narro:- ,o+strues ,rimi+a- Lia#i-it for ,i"i-ia+s 0risi+6 from ,omma+d Res7o+si#i-it The record re"ea-s that 0@a esu 7ro6ressed from -itt-e or +o 7artici7atio+ to acti"e 7artici7atio+ i+ the crimes i+ R:a+da9 0@a esu :as a teacher a+d schoo- i+s7ector #efore #ecomi+6 #our6mestre Fma orG i+ 'JJ(9 0s the ma or of Ta#a! 0@a esu Eo77osed Athe @i--i+6sB a+d attem7ted to 7re"e+t them o+- u+ti- '% 07ri- 'JJ)! 9 9 9 after :hich he 9 9 9 sometimes e"e+ 6a"e orders himse-f for #odi- or me+ta- harm to #e caused to certai+ Tutsi! &/55 a+d e+dorsed a+d e"e+ ordered the @i--i+6 of se"era- Tutsi9E AFN$44B Se"era- facts :ei6hed a6ai+st 0@a esu i+ the court;s ho-di+6 that he :as 6ui-t u+der EdirectE comma+d res7o+si#i-it 9 AFN$4<B First! it :as a--e6ed that commu+a- 7o-ice :ere 7rese+t duri+6 the ra7e of Tutsi :ome+9 AFN$4%B Seco+d! :it+esses testified that 0@a esu @+e: of the ra7e # stateme+ts he made9 AFN$4JB The court fou+d 0@a esu 6ui-t o+ ma+ of the cou+ts u+der artic-e 4F'G of the I,TR statute! the direct res7o+si#i-it 7ro"isio+9 AFN$<&B U+der its comma+d res7o+si#i-it a+a- sis! the court +oted that 0@a esu Ehad reaso+ to @+o: a+d i+ fact @+e: that acts of se=ua- "io-e+ce :ere occurri+6 i+ or +ear 7remises of the #ureau commu+a-E a+d too@ +o measures to 7re"e+t or 7u+ish9 AFN$<'B But the court hesitated to attri#ute some actio+s to 0@a esu9 AFN$<$B The court had fou+d 0@a esu 6ui-t of direct 7artici7atio+ i+ coerci"e se=ua- "io-e+ce throu6h orders he 6a"e the I+teraham:e mi-itia9 AFN$<(B The+! u+der the facts descri#ed a#o"e a+d :ith the sta6e set to ho-d 0@a esu -ia#-e u+der the comma+d res7o+si#i-it 7ro"isio+s i+ artic-e 4F(G! the court thre: out the comma+d res7o+si#i-it cou+ts! ho-di+6 that the su7erior2su#ordi+ate re-atio+shi7 e-eme+t :as +ot met9 AFN$<)B The court fe-t that there :as i+sufficie+t e"ide+ce that the I+teraham:e! the Earmed -oca- mi-itia!E :ere su#ordi+ate to 0@a esu9 This reaso+i+6 seems hi6h- i+co+siste+t :ith the court;s direct 7artici7atio+ -ia#i-it ho-di+6 u+der artic-e 4F'G! :hich :as e=7-icit- #ased o+ 0@a esu;s a#i-it to order the I+teraham:e to cause a Tutsi fema-e to u+dress a+d do 6 m+astics i+ a cro:ded court ard9 AFN$<5B (9 077- i+6 0@a esu to the I,, Statute The I,TR;s ho-di+6 seems to foreshado: I,, artic-e $%F$GF#G #ecause the court seemed to desire a +e=us #et:ee+ the crimes a+d the acti"ities o"er :hich 0@a esu cou-d co+tro- his su#ordi+ates9 The 0@a esu court stretched to ma@e this ho-di+69 AFN$<4B The I,,! o+ the other ha+d! :i-- #e 7e77ered :ith defe+se cou+se- ar6ume+ts that artic-e $%F$GF#G 7rec-udes -ia#i-it 9 This is u+fortu+ate #ecause $%F$GF#G is ar6ua#- am#i6uous :ith res7ect to :hether it adds a+ co+te+t to the su7erior2su#ordi+ate re-atio+shi7 e-eme+t9 &/5$ U+der the I,, 7ro"isio+! the 0@a esu case facts :ou-d 6e+erate the same outcome as the actua- case! e=o+eratio+ of 0@a esu u+der the comma+d res7o+si#i-it cou+ts9 E"e+ if 0@a esu :ere he-d to meet the I,, su7erior2su#ordi+ate re-atio+shi7 sta+dard! i+c-udi+6 artic-e $%F$GF#G! the +e: @+o:-ed6e e-eme+t sta+dard :ou-d e=o+erate him! at -east #efore he #e6a+ his direct 7artici7atio+9 If 0@a esu o77osed a+d tried to 7re"e+t the crimes throu6h 07ri- '%! 'JJ)! AFN$<<B the+ u7 to that 7oi+t he :ou-d +ot ha"e Eco+scious- disre6arded i+formatio+ :hich c-ear- i+dicated that the su#ordi+ates :ere committi+6 or a#out to commit such crimes9E AFN$<%B I+ fact! #ecause he @+e: of the crimes! as -o+6 as he too@ actio+ :ithi+ the -imits of his 7o:er to sto7 the crimes! #oth the @+o:-ed6e a+d the i+actio+ e-eme+ts :ou-d e=o+erate him from comma+d res7o+si#i-it crimi+a- -ia#i-it 9 AFN$<JB I+ this re6ard! artic-e $%F$G ca+ #e see+ as setti+6 u7 7er"erse i+ce+ti"es #ecause a defe+da+t -i@e 0@a esu :i-- ha"e a #etter defe+se if he ca+ hide #ehi+d Eco+sciousdisre6ardi+6!E as o77osed to ha"i+6 to 7ro"e that the correcti"e actio+ he too@ :as +ot mere to@e+ actio+ to 7re"e+t the crime or 7u+ish the 7er7etrator9 I+ sum! if he :ere tried u+der the I,, Statute! he :ou-d ha"e a #etter defe+se tha+ his defe+ses u+der the I,TR Statute #ecause Eco+scious- disre6ardi+6E 6i"es him more 7rotectio+ Eshou-d ha"e @+o:+E u+der the comma+d res7o+si#i-it @+o:-ed6e e-eme+t9 ?I9 The ,omma+d Res7o+si#i-it Doctri+e a+d the /i-ose"ic I+dictme+t 09 077- i+6 the Doctri+e 06ai+st a *ead of State
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Part ? has sho:+ that u+der the I,, ci"i-ia+ comma+d res7o+si#i-it sta+dard! the cases of *irota! Roech-i+6! a+d 0@a esu :ou-d ha"e differe+t outcomes com7ared to their outcome if e"a-uated usi+6 the I,, mi-itar sta+dard9 This a+a- sis u+derscores the im7orta+ce of the su7erior2su#ordi+ate re-atio+shi7 e-eme+t a+d its co+cer+ :ith the t 7e a+d de6ree of co+tro- a mi-itar comma+der or ci"i-ia+ su7erior has o"er his or her su#ordi+ates9 This a+a- sis a-so u+derscores the critica- +ature of the @+o:-ed6e e-eme+t9 Thus! u+der the I,,! a ci"i-ia+ -eader :ho is +ot Eeffecti"eacti+6 as a mi-itar comma+der!E AFN$%&B a+d :ho is 7rosecuted for crimes :ithi+ the I,,;s 8urisdictio+! :i-- #e+efit from the more fa"ora#-e ci"i-ia+ comma+d res7o+si#i-it sta+dards! 7ote+tia-- to the detrime+t of the efficac a+d deterre+ce 7o:er of the court9 This o#8ectio+ is critica- #ecause ci"i-ia+ -eaders ca+ set 7o-ic a+d o#8ecti"es9 The ma e=ert co+tro- a+d authorit i+ a m riad of :a s that are +ot Eeffecti"e- mi-itar comma+d9E AFN$%'B /oreo"er! the -ess democratic the &/51 re6ime! the more -i@e- it is that the ci"i-ia+ -eader;s authorit s7a+s across ma+ i+dustries a+d im7orta+t societa- i+stitutio+s! i+c-udi+6 co+tro- o"er the media9 AFN$%$B I+ a-- areas :here the ci"i-ia+ -eader e=ercises +o+2mi-itar co+tro-! the I,, ci"i-ia+ sta+dard 6i"es the -eader a 6reater o77ortu+it strate6ica-- to #ecome :i--fu-- #-i+d to the crimes committed # su#ordi+ates9 ,o+sideri+6 the I,, Statute;s status2#ased a77roach! much :i-- tur+ o+ the characteriHatio+ of the ci"i-ia+ -eader;s ro-e! #ecause! if the ci"i-ia+ -eader is Eeffecti"e- acti+6 as a mi-itar comma+der!E the+ I,, artic-e $%F'G a+d its tou6her sta+dards :ou-d a77- 9 O+e 7ossi#-e e=am7-e of a 7erso+ effecti"e- acti+6 as a mi-itar comma+der is a ci"i-ia+ head of state :ho has su7reme comma+d 7o:ers o"er that cou+tr ;s armed forces9 AFN$%(B This same i+di"idua- mi6ht a-so fa-u+der EdirectE comma+d res7o+si#i-it ! :hich cou-d a77- to either a mi-itar comma+der or a ci"i-ia+ su7erior9 I+ either its direct form or its im7uted form! the comma+d res7o+si#i-it doctri+e e+"isio+s a+d im7-eme+ts crimi+aaccou+ta#i-it that u7:ard- tra"erses the chai+ of comma+d to the cu-7a#-e -eader9 AFN$%)B If the comma+d res7o+si#i-it doctri+e is used to tra"erse the chai+ of comma+d for accou+ta#i-it the+ its u-timate use is a77- i+6 it a6ai+st a cou+tr ;s hi6hest 7o-itica- -eader :ho has caused :ides7read crimes a6ai+st huma+it 9 Such use has #ee+ rare9 0fter 1or-d 1ar I! the "ictors made 7re7aratio+s co+tem7-ati+6 a triaof the so+ of the .aiser! #ut the tri#u+a- :as +e"er im7-eme+ted9 AFN$%5B Duri+6 the I/T2FE tria-s! se"era- hi6h2ra+@i+6 3a7a+ese ci"i-ia+s :ere tried! #ut +ot the Em7eror9 AFN$%4B I+ 'JJ% i+ R:a+da! the I,TR acce7ted the 6ui-t 7-ea of its former 7rime mi+ister! ma@i+6 this the first co+"ictio+ of a head of state # a+ i+ter+atio+a- tri#u+a-9 AFN$%<B I+ the former Yu6os-a"ia! some hi6h2 ra+@i+6 i+di"idua-s :ere i+dicted i+ 'JJ59 AFN$%%B &/54 *o:e"er! the e"e+ts i+ .oso"o i+ 'JJJ tri66ered the first e"er i+dictme+t Ei+ the histor of Athe I,TYB to char6e a *ead of State duri+6 a+ o+26oi+6 armed co+f-ict :ith the commissio+ of serious "io-atio+s of i+ter+atio+a- huma+itaria+ -a:9E AFN$%JB The I,TY acce7ted Prosecutor Louise 0r#our;s i+dictme+t of S-o#oda+ /i-ose"ic a+d four others for direct comma+d res7o+si#i-it a+d im7uted comma+d res7o+si#i-it for "arious crimes a6ai+st .oso"o 0-#a+ia+s9 AFN$J&B Besides #ra+di+6 /i-ose"ic as a :ar crimi+a-! the i+dictme+t 7uts the comma+d res7o+si#i-it doctri+e at ce+ter sta6e i+ the i+ter+atio+a- de#ate o"er .oso"o9 AFN$J'B B9 The /i-ose"ic ,ase U+der the I,, Statute 0+ e=ami+atio+ of /i-ose"ic;s case u+der the I,, Statute :i-- summariHe a+d rei+force the ideas 7rese+ted i+ the ear-ier 7arts of this 0rtic-e # hi6h-i6hti+6 the 7ote+tia- outcomes u+der a+ I,, a77roach9 0fter the /i-ose"ic i+dictme+t :as o+ record a+d the Ser#ia+ troo7s had :ithdra:+ from .oso"o! the i+ter+atio+acommu+it focused o+ co--ecti+6 e"ide+ce of the crimes committed # Ser#ia+ forces9 AFN$J$B This e"ide+ce :i-determi+e the stre+6th of the I,TY Prosecutor;s case a6ai+st /i-ose"ic if he is a77rehe+ded for tria-9 S7ecifica-- ! i+"esti6ators are i+terested i+ a+ e"ide+ce that ca+ su77ort accusatio+s of EdirectE comma+d res7o+si#i-it that /i-ose"ic 7-a++ed a+d ordered the eth+ic c-ea+si+69 AFN$J(B 0 direct comma+d &/56 res7o+si#i-it c-aim creates the most so-id case a6ai+st /i-ose"ic! :hi-e a+ im7uted comma+d res7o+si#i-it c-aim creates differe+t issues of 7roof for the 7rosecutio+9 AFN$J)B If ta@e+ i+to I,TY custod ! /i-ose"ic :ou-d #e tried accordi+6 to that court;s e-ucidatio+ of the comma+d res7o+si#i-it doctri+e! much of :hich is e=7ressed # the ,e-e#ici o7i+io+9 AFN$J5B *o:e"er! Part ?I! fo--o:i+6 the a77roach of Part ?! e=ami+es the h 7othetica- outcome if /i-ose"ic :ere tried u+der the I,, Statute9
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This a+a- sis 7roceeds # co+sideri+6 se"era- a-ter+ati"e c-assificatio+s for /i-ose"ic;s status u+der the I,, i+di"iduacrimi+a- res7o+si#i-it 7ro"isio+s9 Each a-ter+ati"e! ho:e"er! assumes that /i-ose"ic is a ci"i-ia+9 B ori6i+a- trai+i+6! he is a+ attor+e a+d his career #efore 7o-itics :as i+ ma+a6eme+t! #a+@i+6! a+d oi-9 AFN$J4B First! it is 7ossi#-e that /i-ose"ic :ou-d fa-- u+der artic-e $5 of the I,, Statute as o+e :ho Eorders! so-icits! or i+duces the commissio+ of such a crime9E AFN$J<B *o:e"er! re7orts su66est that a direct E7a7er trai-E e"ide+ci+6 direct res7o+si#i-it is u+-i@e- 9 AFN$J%B Therefore! a 7rosecutor ma fi+d it difficu-t to 7ro"e that /i-ose"ic 7erso+a-ordered or so-icited or i+duced the crime9 If this is the case! the seco+d a-ter+ati"e is to co+sider /i-ose"ic;s situatio+ u+der I,, artic-e $%F'G as a ci"i-ia+ Eeffecti"e- acti+6 as a mi-itar comma+der9E The i+quir i+to the seco+d a-ter+ati"e :ou-d focus more o+ the 7re2e=isti+6 re-atio+shi7s #et:ee+ /i-ose"ic a+d the Ser#ia+ forces that :ere de7-o ed i+ .oso"o! rather tha+ o+ 7ro"i+6 that a s7ecific order :as tra+smitted to these forces to commit atrocities9 The i+dictme+t recou+ts /i-ose"ic;s de 8ure authorit o"er these forces as :e-- as his Ee=te+si"e de facto co+tro- o"er +umerous i+stitutio+s esse+tia- to! or i+"o-"ed i+! the co+duct of the offe+ses9E AFN$JJB 0ssumi+6 that /i-ose"ic;s -e"e- of co+tro- o"er &/49 the armed forces is sufficie+t to qua-if him as a ci"i-ia+ effecti"e- acti+6 as a mi-itar comma+der! the+ his 6ui-t! u+der the I,, Statute! :ou-d tur+ o+ :hether he E@+e:! or o:i+6 to the circumsta+ces at the time! shou-d ha"e @+o:+!E of the atrocities9 AFN(&&B There :i-- #e stro+6 circumsta+tia- e"ide+ce that he @+e: #ecause of the direct commu+icatio+s from the I,TY Prosecutor :ar+i+6 /i-ose"ic of his res7o+si#i-ities u+der i+ter+atio+a- -a:9 AFN(&'B Thus! it is -i@e- that a stro+6 case :ou-d e=ist u+der the I,, to tr /i-ose"ic usi+6 the mi-itar comma+der sta+dard9 The third a-ter+ati"e i+ a+a- Hi+6 the /i-ose"ic i+dictme+t u+der the I,, :ou-d #e to co+sider the -ess -i@e- a-ter+ati"e that /i-ose"ic :ou-d +ot #e fou+d to #e o7erati+6 as a mi-itar comma+der a+d :ou-d thus fa-- i+to the I,, ci"i-ia+ sta+dard of artic-e $%F$G9 U+der the ci"i-ia+ sta+dard! the 7rosecutor :ou-d ha"e to 7ro"e! u+der the @+o:-ed6e e-eme+t! that /i-ose"ic Eco+scious- disre6arded i+formatio+ :hich c-ear- i+dicatedE that crimes occurred9 AFN(&$B Ii"e+ the re7orts that /i-ose"ic is +ot fo+d of E7a7er trai-s!E AFN(&(B this mi6ht #e a+ i+surmou+ta#-e #urde+ of 7roof9 U+der the su7erior2su#ordi+ate re-atio+shi7 e-eme+t! the I,, ci"i-ia+ sta+dard :ou-d a-so com7-icate the 7rosecutor;s 7roof 7rocess #ecause of the +e=us e-eme+t requiri+6 that the su#ordi+ates; crimes must co+cer+ Eacti"ities that :ere :ithi+ the effecti"e res7o+si#i-it a+d co+troof the su7erior9E AFN(&)B This e"a-uatio+ :ou-d de7e+d o+ ma+ of the same factors +ecessar to determi+e :hether /i-ose"ic :as Eeffecti"e- acti+6 as a mi-itar comma+der!E such as the e=te+t a+d sco7e of a+ su7erior2su#ordi+ate re-atio+shi7s! or his de6ree of 7o:er to co+tro- a+d 7u+ish those u+der his authorit 9 AFN(&5B 3ust as /i-ose"ic;s u-timate cu-7a#i-it at the I,TY :i-- #e a fu+ctio+ of the e"ide+ce! a more detai-ed e"a-uatio+ of his situatio+ u+der the I,, ci"i-ia+ sta+dard is -imited :he+ most of the u+der- i+6 facts su77orti+6 7rosecutor 0r#our;s i+dictme+t are u+der a +o+2disc-osure order to 7rotect :it+esses u+ti- the fi"e i+dicted i+di"idua-s are a77rehe+ded9 AFN(&4B 0sto+ishi+6 "o-umes of e"ide+ce e=ist that huma+ ri6hts "io-atio+s occurred i+ .oso"o! AFN(&<B a+d there is am7-e circumsta+tia- e"ide+ce -i+@i+6 /i-ose"ic throu6h the chai+ of comma+d to the armed forces that :ere de7-o ed i+ .oso"o9 But :here &/4/ /i-ose"ic :ou-d u-timate- fa-- a-o+6 the I,, sca-e of artic-e $5 direct comma+d res7o+si#i-it ! "ersus the artic-e $%F'G mi-itar sta+dard! "ersus the artic-e $%F$G ci"i-ia+ sta+dard! is u+@+o:a#-e u+timore facts are a"ai-a#-e a#out the su7erior2su#ordi+ate re-atio+shi7 e-eme+t a+d a#out /i-ose"ic;s -e"e- of @+o:-ed6e9 Re6ard-ess of the e"ide+tiar u+certai+t u+der- i+6 these first t:o e-eme+ts! :ith res7ect to the third e-eme+t of comma+d res7o+si#i-it ! it is readi- a77are+t that there :as either i+actio+! or i+effecti"e actio+! to sto7 the atrocities9 ?II9 ,o+c-usio+ The 7recedi+6 t:o 7arts ha"e a77-ied the I,, comma+d res7o+si#i-it doctri+e to se"era- 7rior ci"i-ia+ cases a+d discussed ho: the doctri+e mi6ht a77- to the hi6hest -e"e- i+ the chai+ of comma+d22the head of state9 0-thou6h there are o+- a sma-- +um#er of ci"i-ia+ comma+d res7o+si#i-it cases! the e=am7-es a77-ied to the I,, ci"i-ia+ comma+d res7o+si#i-it sta+dard i--ustrate se"era- factors9 First! at the I,,! ma+ ci"i-ia+ su7eriors :ho mi6ht #e effecti"eo7erati+6 as mi-itar comma+ders :i-- ha"e a+ a-ter+ati"e 7-ea i+ defe+se9 The :i-- 7-ead that the shou-d fa-- u+der the -ess strict ci"i-ia+ sta+dard of artic-e $%F$G9 I+ c-ose cases! some 7er7etrators :i-- s-i7 i+to the ci"i-ia+ sta+dard! a+d 7ro#a#i-it dictates that at -east some of these do so at the e=7e+se of 8ustice9
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Seco+d! ho: he-7fu- this tactic is for defe+da+ts de7e+ds o+ the e=te+t to :hich the -esser @+o:-ed6e e-eme+t! Eco+scious- disre6arded!E -o:ers the crimi+a- requireme+t of a dut to @ee7 i+formed9 I+ the *irota case! defe+da+t forei6+ mi+ister *irota :ou-d -i@e- #e e=o+erated u+der the +e: ci"i-ia+ sta+dard9 Simi-ar- ! i+ the Roech-i+6 case! the defe+da+t i+dustria-ist :ou-d -i@e- esca7e -ia#i-it for mistreatme+t of :or@ers9 The 0@a esu case from the I,TR dea-s a further #-o: to a ro#ust ci"i-ia+ comma+d res7o+si#i-it doctri+e! to the e=te+t it :ou-d #e fo--o:ed for the comma+d res7o+si#i-it 7art of its ho-di+69 These three case e=am7-es re"ie:ed i+ Part ? i--ustrate the 7ote+tia- effect of artic-e $%F$G9 Third! the de6ree of effect that artic-e $%F$G has o+ the 8ustice a+d efficac of the 7erma+e+t court de7e+ds a-so o+ :hether artic-e $%F$GF#G i+troduces a +e: +e=us e-eme+t for 7rosecutors to 7ro"e9 0s a summar of the com7ariso+ u+derta@e+ i+ this 0rtic-e! the fo--o:i+6 ta#-e i--ustrates a-- of these differe+ces9 &/42 Ta#-e $2 Summar ,om7ariso+ of ,omma+d Res7o+si#i-it E-eme+ts T0BUL0R OR IR0P*I, /0TERI0L SET FORT* 0T T*IS POINT IS NOT DISPL0Y0BLE The comma+d res7o+si#i-it doctri+e has de"e-o7ed i+ short #ursts a+d the+ -ai+ dorma+t for -o+6 stretches of time #efore resurfaci+69 AFN(&%B The 7ost21or-d 1ar II i+ter+atio+a- mi-itar tri#u+a- cases at Nurem#er6 a+d To@ o 7ro"ided the -au+chi+6 7oi+t for the moder+ doctri+e9 AFN(&JB ,omme+tators ha"e +oted the effect o+ the doctri+e from i+ter+atio+a- treaties such as 0dditio+a- Protoco- I a+d e"e+ts such as the / Lai massacre of the ?iet+am co+f-ict9 AFN('&B /ore rece+t- ! efforts to draft a statute for a 7erma+e+t i+ter+atio+a- crimi+a- court ha"e 7ara--e-ed the re6retfu+eed to esta#-ish the I,TY a+d I,TR9 AFN(''B The a66re6ate 8ustice a+d efficac of the I,, :i-- #e the resu-t of ma+ factors9 O+ #a-a+ce! the ci"i-ia+ comma+d res7o+si#i-it 7ro"isio+s reduce the court;s 7o:er to #ri+6 huma+ ri6hts "io-ators #efore the ru-e of -a: #ecause &/45 the u+dercut the court;s deterre+t 6oa-s for ci"i-ia+ "io-ators9 I+ short! the ci"i-ia+ comma+d res7o+si#i-it sta+dard is o+e sma-- +e6ati"e for the court! #ut a +e6ati"e that threate+s to ma@e reathe co+cer+s e=7ressed # Louise 0r#our! I,TY 7rosecutor! i+ a stateme+t to the U9N9 Pre7arator ,ommittee for the I,,: Shou-d it #e a :ea@ a+d 7o:er-ess i+stitutio+! +ot o+- :i-- it -ac@ -e6itimac ! #ut it :i-- #etra the "er huma+ ri6hts idea-s that :i-- ha"e i+s7ired its creatio+9 AFN('$B *o7efu-- ! the sheer e=iste+ce of the court a+d its 7ositi"e attri#utes :i-- :ei6h the #a-a+ce a6ai+st 0r#our;s co+cer+s9 AFNd'B9 0ssociate! .i-7atric@ Stoc@to+ L9L9P9! Ra-ei6h! N,D B9S9 'J%<! U+i"ersit of /issouriD /9S9 'JJ'! U+i"ersit of /issouriD /9B909 'JJ)! Roc@hurst U+i"ersit D 39D9 'JJJ! North:ester+ U+i"ersit 9 The author :ishes to ac@+o:-ed6e the e+coura6eme+t a+d assista+ce 7ro"ided # Professor Dou6-ass 19 ,asse-! 3r9! Director of the ,e+ter for I+ter+atio+a*uma+ Ri6hts at North:ester+ U+i"ersit Schoo- of La:9 AFN'B9 See 3oh+ R9 SchmertH! 3r9 O /i@e /eier! B Lar6e /a8orit ! U9N9 ,o+fere+ce i+ Rome 077ro"es Perma+e+t I+ter+atio+a- ,rimi+a- ,ourt! ) I+t;- L9 U7date %% F'JJ%GD 0 Stro+6 I+ter+atio+a- ,ourt! N9Y9 Times! 3u+e '%! 'JJ%! at 0'9 AFN$B9 See Rome Statute of the I+ter+atio+a- ,rimi+a- ,ourt! art9 '$4! U9N9 Doc9 0/,ONF9'%(/J F3u- '<! 'JJ%G! re7ri+ted i+ (< I9L9/9 JJJ F'JJ%G! a"ai-a#-e i+ Docume+ts F"isited Oct9 $$! 'JJJG Uhtt7://:::9u+9or6/icc/V AAAherei+after Rome StatuteBD ,har-es Trueheart! U9N9 ,o+fere+ce To Draft 1ar ,rimes Treat ! 1ash9 Post! 3u+e ')! 'JJ%! at 0$$D UN Di7-omatic ,o+fere+ce ,o+c-udes :ith Decisio+ To Esta#-ish Perma+e+t I+ter+atio+a- ,rimi+a- ,ourt! /$ Press:ire! 3u- $'! 'JJ<! a"ai-a#-e i+ 'JJ% 1L ')&J<&<59 AFN(B9 See 39 *o-mes 0rmstead! 3r9! The I+ter+atio+a- ,rimi+a- ,ourt: *istor ! De"e-o7me+t a+d Status! (% Sa+ta ,-ara L9 Re"9 <)5! <)5! <)J F'JJ%GD .eith *a--! The Third a+d Fourth Sessio+s of the UN Pre7arator ,ommittee o+ the Esta#-ishme+t of a+ I+ter+atio+a- ,rimi+a- ,ourt! J$ 0m9 39 I+t;- L9 '$)! '$) F'JJ%G9 I+ co+trast to the rece+t efforts of the -ast fe: ears! the -o+6 term efforts to esta#-ish a+ i+ter+atio+a- court date #ac@ to the first ha-f of the t:e+tieth ce+tur 9 See /9 ,herif Bassiou+i! *istorica- Sur"e : 'J'J2'JJ%! i+ The Statute of the I+ter+atio+a- ,rimi+a- ,ourt: 0 Docume+tar *istor '! ( F/9 ,herif Bassiou+i ed9! 'JJ%GD *o:ard S9 Le"ie! The Statute of the I+ter+atio+a- Tri#u+afor the Former Yu6os-a"ia: 0 ,om7ariso+ :ith the Past a+d a Loo@ at the Future! $' S racuse 39 I+t;- L9 O ,om9 '! '2(
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F'JJ5G9 See 6e+era-- NIO I+formatio+ F"isited Oct9 $$! 'JJJG Uhtt7:// :::9i6c9or6/icc/htm-/+969o99htm-V F7ro"idi+6 a -ist of do:+-oada#-e docume+ts from a "ariet of NIOs as :e-- as docume+ts from the Rome co+"e+tio+ a+d from the 7re7arator committee meeti+6s -eadi+6 u7 to the Rome co+"e+tio+G9 AFN)B9 See /9 ,herif Bassiou+i! From ?ersai--es to R:a+da i+ Se"e+t 2Fi"e Years: The Need To Esta#-ish a Perma+e+t I+ter+atio+a- ,rimi+a- ,ourt! '& *ar"9 *um9 Rts9 39 ''! )425) F'JJ%GD Ro#ert Rose+stoc@! The Fort 2Ei6hth Sessio+ of the I+ter+atio+a- La: ,ommissio+! J' 0m9 39 I+t;- L9 (45! (45 F'JJ<GD ,har-es Trueheart! ,-out 1ithout a ,ou+tr : The Po:er of I+ter+atio+a- Lo##ies! 1ash9 Post! 3u+e '%! 'JJ%! at 0($9 AFN5B9 See Bassiou+i! su7ra +ote )! at ''2'$! 5%24&9 AFN4B9 See Ste"e+ R9 Rat+er O 3aso+ S9 0#rams! 0ccou+ta#i-it for *uma+ Ri6hts 0trocities i+ I+ter+atio+a- La: % F'JJ<G FEATBhe horre+dous atrocities committed i+ the former Yu6os-a"ia a+d R:a+da i+ the ear- a+d mid2'JJ&s 6oaded the i+ter+atio+a- commu+it ! 7rom7ted # the U+ited States! to see@ crimi+a- accou+ta#i-it for them throu6h the creatio+ of i+ter+atio+a- tri#u+a-s9EG9 AFN<B9 See Da"id Stoe-ti+6! Rome Treat /ar@s *istoric /ome+t i+ I+ter+atio+a- ,rimi+a- La:! N9Y9 L939! 0u69 $%! 'JJ%! at ' FEATBhe Rome treat sta+ds as a 6ia+t ste7 to:ard a 8ust ru-e of -a: at the c-ose of a ce+tur :rac@ed # u+7ara--e-ed i+8ustice9EG9 AFN%B9 See Prosecutor "9 /i-ose"ic! No9 IT2JJ2(<! 7ara9 4 FI,TY /a $)! 'JJJG! a"ai-a#-e at Decisio+ o+ Re"ie: of I+dictme+t a+d 077-icatio+ for ,o+seque+tiaOrders F"isited Oct9 $$! 'JJJG Uhtt7:// :::9u+9or6/ict /mi-ose"ic/decisio+2e/&5$)JJre"9htmV Aherei+after /i-ose"ic Re"ie: of I+dictme+tB9 AFNJB9 See Dou6-ass 19 ,asse-! 3ud6me+t at Nurem#er6: 0 *a-f2,e+tur 077raisa-! ''$ ,hristia+ ,e+tur ''%&! ''%(2 %5 F'JJ5GD Dia+e F9 Ore+t-icher! Fore:ord! 1ar ,rimes Tri#u+a-s: The Record a+d the Pros7ects! '( 0m9 U9 I+t;-9 L9 Re"9 I! at =2=i F'JJ%G9 AFN'&B9 See Ore+t-icher! su7ra +ote J! at =i9 Ore+t-icher descri#es the 7ros7ects of the I+ter+atio+a- ,rimi+a- ,ourt FI,,G as fo--o:s: Tra+sformi+6 the I,, from the co+ce7t e+"isio+ed i+ the Rome statute i+to a "ia#-e! credi#-e a+d effecti"e i+stitutio+ :i-- dema+d the commitme+t! su77ort! a+d22:he+ +ecessar 22criticism of a co+cer+ed a+d e+6a6ed 7u#-ic9 There :i-- #e cou+t-ess o77ortu+ities for the court to fou+derD its success is scarce- assured9 Sti--! :he+ the I,, is created! it :i-e+8o o+e si6+ifica+t ad"a+ta6e that the I,TY AI+ter+atio+a- ,rimi+a- Tri#u+a- of Yu6os-a"iaB a+d I,TR AI+ter+atio+a,rimi+a- Tri#u+a- of R:a+daB -ac@ed: the assura+ce from rece+t e=am7-e that a+ i+ter+atio+a- court ca+ meet e=traordi+ar cha--e+6es! mou+t effecti"e tria-s! a+d at -ast ho+or the huma+it of those :ho e+dured e7ic crimes9 Id9 AFN''B9 See Bassiou+i! su7ra +ote (! at '2$ FEThe 7ur7oses of the I,, i+c-ude: dis7e+si+6 e=em7-ar a+d retri#uti"e 8usticeD 7ro"idi+6 "ictim redressD recordi+6 histor D rei+forci+6 socia- "a-uesD stre+6the+i+6 i+di"idua- rectitudeD educati+6 7rese+t a+d future 6e+eratio+sD a+d more im7orta+t- ! deterri+6 a+d 7re"e+ti+6 future huma+ de7redatio+s9E Fem7hasis addedG Fcitatio+ omittedGG9 The mem#ers of 0m+est I+ter+atio+a- 7u#-ished '4 7ri+ci7-es for the 7erma+e+t court9 Pri+ci7-e +i+e stated: 0+ i+de7e+de+t 7rosecutor shou-d ha"e the 7o:er to i+itiate i+"esti6atio+s o+ his or her o:+ i+itiati"e! #ased o+ i+formatio+ from a+ source! su#8ect o+- to a77ro7riate 8udicia- scruti+ ! a+d 7rese+t search a+d arrest :arra+ts a+d i+dictme+ts to the court for a77ro"a-9 ThAisB is AtheB o+- 999 tru- effecti"e method to e+sure that a-- cases :hich shou-d #e #rou6ht #efore the court are #rou6ht9 0m+est I+ter+atio+a-! The I+ter+atio+a- ,rimi+a- ,ourt: /a@i+6 the Ri6ht ,hoices! 7t9 ? F'JJ%G! a"ai-a#-e at NIO I+formatio+ F"isited Oct9 $$! 'JJJG U htt7://:::9i6c9or6/icc/htm-/+969o99htm-V9 AFN'$B9 See Rome Statute! su7ra +ote $9 0s of Octo#er $&! 'JJJ! four cou+tries had ratified the treat a+d %J cou+tries had i+dicated a+ i+te+tio+ to ratif the treat # si6+i+6 it9 See The ,I,, I+ter+atio+a- ,rimi+a- ,ourt *ome Pa6e
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F"isited No"9 (! 'JJJG Uhtt7://:::9i6c9or6/icc/i+de=9htm-V9 AFN'(B9 See .e++eth Roth! The ,ourt the U9S9 Does+;t 1a+t! N9Y9 Re"9 Boo@s! No"9 'J! 'JJ%! at )5! )5! a"ai-a#-e i+ 'JJ% 1L ''<&5<&)! a+d a"ai-a#-e i+ 0rchi"e F"isited Oct9 $$! 'JJJG Uhtt7:// :::9+ #oo@s9com/+ re"/111archdis7-a 9c6i>'JJ%'''J&)5FV9 AFN')B9 See Rome Statute! su7ra +ote $9 See 6e+era-- Bassiou+i! su7ra +ote (! at $42(( Fdiscussi+6 the or6a+iHatio+ of the Rome co+"e+tio+ a+d the efforts of the de-e6atesG9 AFN'5B9 Rat+er O 0#rams! su7ra +ote 4! at ''J9 AFN'4B9 See /9 ,herif Bassiou+i O Peter /a+i@as! The La: of the I+ter+atio+a- ,rimi+a- Tri#u+a- for the Former Yu6os-a"ia ()5! ()%25& F'JJ4G9 AFN'<B9 See ,urt 09 *ess-er! Note! ,omma+d Res7o+si#i-it for 1ar ,rimes! %$ Ya-e L939 '$<)! '$<42<< F'J<(G9 AFN'%B9 See Rat+er O 0#rams! su7ra +ote 4! at '(5 FEA0Bccou+ta#i-it ma deter future "io-atio+s # either demo+strati+6 to those co+tem7-ati+6 such offe+ses the 7ros7ect of 7u+ishme+t or more 6e+era-- # 7romoti+6 8ustice! i+stitutio+a- reform i+ 6o"er+me+t! a+d the ru-e of -a:9EG9 AFN'JB9 See ' ?ir6i+ia /orris O /ichae- P9 Scharf! 0+ I+sider;s Iuide to the I+ter+atio+a- ,rimi+a- Tri#u+a- for the Former Yu6os-a"ia: 0 Docume+tar *istor a+d 0+a- sis J%2JJ F'JJ5G9 AFN$&B9 0+ e=am7-e of this a77roach is the set of char6es fi-ed a6ai+st the de7ut cam7 comma+der! *aHmi+ De-ic! i+ the ,e-e#ici cam7 case from the I+ter+atio+a- ,rimi+a- Tri#u+a- for the former Yu6os-a"ia FI,TYG9 Prosecutor "9 De-a-ic! No9 IT2J42$'2T FI,TY No"9 '4! 'JJ%G! a"ai-a#-e at I+ the Tria- ,ham#er F"isited Oct9 $$! 'JJJG Uhtt7:// :::9u+9or6/ict /ce-e#ici/tria-c$/8u6eme+t/7art'9htmV Aherei+after ,e-e#iciB9 The court detai-ed )J cou+ts a6ai+st the defe+da+ts! see id9 a++e= B! 7aras9 '42(<! se"era- of :hich char6ed that E:ith res7ect to those cou+ts a#o"e :here *aHim De-ic is char6ed as a direct 7artici7a+t! he is a-so char6ed here as a su7erior!E id9 7ara9 $$9 T:o e=7erts further +ote: The 7ur7ose of the 7ri+ci7-es of i+di"iduacrimi+a- res7o+si#i-it re-ati+6 to Eofficia- 7ositio+!E Ecomma+d res7o+si#i-it E a+d Esu7erior ordersE is to e+sure the crimi+a- res7o+si#i-it of a-- 7erso+s throu6hout the chai+ of comma+d :ho co+tri#uted direct- or i+direct- to the commissio+ of :ar crimes or crimes a6ai+st huma+it 9 This :ou-d i+c-ude the se+ior 6o"er+me+t officia- :ho formu-ated the 7o-icies that 7ro"ided the #asis for crimi+a- acti"it Fsuch as eth+ic c-ea+si+6 or u+restricted :arfareG! the su7erior :ho ordered his su#ordi+ate to commit the atrocities or -oo@ed the other :a @+o:i+6 that such thi+6s :ere ta@i+6 7-ace! as :e-- as the su#ordi+ate :ho actua-- committed the hei+ous act9 ' /orris O Scharf! su7ra +ote 'J! at J(9 AFN$'B9 Rat+er O 0#rams! su7ra +ote 4! at '$%9 AFN$$B9 Id9 AFN$(B9 See 6e+era-- id9 at ''J2$& Fdiscussi+6 a comma+der;s res7o+si#i-it for su#ordi+atesG9 AFN$)B9 See /ar@ 39 Osie-! O#e i+6 Orders: 0trocit ! /i-itar Disci7-i+e! a+d the La: of 1ar! %4 ,a-9 L9 Re"9 J(J! '&)&2)' F'JJ%G9 AFN$5B9 See Rat+er O 0#rams! su7ra +ote 4! at '$%9 AFN$4B9 See id9 at ===iii Fa77raisi+6 6oa-s of i+ter+atio+a- crimi+a- -a:GD Bassiou+i! su7ra +ote (! at $9
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AFN$<B9 See 0m+est I+ter+atio+a-! su7ra +ote ''! 7t9 ?9 AFN$%B9 Id9 AFN$JB9 See! e969! $& The To@ o 1ar ,rimes Tria-: The ,om7-ete Tra+scri7ts of the Proceedi+6s of the I+ter+atio+a/i-itar Tri#u+a- for the Far East )J! <%%2J$ FR9 3oh+ Pritchard O So+ia /a6#a+ua Maide eds9! 'J%'G Aherei+after To@ o Tria- Tra+scri7tBD Io"er+me+t ,ommissio+er "9 Roech-i+6! ') Tria-s of 1ar ,rimi+a-s Before the Nuer+#er6 /i-itar Tri#u+a-s U+der ,o+tro- ,ou+ci- La: No9 '&! a779 B at '&4' F'J5&G Aherei+after Roech-i+6BD i+fra Sectio+ ?9B Fdiscussi+6 the Roech-i+6 case from the 7ost21or-d 1ar II tria-s i+ Ierma+ GD i+fra Sectio+ ?90 Fdiscussi+6 the *irota case from the 7ost21or-d 1ar II tria-s i+ 3a7a+G9 AFN(&B9 See i+fra Part ?I Fdiscussi+6 the i+dictme+t of S-o#oda+ /i-ose"icG9 AFN('B9 See 6e+era-- Rat+er O 0#rams! su7ra +ote 4! at '$%2$J Fdiscussi+6 strict -ia#i-it of su7eriors for a#uses of su#ordi+atesG9 AFN($B9 See ,e-e#ici! su7ra +ote $&! 7ara9 (%<D Osie-! su7ra +ote $)! at '&)&2)'9 AFN((B9 See Rome Statute! su7ra +ote $! art9 5 F-isti+6 those crimes co+sidered Ecrimi+a-EG9 AFN()B9 See Bassiou+i! su7ra +ote (! at '2$ F-isti+6 the 7ur7oses of the I,,G9 AFN(5B9 See L a- S9 Su+6a! I+di"idua- Res7o+si#i-it i+ I+ter+atio+a- La: for Serious *uma+ Ri6hts ?io-atio+s (5 F'JJ$GD id9 at )% FEThe tria-s made c-ear that e"e+ the hi6hest officia- cou-d #e he-d -ia#-e to the most se"ere 7e+a-t for acts amou+ti+6 to serious huma+ ri6hts "io-atio+s9EG9 AFN(4B9 Traditio+a-- ! the doctri+e 6oes # the term Ecomma+d res7o+si#i-it 9E See 1939 Fe+ric@! Some I+ter+atio+aLa: Pro#-ems Re-ated to Prosecutio+s Before the I+ter+atio+a- ,rimi+a- Tri#u+a- for the Former Yu6os-a"ia! 4 Du@e 39 ,om79 O I+t;- L9 '&(! ''& +9$' F'JJ5G9 *o:e"er! Ecomma+d res7o+si#i-it E ma sometimes #e used :ith a restricted mea+i+6 to i+c-ude o+- mi-itar comma+ders9 See Patricia ?iseur Se--ers O .aoru O@uiHumi! I+te+tio+a- Prosecutio+ of Se=ua- 0ssau-ts! < Tra+s+at;- L9 O ,o+tem79 Pro#s9 )5! 4( F'JJ<G9 The I,, Statute a"oids the 7ro#-em of co+fusio+ #et:ee+ the terms Esuperior respo"si,ilityE a+d Ecomma+d respo"si,ilityE # e+tit-i+6 artic-e $% E Respo"si,ility of comma+ders a+d other superiors D Rome Statute! su7ra +ote $9 This 0rtic-e :i-- a"oid co+fusio+ i+ termi+o-o6 :ith se"era- tech+iques: F'G It :i-- +ot use the term E superior respo"si,ilityE e=ce7t :here it a77ears i+ quoted materia-D F$G it :i-- use the term Ecomma+d respo"si,ilityE to refer to the doctri+e 6e+era-- ! :hether the -eader is a mi-itar comma+der or a ci"i-ia+ superiorD F(G it :i-- fo--o: the I,, artic-e $% a77roach of referri+6 to mi-itar -eaders as comma+ders! a+d ci"i-ia+ -eaders as superiors, :ith the e=ce7tio+ of refere+ces to the defe+se of Superior Orders! discussed i+ Sectio+ II9D! i+fraD F)G it :i-- use the term Esu#ordi+ateE to refer to the u+der-i+6s of either a mi-itar comma+der or ci"i-ia+ superiorD a+d F5G it :i-- use the term E-eaderE to refer to either a mi-itar comma+der or ci"i-ia+ superior9 0dditio+a-- ! the mea+i+6 of these terms is further c-arified # remem#eri+6 that this 0rtic-e focuses o+ im7uted crimi+a- respo"si,ility! +ot EdirectE comma+d respo"si,ility! discussed i+ Sectio+ II9B! i+fra9 AFN(<B9 Statute of the I+ter+atio+a- Tri#u+a- for R:a+da! art9 4F(G! a"ai-a#-e at Uhtt7://:::9u+9or6/ictr/statute9htm-V F"isited No"9 (! 'JJJG AAAherei+after I,TR StatuteBD Statute of the I+ter+atio+a- Tri#u+a- for the Prosecutio+ of Perso+s Res7o+si#-e for Serious ?io-atio+s of I+ter+atio+a- *uma+itaria+ La: ,ommitted i+ the Territor of the Former Yu6os-a"ia Si+ce 'JJ'! art9 <F(G! a"ai-a#-e at Uhtt7:// :::9u+9or6/ict /#asic/statut/statute9htmV F"isited No"9 (! 'JJJG Aherei+after I,TY StatuteB9 AFN(%B9 See 1i--iam *9 Par@s! ,omma+d Res7o+si#i-it for 1ar ,rimes! 4$ /i-9 L9 Re"9 '! <42<< F'J<(G9
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AFN(JB9 See Bassiou+i O /a+i@as! su7ra +ote '4! at ()4 FEThe doctri+e of comma+d res7o+si#i-it ori6i+ated i+ +atio+ami-itar -a: a+d 6radua-- #ecame a #asis of i+ter+atio+a- crimi+a- res7o+si#i-it 9EG9 AFN)&B9 Rome Statute! su7ra +ote $! art9 $%F'G! F$G9 AFN)'B9 See *U/0N RII*TS 10T,*! Summar of the .e Pro"isio+s of the I,, Statute F'JJ%G! a"ai-a#-e at Uhtt7://:::9hr:9or6/hr:/cam7ai6+s/icc/icc2statute9htmV F"isited Oct9 $(! 'JJJG FEATBhe statute disti+6uishes #et:ee+ mi-itar a+d other comma+ders9999 For ci"i-ia+ su7eriors! ho:e"er! the sta+dard is hi6her a+d the a77roach a77are+tu+7recede+ted9EG9 AFN)$B9 See Rat+er O 0#rams! su7ra +ote 4! at $J4 FEA*Buma+ ri6hts a#uses ca+ ra+6e from o+e ro6ue 7o-icema+ to a+ e+tire #ureaucrac of 6o"er+me+ta- officia-s su77orted # +umerous 7ri"ate citiHe+s9EG9 AFN)(B9 See i+fra Sectio+s III9B2III9D9 AFN))B9 See Norma+ Dorse+ O 3err Fo:-er! The I+ter+atio+a- ,rimi+a- ,ourt: 0+ Im7orta+t Ste7 To:ard Effecti"e I+ter+atio+a- 3ustice F'JJJG! a"ai-a#-e at U htt7://:::9i6c9 or6/icc/htm-/ac-u'JJJ&<9htm-V F"isited Oct9 $$! 'JJJG9 Dorse+ a+d Fo:-er state that EAtBhe Rome Statue a-so de7arts from the AI,TY StatuteB # ma@i+6 it more difficu-t to esta#-ish the crimi+a- res7o+si#i-it of the ci"i-ia+ su7eriors of those :ho commit :ar crimes9999 ATBhis 7ro"isio+ o#"ious- raises a hi6h #ar to the successfu- 7rosecutio+ of ci"i-ia+ -eaders9E Id9 AFN)5B9 See Bassiou+i O /a+i@as! su7ra +ote '4! at (5'24%9 AFN)4B9 See Rat+er O 0#rams! su7ra +ote 4! at ===i2===iiD Bassiou+i! su7ra +ote (! at '%2'J9 AFN)<B9 See Reso-utio+ o+ Esta#-ishi+6 a+ I+ter+atio+a- Tri#u+a- for the Prosecutio+ of Perso+s Res7o+si#-e for Serious ?io-atio+s of I+ter+atio+a- La: *uma+itaria+ La: ,ommitted i+ the Territor of the Former Yu6os-a"ia! S9,9 Res9 %$<! U9N9 S,OR! ($'<th mt69! U9N9 Doc9 S/RES/%$< F'JJ(G! re7ri+ted i+ ($ I9L9/9 '$&( F'JJ(G9 AFN)%B9 See Reso-utio+ Esta#-ishi+6 the I+ter+atio+a- Tri#u+a- for R:a+da! S9,9 Res9 J55! U9N9 S,OR! )Jth Sess9! ()5(d mt69! U9N9 Doc9 S/RES/J55 F'JJ)G! re7ri+ted i+ (( I9L9/9 '5J% F'JJ)G9 AFN)JB9 See 06reeme+t for the Prosecutio+ a+d Pu+ishme+t of the /a8or 1ar ,rimi+a-s of the Euro7ea+ 0=is! 0u69 %! 'J)5! 5J Stat9 '5))! %$ U9N9T9S9 $<JD S7ecia- Proc-amatio+ o+ the Esta#-ishme+t of a+ I+ter+atio+a- /i-itar Tri#u+afor the Far East! 3a+9 'J! 'J)4! T9I909S9 No9 '5%J! at (! )9 AFN5&B9 See Par@s! su7ra +ote (%! at <<9 AFN5'B9 See 06reeme+t for the Prosecutio+ a+d Pu+ishme+t of the /a8or 1ar ,rimi+a-s of the Euro7ea+ 0=is! 0u69 %! 'J)5! ,harter of the I+ter+atio+a- /i-itar Tri#u+a-! 5J Stat9 '5))! '5)4! %$ U9N9T9S9 $<J! $%) Aherei+after ,harter of the I/T2NBD ,harter of the I+ter+atio+a- /i-itar Tri#u+a- for the Far East! 07r9 $4! 'J)4! T9I909S9 No9 '5%J! at '' Aherei+after ,harter of the I/T2FEB9 AFN5$B9 See ,e-e#ici! su7ra +ote $&9 AFN5(B9 See Press Re-ease: ,e-e#ici ,ase: The 3ud6eme+t of the Tria- ,ham#er! No9 ,,/PIU/(4)2E! No"9 '4! 'JJ%! a"ai-a#-e at Uhtt7:// :::9u+9or6/ict /7ressrea-/7(4)2e9htmV F"isited Oct9 $'! 'JJJG FEThis 3ud6eme+t is the first e-ucidatio+ of the co+ce7t of comma+d res7o+si#i-it # a+ i+ter+atio+a- 8udicia- #od si+ce the cases decided i+ the :a@e of the Seco+d 1or-d 1ar9EGD i+fra Sectio+ I?90 F7ro"idi+6 a s +o7sis of the ,e-e#ici caseG9 AFN5)B9 See Bassiou+i O /a+i@as! su7ra +ote '4! at ()%25&9
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AFN55B9 See! e969! ,e-e#ici! su7ra +ote $&! 7ara9 ()4D Par@s! su7ra +ote (%! at $&D Se--ers O O@uiHumi! su7ra +ote (4! at 4)D *ess-er! su7ra +ote '<! at '$<4D see a-so 0m+est I+ter+atio+a-! su7ra +ote ''! 7t9 I! sec9 ?I9,9) F-isti+6 si= e-eme+tsG9 The ,e-e#ici court;s fu-- formu-atio+ of the e-eme+ts is as fo--o:s: FiG the e=iste+ce of a su7erior2su#ordi+ate re-atio+shi7D FiiG the su7erior @+e: or had reaso+ to @+o: that the crimi+a- act :as a#out to #e or had #ee+ committedD a+d FiiiG the su7erior fai-ed to ta@e the +ecessar a+d reaso+a#-e measures to 7re"e+t the crimi+a- act or 7u+ish the 7er7etrator thereof9 Fi"G ,e-e#ici! su7ra +ote $&! 7ara9 ()49 AFN54B9 See sources cited su7ra +ote 5(9 AFN5<B9 See *ess-er! su7ra +ote '<! at '$<42<<9 This author characteriHes the three e-eme+ts as F'G status! that is! su7erior2su#ordi+ate re-atio+shi7D F$G me+ta- sta+dard a+d me+ta- o#8ect! that is! @+o:-ed6eD a+d F(G dut to i+ter"e+e! that is! i+actio+9 See id9 AFN5%B9 See Peter 19 Lo:! ,rimi+a- La: $(4 Fre"9 'st ed9 'JJ&G9 AFN5JB9 See Rat+er O 0#rams! su7ra +ote 4! at ''J9 AFN4&B9 See Rome Statute! su7ra +ote $! art9 $5F(GFcG9 0rtic-e 5 of the I,, Statute states that the E8urisdictio+ of the ,ourt :i-- #e -imited to the most serious crimes of co+cer+ to the i+ter+atio+a- commu+it 9E Id9 art9 59 0rtic-e 5 the+ -ists the crimes: FaG 6e+ocide! F#G crimes a6ai+st huma+it ! FcG :ar crimes! a+d FdG crimes of a66ressio+9 See id9 0rtic-es 4 throu6h %! :hich defi+e these crimes! do +ot refer to a+ other i+ter+atio+a- -a: i+strume+ts for the defi+itio+s! #ut i+stead 7ro"ide the com7-ete defi+itio+ :ithi+ the I,, Statute9 See id9 arts9 42%9 AFN4'B9 See Rome Statute! su7ra +ote $! art9 $5F(GFfG9 AFN4$B9 Id99 art9 $5F(GFdG9 AFN4(B9 Id99 art9 $5F(GFeG9 AFN4)B9 See Rat+er O 0#rams! su7ra +ote 4! at ''%2'J9 The authors further state: Notio+s of co+s7irac a+d com7-icit recei"ed a c-ear e+dorseme+t i+ the Nurem#er6 ,harter! artic-e 4FaG of :hich crimi+a-iHed #oth 7re7ari+6 a+d co+ducti+6 a66ressi"e :ar a+d a Ecommo+ 7-a+ or co+s7irac E to do so9 The A A ANurem#er6B I+ter+atio+a- /i-itar Tri#u+a- i+ter7reted the co+s7irac char6es strict- ! -imiti+6 the term to acts most c-ose- i+"o-"ed :ith the 7-a++i+6 of the :ar a+d there# acquitti+6 most of the NaHi -eaders char6ed :ith them9 ,o+tro,ou+ci- La: No9 '& Aof the +o+2i+ter+atio+a- Nurem#er6 mi-itar tri#u+a-sB too@ a #roader "ie:! si+6-i+6 out accessories! those :ho too@ a co+se+ti+6 7art! those co++ected :ith 7-a+s for the crimes! a+d mem#ers of or6a+iHatio+s co++ected :ith the crime9 Id9 AFN45B9 See Bassiou+i O /a+i@as! su7ra +ote '4! at ()59 AFN44B9 Id9 AFN4<B9 Id9 AFN4%B9 See ,e-e#ici! su7ra +ote $&! 7ara9 (((D L9,9 Iree+! ,omma+d Res7o+si#i-it i+ I+ter+atio+a- *uma+itaria+ La:! 5 Tra+s+at;- L9 O ,o+tem79 Pro#s9 ('J! ((& F'JJ5GD Timoth 1u O Yo+62Su+6 F3o+atha+G .a+6! ,rimi+a- Lia#i-it for the 0ctio+s of Su#ordi+ates: The Doctri+e of ,omma+d Res7o+si#i-it a+d its 0+a-o6ues i+ U+ited States La:! (% *ar"9
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I+t;- L939 $<$! $%J F'JJ<G9 AFN4JB9 See Bassiou+i O /a+i@as! su7ra +ote '4! at ()5 FE,omma+d res7o+si#i-it i+c-udes t:o differe+t co+ce7ts of crimi+a- res7o+si#i-it AAA!B 999 direct res7o+si#i-it 999 Aa+dB im7uted crimi+a- res7o+si#i-it 9999EGD Rat+er O 0#rams! su7ra +ote 4! at ''J2$&9 AFN<&B9 Rome Statute! su7ra +ote $! art9 $59 AFN<'B9 Id99 art9 $5F(GF#G9 AFN<$B9 ?icarious crimi+a- -ia#i-it is 6e+era-- defi+ed as :he+ the defe+da+t is made -ia#-e for the #ad co+duct of someo+e e-se9 See 1a +e R9 LaFa"e O 0usti+ 19 Scott! 3r9! ,rimi+a- La: $5& F$d ed9 'J%4G9 AFN<(B9 See Fi+a- Re7ort of the ,ommissio+ of E=7erts Esta#-ished Pursua+t to Securit ,ou+ci- Reso-utio+ J(5! 7aras9'<(2<) F'JJ)G! re7ri+ted i+ ' I-o#a- 1ar ,rimes Tri#u+a- ,o--ectio+ $%J F39 O77e+heim O 19 "a+ der 1o-f eds9! 'JJ<G9 AFN<)B9 See Par@s! su7ra +ote (%! at <<9 AFN<5B9 See Bassiou+i O /a+i@as! su7ra +ote '4! at ()<9 The authors e=7-ai+: E0 7erso+ :ho issues a+ order is res7o+si#-e for that order9 This is c-ear- a sta+dard of direct 7erso+a- res7o+si#i-it D a sta+dard :e-- reco6+iHed i+ the :or-d;s ma8or crimi+a- 8ustice s stems a+d i+ i+ter+atio+a- crimi+a- -a:9 This res7o+si#i-it is direct9999E Id9 AFN<4B9 See id9 at ()%9 Be-o:! the author descri#es the comma+der;s duties that ma@e the fai-ure to act cu-7a#-e: AIBm7uted comma+d res7o+si#i-it is #ased o+ the comma+der;s fai-ure to act i+ order to: 'G 7re"e+t a s7ecific u+-a:fuco+ductD $G 7ro"ide for 6e+era- measures -i@e- to 7re"e+t or deter u+-a:fuco+ductD (G i+"esti6ate a--e6atio+s of a--e6ed co+ductD a+d )G 7rosecute! a+d u7o+ co+"ictio+! 7u+ish the author of the u+-a:fuco+duct9 Id9 AFN<<B9 Id9 at ()J9 AFN<%B9 See Pri+ci7-es of I+ter+atio+a- La: Reco6+iHed i+ the ,harter of the Nurem#er6 Tri#u+a- a+d i+ the 3ud6me+t of the Tri#u+a-! i+ Re7ort of the I+ter+atio+a- La: ,ommissio+ ,o"eri+6 Its Seco+d Sessio+! 5 3u+e2$J 3u- 'J5&! 5 U9N9 I0OR Su779 FNo9 '$G! U9N9 Doc9 0/'('4! at ''2') F'J5&G Aherei+after Nurem#er6 Pri+ci7-esB! re7ri+ted i+ The La:s of 0rmed ,o+f-ict J$(! J$) FDietrich Schi+d-er O 3iri Toma+ eds9! (d ed9 'J%%GD cf9 0ffirmatio+ of the Pri+ci7-es of I+ter+atio+a- La: Reco6+iHed # the ,harter of the Nurem#er6 Tri#u+a-! I909 Res9 J5! U9N9 I0OR! 'st Sess9! at ''))! U9N9 Doc9 0/$(4 F'J)4G Fe=7ressi+6 a77ro"a- of the i+ter+atio+a- -a: a77-ied at the Nurem#er6 tria-sG! re7ri+ted i+ The La:s of 0rmed ,o+f-ict! su7ra at J$'D Rat+er O 0#rams! su7ra +ote 4! at ') F+oti+6 that the Nurem#er6 co+ce7t of i+di"iduacrimi+a- res7o+si#i-it recei"ed 6-o#a- e+dorseme+t # the U9N9 Ie+era- 0ssem#- G9 AFN<JB9 See Par@s! su7ra +ote (%! at 'J9 Par@s +otes that Efe: i+sta+ces are recorded 7rior to the e+d of 1or-d 1ar II :here that res7o+si#i-it :as either crimi+a- or i+ter+atio+a- i+ +ature9 The res7o+si#i-it e=isted 7rior to that time! #ut there :as +ot sufficie+t :arra+t or authoriHatio+ to i+terfere i+ :hat :as esse+tia-- a+ area of Estate actio+9E ; Id9 AFN%&B9 See Rat+er O 0#rams! su7ra +ote 4! at '59 Rat+er a+d 0#rams a-so 7oi+t out that EState crimi+a- res7o+si#i-it for certai+ "io-atio+s of i+ter+atio+a- -a: has 7ro"ed to #e e=ce7tio+a-- co+tro"ersia-9999 AIB +ter+atio+a- crimi+a- -a:! to the e=te+t it has de"e-o7ed to co"er "io-atio+s of huma+ ri6hts! has ce+tered o+ i+di"idua- cu-7a#i-it ! o+ the theor that 7erso+a- accou+ta#i-it a+d 7u+ishme+t :i-- ser"e as the #est deterre+t9E Id9 AFN%'B9 See Rome Statute! su7ra +ote $! art9 $5F$G FE0 7erso+ :ho commits a crime :ithi+ the 8urisdictio+ of the ,ourt sha-- #e i+di"idua-- res7o+si#-e a+d -ia#-e for 7u+ishme+t i+ accorda+ce :ith this Statute9EGD id9 art9 $<F'G F EThis Statute
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sha-- a77- equa-- to a-- 7erso+s :ithout a+ disti+ctio+ #ased o+ officia- ca7acit 9 I+ 7articu-ar! officia- ca7acit 999 sha-i+ +o case e=em7t a 7erso+ from crimi+a- res7o+si#i-it u+der this Statute 9999EGD Su+6a! su7ra +ote (5! at (5! )%9 AFN%$B9 The I,, Statute states that EA+Bo 7ro"isio+ i+ this Statute re-ati+6 to i+di"iduacrimi+a- res7o+si#i-it sha-affect the res7o+si#i-it of States u+der i+ter+atio+a- -a:9E Rome Statute! su7ra +ote $! art9 $5F)G9 AFN%(B9 See id9 arts9 $4! (&2((9 Defe+ses i+c-ude: 7erso+s u+der ei6htee+! me+ta- e-eme+t! me+ta- disease or defect! i+to=icatio+! se-f2defe+se! duress! mista@e of fact or -a:! a+d su7erior orders9 See id9 AFN%)B9 See 0+tho+ D;0mato! Su7erior Orders "s9 ,omma+d Res7o+si#i-it ! %& 0m9 39 I+t;- L9 4&)! 4&) F'J%4GD *o:ard S9 Le"ie! Some ,omme+ts o+ Professor D;0mato;s ;Parado=;! %& 0m9 39 I+t;- L9 4&%! 4&%2&J F'J%4G9 See 6e+era-- 3ea++e L9 Ba@@er! Note! The Defe+se of O#edie+ce to Su7erior Orders: The /e+s Rea Requireme+t! '< 0m9 39 ,rim9 L9 55! 54 F'J%JG Far6ui+6 that Ethe e=iste+ce or +o+2e=iste+ce of the defe+se of su7erior orders! a-o+e! is +ot determi+ati"e of me+s reaD rather! a +um#er of other e-eme+ts shou-d #e co+sidered! i+c-udi+6 the +ature of the orders! the +ature of the threats u7o+ diso#edie+ce! a+d the circumsta+ces surrou+di+6 the su#ordi+ate :he+ 6i"e+ the ordersEG9 AFN%5B9 Nurem#er6 Pri+ci7-es! su7ra +ote <%! at J$)9 AFN%4B9 See Rat+er O 0#rams! su7ra +ote 4! at '$'2$$9 The I,, Statute defi+es the su7erior orders defe+se as fo--o:s: '9 The fact that a crime :ithi+ the 8urisdictio+ of the ,ourt has #ee+ committed # a 7erso+ 7ursua+t to a+ order of a Io"er+me+t or of a su7erior! :hether mi-itar or ci"i-ia+! sha-- +ot re-ie"e that 7erso+ of crimi+a- res7o+si#i-it u+-ess: FaG The 7erso+ :as u+der a -e6a- o#-i6atio+ to o#e orders of the Io"er+me+t or the su7erior i+ questio+D F#G The 7erso+ did +ot @+o: that the order :as u+-a:fu-D a+d FcG The order :as +ot ma+ifest- u+-a:fu-9 $9 For the 7ur7oses of this artic-e! orders to commit 6e+ocide or crimes a6ai+st huma+it are ma+ifest- u+-a:fu-9 Rome Statute! su7ra +ote $! art9 ((9 AFN%<B9 Roech-i+6! su7ra +ote $J! at ''&49 AFN%%B9 ,e-e#ici! su7ra +ote $&! 7ara9 (()9 AFN%JB9 See Bassiou+i O /a+i@as! su7ra +ote '4! at ()5 FELia#i-it 999 is esse+tia-- #ased o+ the comma+der;s fai-ure to act 9999EG9 AFNJ&B9 See *ess-er! su7ra +ote '<! at '$<42<<9 AFNJ'B9 ,i"i-ia+s :ere he-d crimi+a-- -ia#-e i+ the 7ost21or-d 1ar II courts u+der comma+d res7o+si#i-it theories of -ia#i-it 9 See discussio+ of *irota! i+fra Sectio+ ?90D discussio+ of Roech-i+6! i+fra Sectio+ ?9B9 B im7-icatio+! Bassiou+i a+d /a+i@as questio+ this resu-t #ecause the ar6ue that differe+t sources of -a:! a+d thus differe+t duties! a77- to mi-itar a+d +o+2mi-itar 7erso++e- Fassumi+6 that the ci"i-ia+ does +ot ha"e a+ a6e+c re-atio+shi7 to the mi-itar G9 See Bassiou+i O /a+i@as! su7ra +ote '4! at ()42 )%9 U+der the I,, a77roach! this co+cer+ is -esse+ed #ecause the I,, Statute detai-s the crimes for :hich the 7erma+e+t court :ou-d ha"e 8urisdictio+9 See Rome Statute! su7ra +ote $! art9 59 AFNJ$B9 See Bassiou+i O /a+i@as! su7ra +ote '4! at ()525'! (4%2<&D Fe+ric@! su7ra +ote (4! at '&(! ''52'%9 AFNJ(B9 See discussio+ of *irota! i+fra Sectio+ ?90D discussio+ of Roech-i+6! i+fra Sectio+ ?9B9 AFNJ)B9 The I,, drafters ma ha"e a"oided the am#i6uit of 7rior -a: # +ot choosi+6 #et:ee+ the t:o commo+- 2used terms to desi6+ate the -eader9 This is i--ustrated # the I,, comma+d respo"si,ility draft 7ro"isio+! 6i"e+ as fo--o:s9 1hi-e the draft statute te=t is simi-ar to the te=t of the I,TY a+d I,TR statutes! it co+tai+s #rac@eted te=t that i+dicated
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some disa6reeme+t o"er use of the terms Ecomma+derE a+d Esuperior9E Respo"si,ility of Acomma+dersB AsuperiorsB for acts of Aforces u+der their comma+dB Asu#ordi+atesB AI+ additio+ to other forms of respo"si,ility for crimes u+der this Statute! a Acomma+derB AsuperiorB is crimi+a-respo"si,leB A0 Acomma+derB AsuperiorB is +ot re-ie"ed of respo"si,ilityB for crimes u+der this Statute committed # AforcesB Asu#ordi+atesB u+der his or her comma+d Aor authorit B a+d effecti"e co+tro- as a resu-t of the Acomma+der;sB Asuperior#sB fai-ure to e=ercise 7ro7er- this co+tro- :here: FaG the Acomma+derB AsuperiorB either @+e:! or Ao:i+6 to the :ides7read commissio+ of the offe+cesB Ao:i+6 to the circumsta+ces at the timeB shou-d ha"e @+o:+! that the AforcesB Asu#ordi+atesB :ere committi+6 or i+te+di+6 to commit such crimesD a+d F#G the Acomma+derB AsuperiorB fai-ed to ta@e a-- +ecessar a+d reaso+a#-e measures :ithi+ his or her 7o:er to 7re"e+t or re7ress their commissio+ Aor 7u+ish the 7er7etrators thereofB9 Re7ort of the Pre7arator ,ommittee o+ the Esta#-ishme+t of a+ I+ter+atio+a- ,rimi+a- ,ourt! U9N9 Di7-omatic ,o+fere+ce of P-e+i7ote+tiaries o+ the Esta#-ishme+t of a+ I+ter+atio+a- ,rimi+a- ,ourt! art9 $5! U9N9 Doc9 0/ ,ONF9'%(/$/0dd9' F'JJ%G! a"ai-a#-e at Docume+ts: Draft Statute for the I+ter+atio+a- ,rimi+a- ,ourt F"isited No"9 (! 'JJJG Uhtt7://:::9u+9or6/icc/V9 O+e foot+ote of the draft statute descri#es the 7ur7ose of the a-ter+ati"e! #rac@eted te=t as Ehi6h-i6htAi+6B the questio+ :hether comma+d res7o+si#i-it is a form of crimi+a- res7o+si#i-it i+ additio+ to others or :hether it is a 7ri+ci7-e that comma+ders are +ot immu+e for the acts of their su#ordi+ates9E Id99 art9 $5 +9'(9 0+other foot+ote to draft artic-e $5 states that EAmBost de-e6atio+s :ere i+ fa"our of e=te+di+6 the 7ri+ci7-e of comma+d res7o+si#i-it to a+ su7erior9E Id99 art9 $5 +9'&9 *o:e"er! this #rac@eti+6 does +ot su66est that the de-e6ates :e+t i+to the co+fere+ce co+sideri+6 a+ o7tio+ for a +e: ci"i-ia+ sta+dard9 Other artic-es of the draft statute s7ecifica-- -ist o7tio+a- 7ro"isio+s e+tit-ed Eo7tio+ '!E Eo7tio+ $!E etc9 Such s7ecific desi6+atio+ of a-ter+ati"es sta+ds i+ co+trast to the mere #rac@eted te=t i+ draft artic-e $59 *o:e"er! i+teresti+6- ! the +e6otiators cou-d ha"e s7-it draft artic-e $5 a-o+6 the -i+es of the #rac@eted te=t to create fi+a- artic-e $%9 O+e c-ue as to the 7ossi#-e source of the ci"i-ia+ comma+d res7o+si#i-it sta+dard is 7ro"ided # the comme+ts of Da"id Scheffer #efore the U9S9 Se+ate ,ommittee o+ Forei6+ Re-atio+s9 Discussi+6 the efforts of U+ited States +e6otiators! /r9 Scheffer stated that Eamo+6 the o#8ecti"es :e achie"ed i+ the statute of the court Ai+c-udesB AaBcce7ta#-e 7ro"isio+s #ased o+ comma+d res7o+si#i-it a+d su7erior orders9E *eari+6s o+ the Esta#-ishme+t of a Perma+e+t I+ter+atio+a- ,rimi+a,ourt Before the Se+ate ,omm9 o+ Forei6+ Re-atio+s F3u- $(! 'JJ%G Fstateme+t of Da"id 39 Scheffer! 0m#assador2at2 Lar6e for 1ar ,rimes Issues a+d *ead of the U9S9 De-e6atio+ to the U9N9 Di7-omatic ,o+fere+ce o+ the Esta#-ishme+t of a Perma+e+t I+ter+atio+a- ,rimi+a- ,ourtG! a"ai-a#-e at Uhtt7://:::9i6c9or6/icc/htm-/6o"[t9htm-V F"isited Se7t9 '! 'JJJGD see a-so *a--! su7ra +ote (! at '$J2(& FEThe #asic :ordi+6 a+d structure of the artic-e co+cer+i+6 comma+d or su7erior res7o+si#i-it :as :or@ed out i+ a coo7erati"e effort -ed # Fra+ce a+d the U+ited States at the first sessio+ 999 The o7i+io+s i+ the te=t sti-- ref-ect differe+ces #et:ee+ -e6a- s stems 9999EG9 AFNJ5B9 See Bassiou+i O /a+i@as! su7ra +ote '4! at ()<2)%9 AFNJ4B9 See Prosecutor "9 0@a esu! No9 I,TR2J42)2T FI,TR Se7t9 $! 'JJ%G N 49$! a"ai-a#-e at The Prosecutor ?ersus 3ea+2Pau- 0@a esu Uhtt7:// :::9u+9or6/ictr/e+6-ish/8ud6eme+ts/a@a esu9htm-V F"isited No"9 (! 'JJJG AAAherei+after 0@a esuB9 AFNJ<B9 See ,e-e#ici! su7ra +ote $&! 7ara9 (4(D Bassiou+i O /a+i@as! su7ra +ote '4! at ()4! (4%2<& FE0 +o+2mi-itar comma+der is res7o+si#-e for omissio+s :hich -ead to the commissio+ of crimes9EGD Fe+ric@! su7ra +ote (4! at ''<2'%9 AFNJ%B9 See Fe+ric@! su7ra +ote (4! at ''$9 0dditio+a-- ! Fe+ric@ +otes: Neither the Nurem#er6 ,harter +or the 3ud6me+t of the I+ter+atio+a- /i-itar Tri#u+a- for the Tria- of Ierma+ /a8or 1ar ,rimi+a-s addressed the res7o+si#i-it of mi-itar comma+ders or other -eaders for a fai-ure to act! 7ro#a#- #ecause the de6ree of 7artici7atio+ # -eaders i+ the offe+ses for :hich the :ere co+"icted made co+sideratio+ of this issue u++ecessar 9 Id9 AFNJJB9 See Bassiou+i O /a+i@as! su7ra +ote '4! at (5) FEThe issues of comma+d res7o+si#i-it :ere 7-e+tifu- i+ the 7ost21or-d 1ar II 7rosecutio+s #efore the I/T! I/TFE! Su#seque+t Proceedi+6s! a+d the other 7rosecutio+s9EG9
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AFN'&&B9 See Richard *9 /i+ear! ?ictor;s 3ustice: The To@ o 1ar ,rimes Tria- (4 F'J<'GD B9?909 RL-i+6! The To@ o Tria- a+d Be o+d $2( F0+to+io ,assese ed9! 'JJ5GD see a-so Phi--i7 R9 Picci6a--o! The 3a7a+ese o+ Tria-: 0--ied 1ar ,rimes O7eratio+s i+ the East 'J)525'! at ''2'( F'J<JG Fdiscussi+6 the simi-arities #et:ee+ the Nurem#er6 a+d To@ o chartersG9 AFN'&'B9 See 1ar ,rimes! 1ar ,rimi+a-s! a+d 1ar ,rimes Tria-s: 0+ 0++otated Bi#-io6ra7h a+d Source Boo@ J FNorma+ E9 Tutoro: ed9! 'J%4G Aherei+after 1ar ,rimesB9 0dditio+a-- ! Tutoro: +otes: The I/T ,harter 6a"e the si6+ator +atio+s the 7o:er to tr a+d 7u+ish the ma8or :ar crimi+a-s for crimes committed either as i+di"idua-s or as mem#ers of crimi+a- or6a+iHatio+s! as defi+ed i+ the ,harter9 The circu-arit of ha"i+6 "ictors create a charter that 6a"e them 8urisdictio+ o"er areas of -a: co+tai+ed i+ that se-fsame charter :as +ot -ost o+ critics of :ar crimes tri#u+a-s9 Id9 AFN'&$B9 Id9 at '(D see a-so La: of 0rmed ,o+f-ict! su7ra +ote <%! at J''9 AFN'&(B9 ,harter of the I/T2N! su7ra +ote 5'! 5J Stat9 '5))! '5)4! '5)<! %$ U9N9T9S9 $<J! $%)! $%%D ,harter of the I/T2FE! 07r9 $4! 'J)4! T9I909S9 No9 '5%J! at ''9 AFN'&)B9 Par@s! su7ra +ote (%! at '<9 AFN'&5B9 See id9 at (%! 5%9 AFN'&4B9 U+ited States "9 ?o+ Lee# F*i6h ,omma+d ,aseG! '' Tria-s of 1ar ,rimi+a-s Before the Nurem#er6 /i-itar Tri#u+a-s u+der ,o+tro- ,ou+ci- La: No9 '&! at )4$ F'J5'G Aherei+after *i6h,omma+d,aseB9 AFN'&<B9 See Lo:! su7ra +ote 5%! at $5$ FEStrict -ia#i-it dis7e+ses :ith the me+s rea9 It is +orma-- im7osed o+ o+e :ho has committed a crimi+a- act! #ut :ho -ac@s a+ mora- fau-t as to o+e or more com7o+e+ts of the act9EG9 The f-i7 side of strict -ia#i-it is "icarious -ia#i-it ! :hich Edis7e+ses :ith the actus reus9 It is im7osed o+ a defe+da+t :ho has e+6a6ed i+ +o crimi+a- act! #ased o+ a crime committed # a 7erso+ :ho sta+ds i+ a s7ecified re-atio+shi7 to the defe+da+t9E Id9D see a-so LaFa"e O Scott! su7ra +ote <$! at $5& Fdiscussi+6 the co+ce7t of strict -ia#i-it i+ 6e+era- crimi+a- -a:G9 AFN'&%B9 See *i6h ,omma+d ,ase! su7ra +ote '&4! at 5)$2)JD see a-so Richard L9 Lae-! The Yamashita Precede+t: 1ar ,rimes a+d ,omma+d Res7o+si#i-it '$52$< F'J%$G Fdiscussi+6 the Yamashita case a+d ar6ui+6 that the Yamashita 7recede+t :as eroded # su#seque+t de"e-o7me+tsGD Par@s! su7ra +ote (%! at )(9 Par@s quotes the heart of the *i6h ,omma+d case;s descri7tio+ of comma+d res7o+si#i-it : /i-itar su#ordi+atio+ is a com7rehe+si"e #ut +ot co+c-usi"e factor i+ fi=i+6 crimi+a- res7o+si#i-it 9 The authorit ! #oth admi+istrati"e a+d mi-itar ! of a comma+der a+d his crimi+a- res7o+si#i-it are re-ated #ut # +o mea+s coe=te+si"e9999 ,rimi+a-it does +ot attach to e"er i+di"idua- i+ this chai+ of comma+d from that fact a-o+e9 There must #e a 7erso+adere-ictio+9 That ca+ occur o+- :here the act is direct- tracea#-e to him or :here his fai-ure to 7ro7er- su7er"ise his su#ordi+ates co+stitutes crimi+a- +e6-i6e+ce o+ his 7art9 I+ the -atter case! it must #e a 7erso+a- +e6-ect amou+ti+6 to a :a+to+! immora- disre6ard of the actio+ of his su#ordi+ates amou+ti+6 to acquiesce+ce9 *i6h ,omma+d ,ase! su7ra +ote '&4! at 5)(2))! quoted i+ Par@s! su7ra +ote (%! at )( Fem7hasis addedG9 AFN'&JB9 I+troductio+ to the *i6h ,omma+d ,ase! '& Tria-s of 1ar ,rimi+a-s Before the NRr+#er6 /i-itar Tri#u+a-s U+der ,o+tro- ,ou+ci- La: No9 '&! at ( F'J)JG9 AFN''&B9 See id9 AFN'''B9 ($< U9S9 ' F'J)4G9
Pa6e ((
AFN''$B9 See id9 at '&! '(2'49 0 seco+d im7orta+t Nurem#er6 mi-itar court comma+d res7o+si#i-it case :as the *osta6e case9 See id9 at 5% FEThe accused! a-- hi6h2ra+@i+6 officers of the mi-itar ! :ere char6ed :ith #ei+6 7ri+ci7a-s a+d accessories to the murder a+d de7ortatio+ of thousa+ds of AAAci"i-ia+sB 999 # troo7s u+der their comma+d 9999EG9 AFN''(B9 See Lae-! su7ra +ote '&%! at '$'D Fe+ric@! su7ra +ote (4! at '')D Bruce D9 La+drum! The Yamashita 1ar ,rimes Tria-: ,omma+d Res7o+si#i-it The+ a+d No:! ')J /i-9 L9 Re"9 $J(! $J(! $J<2J% F'JJ5G9 La+drum +otes: O7i+io+s "ar :ide- o+ Ie+era- Yamashita;s 7erso+a- res7o+si#i-it for the :ar crimes o+ LuHo+9 Some :riters ha"e ca--ed him a "ictim! a+ Eho+oura#-e 3a7a+ese 6e+era-E tried a+d e=ecuted o+ Etrum7ed2u7 char6es!E the su#8ect of a E-e6a-iHed - +chi+69E Perha7s Su7reme ,ourt 3ustice /ur7h ;s disse+ti+6 o7i+io+ i+ the case #est summariHes the ar6ume+t that Yamashita :as a sca7e6oat9 I+ 3ustice /ur7h ;s "ie:! the "ictors i+ the #att-e had do+e e"er thi+6 7ossi#-e to disru7t Yamashita;s comma+d! co+tro-! a+d commu+icatio+s! a+d +o: the :ere char6i+6 him :ith ha"i+6 committed a :ar crime for +ot ha"i+6 effecti"e- co+tro--ed his troo7s9 O+ the other ha+d! i+ a :e--2researched a+d 7ersuasi"e- :ritte+ artic-e! 1i--iam *9 Par@s 7oi+ts out e"ide+ce i+ the record that Ie+era- Yamashita 7erso+a-- ordered or authoriHed at -east $&&& summar e=ecutio+s9 Other e"ide+ce! a-thou6h 7erha7s more questio+a#-e i+ re-ia#i-it ! i+dicated that Yamashita had ordered a+ e=termi+atio+ cam7ai6+ a6ai+st a-- Fi-i7i+os9 This seems u+-i@e- co+sideri+6 that most of the atrocities occurred i+ sectors 7h sica-- dista+t from Yamashita9 0s Richard Lae- o#ser"es i+ his #oo@! The Yamashita Precede+t: 1ar ,rimes a+d ,omma+d Res7o+si#i-it ! if Yamashita had ordered the atrocities! there 7ro#a#- :ou-d ha"e #ee+ more offe+ses i+ his sector9 Of course! the /a+i-a sector :as the most de+se- 7o7u-ated area! so i+e"ita#- more atrocities occurred there9 I+ a+ case! Par@s ta@es the "ie: that Yamashita :as +ot he-d to a sta+dard of comma+der;s strict -ia#i-it ! as ma+ ha"e c-aimed! #ut had 7artici7ated 7erso+a-- i+ the :ar crimes9 Lae-! o+ the other ha+d! #e-ie"es that Yamashita :as he-d to Estrict accou+ta#i-it !E #ut a6rees that the case has #ee+ misi+ter7reted9 That the Su7reme ,ourt u7he-d the "erdict of the mi-itar commissio+ has #ee+ misi+ter7reted # ma+ to mea+ that the ,ourt a77ro"ed the strict sta+dard that the commissio+ a77-ied to Yamashita9 To the co+trar ! the Su7reme ,ourt mere- he-d that a comma+der has a dut to 7rotect 7riso+ers a+d ci"i-ia+s! #ut did +ot ho-d that Yamashita had "io-ated the dut u+der the facts of that case9 Id9 at $J<2J% Fcitatio+s omittedG9 AFN'')B9 See Yamashita! ($< U9S9 at ')! ((2()9 AFN''5B9 See id9 at $)2$49 AFN''4B9 See ,hristo7her N9 ,ro:e! Note! ,omma+d Res7o+si#i-it i+ the Former Yu6os-a"ia: The ,ha+ces for Successfu- Prosecutio+! $J U9 Rich9 L9 Re"9 'J'! $&) F'JJ)G9 The U9S9 Su7reme ,ourt! i+ a+ o7i+io+ de-i"ered # 3ustice Sto+e! stated! i+ter a-ia! that the E6ist of the char6eE -e"e-ed a6ai+st Yamashita :as for Eu+-a:fu- #reach of dut 9E Thus! the ,ourt :as co+cer+ed :ith :hether a+ arm comma+der is dut #ou+d to Eta@e such a77ro7riate measures as are :ithi+ his 7o:er to co+tro- the troo7s u+der his comma+dE a+d :hether "io-atio+s of the -a: of :ar that resu-t from the comma+der fai-i+6 this dut attach to him 7erso+a- res7o+si#i-it 9 The ,ourt :as im7ressed :ith the -a: of :ar;s 7ur7ose Eto 7rotect ci"i-ia+ 7o7u-atio+s a+d 7riso+ers of :ar from #ruta-it 9E This 7ur7ose is defeated :he+ a+ i+"adi+6 comma+der is a--o:ed to +e6-ect :ith im7u+it the 7rotectio+ of ci"i-ia+s a+d 7riso+ers of :ar a+d! accordi+6- ! Ethe -a: of :ar 7resu77oses that its "io-atio+ is to #e a"oided throu6h the co+troof the o7eratio+s of :ar # comma+ders :ho are to some e=te+t res7o+si#-e for their su#ordi+ates9E Id9 Fcitatio+s omittedG9 AFN''<B9 See! e969! La+drum! su7ra +ote ''(! at $J49 AFN''%B9 See id9 at $J%9 La+drum a-so +otes that: Yamashita mar@ed the hi6h 7oi+t for a comma+der;s crimi+a- res7o+si#i-it for su#ordi+ates; actio+s9 I+ 'J)%! t:o cases tried #efore the Nurem#er6 /i-itar Tri#u+a-s ado7ted more -imited -ia#i-it sta+dards for comma+ders9 I+ The *osta6e ,ase! the comma+d res7o+si#i-it co+ce7t :as 7rimari- refi+ed from a Emust ha"e @+o:+E sta+dard to more of a Eshou-d ha"e @+o:+E sta+dard9 Id9 Fcitatio+s omittedG9 Par@s s +thesiHes the three cases i+ the fo--o:i+6 7assa6e: 0s i+ Yamashita! there :as se-dom a+ questio+ that offe+ses occurred Ai+ the *i6h ,omma+d a+d *osta6e casesBD the questio+ -eft for reso-utio+ co+cer+ed the sta+dard of res7o+si#i-it a+d! 6i"e+ the determi+atio+ of that sta+dard! the i+di"idua- res7o+si#i-it of each accused9 Yamashita had co+firmed the e=iste+ce of dut a+d res7o+si#i-it D the *i6h
Pa6e ()
,omma+d a+d *osta6e tri#u+a-s sou6ht to achie"e some defi+itio+a- "a-ue for each9 Yamashita addressed the dut a+d res7o+si#i-it of the comma+der :ith a #road #rushD the *i6h ,omma+d a+d *osta6e cases 7ro"ided more of the detai+ecessar to com7-ete the 7icture9 Si6+ifica+t- ! #oth mi+imum a+d ma=imum -i+es :ere dra:+! the -atter i+ e=7ress re8ectio+ of a+ 7ur7orted Yamashita2strict -ia#i-it theor 9 That re8ectio+ :as +ot mere- of the strict -ia#i-it theor 7er se #ut of the 7ro7ositio+ that Yamashita re7rese+ts such a theor 9 Par@s! su7ra +ote (%! at 4(24)9 AFN''JB9 /i-itar tri#u+a-s! u+-i@e i+ter+atio+a- mi-itar tri#u+a-s! deri"e their authorit from a si+6-e cou+tr 9 See Par@s! su7ra +ote (%! at '<2$&9 AFN'$&B9 See id9 at 4)2<(9 AFN'$'B9 See ' To@ o Tria- Tra+scri7t! su7ra +ote $J! at <&2<'9 AFN'$$B9 /i+ear! su7ra +ote '&&! at 4< Fciti+6 ,ou+t 55GD see a-so Par@s! su7ra +ote (%! at 45 Fdiscussi+6 ,ou+t 55G9 Par@s further states: T:o 7oi+ts raised 7re"ious- i+ the Yamashita tria- :ere a6ai+ raised # the mi-itar -eaders i+ the To@ o tria-9 The first :as a+ o#8ectio+ to the theor of "icarious res7o+si#i-it for acts committed # su#ordi+ates 9999 1here a comma+der had the res7o+si#i-it to act! :hi-e he cou-d de-e6ate the authorit ! he cou-d +ot de-e6ate the res7o+si#i-it D i+ the :ords of the tri#u+a-! E*e does +ot dischar6e his dut # mere- i+stituti+6 a+ a77ro7riate s stem a+d thereafter +e6-ecti+6 to -ear+ of its a77-icatio+9E The seco+d defe+se :e+t to the su#8ecti"e sta+dards i+ i+di"idua- cases9 Li@e Ie+eraYamashita! the defe+da+ts ar6ued that their fai-ure of com7-ia+ce :as #ased u7o+ im7ossi#i-it of 7erforma+ceD that the a--ied offe+si"e had forced co+ditio+s to deteriorate +ot o+- i+ 7riso+er of :ar cam7s #ut o"era--! a+d that it :as im7ossi#-e for mi-itar comma+ders i+ the fie-d to mai+tai+ commu+icatio+ a+d co+troof their troo7s #ecause of the deteriorati+6 co+ditio+s9 Id9 at 4424<9 AFN'$(B9 See Di7-omatic ,o+fere+ce o+ Reaffirmatio+ a+d De"e-o7me+t of I+ter+atio+a- *uma+itaria+ La: 077-ica#-e i+ 0rmed ,o+f-ict: Protoco-s I a+d II to the Ie+e"a ,o+"e+tio+s! U9N9 Doc9 0/($/')) F'J<<G! re7ri+ted i+ '4 I9L9/9 '(J' F'J<<G Aherei+after Protoco-s I a+d IIBD see a-so Lae-! su7ra +ote '&%! at '((2(5 Fdiscussi+6 Protoco- I a+d the co+"e+tio+ at :hich it :as 7assedGD 0r eh Neier! 1ar ,rimes: Bruta-it ! Ie+ocide! Terror! a+d the Stru66-e for 3ustice $('2($ F'JJ%G Fcomme+ti+6 o+ the Protoco-G9 AFN'$)B9 See Lae-! su7ra +ote '&%! at '()2(59 The first re8ected formu-atio+ :as: Eif Athe comma+derB @+e: or shou-d ha"e @+o:+ that Athe su#ordi+ateB :as committi+6 or :ou-d commit such a #reach a+d if Athe comma+derB did +ot ta@e measures :ithi+ their 7o:er to 7re"e+t or re7ress the #reach 9999E Id9 at '(59 The seco+d re8ected formu-atio+ :as Eif Athe comma+derB @+e: or shou-d reaso+a#- ha"e @+o:+ i+ the circumsta+ces at the time that Athe su#ordi+ateB :as committi+6 or :ou-d commit such a #reach 9999E Id9 Fem7hasis addedG9 AFN'$5B9 Protoco-s I a+d II! su7ra +ote '$(! art9 %4F$G at ')$%2$J Fem7hasis addedGD see a-so Lae-! su7ra +ote '&%! at '() Fquoti+6 the Protoco-sGD ,ro:e! su7ra +ote ''4! at $$5 FsameGD Iree+! su7ra +ote 4%! at ()' FsameG9 AFN'$4B9 See ,e-e#ici! su7ra +ote $&! 7aras9 (J&2J(9 *o:e"er! o+e comme+tator #e-ie"es that the I,TY statute mo"es the sta+dard c-oser to Yamashita tha+ to the Protoco-: Fi+a-- ! 0rtic-e <F(G of the Statute of the I+ter+atio+a- Tri#u+a- for the Former Yu6os-a"ia disre6ards the -imitatio+s 7-aced o+ the res7o+si#i-it of comma+ders for acts of their su#ordi+ates co+tai+ed i+ 0rtic-e %4F$G of the 'J<< 0dditio+a- Protoco- I FEif the @+e:! or had i+formatio+ :hich shou-d ha"e e+a#-ed them to co+c-ude i+ the circumsta+ces at the timeEG a+d ado7ts a test more c-ose- resem#-i+6 the much2ma-i6+ed ru-e of the Yamashita ,ase: Eif he @+e: or had reaso+ to @+o:9E Le"ie! su7ra +ote (! at '( Fcitatio+s omittedG9 AFN'$<B9 See I,TR Statute! su7ra +ote (<D I,TY Statute! su7ra +ote (<9
Pa6e (5
AFN'$%B9 See Press Re-ease: ,e-e#ici ,ase: The 3ud6eme+t of the Tria- ,ham#er! No9 ,,/PIU/(4)2E! No"9 '4! 'JJ%! a"ai-a#-e at Uhtt7:// :::9u+9or6/ict /7ressrea-/7(4)2e9htmV F"isited No"9 (! 'JJJG9 The 7ress re-ease states: This 3ud6eme+t is the first e-ucidatio+ of the co+ce7t of comma+d res7o+si#i-it # a+ i+ter+atio+a- 8udicia- #od si+ce the cases decided i+ the :a@e of the Seco+d 1or-d 1ar9 It em7hasiHes that the doctri+e of comma+d res7o+si#i-it e+com7asses E+ot o+- mi-itar comma+ders! #ut a-so ci"i-ia+s ho-di+6 7ositio+s of authorit E a+d E+ot o+- 7erso+s i+ de 8ure 7ositio+s #ut a-so those i+ such 7ositio+s de facto9 Id9 Fem7hasis omittedG9 AFN'$JB9 The te=t of the I,, has +ot et #ee+ i+ter7reted # a court! a-thou6h the I,TY has +oticed the I,, te=t a+d comme+ted o+ artic-e $% of the I,, Statute9 See ,e-e#ici! su7ra +ote $&! 7aras9 ()$! (J(9 I+ co+8u+ctio+ :ith its dec-aratio+ that it Ema@es +o fi+di+6 as to the 7rese+t co+te+t of customar -a:E :ith res7ect to comma+d res7o+si#i-it ! the court a-so referred to the rece+t- e+acted I,, treat a+d its comma+d res7o+si#i-it 7ro"isio+s i+ artic-e $%9 Id9 7ara9 (J(9 Thus! the I,, Statute ma a-so i+f-ue+ce customar i+ter+atio+a- -a: to the e=te+t that the I,, mi-itar sta+dard is differe+t9 AFN'(&B9 See! e969! Fe+ric@! su7ra +ote (4! at ''52'%9 AFN'('B9 See Bassiou+i O /a+i@as! su7ra +ote '4! at ()4! (4%2<&D Fe+ric@! su7ra +ote (4! at ''% FEAPBo-itica- a+d #ureaucratic -eaders ma #e he-d res7o+si#-e for the acts of su#ordi+ates :he+ the -eaders ha"e a dut esta#-ished either direct- # i+ter+atio+a- -a: or i+direct- # domestic -a: or 7ractice to e+sure that their su#ordi+ates com7- :ith the -a: 9999EG9 AFN'($B9 See 0@a esu! su7ra +ote J4! NN 49$! <9'9 AFN'((B9 Fe+ric@! su7ra +ote (4! at ''<2'%9 AFN'()B9 See Bassiou+i O /a+i@as! su7ra +ote '4! at ()(! (4%9 AFN'(5B9 ,e-e#ici :as the -ocatio+ of a 7riso+ cam7 that housed Bos+ia+ Ser#sD its comma+der! its de7ut comma+der! a+d a 6uard :ere co+"icted of "arious huma+ ri6hts a#uses of the 7riso+ers9 See Tria- I+formatio+ Sheet: De-a-ic O Others ,ase FIT2J42$'20G F"isited No"9 (! 'JJJG Uhtt7:// :::9u+9or6/ict /6-a+ce/ce-e#ici9htmVD i+fra Sectio+ I?90 F7ro"idi+6 a s +o7sis of the ,e-e#ici caseG9 AFN'(4B9 See ,e-e#ici! su7ra +ote $&! 7ara9 <<59 AFN'(<B9 See id9 7aras9 (5524(9 AFN'(%B9 See id9 7aras9 (((2)(9 0+other comme+tator foreshado:s the effect the I,TY a+d I,TR mi6ht ha"e o+ the comma+d res7o+si#i-it doctri+e :hi-e comme+ti+6 that the doctri+e i+serts a due di-i6e+ce sta+dard i+ 0rtic-e %4F$G of 0dditio+a- Protoco- I to the Ie+e"a ,o+"e+tio+s FEif the did +ot ta@e a-feasi#-e measures :ithi+ their 7o:er to 7re"e+t or re7ress the #reachEG! a+d! i+ some:hat differe+t -a+6ua6e! Ai+serts a due di-i6e+ce sta+dardB i+ the Statutes of the I+ter+atio+a- ,rimi+a- Tri#u+a-s for the former Yu6os-a"ia a+d R:a+da9 The future case -a: of these t:o Tri#u+a-s ma further c-arif the Acomma+d res7o+si#i-it doctri+eB a+d its 7-ace i+ customar -a:9 Theodor /ero+! ,rimes a+d 0ccou+ta#i-it i+ Sha@es7eare! J$ 0m9 39 I+t;- L9 '! ') F'JJ%G9 AFN'(JB9 ,e-e#ici! su7ra +ote $&! 7ara9 ()(9 AFN')&B9 See Richard Norto+2Ta -or! 1ar ,rimes Tri#u+a- 3ai-s Three for Torture of Ser#s: 0 1ar+i+6 to ,i"i- a+d /i-itar ,omma+ders! Iuardia+ FLo+do+G! No"9 '<! 'JJ%! at ')! a"ai-a#-e i+ 'JJ% 1L '%4<<<'<9 This author a-so +otes
Pa6e (4
that :ith re6ard to comma+d res7o+si#i-it ! Ethe statute of the 7erma+e+t i+ter+atio+a- crimi+a- court! a6reed i+ Rome i+ 3u- ! is :ea@er9E Id9 AFN')'B9 See O-i"ia S:aa@2Io-dma+! I+ter+atio+a- Decisio+! J( 0m9 39 I+t;- L9 5')! 5'%2'J F'JJJG Fre"ie:i+6 the ,e-e#icicaseG FEThe A ,e-e#iciB 8ud6me+t! i+ e+u+ciati+6 the 7arameters of the Acomma+d res7o+si#i-it B 7ri+ci7-e! i+c-udi+6 the esse+tia- e-eme+ts! :i-- #e of 6reat "a-ue to other courts! #oth i+ter+atio+a- a+d mu+ici7a-! char6ed :ith addressi+6 this issue9EG9 See 6e+era-- Richard /a O /arie@e 1ierda! Tre+ds i+ I+ter+atio+a- ,rimi+a- E"ide+ce: Nurem#er6! To@ o! the *a6ue! a+d 0rusha! (< ,o-um9 39 Tra+s+at;- L9 <$5 F'JJJG Fdescri#i+6 the ,e-e#ici court;s treatme+t a+d ha+d-i+6 of e"ide+ce as 7art of a -ar6er discussio+ of e"ide+ce tre+ds i+ i+ter+atio+a- crimi+a- decisio+sG9 AFN')$B9 See 0@a esu! su7ra +ote J4! N <9'9 AFN')(B9 See id9 N <9'9 The 8ud6me+t date of 0@a esu is more tha+ t:o mo+ths 7rior to that of ,e-e#ici9 The court i+ ,e-e#ici cited 0@a esu i+ se"era- 7-aces i+ its discussio+ of ra7e9 *o:e"er! i+ :hat o+e cou-d i+ter7ret as a re8ectio+ of the 0@a esu court;s comma+d res7o+si#i-it -o6ic! the ,e-e#ici court does +ot cite 0@a esu a+ :here duri+6 its comma+d res7o+si#i-it discussio+9 AFN'))B9 See /i+ear! su7ra +ote '&&! at =i! '$2'JD R9 3oh+ Pritchard! Ie+era- Preface to the ,o--ectio+! i+ $ The To@ o /a8or 1ar ,rimes Tria-: The Tra+scri7ts of the ,ourt Proceedi+6s of the I+ter+atio+a- /i-itar Tri#u+a- for the Far East at =-"i2=-"ii FR9 3oh+ Pritchard ed9 'JJ%GD Bassiou+i! su7ra +ote (! at %D /a O 1ierda! su7ra +ote ')'! at<4)9 /i+ear :rites that E:here the 7rese+t state of i+ter+atio+a- -a: :as u+c-ear or u+satisfactor 22as! for e=am7-e! i+ re6ard to i+di"idua- res7o+si#i-it for acts of state22the+ the Bi6 Four :ou-d codif i+ter+atio+a- -a: i+ such a :a that Ierma+ a+d 3a7a+ese acts #ecame crimi+a- a+d i+di"idua- e+em -eaders #ecame accou+ta#-e9E /i+ear! su7ra +ote '&&! at '49 AFN')5B9 See Rome Statute! su7ra +ote $! arts9 52J9 AFN')4B9 See i+fra +otes '552'5% a+d accom7a+ i+6 te=t9 AFN')<B9 See ,e-e#ici! su7ra +ote $&! 7aras9 '&J! '$&! '$$! '(&! ')'2)(! ')425<9 AFN')%B9 See id9 7aras9 (2$J9 AFN')JB9 See id9 7aras9 <<59 AFN'5&B9 Id9 7ara9 <<49 AFN'5'B9 ,e-e#ici! su7ra +ote $&! 7ara9 ()49 AFN'5$B9 Rome Statute! su7ra +ote $! art9 $%F'G Fem7hasiHed a+d #rac@eted te=t added to ide+tif e-eme+tsG9 AFN'5(B9 Id99 art9 $%F$G9 AFN'5)B9 Id99 art9 $%F$GF#G FEThe crimes co+cer+ed acti"ities that :ere :ithi+ the effecti"e res7o+si#i-it a+d co+troof the su7erior 9999EG9 AFN'55B9 See ,e-e#ici! su7ra +ote $&! 7aras9 (J)2J59 The ,e-e#ici court;s a+a- sis of the i+actio+ e-eme+t is 6i"e+ #e-o:: The -e6a- dut :hich rests u7o+ a-- i+di"idua-s i+ 7ositio+s of su7erior authorit requires them to ta@e a-- +ecessar a+d reaso+a#-e measures to 7re"e+t the commissio+ of offe+ces # their su#ordi+ates or! if such crimes ha"e #ee+ committed! to 7u+ish the 7er7etrators thereof9 It is the "ie: of the Tria- ,ham#er that a+ e"a-uatio+ of the actio+ ta@e+ # a su7erior to determi+e :hether this dut has #ee+ met is so i+e=trica#- -i+@ed to the facts of each 7articu-ar situatio+ that a+ attem7t to formu-ate a 6e+era- sta+dard i+ a#stracto :ou-d +ot #e mea+i+6fu-9
Pa6e (<
It must! ho:e"er! #e reco6+iHed that i+ter+atio+a- -a: ca++ot o#-i6e a su7erior to 7erform the im7ossi#-e9 *e+ce! a su7erior ma o+- #e he-d crimi+a-- res7o+si#-e for fai-i+6 to ta@e such measures that are :ithi+ his 7o:ers9 The questio+ the+ arises of :hat actio+s are to #e co+sidered to #e :ithi+ the su7erior;s 7o:ers i+ this se+se9 0s the coro--ar to the sta+dard ado7ted # the Tria- ,ham#er :ith res7ect to the co+ce7t of su7erior! :e co+c-ude that a su7erior shou-d #e he-d res7o+si#-e for fai-i+6 to ta@e such measures that are :ithi+ his materia- 7ossi#i-it 9 The Tria- ,ham#er accordi+6- does +ot ado7t the 7ositio+ ta@e+ # the IL, o+ this 7oi+t! a+d fi+ds that the -ac@ of forma- -e6a- com7ete+ce to ta@e the +ecessar measures to 7re"e+t or re7ress the crime i+ questio+ does +ot +ecessari- 7rec-ude the crimi+ares7o+si#i-it of the su7erior9 Id9 AFN'54B9 I,TR Statute! su7ra +ote (<! art9 4F(G FEATBhe su7erior fai-ed to ta@e the +ecessar a+d reaso+a#-e measures to 7re"e+t such acts or to 7u+ish the 7er7etrators thereof9EGD I,TY Statute! su7ra +ote (<! art9 <F(G FEATBhe su7erior fai-ed to ta@e the +ecessar a+d reaso+a#-e measures to 7re"e+t such acts or to 7u+ish the 7er7etrators thereof9EG9 AFN'5<B9 See ,e-e#ici! su7ra +ote $&! 7aras9 (J)2)&&9 The defe+se a-so asserted Ethe e=iste+ce of a se7arate requireme+t of causatio+!E :hich the court re8ected9 Id9 7aras9 (J42JJ9 AFN'5%B9 This 0rtic-e fo--o:s the I,, artic-e $% a77roach of referri+6 to mi-itar -eaders as comma+ders! a+d ci"i-ia+ -eaders as su7eriors9 See su7ra +ote (49 AFN'5JB9 Rome Statute! su7ra +ote $! art9 $%F'G9 The Eeffecti"e- acti+6 as a mi-itar comma+derE ci"i-ia+ ro-e is rooted i+ Protoco- I of the Ie+e"a ,o+"e+tio+9 See 19 *a s Par@s! 0 Fe: Too-s i+ the Prosecutio+ of 1ar ,rimes! ')J /i-9 L9 Re"9 <(! << F'JJ5G9 Par@s further +otes: 0rtic-e %< of Protoco- I is e+tit-ed Dut of ,omma+ders :hi-e actua-- setti+6 forth the res7o+si#i-ities of *i6h ,o+tracti+6 Parties a+d Parties to a co+f-ict to e+sure that their res7ecti"e mi-itar comma+ders com7- :ith the -a: of :ar i+ their co+duct of mi-itar o7eratio+s9 0-thou6h the tit-e ma a77ear mis-eadi+6! it is +otD a ci"i-ia+ i+ the comma+d a+d co+tro- chai+! such as the Preside+t of the U+ited States! is a comma+der for these 7ur7oses! as 7re"iousac@+o:-ed6ed i+ the *i6h ,omma+d ,ase9 077- i+6 the term comma+der or comma+d res7o+si#i-it to ci"i-ia+s a77are+t- has caused some 7ro#-ems for the I,TY! :hich has coi+ed the term su7erior authorit to co"er a-- cases9 Id9 Fcitatio+s omittedG9 AFN'4&B9 Rome Statute! su7ra +ote $! art9 $%F$G9 AFN'4'B9 See ,e-e#ici! su7ra +ote $&! 7aras9 (5524(9 0fter discussi+6 se"era- 7ost21or-d 1ar II ci"i-ia+ su7erior cases from #oth Ierma+ a+d 3a7a+! the court co+c-udes that Ethe a77-ica#i-it of the 7ri+ci7-e of su7erior res7o+si#i-it 999 e=te+ds +ot o+- to mi-itar comma+ders #ut a-so to i+di"idua-s i+ +o+2mi-itar 7ositio+s of su7erior authorit 9E Id9 7ara9 (4(9 AFN'4$B9 Rome Statute! su7ra +ote $! art9 $%F$GFaG! F#G9 AFN'4(B9 See ,e-e#ici! su7ra +ote $&! 7aras9 (4524%D see a-so su7ra +otes '&52''$ a+d accom7a+ i+6 te=t Fdiscussi+6 *i6h ,omma+d a+d *osta6eG9 AFN'4)B9 See ,e-e#ici! su7ra +ote $&! 7ara9 (<&9 AFN'45B9 See id9 7ara9 (<<9 To the e=te+t that a cam7 comma+der :ou-d #e "ie:ed 7rimari- as a mi-itar comma+der! the ,e-e#ici court;s discussio+ of comma+d res7o+si#i-it for +o+2mi-itar su7eriors :ou-d #e dicta9 I+ i+troduci+6 its discussio+ of the res7o+si#i-it of +o+2mi-itar su7eriors! the court sa s that it Edeems it a77ro7riate to first set out its reaso+i+6 Ao+ comma+d res7o+si#i-it forB 7erso+s i+ +o+2mi-itar 7ositio+s of authorit 9E Id9 7ara9 (559 AFN'44B9 Id9 7ara9 (<<9
Pa6e (%
AFN'4<B9 Id9 7ara9 (<%9 AFN'4%B9 See Bassiou+i O /a+i@as! su7ra +ote '4! at (4%24J9 The authors further e=7-ai+ the +ua+ce #et:ee+ a mi-itar comma+der a+d a ci"i-ia+ o7erati+6 as a mi-itar comma+der: A0B disti+ctio+ has to #e made #et:ee+ the comma+der2i+2chief! :ho ma #e a ci"i-ia+! a+d other ci"i-ia+s :ho ma #e i+ the mi-itar chai+ of comma+d a+d :ho ha"e effecti"e comma+d a+d co+tro- res7o+si#i-ities9 The differe+ce is esse+tia-- of a+ e"ide+tiar +ature9 Thus! a comma+der2i+2chief! des7ite the tit-e! ma fai- to e=ercise the fu-- 7o:ers of the office9 ,o+"erse- ! a ci"i-ia+ :ho occu7 AsicB a 7ositio+ of mi-itar comma+d a+d co+tro- ma ma@e decisio+s o+ strate6ic or tactica- matters or #oth9 Id9 at (4%9 AFN'4JB9 For e=am7-e! the defe+da+t i+ the Roech-i+6 case! :hich the ,e-e#ici court discussed! ,e-e#ici! su7ra +ote $&! 7aras9 (4'24(! (<4! (%J! :as a+ i+dustria-ist! a+d his comma+d a+d co+tro- structure e=isted i+ a+ i+dustria- setti+6 rather tha+ a mi-itar comma+d structure! et the Roech-i+6 court he-d him accou+ta#-e u+der a comma+d res7o+si#i-it theor 9 See i+fra Sectio+ ?9B Fa+a- Hi+6 the Roech-i+6 caseG9 AFN'<&B9 See su7ra +ote ')) a+d accom7a+ i+6 te=t9 AFN'<'B9 Rome Statute! su7ra +ote $! art9 $%F'G! F$G9 U7 to this sta6e! this 0rtic-e has su66ested that the I,, Statute;s #ifurcated comma+d res7o+si#i-it 7ro"isio+ ma -esse+ the efficac of the I,, comma+d res7o+si#i-it doctri+e! es7ecia-- :ith re6ard to ci"i-ia+s9 *o:e"er! a cou+ter2h 7othesis shou-d #e co+sidered: that the I,, a77roach actua-e=7a+ds the ci"i-ia+ comma+d res7o+si#i-it doctri+e9 This ar6ume+t :ou-d require se"era- ste7s9 First! o+e :ou-d acce7t that a dis7ute e=ists as to :hether 7rior customar -a: co+tai+ed a -esser sta+dard for ci"i-ia+s9 See su7ra +otes J'2J< a+d accom7a+ i+6 te=t9 Seco+d! o+e :ou-d assume that the ,e-e#ici ho-di+6! that ci"i-ia+ su7eriors are Esu7eriorsE o+- to the e=te+t that the o7erate as mi-itar comma+ders! ref-ects the curre+t state of i+ter+atio+a- customar -a:! or that it :i-- ref-ect the future state of i+ter+atio+a- customar -a: des7ite the a#se+ce of this requireme+t i+ the I,, Statute9 Third! if the ,e-e#ici ho-di+6 is ta@e+ te=tua-- ! it ca+ #e read to #e coe=te+si"e :ith the c-ause i+ artic-e $%F'G of the I,, Statute! :hich states: Eor 7erso+ effecti"e- acti+6 as a mi-itar comma+der9E Rome Statute! su7ra +ote $! art9 $%F'G9 0ddi+6 u7 the ste7s! o+e :ou-d ar6ue that #efore the I,, Statute the comma+d res7o+si#i-it status of ci"i-ia+ su7eriors :as am#i6uous! or :as at #est coe=te+si"e :ith mi-itar comma+ders :he+ acti+6 simi-ar to a mi-itar comma+der9 *a"i+6 ar6ued this i+ter7retatio+ of the 7rior -a:! o+e ca+ 7-ausi#- co+te+d that the e=7-icit codificatio+ of comma+d res7o+si#i-it for ci"i-ia+ su7eriors remo"es the am#i6uit of the 7rior -a: a+d e=7-icit- e=7a+ds the I,, Statute;s reach o"er ci"i-ia+ su7eriors :ho commit huma+ ri6hts atrocities9 There are se"era- 7ersuasi"e cou+ter2ar6ume+ts to the h 7othesis that the +e: ci"i-ia+ 7ro"isio+s e=7a+d the reach of the comma+d res7o+si#i-it doctri+e9 First! des7ite their deficie+cies! the 7ost21or-d 1ar II 7recede+ts are a-:a s a"ai-a#-e as 7ersuasi"e authorit a+d these courts he-d ci"i-ia+ su7eriors accou+ta#-e usi+6 the comma+d res7o+si#i-it doctri+e9 I+ some of these cases! ci"i-ia+s :ere accou+ta#-e u+der a comma+d res7o+si#i-it theor i+ situatio+s :here the ci"i-ia+;s co+tro- o"er his or her su#ordi+ates :as +ot mi-itar 2-i@e9 See i+fra Sectio+s ?90 a+d ?9B9 These cases are of treme+dous historica- "a-ue #e o+d their -e6a- mea+i+6! a+d i+ simi-ar circumsta+ces future courts :ou-d -i@e- -oo@ to them a+d to the scho-ar- :or@ a+a- Hi+6 these 7ost21or-d 1ar II cases9 See 6e+era-- ! Bassiou+i O /a+i@as! su7ra +ote '4D Lae-! su7ra +ote '&%D /i+ear! su7ra +ote '&&D Picci6a--o! su7ra +ote '&&D Rat+er O 0#rams! su7ra +ote 4D RL-i+6! su7ra +ote '&&D Bassiou+i! su7ra +ote )D ,asse-! su7ra +ote JD Iree+! su7ra +ote 4%D La+drum! su7ra +ote ''(D Par@s! su7ra +ote (%9 Seco+d! o+e cou-d attac@ the assum7tio+ that ,e-e#ici is the #est e"ide+ce of ci"i-ia+ comma+d res7o+si#i-it 9 Norma-- ! i+ter+atio+a- treaties are #etter e"ide+ce of the state of customar i+ter+atio+a- -a: tha+ 8udiciadecisio+s9 If it 6oes i+to effect! the Rome Treat :i-- ha"e 6athered the si6+atures of si=t +atio+s9 O+e #asis of i+ter+atio+a- -a: is the co+se+t of states! see Pa am 0@ha"a+! The Di-emmas of 3uris7rude+ce! i+ The ,o+tri#utio+ of the 0d *oc Tri#u+a-s to the I+ter+atio+a- *uma+itaria+ La:! '( 0m9 U9 I+t;- L9 Re"9 '5&J! '5'J F'JJ%G! a+d the ratificatio+ of a treat # si=t +atio+s acts as a stro+6er si6+a- a#out the -e"e- of co+se+t amo+6 states tha+ a si+6-e court ho-di+69 Third! the ,e-e#ici ho-di+6 o+ the su7erior2su#ordi+ate re-atio+shi7 e-eme+t! that the co+tro- must #e mi-itar 2-i@e for comma+d res7o+si#i-it to a77- to ci"i-ia+s! ma +ot re7rese+t curre+t customar i+ter+atio+a- -a:D i+ discussi+6 the @+o:-ed6e e-eme+t of the I,TY Statute! the ,e-e#ici court e=7-icit- states that it ma@es +o ho-di+6 as to the 7rese+t
Pa6e (J
co+te+t of customar i+ter+atio+a- -a:9 See ,e-e#ici! su7ra +ote $&! 7ara9 (J(9 0dditio+a-- ! as the ,e-e#ici court co+cedes! the I,TY comma+d res7o+si#i-it 7ro"isio+ s7ecifica-- uses a :ord of #road mea+i+6! Esu7erior!E to i+dicate :hich i+di"idua-s fa-- u+der the comma+d res7o+si#i-it doctri+e9 Id9 7aras9 (5425<9 It "io-ates the 7-ai+ mea+i+6 of the use of this term to restrict its sco7e of co"era6e # i+sisti+6 that it a77- o+- to su7eriors :ith mi-itar 2-i@e co+tro-9 Fi+a-- ! re6ard-ess of the t 7e of co+tro- +ecessar to satisf the @+o:-ed6e e-eme+t! the 7ote+tia- +e: +e=us e-eme+t of artic-e $%F$GF#G! Ecrimes co+cer+ed acti"ities!E 6i"es defe+se cou+se- a+ additio+a- :ea7o+9 The te=tua- formatti+6 su66ests that this 7ro"isio+ is a +e: e-eme+t #ecause it is -isted at the same out-i+e -e"e- as the @+o:-ed6e a+d i+actio+ e-eme+ts9 Thus! if it is a+ additio+a- e-eme+t! defe+se cou+se- ca+ "i6orous- ad"ocate that the 7rosecutor must 7ro"e this +e: e-eme+t i+ its e+tiret ! des7ite its co+ce7tua- o"erto+es :ith the su7erior2su#ordi+ate re-atio+shi7 e-eme+t9 AFN'<$B9 Rome Statute! su7ra +ote $! art9 $%F$GF#G9 AFN'<(B9 See ,e-e#ici! su7ra +ote $&! 7aras9 (J42)&&9 AFN'<)B9 Id9 7ara9 (J%9 The court +oted! ho:e"er! o+e e=ce7tio+ that did su77ort a causatio+ e-eme+t9 The e=ce7tio+ the court +oted is from a comme+tator :ho! EAaBs 7art of his a+a- sis of the requireme+t that the su7erior has fai-ed to ta@e the +ecessar a+d reaso+a#-e measures to 7re"e+t or 7u+ish the crimes of his su#ordi+ates! 999 su66ests the e=iste+ce of causatio+ as ;the esse+tia- e-eme+t; i+ cases of comma+d res7o+si#i-it 9E Id9 7ara9 (J% +9)$% Fciti+6 /9 ,herif Bassiou+i! The La: of the I+ter+atio+a- ,rimi+a- Tri#u+a- for the Former Yu6os-a"ia (5& F'JJ4GG9 AFN'<5B9 See ,e-e#ici! su7ra +ote $&! 7ara9 (JJ FEI+ fact! a reco6+itio+ of a +ecessar causa- +e=us ma #e co+sidered to #e i+here+t i+ the requireme+t of crimes committed # su#ordi+ates a+d the su7erior;s fai-ure to ta@e measures :ithi+ his 7o:ers to 7re"e+t them9EG9 AFN'<4B9 B-ac@;s La: Dictio+ar $%J F4th ed9 'JJ&G9 AFN'<<B9 Rome Statute! su7ra +ote $! art9 $%F'GFaG9 AFN'<%B9 Id99 art9 $%F$GFaG9 AFN'<JB9 ,e-e#ici! su7ra +ote $&! 7aras9 (%(2%)! (%<9 AFN'%&B9 The ,e-e#ici court +oted the +e: I,, ci"i-ia+ @+o:-ed6e sta+dard9 See id9 7ara9 (J( +9)$)9 AFN'%'B9 See id9 7ara9 (%)9 The court 8ustified re8ecti+6 the 7resum7tio+ as fo--o:s: ATBhe Prosecutio+ asserts the e=iste+ce of a ru-e of 7resum7tio+ :here the crimes of su#ordi+ates are a matter of 7u#-ic +otoriet ! are +umerous! occur o"er a 7ro-o+6ed 7eriod! or o"er a :ide 6eo6ra7hica- area9 *o:e"er! the -e6a- authorities cited # the Prosecutio+ i+ this re6ard are i+sufficie+t to su77ort the o7eratio+ of such a ru-e9 0mo+6 the cases re-ied u7o+ # the Prosecutio+ i+ this res7ect is that of Ie+era- Yamashita9 0+ e=ami+atio+ of the fi+di+6s of the /i-itar ,ommissio+ ho:e"er! does +ot #ear out this c-aim9 I+ fact! the +ature of the me+s rea ascri#ed to Ie+era- Yamashita i+ that case is +ot immediate- a77are+t from the ,ommissio+;s decisio+9 Id9 AFN'%$B9 See id9 7ara9 (%49 AFN'%(B9 See id9 AFN'%)B9 Id9 7ara9 (%(9 AFN'%5B9 See Di7-omatic ,o+fere+ce o+ Reaffirmatio+ a+d De"e-o7me+t of I+ter+atio+a- *uma+itaria+ La: 077-ica#-e i+ 0rmed ,o+f-ict: Protoco-s I a+d II to the Ie+e"a ,o+"e+tio+s! U9N9 Doc9 0/($/')) F'J<<G! re7ri+ted i+ '4 I9L9/9
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'(J' F'J<<GD ,ro:e! su7ra +ote ''4! at $$)2$5D su7ra +otes '$(2'$4 a+d accom7a+ i+6 te=t9 AFN'%4B9 ,e-e#ici! su7ra +ote $&! 7ara9 (J(9 AFN'%<B9 Id9 7ara9 (%(9 AFN'%%B9 Id9 7ara9 (J(9 AFN'%JB9 See id9 AFN'J&B9 1hi-e this o#ser"atio+ of the ,e-e#ici court;s omissio+ does +ot im7act the 7rimar focus of this 0rtic-e! it does i--ustrate the scho-ar- fo--o:i+6 of such detai-s9 /a+ of the artic-es cited herei+ :ou-d i+ter7ret a Eshou-d ha"e @+o:+E sta+dard a-o+6 the -i+es of the Yamashita 7recede+t9 See! e969! ,ro:e! su7ra +ote ''4! at $$J9 0t most! m i+ter7retatio+ of the actua- I,, sta+dard is that it sim7- -ets i+ more t 7es of i+formatio+ as e"ide+ce to im7ute @+o:-ed6e to the defe+da+t! that is! to the e=te+t that circumsta+ces i+ the I,, is #roader tha+ i+formatio+ i+ Protoco- I9 0-so! to the e=te+t that the I,, mi-itar sta+dard ref-ects the seco+d formu-atio+ re8ected for Protoco- I! E@+e: or shou-d reaso+a#- ha"e @+o:+ i+ the circumsta+ces at the time!E this su77orts the ,e-e#ici court;s "ie: that the I,, mi-itar formu-atio+ mi6ht e=te+d -ia#i-it 9 See su7ra +otes '%)2'%4 a+d accom7a+ i+6 te=t9 AFN'J'B9 The o+- c-auses cited i+ this ta#-e are those c-auses that are +ot cited e-se:here i+ this 0rtic-e9 AFN'J$B9 U9S9 De7;t of 0rm ! Fie-d /a+ua- $<2'&! La: of La+d 1arfare 7ara9 5&'! at '<%2<J F'J54G! quoted i+ .e++eth 09 *o:ard! ,omma+d Res7o+si#i-it for 1ar ,rimes! $' 39 Pu#9 L9 <! '5 F'J<$G9 AFN'J(B9 See Bassiou+i O /a+i@as! su7ra +ote '4! at (44 FENatio+a- courts! ho:e"er! ha"e set differe+t -e6a- tests ra+6i+6 from ;cou-d ha"e @+o:+; to Eha"i+6 actua- @+o:-ed6e9E ;G9 AFN'J)B9 See ,ro:e! su7ra +ote ''4! at $$J2('9 AFN'J5B9 ,e-e#ici! su7ra +ote $&! 7ara9 (%<9 AFN'J4B9 Ne: I+ter+atio+a- Dictio+ar of the E+6-ish La+6ua6e $<< FFu+@ O 1a6+a--s com7rehe+si"e ed9 'JJ5G9 AFN'J<B9 ,e-e#ici! su7ra +ote $&! 7ara9 (%<9 AFN'J%B9 0 -o:ered dut to remai+ i+formed :ou-d ta@e the force out of the Roech-i+6 court;s ho-di+6 that E+o su7erior ma 7refer this A-ac@ of @+o:-ed6eB defe+se i+defi+ite- D for it is his dut to @+o: :hat occurs i+ his or6a+iHatio+! a+d -ac@ of @+o:-ed6e! therefore! ca+ o+- #e the resu-t of crimi+a- +e6-i6e+ce9E Roech-i+6! su7ra +ote $J! at ''&49 AFN'JJB9 ,e-e#ici! su7ra +ote $&! 7ara9 (%%9 AFN$&&B9 Picci6a--o! su7ra +ote '&&! at ')D see a-so ' To@ o Tria- Tra+scri7t! su7ra +ote $J! at 4%42%&)9 AFN$&'B9 ' To@ o Tria- Tra+scri7t! su7ra +ote $J! at ===i9 AFN$&$B9 See id9 at $'2<59 AFN$&(B9 See $& id9 at )J!<J$9 The 8ud6me+t of the court characteriHes the situatio+ at Na+@i+6 as fo--o:s #e-o:: I+di"idua- so-diers a+d sma-- 6rou7s of t:o or three roamed o"er the cit murderi+6! ra7i+6! -ooti+6 a+d #ur+i+69 There :as +o disci7-i+e :hate"er9 /a+ so-diers :ere dru+@9 So-diers :e+t throu6h the streets i+discrimi+ate- @i--i+6 ,hi+ese
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me+! :ome+ a+d chi-dre+ :ithout a77are+t 7ro"ocatio+ or e=cuse u+ti- i+ 7-aces the streets a+d a--e s :ere -ittered :ith the #odies of their "ictims9999 ,hi+ese :ere hu+ted -i@e ra##its! e"er o+e see+ to mo"e :as shot9 0t -east '$!&&& +o+2 com#at ,hi+ese me+! :ome+ a+d chi-dre+ met their deaths i+ these i+discrimi+ate @i--i+6s duri+6 the first t:o or three da s of the 3a7a+ese occu7atio+ of the cit 9 There :ere ma+ cases of ra7e9 Death :as a freque+t 7e+a-t for the s-i6htest resista+ce o+ the 7art of a "ictim or the mem#ers of her fami- :ho sou6ht to 7rotect her9 E"e+ 6ir-s of te+der ears a+d o-d :ome+ :ere ra7ed i+ -ar6e +um#ers throu6hout the cit ! a+d ma+ cases of a#+orma- a+d sadistic #eha"ior i+ co++ectio+ :ith these ra7es occurred9 /a+ :ome+ :ere @i--ed after the act a+d their #odies muti-ated9 077ro=imate- $&!&&& cases of ra7e occurred :ithi+ the cit duri+6 the first mo+th of the occu7atio+9 Id9 at )J!4&)2&49 AFN$&)B9 See ' id9 at <&2<'D /i+ear! su7ra +ote '&&! at 4< F+oti+6 that the defe+da+ts at the To@ o tria- Ede-i#erate- a+d rec@-ess- disre6arded their -e6a- dut to ta@e adequate ste7s to secure the o#ser"a+ce a+d 7re"e+t #reaches Aof the -a:s of :arB9EG9 AFN$&5B9 See $& To@ o Tria- Tra+scri7t! su7ra +ote $J! at )J!<%%9 AFN$&4B9 See id9 at )J!4&)2'&9 AFN$&<B9 See id9 at )J!4'&2''D $ id9 at $44'9 AFN$&%B9 $& id9 at )J!4&%2''9 AFN$&JB9 See $ id9 at $4(%D 0r+o-d ,9 Brac@ma+! The Other Nurem#er6: The U+to-d Stor of the To@ o 1ar ,rimes Tria-s '<J2%' F'J%<G9 AFN$'&B9 Brac@ma+! su7ra +ote $&J! at '%&9 AFN$''B9 See $& To@ o Tria- Tra+scri7t! su7ra +ote $J! at )J!<J'D /i+ear! su7ra +ote '&&! at <'9 AFN$'$B9 See $& To@ o Tria- Tra+scri7t! su7ra +ote $J! at )J!<J'9 The court characteriHed *irota;s crimi+a- -a7se as fo--o:s: *irota :as dere-ict i+ his dut i+ +ot i+sisti+6 #efore the ca#i+et that immediate actio+ #e ta@e+ to 7ut a+ e+d to the atrocities! fai-i+6 a+ other actio+ o7e+ to him to #ri+6 a#out the same resu-t9 *e :as co+te+t to re- o+ assura+ces :hich he @+e: :ere +ot #ei+6 im7-eme+ted :hi-e hu+dreds of murders! "io-atio+s of :ome+! a+d other atrocities :ere #ei+6 committed dai- 9 *is i+actio+ amou+ted to crimi+a- +e6-i6e+ce9 Id9 Fem7hasis addedG9 AFN$'(B9 See ' To@ o Tria- Tra+scri7t! su7ra +ote $J! at $<! ((D $& id9 at )J!<J$9 AFN$')B9 See $& id9 at )J!%55D Brac@ma+! su7ra +ote $&J! at (<%2%)9 AFN$'5B9 $& To@ o Tria- Tra+scri7t! su7ra +ote $J! at )J!<%%2J$9 AFN$'4B9 Rome Statute! su7ra +ote $! art9 $%F$G9 AFN$'<B9 The difficu-t of reco+ci-i+6 *irota;s a77are+t -ac@ of co+tro- o"er the atrocit 2committi+6 i+di"idua-s :ith his co+"ictio+ e=7-ai+s the scho-ar- o#8ectio+ to the comma+d res7o+si#i-it as7ect of his case9 See /i+ear! su7ra +ote '&&! at 4J2<(9 The court dec-ared that *irota shou-d ha"e Ei+sisted #efore the ca#i+etE that somethi+6 #e do+e! $& To@ o TriaTra+scri7t! su7ra +ote $J! at )J!<J'! :hich mea+s that the court must ha"e #e-ie"ed that *irota! at some -e"e-! had authorit a+d i+f-ue+ce to a77- to the situatio+9 *irota;s 7rior te+ure as 7rime mi+ister mi6ht su77ort this theor 9
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Ta@i+6 a differe+t 7ers7ecti"e! the I/T2FE ma ha"e #ee+ tra+s7are+t- a77- i+6 the co+ce7t of de 8ure authorit de"e-o7ed # the court i+ the ,e-e#ici case9 See ,e-e#ici! su7ra +ote $&! 7ara9 (5) FEThe mere a#se+ce of forma- -e6aauthorit to co+tro- the actio+s of su#ordi+ates shou-d therefore +ot #e u+derstood to 7rec-ude the im7ositio+ of such res7o+si#i-it 9EG9 0 third 7ers7ecti"e o+ the case is that *irota :as he-d cu-7a#-e o+ the comma+d res7o+si#i-it cou+t 7rimari- o+ the i+actio+ e-eme+t #ecause the court s7ecifica-- fou+d his attem7ts to 7rotest the atrocities i+sufficie+t9 See $& To@ o Tria- Tra+scri7t! su7ra +ote $J! at )J!<J'9 If *irota :as co+"icted o+ ,ou+t 55 7rimari- due to the i+actio+ e-eme+t! o+e :a to e=7-ai+ the court;s -a=it :ith res7ect to the su7erior2su#ordi+ate re-atio+shi7 e-eme+t is that the court assumed that this e-eme+t :as met due to *irota;s co+"ictio+ o+ the direct comma+d res7o+si#i-it cou+ts9 AFN$'%B9 See id9 FERe7orts of atrocities co+ti+ued to come i+ for at -east a mo+th9EG9 AFN$'JB9 See Rat+er O 0#rams! su7ra +ote 4! at '$J9 These authors e-a#orate o+ the difficu-ties raised # 7arami-itar 6rou7s: A0Bs a 7ractica- matter! the e=te+sio+ of cu-7a#i-it u+der comma+d res7o+si#i-it raises s7ecia- questio+s i+ the co+te=t of or6a+iHatio+s :ithout ri6id mi-itar hierarchies9 Prosecutors :i-- +eed to determi+e the chai+ of comma+d i+ the a#se+ce of c-ear ra+@ or e"e+ forma- decisio+2ma@i+6 structures9 Re-ia+ce :i-- +eed to #e 7-aced o+ :it+ess testimo+ a+d other i+dicia of the customar 7ractices o#ser"ed :ithi+ a 7articu-ar 6rou79 Id9 at '$J9 AFN$$&B9 The Roech-i+6 case :as re7orted a-o+6 :ith the Nurem#er6 mi-itar tria-s # the U9S9 Io"er+me+t 7ri+ti+6 office #ecause ma+ U9S9 court cases cited it9 The ,e-e#ici court cites a+d a+a- Hes the Roech-i+6 case i+ its ho-di+6 that ci"i-ia+ -eaders ca+ #e -ia#-e u+der comma+d res7o+si#i-it :ith mere de facto co+tro- a+d i+f-ue+ce: ATBhe Roech-i+6 case is #est co+strued as a+ e=am7-e of the im7ositio+ of su7erior res7o+si#i-it o+ the #asis of de facto 7o:ers of co+tro- 7ossessed # ci"i-ia+ i+dustria- -eaders9 1hi-e the accused i+ this case :ere fou+d 6ui-t ! i+ter a-ia! of fai-i+6 to ta@e actio+ a6ai+st the a#use of forced -a#ourers committed # the mem#ers of the Iesta7o! it is +o:here su66ested that the accused had a+ forma- authorit to issue orders to 7erso++e- u+der Iesta7o comma+d9 I+stead! the 8ud6eme+t em7-o s the :ordi+6 Esufficie+tE authorit ! a term +ot +orma-- used i+ re-atio+ to forma- 7o:ers of comma+d! #ut rather o+e used to descri#e a de6ree of Fi+forma-G i+f-ue+ce9 This "ie: is further su77orted # the reaso+i+6 em7-o ed i+ the 8ud6eme+t of the court of first i+sta+ce i+ this case! :hich! i+ res7o+se to the c-aim of o+e of the accused that he cou-d +ot 6i"e orders to the 7-a+t 7o-ice a+d the 7erso++e- of a 7u+ishme+t cam7! as these :ere u+der the orders of the Iesta7o! ma@es refere+ce to his status as *erma++ Roech-i+6;s so+2i+2-a:22c-ear- a source of +o more tha+ de facto i+f-ue+ce22as a factor affecti+6 his authorit to o#tai+ a+ a--e"iatio+ i+ the treatme+t of :or@ers # the 7-a+t 7o-ice9 ,e-e#ici! su7ra +ote $&! 7ara9 (<4 Fcitatio+s omittedG9 AFN$$'B9 See Roech-i+6! su7ra +ote $J! at '&<<2<J! '&%42%J! '''$2'(9 AFN$$$B9 See id9 at '&<J! '&%49 AFN$$(B9 See id9 at '&%<2%J9 AFN$$)B9 See id9 at '&4'! '&<<2<%9 AFN$$5B9 The su7erior court is the a77e--ate court9 See id9 at '&J<9 The 6e+era- tri#u+a- is the tria- court9 See id9 at '&4'9 AFN$$4B9 Id9 at ''&%9 AFN$$<B9 See id9 at '&<<9 AFN$$%B9 See id9
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AFN$$JB9 See id9 at '')&9 AFN$(&B9 See id9 at '&<J9 AFN$('B9 See id9 FEADBue to his ta-e+ts as tech+icia+ a+d a-so to the 7ressure :hich he e=ercised o"er the i+dustr of occu7ied cou+tries! *erma++ Roech-i+6 :as a#-e to e-imi+ate the dro7 i+ ferrous 7roductio+9EG9 AFN$($B9 Id9 at '&<49 AFN$((B9 See ,ro:e! su7ra +ote ''4! at $&&! $&(9 ,ro:e +otes: Ne"erthe-ess! :here murder a+d ra7e a+d "icious! re"e+6efu- actio+s are :ides7read offe+ses a+d there is +o effecti"e attem7t # a comma+der to disco"er a+d co+tro- the crimi+a- acts! such a comma+der ma #e he-d res7o+si#-e! e"e+ crimi+a-- -ia#-e! for the -a:-ess acts of his troo7s! de7e+di+6 u7o+ their +ature a+d the circumsta+ces surrou+di+6 them9 Id9 Fcitatio+s omittedG9 AFN$()B9 See ,e-e#ici! su7ra +ote $&! 7aras9 (%52%49 AFN$(5B9 See Roech-i+6! su7ra +ote $J! at ''$59 AFN$(4B9 See id9 at ''()9 AFN$(<B9 See id9 at '&%5! ''$%2()9 *o:e"er! the requests for more :or@ers occurred #ecause the Ierma+ armed forces had i+itia-- esta#-ished the 7ractice of su77- i+6 :or@ers for the factor 9 0dditio+a-- ! #oth courts a-so fou+d Roech-i+6 6ui-t of 7-u+der9 See id9 at '&J52J4! '')&9 AFN$(%B9 Id9 at '&%%9 I+ additio+ to the su7erior court;s reco6+itio+ that the -ia#i-it arose from the dere-ictio+ of dut ! the tria- court a-so comme+ted i+ de7th co+cer+i+6 Roech-i+6;s +e6-ect of his dut to e+sure the :e--#ei+6 of :or@ers: AIBt :as his dut as the head to i+quire i+to the treatme+t accorded to the forei6+ :or@ers a+d to the 7riso+ers of :ar :hose em7-o me+t i+ his :ar 7-a+ts :as! moreo"er! for#idde+ # the ru-es of :arfare! of :hich fact he must ha"e #ee+ a:areD that he ca++ot esca7e his res7o+si#i-it # stati+6 that the questio+ had +o i+terest for himD that his dou#-e 7ositio+ as chief of a+ im7orta+t i+dustr a+d as 7reside+t of the R?E :ou-d ha"e 6i"e+ him the +ecessar authorit to #ri+6 a#out cha+6es i+ the i+huma+ treatme+t of these :or@ersD that :it+esses ha"e stated that at se"era- times he had the o77ortu+it to ascertai+ :hat the co+ditio+ of his 7erso++e- :as duri+6 his "isits to the 7-a+tsD that he himse-f states that he came i+ co+tact :ith these me+ from ?oe-@-i+6e+! 7articu-ar- :ith the i+ter+ees from EtHe+hofe+! :ho :ere reco6+iHa#-e # the 7riso+ 6ar#! #ut that he had +e"er co+sidered the co+ditio+ of their e=iste+ce! a-thou6h their misera#-e situatio+ :as a77are+t to a-- those :ho 7assed them o+ the street9 Id9 at '&%%2%J9 AFN$(JB9 Id9 at ''(49 AFN$)&B9 Id9 AFN$)'B9 See id9 at ''(59 AFN$)$B9 See id9 AFN$)(B9 See id9 The ma+a6er of this 7-a+t! o+e of the other defe+da+ts! E7artici7ated! o+ AhisB o:+ i+itiati"e! i+ the im7-eme+tatio+ of strict measures as 7rescri#ed i+ the re6u-atio+s a+d ordi+a+ces of the Reich admi+istratio+ for the mai+te+a+ce of :or@i+6 disci7-i+e a+d re7eated- too@ the i+itiati"e i+ a ma++er :hich e=hi#its co+formit :ith the "ie:s! aims! a+d measures of that admi+istratio+9E Id9 at ''()9
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AFN$))B9 See id9 at ''(59 AFN$)5B9 The court descri#ed the re-atio+shi7 #et:ee+ the factor a+d the cam7 as fo--o:s: I+ 07ri- 'J)(! fo--o:i+6 a+ a6reeme+t #et:ee+ the -eaders of the Roech-i+6 firm a+d the Iesta7o! a summar court :as set u7 to 7u+ish disci7-i+ar offe+ses # the forei6+ :or@ers! such as re7eated a#se+ce! re7eated tardi+ess! sto77a6e of :or@! refusa- to 7erform additio+a- :or@! Aa+dB u+disci7-i+ed co+duct9 0t the same time a 7u+ishme+t cam7 :as set u7 a#out '5 @i-ometers a:a at EtHe+hofe+! # a6reeme+t #et:ee+ the -eaders of the Roech-i+6 firm a+d the Iesta7o! to :hich the forei6+ers se+te+ced # the summar court :ere to #e co+si6+ed for a ma=imum 7eriod of 54 da s9 The 7erso+s u+der6oi+6 se+te+ce :ho s7e+t the +i6ht i+ EtHe+hofe+ :ere ta@e+ to the Roech-i+6 7-a+t i+ the mor+i+6 a+d #ac@ to the cam7 at +i6ht9 Id9 at ''(59 AFN$)4B9 See id9 AFN$)<B9 See id9 at ''()9 AFN$)%B9 See id9 at ''((9 Roech-i+6 stated that he :as Eforced to em7-o the forced :or@ers :ho :ere 7-aced at their dis7osa-9E Id9 at '''(9 AFN$)JB9 See id9 at ''(4 FERoech-i+6 AhadB re7eated o77ortu+ities duri+6 the i+s7ectio+ of his co+cer+s to ascertai+ the fate meted out to his 7erso++e-! si+ce he cou-d +ot fai- to +otice the 7riso+ers; u+iformAsB o+ those occasio+s AAAof a 7-a+t "isitB9EG9 AFN$5&B9 See 0@a esu! su7ra +ote J4! N 49$9 Tuoti+6 the comme+tar to 0dditio+a- Protoco- I! the court e=7ressed that there are ma+ E"ar i+6 "ie:s re6ardi+6 the /e+s rea requireme+t for comma+d res7o+si#i-it 9E Id9 AFN$5'B9 See Summar of the 3ud6me+t i+ the 3ea+2Pau- 0@a esu ,ase! 7aras9 J2''! F"isited No"9 5! 'JJJG Uhtt7:// :::9u+9or6/ictr/e+6-ish/si+6-edocs/87a[ summar 9htm-V Aherei+after 0@a esu Summar B9 AFN$5$B9 See id9 7ara9 ''9 AFN$5(B9 See id9 AFN$5)B9 0@a esu! su7ra +ote J4! N 49$9 3ud6e RL-i+6 :as quoted as stati+6 that a court shou-d: ABBe carefu- i+ ho-di+6 ci"i-ia+ 6o"er+me+t officia-s res7o+si#-e for the #eha"iour of the arm i+ the fie-d9 /oreo"er! the Tri#u+a- AI/T2FEB is here to a77- the 6e+era- 7ri+ci7-es of -a: as the e=ist :ith re-atio+ to the res7o+si#i-it for omissio+s9 ,o+sideratio+ of #oth -a: a+d 7o-ic ! of #oth 8ustice a+d e=7edie+c ! i+dicate that this res7o+si#i-it shou-d o+- #e reco6+iHed i+ a "er restricted se+se9 Id9 AFN$55B9 Id9 AFN$54B9 ,e-e#ici! su7ra +ote $&! 7ara9 (4(9 AFN$5<B9 See id9 7ara9 (<%9 O+e ca+ ima6i+e a "ariet of situatio+s :here ci"i-ia+ su7eriors e=ert arou+d2the2c-oc@! se"e+2da s2a2:ee@ co+tro- o"er su#ordi+ates! i+c-udi+6 the i+teresti+6 e=am7-e of 7ri"ate i+ter+atio+a- securit com7a+ies9 See 6e+era-- 3ua+ ,ar-os Marate! The Emer6e+ce of a Ne: Do6 of 1ar: Pri"ate I+ter+atio+a- Securit ,om7a+ies! I+ter+atio+a- La:! a+d the Ne: 1or-d Disorder! () Sta+9 39 I+t;- L9 <5 F'JJ%G Fdiscussi+6 the -e6a- status of 7ri"ate i+ter+atio+a- securit com7a+iesG9
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AFN$5%B9 See ,e-e#ici! su7ra +ote $&! 7aras9 (5524(D 0@a esu! su7ra +ote J4! N 49$9 Ne"erthe-ess! he :as a hi6hres7ected 8ud6e! accordi+6 to editor 0+to+io ,assese i+ his :or@ o+ 3ud6e RL-i+69 See RL-i+6! su7ra +ote '&&! at "ii2i=! <9 AFN$5JB9 See 0@a esu! su7ra +ote J4! N '9$D ,e-e#ici! su7ra +ote $&! 7aras9 4'&2$'! <(<9 AFN$4&B9 See 0@a esu! su7ra +ote J4! N '9$9 Further! the court +otes that: R:a+da is di"ided i+to '' 7refectures! each of :hich is 6o"er+ed # a 7refect9 The 7refectures are further su#di"ided i+to commu+es :hich are 7-aced u+der the authorit of #our6mestres9 The #our6mestre of each commu+e is a77oi+ted # the Preside+t of the Re7u#-ic! u7o+ the recomme+datio+ of the /i+ister of the I+terior9 I+ R:a+da! the #our6mestre is the most 7o:erfu- fi6ure i+ the commu+e9 *is de facto authorit i+ the area is si6+ifica+t- 6reater tha+ that :hich is co+ferred u7o+ him de 8ure9 Id9 AFN$4'B9 Id9D see 0@a esu Summar ! su7ra +ote $5'! 7ara9 $49 AFN$4$B9 See 0@a esu! su7ra +ote J4! N <9'9 AFN$4(B9 See 0@a esu Summar ! su7ra +ote $5'! 7ara9 4)9 AFN$4)B9 See 0@a esu! su7ra +ote J4! N <9'9 Ori6i+a-- ! the 7rosecutor char6ed 0@a esu :ith comma+d res7o+si#i-it u+der artic-e 4F(G of the I,TR statute for ,ou+ts '(2'59 1hi-e the court dischar6ed the comma+d res7o+si#i-it c-aims! 0@a esu :as fou+d 6ui-t u+der I,TR artic-e 4F'G for direct 7artici7atio+ i+ ma+ of the crimes9 See id9 AFN$45B9 See id9 N <9'9 AFN$44B9 See id9 N <9%D see a-so 0@a esu Summar ! su7ra +ote $5'! 7ara9 $4 FEA0@a esuB o77osed a+d attem7ted to 7re"e+t Athe crimesB o+- u+ti- '% 07ri- 'JJ)! #ut the+ acquiesced a+d e"e+ e+coura6ed their commissio+9EGD Bi-Ber@e-e ! 3ud6me+t Da ! 1ash9 Post! Oct9 ''! 'JJ%! at 1'& Fre7orti+6 o+ the 6e+ocide i+ R:a+da a+d the 0@a esu tria-G9 AFN$4<B9 See i+fra Sectio+ II9,9 AFN$4%B9 See 0@a esu Summar ! su7ra +ote $5'! 7ara9 $<9 AFN$4JB9 See id9 FE;ANBe"er as@ me a6ai+ :hat a Tutsi :oma+ tastes -i@e;9999EG9 AFN$<&B9 See 0@a esu! su7ra +ote J)! N <9'9 AFN$<'B9 Id9 N <9<9 AFN$<$B9 See id9 FE/a+ of the #eati+6s! ra7es! a+d murders esta#-ished # the e"ide+ce too@ 7-ace a:a from the #ureau commu+a- 7remises9EG9 AFN$<(B9 See id9 The a--e6atio+ :as that 0@a esu ordered the I+teraham:e to u+dress a fema-e stude+t a+d forced her to do E6 m+astics +a@ed i+ the 7u#-ic court ard of the #ureau commu+a- i+ fro+t of a cro:d9E Id9 AFN$<)B9 See id9 N <9'9 AFN$<5B9 See id9
Pa6e )4
AFN$<4B9 See su7ra +otes $452$<5 a+d accom7a+ i+6 te=t9 AFN$<<B9 See 0@a esu Summar ! su7ra +ote $5'! 7ara9 $49 AFN$<%B9 Rome Statute! su7ra +ote $! art9 $%F$GFaG9 AFN$<JB9 See id9 arts9 $%F$GFaG! FcG9 AFN$%&B9 Id9 art9 $%F'G9 AFN$%'B9 Re6ardi+6 the To@ o Tria-s! o+e comme+tator +oted that the defe+da+ts E:ere # a+d -ar6e ;Esta#-ishme+t; fi6ures :ho had achie"ed 7romi+e+ce i+ the -eadershi7 of 3a7a+ a+d had :o+ the co+fide+ce a+d a77ro#atio+ of their fe--o: cou+tr me+ throu6h their o:+ admi+istrati"e com7ete+ce! i+te--ectua- e=ce--e+ce or disti+6uished mi-itar ser"ice9E $ The To@ o /a8or 1ar ,rimes Tria-! su7ra +ote '))! at ==="i9 AFN$%$B9 ,o+tro- o"er the media 7-a ed a+ im7orta+t 7art i+ the R:a+da+ 6e+ocide9 See 3amie Frederic /etH-! R:a+da+ Ie+ocide a+d the I+ter+atio+a- La: of Radio 3ammi+6! J' 0m9 39 I+t;- L9 4$%! 4$J2($ F'JJ<G9 AFN$%(B9 See Bassiou+i O /a+i@as! su7ra +ote '4! at (4%9 AFN$%)B9 See id9 at ()4 FEThe i+quir :i-- usua-- start :ith the 7er7etrator of the "io-atio+ a+d the+ 6radua-- mo"e u7 the chai+ of comma+d to the su7erior :ho issued the order9 Such a chai+ of comma+d ca+999 reach the hi6hest eche-o+999 i+c-udi+6 the head of State9EG9 AFN$%5B9 See Par@s! su7ra +ote (%! at ''2')9 AFN$%4B9 See id9 at 4) O +9$')9 AFN$%<B9 The I,TR had i+dicted the 7rime mi+ister of R:a+da! 3ea+ .am#a+da! for crimes a6ai+st huma+it ! com7-icit to homicide! a+d other cou+ts9 See Prosecutor "9 3ea+ .am#a+da! No9 I,TR2J<2$(2S! 7ara9 ( FI,TR Se7t9 )! 'JJ%G! a"ai-a#-e at 3ud6eme+t a+d Se+te+ce Uhtt7:// :::9u+9or6/ictr/e+6-ish/8ud6eme+ts/@am#a+da9htm-V F"isited No"9 5! 'JJJGD Press Re-ease: First2E"er 3ud6me+t of ,rime of Ie+ocide! I,TR/INFO2J2$2'(4! 0u69 $'! 'JJ%! a"ai-a#-e at Uhtt7://:::9u+9or6/ictr/e+6-ish/7ressre-/PR'(5E9htm-V F"isited No"9 5! 'JJJG9 .am#a+da 7-eaded 6ui-t to char6es that i+c-uded artic-e 4F(G comma+d res7o+si#i-it cou+ts9 See id9 7ara9 )9 .am#a+da;s 6ui-t 7-ea e=ti+6uished the +eed for the I,TR to co+strue the artic-e 4F(G comma+d res7o+si#i-it 7ro"isio+s i+ :hat -i@e- :ou-d ha"e #ee+ a+ e"e+ more com7-e= factua- a+a- sis of the three comma+d res7o+si#i-it e-eme+ts tha+ the I,TY had to u+derta@e i+ the ,e-e#ici case9 AFN$%%B9 T:o i+di"idua-s hi6h i+ the comma+d chai+ of the Ser#ia+ Democratic Part :ere i+dicted o+ 6rou+ds that i+c-ude comma+d res7o+si#i-it 9 See I+dictme+t! Prosecutor "9 .aradHic! No9 IT2J525! 7aras9 (2% FI,TY 3u- $5! 'JJ5G! a"ai-a#-e at Uhtt7://:::9u+9or6/ict /i+dictme+t/e+6-ish/$52&<J509htmV F"isited No"9 5! 'JJJG9 AFN$%JB9 Press Re-ease: Preside+t /i-ose"ic a+d Four Other Se+ior FRY Officia-s I+dicted for /urder! Persecutio+ a+d De7ortatio+ i+ .oso"o! No9 3L/PIU/)&(2E! /a $<! 'JJJ! a"ai-a#-e at Uhtt7:// :::9u+9or6/ict /7ressrea-/7)&(2e9htmV F"isited No"9 5! 'JJJG Fquoti+6 Prosecutor Louise 0r#our i+ her a77-icatio+ of i+dictme+t to 3ud6e *u+tGD see a-so ,har-es Trueheart! .oso"o i+ ,risis! 1ash9 Post! /a $%! 'JJJ! at 0' Freferri+6 to the 8oi+t i+dictme+t as Ethe first i+ histor a6ai+st a :artime chief of state9EG9 AFN$J&B9 See /i-ose"ic Re"ie: of I+dictme+t! su7ra +ote %! 7aras9 42')! '<9 See 6e+era-- U9S9 De7;t of State! Erasi+6 *istor : Eth+ic ,-ea+si+6 i+ .oso"o F'JJJG! a"ai-a#-e at Uhtt7://:::9state96o"/:::/re6io+s/eur/r7t[JJ&5[ eth+ic[
Pa6e )<
@s"o[toc9htm-V F"isited No"9 5! 'JJJG Fdetai-i+6 se"e+ cate6ories of "io-atio+s # Ser#ia+ forces a6ai+st 0-#a+ia+s i+ .oso"oG9 AFN$J'B9 EThe e"ide+ce u7o+ :hich this i+dictme+t :as co+firmed raises serious questio+s a#out A/i-ose"ic;s a+d the others;B suita#i-it to #e the 6uara+tors of a+ dea-! -et a-o+e a 7eace a6reeme+t999 the ha"e +ot #ee+ re+dered -ess suita#-e # the i+dictme+tD the i+dictme+t has sim7- e=7osed their suita#i-it 9E Trueheart! su7ra +ote $%J! at 0' Fquoti+6 I,TY Prosecutor Louise 0r#ourG9 AFN$J$B9 See E-iHa#eth Neuffer! I+dictme+t of /i-ose"ic to Test N0TO;s 1i--! Bosto+ I-o#e! /a (&! 'JJJ! at E' FEAEB"er shred of e"ide+ce :i-- #e +eeded to ma@e the case! shou-d it e"er come to tria-9EGD 0m#assador Da"id Scheffer! Remar@s a+d Press Bac@6rou+der i+ Brusse-s ,o+cer+i+6 .oso"o! /$ Press:ire! /a '%! 'JJJ! a"ai-a#-e i+ 'JJJ 1L '<54)'5< FE1e ha"e #ee+ co2o7erati+6 :ith the Yu6os-a" Tri#u+a- :ith a+ acce-erated a+d i+te+sified i+formatio+2 shari+6 7ro6ramme! ma+ hu+dreds of docume+ts 7ertai+i+6 to .oso"o a-o+e! c-assified a+d other:ise! ha"e #ee+ 7ro"ided to the Tri#u+a-9EG9 AFN$J(B9 The /i-ose"ic i+dictme+t a--e6es that Ser#ia+ forces e+6a6ed i+ Eu+-a:fu- de7ortatio+ a+d forci#-e tra+sfer of thousa+ds of .oso"o 0-#a+ia+s from their homesE a+d Ee+6a6ed i+ a +um#er of @i--i+6s of .oso"o 0-#a+ia+s999 at +umerous -ocatio+s!E a+d that the Eforces of the FRY a+d Ser#ia acti+6 i+ co+cert ha"e e+6a6ed i+ a :e--27-a++ed a+d co2ordi+ated cam7ai6+ of destructio+ of 7ro7ert 9E I+itia- I+dictme+t of /i-ose"ic a+d Others! /a $)! 'JJJ! 7aras9()2 (5! (<! a"ai-a#-e at Uhtt7://:::9u+9or6/ict /mi-ose"ic/&5$(JJa779htmV F"isited No"9 5! 'JJJG Aherei+after /i-ose"ic I+dictme+tB9 The i+dictme+t a-so re-ates the e"e+ts i+ .oso"o to 7rior e"e+ts i+ the former Yu6os-a"ia: 0ctio+s simi-ar i+ +ature too@ 7-ace duri+6 the :ars i+ ,roatia a+d Bos+ia a+d *erHe6o"i+a #et:ee+ 'JJ' a+d 'JJ59 Duri+6 those :ars! Ser#ia+ mi-itar ! 7arami-itar a+d 7o-ice forces forci#- e=7e--ed a+d de7orted +o+2Ser#s i+ ,roatia a+d Bos+ia a+d *erHe6o"i+a from areas u+der Ser#ia+ co+tro- uti-iHi+6 the same method of o7eratio+s as ha"e #ee+ used i+ .oso"o i+ 'JJJ9 Id9 7ara9(59 Fi+a-- ! the i+dictme+t s7ecifica-- a--e6es /i-ose"ic;s direct comma+d res7o+si#i-it # stati+6 that Ethe 7-a++i+6! 7re7aratio+ a+d e=ecutio+ of the cam7ai6+ u+derta@e+ # forces of the FRY a+d Ser#ia i+ .oso"o! :as 7-a++ed! i+sti6ated! ordered! committed or other:ise aided a+d a#etted # S-o#oda+ /i-ose"ic9E Id9 7ara9(%9 AFN$J)B9 O+e comme+tator a77raises the e"ide+tiar case a6ai+st /i-ose"ic u+der im7uted comma+d res7o+si#i-it :ith a Yamashita2-i@e a77roach: Si+ce it is u+-i@e- that /i-ose"ic has a--o:ed docume+tar e"ide+ce to #e 7reser"ed that :ou-d -i+@ him to atrocities i+ .oso"o! the 7rosecutor;s office :i-- ha"e to re- hea"i- o+ circumsta+tia- e"ide+ce to #ui-d its case9 This mea+s ide+tif i+6 a co+siste+t E7atter+ of co+ductE that -i+@s /i-ose"ic to simi-ar i--e6a- acts! to the officers a+d staff i+"o-"ed! or to the -o6istics i+"o-"ed i+ carr i+6 out atrocities9 The "er fact that atrocities ha"e #ee+ so :ides7read! f-a6ra+t! 6rotesque a+d simi-ar i+ +ature ma@es it +ear certai+ that /i-ose"ic @+e: of themD des7ite his rece+t 7rotestatio+s to the co+trar ! it defies -o6ic to su66est that he cou-d #e u+a:are of :hat his forces are doi+69 /ar@ S9 E--is! No+2Ne6otia#-eD 1ar ,rimi+a-s Be-o+6 i+ the Doc@! Not at the Ta#-e! 1ash9 Post! /a J! 'JJJ! at B'9 AFN$J5B9 See ,e-e#ici! su7ra +ote $&! 7aras9 ((&2)&&9 AFN$J4B9 See /i-ose"ic I+dictme+t! su7ra +ote $J(! 7ara9)'9 AFN$J<B9 Rome Statute! su7ra +ote $! art9 $5F(GF#G9 AFN$J%B9 See Neuffer! su7ra +ote $J$! at E' FEThose fami-iar :ith /r9 /i-ose"ic;s ha#its sa he rare- -ea"es a+ i+crimi+ati+6 7a7er trai-! does+;t use the te-e7ho+e! a+d issues +o :ritte+ directi"es9EG9 AFN$JJB9 /i-ose"ic I+dictme+t! su7ra +ote ErrorQ Boo@mar@ +ot defi+ed9$J(! 7aras95524$9 AFN(&&B9 Rome Statute! su7ra +ote $! art9 $%F'GFaG9
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AFN(&'B9 See Press Re-ease223ustice Louise 0r#our! the Prosecutor of the I+ter+atio+a- Tri#u+a-! 1rites to Preside+t /i-ose"ic a+d Other Se+ior Officia-s i+ Be-6rade a+d .oso"o To Remi+d Them of Their Res7o+si#i-ities U+der I+ter+atio+a- La:! No9 3L/PIU/(%J2E! /ar9 $4! 'JJJ! a"ai-a#-e at Uhtt7:// :::9u+9or6/ict /7ressrea-/7)&)2e9htmV F"isited No"9 5! 'JJJG Fquoti+6 from the Prosecutor;s -etter: EAIB+ the -i6ht of curre+t re7orts of esca-ati+6 "io-e+ce i+ .oso"o! I am 6ra"e- co+cer+ed that serious "io-atio+s of i+ter+atio+a- huma+itaria+ -a: co+ti+ue to #e committed999 I therefore -oo@ to ou to e=ercise our authorit o"er our su#ordi+ates999 to 7re"e+t the commissio+ of further crimes9EG9 AFN(&$B9 Rome Statute! su7ra +ote $! art9 $%F$GFaG9 AFN(&(B9 See su7ra +ote $J%9 AFN(&)B9 Rome Statute! su7ra +ote $! $%F$GF#G9 AFN(&5B9 See ,e-e#ici! su7ra +ote $&! 7ara9(5)9 AFN(&4B9 See /i-ose"ic Re"ie: of I+dictme+t! su7ra +ote %! 7aras9 (&2(<9 AFN(&<B9 See 6e+era-- U9S9 De7;t of State! The Eth+ic ,-ea+si+6 i+ .oso"o: Fact Sheet Based o+ I+formatio+ from U9S9 Io"t9 Sources! a"ai-a#-e at Uhtt7:// :::9state96o"/:::/re6io+s/eur/r7t[JJ&4&)[@s"o[eth+ic9htm-V F"isited No"9 5! 'JJJG Fdetai-i+6 atrocities a+d :ar crimes # -ocatio+ a+d t 7eG9 AFN(&%B9 See Bassiou+i O /a+i@as! su7ra +ote '4! at (5'24%9 AFN(&JB9 See Iree+! su7ra +ote 4%! at ($<2)&9 AFN('&B9 See *o:ard! su7ra +ote 'J$! at %2')D Par@s! su7ra +ote (%! at '2$9 AFN(''B9 See Ore+t-icher! su7ra +ote J! at =9 Ore+t-icher comme+ts that the curre+t tri#u+a-s i+f-ue+ced the I,, as fo--o:s: The -e6itimac of the -a: ema+ati+6 from the ad hoc tri#u+a-s :as 7ut to a critica- test duri+6 the di7-omatic co+fere+ce to esta#-ish Athe I,,B 9999 The statute ado7ted o+ the fi+a- da of that co+fere+ce 7ro"ided 7o:erfu- "i+dicatio+ of the t:o tri#u+a-s; 8uris7rude+ce9 I+deed! ma+ as7ects of the Rome statute :ou-d ha"e #ee+ i+co+cei"a#-e :ithout the fou+datio+ -aid # the *a6ue AI,TYB a+d 0rusha AI,TRB tri#u+a-s9 Id9 AFN('$B9 See 0m+est I+ter+atio+a-! su7ra +ote ''9 END OF DO,U/ENT
$5 N,3IL,R '4< FOR EDU,0TION0L USE ONLY $5 N9,9 39 I+t;- L9 O ,om9 Re69 '4< (Cite as: 25 ) C J !"t#l L ? Com Re< /$1%
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North ,aro-i+a 3our+a- of I+ter+atio+a- La: a+d ,ommercia- Re6u-atio+ Fa-- 'JJJ Comme"t &/$1 E?OLUTION OF T*E ,O//0ND RESPONSIBILITY DO,TRINE IN LII*T OF T*E ,ELEBI,I DE,ISION OF T*E INTERN0TION0L ,RI/IN0L TRIBUN0L FOR T*E FOR/ER YUIOSL0?I0 0++ B9 ,hi+6 ,o7 ri6ht C 'JJJ North ,aro-i+a 3our+a- of I+ter+atio+a- La: a+d ,ommerciaRe6u-atio+! I+c9D 0++ B9 ,hi+6 I9 I+troductio+ 1he+ the U+ited Natio+s esta#-ished a :ar crimes tri#u+a- for the former Yu6os-a"ia i+ 'JJ(! AFN'B i+ter+atio+a- atte+tio+ focused o+ the -a:s of :ar a+d huma+itaria+ co+cer+s i+ a ma++er u+see+ si+ce the 'J)&s9 AFN$B Not si+ce the 7ost21or-d 1ar II tri#u+a-s at Nurem#er6 a+d To@ o had a+ i+ter+atio+a- court sat i+ 8ud6me+t of i+di"idua-s for their co+duct i+ the course of armed co+f-ict9 AFN(B 0mo+6 the mu-titude of -e6ato7ics re"isited # the most rece+t tri#u+a-s is the doctri+e of su7erior2su#ordi+ate -ia#i-it 9 Ie+era-- s7ea@i+6! this doctri+e 7ro"ides that a su#ordi+ate ca++ot esca7e -ia#i-it mere- #ecause he or she :as fo--o:i+6 the orders of a su7erior9 AFN)B Simi-ar- ! u+der certai+ circumsta+ces! a su7erior :i-- #e -ia#-e for the u+-a:fuacts of a su#ordi+ate9 AFN5B I+ the mi-itar co+te=t! the -atter situatio+ is commo+- referred to as the comma+d res7o+si#i-it doctri+e9 AFN4B This term! a+d the -ia#i-it &/$4 that fo--o:s it! ma a77- to #oth 7o-itica- or admi+istrati"e -eaders! as :e-- as mi-itar officers9 AFN<B I+ No"em#er of 'JJ%! the I+ter+atio+a- ,rimi+a- Tri#u+a- for the Former Yu6os-a"ia AFN%B Fherei+after I,TYG ha+ded do:+ a fi+a- 8ud6me+t i+ Prosecutor "9 De-a-ic9 AFNJB This decisio+ mar@s the first time a+ a--e6ed :ar crimi+a- has #ee+ fou+d 6ui-t u+der the comma+d res7o+si#i-it doctri+e # a+ i+ter+atio+atri#u+a- si+ce the e+d of 1or-d 1ar II9 AFN'&B The I,TY he-d Mdra"@o /ucic! the :arde+ of the ,e-e#ici 7riso+ cam7! res7o+si#-e for the atrocious treatme+t of 7riso+ers # the cam7 6uards9 AFN''B The tri#u+a-! ho:e"er! u-timate- acquitted mi-itar comma+der Me8+i- De-a-ic! :hose area of res7o+si#i-it i+c-uded the ,e-e#ici cam79 AFN'$B This ,omme+t focuses o+ the de"e-o7me+t of the comma+d res7o+si#i-it doctri+e as a 7art of i+ter+atio+aa+d domestic -a:s of :ar9 First! it #rief- out-i+es the de"e-o7me+t of i+ter+atio+a-- codified -a:s of :ar9 AFN'(B Ne=t! this ,omme+t discusses the emer6e+ce of the comma+d res7o+si#i-it doctri+e as a disti+ct #asis for -ia#i-it i+ the 7rosecutio+ of :ar crimes9 AFN')B It the+ focuses o+ the ,e-e#ici 8ud6me+t! discussi+6 the facts a+d a+a- Hi+6 the Tri#u+a-;s #ases for its decisio+s co+cer+i+6 &/$6 comma+d res7o+si#i-it 9 AFN'5B Fi+a-- ! this ,omme+t com7ares the Tri#u+a-;s rece+t decisio+ :ith the historica- co+ce7t of comma+d res7o+si#i-it 9 AFN'4B II9 De"e-o7me+t of the ,omma+d Res7o+si#i-it Doctri+e as Part of the La:s of 1ar 09 E"o-utio+ of the La:s of 1ar '9 From ,ustoms to ,odes
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0-thou6h i+ter+atio+a- codificatio+ of -a:s of :ar did +ot ta@e 7-ace u+ti- the mid2+i+etee+th ce+tur ! AFN'<B ma+ cu-tures ha"e had customar 7ri+ci7-es of :ar si+ce a+cie+t times9 AFN'%B O+e ear- e=am7-e is Su+2THu! a ,hi+ese te=t o"er t:o thousa+d ears o-d that descri#es strate6ies for a66ressi"e mi-itar actio+9 AFN'JB 0-thou6h this #oo@ de"otes most of its te=t to mi-itar tactics! certai+ 7assa6es foreshado: moder+ -a:s of :ar: ESo! i+ chariot #att-es :he+ chariots are ca7tured! the te+2chariot u+it comma+der :i-- re:ard the first to ca7ture them a+d :i-- s:itch their #att-e sta+dards a+d f-a6sD their chariots are mi=ed :ith ours a+d dri"e+D their so-diers are treated @i+d- :he+ 6i"e+ care9E AFN$&B Simi-ar- ! Iree@ so-diers i+ the 7eriod from <&& to )5& B9,9 &/19 had u+:ritte+! customar ru-es of e+6a6eme+t9 AFN$'B 0mo+6 these :as the reco6+itio+ of the +o+com#ata+t status of re-i6ious sites! a 7ractice that e+dures i+ the moder+ era: EAhBosti-ities a6ai+st certai+ 7erso+s a+d i+ certai+ 7-aces are i+a77ro7riate: the i+"io-a#i-it of sacred 7-aces a+d 7erso+s u+der 7rotectio+ of the 6ods! es7ecia-- hera-ds a+d su77-ia+ts! shou-d #e res7ected9E AFN$$B The ,hi+ese a+d Iree@ cu-tures ie-d 8ust a sma-- sam7-e of the customar ru-es of :ar that e=isted i+ a+cie+t societies9 AFN$(B No+ethe-ess! e"e+ u+ti- the mid2+i+etee+th ce+tur ! -a:s of :ar e=isted mai+- as domestic re6u-atio+s! mi-itar 7ractices! a+d re-i6ious 7ri+ci7-es9 AFN$)B 0-thou6h i+di"idua- cou+tries ma ha"e had their o:+ methods for re6u-ati+6 :arfare! the first si6+ of i+ter+atio+a- a6reeme+t #e6a+ surfaci+6 :ith the Dec-aratio+ of St9 Peters#ur6! si6+ed i+ '%4%9 AFN$5B The su#sta+ce of the a6reeme+t co+cer+s a #a+ o+ certai+ t 7es of 7ro8ecti-esD AFN$4B ho:e"er! the dec-aratio+ is famous toda for its stateme+ts ref-ecti+6 moder+ co+cer+s :ith the 7ractice of i+creasi+6- so7histicated :arfare9 The Pream#-e e-oque+t- sets forth these co+cer+s: &/1/ ATBhe 7ro6ress of ci"i-iHatio+ shou-d ha"e the effect of a--e"iati+6! as much as 7ossi#-e the ca-amities of :ar9 9 999 9 9ATBhe o+- -e6itimate o#8ect :hich states shou-d e+dea"or to accom7-ish duri+6 :ar is to :ea@e+ the mi-itar force of the e+em 9 9 99ATBhis o#8ect :ou-d #e e=ceeded # the em7-o me+t of arms :hich use-essa66ra"ate the sufferi+6s of disa#-ed me+! or re+der their death i+e"ita#-e9 9 99 AFN$<B Thirt ears -ater! ,Har Nicho-as II a+d the Russia+ 6o"er+me+t ca--ed for a+ i+ter+atio+a- co+fere+ce at The *a6ue to discuss disarmame+t9 AFN$%B 0-thou6h o+ its face The *a6ue co+fere+ce ca--ed for the a"oida+ce of :ar! Russia;s rea- co+cer+ :as :ith 1ester+ i++o"atio+s i+ :ea7o+r a+d :arfare9 AFN$JB Thus! the co+fere+ce co+sisted of t:o #odies: a First ,ommittee that discussed the -imitatio+ of certai+ :ea7o+s! a+d a Seco+d ,ommittee that :or@ed o+ codif i+6 -a:s of :ar9 AFN(&B 0-thou6h 7u#-ic- co+sidered a fai-ure i+ the area of disarmame+t! AFN('B the '%JJ *a6ue ,o+fere+ce re7rese+ted the first codificatio+ of i+ter+atio+a- -a:s of :ar9 AFN($B The '%JJ *a6ue ,o+"e+tio+ o+ the La: a+d ,ustoms of 1ar o+ La+d! a+d the ,o+"e+tio+ o+ /aritime 1ar are the ear-iest e=am7-es of -a:s of :ar codified i+ the form of a mu-ti+atio+a- treat 9 AFN((B This use of the mu-ti-atera- treat as a #asis for i+ter+atio+a- ru-es a+d co+"e+tio+s o+ :arfare co+ti+ued :ith the seco+d *a6ue Peace ,o+fere+ce of 'J&<9 AFN()B This co+fere+ce ado7ted thirtee+ co+"e+tio+s! te+ of :hich dea-t :ith -a:s of :ar9 AFN(5B The *a6ue ,o+"e+tio+ I? of 'J&< AFN(4B s7ecifica-- addressed -a+d &/12 :arfare! a+d its sta+dards :ere -ater i+cor7orated i+to the mi-itar ma+ua-s of i+di"idua- +atio+s9 AFN(<B Thus! a-thou6h the seco+d *a6ue ,o+fere+ce! -i@e its 7redecessor! did +ot -ead to a+ disarmame+t amo+6 +atio+s! the co+"e+tio+s it 7romu-6ated #e6a+ to form a #asis for mi-itar trai+i+6 o+ the -a:s of :ar9 AFN(%B $9 The Nurem#er6 Effect The +e=t si6+ifica+t de"e-o7me+t i+ the e"o-utio+ of i+ter+atio+a- -a:s of :ar came to:ard the e+d of the Seco+d 1or-d 1ar9 AFN(JB I+ 0u6ust of 'J))! the U+ited States 0rm Office of the 3ud6e 0d"ocate Ie+eraF30IG #e6a+ orderi+6 fie-d comma+ders to detai+ e+em so-diers a+d comma+ders :ho mi6ht ha"e committed :ar crimes9 AFN)&B 0rou+d the same time! the U+ited States :as co+su-ti+6 :ith Ireat Britai+ a+d its a--ies to determi+e ho: to dea- :ith a--e6ed :ar crimi+a-s9 AFN)'B The resu-t :as the first I+ter+atio+a- /i-itar
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Tri#u+a- for the 7rosecutio+ of :ar crimes! #etter @+o:+ as the Nurem#er6 tria-s9 AFN)$B I+deed! the Nurem#er6 tria-s are so famous that ma+ mista@e+- #e-ie"e that these tria-s :ere the source of moder+ -a:s of :ar9 AFN)(B Rather! the tri#u+a- had the tas@ of ta@i+6 the the+2e=isti+6 -a:s! #oth the customar u+:ritte+ ru-es of e+6a6eme+t AFN))B a+d codified treaties such as the *a6ue co+"e+tio+s! AFN)5B a+d a77- i+6 them to the u+ique tas@ of &/15 7rosecuti+6 the Third Reich9 AFN)4B E"e+tua-- the four de-e6atio+s i+"o-"ed22the U+ited States! Fra+ce! Ireat Britai+! a+d the So"iet U+io+22 came u7 :ith the Lo+do+ ,harter of the tri#u+a-! +amed for the cit i+ :hich it :as drafted9 AFN)<B 0rtic-e Si= of the charter e+umerated the crimes o"er :hich the tri#u+a- :ou-d ha"e 8urisdictio+! a+d di"ided these crimes i+to three #road cate6ories: ,rimes 06ai+st Peace! 1ar ,rimes! a+d ,rimes 06ai+st *uma+it 9 AFN)%B The first cate6or ! ,rimes 06ai+st Peace! :e+t #e o+d the sco7e of the St9 Peters#ur6 Dec-aratio+ AFN)JB to ma@e the :a6i+6 of a66ressi"e :ar a crime i+ itse-f9 AFN5&B The 1ar ,rimes cate6or co"ered E"io-atio+s of the -a:s or customs of :ar!E i+c-udi+6 such acts as Emurder or i--2treatme+t of 7riso+ers of :ar 9 9 9 @i--i+6 of hosta6es! 7-u+der of 7u#-ic or 7ri"ate 7ro7ert 9 9 9 or de"astatio+ +ot 8ustified # mi-itar +ecessit 9E AFN5'B ,rimes 06ai+st *uma+it addressed direct- the 6e+ocide issue! defi+i+6 such crimes as murder! e=termi+atio+! e+s-a"eme+t! de7ortatio+! a+d other i+huma+e acts committed a6ai+st a+ ci"i-ia+ 7o7u-atio+s! #efore or duri+6 the :arD or 7ersecutio+s o+ 7o-itica-! racia-! or re-i6ious 6rou+ds i+ e=ecutio+ of or i+ co++ectio+ :ith a+ crime :ithi+ the 8urisdictio+ of the Tri#u+a-! :hether or +ot i+ "io-atio+ of the domestic -a: of the cou+tr :here 7er7etrated9 AFN5$B &/14 /ore tha+ the Lo+do+ ,harter;s defi+itio+ of :ar crimes! it :as the actua- 7rosecutio+ of the NaHi :ar crimi+a-s that set si6+ifica+t 7recede+ts i+ the de"e-o7me+t of -a:s of :ar9 AFN5(B Put a+other :a ! the reaim7act of the Nurem#er6 tri#u+a- :as +ot i+ the defi+itio+ of :ar crimes! #ut i+ their a77-icatio+ to crimi+adefe+da+ts9 AFN5)B (9 Post 1or-d 1ar II De"e-o7me+ts The atrocities of 1or-d 1ar II #rou6ht :ar crimes! es7ecia-- those of huma+itaria+ +ature! i+to the i+ter+atio+a- s7ot-i6ht9 The resu-t :as a+ e=7-osio+ i+ the codificatio+ of customs of :arfare9 AFN55B Of these codificatio+s! some of the most i+f-ue+tia- o+es ha"e #ee+ the Ie+e"a ,o+"e+tio+s of 'J)J9 AFN54B These four co+"e+tio+s :ere 7romu-6ated # the I+ter+atio+a- ,ommittee of the Red ,ross! a+d "oted u7o+ a+d im7-eme+ted # de-e6ates from most +atio+s of the :or-d9 AFN5<B To6ether! the form a sta#-e #ase from :hich t:e+tieth ce+tur -a:s of :ar ha"e e"o-"ed a+d matured9 AFN5%B The Ie+e"a ,o+"e+tio+s dea- mai+- :ith huma+itaria+ as7ects of :arfare! such as treatme+t of :ou+ded so-diers i+ the fie-d AFN5JB a+d at sea! AFN4&B 7riso+ers of :ar! AFN4'B a+d 7rotectio+ of ci"i-ia+s i+ :artime9 AFN4$B &/15 The Ie+e"a co+"e+tio+s :ere si6+ed 8ust a fe: short ears after the e+d of 1or-d 1ar II9 The decades fo--o:i+6! ho:e"er! sa: the de"e-o7me+t of u+7recede+ted t 7es of :arfare! i+c-udi+6 6ueri--a tactics a+d i+ter+a-! or +o+2i+ter+atio+a-! co+f-icts9 AFN4(B I+ the -ate 'J<&s! the I+ter+atio+a- ,ommittee of the Red ,ross sou6ht to address these cha+6es # co+"e+i+6 a +e: Ie+e"a co+fere+ce! :hich e"e+tua-- 7roduced t:o additio+a- 7rotoco-s to the Ie+e"a ,o+"e+tio+s9 AFN4)B Protoco- I co+tai+ed a co+tro"ersia- 7ro"isio+ c-assif i+6 7erso+s +ot i+ u+iform! #ut carr i+6 :ea7o+s duri+6 or 7recedi+6 a+ attac@! as com#ata+ts9 AFN45B Protoco- I a-so ref-ected 7ost2?iet+am co+cer+s for e+"iro+me+ta- 7reser"atio+ # co+tai+i+6 a+ artic-e that 7rohi#ited use of :ea7o+s :hich ma dama6e the +atura- e+"iro+me+t a+d 7rohi#ited destructio+ of the e+"iro+me+t as a mea+s of re7risa-9 AFN44B )9 Summar This #road o"er"ie: of the de"e-o7me+t of -a:s of :ar has #ee+ -imited 7rimari- to discussi+6 the tre+d to:ard codificatio+9 Factors com7-ete- se7arate from the forma- treat 7rocess ha"e a-so 6reat- i+f-ue+ced the customs of :arfare9 The i+f-ue+ce of the media i+ #ri+6i+6 atrocities i+to the i+ter+atio+a- s7ot-i6ht a+d the resu-ta+t i+f-ue+ce of 7u#-ic outcr are such e=am7-es9 AFN4<B &/1$ 0+other e=am7-e is the qua-it of i+structio+ o+ -a:s of :ar 6i"e+ to so-diers a+d mi-itar officers i+ their i+itia- trai+i+69 AFN4%B No+ethe-ess! the treaties a+d co+"e+tio+s 7ro"ide co+crete docume+tatio+ of the cha+6i+6 7ri+ci7-es of :arfare o"er time9
Pa6e )
B9 Emer6e+ce of the Doctri+e of ,omma+d Res7o+si#i-it '9 The Doctri+e Defi+ed The comma+d res7o+si#i-it doctri+e is u+a"oida#- dua-istic i+ +ature! for it co+cer+s #oth the comma+der a+d the su#ordi+ate9 AFN4JB Thus! it 7rese+ts t:o sides of the coi+22the comma+der;s res7o+si#i-it for :ar crimes committed # a su#ordi+ate! a+d the 7-ea of the su#ordi+ate that he or she :as Eacti+6 i+ accorda+ce :ith orders9E AFN<&B Furthermore! the comma+der;s res7o+si#i-it is t:ofo-d: comma+ders ma #e direct-ia#-e for issui+6 i--e6a- orders a+d ma a-so #e -ia#-e for the u+-a:fuacts of su#ordi+ates! if the comma+ders @+e: or shou-d ha"e @+o:+ a#out the i--e6a- acts! #ut fai-ed to 7re"e+t or 7u+ish them9 AFN<'B This ,omme+t focuses o+ the -atter as7ect of a comma+der;s res7o+si#i-it 9 $9 *istorica- De"e-o7me+ts The #e6i++i+6s of the comma+d res7o+si#i-it doctri+e ca+ #e see+ as far #ac@ as the time of Su+2THu9 AFN<$B Duri+6 that time! the 7rimar focus :as o+ the comma+der;s dut to -ead a+d co+tro- those u+der his comma+d9 AFN<(B I+ that se+se! a comma+der;s -ia#i-it cou-d f-o: +ot o+- from a+ im7ro7er order #ut a-so from fai-ure &/11 to 7ro7er- -ead or co+tro- his troo7s # a--o:i+6 them to commit u+-a:fu- acts9 AFN<)B The de"e-o7me+t of -a:s of :ar i+ the U+ited States demo+strates ho: the comma+d res7o+si#i-it doctri+e 6radua-- too@ sha7e o"er the -ast t:o hu+dred ears9 AFN<5B For e=am7-e! scarce- a fe: mo+ths after the si6+i+6 of 0merica;s Dec-aratio+ of I+de7e+de+ce! the 0merica+ 0rtic-es of 1ar :ere e+acted9 AFN<4B 0mo+6 their 7ro"isio+s! the 0rtic-es required mi-itar officers to @ee7 their troo7s i+ E6ood order!E a+d 7ro"ided that officers :ho fai-ed to 7u+ish the misco+duct of their so-diers cou-d themse-"es #e 7u+ished for the offe+ses committed9 AFN<<B Perha7s the first i+ter+atio+a- reco6+itio+ of the comma+d res7o+si#i-it doctri+e occurred i+ the *a6ue ,o+"e+tio+ I? of 'J&<9 AFN<%B This co+"e+tio+! :hich dea-t :ith -a+d :arfare! defi+ed -a:fu- com#ata+ts i+ 7art as #ei+6 comma+ded # a res7o+si#-e su7erior9 AFN<JB O+e of the comma+d res7o+si#i-ities desi6+ated # the *a6ue ,o+"e+tio+ I? is i+suri+6 E7u#-ic order a+d safet E i+ areas occu7ied # mi-itar troo7s9 AFN%&B /ost si6+ifica+t- ! the 7ro"isio+s of the co+"e+tio+ ho-d #e--i6ere+t +atio+s res7o+si#-e for the acts of their armed forces9 AFN%'B This o#-i6atio+ foreshado:s the moder+ +otio+ of ho-di+6 heads of state accou+ta#-e u+der the comma+d res7o+si#i-it doctri+e9 AFN%$B Des7ite the *a6ue ,o+"e+tio+s of 'J&<! ho:e"er! 1or-d 1ar I fai-ed to see a+ ma8or :ar crime 7rosecutio+s of mi-itar comma+ders for acts i+ &/14 "io-atio+ of the -a:s of :ar9 AFN%(B (9 Post21or-d 1ar II De"e-o7me+ts To:ard the e+d of 1or-d 1ar II! the 0--ied 7o:ers faced t:o 7ro#-ems: ho: to 7u+ish NaHi crimes a6ai+st 3e:s that too@ 7-ace #efore 1or-d 1ar II! a+d ho: to dea- :ith 7ote+tia-- thousa+ds of NaHi defe+da+ts :ho mi6ht #e res7o+si#-e for these a+d other crimes9 AFN%)B /urra Ber+a s! a U+ited States 0rm ,o-o+e- a+d -a: er! came u7 :ith the idea of char6i+6 NaHi or6a+iHatio+s a+d their -eaders :ith crimi+a- co+s7irac 9 AFN%5B This :a ! these defe+da+ts cou-d #e char6ed +ot o+- :ith actua- "io-atio+s of the -a:s of :ar! #ut :ith the act of co+s7iri+6 to commit these "io-atio+s i+ the 7re2:ar 7eriod9 AFN%4B Thus! the :ar crimes committed a6ai+st Ierma+ 3e:s #efore the out#rea@ of the :ar cou-d #e 7u+ished as E7re7arator co+duct9E AFN%<B Furthermore! the co+s7irac char6es cou-d a-so reso-"e the difficu-t of i+dicti+6 the "ast +um#er of 7ote+tiadefe+da+ts9 AFN%%B O+ce a+ or6a+iHatio+ :as co+"icted of #ei+6 7art of the co+s7irac ! 7roof of mem#ershi7 i+ the or6a+iHatio+ a-o+e cou-d #e e+ou6h to co+"ict a+ i+di"idua-9 AFN%JB Ne"erthe-ess! Ber+a s; co+s7irac idea :as +ot ado7ted i+ its e+tiret i+to the Lo+do+ ,harter9 AFNJ&B Rather! the co+s7irac theor &/16 :as a77-ied o+- to the char6e of ,rimes 06ai+st Peace! as a co+s7irac of the Euro7ea+ 0=is to :a6e a66ressi"e :ar9 AFNJ'B O+ce -imited to this char6e a-o+e! the co+s7irac theor #ecame too :ea@ to e+com7ass the 7re2:ar harassme+t of Ierma+ 3e:s # NaHis9 AFNJ$B E"e+tua-- ! the Nurem#er6 tri#u+a- fou+d that there :as +o si+6-e co+s7irac to :a6e a+ a66ressi"e :ar! #ut ma+ se7arate 7-a+s to do so9 AFNJ(B
Pa6e 5
Des7ite the fai-ure to o#tai+ a co+"ictio+ #ased o+ a NaHi co+s7irac ! the co+s7irac idea re7rese+ts a si6+ifica+t ste7 i+ the e"o-utio+ of the comma+d res7o+si#i-it doctri+e9 0rtic-e 4 of the Lo+do+ ,harter co+tai+s the fo--o:i+6 -a+6ua6e: ELeaders! or6a+iHers! i+sti6ators a+d accom7-ices 7artici7ati+6 i+ the formu-atio+ or e=ecutio+ of a commo+ 7-a+ or co+s7irac to commit a+ of the fore6oi+6 crimes are res7o+si#-e for a-- acts 7erformed # a+ 7erso+s i+ e=ecutio+ of such 7-a+9E AFNJ)B 0rtic-e < of the Lo+do+ ,harter co+ti+ues: EThe officia- 7ositio+ of defe+da+ts! :hether as *eads of State or res7o+si#-e officia-s i+ Io"er+me+t De7artme+ts! sha-- +ot #e co+sidered as freei+6 them from res7o+si#i-it or miti6ati+6 7u+ishme+t9E AFNJ5B From this -a+6ua6e! o+e ca+ i+fer the fo--o:i+6 7ro7ositio+s: '9 Io"er+me+t -eaders cou-d #e he-d res7o+si#-e for co+s7iri+6 to e+6a6e i+ a66ressi"e :ar! e"e+ if the did +o s7ecific acts i+ furthera+ce of the :a6i+6 of :arD AFNJ4B $9 Leaders a+d or6a+iHers cou-d #e char6ed for the crimes of su#ordi+ates committed i+ fo--o:i+6 the -eaders; orderD (9 Io"er+me+t officia-s cou-d +ot dec-are themse-"es immu+e from 7u+ishme+t # "irtue of their 7o-itica7ositio+9 &/49 These 7ro7ositio+s dea- mai+- :ith a comma+der;s res7o+si#i-it for issui+6 a+ u+-a:fu- order9 AFNJ<B The Lo+do+ ,harter did +ot dea- s7ecifica-- :ith comma+d res7o+si#i-it as it re-ates to the fai-ure to 7re"e+t or 7u+ish u+-a:fuacts of su#ordi+ates! mai+- #ecause the NaHi defe+da+ts at Nurem#er6 cou-d #e he-d direct- -ia#-e for their 7artici7atio+ i+ :artime atrocities9 AFNJ%B 0 7ost21or-d 1ar II tria- that 7ro"ides a some:hat co+tro"ersia- moder+ a77-icatio+ of the comma+d res7o+si#i-it doctri+e is that of 3a7a+ese Ie+era- Tomo u@i Yamashita9 AFNJJB Ie+era- Yamashita ser"ed as comma+der of 3a7a+ese forces i+ the Phi-i77i+es from Octo#er J! 'J))! u+ti- his surre+der o+ Se7tem#er (! 'J)59 AFN'&&B Duri+6 this time the so-diers u+der Ie+era- Yamashita;s u-timate comma+d :ere a--e6ed to ha"e committed atrocities a6ai+st #oth U+ited States so-diers i+ the Phi-i77i+es a+d Fi-i7i+os9 AFN'&'B The /i-itar ,ommissio+ a77oi+ted to tr Ie+era- Yamashita after his ca7ture co+"icted him for "io-ati+6 -a:s of :ar a+d se+te+ced him to death # ha+6i+69 AFN'&$B Yamashita;s s7ecific char6e :as that! 1hi-e comma+der of armed forces of 3a7a+ at :ar :ith the U+ited States of 0merica a+d its a--ies! Ahe hadB u+-a:fu-- disre6arded a+d fai-ed to dischar6e his dut as comma+der to co+tro- the o7eratio+s of the mem#ers of his comma+d! 7ermitti+6 them to commit #rutaatrocities a+d other hi6h crimes a6ai+st 7eo7-e of the U+ited States a+d of its a--ies a+d de7e+de+cies! 7articu-ar- the Phi-i77i+esD a+d he 9 9 9 there# "io-ated the -a:s of :ar9 AFN'&(B This char6e did +ot a--e6e that Yamashita ordered the commissio+ of atrocities or that he 7erso+a-committed atrocities9 Rather! the court #ased -ia#i-it o+ Yamashita;s fai-ure to act! :hich :as characteriHed as a #reach of his dut as a &/4/ comma+der to co+tro- his troo7s9 AFN'&)B The U+ited States Su7reme ,ourt ac@+o:-ed6ed that 7recede+t for im7osi+6 such a dut e=isted i+ the *a6ue ,o+"e+tio+ I? of 'J&<9 AFN'&5B 0s to :hether such a dut a77-ies to a mi-itar comma+der u+der attac@ # i+"adi+6 forces! AFN'&4B the ,ourt stated i+ dicta: It is e"ide+t that the co+duct of mi-itar o7eratio+s # troo7s :hose e=cesses are u+restrai+ed # the orders or efforts of their comma+der :ou-d a-most certai+- resu-t i+ "io-atio+s :hich it is the 7ur7ose of the -a: of :ar to 7re"e+t9 Its 7ur7ose to 7rotect ci"i-ia+ 7o7u-atio+s a+d 7riso+ers of :ar from #ruta-it :ou-d -ar6e- #e defeated if the comma+der of a+ i+"adi+6 arm cou-d :ith im7u+it +e6-ect to ta@e reaso+a#-e measures for their 7rotectio+9 *e+ce the -a: of :ar 7resu77oses that its "io-atio+ is to #e a"oided throu6h the co+troof the o7eratio+s of :ar # comma+ders :ho are to some e=te+t res7o+si#-e for their su#ordi+ates9 AFN'&<B
Pa6e 4
Thus! a-thou6h the ,ourt cou-d +either create a +e: -a: of :ar AFN'&%B +or 7oi+t to a+ e=act 7recede+t for the Yamashita situatio+! AFN'&JB it :as a#-e to e=tra7o-ate a dut to co+tro- #ased o+ the 7ur7oses of the -a:s of :ar9 AFN''&B I+ reaffirmi+6 the "a-idit of the actio+s of the mi-itar commissio+ that tried Yamashita! the Su7reme ,ourt further he-7ed esta#-ish +ot o+- the dut of the comma+der! #ut a-so his -ia#i-it for "io-ati+6 a -a: of :ar for fai-i+6 to 7ro7er- dischar6e this dut 9 AFN'''B &/42 I+ his disse+t i+ Yamashita! 3ustice /ur7h made a+ im7assio+ed ar6ume+t that the char6e a6ai+st Ie+era- Yamashita -ac@ed -e6a- 7recede+t9 AFN''$B /a+ #e-ie"e 3ustice /ur7h ;s disse+t i+ Yamashita ar6ued a6ai+st a strict -ia#i-it sta+dard for mi-itar comma+ders9 AFN''(B 0t -east o+e comme+tator! ho:e"er! reaso+s that 3ustice /ur7h ;s 7ositio+ ma #e characteriHed as a+ o#8ectio+ to char6i+6 a comma+der :ith fai-ure to 7ro7er- co+tro- his troo7s after the accusi+6 7art had effecti"e- defeated the comma+der a+d cut off his -i+es of commu+icatio+9 AFN'')B 0-thou6h the 7arties i+ this case ma ha"e #ee+ shar7- di"ided o"er the 7rocedura- a+d e"ide+tiar issues! AFN''5B the comma+d res7o+si#i-it doctri+e as defi+ed i+ Yamashita :as to #ecome more acce7ted i+ the -atter ha-f of the t:e+tieth ce+tur 9 )9 /oder+ Permutatio+s: The I,TY;s Defi+itio+ 0-thou6h Yamashita f-eshed out the comma+d res7o+si#i-it doctri+e as it 7ertai+ed to -ia#i-it for fai-ure to act! ma+ questio+s remai+ed u+reso-"ed9 O+e im7orta+t issue :as the me+s rea required of the accused comma+der9 The first i+ter+atio+a- treat to codif the comma+d res7o+si#i-it doctri+e after 1or-d 1ar II :as Protoco- I to the Ie+e"a ,o+"e+tio+s of 'J)J9 AFN''4B &/45 Protoco- I! artic-e %4! states: '9 The *i6h ,o+tracti+6 Parties a+d the Parties to the co+f-ictsha-- re7ress 6ra"e #reaches! a+d ta@e measures +ecessar to su77ress a-- other #reaches! of the ,o+"e+tio+s or of this Protoco- :hich resu-t from a fai-ure to act :he+ u+der a dut to do so9 $9 The fact that a #reach of the ,o+"e+tio+s or of this Protoco- :as committed # a su#ordi+ate does +ot a#so-"e his su7eriors from 7e+a- or disci7-i+ar res7o+si#i-it ! as the case ma #e! if the @+e:! or had i+formatio+ that shou-d ha"e e+a#-ed them to co+c-ude i+ the circumsta+ces at the time! that he :as committi+6 or :as 6oi+6 to commit such a #reach a+d if the did +ot ta@e a-- feasi#-e measures :ithi+ their 7o:er to 7re"e+t or re7ress the #reach9 AFN''<B The seco+d 7ara6ra7h a#o"e i+dicates that the me+s rea for comma+d res7o+si#i-it is +ot strict -ia#i-it 9 Rather! it is #ased o+ either actua- @+o:-ed6e or @+o:-ed6e im7-ied from the circumsta+ces! 6i"e+ the i+formatio+ the comma+der had access to9 It a77ears that actua- or im7-ied @+o:-ed6e u+der Protoco- I tri66ers a comma+der;s dut to act Efeasi#- !E a+d E:ithi+ AhisB 7o:er!E to 7re"e+t the su#ordi+ate from committi+6 a :ar crime9 AFN''%B The i+f-ue+ce of Protoco- I #ecame a77are+t t:o decades -ater :he+ the U9N9 ado7ted the Statute of the I+ter+atio+a- ,rimi+a- Tri#u+a- for the former Yu6os-a"ia9 AFN''JB 0rtic-e <! sectio+ ( of that statute s7ecifica-- co"ers the comma+d res7o+si#i-it doctri+e9 AFN'$&B I+ some res7ects! the -a+6ua6e of the I,TY Statute is c-earer tha+ Protoco- I9 Rather tha+ requiri+6 a su7erior to ta@e Ea-- &/44 feasi#-e measures :ithi+ AhisB 7o:er!E AFN'$'B the statute requires more o#8ecti"e E+ecessar a+d reaso+a#-e measures9E AFN'$$B Furthermore! the me+s rea sta+dard is couched i+ sta+dard -e6atermi+o-o6 : E@+e: or had reaso+ to @+o:9E AFN'$(B 06ai+! this -a+6ua6e su66ests that the me+s rea requireme+t of the comma+d res7o+si#i-it doctri+e ma #e either actua- or co+structi"e @+o:-ed6e9 The ,ommissio+ of E=7erts o+ the Former Yu6os-a"ia e-a#orates the -e"e- of me+s rea required to tri66er the comma+d res7o+si#i-it doctri+e9 AFN'$)B This re7ort su66ests a third t 7e of me+s rea! disti+ct from actuaor co+structi"e @+o:-ed6e! i+ :hich a comma+der ca+ #e he-d res7o+si#-e for the actio+s of his su#ordi+ates9 This sta+dard! e+umerated i+ sectio+ F#G i+ the e=cer7t a#o"e! :ou-d 7rohi#it a comma+der from ta@i+6 ad"a+ta6e of his E:i--fu- #-i+d+ess9E AFN'$5B
Pa6e <
59 Summar The comma+d res7o+si#i-it doctri+e de"e-o7ed o"er the ears from a+cie+t 7ri+ci7-es to moder+ i+ter+atio+a- treaties9 The Yamashita case ide+tified some trou#-i+6 as7ects i+ a77- i+6 the doctri+e! es7ecia-:he+ the outcome seems to #ase the comma+der;s res7o+si#i-it o+ a theor of strict -ia#i-it 9 0-thou6h comme+tators are di"ided o"er :hether Yamashita actua-- set a strict -ia#i-it sta+dard! the comma+d res7o+si#i-it doctri+e i+ the I,TY Statute has re8ected that sta+dard # requiri+6 a me+s rea com7o+e+t of E@+e: or had reaso+ to @+o:9E &/45 III9 077-icatio+ of the ,omma+d Res7o+si#i-it Doctri+e i+ the I+ter+atio+a- Tri#u+a- for the Former Yu6os-a"ia: The ,e-e#ici 3ud6me+t 09 O"er"ie: of the I,TY 0 com7-ete discussio+ of the issues surrou+di+6 the esta#-ishme+t of the I,TY is #e o+d the sco7e of this ,omme+t! #ut a #asic o"er"ie: of the formatio+ a+d :or@i+6s of the Tri#u+a- is he-7fu-9 The Securit ,ou+ciof the U9N9 reso-"ed i+ 'JJ( to create a+ i+ter+atio+a- tri#u+a- to ad8udicate huma+ ri6hts #reaches that occurred i+ the former Yu6os-a"ia9 AFN'$4B The I,TY differs from the Nurem#er6 tri#u+a- i+ at -east t:o si6+ifica+t as7ects9 First! the U+ited Natio+s! a commu+it of +atio+s that :ere +ot 7arties to the Bos+ia+ co+f-ict! created the I,TY9 AFN'$<B This a"oided the criticism after the Nurem#er6 tri#u+a-D that the tri#u+a- dea-t E"ictor;s 8usticeE to a "a+quished e+em 9 AFN'$%B Seco+d! the U+ited Natio+s esta#-ished the I,TY duri+6 the Bos+ia+ co+f-ict so that the Tri#u+a- cou-d #e used to further the 7eace 7rocess #et:ee+ the :arri+6 eth+ic 6rou7s9 AFN'$JB I+deed! the Securit ,ou+ci- #ased its authorit to co+"e+e the Tri#u+a- u7o+ this 6oa- of furtheri+6 7eace9 AFN'(&B ,ha7ter ?II of the U+ited Natio+s; charter co+cer+s actio+ to #e ta@e+ re-ati"e to threats to 7eace a+d acts of a66ressio+9 AFN'('B 0rtic-e (J ca--s u7o+ the Securit ,ou+ci- to Edecide :hat measures sha-#e ta@e+ i+ accorda+ce :ith 0rtic-es )' a+d )$! to mai+tai+ or restore i+ter+atio+a- 7eace a+d securit 9E AFN'($B 0rtic-e )' e+a#-es the ,ou+ci- to ta@e Emeasures +ot i+"o-"i+6 the use of armed force!E a+d -ists some +o+2e=c-usi"e &/4$ mea+s of esta#-ishi+6 7eace9 AFN'((B These 0rtic-es formed the #asis of the Securit ,ou+ci-;s decisio+ to esta#-ish the Tri#u+a-9 AFN'()B T:o -o:er courts FTria- ,ham#ers I a+d IIG a+d a ,ourt of 077ea-s com7rise the I,TY9 AFN'(5B The 8ud6es a+d 7rosecutor come from a "ariet of +atio+s! i+c-udi+6 South 0frica! 0ustra-ia! the U+ited States! ,hi+a! a+d ,a+ada9 AFN'(4B Both ratio+e -oci a+d ratio+e tem7oris -imit the Tri#u+a-;s 8urisdictio+ to crimes committed i+ the former Yu6os-a"ia F-a+d! air! a+d territoria- :atersG si+ce 3a+uar '! 'JJ'9 AFN'(<B B9 Factua- Bac@6rou+d of the ,e-e#ici 3ud6me+t Se"era- as7ects ma@e the ,e-e#ici 3ud6me+t u+usua-9 First! the I,TY o#tai+ed its first co+"ictio+ of a Bos+ia+ ,roat a+d Bos+ia+ /us-ims for atrocities committed a6ai+st Bos+ia+ Ser#s9 AFN'(%B Seco+d! the decisio+ re7rese+ted the first time the I,TY fou+d a defe+da+t 6ui-t of ra7e a+d c-assified it as a :ar crime9 AFN'(JB Fi+a-- ! the ,e-e#ici case :as the first i+ter+atio+a- 8ud6me+t si+ce 1or-d 1ar II ho-di+6 a su7erior -ia#-e for the crimes of his su#ordi+ates9 AFN')&B The tria- co+cer+ed actio+s ta@e+ i+ 'JJ$ at the ,e-e#ici 7riso+ cam7! -ocated i+ the .o+8ic mu+ici7a-it 9 AFN')'B Bos+ia+ ,roat a+d /us-im forces i+"aded .o+8ic a+d used the #arrac@s a+d :arehouses at ,e-e#ici to house Ser#ia+ 7riso+ers9 AFN')$B I+ descri#i+6 the o"era-- +ature of ,e-e#ici! the Tri#u+a- stated Ethat a+ atmos7here of fear a+d i+timidatio+ 7re"ai-ed at the 7riso+2cam7! i+s7ired # the #eati+6s meted out i+discrimi+ate- u7o+ the 7riso+ers; arrest! tra+sfer to the cam7 a+d their arri"a-9E AFN')(B The Tri#u+a- tried four defe+da+ts co+curre+t- for atrocities &/41 committed at ,e-e#ici: Me8+i- De-a-ic! Mdra"@o /ucic! *aHim De-ic a+d Esad La+dHo9 AFN'))B Esad La+dHo! the ou+6est of the defe+da+ts! AFN')5B :or@ed as a 6uard at the 7riso+ cam79 AFN')4B /ucic :as the a--e6ed comma+der of the cam7! a+d De-ic :as his de7ut comma+der u+ti- /ucic;s de7arture i+ No"em#er of 'JJ$! at :hich time De-ic #ecame comma+der9
Pa6e %
AFN')<B De-a-ic :as comma+der of the mi-itar forces i+ the .o+8ic area a+d :as a--e6ed to ha"e authorit o"er the ,e-e#ici cam79 AFN')%B Of the defe+da+ts! o+- De-ic! /ucic! a+d De-a-ic :ere char6ed u+der the comma+d respo"si,ility doctri+e9 AFN')JB Thus! the fo--o:i+6 discussio+ dea-s o+- :ith their char6es9 ,9 ,omma+d Respo"si,ility as 077-ied i+ the ,e-e#ici 3ud6me+t I+ the ,e-e#ici 3ud6me+t! the I,TY -ists the e-eme+ts of comma+d respo"si,ility as fo--o:s: FiG the e=iste+ce of a superior2su#ordi+ate re-atio+shi7D FiiG the superior @+e: or had reaso+ to @+o: that the crimi+a- act :as a#out to #e or had #ee+ committedD a+d FiiiG the superior fai-ed to ta@e the +ecessar a+d reaso+a#-e measures to 7re"e+t the crimi+a- act or 7u+ish the 7er7etrator thereof9 AFN'5&B These three e-eme+ts summariHe the -a+6ua6e i+ 0rtic-e <! sectio+ ( of the statute! :hich dea-s :ith superior2su#ordi+ate -ia#i-it 9 AFN'5'B No+ethe-ess! #oth the 7rosecutio+ a+d defe+se i+ the ,e-e#ici case had the o77ortu+it to ar6ue their 7ro7osed i+ter7retatio+ of the comma+d respo"si,ility doctri+e9 The 7rosecutio+ co+te+ded that the e-eme+ts of the comma+d respo"si,ility doctri+e shou-d #e that the superior e=ercise direct a+d/or i+direct comma+d or co+tro- o"er the su#ordi+ates :ho &/44 commit serious "io-atio+s of i+ter+atio+ahuma+itaria+ -a:D the superior must @+o: or ha"e reaso+ to @+o: that these acts :ere a#out to #e committed! or had #ee+ committed! e"e+ #efore he assumed co+tro-D a+d the superior must fai- to ta@e the reaso+a#-e measures :ithi+ his 7o:er or at his dis7osa-! to 7re"e+t or 7u+ish these su#ordi+ates for these offe+ces9 AFN'5$B B i+c-udi+6 those :ho e=ercised de facto co+tro- o"er the ,e-e#ici cam7! :hich a--o:s e"e+ i+formacomma+ders to fa-- :ithi+ the doctri+e! the 7rosecutio+ desired a+ e=7a+ded defi+itio+ of Esu7erior9E AFN'5(B Furthermore! e-eme+t F$G 7ut forth # the 7rosecutio+ i+ter7reted the Ereaso+ to @+o:E me+s rea requireme+t to e+com7ass su7eriors :ho :ere dere-ict i+ their dut to su7er"ise! a+d there# fai-ed to i+form themse-"es of 7ossi#-e "io-atio+s of the -a:s of :ar9 AFN'5)B The defe+se cou+tered this characteriHatio+ # comma+d res7o+si#i-it : 7utti+6 forth fi"e factors to co+sider i+ determi+i+6
F'G The status of the accused as a comma+der or a ci"i-ia+ e=ercisi+6 the equi"a-e+t of mi-itar comma+d authorit o"er a 7erso+ :ho committed a "io-atio+ of the -a: of :arD F$G That a "io-atio+ of the -a: of :ar actua-- occurred or :as a#out to occurD F(G That the comma+der had either actua- @+o:-ed6e of the commissio+ of the "io-atio+ of the -a: of :ar or that the &/46 comma+der had @+o:-ed6e e+a#-i+6 him to co+c-ude that the -a:s of :ar had #ee+ "io-atedD F)G That the comma+der fai-ed to act reaso+a#- i+ su77ressi+6 "io-atio+s # i+"esti6ati+6 a--e6atio+s a+d 7u+ishi+6 7er7etrators or # ta@i+6 actio+ to 7re"e+t future "io-atio+sD 0+d that the comma+der;s fai-ure to act :as the cause of the :ar crime that actua-- :as committed9 AFN'55B Natura-- ! the defe+se desired a stricter me+s rea requireme+t! -imited to either actua- @+o:-ed6e of the :ar crime! or actua- 7ossessio+ of i+formatio+ that :ou-d 7ut the su7erior o+ +otice that the crime had #ee+ committed9 AFN'54B Furthermore! the defe+se i+troduced a causatio+ e-eme+t: that omissio+ # the su7erior #e the cause of the actua- "io-atio+9 AFN'5<B 077- i+6 these fi"e e-eme+ts i+ -ieu of the three 7ut forth # the
Pa6e J
7rosecutio+ :ou-d -i@e- resu-t i+ fe:er su7eriors #ei+6 fou+d -ia#-e9 I+ discussi+6 :hich e-eme+ts of comma+d res7o+si#i-it to a77- to the facts #efore it! the I,TY em7hasiHed that the 7rosecutio+ had 7ro7er- disti--ed the doctri+e i+to three e-eme+ts9 AFN'5%B Su#seque+t- ! the tri#u+a- discussed each of the requireme+ts i+ tur+! starti+6 :ith the e=iste+ce of a su7erior2su#ordi+ate re-atio+shi79 AFN'5JB The tri#u+a- a6reed :ith the 7rosecutio+ that de facto comma+ders cou-d #e -ia#-e u+der the comma+d res7o+si#i-it doctri+e! es7ecia-- 6i"e+ the #rea@do:+ i+ forma-! -e6a- comma+d structures caused # the +ature of the co+f-ict i+ the former Yu6os-a"ia9 AFN'4&B The tri#u+a- stated that it -oo@ed more to authorit ! as em#odied i+ the a#i-it to co+tro- the actio+ of su#ordi+ates! rather tha+ the forma- status of a+ i+di"idua- as a comma+der! i+ determi+i+6 the e=iste+ce of a superior2su#ordi+ate re-atio+shi79 AFN'4'B No+ethe-ess! the tri#u+a- :as carefu- to +ote Ethat the doctri+e of superior respo"si,ility e=te+ds to ci"i-ia+ superiors o+- to the e=te+t that the e=ercise a de6ree of co+tro- o"er their su#ordi+ates :hich is simi-ar to that of &/69 mi-itar comma+ders9E AFN'4$B Ne=t! the tri#u+a- addressed the me+s rea e-eme+t of the comma+d respo"si,ility doctri+e9 The tri#u+areco6+iHed! as did #oth the defe+se a+d the 7rosecutio+! that actua- @+o:-ed6e of :ar crimes :ou-d #e sufficie+t to tri66er a superior#s dut to ta@e reaso+a#-e measures to 7re"e+t or 7u+ish them9 AFN'4(B Furthermore! the tri#u+a- e-a#orated o+ the sta+dard of 7roof required i+ fi+di+6 that a superior had actua- @+o:-ed6e of the commissio+ of :ar crimes # su#ordi+ates9 AFN'4)B First! the tri#u+a- ac@+o:-ed6ed that direct e"ide+ce :as admissi#-e to ma@e a fi+di+6 of actua- @+o:-ed6e9 AFN'45B 0dditio+a-- ! the tri#u+a- +oted that circumsta+tiae"ide+ce :as a-so admissi#-e! a+d 7ro"ided +o+2e=c-usi"e e=am7-es of circumsta+tia- e"ide+ce that cou-d 7ermit a fi+di+6 of actua- @+o:-ed6e9 AFN'44B The tri#u+a- a-so co+sidered the more co+tro"ersia- issue of :hether a me+s rea sta+dard short of actua@+o:-ed6e cou-d tri66er comma+d res7o+si#i-it 9 AFN'4<B 0fter co+sideri+6 the ar6ume+ts of #oth the defe+se a+d the 7rosecutio+! AFN'4%B the tri#u+a- co+c-uded that Ea su7erior ca+ #e he-d crimi+a-- res7o+si#-e o+- if some s7ecific i+formatio+ :as i+ fact a"ai-a#-e to him :hich :ou-d 7ro"ide +otice of offe+ces committed # his su#ordi+ates9E AFN'4JB Thus! the tri#u+a- re8ected the 7rosecutio+;s co+te+tio+ that i6+ora+ce resu-ti+6 from a fai-ure to su7er"ise &/6/ cou-d tri66er a superior#s -ia#i-it 9 AFN'<&B No+ethe-ess! the tri#u+a- :as carefu- to +ote that :i--fu- #-i+d+ess :as +o e=cuseD o+ce a superior had i+formatio+ 7ro"idi+6 him +otice of :ar crimes! he cou-d +ot choose to sim7- disre6ard that i+formatio+9 AFN'<'B 0fter a #rief discussio+ of the defi+itio+ of E+ecessar a+d reaso+a#-e measuresE as it 7ertai+s to comma+d respo"si,ility! AFN'<$B the tri#u+a- addressed the defe+se;s assertio+ of the +ecessit of a causatio+ e-eme+t9 AFN'<(B The tri#u+a- esse+tia-- re8ected this additio+a- e-eme+t! co+c-udi+6 that the 7rosecutio+ +eed +ot sho: that a superior#s fai-ure to act caused the commissio+ of a :ar &/62 crime # a su#ordi+ate9 AFN'<)B 0-thou6h the tri#u+a- co+ceded that some e-eme+t of causatio+ e=ists :he+ a superior fai-s to 7re"e+t the commissio+ of a crime! AFN'<5B requiri+6 7roof of causatio+ :ou-d #e -o6ica-- i+com7ati#-e :ith ho-di+6 a superior respo"si,le for fai-i+6 to 7u+ish su#ordi+ates :ho ha"e a-read "io-ated -a:s of :ar9 AFN'<4B Therefore! to esta#-ish -ia#i-it u+der the comma+d respo"si,ility doctri+e! the 7rosecutio+ +eed o+- 7ro"e the superior2 su#ordi+ate re-atio+shi7! AFN'<<B the requisite @+o:-ed6e Factua- or co+structi"eG! AFN'<%B a+d the superior#s fai-ure to act9 AFN'<JB D9 Superior Respo"si,ility of *aHim De-ic I+ discussi+6 the crimi+a- -ia#i-it of each defe+da+t! the tri#u+a- first e=ami+ed :hether those defe+da+ts char6ed :ith superior respo"si,ility met the three27art test out-i+ed a#o"e9 AFN'%&B 0fter decidi+6 :hether superior respo"si,ility e=isted! the tri#u+a- determi+ed the crimi+a- -ia#i-it for each of the detai-ed offe+ses a--e6ed a6ai+st each of the defe+da+ts9 AFN'%'B The i+dictme+t char6ed *aHim De-ic #oth :ith direct respo"si,ility for crimes i+ :hich he :as a+ a--e6ed 7artici7a+t a+d :ith superior respo"si,ility for crimes committed :hi-e he ser"ed as de7ut comma+der a+d!
Pa6e '&
-ater! as comma+der of &/65 ,e-e#ici9 AFN'%$B To su77ort these char6es! the 7rosecutio+ co+te+ded that De-ic! i+ his ro-e as de7ut comma+der! had the authorit of the fu-- comma+der i+ the -atter;s a#se+ce9 AFN'%(B Furthermore! the 7rosecutio+ ar6ued that De-ic had authorit o"er the 7riso+ 6uards a+d the a#i-it to 7u+ish or 7re"e+t their crimi+a- acts a+d that he fai-ed to do so #ecause he a-so 7artici7ated i+ these acts9 AFN'%)B 0s 7roof of his status as a su7erior :ithi+ the cam7 hierarch ! the 7rosecutio+ +oted that De-ic :as res7o+si#-e for admi+istrati"e matters i+ the cam79 AFN'%5B I+ res7o+se to these a--e6atio+s! the defe+se co+te+ded that the 7rosecutio+ fai-ed to disti+6uish #et:ee+ the co+ce7ts of Ecomma+dE a+d Era+@9E AFN'%4B Name- ! the defe+se asserted that su7erior res7o+si#i-it attaches o+- # "irtue of a 7ositio+ of comma+d9 AFN'%<B I+deed! de7ut comma+ders -i@e De-ic! :hi-e 7erha7s hi6her i+ Era+@E tha+ a+other so-dier! :as +ot i+ the actua- chai+ of comma+d9 AFN'%%B Thus! the defe+se ar6ued De-ic cou-d o+- ha"e #ee+ a co+duit to tra+sfer orders from the comma+der a+d -ac@ed the true authorit to ha"e su7erior res7o+si#i-it 9 AFN'%JB &/64 The tri#u+a- reco6+iHed that the 7rosecutio+ :as +ot asserti+6 that De-ic cou-d #e he-d res7o+si#-e e"e+ if he did +ot comma+d a+ o+e! #ut rather! that De-ic cou-d #e res7o+si#-e e"e+ :hi-e -ac@i+6 formacomma+d status9 AFN'J&B Therefore! the tri#u+a- 7roceeded u+der the de facto comma+d doctri+e a+d i+quired as to :hether the 7rosecutio+ had met its factua- #urde+ i+ 7ro"i+6 that De-ic e=ercised comma+d authorit o"er the ,e-e#ici 7riso+ 6uards9 AFN'J'B First! the tri#u+a- ac@+o:-ed6ed the testimo+ of se"era- e e:it+esses :ho stated that De-ic a77eared to #e the E#ossE of the 6uards9 AFN'J$B No+ethe-ess! the tri#u+a- co+ceded that this a-o+e :as +ot sufficie+t e"ide+ce of De-ic;s authorit 9 AFN'J(B Seco+d! the tri#u+a- co+sidered additio+ae e:it+ess testimo+ from former 7riso+ers! :ho testified to seei+6 De-ic 6i"e orders a+d e=ercise a77are+t i+f-ue+ce! 7ossi#- throu6h coercio+ a+d i+timidatio+! o"er the 7riso+ 6uards9 AFN'J)B Sti--! the tri#u+a- fe-t this e"ide+ce :as +ot dis7ositi"e a+d :e+t o+ to e=ami+e the acts a+d res7o+si#i-ities of De-ic i+ his ro-e as de7ut comma+der9 AFN'J5B The e"ide+ce te+ded to sho: that De-ic :as i+ char6e of or6a+iHi+6 the da 2to2da affairs of the cam7 a+d assisti+6 the comma+der i+ arra+6i+6 for i+terro6atio+ of 7riso+ers9 AFN'J4B Sti--! the tri#u+acou-d +ot 7i+ su7erior res7o+si#i-it o+ these actio+s! em7hasiHi+6 that his assista+ce i+ or6a+iHi+6 daiacti"ities did +ot Ei+dicate that he had actua- comma+d authorit i+ the se+se that he cou-d issue &/65 orders a+d 7u+ish a+d 7re"e+t the crimi+a- acts of su#ordi+ates9E AFN'J<B 0fter e=ami+i+6 a-- the e"ide+ce! the tri#u+a- co+c-uded that the 7rosecutio+ had +ot met its #urde+ i+ esta#-ishi+6 De-ic as a su7erior :ith the 7o:er to 7re"e+t or 7u+ish acts of his su#ordi+ates9 AFN'J%B 0ccordi+6- ! De-ic :as +ot co+"icted of a+ :ar crimes i+ his ca7acit as de7ut comma+der of ,e-e#ici9 AFN'JJB De-ic :as fou+d 6ui-t ! ho:e"er! of se"era- crimes i+ :hich he :as a--e6ed- a direct 7artici7a+t! i+c-udi+6 murder9 AFN$&&B E9 Su7erior Res7o+si#i-it of Mdra"@o /ucic /ucic :as a--e6ed to ha"e #ee+ the comma+der of ,e-e#ici! a+d as such! :as char6ed as a su7erior for e"er offe+se co+tai+ed i+ the i+dictme+t9 AFN$&'B 0s i+ the case of *aHim De-ic! the tri#u+a- first co+sidered e"ide+ce of :hether /ucic :as i+deed a su7erior :ith authorit o"er the cam7;s 7riso+ 6uards #efore it e=ami+ed the facts of the u+der- i+6 offe+ses9 AFN$&$B The 7rosecutio+ 7rese+ted #oth e e:it+ess testimo+ a+d docume+tar e"ide+ce that demo+strated /ucic :as i+deed ,e-e#ici;s comma+der duri+6 the 7eriod i+ :hich the atrocities too@ 7-ace9 AFN$&(B The :it+esses! mai+- former 7riso+ers! stated that /ucic :as 6e+era-- @+o:+ as the cam7 comma+der9 AFN$&)B The e"ide+ce i+c-uded docume+ts from the Bos+ia+ 0rm i+dicati+6 that /ucic :as comma+der of the 7riso+ cam79 AFN$&5B Furthermore! &/6$ the 7rosecutio+ a--e6ed that co+ditio+s :ere such at ,e-e#ici that /ucic @+e: that "io-atio+s :ere ta@i+6 7-ace9 AFN$&4B To 7ro"e this! the 7rosecutio+ 7oi+ted out that the 7riso+ers suffered "isi#-e i+8uries! a+d /ucic +either i+quired i+to their cause! +or too@ reaso+a#-e ste7s to 7re"e+t 6uards from a#usi+6 7riso+ers9 AFN$&<B
Pa6e ''
The defe+se cou+tered the 7rosecutio+;s assertio+s # ar6ui+6 a-ter+ati"e facts9 First! the defe+se 7oi+ted out the a#se+ce of officia- records a77oi+ti+6 /ucic comma+der of ,e-e#ici a+d ar6ued that the 7rosecutio+ cou-d +ot 7ro"e :hat res7o+si#i-ities or duties he he-d :ithi+ the cam79 AFN$&%B Furthermore! the defe+se a--e6ed that differe+t mi-itar a+d +o+2mi-itar 6rou7s had access to the cam7! a+d it :as +ot 7ro"e+ that /ucic had a+ comma+d authorit o"er these "arious 6rou7s9 AFN$&JB Fi+a-- ! the defe+se asserted that /ucic did +ot ha"e the requisite @+o:-ed6e of! or a dut to 7re"e+t! :ar crimes! a+d he did :hat he cou-d to 7re"e+t mistreatme+t of i+di"idua-s9 AFN$'&B Ii"e+ the 7ositio+s of #oth sides! the tri#u+a- stressed a6ai+ the esse+ce of comma+d res7o+si#i-it as em#odied i+ the su7erior2su#ordi+ate re-atio+shi7! as e"ide+ced # a+ actua- e=ercise of authorit a+d 7o:er of co+tro-! e"e+ :ithout forma- a77oi+tme+t9 AFN$''B I+ the :ords of the tri#u+a-! E:here there is de facto co+troa+d actua- e=ercise of comma+d! the a#se+ce of a de 8ure authorit is irre-e"a+t to the questio+ of the su7erior;s crimi+a- res7o+si#i-it for the crimi+a- acts of his su#ordi+ates9E AFN$'$B 1ith that 7ro7ositio+ i+ mi+d! the tri#u+a- e=ami+ed carefu-- the defe+se ar6ume+t a+d fou+d that # i+sisti+6 that /ucic did :hat he cou-d to 7re"e+t mistreatme+t of 7riso+ers! the defe+se co+ceded that he had some t 7e of authorit o"er ,e-e#ici 7riso+ &/61 6uards9 AFN$'(B Furthermore! #ecause the defe+se ar6ued that the a#se+ce of forma- authorit shou-d re-ie"e /ucic from comma+d res7o+si#i-it ! a+ ar6ume+t the tri#u+a- e=7-icit- re8ected i+ ado7ti+6 a de facto a77roach! the tri#u+a- fou+d the defe+se;s ar6ume+t to -ac@ -e6a- merit9 AFN$')B 0fter a+a- Hi+6 the co+sidera#-e :it+ess testimo+ 7roduced # the 7rosecutio+! the tri#u+a- co+c-uded that /ucic had su7erior authorit o"er the 7riso+ers a+d 6uards i+ ,e-e#ici 7riso+ cam79 AFN$'5B *a"i+6 fou+d the e=iste+ce of de facto comma+d! the tri#u+a-;s +e=t ste7 :as to co+sider /ucic;s @+o:-ed6e of the offe+ses9 AFN$'4B The tri#u+a- e=ami+ed e"ide+ce of #oth the :ides7read +ature of the torture a+d mistreatme+t at ,e-e#ici a+d the testimo+ of se"era- e e:it+esses :ho c-aimed /ucic :as 7rese+t duri+6 their torture9 AFN$'<B I+ the e+d! the tri#u+a- did +ot ha"e trou#-e co+c-udi+6 that /ucic had the requisite -e"e- of @+o:-ed6eD 6i"e+ the Efreque+t a+d +otoriousE +ature of the crimes committed! the tri#u+adecided Ethere A:asB +o :a that /r9 /ucic cou-d +ot ha"e @+o:+ or heard a#out them9E AFN$'%B The fi+a- e-eme+t of the tri7artite sta+dard for comma+d res7o+si#i-it is the comma+der;s fai-ure to act9 AFN$'JB 06ai+! the tri#u+a- had -itt-e trou#-e co+c-udi+6 that /ucic fai-ed to ta@e the +ecessar measures to 7re"e+t or 7u+ish crimes at ,e-e#ici9 AFN$$&B I+ &/64 reachi+6 this co+c-usio+! the tri#u+a- cited e"ide+ce that /ucic +e"er 7u+ished 6uards! AFN$$'B :as freque+t- a#se+t from the cam7 at +i6ht! AFN$$$B a+d fai-ed to e+force a+ i+structio+s :hich he did ha77e+ to 6i"e out9 AFN$$(B *a"i+6 fou+d a-- three e-eme+ts of the comma+d res7o+si#i-it doctri+e 7rese+t! the tri#u+a- co+c-uded that /ucic :as i+deed crimi+a-- res7o+si#-e for the offe+ses of his su#ordi+ates at ,e-e#ici9 AFN$$)B F9 Su7erior Res7o+si#i-it of Me8+i- De-a-ic The tri#u+a-;s discussio+ of De-a-ic;s char6e of comma+d res7o+si#i-it :as the most -e+6th a+d com7-icated9 AFN$$5B De-a-ic :as a direct 7artici7a+t i+ o+- o+e offe+se! the u+-a:fuco+fi+eme+t of ci"i-ia+sD the rest of his char6es rested o+ the comma+d res7o+si#i-it doctri+e9 AFN$$4B The a+a- sis of his res7o+si#i-it :as com7-icated # the fact that De-a-ic occu7ied more tha+ o+e 7ositio+ of comma+dD he :as a re6io+a- coordi+ator of the .o+8ic area for a 7eriod a+d -ater :as a77oi+ted comma+der of Tactica- Irou7 '9 AFN$$<B The 7rosecutio+ asserted that a-thou6h De-a-ic :as +ot forma-- desi6+ated as a comma+der of ,e-e#ici! his comma+d o"er the .o+8ic re6io+ 7-aced him i+ a 7ositio+ of authorit o"er /ucic a+d co+seque+t- the 6uards i+ the 7riso+ cam79 AFN$$%B Furthermore! the 7rosecutio+ co+te+ded that! e"e+ if De-a-ic did +ot e=ercise direct authorit o"er the cam7;s 7erso++e-! his &/66 7ositio+ of authorit :ithi+ the .o+8ic re6io+ "ested him :ith res7o+si#i-it for the offe+ses 7er7etrated :ithi+ ,e-e#ici9 AFN$$JB To su77ort these co+te+tio+s! the 7rosecutio+ 7roduced e"ide+ce te+di+6 to sho: that De-a-ic :as co+sidered to #e a comma+der of ,e-e#ici #oth i+ his ro-e as re6io+a- coordi+ator! AFN$(&B a+d # "irtue of his 7ositio+ as comma+der of Tactica- Irou7 '9 AFN$('B
Pa6e '$
The defe+se co+ceded that De-a-ic had occu7ied these 7ositio+s! #ut ar6ued that he did +ot ha"e authorit or co+tro- o"er the 7erso++e- at ,e-e#ici 7riso+ cam79 AFN$($B I+ his 7ositio+ as coordi+ator! the defe+se ar6ued! De-a-ic acted i+ a+ admi+istrati"e ca7acit a+d +ot as a comma+der9 AFN$((B Furthermore! the defe+se ar6ued that a-thou6h De-a-ic :as comma+der of Tactica- Irou7 '! +o mem#er of the staff of ,e-e#ici :as i+ this mi-itar u+it9 AFN$()B 0+ orders that De-a-ic ma ha"e issued to the ,e-e#ici 7erso++e-! the defe+se asserted! :ere tra+smitted from a hi6her comma+d a+d +ot s7ecifica-- ordered # De-a-ic i+ his ca7acit as comma+der9 AFN$(5B Before a+a- Hi+6 the factua- e"ide+ce i+ su77ort of each side! the tri#u+a- discussed some of the -e6aissues9 AFN$(4B Name- ! the &299 tri#u+a- e=7ressed its co+cer+ :ith the 7rosecutio+;s a77are+t co+te+tio+ that De-a-ic! as a superior! cou-d #e he-d crimi+a-- respo"si,le e"e+ :ithout esta#-ishi+6 a chai+ of comma+d or the e=iste+ce of su#ordi+ates u+der his co+tro-: The "ie: of the Prosecutio+ that a 7erso+ ma ! i+ the a#se+ce of a su#ordi+ate u+it throu6h :hich the authorit is e=ercised! i+cur respo"si,ility for the e=ercise of superior authorit seems to the Tria- ,ham#er a +o"e- 7ro7ositio+ c-ear- at "aria+ce :ith the 7ri+ci7-e of comma+d respo"si,ility9 The -a: does +ot @+o: of a u+i"ersa- superior :ithout a corres7o+di+6 su#ordi+ate9 The doctri+e of comma+d respo"si,ility is c-eararticu-ated a+d a+chored o+ the re-atio+shi7 #et:ee+ superior a+d su#ordi+ate! a+d the respo"si,ility of the comma+der for actio+s of mem#ers of his troo7s9 It is a s7ecies of "icarious respo"si,ility throu6h :hich mi-itar disci7-i+e is re6u-ated a+d e+sured9 This is :h a su#ordi+ate u+it of the superior or comma+der is a si+e qua +o+ for superior respo"si,ility9 AFN$(<B *a"i+6 em7hasiHed this 7oi+t! the tri#u+a- the+ e=ami+ed De-a-ic;s acti"ities to determi+e if the superior2 su#ordi+ate re-atio+shi7 did i+deed e=ist9 AFN$(%B I+ e=ami+i+6 his duties as coordi+ator! the tri#u+a- fou+d that this 7ositio+ did +ot co+fer comma+d respo"si,ility u7o+ De-a-ic9 AFN$(JB Rather! the tri#u+a- fou+d that as coordi+ator! his duties co+sisted of Emediatio+ a+d co+ci-iatio+E a+d that he had Ehis fu+ctio+s 7rescri#ed9E AFN$)&B The tri#u+a- a-so fou+d that the ro-e of coordi+ator :as +ot reco6+iHed i+ the Bos+ia+ mi-itar ! a+d that De-a-ic! as coordi+ator! :as +ot 7art of a mi-itar chai+ of comma+d9 AFN$)'B Rather! he acted as a mediator #et:ee+ mi-itar a+d ci"i-ia+ 6rou7s i+ the Bos+ia+ 6o"er+me+t a+d e=ercised +o i+de7e+de+t 8ud6me+t9 AFN$)$B Therefore! the tri#u+a- co+c-uded that De-a-ic did +ot acquire comma+d res7o+si#i-it # "irtue of his ro-e as coordi+ator i+ the .o+8ic mu+ici7a-it 9 AFN$)(B &29/ Ne=t the tri#u+a- -oo@ed at De-a-ic;s acti"ities i+ his ca7acit as comma+der of Tactica- Irou7 '9 AFN$))B First! the tri#u+a- 7oi+ted out that Tactica- Irou7 ' :as strict- a tem7orar com#at u+it! a+d did +ot i+c-ude +o+2com#at i+stitutio+s such as 7riso+s9 AFN$)5B Ne=t! the tri#u+a- e=ami+ed the 7rosecutio+;s @e e"ide+ce as to De-a-ic;s authorit o"er ,e-e#ici! :hich :as a set of orders issued to the comma+der of ,e-e#ici requiri+6 him to a77oi+t a commissio+ to i+terro6ate 7riso+ers9 AFN$)4B The tri#u+a-! ho:e"er! re8ected the 7rosecutio+;s co+te+tio+ that the issua+ce of these orders 7ro"ided i+co+tro"erti#-e 7roof of De-a-ic;s authorit o"er ,e-e#ici9 AFN$)<B Rather! the tri#u+a- focused o+ the +ature of a tactica- 6rou7! :hich e=ists o+- to carr out s7ecific! com#at2re-ated missio+s9 AFN$)%B 0+ e=ercise of authorit outside that +arro: missio+ :ou-d ha"e to #e co+ferred from some hi6her source9 AFN$)JB Thus! the tri#u+a- co+c-uded! De-a-ic acted as a co+duit i+ tra+smitti+6 those orders to the ,e-e#ici comma+der from the Bos+ia+ Su7reme ,omma+d9 AFN$5&B The tri#u+a- a-so re-ied o+ e"ide+ce of the -imited +ature of De-a-ic;s comma+d to defeat or re8ect the 7rosecutio+;s co+te+tio+ that De-a-ic :as a re6io+a- comma+der! a+d there# acquired the ,e-e#ici cam7 as 7art of his comma+d9 AFN$5'B *a"i+6 e=ami+ed De-a-ic;s fu+ctio+s as coordi+ator a+d tacticacomma+der a+d fi+di+6 +o e=iste+ce of authorit o"er &292 ,e-e#ici i+ either of these ro-es! the tri#u+a- co+c-uded that De-a-ic cou-d +ot #e he-d res7o+si#-e as a comma+der for the acts committed # 7riso+ 6uards :ithi+ ,e-e#ici9 AFN$5$B 06ai+! the tri#u+a- reiterated that i+ter+atio+a- -a: did +ot a--o: a comma+der to #e he-d res7o+si#-e for acts of i+di"idua-s +ot :ithi+ his comma+d9 AFN$5(B U-timate- ! the tri#u+a- a-so fou+d De-a-ic +ot 6ui-t o+ his o+e direct char6e! u+-a:fuco+fi+eme+t of ci"i-ia+s9 AFN$5)B
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I9 0+a- sis of the I,TY;s 077-icatio+ of the ,omma+d Res7o+si#i-it Doctri+e No: that the tri#u+a-;s decisio+s i+ re-atio+ to the comma+d res7o+si#i-it of the three accused ha"e #ee+ summariHed! it is a77ro7riate to com7are these decisio+s :ith the de"e-o7me+t of the comma+d res7o+si#i-it doctri+e discussed i+ this ,omme+t9 First! i+ re6ard to *aHim De-ic! it is a77are+t that the tri#u+a- :as quite strict i+ its formu-atio+ of de facto comma+d9 The e"ide+ce te+ded to sho: that De-ic! as de7ut comma+der! did i+deed order the 7riso+ 6uards arou+d! a+d the 6e+era-- o#e ed his orders9 AFN$55B The tri#u+a-! ho:e"er! :as carefu- to ma@e the disti+ctio+ #et:ee+ com7-ia+ce achie"ed throu6h fear a+d #u-- i+6 a+d the e=ercise of actua- authorit 9 AFN$54B 0-thou6h the de facto doctri+e a--o:s for e"e+ i+formacomma+ders to #e he-d res7o+si#-e! these comma+ders sti-- must e=ercise the same t 7e of authorit as a de 8ure comma+der9 AFN$5<B O+e cou-d ar6ue that the "er fact that De-ic had to resort to #u-- i+6 a+d i+timidatio+ i+dicates that he did +ot &295 ha"e -e6itimate authorit o"er the 7riso+ 6uards9 If the a+a- sis of De-ic;s res7o+si#i-it ser"es to u+derscore the im7orta+ce of the e-eme+t of comma+d a+d co+tro-! the tri#u+a-;s discussio+ of De-a-ic;s res7o+si#i-it em7hasiHes the si6+ifica+ce of the su7erior2 su#ordi+ate re-atio+shi79 The 7rosecutio+ a+d defe+se #oth admitted that De-a-ic :as i+deed a comma+der i+ the usua- se+se of the :ord! es7ecia-- :he+ he too@ comma+d of Tactica- Irou7 '9 AFN$5%B The fata- f-a: i+ the 7rosecutio+;s case! ho:e"er! :as their i+a#i-it to 7ro"e that the 7riso+ 6uards at ,e-e#ici :ere i+ a+ :a De-a-ic;s su#ordi+ates9 AFN$5JB The esse+tia- e-eme+t is +ot :hether a comma+der co+tro-s a certai+ 6eo6ra7hic area! #ut :hether he co+tro-s the i+di"idua-s :ho commit the :ar crimes9 This a77roach ma seem at odds :ith the Yamashita decisio+! i+ :hich Ie+era- Yamashita;s o"era-- res7o+si#i-it for the Phi-i77i+es :as a @e factor i+ fi+di+6 him crimi+a-- res7o+si#-e for the actio+s of 3a7a+ese so-diers i+ that re6io+9 AFN$4&B *o:e"er! the differe+ce -ies i+ the char6e i+"o-"ed9 Ie+era- Yamashita :as char6ed :ith a fai-ure to dischar6e his dut as comma+der! :hich :ou-d ha"e required him to co+tro- his troo7s a+d 7re"e+t their commissio+ of atrocities9 AFN$4'B U+der the facts of Yamashita! assumi+6 the char6e :as 7ro7er! his co+"ictio+ seems ri6htdecided9 O+ the other ha+d! De-a-ic :as char6ed :ith the u+der- i+6 offe+ses of the 6uards at ,e-e#ici! i+c-udi+6 ra7e! torture! a+d murder9 AFN$4$B *e :as +ot a--e6ed to ha"e direct- 7artici7ated i+ a+ of these acts9 AFN$4(B I+ this situatio+! the esta#-ishme+t of a su7erior2su#ordi+ate re-atio+shi7 :ou-d ha"e #ee+ a +ecessar 7rerequisite to 7i++i+6 a+ -ia#i-it o+ De-a-ic9 AFN$4)B Yet! /ucic;s co+"ictio+ demo+strates the c-assic o7eratio+ of the comma+d res7o+si#i-it doctri+e9 *is actio+s fit the three e-eme+ts of the comma+d res7o+si#i-it doctri+e 7erfect- 9 AFN$45B &294 /ucic :as i+ar6ua#- the comma+der of ,e-e#ici! he did +ot act to 7re"e+t or 7u+ish the 7riso+ 6uards; atrocities! a+d he @+e: that these atrocities :ere ta@i+6 7-ace9 AFN$44B This -ast e-eme+t 7ro"ides some i+si6ht i+to the tri#u+a-;s theor of ho: the comma+d res7o+si#i-it doctri+e shou-d o7erate9 The tri#u+a- im7uted actua- @+o:-ed6e to /ucic after e=ami+i+6 the e"ide+ce that torture a+d #eati+6s :ere do-ed out freque+t- at ,e-e#ici! a+d that the 7riso+ers :ere co+sta+t- i+ a state of i+8ur 9 AFN$4<B I+ effect! this decisio+ te--s comma+ders that the ma +ot choose to a"oid the o#"ious or their @+o:-ed6e :i-- #e 7resumed9 This 6i"es some teeth to the E:i--fu#-i+d+essE doctri+e em#odied i+ Protoco- I9 AFN$4%B I+ more 6e+era- terms! the ,e-e#ici decisio+ i+dicates the uti-it of the comma+d res7o+si#i-it doctri+e i+ -i6ht of the circumsta+ces of moder+ :arfare9 The shift from i+ter+atio+a- to:ard i+ter+a- co+f-ict that made Protoco-s I a+d II so a77ro7riate i+ the -ate 'J<&s AFN$4JB a-so i+creases the +eed for a s stem of e+forci+6 the res7o+si#i-it of -eaders outside the forma- mi-itar structure9 The de facto arm of the comma+d res7o+si#i-it doctri+e! articu-ated for the first time i+ the i+ter+atio+a- co+te=t i+ the ,e-e#ici 8ud6me+t! direct- addresses this +eed9 AFN$<&B This is +ot to sa ! ho:e"er! that the ,e-e#ici formu-atio+ of the comma+d res7o+si#i-it doctri+e is 7erfect9 It has the 7ote+tia- da+6er of creati+6 e=te+si"e -ia#i-it for a+ es7ecia-- 7oor or du-- comma+der! o+e :ho -ac@s the e=7ertise! i+f-ue+ce! or e=7erie+ce to effecti"e- co+tro- his su#ordi+ates9 I+ such a case! it is 7ossi#-e that a co+"ictio+ :ou-d a77ear to fau-t the comma+der more for his -ac@ of @+o:2ho: tha+ for a true disre6ard for huma+it or the -a:9 AFN$<'B Si+ce +either the tri#u+a-;s three27art formu-atio+ of the comma+d
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res7o+si#i-it doctri+e +or the &295 o7i+io+ itse-f discusses this 7ossi#i-it ! it :i-- #e u7 to future tri#u+a-s to determi+e ho: to reso-"e this issue9 No+ethe-ess! des7ite this 7ote+tia- dra:#ac@! the I,TY;s defi+itio+ of the comma+d res7o+si#i-it doctri+e is re-e"a+t! e=te+si"e- e=7-ai+ed! AFN$<$B a+d most im7orta+t- ! has #ee+ a77-ied i+ 7ractice to three "er differe+t defe+da+ts9 I?9 ,o+c-usio+ This ,omme+t has 7ro"ided a #road summar of the de"e-o7me+t of -a:s of :ar! es7ecia-- duri+6 the -ast t:o ce+turies9 It has a-so discussed the emer6e+ce of the comma+d res7o+si#i-it doctri+e a+d its most rece+t a77-icatio+ i+ the I,TY9 The tri#u+a-;s thorou6h discussio+ of the doctri+e i+ 6e+era-! a+d its carefu- a77-icatio+ of the doctri+e to three "er differe+t t 7es of comma+ders! 7ro"ides a "a-ua#-e 7recede+t to :ar crimes tri#u+a-s i+ the future F+atio+a- a+d i+ter+atio+a-G9 Furthermore! the I,TY;s ac@+o:-ed6eme+t of Protoco- I of the Ie+e"a ,o+"e+tio+s as a 7rimar source of i+ter+atio+a- -a: co+fers :ei6ht a+d authorit u7o+ that treat ! e"e+ thou6h se"era- i+ter+atio+a- su7er7o:ers! i+c-udi+6 the U+ited States! Ireat Britai+! Fra+ce! a+d 3a7a+! ha"e +ot ratified it9 AFN$<(B The future :i-- u+dou#ted- see further a77-icatio+ of the comma+d res7o+si#i-it doctri+e! #oth i+ i+ter+atio+a- :ar a+d i+ter+a- armed co+f-icts9 Li@e a+ doctri+e i+ the -a:s of :ar! ho:e"er! the comma+d res7o+si#i-it doctri+e must remai+ f-e=i#-e! as the +ature of :arfare i+e"ita#- cha+6es o"er time9 AFN'B9 The U+ited Natio+s Securit ,ou+ci- esta#-ished the Yu6os-a"ia tri#u+a- i+ /a of 'JJ(9 See S9,9 Res9 %$<! U9N9 S,OR![[[ Sess9![[[mt69! U9N9 Doc9 s/$54$4 F'JJ(G Afo--o:i+6 co+sideratio+ of Re7ort of the Secretar 2Ie+era- Pursua+t to Para6ra7h $ of S9 ,9 Res9 %&%! U9N9 S,OR! )%th Sess9![[[[ mt69 at 54! U9N9 Doc9 S/$5<&) F'JJ(GB9 AFN$B9 The tri#u+a- for the former Yu6os-a"ia is the first i+ter+atio+a- :ar crimes tri#u+a- si+ce the Nurem#er6 a+d To@ o tri#u+a-s that fo--o:ed the Seco+d 1or-d 1ar9 See i+fra +otes '$<2() a+d accom7a+ i+6 te=t9 The decisio+s of the 1or-d 1ar II tri#u+a-s -ed to a+ e=7-osio+ i+ the codificatio+ of i+ter+atio+a- -a:s of :ar! es7ecia-- those dea-i+6 :ith Ehuma+itaria+E issues9 See i+fra +otes 55244 a+d accom7a+ i+6 te=t9 AFN(B9 See i+fra +otes 55244 9 AFN)B9 See i+fra +otes 4J2<& a+d accom7a+ i+6 te=t9 The E8ust fo--o:i+6 ordersE defe+se :as made i+famous i+ the U+ited States # the actio+s of U9S9 0rm Lieute+a+t ,a--e at / Lai duri+6 the ?iet+am 1ar9 See U9S9 "9 ,a--e ! )4 ,9/9R9 ''(' F'J<(G9 AFN5B9 See i+fra +ote <' a+d accom7a+ i+6 te=t9 The res7o+si#i-it of a su7erior actua-- e+com7asses t:o o#-i6atio+s: the first is -ia#i-it for issui+6 a+ u+-a:fu- order a+d the seco+d is -ia#i-it for fai-ure to 7re"e+t or sto7 the commissio+ of :ar crimes # su#ordi+ates9 See id9 This ,omme+t focuses o+- o+ the -atter #ra+ch of the comma+d res7o+si#i-it doctri+e9 AFN4B9 See 1939 Fe+ric@! Some I+ter+atio+a- La: Pro#-ems Re-ated to Prosecutio+s Before the I+ter+atio+a,rimi+a- Tri#u+a- for the Former Yu6os-a"ia! 4 Du@e 39 ,om79 O I+t;- L9 '&(! ''& F'JJ5G9 AFN<B9 See id9 AFN%B9 The fu-- +ame of the tri#u+a- is the I+ter+atio+a- Tri#u+a- for the Prosecutio+ of Perso+s Res7o+si#-e for Serious ?io-atio+s of I+ter+atio+a- *uma+itaria+ La: ,ommitted i+ the Territor of the Former Yu6os-a"ia si+ce 'JJ'9 See 3oh+ R919D9 3o+es! The Practice of the I+ter+atio+a- ,rimi+a- Tri#u+a-s for the Former Yu6os-a"ia a+d R:a+da ( F'JJ%G9 AFNJB9 See U9N9 3ud6es Se+te+ce Three for 1ar ,rimes 06ai+st Bos+ia+ Ser#s! Bosto+ I-o#e! No"9 '<! 'JJ%! at 0$J Aherei+after EU9N9 3ud6es Se+te+ce ThreeE B9 The fu-- +ame of the case is Prosecutor "9 De-a-ic! et9 a-9! FIT2J42 $'2TG F'4 No"9 'JJ%G Aherei+after E,e-e#ici 3ud6me+tE B9 The I,TY! ho:e"er! ofte+ refers to a case #
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the +ame of the 7riso+ cam7 i+"o-"ed9 See The I+ter+atio+a- ,rimi+a- Tri#u+a- for the former Yu6os-a"ia: Tria,ham#ers F"isited /ar9 $'! 'JJJG Uhtt7://:::9u+9or6/ict /cases2te9htmV9 I+ this case! the ,e-e#ici 7riso+ cam7 :as a Bos+ia+ cam7! -ocated i+ the .o+8ic mu+ici7a-it i+ ce+tra- Bos+ia a+d *erHo6o"i+a! used for the dete+tio+ of Ser#ia+ 7riso+ers9 See ,e-e#ici 3ud6me+t at )49 AFN'&B9 See U9N9 3ud6es Se+te+ce Three! su7ra +ote J9 AFN''B9 See id9 AFN'$B9 See id9 AFN'(B9 See i+fra +otes '<24% a+d accom7a+ i+6 te=t9 AFN')B9 See i+fra +otes 4J2'$4 a+d accom7a+ i+6 te=t9 AFN'5B9 See i+fra +otes '$<2$5) a+d accom7a+ i+6 te=t9 AFN'4B9 See i+fra +otes $552<( a+d accom7a+ i+6 te=t9 AFN'<B9 See 0dam Ro#erts! La+d 1arfare: From *a6ue to Nurem#er6! i+ The La:s of 1ar: ,o+strai+ts o+ 1arfare i+ the 1ester+ 1or-d ''4! ''J F/ichae- *o:ard et a-9 eds9! 'JJ)G9 ,odificatio+ of i+ter+atio+a-! as o77osed to domestic! -a:s of :ar #e6a+ :ith the '%54 Paris Dec-aratio+ o+ /aritime La: a+d co+ti+ued :ith the '%4% Sai+t Peters#ur6 Dec-aratio+9 See id9 AFN'%B9 See 6e+era-- The La:s of 1ar: ,o+strai+ts o+ 1arfare i+ the 1ester+ 1or-d F/ichae- *o:ard et a-9 eds9! 'JJ)G F7ro"idi+6 a+a- sis of the -a:s of :ar from c-assica- Iree@ times! throu6h medie"a- cu-ture! earmoder+ Euro7e! a+d co-o+ia- 0mericaG9 AFN'JB9 Su+2THu: The Ne: Tra+s-atio+ '5! $$2$( F39*9 *ua+6 tra+s9! 1i--iam /orro: a+d ,om7a+ 'JJ(G F)%)2)<) B9,9G9 Su+2THu is the #oo@;s ori6i+a- tit-e! fo--o:i+6 a custom i+ ear- ,hi+a of +ami+6 a #oo@ after its author9 See id9 at '59 *o:e"er! at a -ater date it :as re+amed Su+Hi #i+6fa! :hich tra+s-ates i+to EThe 0rt of 1ar9E See id9 at $59 AFN$&B9 Id9 at )42)<9 AFN$'B9 See 3osiah O#er! ,-assica- Iree@ Times! i+ The La:s of 1ar: ,o+strai+ts o+ 1arfare i+ the 1ester+ 1or-d '$! '( F/ichae- *o:ard et a-9 eds9! 'JJ)G9 AFN$$B9 Id9 at '(9 This t 7e of 7rotectio+ for 7-aces #eari+6 re-i6ious mar@ers is em#odied i+ the moder+ *a6ue co+"e+tio+s9 See *a6ue ,o+"e+tio+ FI?G Res7ecti+6 the La:s a+d ,ustoms of 1ar o+ La+d! 0++e= FRe6u-atio+sG! Oct9 '%! 'J&<! (4 Stat9 $$<<! ' Be"a+s 4(' Aherei+after *a6ue ,o+"e+tio+ I?B9 0rtic-e $< of the ,o+"e+tio+ 7ro"ides that Ea-- +ecessar ste7s must #e ta@e+ to s7are! as far as 7ossi#-e! #ui-di+6s dedicated to re-i6io+! art! scie+ce! or charita#-e 7ur7oses9E Id9 at $$&(! ' Be"a+s at 4)%9 AFN$(B9 See 6e+era-- The La:s of 1ar: ,o+strai+ts o+ 1arfare i+ the 1ester+ 1or-d F/ichae- *o:ard et a-9 eds9! 'JJ)G F7ro"idi+6 a+a- sis of the -a:s of :ar from c-assica- Iree@ times throu6h medie"a- cu-ture! earmoder+ Euro7e! a+d co-o+ia- 0mericaG9 AFN$)B9 See Ro#erts! su7ra +ote '<! at ''J9 O+e e=am7-e of the U+ited States; domestic -a:s of :ar is Ie+eraOrder No9 '&&! @+o:+ as the Lie#er ,ode9 This code formed the frame:or@ for ide+tif i+6 :ar crimes "io-atio+s duri+6 the 0merica+ ,i"i- 1ar9 See /a8or 1i--iam *9 Par@s! ,omma+d Res7o+si#i-it for 1ar
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,rimes! 4$ /i-9 L9 Re"9 '! < F'J<(G9 For e=am7-e! ,a7tai+ *e+r 1irH! comma+da+t of the i+famous ,o+federate 7riso+er of :ar cam7 at 0+derso+"i--e! Ieor6ia! :as co+"icted a+d hu+6 for "io-ati+6 the Lie#er ,ode for his mistreatme+t of U+io+ 7riso+ers9 See id9 AFN$5B9 The Dec-aratio+ of St9 Peters#ur6! ' 0939I9L9 FSu779G J52J4 F'J&<G! No"9 $J! '%4% Aherei+after The Dec-aratio+ of St9 Peters#ur6B9 AFN$4B9 The dec-aratio+ s7ecifica-- #a++ed Ea+ 7ro8ecti-e of -ess :ei6ht tha+ four2hu+dred 6rammes! :hich is e=7-osi"e! or is char6ed :ith fu-mi+ati+6 or i+f-amma#-e su#sta+ces9E The Dec-aratio+ of St9 Peters#ur6! su7ra +ote $5! at J49 AFN$<B9 Id9 at J59 AFN$%B9 See Ro#erts! su7ra +ote '<! at ''J9 AFN$JB9 See id9 at '$&9 AFN(&B9 See id9 at '$'9 AFN('B9 See id9 0ccordi+6 to o+e comme+tator! Ethe 7eace co+fere+ce achie"ed +othi+6 i+ the fie-d of disarmame+t a+d :as thus dismissed as a com7-ete fai-ure # most of the 8our+a-ists co"eri+6 it22a+ eare=am7-e of the 7ere++ia-- 7oor co"era6e of the -a:s of :ar i+ the 7ress9E Id9 AFN($B9 See id9 AFN((B9 See Ro#erts! su7ra +ote '<! at '$'9 AFN()B9 See id9 at '$$9 AFN(5B9 See id9 AFN(4B9 See *a6ue ,o+"e+tio+ I?! su7ra +ote $$9 AFN(<B9 See Ro#erts! su7ra +ote '<! at '$$9 The -a+d :arfare 7ro"isio+s of the *a6ue ,o+"e+tio+s fou+d their :a i+to the mi-itar ma+ua-s of #oth Ireat Britai+ a+d the U+ited States9 See id9D British 1ar Office! III /a+ua- of /i-itar La: FLa: of 1ar o+ La+dG F'J5%GD U9S9 De7;t of 0rm ! Fie-d /a+ua- No9 $<2'&! The La: of La+d 1arfare F'J54G Aherei+after F/ $<2'&B9 AFN(%B9 See Ro#erts! su7ra +ote '<! at '$$9 AFN(JB9 See 6e+era-- Te-ford Ta -or! The 0+atom of the Nurem#er6 Tria-s F'JJ$G Fdiscussi+6 the :or@i+6s of the Nurem#er6 tri#u+a- from the 7ers7ecti"e of the 0merica+ ,hief ,ou+se-G9 AFN)&B9 See id9 at (59 AFN)'B9 See id9 at ()2(%9 AFN)$B9 See id9 at 59 The tri#u+a- he-d court a+d @e7t its NaHi 7riso+ers i+ the Ierma+ cit of Nurem#er69 See id9 at 4'9 Nurem#er6 7rosecutor Te-ford Ta -or comme+ts that the tri#u+a- :as Ethe most im7orta+t a+d! I #e-ie"e! successfu- +e: e+tit i+ the e+forceme+t of the -a:s of :ar9E Id9 at 59
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AFN)(B9 See id9 at 59 AFN))B9 See su7ra +otes $(2$) a+d accom7a+ i+6 te=t9 AFN)5B9 See su7ra +otes $%2(% a+d accom7a+ i+6 te=t9 AFN)4B9 See 6e+era-- Ta -or! su7ra +ote (J Fdiscussi+6 the :or@i+6s of the Nurem#er6 tri#u+a- from the 7ers7ecti"e of the 0merica+ ,hief ,ou+se-G9 Te-ford Ta -or;s accou+t of the esta#-ishme+t of the I+ter+atio+a/i-itar Tri#u+a- descri#es i+ detai- the res7o+si#i-it faci+6 the U+ited States! Fra+ce! Ireat Britai+! a+d Russia i+ esta#-ishi+6 the first i+ter+atio+a- :ar crimes tri#u+a-9 See id9 O+- mo+ths #efore the e+d of 1or-d 1ar II! 1i+sto+ ,hurchi-- ad"ocated 6atheri+6 NaHi :ar crimi+a-s a+d summari- e=ecuti+6 them9 See id9 at ()9 The su#seque+t decisio+ to 6ra+t heari+6s to a-- defe+da+ts! i+ a+ ad"ersaria- setti+6! #rou6ht forth a host of -e6a- a+d 7o-itica- questio+s9 See id9 at 5&2559 ,hief amo+6 these questio+s :as ho: to a"oid the e= 7ost facto 7ro#-em i+"o-"ed i+ char6i+6 the Ierma+ defe+da+ts :ith :a6i+6 of a66ressi"e :ar as a crime9 See id9 at 5'9 ,om7ou+di+6 these difficu-ties :ere 7rocedura- issuesD +ame- ! the 0merica+ ad"ersaria- s stem seemed forei6+! if +ot e+tire- cou+ter7roducti"e! to some of the other 7arties i+"o-"ed9 See id9 at 4)9 AFN)<B9 See id9 at 5J24'9 AFN)%B9 See ,harter of the I+ter+atio+a- /i-itar Tri#u+a-! 0u69 %! 'J)5! art9 4 Aherei+after Lo+do+ ,harterB9 AFN)JB9 See su7ra +ote $59 AFN5&B9 See Lo+do+ ,harter! su7ra +ote )%! art949 AFN5'B9 Id9 AFN5$B9 See id9 AFN5(B9 See /atthe: Li77ma+! ,o+u+drums of 0rmed ,o+f-ict: ,rimi+a- Defe+ses to ?io-atio+s of the *uma+itaria+ La: of 1ar! '5 Dic@9 39 I+t;- L9 '! ' F'JJ4G9 AFN5)B9 See id9 0 fu-- discussio+ of the actua- 7rosecutio+ of the "arious NaHi :ar crimi+a-s is #e o+d the sco7e of this ,omme+t9 Natura-- ! much has #ee+ :ritte+ o+ this to7ic9 See Ta -or! su7ra +ote (JD see a-so Ro#ert E9 ,o+ot! 3ustice at Nurem#er6 F'J%(GD Ro#ert 19 ,oo7er! The Nurem#er6 Tria- F'J)<G9 0dditio+a-- ! the U+ited Natio+s -ater issued a reso-utio+ forma-- reco6+iHi+6 the :ar crimes defi+ed # the Lo+do+ ,harter9 See Pri+ci7-es of I+ter+atio+a- La: Reco6+iHed i+ the ,harter of the Nurem#er6 Tri#u+a- a+d i+ the 3ud6me+t of the Tri#u+a-! U9N9 I0OR! 5th Sess9! Su779 No9 '$! at ''! U9N9 Doc9 0/'('4 F'J5&G Aherei+after Nurem#er6 Pri+ci7-esB9 AFN55B9 See Timoth L9*9 /c,ormac@! Se-ecti"e Reactio+ to 0trocit : 1ar ,rimes a+d the De"e-o7me+t of I+ter+atio+a- ,rimi+a- La:! 4& 0-#9 L9 Re"9 4%'! <$' F'JJ<G9 For e=am7-e! the U+ited Natio+s! i+ its first sessio+! ado7ted a reso-utio+ o+ 6e+ocide a+d e"e+tua-- de"e-o7ed a 6e+ocide co+"e+tio+9 See id9 AFN54B9 See i+fra +otes 5J24$ a+d accom7a+ i+6 te=t9 AFN5<B9 See 19 /ichae- Reisma+ a+d ,hris T9 0+to+iou! The La:s of 1ar ==i= F'JJ)G9 AFN5%B9 See id9
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AFN5JB9 Ie+e"a ,o+"e+tio+ FIG for the 0me-ioratio+ of the ,o+ditio+ of the 1ou+ded a+d Sic@ i+ 0rmed Forces i+ the Fie-d! 0u69 '$! 'J)J! 4 U9S9T9 (''5 AAAherei+after Ie+e"a ,o+"e+tio+ FIGB9 AFN4&B9 Ie+e"a ,o+"e+tio+ FIIG for the 0me-ioratio+ of the ,o+ditio+ of 1ou+ded! Sic@ a+d Shi7:rec@ed /em#ers of 0rmed Forces at Sea! 0u69 '$! 'J)J! 4 U9S9T9 ($'J Aherei+after Ie+e"a ,o+"e+tio+ FIIGB9 AFN4'B9 Ie+e"a ,o+"e+tio+ FIIIG Re-ati"e to the Treatme+t of Priso+ers of 1ar! 0u69 '$! 'J)J! 4 U9S9T9 (('< Aherei+after Ie+e"a ,o+"e+tio+ FIIIGB9 AFN4$B9 Ie+e"a ,o+"e+tio+ FI?G Re-ati"e to the Protectio+ of ,i"i-ia+ Perso+s i+ Time of 1ar! 0u69 '$! 'J)J! 4 U9S9T9 (5'4 Aherei+after Ie+e"a ,o+"e+tio+ FI?GB9 AFN4(B9 See Reisma+! su7ra +ote 5<! at ==i=9 AFN4)B9 See id9 AFN45B9 Protoco- I 0dditio+a- to the Ie+e"a ,o+"e+tio+s of '$ 0u6ust 'J)J a+d re-ati+6 to the Protectio+ of ?ictims of I+ter+atio+a- 0rmed ,o+f-icts! 3u+e %! 'J<<! art9 ))! ''$5 U9N9T9S9 ( Aherei+after Protoco- IB9 Natura-- ! this 7ro"isio+ :as s m7athetic to 6ueri--a fi6hters! affordi+6 them the ri6hts of com#ata+t status :ithout the traditio+a- requireme+t of :eari+6 disti+cti"e mi-itar u+iforms or carr i+6 arms o7e+- a-- the time9 See Reisma+! su7ra +ote 5<! at )(2))9 The #-urri+6 of the disti+ctio+ #et:ee+ 6ueri--a fi6hters a+d the ci"i-ia+ 7o7u-atio+! ho:e"er! ca+ -ead to 6reater ci"i-ia+ casua-ties9 See id9 This co+cer+ has 7re"e+ted ma+ +atio+s from #ecomi+6 7arties to Protoco- I! i+c-udi+6 the U+ited States F:hich is a-so +ot a 7art to Protoco- IIG9 See id9 AFN44B9 See Protoco- I! su7ra +ote 45! art9 559 AFN4<B9 See Reisma+! su7ra +ote 5<! at ==i"9 For e=am7-e! 0merica+ 8our+a-ists i+ ?iet+am had 6reat co+troo"er the se-ectio+ of ima6es #roadcast to the 0merica+ 7u#-ic! as :e-- as the mora- characteriHatio+ of these ima6es9 See id9 AFN4%B9 See id9 at =="ii9 EIt is 7ate+t that if those e+6a6ed i+ hosti-ities ha"e +ot #ee+ e=7osed to the 7rescri7tio+s of the -a: of armed co+f-ict! the+ the hard- ca+ #e e=7ected to com7- :ith them9E Id9 For e=am7-e! si+ce the 'J5&s! the U+ited States 0rm has had a ma+ua- dedicated so-e- to the -a:s of :ar9 See F/ $<2'&! su7ra +ote (<9 AFN4JB9 See L9,9 Iree+! S m7osium: I+ter+atio+a- ,rimi+a- La:: ,omma+d Res7o+si#i-it i+ I+ter+atio+a*uma+itaria+ La:! 5 Tra+s+t;- L9 O ,o+t79 Pr#s9 ('J! ($& F'JJ5G9 AFN<&B9 See id9 AFN<'B9 See id9 AFN<$B9 See Par@s! su7ra +ote $)! at $! (D su7ra +otes 'J2$& a+d accom7a+ i+6 te=t9 AFN<(B9 See Par@s! su7ra +ote $)! at ) 9 Note that the use of the ma-e 6e+der to i+dicate the comma+der is so-ei+ @ee7i+6 :ith the historica- co+te=t9 AFN<)B9 See id9
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AFN<5B9 See id9 at 52'&9 AFN<4B9 See id9 at 5 Fciti+6 the 0merica+ 0rtic-es of 1ar! sec9 IW! Se7t9 $&! '<<4G9 AFN<<B9 See id9 The 0rtic-es addressed misco+duct such as Eriots!E Ea#uses!E a+d Edisorders9E Id9 0+ e=am7-e of such misco+duct i+c-udes stea-i+6 the officers; :his@e a+d stra66-i+6 o+ road marchesD as a mi-itia ca7tai+ duri+6 the B-ac@ *a:@ 1ar! 0#raham Li+co-+ :as court2martia-ed for fai-i+6 to 7re"e+t these t 7es of misco+duct9 See id9 at 49 *is 7u+ishme+t :as to :ear a :oode+ s:ord for t:o da s9 See id9 AFN<%B9 See Fe+ric@! su7ra +ote 4! at ''$D su7ra +ote $$9 AFN<JB9 See Fe+ric@! su7ra +ote 4! at ''(D *a6ue ,o+"e+tio+ I?! su7ra +ote $$! art9 '! (4 Stat9 at $$J5! ' Be"a+s at 4)(2))9 AFN%&B9 Fe+ric@! su7ra +ote 4! at ''(D *a6ue ,o+"e+tio+ I?! su7ra +ote $$! art9 )(! (4 Stat9 at $(&42&%! ' Be"a+s at 45'25(9 AFN%'B9 See *a6ue ,o+"e+tio+ I?! su7ra +ote $&! art9 (! (4 Stat9 at $$J4! ' Be"a+s at 4))D Iree+! su7ra +ote 4J! at ($59 AFN%$B9 See Iree+! su7ra +ote 4J! at ($J9 AFN%(B9 See id9 at ($)9 AFN%)B9 See Ta -or! su7ra +ote (J! at (59 The 7ro#-em :ith addressi+6 the 7re:ar crimes :as that the :ere 7ote+tia-- outside the 8urisdictio+ of the Nurem#er6 tri#u+a-9 See id9 0dditio+a-- ! the +um#er of 7ote+tiadefe+da+ts! E+um#ered i+ si= or se"e+ fi6ures! a 6hou-ish em#arras de richesses9E Id9 at (49 It :ou-d ha"e #ee+ time2co+sumi+6 to tr these defe+da+ts i+di"idua-- a+d difficu-t to o#tai+ the +ecessar e"ide+ce9 See id9 at (59 AFN%5B9 See id9 at (59 AFN%4B9 See id9 at (49 AFN%<B9 Id9 at (49 AFN%%B9 See id9 AFN%JB9 See id9 0dmitted- ! the E6ui-t # associatio+E theor had -itt-e 7recede+t i+ 0merica+ -a: a+d to moder+ e es ma seem to co+tro"ert 0merica+ idea-s of ci"i- -i#erties9 See id9 at )'9 Te-ford Ta -or 7oi+ts out! ho:e"er! that Eit is difficu-t for ma+ of toda ;s readers to 6ras7 the utter hatred of the SS :hich its actio+s had s7read throu6hout the 1ester+ :or-d! es7ecia-- duri+6 the -ast t:o ears of the :ar! :he+ there :as i+co+tro"erti#-e 7roof of the :ho-esa-e massacre of 3e:s9E Id9 at )'2)$9 I+deed! Ber+a s; 7-a+ :as Efar -ess ar#itrar or draco+ia+E tha+ other 7ro7osa-s of ho: to dea- :ith NaHi :ar crimi+a-s! i+c-udi+6 e=ecutio+9 Id9D see a-so su7ra +ote )49 AFNJ&B9 See Ta -or! su7ra +ote (J! at <49 The Lo+do+ ,harter fu+ctio+ed as the statute of the tri#u+a-! from :hich the famous Nurem#er6 Pri+ci7-es -ater de"e-o7ed9 See su7ra +otes )<25) a+d accom7a+ i+6 te=t9 AFNJ'B9 See id9D Lo+do+ ,harter! su7ra +ote )%! art9 4FaG9
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AFNJ$B9 See Ta -or! su7ra +ote (J! at <49 AFNJ(B9 See id9 at 5%$9 It must #e remem#ered that Eco+s7irac E :as a+ 0+6-o20merica+ doctri+e that :as met :ith distaste # the Euro7ea+ -a: ers :or@i+6 o+ the tri#u+a-9 See id9 This distaste ma e=7-ai+ :h the tri#u+a- fai-ed to 6i"e the co+s7irac char6e the #road sco7e ad"ocated # 0merica+ 7rosecutors9 See id9 AFNJ)B9 See Lo+do+ ,harter! su7ra +ote )%! art9 49 AFNJ5B9 Id9 art9 <9 AFNJ4B9 The 0+6-o20merica+ crime of co+s7irac ! u7o+ :hich Ber+a s #ased his formu-atio+ of co+s7irac char6es! is defi+ed as a+ a6reeme+t to do a+ u+-a:fu- act! or a -a:fu- act # u+-a:fu- mea+s9 See /ode- Pe+a,ode N 59&(F'G F'J4$G9 It is +ot required that the act actua-- #e committed9 See /ode- Pe+a- ,ode N 59&(F5G F'J4$G9 AFNJ<B9 See su7ra +otes <&2<' a+d accom7a+ i+6 te=t9 AFNJ%B9 See Fe+ric@! su7ra +ote 4! at ''$9 AFNJJB9 See I+ re Yamashita! ($< U9S9 ' F'J)4G9 AFN'&&B9 See id9 at ('! ((9 AFN'&'B9 See id9 AFN'&$B9 See id9 at 59 Fo--o:i+6 the /i-itar ,ommissio+;s se+te+ce! the U+ited States Su7reme ,ourt 6ra+ted 8udicia- re"ie: o"er the 7o:er of the commissio+ to tr Ie+era- Yamashita for his a--e6ed crimes9 See id9 at %9 AFN'&(B9 Id9 at '(2')9 AFN'&)B9 See id9 AFN'&5B9 See id9 at '52'4D see a-so su7ra +otes <%2%$ a+d accom7a+ i+6 te=t9 AFN'&4B9 See I+ re Yamashita ($< U9S9 '! ($ F'J)4G9 The a--e6ed atrocities that occurred u+der Ie+eraYamashita;s comma+d too@ 7-ace duri+6 /ac0rthur;s i+"asio+ of the Phi-i77i+es9 See id9 AFN'&<B9 Id9 at '59 AFN'&%B9 See id9 at '49 E1e do +ot ma@e the -a:s of :ar #ut :e res7ect them so far as the do +ot co+f-ict :ith the comma+ds of ,o+6ress or the ,o+stitutio+9E Id9 AFN'&JB9 See id9 at '52'49 The co+"e+tio+s that the ma8orit cited esta#-ished a #asis for fi+di+6 a comma+der;s dut to -ead troo7s! see that -a:s of :ar are o#e ed! a+d i+sure the safet of ci"i-ia+s9 See id9 *o:e"er! +o+e of the -a:s cited 7ro"ided that a comma+der :ho fai-ed to 7re"e+t his troo7s from committi+6 "io-atio+s cou-d #e 7u+ished as if he had so committed them9 See id9 AFN''&B9 See id9 at '59
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AFN'''B9 See id9 at '4 FEAThe *a6ue ,o+"e+tio+sB 7-ai+- im7osed o+ 7etitio+er 999 a+ affirmati"e dut to ta@e such measures as :ere :ithi+ his 7o:er a+d a77ro7riate i+ the circumsta+ces to 7rotect 7riso+ers of :ar a+d the ci"i-ia+ 7o7u-atio+9EGD Par@s! su7ra +ote $)! at (<9 AFN''$B9 Yamashita! ($< U9S9 at $% F/ur7h ! 39! disse+ti+6G9 *e :as +ot char6ed :ith 7erso+a-- 7artici7ati+6 i+ the acts of atrocit or :ith orderi+6 or co+do+i+6 their commissio+9 Not e"e+ @+o:-ed6e of these crimes :as attri#uted to him9 It :as sim7- a--e6ed that he u+-a:fu-- disre6arded a+d fai-ed to dischar6e his dut as comma+der to co+tro- the o7eratio+s of the mem#ers of his comma+d! 7ermitti+6 them to commit the acts of atrocit 9 The recorded a++a-s of :arfare a+d the esta#-ished 7ri+ci7-es of i+ter+atio+a- -a: afford +ot the s-i6htest 7recede+t for such a char6e9 Id9 AFN''(B9 See Fe+ric@! su7ra +ote 4! at '')9 AFN'')B9 See Par@s! su7ra +ote $)! at (52(4D see a-so Yamashita! ($< U9S9 at ()2(5 F/ur7h ! 39! disse+ti+6G9 3ustice /ur7h 7ut it succi+ct- : Nothi+6 i+ a-- histor or i+ i+ter+atio+a- -a:! at -east as far as I am a:are! 8ustifies such a char6e a6ai+st a fa--e+ comma+der of a defeated force9 To use the "er i+efficie+c a+d disor6a+iHatio+ created # the "ictorious forces as the 7rimar #asis for co+dem+i+6 officers of the defeated armies #ears +o resem#-a+ce to 8ustice or to mi-itar rea-it 9 Id9 at (59 AFN''5B9 See Fe+ric@! su7ra +ote 4! at '')9 AFN''4B9 See Protoco- I! su7ra +ote 45! art9 %4D Timoth 1u a+d Yo+62Su+6 .a+6! ,rimi+a- Lia#i-it for the 0ctio+s of Su#ordi+ates 2 the Doctri+e of ,omma+d Res7o+si#i-it a+d its 0+a-o6ues i+ U+ited States La:! (% *ar"9 I+t;- L939 $<$! $<4 F'JJ<G9 AFN''<B9 Protoco- I! su7ra +ote 45! at )$2)( Fem7hasis addedG9 AFN''%B9 Id9 AFN''JB9 S9,9 Res9 %$<! U9N9 S,OR! )%th Sess9! ($'<th mt69! U9N9 Doc9 S/P?9($'< F'JJ(G Aa77ro"i+6 the Re7ort of the Secretar 2Ie+era- Pursua+t to Para6ra7h $ of S9 ,9 Res9 %&%! U9N9 S,OR! )%th Sess9! U9N9 Doc9 S/$5<&) a+d 0DD9' F'JJ(GB A*erei+after I,TY StatuteB9 AFN'$&B9 I,TY Statute! su7ra +ote ''J! art9 <! sec9 (9 The fact that a+ of the acts referred to i+ artic-es $ to 5 of the 7rese+t Statute :ere committed # a su#ordi+ate does +ot re-ie"e his su7erior of crimi+a- res7o+si#i-it if he @+e: or had reaso+ to @+o: that the su#ordi+ate :as a#out to commit such acts or had do+e so a+d the su7erior fai-ed to ta@e the +ecessar a+d reaso+a#-e measures to 7re"e+t such acts or to 7u+ish the 7er7etrators thereof9 See id9 AFN'$'B9 Protoco- I! su7ra +ote 45! art9 %49 AFN'$$B9 I,TY Statute! su7ra +ote ''J! art9 <! sec9 (9 AFN'$(B9 Id9 AFN'$)B9 U9N9S9,! Letter Dated $) /a 'JJ) from the Secretar Ie+era- to the Preside+t of the Securit ,ou+ci-! U9N9 Doc9 S/'JJ)/4<(! at '42'< F'JJ)G9 It is the "ie: of the ,ommissio+ that the me+ta- e-eme+t +ecessar FaG actua- @+o:-ed6e! F#G such serious
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7erso+a- dere-ictio+ o+ the 7art of the comma+der as to co+stitute :i--fu- a+d :a+to+ disre6ard of the 7ossi#-e co+seque+ces! or FcG a+ im7utatio+ of co+structi"e @+o:-ed6e! that is! des7ite 7-eas to the co+trar ! the comma+der! u+der the facts a+d circumsta+ces of the 7articu-ar case! must ha"e @+o:+ of the offe+ses char6ed a+d acquiesced therei+9 Id9 AFN'$5B9 See 1u! su7ra +ote ''4! at $%<9 AFN'$4B9 See I,TY Statute! su7ra +ote '$&9 The Tri#u+a-;s 8urisdictio+ e=te+ds o+- o"er crimes Ecommitted i+ the territor of former Yu6os-a"ia :hich re7rese+ts the former Socia-ist Federa- Re7u#-ic of Yu6os-a"ia!E a+d committed after 3a+uar '! 'JJ'9 .ari+e Lescure a+d F-ore+ce Tri+ti6+ac! I+ter+atio+a- 3ustice for Former Yu6os-a"ia '< F'JJ4G9 AFN'$<B9 See Lescure! su7ra +ote '$4! at (2)9 AFN'$%B9 See id9 AFN'$JB9 See id9 AFN'(&B9 See id9 at 49 AFN'('B9 U9N9 ,harter ch9 ?II9 AFN'($B9 U9N9 ,harter art9 (J! 7ara '9 AFN'((B9 Id9 at art9 )'9 AFN'()B9 See Lescure! su7ra +ote '$4! at 49 AFN'(5B9 See id9 at ')9 AFN'(4B9 See id9 at ')2'59 AFN'(<B9 See id9 at '<2'%9 AFN'(%B9 See U9N9 3ud6es Se+te+ce Three! su7ra +ote J9 AFN'(JB9 See id9 AFN')&B9 See id9 AFN')'B9 See ,e-e#ici 3ud6me+t! su7ra +ote J! at (%9 AFN')$B9 See id9 at 549 AFN')(B9 Id9 at 5J24&9 AFN'))B9 See id9 at '9 AFN')5B9 See id9 at (9 La+dHo :as #or+ i+ 'J<( a+d :as +i+etee+ ears o-d duri+6 the e"e+ts i+ questio+9 See id9
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AFN')4B9 See id9 AFN')<B9 See id9 at 49 AFN')%B9 See id9 at J9 AFN')JB9 See id9 at (9 AFN'5&B9 Id9 at '$%9 AFN'5'B9 See I,TY Statute! su7ra +ote ''J! art9 <! sec9 (9 AFN'5$B9 See ,e-e#ici 3ud6me+t! su7ra +ote J! at '$<9 The e-eme+ts of the comma+d respo"si,ility doctri+e! as co+te+ded # the 7rosecutio+! are as fo--o:s: F'G The superior must e=ercise direct a+d/or i+direct comma+d or co+tro- :hether de 8ure a+d/or de facto! o"er the su#ordi+ates :ho commit serious "io-atio+s of i+ter+atio+a- huma+itaria+ -a:! a+d/or their superiors F$G The superior must @+o: or ha"e reaso+ to @+o:! :hich i+c-udes i6+ora+ce resu-ti+6 from the superior#s fai-ure to 7ro7er- su7er"ise his su#ordi+ates! that these acts :ere a#out to #e committed! or had #ee+ committed! e"e+ #efore he assumed comma+d a+d co+tro-9 F(G The superior must fai- to ta@e the reaso+a#-e a+d +ecessar measures! that are :ithi+ his 7o:er! or at his dis7osa- i+ the circumsta+ces! to 7re"e+t or 7u+ish these su#ordi+ates for these offe+ces9 Id9 AFN'5(B9 See id9 at '$J9 The 7rosecutio+ asserted that the authorit of the su7erior o"er the su#ordi+ate cou-d ta@e ma+ forms! i+c-udi+6 Eo7eratio+a-- ! tactica-- ! admi+istrati"e- ! e=ecuti"e- i+ territories u+der the co+troof the su7eriors! a+d e"e+ throu6h i+f-ue+ce9E Id9 AFN'5)B9 See id9 at ')59 AFN'55B9 See id9 at '$%9 AFN'54B9 See id9 AFN'5<B9 See id9 AFN'5%B9 See id9 at '$%9 AFN'5JB9 See id9 AFN'4&B9 See id9 at '(J2)&9 AFN'4'B9 See id9 AFN'4$B9 Id9 at ')&9 AFN'4(B9 See id9 at ')$9 AFN'4)B9 See id9 at ')$2))9
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AFN'45B9 See id9 at ')$9 AFN'44B9 See id9 at ')(2))9 The t:e-"e factors -isted # the tri#u+a- i+c-uded the fo--o:i+6: FaG The +um#er of i--e6a- actsD F#G The t 7e of i--e6a- actsD FcG The sco7e of i--e6a- actsD FdG The time duri+6 :hich the i--e6a- acts occurredD FeG The +um#er a+d t 7e of troo7s i+"o-"edD FfG The -o6istics i+"o-"ed! if a+ D F6G The 6eo6ra7hica- -ocatio+ of the actsD FhG The :ides7read occurre+ce of the actsD FiG The tacticatem7o of o7eratio+sD F8G The modus o7era+di of simi-ar i--e6a- actsD F@G The officers a+d staff i+"o-"edD F-G The -ocatio+ of the comma+der at the time9 Id9 AFN'4<B9 See id9 at ')&9 AFN'4%B9 See id9 at ')&2)$9 AFN'4JB9 Id9 at ')4 Fem7hasis addedG9 AFN'<&B9 See id9 at ')'2)$9 The tri#u+a- +oted that it :as u+der a+ o#-i6atio+ to a77- the -a: as it e=isted at the time the a--e6ed offe+ses :ere committed9 See id9 at ')59 0ccordi+6- ! the tri#u+a- -oo@ed to the -a+6ua6e of 0rtic-e %4 of Protoco- I 0dditio+a- to the Ie+e"a ,o+"e+tio+s for 6uida+ce o+ the Ereaso+ to @+o:E sta+dard of comma+d res7o+si#i-it 9 See id9D Protoco- I! su7ra +ote 459 E=ami+i+6 the -a+6ua6e of this Protoco-! the tri#u+aco+c-uded that it requires that comma+ders Ei+ factE ha"e some @+o:-ed6e a"ai-a#-e to them9 See ,e-e#ici 3ud6me+t! su7ra +ote J! at ')49 AFN'<'B9 See ,e-e#ici 3ud6me+t! su7ra +ote J! at ')) FEthe Tria- ,ham#er ta@es as its 7oi+t of de7arture the 7ri+ci7-e that a su7erior is +ot 7ermitted to remai+ :i--fu-- #-i+d to the acts of his su#ordi+ates9EG9 Note! ho:e"er! that the tri#u+a- disti+6uished the E:i--fu- #-i+d+essE situatio+ from that of Ie+era- Yamashita9 See su7ra +otes JJ2''5 a+d accom7a+ i+6 te=t9 Part of Ie+era- Yamashita;s dere-ictio+ of dut i+"o-"ed his -ac@ of @+o:-ed6e of crimes #ei+6 committed # his su#ordi+ates9 See id9 U+der the I,TY;s formu-atio+! ho:e"er! this :ou-d +ot ha"e #ee+ a sufficie+t me+s rea to fi+d Ie+era- Yamashita -ia#-e as a comma+der: There ca+ #e +o dou#t that a su7erior :ho sim7- i6+ores i+formatio+ :ithi+ his actua- 7ossessio+ com7e--i+6 the co+c-usio+ that crimi+a- offe+ces are #ei+6 committed! or are a#out to #e committed! # his su#ordi+ates commits a most serious dere-ictio+ of dut for :hich he ma #e he-d crimi+a-- res7o+si#-e u+der the doctri+e of su7erior res7o+si#i-it 9 I+stead! u+certai+t arises i+ re-atio+ to situatio+s :here the su7erior -ac@s such i+formatio+ # "irtue of his fai-ure to 7ro7er- su7er"ise his su#ordi+ates9 ,e-e#ici 3ud6me+t! su7ra +ote J! at ')) Fem7hasis addedG9 AFN'<$B9 ,e-e#ici 8ud6me+t! su7ra +ote J! at ')<9 The tri#u+a- ac@+o:-ed6ed that +o #ri6ht2-i+e test cou-d #e esta#-ished to determi+e :hat E+ecessar a+d reaso+a#-eE mea+sD the e"a-uatio+ must #e fact2s7ecific: EA0B+ e"a-uatio+ of the actio+ ta@e+ # a su7erior to determi+e :hether this dut has #ee+ met is so i+e=trica#- -i+@ed to the facts of each 7articu-ar situatio+ that a+ attem7t to formu-ate a 6e+era- sta+dard i+ a#stracto :ou-d +ot #e mea+i+6fu-9E Id9 The tri#u+a- did +ote! ho:e"er! that it cou-d o+- im7ose a dut u7o+ comma+ders to do :hat is E:ithi+ his materia- 7ossi#i-it E: EIt must! ho:e"er! #e reco6+ised that i+ter+atio+a- -a: ca++ot o#-i6e a su7erior to 7erform the im7ossi#-e9E Id9 AFN'<(B9 See id9 at ')%9 AFN'<)B9 See id9 The tri#u+a- stated that A,Bausatio+ has +ot traditio+a-- #ee+ 7ostu-ated as a co+ditio si+e qua +o+ for the im7ositio+ of crimi+a-ia#i-it o+ su7eriors for their fai-ure to 7re"e+t or 7u+ish offe+ces committed # their su#ordi+ates9 0ccordi+6- ! the Tria- ,ham#er has fou+d +o su77ort for the e=iste+ce of a requireme+t of 7roof of causatio+ as a se7arate e-eme+t of su7erior res7o+si#i-it ! either i+ the e=isti+6 #od of case -a:! the
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formu-atio+ of the 7ri+ci7-e i+ e=isti+6 treat -a:! or! :ith o+e e=ce7tio+! i+ the a#u+da+t -iterature o+ this su#8ect9 Id9 AFN'<5B9 See id9 FEATBhe su7erior ma #e co+sidered to #e causa-- -i+@ed to the offe+ces! i+ that! #ut for his fai-ure to fu-fi- his dut to act! the acts of his su#ordi+ates :ou-d +ot ha"e #ee+ committed9EG9 AFN'<4B9 See id9 at ')J FEANBo such casua- -i+@ ca+ 7ossi#- e=ist #et:ee+ a+ offe+ce committed # su#ordi+ate a+d the su#seque+t fai-ure of a su7erior to 7u+ish the 7er7etrator of that same offe+ce9EG9 AFN'<<B9 See id9 at '$%D su7ra +otes '5J24$ a+d accom7a+ i+6 te=t9 AFN'<%B9 See ,e-e#ici 3ud6me+t! su7ra +ote J! at '$%9 AFN'<JB9 See id9 AFN'%&B9 See id9 at $'59 AFN'%'B9 See id9 AFN'%$B9 See id9 at 42%9 De-ic :as a--e6ed to ha"e direct- 7artici7ated i+ the #eati+6 deaths of se"erai+di"idua-s9 See id9 Further! he :as a--e6ed to ha"e ra7ed t:o :ome+ a+d to ha"e tortured at -east t:o i+di"idua-s :ith e-ectric de"ices9 See id9 at <9 The crimes a--e6ed- committed # his su#ordi+ates i+c-ude #eati+6 or shooti+6 to death ei6ht 7riso+ers! 7-aci+6 a 7riso+er i+ a ma+ho-e for a :ee@ :ithout food or :ater! 7-aci+6 a #ur+i+6 fuse arou+d the 6e+ita-s of a+other 7riso+er! a+d forci+6 7erso+s to commit fe--atio u7o+ each other9 See id9 at J2''9 AFN'%(B9 See id9 at $%' FEATBhe Prosecutio+ asserts that Athe cam7 comma+derB :as ofte+ a#se+t from the 7riso+2cam79 It is a--e6ed that the e"ide+ce sho:s that :he+ Athe cam7 comma+derB :as a#se+t! *aHim De-ic :as i+ char6e a+d e=ercised fu-- authorit ! that is! he :as the acti+6 comma+der i+ AAAthe cam7 comma+der;sB a#se+ce9EG9 AFN'%)B9 See id9 AFN'%5B9 See id9 0dmi+istrati"e matters i+c-ude Eor6a+iHi+6 docume+ts a+d -o6istics9E Id9 at $%&9 AFN'%4B9 See id9at $%(9 The defe+se Eco+te+dAedB that comma+d is a ri6ht e=ercised # "irtue of office! the @e e-eme+ts of :hich are authorit a+d res7o+si#i-it 9 /i-itar ra+@! o+ the other ha+d! is characterised as the re-ati"e 7ositio+ or de6ree of 7recede+ce 6ra+ted mi-itar 7erso+s mar@i+6 their statio+s i+ mi-itar -ife9E Id9 AFN'%<B9 See id9 AFN'%%B9 See id9 AFN'%JB9 See ,e-e#ici 8ud6me+t! su7ra +ote J! at $%(2%)9 I+ additio+ to this ar6ume+t! the defe+se asserted that the 7rosecutio+ fai-ed to meet its factua- #urde+ of 7roof9 See id9 The defe+se ar6ued that De-ic;s crimi+a-ia#i-it cou-d #e determi+ed o+- re-ati"e to that of /ucic! his comma+der! a+d that a#se+t 7roof of /ucic;s -ia#i-it ! the 7rosecutio+ :ou-d +ecessari- fai- to 7ro"e De-ic -ia#-e9 See id9 Furthermore! the defe+se ar6ued that the 7rosecutio+ cou-d +ot 7ro"e that /ucic :as a#se+t a+d De-ic acted as comma+der duri+6 the times :he+ i+di"idua- offe+ses :ere a--e6ed to ha"e occurred9 See id9 a
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AFN'J&B9 See id9 at $%5 FENot:ithsta+di+6 the su#missio+s of the Defe+ce! the Prosecutio+ does +ot ar6ue that the doctri+e of comma+d res7o+si#i-it a77-ies to those :ho do +ot e=ercise comma+d a+d asserts as a matter of fact that the e"ide+ce demo+strates that *aHim De-ic did e=ercise comma+d i+ the ,e-e#ici 7riso+2cam79EG9 AFN'J'B9 See id9 at $%52%J9 AFN'J$B9 See id9 at $%52%49 For e=am7-e! o+e e e:it+ess stated! EI as@ed! ;:ho is this ma+>;! a+d the 7eo7-e :ho :ere a-read sitti+6 there said it :as *aHim De-ic! he is +um#er t:o! he is Iod a+d our -ife de7e+ds o+ him9E Id9 at $%49 AFN'J(B9 See id9 at $%4 FE1hi-e this e"ide+ce is re-e"a+t to the Tria- ,ham#er;s co+sideratio+! it is +ot dis7ositi"e of /r9 De-ic;s status9EG9 AFN'J)B9 See id9 at $%<9 AFN'J5B9 See id9 at $%%9 The tri#u+a- i+dicated that com7-ia+ce of the 6uards ma i+timidatio+ # De-ic! a+d +ot from actua- comma+d authorit 9 See id9 AFN'J4B9 See id9 at $%J9 AFN'J<B9 Id9 AFN'J%B9 See id9 The tri#u+a- 8ud6e fou+d that the Prosecutio+ has fai-ed to esta#-ish #e o+d reaso+a#-e dou#t! that *aHim De-ic -a :ithi+ the chai+ of comma+d i+ the ,e-e#ici 7riso+ cam7! :ith the 7o:er to issue orders to su#ordi+ates or to 7re"e+t or 7u+ish crimi+a- acts of su#ordi+ates9 0ccordi+6- ! he ca++ot #e fou+d to ha"e #ee+ a Esu7eriorE for the 7ur7oses of ascri#i+6 crimi+a- res7o+si#i-it to him u+der 0rtic-e <F(G of the Statute9 Id9 AFN'JJB9 See id9 at ))(2)49 AFN$&&B9 See id9 AFN$&'B9 See id9 at $4$9 The ramificatio+s of this -e"e- of 7ote+tia- -ia#i-it :ere hu6e! 6i"e+ the offe+ses! ra+6i+6 from murder to torture to ra7e9 See id9 at )4'2<49 AFN$&$B9 See id9 at $4$9 AFN$&(B9 See id9 at $4(9 AFN$&)B9 See id9 AFN$&5B9 See id9 AFN$&4B9 See id9 at $4)9 AFN$&<B9 See id9 AFN$&%B9 See id9 at $45 FES7ecifica-- ! the Defe+ce asserts that it has +ot #ee+ 7ro"e+ :hether /r9 /ucic :as a mi-itar comma+der or a ci"i-ia+ :arde+ or admi+istrator! +or :hat 7o:ers :ere 6i"e+ to him to i+"esti6ate a+d ha"e resu-ted from
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7u+ish those :ho mistreated detai+ees9EG9 AFN$&JB9 See id9 AFN$'&B9 See id9 The defe+se co+te+ded that /ucic 6a"e orders +ot to mistreat the 7riso+ers9 See id9 AFN$''B9 See id9 at $4<9 AFN$'$B9 Id9 AFN$'(B9 See id9 at $4%9 AFN$')B9 See id9 at $4J9 EThe Defe+ce misco+cei"es the correct -e6a- 7ositio+ :he+ it assumes that ;:ithout the forma- authorit ; /r9 /ucic ;has +o dut to mai+tai+ 7eace a+d order :ithi+ ,e-e#ici9E ; Id9 AFN$'5B9 See id9 at $<'2$<$9 AFN$'4B9 See id9 at $<49 AFN$'<B9 See id9 at $<42<<9 For e=am7-e! o+e 7riso+er c-aimed that /ucic :as 7rese+t :he+ he :as 7-aced i+ a ma+ho-e! :here he :as to remai+ for se"e+ da s :ithout food or :ater9 See id9 at $<49 Other 7riso+ers c-aimed /ucic :as 7rese+t :he+ the :ere re-eased from this ma+ho-e! after a 7eriod of co+fi+eme+t9 See id9 at $<<9 AFN$'%B9 See id9 at $<<9 The tri#u+a- #ased /ucic;s actua- @+o:-ed6e o+ the :ides7read +ature of the crimes themse-"es! :hich is remi+isce+t of the situatio+ i+ Yamashita9 See su7ra +otes J42''5 a+d accom7a+ i+6 te=t9 The crucia- differe+ce is that the I,TY used the +ature of the crimes to co+c-ude that /ucic had actua@+o:-ed6e! +ot that he shou-d ha"e @+o:+ #ut fai-ed to 7ro7er- su7er"ise i+ order to fi+d out9 See ,e-e#ici 3ud6me+t! su7ra +ote J! at $<<9 AFN$'JB9 See su7ra +ote '5$ a+d accom7a+ i+6 te=t9 AFN$$&B9 See ,e-e#ici 3ud6me+t! su7ra +ote J! at $<%9 There is +o dou#t that Mdra"@o /ucic had the authorit to 7re"e+t the "io-atio+s of i+ter+atio+ahuma+itaria+ -a: i+ the ,e-e#ici 7riso+ cam79 There is +o e"ide+ce #efore the Tria- ,ham#er that he made a+ serious effort to 7re"e+t these co+ti+ued "io-atio+s or 7u+ish his su#ordi+ates for such crimes duri+6 his te+ure9 Id9 AFN$$'B9 See id9 at $<<9 AFN$$$B9 See id9 at $<%9 AFN$$(B9 See id9 AFN$$)B9 See id9 at $<J9 The crimes that /ucic :as char6ed :ith as a su7erior i+c-ude those descri#ed i+ +ote '%$! su7ra9 AFN$$5B9 Discussio+ of De-a-ic;s a--e6ed comma+d res7o+si#i-it com7ared :ith '' for De-ic a+d '% for /ucic9 See id9 at $'52%J9 e+com7assed )< 7a6es of the o7i+io+!
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AFN$$4B9 See su7ra +ote '%$ Fdiscussi+6 some of the crimes committed # 6uards at ,e-e#ici! for :hich De-a-ic :as a--e6ed- res7o+si#-eG9 AFN$$<B9 See ,e-e#ici 3ud6me+t! su7ra +ote J! at $'49 Tactica- Irou7 ' :as a mi-itar u+it of the Bos+ia+ /us-im forces9 See id9 AFN$$%B9 See id9 at $'<9 AFN$$JB9 See id9 at $'%9 I+ Athe 7rosecutio+;sB "ie:! it is c-ear that ADe-a-icB :as o+e of the -eadi+6 fi6ures of authorit i+ the re6io+ at that time! a+d that his 7o:er a+d i+f-ue+ce e=te+ded to matters 7ertai+i+6 to the ,e-e#ici 7riso+2cam7 a+d at the "er -east to the c-assificatio+ a+d re-ease of detai+ees9 Id9 AFN$(&B9 See id9 at $'%2$&9 For e=am7-e! the 7rosecutio+ cited e"ide+ce that i+ his ro-e as re6io+a- coordi+ator! De-a-ic "isited the 7riso+ cam7 a+d :as 6i"e+ the defere+ce e=7ected # a comma+der9 See id9 at $$&9 AFN$('B9 See id9 at $$&2$)9 The 7rosecutio+ co+te+ded that the order desi6+ati+6 De-a-ic as comma+der of Tactica- Irou7 ' made him the comma+der of a-- troo7s i+ the re6io+! i+c-udi+6 those statio+ed as 6uards at ,e-e#ici9 See id9 at $$&9 The 7rosecutio+ further ar6ued that De-a-ic co+ti+ued to e=ercise the same -e"e- of authorit i+ this +e: ro-e! as he had as re6io+a- comma+der9 See id9 at $$'9 AFN$($B9 See id9 at $$59 AFN$((B9 See id9 at $$< FEI+ the "ie: of the Defe+ce! co2ordi+atio+ im7-ies! # defi+itio+! mediatio+ a+d co+ci-iatio+! a+d does +ot co++ote comma+d authorit or su7erior authorit 9EG9 AFN$()B9 See id9 at $$J9 AFN$(5B9 See id9 FE/r9 De-a-ic! o+ these occasio+s! acted mere- as a co+duit a+d that he tra+smitted these orders 7ursua+t to orders issued to him # the Su7reme ,omma+d9EG9 AFN$(4B9 See id9 at $('2($ FEThe Tria- ,ham#er deems it co+"e+ie+t a+d a77ro7riate to discuss a fe: 7re-imi+ar issues :hich it co+siders +ecessar for the e-ucidatio+ of its reaso+i+69EG9 AFN$(<B9 Id9 at $($ Fem7hasis addedG9 AFN$(%B9 See id9 at $((24'9 AFN$(JB9 See id9 at $)J9 AFN$)&B9 Id9 at $(%9 AFN$)'B9 See id9 AFN$)$B9 See id9 AFN$)(B9 See id9 at $)J9 I+ reachi+6 this co+c-usio+! the tri#u+a- re8ected e"ide+ce such as De-a-ic;s si6+ature o+ "arious :ritte+ orders to ,e-e#ici 7erso++e-! a+d acti"ities such as issui+6 u+iforms9 See id9 at $)42)%9 The tri#u+a- fou+d that these acti"ities :ere co+siste+t :ith his admi+istrati"e a+d -o6istica- fu+ctio+s a+d did +ot
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im7- a+ e=ercise of authorit or comma+d9 See id9 AFN$))B9 See id9 at $)J24'9 AFN$)5B9 See id9 at $)J9 AFN$)4B9 See id9 at $5'9 These orders! issued # De-a-ic! Erequired the /i-itar I+"esti6ati+6 #od of the .o+8ic OSOS to u+derta@e i+terro6atio+ of 7riso+ers at ,e-e#ici9 It required Mdra"@o /ucic to esta#-ish a commissio+ of three mem#ers to u+derta@e the i+terro6atio+ of 7riso+ers9E Id9 AFN$)<B9 See id9 at $559 AFN$)%B9 See id9 at $5'25$9 AFN$)JB9 See id9 at $5$ FEThe comma+der of a tactica- 6rou7! :he+ so ordered # his su7erior! must 7erform missio+s or tas@s outside the sco7e of his s7ecific authorit as a tactica- 6rou7 comma+der9EG9 AFN$5&B9 See id9 FEThese are +ot the orders of /r9 De-a-ic! :ho! as comma+der of ATactica- Irou7 'B! cou-d +ot issue a+ orders outside those co+cer+i+6 his comma+d9 /r9 De-a-ic :as i+ this case 7erformi+6 as a mere co+duit or a mi+isteria- fu+ctio+ar 9EG9 AFN$5'B9 See id9 at $5( FEThe comma+der of ATactica- Irou7 'B had authorit o+- o"er the formatio+s that :ere directsu#ordi+ated to him # order of the Su7reme ,omma+d9EG9 AFN$5$B9 See id9 at $4'9 AFN$5(B9 See id9 The courts ha"e +ot acce7ted the 7ro7ositio+ that a comma+der #e he-d res7o+si#-e for the :ar crimes of 7erso+s +ot u+der his comma+d9 I+ the i+sta+t case! the Tria- ,ham#er has fou+d that the Prosecutio+ has fai-ed to 7ro"e that /r9 De-a-ic had comma+d authorit a+d! therefore! su7erior res7o+si#i-it o"er ,e-e#ici 7riso+ cam7! its comma+der! de7ut comma+der or 6uards9 /r9 De-a-ic ca++ot! therefore! #e he-d res7o+si#-e for the crimes a--e6ed to ha"e #ee+ committed i+ the ,e-e#ici 7riso+2cam7 # Mdra"@o /ucic! *aHim De-ic! Esad La+dHo or other 7erso+s :ithi+ the ,e-e#ici 7riso+2cam79 Id9 AFN$5)B9 See id9 at ))&9 AFN$55B9 See id9 at $%'2%$9 AFN$54B9 See id9 at $%%9 AFN$5<B9 See id9 at '(J2)&9 AFN$5%B9 See su7ra +otes $(&2($ a+d accom7a+ i+6 te=t9 AFN$5JB9 See su7ra +otes $)525' a+d accom7a+ i+6 te=t9 AFN$4&B9 See su7ra +otes '&(2&< a+d accom7a+ i+6 te=t9 AFN$4'B9 See su7ra +ote '&( a+d accom7a+ i+6 te=t9
Pa6e (&
AFN$4$B9 See su7ra +ote $$4 a+d accom7a+ i+6 te=t9 AFN$4(B9 See id9 AFN$4)B9 See su7ra +ote $(4 a+d accom7a+ i+6 te=t9 AFN$45B9 See su7ra +otes '5&25' a+d accom7a+ i+6 te=t9 AFN$44B9 See su7ra +otes $'<2$( a+d accom7a+ i+6 te=t9 AFN$4<B9 See ,e-e#ici 3ud6me+t! su7ra +ote J! at $<<9 AFN$4%B9 See su7ra +otes ''<2$5 a+d accom7a+ i+6 te=t9 AFN$4JB9 See su7ra +otes 4(244 a+d accom7a+ i+6 te=t9 AFN$<&B9 See su7ra +otes '4&24$ a+d accom7a+ i+6 te=t9 AFN$<'B9 See su7ra +ote '<$ a+d accom7a+ i+6 te=t9 The tri#u+a- +oted it cou-d o+- im7ose a dut u7o+ comma+ders to do :hat is E:ithi+ his materia- 7ossi#i-it !E #ut it did +ot s7ea@ to :hether the i+di"idua-;s i+te--i6e+ce or s@i-- :as a factor i+ determi+i+6 :hat is materia-- 7ossi#-e9 ,e-e#ici 3ud6me+t! su7ra +ote J! at ')<9 *o:e"er! the tri#u+a- did co+sider the me+tastate of Esad La+dHo! o+e of the defe+da+ts +ot char6ed :ith su7erior res7o+si#i-it ! i+ determi+i+6 a se+te+ce9 See id9 at )(%9 AFN$<$B9 The tri#u+a-;s discussio+ of the correct formu-atio+ of the doctri+e co"ers +ear- $J 7a6es of the )%)2 7a6e o7i+io+9 See id9 at '$'2)J9 AFN$<(B9 See Reisma+! su7ra +ote 5<! at )'52'4! )$%9 END OF DO,U/ENT
< 3,SE,L 'J' FOR EDU,0TION0L USE ONLY < 39 ,o+f-ict O Securit L9 'J' (Cite as: 1 J Co"fli.t ? Se.urity L /6/%
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3our+a- of ,o+f-ict O Securit La: Octo#er! $&&$ -rti.le &/6/ ,O//0ND RESPONSIBILITY: 0 ,0SE STUDY OF 0LLEIED ?IOL0TIONS OF T*E L01S OF 10R 0T .*I0/ DETENTION ,ENTRE Ro#erta 0r+o-d AFNa'B ,o7 ri6ht C $&&$ # O=ford U+i"ersit PressD Ro#erta 0r+o-d -*STR-CT O+ $)th /a $&&&! the -ast Israe-i troo7s -eft Souther+ Le#a+o+! mar@i+6 the e+d of a+ occu7atio+ that had -asted a-most t:e+t ears9 This ste7 ma ha"e o7e+ed the 6ates for reco+ci-iatio+ #et:ee+ Israe- a+d its 0ra# +ei6h#ours9 The c-aims of re"e+6e for the mutua-- e+dured sufferi+6s ma +o+ethe-ess require the creatio+ of a truth a+d reco+ci-iatio+ commissio+ or a tri#u+a- read to i+"esti6ate the a--e6ed 7er7etratio+ of :ar crimes # #oth sides9 This artic-e tries to a+a- He the -e6a- "a-idit of o+e of these a--e6atio+s! that is the res7o+si#i-it of Israe-i a+d Souther+ Le#a+ese comma+ders for the use of torture as a+ i+terro6atio+ method at .hiam dete+tio+ ce+tre! i+ South Le#a+o+9 B refere+ce to this case stud ! it aims at so-"i+6 the questio+ :hether re6u-ar arm comma+ders ca+ #e -ia#-e for the actio+s of ;7ro= ; mi-itias a+d :hether the doctri+e of comma+d res7o+si#i-it e=te+ds to the -eaders of irre6u-ar 6rou7s9 / !)TR(DUCT!() O+ $)th /a $&&&! the -ast Israe-i troo7s -eft Souther+ Le#a+o+! mar@i+6 the e+d of a+ occu7atio+ that had -asted a-most t:e+t ears9 AFN'B This :as a #i6 ste7 for a state :hose e=iste+ce has #ee+ u+der co+sta+t threat si+ce its #irth i+ 'J)%9 It ma ha"e o7e+ed the 6ates for reco+ci-iatio+ :ith its 0ra# +ei6h#ours! e"e+ thou6h rece+t e"e+ts i+dicate that Israe-;s 7o-itica- :i--i+6+ess ma +ot #e sufficie+t9 AFN$B The c-aims of re"e+6e for the mutua-- e+dured sufferi+6s ma o+- #e quiete+ed # a truth a+d reco+ci-iatio+ commissio+ or a tri#u+aread to i+"esti6ate the a--e6ed 7er7etratio+ of :ar crimes # #oth sides9 AFN(B This artic-e :i-- tr to a+a- He the -e6a- "a-idit &/62 of o+e of these a--e6atio+s! that is the res7o+si#i-it of Israe-i a+d Souther+ Le#a+ese comma+ders for the use of torture as a+ i+terro6atio+ method at .hiam! a dete+tio+ ce+tre -ocated i+ Israe-;s ;safet Ho+e; a+d co+tro--ed # its 7ro= mi-itia! the South Le#a+ese 0rm FSL0G9 The Israe-i 6o"er+me+t has a-:a s de+ied a+ i+"o-"eme+t i+ the ce+tre;s admi+istratio+! shifti+6 the res7o+si#i-it to the SL09 *o:e"er! the fact that the state ma #ear +o res7o+si#i-it is irre-e"a+t to the questio+ :hether the su7eriors of the Israe-i Defe+se Forces FIDFG a+d the SL0 ma #e crimi+a-- -ia#-e as i+di"idua-s for the misco+duct of the i+terro6ators9 Torture amou+ts to a serious "io-atio+ of i+ter+atio+a- huma+itaria+ -a: FI*LG a77-ica#-e to #oth i+ter+atio+a- a+d +o+2i+ter+atio+a- co+f-icts9 AFN)B E"e+ thou6h torture ma #e re6arded as +ecessar for the 7re"e+tio+ of terrorism # some! the u+i"ersa-- acce7ted -e6a- 7ositio+ is that its use is +ot 8ustified u+der a+ circumsta+ces9 The a+a- sis i+ this 7a7er :i-- focus o+ the doctri+e of Fi+directG comma+d res7o+si#i-it ! e"e+ thou6h omissio+ of i+ter"e+tio+ ma additio+a-- im7- the direct res7o+si#i-it of a comma+der9 AFN5B The ce+traquestio+ is :hether re6u-ar arm comma+ders ca+ #e -ia#-e for the actio+s of ;7ro= ; mi-itias a+d :hether the doctri+e of comma+d res7o+si#i-it e=te+ds to the -eaders of irre6u-ar 6rou7s9 0 +ecessar 7re-imi+ar fi+di+6 :i-- #e :hether the huma+itaria+ -a: 7ro"isio+s #a++i+6 torture :ere a77-ica#-e to a-- the 7arties i+"o-"ed9 The 7rese+t 7a7er :i-- therefore #e structured as fo--o:s: sectio+ t:o :i-- summariHe the e"e+ts that
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a--e6ed- occurred at .hiam9 Sectio+ three :i-- i--ustrate the a77-ica#-e sources of the doctri+e of comma+d res7o+si#i-it ! i+ 7articu-ar the customar +orms of i+ter+atio+a- huma+itaria+ -a: FI*LG a+d the 8uris7rude+ce of the UN ad hoc tri#u+a-s9 AFN4B It :i-- a-so discuss :hich 7ro"isio+s of I*L :ere &/65 a77-ica#-e a+d to :hom9 Sectio+ four of the 7rese+t 7a7er :i-- dea- :ith the -e6a- e"a-uatio+ of the facts! :hereas the co+c-usio+ :i-- fo--o: i+ sectio+ fi"e9 2 T>E 3-CTU-L *-C;BR(U)D The situatio+ at .hiam ca+ o+- #e u+derstood i+ the co+te=t of the Souther+ Le#a+ese co+f-ict! the roots of :hich ca+ #e traced #ac@ to the -ate si=ties9 It :as arou+d this time that the PLO #e6a+ as a mi-itar a+d 7o-itica- or6a+iHatio+ i+ the south of the cou+tr ! AFN<B :hich ra7id- resu-ted i+ the esta#-ishme+t of a+ i+de7e+de+t ;e+c-a"e;9 Be o+d the co+troof the Le#a+ese 6o"er+me+t! the area :as idea- for the -au+chi+6 of attac@s a6ai+st the +orth of Israe-9 AFN%B The Israe-is reacted # i+"adi+6 Le#a+o+! :ith the ho7e that their actio+ :ou-d mo"e the -oca- authorities to re7ress the terrorist ce--s9 I+ 'J<5 i+te+se i+ter+a- 7o-itica- disse+t resu-ted i+ the s7-it of the Le#a+ese arm i+to the ,hristia+ ;Le#a+ese Fro+t; a+d the /us-im ;Natio+a/o"eme+t;9 AFNJB The crisis reached its 7ea@ i+ 'J<%! :he+ Israe- -au+ched the ;Lita+i ,am7ai6+;! aimi+6 to 7ush the PLO to the +orth of the Lita+i Ri"er9 AFN'&B The UN Securit ,ou+ci- 7assed Reso-utio+ )$5 AFN''B ca--i+6 for Israe-;s immediate :ithdra:a-! a+d Reso-utio+ )$4! :hich esta#-ished UNIFIL! AFN'$B a force :hose o#8ecti"e :as to "erif the IDF;s retreat9 The IDF -eft the occu7ied territor :ith the e=ce7tio+ of a '& @i-ometre square securit stri7 a-o+6 the #order! :hich :as -eft u+der the 8oi+t2co+troof the IDF a+d /a8or *addad;s forces! -ater @+o:+ as the South Le#a+ese 0rm FSL0G9 AFN'(B I+ 'J%$ the i+creasi+6 attac@s o+ Israe- a+d the attem7t to @i-- its 0m#assador i+ Lo+do+ -ed to ;O7eratio+ Peace for Ia-i-ee;! :hich au6ured the #e6i++i+6 of the Le#a+ese ci"i- :ar9 AFN')B The mai+ 6oa-s :ere the esta#-ishme+t of a ,hristia+ /aro+ite Io"er+me+t a--ied to Israe- a+d the e=7u-sio+ of the PLO from Le#a+o+9 /ore tha+ ''!&&& Pa-esti+ia+s :ere e"acuated u+der the su7er"isio+ of a mu-ti+atio+a- troo7 com7osed # the US0! Fra+ce a+d Ita- ! AFN'5B :hereas 0rafat had to mo"e his headquarters to Tu+is9 The Israe-is! satisfied! :ithdre: from Beirut to the 0:a-i Ri"er9 But fo--o:i+6 the @i--i+6 of Bechir Iema e-! the +e:- e-ected ,hristia+ 7reside+t! the ca7ita- :as rei+"aded a+d the ,hristia+ Pha-a+6ists! u+der the e es of the IDF! e+tered the Pa-esti+ia+ refu6ee cam7s of Sa#ra a+d ,hati-a! :here hu+dreds of 7eo7-e :ere @i--ed9 Faced :ith :or-d:ide accusatio+s for the massacre! the IDF mo"ed #ac@ to the south9 0mi+ Iema e-! Bechir;s #rother! :as e-ected as the +e: Preside+t of Le#a+o+ a+d &/64 o+ '<th /a 'J%( he si6+ed a 7eace treat :ith Israe-9 Fee-i+6 #etra ed! the /us-im commu+it ca--ed for S ria;s i+ter"e+tio+ a+d a ear -ater the treat :as a#ro6ated9 AFN'4B 0t the same time! the Israe-is -ost the fa"our of the mai+- Shiite 7o7u-atio+ of the south! :ho had i+itia-:e-comed them i+ the ho7e of 6etti+6 rid of the Pa-esti+ia+s9 AFN'<B 0ttac@s #ro@e out a6ai+ a+d i+ 'J%) Israedecided to cut off the south from the rest of the cou+tr 9 The Shiites created the resista+ce mo"eme+ts of 0maa+d *eH#o--ah9 I+ 3a+uar 'J%5 the IDF :ithdre: from the souther+ 7art of the 0:a-i ri"er AFN'%B a+d esta#-ished the so2ca--ed securit Ho+e a-o+6 the i+ter+atio+a- #order! :hich :as u+der the co+troof the SL0 a+d the su7er"isio+ of the IDF9 AFN'JB This area :as a+ e=7a+ded "ersio+ of the securit Ho+e mai+tai+ed # Israe- #et:ee+ 'J<%2'J%$! co+stituti+6 te+ 7erce+t of the Le#a+ese territor 9 AFN$&B The Le#a+ese ci"i- :ar e+ded i+ 'J%J :ith the Taif 06reeme+t! si6+ed :ith the mediatio+ of the 0ra# Lea6ue9 0 Io"er+me+t of Natio+a- U+it :as formed a+d a-- the mi-itias :ere disarmed :ith the e=ce7tio+ of *eH#o--ah! @e7t to cou+ter#a-a+ce the 7rese+ce of the SL0 a+d to s m#o-iHe Le#a+o+;s o77ositio+ to the Israe-i occu7atio+9 AFN$'B The mo"eme+t tur+ed i+to a trai+ed a+d :e--2equi77ed 6rou7! fi+a+cia-- a+d mi-itarisu77orted from Ira+! :ith S ria+ su77ort a+d co+se+t9 AFN$$B 0s of 0u6ust 'JJJ! some $!5&& SL0 so-diers a+d some '!'&& IDF so-diers :ere statio+ed i+ South Le#a+o+9 AFN$(B SL0 so-diers recei"ed their sa-aries direct- from Israe- a+d their fami-ies :ere e+tit-ed to :or@ there9 Some (!&&& Le#a+ese citiHe+s crossed the #order o+ a dai- #asis to :or@ u+der this arra+6eme+t9 AFN$)B It is i+ this co+te=t that the situatio+ of .hiam must #e u+derstood9 Located o+ a hi-- o"er-oo@i+6 the to:+
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of the same +ame! the 7riso+ :as #ui-t i+ 'J(( # the Fre+ch ma+dati+6 forces9 I+ 'J%5! fo--o:i+6 the IDF;s rede7-o me+t i+ the area! .hiam re7-aced 0+sar AFN$5B as the mai+ i+terro6atio+ a+d dete+tio+ faci-it 9 Its &/65 admi+istratio+ :as ha+ded o"er to the SL0! AFN$4B :hereas Israe- a--e6ed- 7reser"ed u-timate su7er"isio+9 AFN$<B 0t its c-osure i+ /a $&&& AFN$%B there :ere a77ro=imate- '(& detai+ees9 AFN$JB These :ere mai+Le#a+ese +atio+a-s -i"i+6 i+ the occu7ied Ho+e9 /ost of them :ere he-d there :ithout char6e or tria- AFN(&B a+d used as #ar6ai+i+6 chi7s for the re-ease of missi+6 Israe-i a+d SL0 so-diers9 AFN('B Some of those sus7ected of #e-o+6i+6 to a+ i--e6a- or6a+iHatio+ :ere ta@e+ to Israe- a+d tried # the Israe-i /i-itar ,ourt9 AFN($B Torture :as a77are+t- ado7ted as a re6u-ar mea+s of i+terro6atio+9 AFN((B ?arious +o+26o"er+me+ta- or6a+iHatio+s FNIOsG ho-d the SL0 a+d Israe- res7o+si#-e for this! AFN()B :hereas Israe- has a-:a s shifted the res7o+si#i-it to the SL0! c-aimi+6 that .hiam :as u+der the mi-itia;s so-e co+tro-9 AFN(5B 1it+esses ha"e +o+ethe-ess re7orted the 7rese+ce AFN(4B or e"e+ the direct 7artici7atio+ Fat -east u+ti- 'J%%G AFN(<B of Israe-i 7erso++e- duri+6 the i+terro6atio+s9 /oreo"er! their i+"o-"eme+t :as co+firmed i+ Se7tem#er 'JJJ # Bri6adier Ie+era- Da+ *a-utH; affida"it! i+ :hich he re"ea-ed that: &/6$ There is a co++ectio+ #et:ee+ the Ie+era- Securit Ser"ice AISS2Shi+ BetB a+d the SL0 as far as co+cer+s the 6atheri+6 of i+te--i6e+ce a+d i+terro6atio+s that are 6eared to:ards 7re"e+ti+6 terrorist attac@s i+ the Securit Mo+e a6ai+st IDF a+d SL0 so-diers9 I+ this frame:or@ ISS 7erso++e- coo7erate :ith mem#ers of the SL0! a+d e"e+ assist them # mea+s of 7rofessio+a- 6uida+ce a+d trai+i+6! ho:e"er the do +o 7artici7ate i+ the fro+ta- i+terro6atio+ of the detai+ees9 0ccordi+6 to :hat I ha"e #ee+ to-d! ISS 7erso++e- ho-d meeti+6s se"era- times a++ua-- :ith SL0 i+terro6atio+s at the a-2.hiam 7riso+! a+d thus! for e=am7-e! si+ce '9'9JJ to the e+d of 3u- there ha"e #ee+ o+- three "isits # ISS 7erso++e- to the 7riso+9 AFN(%B *e a-so co+firmed that the i+formatio+ 6athered # the SL0 duri+6 the i+terro6atio+s :as -ater tra+sferred to the Israe-i Securit Forces a+d that the t:o forces co2o7erated strict- a-so i+ the arrest a+d the re-ease of the detai+ees9 AFN(JB Last #ut +ot -east! the 7riso+ staff :ere 7aid # a+ Israe-i officer9 AFN)&B O+ this #asis! the UN ,ommissio+ for *uma+ Ri6hts! i+ the Re7ort of its 1or@i+6 Irou7 o+ 0r#itrar Dete+tio+ of $%th Decem#er 'JJJ! attri#uted res7o+si#i-it for the situatio+ at .hiam to Israe-9 AFN)'B I+ /a $&&&! i+ "ie: of the IDF;s fi+a- :ithdra:a-! the Israe-i *i6h ,ourt had ordered the state to come to a decisio+ re6ardi+6 the fate of the detai+ees! #ut this :as th:arted # the s7eedier retreat of the IDF a+d the SL0 a+d the -i#eratio+ of the 7riso+ers # the -oca- "i--a6ers9 AFN)$B &/61 5 T>E -''L!C-*LE L-W 5 / Torture as a Serious Ciolatio" of !"ter"atio"al >uma"itaria" Law The res7o+si#i-it of SL0 a+d IDF mi-itar comma+ders :i-- #e e=ami+ed o+- i+ re6ard to the a--e6ed use of torture9 The questio+ :hether other crimes :ere committed is #e o+d the sco7e of this 7a7er9 The issues at sta@e here are t:ofo-d9 First! it must #e determi+ed :hether the I*L 7ro"isio+s o+ torture :ere a77-ica#-e to the 7arties i+"o-"ed at .hiam9 Seco+d- ! it must #e esta#-ished :hether the mistreatme+t of the detai+ees amou+ted to torture u+der these 7ro"isio+s9 Usua-- the c-assificatio+ of the co+f-ict is of the utmost im7orta+ce for determi+i+6 :hich 7ro"isio+s of I*L :ere #i+di+6 o+ the 7arties i+"o-"ed! si+ce i+terstate co+fro+tatio+s are su#8ect to the com7rehe+si"e #od of the 'J)J Ie+e"a ,o+"e+tio+s FI,sG a+d 0dditio+a- Protoco- I of 'J<< F0P IG! :hereas the i+ter+a- co+f-icts are mere- co"ered # the mi+ima- 6uara+tees of commo+ artic-e ( to the I,s a+d 0dditio+a- Protoco- II F0P IIG9 I+ South Le#a+o+ there :as a mi=ed co+f-ict i+"o-"i+6 the 6o"er+me+ts of Le#a+o+ a+d Israe- a+d the mi-itias of the SL0 a+d *eH#o--ah9 AFN)(B Usua-- these situatio+s are "er com7-icated for the determi+atio+ of the a77-icatio+ ratio+ae materiae a+d 7erso+ae of I*L9 AFN))B *o:e"er! i+ the 7rese+t case these 7ro#-ems
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do +ot arise tha+@s to the fact that our i+quir mere- re"o-"es arou+d the res7o+si#i-it of SL0 a+d IDF su7eriors for the use of torture9 Torture amou+ts to a #reach of commo+ artic-e ( to the four Ie+e"a ,o+"e+tio+s! :hich :as reco6+iHed # the I+ter+atio+a- ,ourt of 3ustice FI,3G i+ the Nicara6ua ,ase AFN)5B as customar -a: a77-ica#-e to a-- t 7es of co+f-icts9 /oreo"er! the 8uris7rude+ce of the UN ad hoc tri#u+a-s a+d artic-e %F$GFcGFiG of the &/64 I,, Statute co+firm that its #reach e+tai-s i+di"iduacrimi+a- res7o+si#i-it 9 AFN)4B 1ith re6ard to the issue of 7rotected 7erso+s! the 7riso+ers of .hiam :ere hors de com#at a+d thus co"ered # commo+ artic-e (9 1ith re6ard to the seco+d questio+! e"e+ thou6h +either the Ie+e"a ,o+"e+tio+s +or the 7rotoco-s co+tai+ a defi+itio+ of torture! refere+ce is usua-- made AFN)<B to the UN Dec-aratio+ o+ Torture of J Decem#er 'J<5! :hich :as u+a+imous- ado7ted # I0 Reso-utio+ 0 ()5$ FWWWG! accordi+6 to :hich: Torture mea+s a+ act # :hich se"ere 7ai+ or sufferi+6! :hether 7h sica- or me+ta-! is i+te+tio+a-i+f-icted # or at the i+sti6atio+ of a 7u#-ic officia- o+ a 7erso+ for such 7ur7oses as o#tai+i+6 from him or a third 7erso+ i+formatio+ or co+fessio+! 7u+ishi+6 him for a+ act he has committed or is sus7ected of ha"i+6 committed! or i+timidati+6 him or other 7erso+s 9999 Torture co+stitutes a+ a66ra"ated a+d de-i#erate form of crue-! i+huma+ or de6radi+6 7u+ishme+t9 Due to the -imited sco7e of this 7a7er! the -e6a- qua-ificatio+ of the mistreatme+t of the detai+ees of .hiam is +ot 6oi+6 to #e discussed i+ detai-9 *o:e"er! o+ the #asis of Reso-utio+ 'JJ%/4$ of the ,ommissio+ of *uma+ Ri6hts! AFN)%B as :e-- as the fi+di+6s of the Israe-i Su7reme ,ourt o+ the i+terro6atio+ methods of the ISS! AFN)JB it &/66 :i-- #e assumed that the mea+s ado7ted # the SL0 at .hiam! :hich a--e6ed- i+c-uded the use of e-ectric shoc@s! AFN5&B fa-- u+der the a#o"e me+tio+ed defi+itio+ a+d thus ca+ #e said to #e torture u+der I*L9 5 2 T8e -ppli.a,le Sour.es of !>L Esta,lis8i"< Comma"0 Respo"si,ility This sectio+ :i-- focus o+ the de"e-o7me+ts of the doctri+e of comma+d res7o+si#i-it throu6h the 8uris7rude+ce of the UN ad hoc tri#u+a-s9 Occasio+a- refere+ce to the I,, Statute :i-- #e made! AFN5'B si+ce its 7ro"isio+s ha"e +ot et #ee+ u+i"ersa-- acce7ted AFN5$B a+d si+ce the :ere ado7ted :e-- after the occurre+ce of the facts u+der discussio+9 AFN5(B 5 2 / Treaty Law (t8e BCs of /646 a"0 t8e -'s of /611% 0s a 7re-imi+ar fi+di+6! it is im7orta+t to reca-- that :hereas #oth Israe- a+d Le#a+o+ ha"e ratified the four 'J)J Ie+e"a ,o+"e+tio+s FI,sG! AFN5)B o+- Le#a+o+ is a 7art to the t:o 'J<< 0dditio+a- Protoco-s9 AFN55B Therefore o+- those 7ro"isio+s of the 7rotoco-s that are 7art of customar -a: :i-- #e of re-e"a+ce here9 /oreo"er! it has #ee+ co+c-uded that the co+f-ict i+ Souther+ Le#a+o+ :as of a mi=ed +ature9 Therefore it :ou-d #e +ecessar to determi+e :hether the ru-es 7ro"idi+6 for comma+d res7o+si#i-it a77- to a-- t 7es of co+f-icts9 1ith re6ard to i+ter+atio+a- co+f-icts! there is +o e=7-icit reco6+itio+ of the doctri+e i+ a+ of the four I,s9 This ca+ o+- #e i+ferred from the co+te+t of commo+ artic-e ' AFN54B or artic-e )F$G of the third I,! AFN5<B :hich requires 6o"er+me+ts to 7ro"ide for the res7ect of the -a:s of :ar! i+ 7articu-ar # de"o-"i+6 this com7ete+ce to the comma+ders9 The same ho-ds true for the ru-es a77-ica#-e to &299 +o+2i+ter+atio+a- co+f-icts! si+ce 0dditio+a- Protoco- II mere- co+tai+s a+ im7-icit refere+ce to the doctri+e! AFN5%B :hereas commo+ artic-e ( does +ot me+tio+ it at a--9 /oreo"er! the 6ra"e #reaches 7ro"isio+s! as :e-- as commo+ artic-e ( a+d artic-e ) 0P II! AFN5JB mereaddress the acti"e 7er7etratio+ of :ar crimes9 AFN4&B No 7ro"isio+ co+siders res7o+si#i-it for omissio+! :ith the e=ce7tio+ of artic-es %42%< of 0P I9 The a77-icatio+ of these +orms! AFN4'B ho:e"er! is -imited to i+ter+atio+a- co+f-icts! :hereas the ma8orit of the o77ositio+s i+ our case :as i+ter+a-9 Thus! si+ce +either the I,s +or the 0Ps 7ro"ide us :ith much 6uida+ce! re-ia+ce :i-- ha"e to #e 7-aced o+ customar -a: a+d the
Pa6e 5
8uris7rude+ce of the i+ter+atio+a- tri#u+a-s9 5 2 2 Customary Law 0ccordi+6 to /ero+! customar -a: is #ui-t # the ;6e+era- 7ractice of states :hich is acce7ted a+d o#ser"ed as -a:! i9e9 from a se+se of -e6a- o#-i6atio+9; AFN4$B Is the 7ri+ci7-e of comma+d res7o+si#i-it 7art of i+ter+atio+a- customar -a:> 0fter a+ e=hausti"e re"ie: of the histor of the doctri+e! 7articu-ar- # refere+ce to the *a6ue ,o+"e+tio+s of 'J&< a+d 7ost seco+d :or-d :ar cases such as I+ &29/ Re Yamashita! AFN4(B the *osta6e ,ase AFN4)B or the *i6h ,omma+d ,ase! AFN45B the Tria- ,ham#er Fhereafter: T,G i+ ,e-e#ici co+c-uded that this doctri+e is certai+- a 7art of i+ter+atio+a- customar -a:9 AFN44B O+ the #asis of the To oda ,ase! it a-so set out the customar criteria required to esta#-ish res7o+si#i-it : AFN4<B '9 A 999 B that atrocities :ere actua-committedD $9 Notice of the commissio+ thereof Feither actua- or co+structi"eGD (9 Po:er of comma+d9 )9 Fai-ure to ta@e such a77ro7riate measures as are :ithi+ his 7o:er to co+tro- the troo7s u+der his comma+d a+d to 7re"e+t acts :hich are "io-atio+s of the -a:s of :arD 59 Fai-ure to 7u+ish offe+ders9 The reco6+itio+ of its customar +ature is a-so su77orted # its em#odime+t i+ artic-e $% of the Rome Statute for a+ I+ter+atio+a- ,rimi+a- ,ourt9 AFN4%B /oreo"er! the fact that the 7ri+ci7-e is a-so e+shri+ed i+ artic-e 4F(G of the Statute for the I+ter+atio+a- ,rimi+a- Tri#u+a- for R:a+da FI,TRG! a 7ro"isio+ that ref-ects artic-e <F(G of the I,TY Statute! a-so i+dicates that its a77-icatio+ i+ +o+2i+ter+atio+a- co+f-icts is :e-- acce7ted u+der customar -a:9 AFN4JB 5 2 5 Case Law B "irtue of its customar +ature AFN<&B a+d its si6+ifica+ce to a co+f-ict "er simi-ar to the o+e i+ South Le#a+o+! the 8uris7rude+ce of the I+ter+atio+a- Tri#u+a- for the Former Yu6os-a"ia is of 7rimar im7orta+ce9 The court;s -eadi+6 decisio+ o+ comma+d respo"si,ility is 7ro#a#- Prosecutor " De-a-ic et9 a-! usua-- referred to as the ,e-e#ici ,ase9 AFN<'B The T, esta#-ished a three2sta6e test requiri+6: AFN<$B FiG the e=iste+ce of a superior2su#ordi+ate re-atio+shi7D FiiG that the superior @+e: or had reaso+ to @+o: that the crimi+a- act :as a#out to #e or had #ee+ committedD a+d FiiiG that the superior fai-ed to ta@e the +ecessar a+d reaso+a#-e measures to 7re"e+t the crimi+aact or 7u+ish the 7er7etrator thereof9 &292 1ith re6ard to the first co+ditio+! the T, o#ser"ed that due to the com7-e=ities of the situatio+ i+ the Former Yu6os-a"ia! the status of a 7erso+ cou-d +ot 7ossi#- #e determi+ed o+ the #asis of forma- hierarchicastructures9 It he-d that ;the mere a#se+ce of forma- -e6a- authorit to co+tro- the actio+s of su#ordi+ates shou-d +ot #e u+derstood to 7rec-ude the im7ositio+ of such res7o+si#i-it ; a+d that comma+d res7o+si#i-it cou-d #e #ased a-so o+ a de facto rather tha+ a de 8ure 7ositio+ of authorit 9 AFN<(B It co+c-uded that the doctri+e a77-ies to a-- i+di"idua-s! AFN<)B as -o+6 as these e=ercised effecti"e co+tro- o"er the offe+ders a+d had ;the materiaa#i-it to 7re"e+t a+d 7u+ish the commissio+ of these offe+ces;9 AFN<5B The 077ea-s ,ham#er F0,G co+curred :ith this "ie: # ho-di+6 that this sta+dard had a-so #ee+ ado7ted # artic-e $% of the Statute for a+ I+ter+atio+a- ,rimi+a- ,ourt FI,,G9 AFN<4B Therefore the sho:i+6 of effecti"e co+tro- is required i+ cases i+"o-"i+6 #oth de 8ure a+d de facto su7eriors9 ,e-e#ici a-so dre: a+ i+teresti+6 disti+ctio+ #et:ee+ the duties of a tactica- a+d a+ e=ecuti"e comma+der9 This a77roach :as fo--o:ed i+ the *i6h ,omma+d ,ase! :hich i+"o-"ed hi6h2ra+@i+6 Ierma+ officers9 AFN<<B The tri#u+a- discussed the duties of a+ e=ecuti"e comma+der :ho! u+-i@e a tacticacomma+der! is +ot i+ char6e of troo7s assi6+ed to him! #ut of a territor 9 The court he-d that he: is 7er se res7o+si#-e :ithi+ the area of his occu7atio+ 999 re6ard-ess of the fact that the crimes committed :ere due to the actio+ of the state or su7erior mi-itar authorities that he did+;t i+itiate or i+ :hich he did+;t 7artici7ate9 AFN<%B
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The same "ie: :as shared i+ the *osta6e ,ase AFN<JB a+d referred to i+ ,e-e#ici! :hich he-d: AFN%&B I+ the *osta6e a+d *i6h ,omma+d tria-s it :as acce7ted that comma+ders i+ char6e of occu7ied territor ma #e he-d res7o+si#-e for :ar crimes committed a6ai+st ci"i-ia+s a+d 7riso+ers of :ar i+ that area # troo7s +ot &295 u+der their comma+d9 0s the tri#u+a- i+ the *osta6e ,ase dec-ared: ;AtBhe matter of su#ordi+atio+ of u+its as a #asis of fi=i+6 crimi+a- res7o+si#i-it #ecomes im7orta+t i+ the case of a mi-itar comma+der ha"i+6 so-e- a tacticacomma+d9 But as to the comma+di+6 6e+era- of occu7ied territor :ho is char6ed :ith mai+tai+i+6 7eace a+d order! 7u+ishi+6 crime a+d 7rotecti+6 -i"es a+d 7ro7ert ! su#ordi+atio+ are re-ati"e- u+im7orta+t9 *is res7o+si#i-it is 6e+era- a+d +ot -imited to a co+troof u+its direct- u+der his comma+d9; 0+other im7orta+t feature of ,e-e#ici :as its a+a- sis of the me+s rea criterio+9 Differe+t sta+dards ha"e #ee+ +ame- a77-ied i+ the doctri+e;s histor 9 The most co+tro"ersia- sta+dard! AFN%'B :hich accordi+6 to some AFN%$B :as ado7ted i+ Yamashita! AFN%(B is the ;strict -ia#i-it ; test9 0ccordi+6 to this test! the su7erior is crimi+a-- res7o+si#-e for acts committed # his su#ordi+ate! :ithout it #ei+6 +ecessar to 7ro"e his crimi+ai+te+t9 AFN%)B This 7ri+ci7-e is #ased o+ the assum7tio+ that a comma+der;s dut is to co+tro- his su#ordi+ates! +o matter :hat the circumsta+ces! a+d that fai-ure to do so im7-ies -ia#i-it 9 This test :as +e"erthe-ess re8ected i+ the *i6h ,omma+d ,ase! AFN%5B :hich reca--ed that si+ce the moder+ dictates of :ar +ecessitated dece+tra-iHatio+! a hi6h comma+der cou-d +ot #e @e7t i+formed of a-- the detai-s of a mi-itar o7eratio+9 Therefore the ;@+e: or shou-d ha"e @+o:+; test :as i+troduced! AFN%4B :hich re-ies o+ the co+ce7ts of actuaF@+e:G a+d co+structi"e Fshou-d ha"e @+o:+G @+o:-ed6e9 0ccordi+6 to this test! a comma+der ma #e -ia#-e if ;he fai-ed to e=ercise the mea+s a"ai-a#-e to him to -ear+ of the offe+ce a+d! u+der the &294 circumsta+ces! he shou-d ha"e @+o:+ a+d such fai-ure to @+o: co+stitutes crimi+a- dere-ictio+9; AFN%<B Li@e:ise the *osta6e ,ase he-d that a comma+der of occu7ied territor ;is char6ed :ith +otice of occurre+ces ta@i+6 7-ace :ithi+ that territor ;9 AFN%%B *e ma fu-fi- his dut # requiri+6 re7orts #ut! if these are i+com7-ete! he is o#-i6ed to require su77-eme+tar o+es9 I+ the court;s :ords: ;AiBf he fai-s to require a+d o#tai+ com7-ete i+formatio+! the dere-ictio+ of dut rests u7o+ him a+d he is i+ +o 7ositio+ to 7-ead his o:+ dere-ictio+ as a defe+ce9; AFN%JB The To oda ,ase ru-ed that this Fco+structi"eG @+o:-ed6e ma a-so #e 7resumed :he+ the carr i+6 out of the crimes :as so :ides7read that a reaso+a#-e ma+ cou-d come to +o other co+c-usio+ tha+ that the accused must ha"e @+o:+ of the facts9 The u+der- i+6 idea is therefore that e"e+ thou6h a comma+der ca++ot 7ossi#- @ee7 trac@ of a-- the o+6oi+6 e"e+ts! -ac@ of @+o:-ed6e is +ot a defe+ce :here this is due to +e6-i6e+ce i+ attem7ti+6 to o#tai+ a-- the 7ossi#-e i+formatio+9 The ,e-e#ici ,ase c-arified the rece+t status of a77-ica#-e customar -a: o+ this 7oi+t # esta#-ishi+6 that the ;@+e: or shou-d ha"e @+o:+; test! ho-di+6 that comma+ders are u+der the dut to #e i+formed a#out the acti"ities of their su#ordi+ates! had #ee+ re7-aced # the ;@+e: or had reaso+ to @+o:; test of artic-e %4 0P I9 AFNJ&B This test +o -o+6er e+com7asses the -ia#i-it of a comma+der for dere-ictio+ of dut to o#tai+ i+formatio+ :ithi+ his reaso+a#-e access9 AFNJ'B This "ie:! de#ated i+ B-as@ic! AFNJ$B :as -ater co+firmed i+ the ,e-e#ici 077ea- 3ud6me+t a+d the .ordic a+d ,er@eH ,ase9 AFNJ(B 0ccordi+6 to this test! a su7erior is o+-ia#-e if: &295 FiG he had actua- @+o:-ed6e Festa#-ished throu6h direct AFNJ)B or circumsta+tia- AFNJ5B e"ide+ceG that his su#ordi+ates :ere committi+6 or a#out to commit crimes! or! FiiG if he ;had reaso+ to @+o:; that crimes :ere #ei+6 committed o+ the #asis of i+formatio+ a"ai-a#-e to him a+d i+dicati+6 the +eed for additio+a- i+"esti6atio+9 AFNJ4B The +o"e-t i+troduced # the ;had reaso+ to @+o:; test is that the comma+der is +o -o+6er required to acti"e- search for the i+formatio+9 Lia#i-it :i-- o+- arise if he fai-ed to acquire @+o:-ed6e o+ the #asis of i+formatio+ a-read a"ai-a#-e to him9 U+fortu+ate- the T, did +ot e=ami+e :hether curre+t customar -a: has #ee+ modified # artic-e $% of the I,, Statute9 AFNJ<B This 7ro"isio+ has rei+troduced a &29$ "ersio+ of the ;shou-d ha"e @+o:+; test9 0+ attem7t to c-arif this :as made # the I,TR i+ .a ishema a+d RuHi+da+a! AFNJ%B :hich he-d that a su7erior is
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o+- -ia#-e for ha"i+6 fai-ed to ta@e +otice of i+formatio+ that ma ha"e i+dicated the occurre+ce of crimes! #ut +ot for the fai-ure of o#tai+i+6 that i+formatio+9 The I,TR reca--ed that i+ artic-e $% of the I,, Statute! the ;shou-d ha"e @+o:+; formu-a is com7-eted # the 7hrasi+6 ;o:i+6 to the circumsta+ces at the time;! :hich seems to #ri+6 it i+ -i+e :ith the ;had reaso+ to @+o:; test su77orted i+ ,e-e#ici9 Therefore! e"e+ thou6h it :i-- #e the I,,;s tas@ to defi+e the detai-s of the me+s rea requireme+ts u+der its Statute! it ma #e co+c-uded that! +ot:ithsta+di+6 a s-i6ht- differe+t :ordi+6! the a77-ica#-e test is sti-- :hether someo+e! o+ the #asis of the a"ai-a#-e i+formatio+! ;had reaso+ to @+o:; i+ the se+se of 0P I9 It is a-so a 7it that the T, i+ ,e-e#ici dro77ed the case a6ai+st De-a-ic :ithout e-ucidati+6 the me+s rea criteria for e=ecuti"e comma+ders9 AFNJJB *o:e"er! from a 6-o#a- readi+6! the T, a77ears to ha"e e=te+ded its fi+di+6s to a-- t 7es of comma+ders9 AFN'&&B The I,TY! i+ B-as@ic! AFN'&'B co+firmed most of the "ie:s e=7ressed i+ ,e-e#ici9 I+ additio+! the 8ud6me+t stressed that omissio+ of i+ter"e+tio+ ma im7- a+ accumu-ati"e char6e for i+di"idua- a+d comma+d res7o+si#i-it 9 AFN'&$B It he-d that a-thou6h 7rima facie it :ou-d #e i--o6ica- to ho-d a su7erior crimi+a-res7o+si#-e for 7-a++i+6! i+sti6ati+6 or orderi+6 the commissio+ of crimes a+d! at the same time! re7roach him for +ot 7re"e+ti+6 or 7u+ishi+6 them! the co+curre+t a77-icatio+ of artic-es <F'G a+d <F(G of the I,TY Statute is acce7ta#-e :here his fai-ure to i+ter"e+e a--o:s the commissio+ of su#seque+t crimes9 This ma occur for e=am7-e i+ re-atio+ :ith the fai-ure to 7u+ish9 AFN'&(B The same "ie: :as shared i+ the ,e-e#ici a+d 0-e@so"s@i a77ea- 8ud6me+ts! ru-i+6 that these cases :i-- resu-t i+ a si+6-e #ut a66ra"ated co+"ictio+ for comma+d res7o+si#i-it 9 AFN'&)B &291 0+other im7orta+t co+tri#utio+ of the I,TY has #ee+ its a+a- sis of the e-eme+t of causatio+ i+ re-atio+ :ith comma+d res7o+si#i-it arisi+6 from omissio+ of i+ter"e+tio+9 The T, i+ ,e-e#ici ru-ed that causatio+ +eeds +ot to #e 7ro"e+ as a se7arate e-eme+t! si+ce it ma #e: co+sidered to #e i+here+t i+ the requireme+t of crimes committed # su#ordi+ates a+d the su7erior;s fai-ure to ta@e the measures :ithi+ his 7o:ers to 7re"e+t them9 I+ this situatio+! the su7erior ma #e co+sidered to #e causa-- -i+@ed to the offe+ces! i+ that! #ut for his fai-ure to fu-fi- his dut to act! the acts of his su#ordi+ates :ou-d +ot ha"e #ee+ committed9 AFN'&5B The decisio+ a77are+t- assumes that the causatio+ of the crimes is i+here+t to the i+actio+ of the su7erior a+d his status9 0-thou6h this a77roach ma reca-- the ;strict -ia#i-it ; test! the di"er6e+ce is due to the fact that u+der the three2sta6e test of ,e-e#ici! a comma+der is o+- -ia#-e if he e=ercised effecti"e co+tro- o"er the su#ordi+ates9 Therefore the #asis is his 7o:er to i+ter"e+e! +ot his status9 This ru-i+6 of the I,TY a77ears to fo--o: the so ca--ed ;Iara+te+ste--u+6; F6uara+tor 7ositio+G theor of the S:iss/Ierma+/0ustria+ doctri+e9 This 6uara+tor 7ositio+ is attached to 7erso+s :ho ha"e either the -e6a- o#-i6atio+ to 7rotect a s7ecific o#8ect/7erso+ u+der their su7er"isio+ from e=ter+a- da+6ers! or to 7erso+s :ho ha"e created a da+6er a+d :ho are u+der the dut to 7rotect the e=ter+a- :or-d from its effects9 It ca+ moreo"er #e ide+tified i+ the first requireme+t of the three2sta6e test of comma+d res7o+si#i-it 9 The criterio+ of a su7erior2su#ordi+ate re-atio+shi7 i+dicates that the 7erso+ u+der scruti+ must ha"e #ee+ u+der the dut to ta@e char6e of his me+ # first 7rotecti+6 them from e=ter+a- da+6ers a+d seco+d- su7er"isi+6 them as a 7ote+tia-- da+6erous actor for the e=ter+a- :or-d9 AFN'&4B It cou-d #e ar6ued that a comma+der fai-i+6 to i+ter"e+e fa--s u+der the seco+d headi+69 I+ the I,TY;s "ie:! this shou-d #e sufficie+t to ho-d a comma+der -ia#-e! +o matter :hether his i+acti"it :as actua-- causa- for the commissio+ of the su#seque+t crimes9 *o:e"er! this 7resum7tio+ is questio+a#-e9 The T, seems to ado7t the so2ca--ed ;Risi@oerhLhu+6stheorie; Ftheor of ris@ a66ra"atio+G su77orted # a +um#er of S:iss crimi+a- -a: scho-ars9 0ccordi+6 to this doctri+e! it is sufficie+t to 7ro"e that the i+ter"e+tio+ ma ha"e 7re"e+ted the commissio+ of the crime9 AFN'&<B *o:e"er! it :ou-d 7ro#a#- #e more a77ro7riate to fo--o: the -eadi+6 ;1ahrschei+-ich@eitstheorie;! AFN'&%B F7ro#a#i-it theor G accordi+6 to :hich a crime ca+ o+- #e im7uted if &294 the i+ter"e+tio+ :ou-d most -i@e- ha"e 7re"e+ted its occurre+ce9 AFN'&JB This is 7articu-ar- true for those situatio+s i+ :hich there has #ee+ a cha+6e i+ comma+d9 For e=am7-e! a former comma+der shou-d o+#e res7o+si#-e if a +o"us actus i+ter"e+ie+s ca++ot #e esta#-ished a+d if the #reaches :ou-d +ot ha"e occurred #ut for his fai-ure to co+tro- his me+9 AFN''&B
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I+teresti+6- ! ho:e"er! :hereas the requireme+t of causatio+ for the esta#-ishme+t of -ia#i-it for fai-ure to 7re"e+t is re-e"a+t! #ut is deemed to #e i+here+t to the status of the su7erior! this is +ot the case for the esta#-ishme+t of -ia#i-it for fai-ure to 7u+ish! :here it is com7-ete- a#se+t9 AFN'''B This is #ecause: :hi-e a causaco++ectio+ #et:ee+ the fai-ure of a comma+der to 7u+ish 7ast crimes committed # su#ordi+ates a+d the commissio+ of a+ such future crimes is +ot o+- 7ossi#-e #ut -i@e- ! 999 +o such causa-i+@ ca+ 7ossi#- e=ist #et:ee+ a+ offe+ce committed # a su#ordi+ate a+d the su#seque+t fai-ure of a superior to 7u+ish the 7er7etrator of that same offe+ce9 The "er e=iste+ce of the 7ri+ci7-e of superior respo"si,ility for fai-ure to 7u+ish! therefore! reco6+ised u+der 0rtic-e <F(G a+d customar -a:! demo+strates the a#se+ce of a requireme+t of causa-it as a se7arate e-eme+t of the doctri+e of superior respo"si,ility9 AFN''$B The T, further e=7-ai+ed its 7ositio+ # stati+6 that: a causatio+ requireme+t :ou-d u+dermi+e the ;fai-ure to 7u+ish; com7o+e+t of superior respo"si,ility! :hich 999 ca+ o+- arise after the commissio+ of the offe+ce 999 as a matter of -o6ic a superior cou-d +ot #e he-d respo"si,le for 7rior "io-atio+s committed # su#ordi+ates if a causa- +e=us :as required #et:ee+ such "io-atio+s a+d the superior#s fai-ure to 7u+ish those :ho committed them9 AFN''(B The a#se+ce of a causatio+ -i+@ ma #e further e=7-ai+ed :ith the fact that u+der artic-e <F(G! the fai-ure to 7u+ish does +ot +eed the comi+6 i+to effect of a ;resu-t;9 It is sufficie+t for this fai-ure to create a ris@ for the commissio+ of further crimes! i+ re6ard of :hich the causa- +e=us ca+ #e mere- h 7othetic9 This ma #e e=7-ai+ed i+ a+a-o6 to the S:iss doctri+e of the ;a#stra@te IefPhrdu+6sde-i@te;! accordi+6 to :hich there are some acts :hich +eed +ot effecti"e- resu-t i+ i+8ur ! harm! death or dama6e i+ order to im7- -ia#i-it ! si+ce the are 7rosecuta#-e for &296 the mere fact of creati+6 a da+6er Fi+choate e+da+6erme+tG9 AFN'')B 0 simi-arit ca+ 7ro#a#- #e dra:+ :ith the crime of i+citeme+t to 6e+ocide! u+der artic-e 4 of the I,, Statute9 AFN''5B I+ co+c-usio+! refere+ce has to #e made to the 0@a esu ,ase9 AFN''4B This :as the -eadi+6 decisio+ of the I+ter+atio+a- ,rimi+a- Tri#u+a- for R:a+da FI,TRG! a court :hose statute is #ased o+ the same 7remises as that of the I,TY Statute! #ut that mai+- re"o-"es arou+d i+ter+a- co+f-icts9 AFN''<B Its im7orta+ce is a-so due to the fact that it :as the first i+ter+atio+a- i+strume+t to crimi+a-iHe #reaches of commo+ artic-e ( a+d artic-e ) of 0P II9 AFN''%B O+ the #asis of this i+strume+t! the T, i+ 0@a esu co+firmed the a77-ica#i-it of the doctri+e of comma+d res7o+si#i-it to +o+2i+ter+atio+a- co+f-icts a+d its e=te+sio+ a-so to ci"i-ia+s ho-di+6 de facto 7ositio+s of authorit 9 AFN''JB 4 LEB-L EC-LU-T!() (3 T>E 3-CTS: W>( A!B>T *E RES'()S!*LEE The aim of this sectio+ is to determi+e :hether SL0 a+d IDF comma+ders ma #e accou+ta#-e for the to-era+ce of the use of torture as a+ i+terro6atio+ method at .hiam9 It has #ee+ sho:+ that u+der s7ecific circumsta+ces! 7articu-ar- :he+ cou7-ed :ith #ei+6 7rese+t at the sce+e of the crime! +o+2i+ter"e+tio+ ca+ im7- #oth direct/7erso+a- a+d comma+d res7o+si#i-it ! there# a66ra"ati+6 the cu-7a#i-it of the su7erior9 AFN'$&B Ne"erthe-ess! the res7o+si#i-it of those i+"o-"ed i+ .hiam :i-- #e e=ami+ed o+- u+der the doctri+e of comma+d res7o+si#i-it 9 The a+a- sis :i-- fo--o: the method ado7ted # the UN ad hoc tri#u+a-s9 4 / Comma"0 Respo"si,ility of SL- (ffi.ials The SL0 :as a+ offshoot of the troo7s that had fou6ht i+ the Le#a+ese ci"i- :ar u+der /a8or *addad9 AFN'$'B 0fter *addad;s death i+ 'J%)! comma+d :as assumed # Ie+era- 0+toi+e Lahad! :ith :hom the SL0 #ecame a mi-itia :ith a hierarchica- &2/9 structure "er simi-ar to that of a re6u-ar arm 9 AFN'$$B U+der his direct comma+d! there :ere a+ easter+ a+d a :ester+ #ri6ade comma+der! as :e-- as a de7ut comma+der9 The :ester+ #ri6ade comma+der :as a-so the chief of the /a#at i+te--i6e+ce ser"ice! :hich had a77are+t- #ee+ set u7 # the Israe-i Shi+ Bet i+ 'J%J9 AFN'$(B 1hereas the assum7tio+ that the mi-itia :as #ou+d # the 7rohi#itio+ of torture of commo+ artic-e ( to the
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Ie+e"a ,o+"e+tio+s does +ot 7ose too ma+ difficu-ties! AFN'$)B a more i+tri6ui+6 questio+ is :hether its -eaders :ere su#8ect to the doctri+e of comma+d res7o+si#i-it 9 It has #ee+ 7re"ious- esta#-ished that +o:ada s! the 7ri+ci7-e a77-ies to a-- t 7es of co+f-icts a+d to a-- t 7es of comma+ders! as -o+6 as these had effecti"e co+tro- o"er the 7er7etrators9 AFN'$5B Therefore! the questio+ :hether the #e-o+6ed to a re6u-ar arm ! a mi-itia! or :hether the :ere sim7-e ci"i-ia+s is irre-e"a+t9 AFN'$4B The o+- differe+ce #et:ee+ the treatme+t of mi-itar as o77osed to +o+2mi-itar su7eriors re6ards the sta+dards to #e a77-ied9 For e=am7-e! u+der artic-e $% of the I,, Statute! si+ce ci"i-ia+ su7eriors ca++ot re- o+ a hierarchica- structure to o#tai+ i+formatio+! the thresho-d of @+o:-ed6e Fme+s reaG is hi6her9 AFN'$<B *o:e"er! these 7ro#-ems do +ot arise i+ the 7rese+t case9 Due to the fact that the SL0 :as a+ or6a+iHed mi-itar force headed # a 7erso+ res7o+si#-e! AFN'$%B as required # commo+ artic-e ( to the Ie+e"a ,o+"e+tio+s! AFN'$JB it ca+ #e co+c-uded that its -eaders :ere mi-itar comma+ders9 This &2// co+c-usio+ is further su77orted # the fact that u+der artic-e <F(G of the I,TY Statute a+d artic-e $%F#G of the I,, Statute! +o+2mi-itar comma+ders are o+- 7o-itica- -eaders a+d other ci"i-ia+ su7eriors i+ 7ositio+s of authorit 9 AFN'(&B 0-- the others! e co+trario! are mi-itar comma+ders or 7eo7-e effecti"e- acti+6 as such9 AFN'('B 0fter this 7re-imi+ar fi+di+6! the mai+ questio+ is :hich su7eriors :ere i+ char6e at .hiam a+d :hether the 7ossessed the required de6ree of co+tro- a+d authorit o"er the i+terro6ators9 To determi+e this! further e"ide+ce :ou-d #e +eeded9 1hat is @+o:+! thou6h! tha+@s to a+ i+"esti6atio+ co+ducted # 0m+est I+ter+atio+a- F0m+est G! is that at -east u+ti- 'JJ$ the ce+tre :as ru+ # a dua- comma+d structure9 O+e :as headed # a 7riso+ director! char6ed :ith o"erseei+6 the i+terro6atio+s a+d the ce+tre i+ 6e+era-9 The other :as headed # a 7riso+ comma+der i+ char6e of the 6uards a+d the mi-itar staff of the ce+tre as :e-- as :ith the su7er"isio+ of the sectio+s housi+6 the detai+ees :ho had com7-eted their i+terro6atio+s9 There :ere a77are+t+i+e i+terro6ators :ho :or@ed i+ shifts u+der the su7er"isio+ of the 7riso+ director9 AFN'($B Therefore! at -east :ith re6ard to the e"e+ts that occurred u+ti- 'JJ$! it is 7ossi#-e to e=ami+e the respo"si,ility of three 7erso+a-ities: Ie+era- Lahad Fthe su7reme comma+der of the mi-itiaG! the 7riso+ director a+d the 7riso+ comma+der9 4 / / Superior7Su,or0i"ate Relatio"s8ip The first criterio+ to esta#-ish comma+d respo"si,ility is :hether there :as a superior2su#ordi+ate re-atio+shi7 #et:ee+ the comma+der a+d the offe+ders9 The fact of #e-o+6i+6 to a chai+ of comma+d is +ot 7er se sufficie+t: the superior must ha"e had forma- authorit o"er the u+its a--e6ed to ha"e committed the crime a+d ha"e #ee+ i+ their co+tro-9 AFN'((B It must a-so #e 7ro"e+ that ;these 7o:ers are Erea-E &2/2 for crimi+arespo"si,ility to #e attached to them9; AFN'()B 1as this the case for the su7reme comma+der of the SL0> )9'9'9' The Status of the Ie+eraIe+era- Lahad :as the su7reme comma+der of the SL0 si+ce 'J%J9 AFN'(5B Not:ithsta+di+6 his officia7ositio+! it is +ecessar to assess :hether he e=ercised de facto co+tro- o"er the i+terro6ators at .hiam9 O+e i+dicium is that accordi+6 to the Israe-i authorities! i+quiries a#out the ce+tre :ere to #e addressed to him! 7articu-ar- :ith re6ard to the 7riso+ers! o"er :hich he a--e6ed- had authorit 9 AFN'(4B *e :as! for e=am7-e! the i+di"idua- :ho ordered the re-ease of /s S9 B9 after she had ser"ed te+ ears i+ .hiam for ha"i+6 attem7ted to @i-- him i+ 'J%%9 AFN'(<B /oreo"er! the detai+ees #e-ie"ed i+ his 7o:er of i+ter"e+tio+9 AFN'(%B 0-- these e-eme+ts su66est that he actua-- had authorit o"er the dete+tio+ ce+tre! e"e+ thou6h it is difficu-t to assess :hether he a-so had de facto co+tro- o"er the i+terro6ators9 *o:e"er! these difficu-ties ma #e o"ercome # co+sideri+6 Ie+era- Lahad as the e=ecuti"e comma+der of the ;safet Ho+e;! o"er :hich the SL0 :as i+ co+tro-9 The res7o+si#i-it of this t 7e of comma+der does +ot require the e=iste+ce of strict su#ordi+atio+: the res7o+si#i-it is 7rimari- territoria- a+d it i+c-udes #oth the acti"it of the so-diers a+d the 7o7u-atio+ comi+6 :ithi+ his authorit 9 AFN'(JB Si+ce the Ie+era- :as at the head of the SL0! the force that! to6ether :ith the IDF! :as i+ char6e of the &2/5 ;safet Ho+e; AFN')&B i+ :hich .hiam :as -ocated! it ma #e c-aimed that as e=ecuti"e comma+der! he :as u-timate- res7o+si#-e a-so for the facts occurri+6 i+ the 7riso+9 )9'9'9$ The Status of the Priso+ Director
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The 7riso+ director! :hose e=iste+ce ca+ #e 7ro"e+ u+ti- 'JJ$! :as i+ char6e of the i+terro6ators! a-- of :hom #e-o+6ed to the SL09 AFN')'B *o:e"er! as o#ser"ed # the 0, i+ ,e-e#ici! to determi+e res7o+si#i-it it is +ecessar to -oo@ at the effecti"e e=ercise of 7o:er or co+tro-! +ot at forma- tit-es: I+ 6e+era-! the 7ossessio+ of de 8ure 7o:er i+ itse-f ma +ot suffice for the fi+di+6 of comma+d res7o+si#i-it ! if it does +ot ma+ifest i+ effecti"e co+tro-! a-thou6h a court ma 7resume that 7ossessio+ of such 7o:er 7rima facie resu-ts i+ effecti"e co+tro- u+-ess 7roof of the co+trar is 7roduced9 AFN')$B Therefore i+ the 7rese+t case it ma #e 7resumed that # "irtue of his hierarchica- 7ositio+ :ithi+ the comma+d structure! the 7riso+ director had effecti"e co+tro- o"er the i+terro6ators9 /oreo"er! it is hard to ima6i+e that the ru++i+6 of a ce+tre :hich :as foca- for the 7re"e+tio+ of terrorist acti"ities a6ai+st Israe- :as assi6+ed to someo+e -ac@i+6 such 7o:er9 )9'9'9( The Status of the Priso+ ,omma+der 0ccordi+6 to 0m+est I+ter+atio+a-! there :as a 7riso+ comma+der i+ char6e of the 6uards a+d the mi-itar staff of the ce+tre u+ti- at -east 'JJ$9 AFN')(B The mai+ issue is :hether his su7er"isor com7ete+ces e=te+ded to the i+terro6ators! :ho :ere 7rimari- u+der the authorit of the 7riso+ director9 I+ this re6ard! it ma #e reca--ed that #oth the T, a+d the 0, i+ ,e-e#ici re8ected the Prosecutor;s 7ositio+ accordi+6 to :hich comma+d res7o+si#i-it ma #e attached a-so to 7erso+s e=erti+6 su#sta+tia- i+f-ue+ce9 AFN'))B Simi-ar- to the T,;s reaso+i+6 i+ that case! it :ou-d a-so #e +ecessar here to determi+e! #e o+d a reaso+a#-e dou#t! :hether the 7riso+ comma+der :as 7art of the chai+ of comma+d i+ .hiam! so as to #e 7ro"ided :ith the authorit to issue orders a+d to 7re"e+t or 7u+ish the a--e6ed crimi+a- acts occurri+6 therei+9 AFN')5B Because it ca++ot #e 7ro"e+ #e o+d a reaso+a#-e dou#t! that the 7riso+ comma+der :as a-so i+ char6e of the i+terro6ators! the questio+ of his res7o+si#i-it for the use of torture at .hiam :i-- #e -eft o7e+9 AFN')4B &2/4 4 / 2 Ae"s Rea: #;"ew or 8a0 Reaso" to ;"ow# 1hereas direct res7o+si#i-it requires :i-fu- i+te+t! su7erior res7o+si#i-it ca+ a-so #e esta#-ished o+ the #asis of +e6-i6e+ce9 AFN')<B This! ho:e"er! is +ot to #e i+te+ded as strict -ia#i-it 9 AFN')%B The commo+ requireme+t is that the su7erior ;@+e: or had reaso+ to @+o:;! that is that he either had actua- or co+structi"e @+o:-ed6e! as restated # the ,e-e#ici 3ud6me+t9 AFN')JB Did the SL0 comma+ders ha"e the +ecessar me+s rea to #e he-d res7o+si#-e for the use of torture a6ai+st the i+mates> )9'9$9' The /e+s Rea of the Ie+eraIt has #ee+ 7re"ious- 7resumed that Ie+era- Lahad :as the e=ecuti"e comma+der of the ;safet Ho+e;! i+ :hich .hiam :as -ocated9 Si+ce ,e-e#ici he-d that the same me+s rea sta+dard a77-ies to #oth tactica- a+d e=ecuti"e comma+ders! the questio+ is: did he @+o:! or did he ha"e reaso+ to @+o:! that the detai+ees at .hiam :ere su#8ected to torture duri+6 the i+terro6atio+s> 0ctua- @+o:-ed6e is 6i"e+ :he+e"er the accused has either see+ the commissio+ of the crimes or has #ee+ i+formed of such crimes short- thereafter9 AFN'5&B 0ccordi+6 to ,e-e#ici! this ma #e esta#-ished # :a of circumsta+tia- e"ide+ce! for :hich the fo--o:i+6 criteria ca+ #e used: FaG the +um#er of i--e6a- actsD F#G the t 7e of i--e6a- actsD FcG the sco7e of i--e6a- actsD FdG the time duri+6 :hich the i--e6a- acts occurredD FeG the +um#er a+d t 7e of troo7s i+"o-"edD FfG the -o6istics i+"o-"ed! if a+ D &2/5 F6G the 6eo6ra7hica- -ocatio+ of the actsD FhG the :ides7read occurre+ce of the actsD
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FiG the tactica- tem7o of o7eratio+sD F8G the modus o7era+di of simi-ar i--e6a- actsD F@G the officers a+d staff i+"o-"edD F-G the -ocatio+ of the comma+der at the time9 AFN'5'B Torture occurred routi+e- at .hiam! a co+fi+ed -ocatio+ 7ro=imate to the "i--a6e of /ar8a; ou+! :here the Ie+era- resided9 AFN'5$B It :as a77-ied s stematica-- # a u+it es7ecia-- trai+ed # the Israe-i ISS9 AFN'5(B 0-- these e-eme+ts! cou7-ed :ith the fact that some NIOs had required him to i+"esti6ate the mistreatme+t of the detai+ees! AFN'5)B stro+6- su77ort the "ie: that he had actua- @+o:-ed6e of :hat :as ha77e+i+6 at the dete+tio+ ce+tre9 0-ter+ati"e- ! it ma #e ar6ued that he had co+structi"e @+o:-ed6e9 0s see+! i+ rece+t times a de#ate has arise+ as to the correct test to #e a77-ied9 It is +ame- 7ossi#-e that artic-e $% of the I,, Statute rei+troduced a ;shou-d ha"e @+o:+; test9 AFN'55B *o:e"er! due to the fact that Israe- has +ot et #ecome a 7art to the Statute! a+d that the e"e+ts u+der discussio+ mai+- occurred i+ a 7eriod 7recedi+6 its drafti+6! :e shou-d restrict ourse-"es to the a77-icatio+ of the -a: :hich :as i+ force u+ti- the e+d of the Ni+eties a+d :hich su77orts the ;had reaso+ to @+o:; test i+troduced # artic-es %42%< of 0P I! :hich is 7art of customar -a:9 AFN'54B 0ccordi+6 to this test! it must #e determi+ed :hether some s7ecific i+formatio+ :as i+ fact a"ai-a#-e to the comma+der su66esti+6 that su#ordi+ates :ere i+"o-"ed i+ the commissio+ of crimes9 This does +ot +ecessariha"e to com7e- the co+c-usio+ of the e=iste+ce of these crimes: it is sufficie+t that it ;7uts him o+ +otice of the ris@ of such offe+ces # i+dicati+6 the +eed for additio+a- i+"esti6atio+9; AFN'5<B The 0, i+ De-a-ic o#ser"ed that such i+formatio+ ma #e co+stituted! for e=am7-e! # re7orts addressed to the su7erior! the tacticasituatio+! the -e"e- of trai+i+6 a+d i+structio+ of su#ordi+ate officers a+d their troo7s! a+d their character traits9 It is sufficie+t &2/$ that he :as i+ 7ossessio+ of the i+formatio+: he did +ot +eed to actua-- acquai+t himse-f :ith it9 AFN'5%B I+ the 7rese+t case! a--e6atio+s of the use of torture had #ee+ 7u#-ic- raised # +umerous artic-es i+ the i+ter+atio+a- a+d Israe-i 7ress! AFN'5JB 7articu-ar- i+ re-atio+ to the dete+tio+ of S9B9! :ho had #ecome a Le#a+ese hero for ha"i+6 tried to @i-- Ie+9 Lahad9 AFN'4&B *er re"e-atio+s a#out the 7oor co+ditio+s of dete+tio+ a+d the mistreatme+t of the detai+ees had #ee+ officia-- tra+scri#ed i+ a+ affida"it 7rese+ted to the Israe-i *i6h ,ourt of 3ustice AFN'4'B a+d "arious -etters ca--i+6 for i+"esti6atio+ had #ee+ se+t to him # differe+t NIOs9 AFN'4$B O+ this #asis! it is difficu-t to ima6i+e that the Ie+era- :as +e"er i+ 7ossessio+ of a+ of this i+formatio+9 The 7ossi#-e ar6ume+t that! i+ the ;safet Ho+e;! access to the 7ress :as restricted! :ou-d #e th:arted # the fact that he s7e+t 7art of his time i+ Fra+ce9 AFN'4(B The defe+ce of i6+ora+ce :ou-d a-so faio+ the #asis that SL0 re7rese+tati"es o+ce admitted the use of these 7ractices9 AFN'4)B The SL0 :as quite sma-- F$4&& me+G a+d :e-- s7read o"er the ;safet Ho+e;! AFN'45B therefore it is +ot u+reaso+a#-e to 7resume that! u+-i@e Ie+era- Yamashita! he cou-d @ee7 trac@ of a-- the o+6oi+6 e"e+ts9 AFN'44B Last #ut +ot -east! :he+e"er addressed i+ re6ard to this 7ro#-em! the Israe-i authorities a77are+t- referred the matter to him9 If the facts descri#ed here cou-d #e 7ro"e+ i+ crimi+a- 7roceedi+6s! it cou-d #e &2/1 co+c-uded that Ie+eraLahad had i+formatio+ at his dis7osa- :hich cou-d ha"e 7ut him o+ +otice of the ris@s of the crimes committed a+d that! as such! he had at -east co+structi"e @+o:-ed6e! as required # the doctri+e of su7erior res7o+si#i-it 9 )9'9$9$ The /e+s Rea of the Priso+ Director 1ith refere+ce to the T,;s co+c-usio+s i+ ,e-e#ici :ith re6ard to /r /ucic;s me+s rea! it ma #e c-aimed that the crimes committed i+ .hiam :ere so freque+t a+d +otorious that there is +o :a that the 7riso+ director cou-d +ot ha"e @+o:+ or heard a#out them9 AFN'4<B It seems that sometimes e"e+ the UN troo7s de7-o ed i+ the area heard the screams of the i+mates9 AFN'4%B The -o6istics! the sco7e of the acts! the +umerous critiques of the NIOs a+d the i+ter+atio+a- 7ress! are a-- e-eme+ts that su77ort the co+c-usio+ that he most 7ro#a#- had actua- @+o:-ed6e of the facts9 Last #ut +ot -east! there is a-so the fact that ma+ detai+ees died or had to #e hos7ita-iHed i+ +ear# /ar8a; ou+ as a co+seque+ce of the torture9 AFN'4JB The most famous case is that of Su-eima+ Ramada+! :hose -e6 had to #e am7utated as a co+seque+ce of the use of e-ectricit ! #eati+6 a+d ha+6i+69 *e :as the first 7etitio+er i+ the case *,3 'J5'/JJ! i+ :hich Ie+9 Da+ *a-utH re-eased his affida"it9 AFN'<&B It is hard to ima6i+e that the 7riso+ director :as +ot i+formed a#out the hea-th co+ditio+s a+d the
Pa6e '$
tra+sfer of his detai+ees9 Therefore it :ou-d #e reaso+a#-e to assume that he had actua- @+o:-ed6e of the facts9 4 / 5 -.tus Reus: 3ailure to !"terve"e or 'u"is8 )9'9(9' Fai-ure to I+ter"e+e # the Ie+era-> Ie+era- Lahad! as the e=ecuti"e comma+der of the ;safet Ho+e;! :as required to 6uara+tee the res7ect of the ri6hts of the ci"i-ia+ 7o7u-atio+ of the area9 AFN'<'B This dut ! com7ara#-e to the ;Iara+te+ste--u+6; F6uara+tee 7ositio+G doctri+e of some ci"i-2-a: crimi+a- codes! AFN'<$B #e6i+s at the sta6e of the 7re7aratio+ of the offe+ce9 AFN'<(B *o:e"er! si+ce comma+ders ca++ot #e forced to 7erform the im7ossi#-e! :hat is required u+der i+ter+atio+a- -a: is that the ta@e at -east a-- +ecessar a+d reaso+a#-e measures to 7re"e+t the commissio+ of offe+ces # their su#ordi+ates or! if such crimes ha"e #ee+ committed! that the 7u+ish their 7er7etratio+9 AFN'<)B It is &2/4 irre-e"a+t! :hether or +ot the had the 7o:er to i+ter"e+e! as -o+6 as the attem7ted to do so9 AFN'<5B E"e+ if it cou-d +ot #e 7ro"e+ #e o+d a reaso+a#-e dou#t that Ie+era- Lahad cou-d ha"e effecti"e7re"e+ted the mistreatme+t of the detai+ees! it ca+ #e ar6ued that as su7reme comma+der! he ma ha"e at -east ordered a+ i+"esti6atio+9 U+der some circumsta+ces! the comma+der;s o#-i6atio+ to 7re"e+t or 7u+ish ma #e dischar6ed # re7orti+6 the matter to the com7ete+t authorities! :hich i+ this case ma ha"e #ee+ the IDF9 AFN'<4B This :as! for e=am7-e! the 7ositio+ ta@e+ # the I,TY :ith res7ect to Ie+era- B-as@ic9 I+ this case! the T, he-d that e"e+ thou6h he had -ac@ed the authorit to co+tro- or sa+ctio+ the admi+istrators of .ao+i@ dete+tio+ ce+tre! he cou-d ha"e either i+"esti6ated the crimes a+d im7osed disci7-i+ar measures or for:arded a re7ort to the com7ete+t authorities9 AFN'<<B I+ the 7rese+t case! there is +o e"ide+ce that Ie+era- Lahad e"er i+itiated a+ i+"esti6atio+9 0+ i+dicium of his 7assi"it is that he has +e"er re7-ied to a+ of the +umerous -etters se+t to him # 0m+est I+ter+atio+a- ca--i+6 for c-arificatio+s9 AFN'<%B I+ co+c-usio+! if it cou-d #e 7ro"e+ i+ a court of -a: that Ie+era- Lahad :as the e=ecuti"e comma+der of the ;safet Ho+e;! he :ou-d ha"e #ee+ u+der the dut to co+tro- the area of .hiam9 B fai-i+6 to do this! AFN'<JB he :ou-d #e accou+ta#-e for the use of torture at the faci-it 9 )9'9(9$ Fai-ure to I+ter"e+e # the Priso+ Director> 0s tacticacomma+der of the i+terro6ators! the 7riso+ director :as u+der a dut to co+tro- his su#ordi+ates9 Further e"ide+ce :ou-d #e +eeded to 7ro"e :hether he e"er too@ a+ ste7s to 7re"e+t or re7ort the occurre+ce of "io-atio+s of I*L # the i+terro6ators9 The fact that torture has #ee+ used s stematica-- for more tha+ a decade! stro+6- su66ests that +o measure has e"er #ee+ ta@e+ to sto7 these 7ractices9 *o:e"er! it :ou-d #e +ecessar to determi+e ho: ma+ 7erso+s ha"e occu7ied this 7ositio+ a+d :hether a+ of them e"er attem7ted to i+ter"e+e9 Shou-d it tur+ out that the 7erso+ i+ char6e of the 7riso+ has #ee+ the same throu6hout these ears! it cou-d #e 7resumed that +o measures :ere ta@e+! or e-se either these 7ractices :ou-d ha"e sto77ed or the director :ou-d ha"e #ee+ re7-aced9 *o:e"er! this ca++ot #e 7ro"e+ #e o+d a reaso+a#-e dou#t9 The questio+ shou-d #e addressed # a com7ete+t commissio+ of i+quir or a tri#u+a-9 &2/6 4 2 Comma"0 Respo"si,ility of !D3FBSS (ffi.ials The +e=t issue is :hether mem#ers of the IDF a+d the ISS a-so shared respo"si,ility for the use of torture at .hiam9 AFN'%&B The IDF ma ha"e 7-a ed a ro-e as the occu7 i+6 force! :hereas the ISS! :hich is a+ i+de7e+de+t i+te--i6e+ce u+it! AFN'%'B ma #ear respo"si,ility for ha"i+6 i+structed the i+terro6ators9 AFN'%$B Therefore! i+ a+ a+a-o6 to the .aha+ ,ommissio+! :hich i+"esti6ated the respo"si,ility of the IDF a+d the /ossad for the crimes committed # the Pha-a+6ists i+ the Sa#ra a+d ,hati-a refu6ee cam7s! AFN'%(B this 7a7er :i-- e=ami+e the respo"si,ility of the IDF a+d ISS superiors for the crimes committed # the SL0 at .hiam9 4 2 / Superior7Su,or0i"ate Relatio"s8ip
Pa6e '(
Israe- has a-:a s de+ied a+ respo"si,ility for the acti"ities of the SL0 # c-aimi+6 that the Le#a+ese mi-itia :as +ot su#ordi+ated to the IDF9 AFN'%)B *o:e"er! the fact that there :as +o a6e+c re-atio+shi7 #et:ee+ the IDF a+d the SL0! a+d that therefore Israe- had +o state res7o+si#i-it ! does +ot e=c-ude the 7ossi#i-it that there :as a su7erior2su#ordi+ate re-atio+shi7 #et:ee+ re7rese+tati"es of the IDF a+d the SL0 for the 7ur7ose of i+di"iduacrimi+a- -ia#i-it 9 State a+d i+di"idua- res7o+si#i-it are t:o se7arate issues! +ot:ithsta+di+6 the co+fusio+ created # the misa77-icatio+ of the Nicara6ua ,ase i+ Tadic9 AFN'%5B This :as a-so acce7ted # the .aha+ &229 ,ommissio+! :hich esta#-ished that e"e+ thou6h the Pha-a+6ists :ere +ot 7art of the IDF! a+d e"e+ thou6h the Israe-i 6o"er+me+t had +ot 7-a ed a+ ro-e i+ the massacre of Sa#ra a+d ,hati-a! some IDF comma+ders :ere +o+ethe-ess i+di"idua-- crimi+a-- res7o+si#-e for it9 AFN'%4B E"e+ thou6h the ,ommissio+;s Re7ort did +ot set a 7recede+t of i+ter+atio+a- -a:! its re-e"a+ce for the u+dersta+di+6 of the doctri+e of comma+d res7o+si#i-it :as +oted # the I,TY i+ the B-as@ic ,ase9 AFN'%<B Thus the i+di"idua- res7o+si#i-it of ISS a+d IDF comma+ders :i-- #e a+a- Hed i+de7e+de+t- from the 7oi+t of "ie: of the state res7o+si#i-it of Israe-9 )9$9'9' Status of IDF Officia-s The res7o+si#i-it of IDF mem#ers ca+ #e co+structed i+ "arious :a s! accordi+6 to :hether the :ere e=ecuti"e or tacticacomma+ders9 AFN'%%B /oreo"er! the 0, i+ De-a-ic co+c-uded that! a-so 7eo7-e :ith equastatus ca+ e=ercise comma+d9 AFN'%JB Therefore! a-so IDF so-diers :ith a -o: ra+@ cou-d i+cur comma+d res7o+si#i-it shou-d it #e 7ro"e+ that! -i@e tacticacomma+ders! AFN'J&B the had de facto authorit o"er the SL0 i+terro6ators9 But the questio+ is: :ere there mem#ers of the IDF :ho e=ercised co+tro- o"er the SL0 i+terro6ators> I+ B;tse-em;s "ie: Fa+ Israe-i NIOG! the a#se+ce of o77ositio+ to the IDF from the heads of the SL0 is a+ i+dicatio+ that ;the acce7ted their su#ordi+ate ro-e;9 AFN'J'B 0-so the dec-aratio+s of the UN ,ommissio+ o+ *uma+ Ri6hts FUN,*RG AFN'J$B a+d of some Israe-i re7rese+tati"es i+dicate that the IDF had a 6e+erai+f-ue+ce o"er &22/ the SL09 For e=am7-e! the affida"it of Bri69 Ie+9 Da+ *a-utH co+firmed that the IDF! i+ order to a"oid the harmi+6 of i++oce+t ci"i-ia+s! had tried ;to create a situatio+! i+ :hich the acti"it of the SL0 is com7ati#-e :ith the 7o-ic of Israe-;9 AFN'J(B 1ith refere+ce to the co+ditio+s i+ .hiam! he he-d that Israehad ;a77roached the SL0 se"era- times a+d requested to im7ro"e the co+ditio+s of im7riso+me+t i+ the faci-it a+d e"e+ 7ro"ided the SL0 :ith fu+di+6; for this 7ur7ose9 AFN'J)B Israe-i officers :ere a77are+t- i+"o-"ed a-so i+ the decisio+ ta@i+6 o"er the re-ease of the detai+ees a+d the issui+6 of "isiti+6 7ermits to the I,R,! e"e+ if these a77are+t- occurred i+ the frame:or@ of co2o7eratio+ :ith the SL09 AFN'J5B 0-- these e-eme+ts su66est that 6e+era-- the IDF had a stro+6 i+f-ue+ce o"er the SL09 *o:e"er! the 0, i+ the De-a-ic ,ase ru-ed that: su#sta+tia- i+f-ue+ce as a mea+s of co+tro- i+ a+ se+se :hich fa--s short of the 7ossessio+ of effecti"e co+tro- o"er su#ordi+ates! :hich requires the 7ossessio+ of materia- a#i-ities to 7re"e+t su#ordi+ate offe+ces or to 7u+ish su#ordi+ate offe+ders! -ac@s sufficie+t su77ort i+ State 7ractice a+d 8udicia- decisio+s9 AFN'J4B O+ this 7oi+t! Bri69 Ie+9 Da+ *a-utH o#ser"ed that: 0-thou6h Israe-i securit forces #ri+6 their 7ositio+ o+ the issue of the re-ease of the detai+ees to the atte+tio+ of the SL0! the decisio+ o+ the dete+tio+! as :e-- as o+ the re-ease of the detai+ees! is i+ the ha+ds of the SL09 AFN'J<B It is questio+a#-e :hether the 7o:er to decide a#out the re-ease or tra+sfer of 7riso+ers ma ! 6i"e+ the co+ditio+s! AFN'J%B i+dicate authorit 9 *o:e"er there are other i+dicia su66esti+6 the co+troof the i+terro6ators # some IDF re7rese+tati"es9 For e=am7-e! it seems that i+ the ear- Ni+eties ;the IDF assisted the SL0 # trai+i+6 its so-diers; a+d that trai+i+6 sometimes too@ 7-ace i+ #ases i+ Israe-9 AFN'JJB 0+other e-eme+t that! if 7ro"e+! :ou-d #e 7resum7ti"e of authorit ! AFN$&&B is that accordi+6 to some :it+esses! the IDF had a-so #ee+ i+"o-"ed i+ the i+terro6atio+ 7roceedi+6s9 &222 0ccordi+6 to these! at -east i+ the ear- +i+eties! Israe-i 7erso++e- :ere re6u-ar- 7rese+t duri+6 the i+terro6atio+s! ho:e"er :ithout 7artici7ati+6 i+ the
Pa6e ')
mistreatme+ts9 AFN$&'B O+e :it+ess :ho :as i+ .hiam i+ 'J%< said that after ha"i+6 #ee+ tortured # a+ SL0 i+terro6ator! a+ Israe-i officer :ho had see+ him #-eedi+6 hit the SL0 ma+ i+ the face te--i+6 him that ;that;s +ot the :a to treat 7eo7-e;9 AFN$&$B 0ccordi+6 to a 'JJ$ 0m+est re7ort! #et:ee+ 'J%5 a+d 'J%% there :as a ma+ @+o:+ # the detai+ees as ;Y;! :ho :as #e-ie"ed to #e a+ Israe-i officer i+ char6e of detai+ee;s affairs i+ .hiam! es7ecia-- :ith re6ard to i+terro6atio+9 *e :as a77are+t- referred to # SL0 mem#ers as ;shei@h;! a defere+tiatit-e9 Former detai+ees a-so dec-ared that the 7referred to discuss 7riso+ affairs direct- :ith ;Y; or other Israe-i officers at .hiam! #ecause the SL0 :ou-d +ot i+troduce cha+6es i+ the ce+tre :ithout Israe-i authoriHatio+9 It a-so seems that ;Y; occasio+a-- i+ter"e+ed! for e=am7-e duri+6 detai+ee;s hu+6er stri@es9 I+ this 7eriod Israe-i officers a-so re7orted- made freque+t i+s7ectio+s of the 7riso+! accom7a+ied # ;Y;9 ;Y; :as a-so a--e6ed to ha"e 7-a ed a su7er"isor ro-e duri+6 the i+terro6atio+s9 AFN$&(B 0ccordi+6 to 0m+est I+ter+atio+a-! e"e+ thou6h after 'J%% Israe-;s direct i+"o-"eme+t i+ .hiam had c-ear- dimi+ished! Israe-i officia-s :ere sti-re7orted to "isit the ce+tre a+d to #e i+"o-"ed i+ its su7er"isio+9 AFN$&)B This :as a-so co+firmed # Bri6adier Da+ *a-utH i+ his affida"it! AFN$&5B :ho further disc-osed that some detai+ees u+der i+terro6atio+ :ere -ater e=ami+ed # mea+s of 7o- 6ra7h tests # Israe-is9 AFN$&4B I+ more rece+t times! questio+s :ere a77are+ttra+smitted from Israe- "ia e2mai- to a com7uter i+ the torture room i+ .hiam9 AFN$&<B Due to the -imited sco7e of this 7a7er a+d the -imited mea+s of the author! it is +either :ithi+ her ca7a#i-ities +or is it her i+te+tio+ to fi-e accusatio+s a6ai+st a+ s7ecific mem#ers of the IDF9 The i+di"idua- res7o+si#i-it of those :ho :ere i+"o-"ed i+ .hiam shou-d #e 7ro"e+ o+ a case # case #asis9 *o:e"er! from a 6e+era- 7ers7ecti"e a+d o+ the #asis of the e-eme+ts co--ected! it :ou-d +ot #e u+reaso+a#-e to co+c-ude that there :ere 7ro#a#- 7erso+a-ities :ithi+ the IDF :ith more tha+ su#sta+tia- i+f-ue+ce o"er the i+terro6ators9 The IDF decided a#out the tra+sfer of the detai+ees to Israe- for further i+terro6atio+! AFN$&%B it dictated the questio+s to #e as@ed # the i+terro6ators! it "erified the credi#i-it of the :it+esses # mea+s of 7o- 6ra7h tests! a+d it 7aid &225 re6u-ar "isits to the faci-it 9 This dee7 i+"o-"eme+t i+ the i+terro6atio+ 7roceedi+6s su77orts the assum7tio+ that the IDF had the u-timate su7er"isio+ o"er the co+duct of the i+terro6ators9 AFN$&JB This #e-ief is a-so corro#orated # the fact that the i+terro6atio+s :ere mai+- co+ducted i+ Israe-;s i+terest a+d that the i+terro6ators :ere #ei+6 7aid # Israe-i officers9 AFN$'&B Thus there :as a+ em7-o er2em7-o ee re-atio+shi7 #et:ee+ them9 0+ a+a-o6 ca+ #e dra:+ :ith the /usema ,ase i+ :hich the accused! the director of a+ im7orta+t tea factor ! :as he-d to ha"e a su7erior2su#ordi+ate re-atio+shi7 :ith his em7-o ees9 It :as a-so he-d that 7articu-ar- throu6h his 7o:er to a77oi+t a+d remo"e them! he had e=ercised -e6a- a+d fi+a+cia- co+tro- o"er them9 O+ this #asis /usema :as fou+d 6ui-t u+der the doctri+e of comma+d res7o+si#i-it for ha"i+6 fai-ed to 7re"e+t the commissio+ of crimes # his em7-o ees9 AFN$''B Thus! o+ the #asis that there :as a co+tractua- re-atio+shi7 #et:ee+ the i+terro6ators a+d those mem#ers of the IDF :ho had em7-o ed them! the -atter ma #e co+sidered to ha"e #ee+ the de 8ure a+d de facto su7eriors of the former9 0t this sta6e o+e mi6ht o#8ect that the i+terro6ators :ere a-read su#ordi+ated to the 7riso+ director9 *o:e"er! the fact that the co+curre+t- came u+der a+other authorit does +ot detract from the 7ossi#i-it that mem#ers of the IDF ma ha"e a-so #ee+ their su7eriors! as -o+6 as the i+terro6ators res7o+ded to them9 AFN$'$B 0+ a-ter+ati"e ar6ume+t to esta#-ish res7o+si#i-it is that the IDF :as the occu7 i+6 force i+ the ;safet Ho+e; AFN$'(B a+d that therefore there must ha"e #ee+ a+ e=ecuti"e comma+der :ith territoria- authorit 9 I+ this re6ard! it ma #e reca--ed that accordi+6 to the .aha+ ,ommissio+! e"e+ thou6h the issue of res7o+si#i-it :as +ot u+equi"oca- i+ "ie: of the -ac@ of c-arit re6ardi+6 the status of the state of Israe- a+d its forces i+ Le#a+ese territor ! Israe-! as a ci"i-iHed +atio+! :as #ou+d to esta#-ish the res7o+si#i-it of its -eadi+6 re7rese+tati"es out of ethica- mora-it 9 AFN$')B Therefore it seems that the ,ommissio+ 7osited the de facto a77-icatio+ &224 of the doctri+e to Israe- i+ simi-ar situatio+s9 AFN$'5B To ho-d that the IDF :as a+ occu7 i+6 force :ith a+ e=ecuti"e comma+der :ou-d sim7-if our e=ami+atio+ si+ce there :ou-d #e +o +eed to esta#-ish a su7erior2su#ordi+ate re-atio+shi7 #et:ee+ the su7erior a+d the i+terro6ators9 AFN$'4B The former ma #e -ia#-e sim7- for ha"i+6 +e6-i6e+t- fai-ed to 7rotect the ri6hts of the 7o7u-atio+ u+der his 8urisdictio+9 AFN$'<B *o:e"er! more e"ide+ce :ou-d #e +eeded to determi+e :hether a+ IDF comma+der :as char6ed :ith this fu+ctio+9 O+ the other ha+d! the IDF :as 7rese+t i+ the ;safet Ho+e; :ith the Le#a+ese Liaiso+ U+it FLULG! esta#-ished to 7ro"ide ci"i-ia+ aid to the -oca- 7o7u-atio+ AFN$'%B a+d im7ro"e the IDF;s re-atio+shi7 :ith it9 0ccordi+6 to a 'JJJ *uma+ Ri6hts 1atch F*R1G re7ort! the LUL :as comma+ded # a+ Israe-i mi-itar officer :ith the ra+@ of #ri6adier 6e+era-! i+ char6e of Israe-i a+d mi-itar acti"ities i+ the occu7ied Ho+e9 AFN$'JB 077are+t- ! the
Pa6e '5
LUL a-so co+tro--ed the freedom of mo"eme+t of the 7o7u-atio+9 AFN$$&B 0 so-dier :ho ser"ed i+ this u+it #et:ee+ 'JJ' a+d 'JJ) testified to B;tse-em that: LUL is co+structed i+ a ma++er du7-icati+6 the SL0 u+its9 It is ta+tamou+t to a shado: or6a+iHatio+ that su7er"ises a+d comma+ds the SL09 For e"er SL0 officer! there is a LUL officer :ho i+structs a+d su7er"ises him9 3ust as the SL0 is 7rimari- di"ided i+to easter+ a+d :ester+ comma+ds! LUL is di"ided i+to these t:o sectors9 The ;shado:; of the SL0 securit a77aratus is +ot fou+d i+ LUL #ut i+ the ISS 999 Re6ardi+6 0-2.hiam Priso+! LUL has a+ i+structor from the mi-itar 7o-ice :ho ad"ises the SL0 8ai-ers a+d admi+istrators at 0-2.hiam9 AFN$$'B O+ the #asis of these e-eme+ts it ma #e 7resumed that LUL :as i+ char6e of mai+tai+i+6 7eace a+d order :ithi+ the area a+d that therefore! its -eader had territoria- authorit -i@e a+ e=ecuti"e comma+der9 Shou-d this 7ro"e to #e the case i+ a court! it cou-d #e a--e6ed that he :as 7artia-- res7o+si#-e for the mistreatme+t of detai+ees at .hiam9 &225 )9$9'9$ Status of the ISS I+structors I+ his affida"it Bri69 Ie+9 Da+ *a-utH disc-osed that: there is a co++ectio+ #et:ee+ the Ie+era- Securit Ser"ice FISS2Shi+ BetG a+d the SL0 as far as co+cer+s the 6atheri+6 of i+te--i6e+ce a+d i+terro6atio+s that are 6eared to:ards 7re"e+ti+6 terrorist attac@s 999 I+ this frame:or@ ISS 7erso++e- coo7erate :ith mem#ers of the SL0 a+d e"e+ assist them # mea+s of 7rofessio+a- 6uida+ce a+d trai+i+6! ho:e"er the do +ot 7artici7ate i+ the fro+ta- i+terro6atio+ of detai+ees 999 ISS 7erso++e- ho-ds meeti+6s se"era- times a++ua-- :ith SL0 i+terro6ators at the a-2.hiam 7riso+! a+d thus! for e=am7-e! si+ce '9'9JJ to the e+d of 3u- there ha"e #ee+ o+- three "isits # ISS 7erso++e- to the 7riso+9 AFN$$$B 0 detai+ee re-eased i+ 'JJ% co+firmed that Israe-i i+te--i6e+ce o7erati"es "isited .hiam a+d re"ie:ed i+"esti6atio+ fi-es9 AFN$$(B 0+other :it+ess re7orted that usua-- the Israe-is :ou-d start as@i+6 questio+s a+d the+ ca-- i+ the Le#a+ese a+d i+struct them o+ the t 7e of torture to #e used9 AFN$$)B *o:e"er! testimo+ies a77ear to u+a+imous- su77ort the "ie: that the Israe-is +e"er resorted 7erso+a-- to the use of torture9 0t this sta6e! the questio+ is :hether the ISS! as i+structors of the SL0 i+terro6ators! #ear res7o+si#i-it for their misco+duct9 0s +oted a#o"e! a-so 7eo7-e :ith equa- ra+@ ca+ e=ercise de facto co+tro-9 AFN$$5B It is therefore irre-e"a+t :hether those :ho trai+ed the i+terro6ators :ere hi6her i+ ra+@9 1hat matters is the e=ercise of de facto co+tro-9 O+ the #asis of Bri6adier Ie+9 Da+ *a-utH; re"e-atio+s! it is reaso+a#-e to assume that the ISS i+structors! # "irtue of their 7ositio+! e=ercised such co+tro- o"er their trai+ees9 4 2 2 Ae"s Rea )9$9$9' /e+s Rea of IDF Officia-s Did IDF su7eriors @+o:! or did the ha"e reaso+ to @+o:+! that crimi+a- acts :ere #ei+6 committed at .hiam> AFN$$4B It has #ee+ sho:+ that occasio+a-- IDF officia-s -i@e ;Y; atte+ded the i+terro6atio+s9 AFN$$<B IDF officia-s :ere a77are+t- i+ char6e of the tra+sfer to .hiam of the detai+ees to #e i+terro6ated # the SL09 AFN$$%B Shou-d this 7ro"e to #e true! the actua- @+o:-ed6e of such comma+ders :ou-d #e esta#-ished9 But there are other e-eme+ts su66esti+6 that IDF su7eriors had @+o:-ed6e of these facts9 For e=am7-e i+ his &22$ affida"it! Bri6adier Ie+9 Da+ *a-utH dec-ared that IDF officia-s 7aid re6u-ar "isits to the faci-it a+d that the had e+coura6ed the SL0 to im7ro"e the dete+tio+ co+ditio+s9 AFN$$JB Other circumsta+tia- e"ide+ce AFN$(&B is that torture :as used as a 7o-ic of i+terro6atio+ a6ai+st s7ecific tar6ets Fi9e9 sus7ects of terrorist acti"itiesG! AFN$('B ofte+ he-d as ;#ar6ai+i+6 chi7s; for the e=cha+6e of missi+6 Israe-i so-diers9 AFN$($B Therefore! si+ce the detai+ees :ere he-d u+der the su7er"isio+ of the IDF! :ho cou-d furthermore decide a#out their re-ease! it :ou-d #e reaso+a#-e to assume that IDF officia-s :ere i+formed a#out their hea-th co+ditio+s9 /oreo"er! the
Pa6e '4
IDF headquarters :ere -ocated i+ +ear# /ar8a; ou+! AFN$((B :here some detai+ees :ere hos7ita-iHed a+d treated # Israe-i medica- staff AFN$()B as a co+seque+ce of the torture9 Last #ut +ot -east! the use of torture :as re7orted # "arious media a+d NIOs AFN$(5B a+d queries for i+"esti6atio+ :ere addressed to the Israe-i authorities9 AFN$(4B 0-ter+ati"e- ! it cou-d #e 7ro"e+ that su7erior IDF officia-s at -east had co+structi"e @+o:-ed6e of the facts9 AFN$(<B The #asis for this c-aim ma #e 7ro"ided # the "arious testimo+ies re7orted # the media9 The +umerous a--e6atio+s of torture raised # NIOs shou-d ha"e 7ut them at -east o+ +otice of the ris@ of such offe+ces! there# i+dicati+6 the +eed for additio+a- i+"esti6atio+9 AFN$(%B But o+ the co+trar ! as +oted a#o"e! res7o+si#i-it :as a-:a s shifted to the SL09 AFN$(JB 1ith re6ard to e=ecuti"e comma+ders! the fact that the LUL co+tro--ed the mo"eme+ts of the -oca- 7o7u-atio+! su66ests that the must ha"e #ee+ i+formed of the tra+sfer of some detai+ees to /ar8a; ou+ for medica- treatme+t9 AFN$)&B Last #ut +ot -east! 7articu-ar- #efore 'J%J! i+mates had 6o+e o+ hu+6er stri@es se"era- times i+ a+ attem7t to o#tai+ im7ro"eme+ts i+ their dete+tio+ co+ditio+s9 AFN$)'B It is hi6h- u+-i@e- that IDF &221 officia-s did +ot recei"e re7orts a#out this9 Therefore! it ma #e 7resumed that IDF officia-s i+"o-"ed i+ .hiam had @+o:-ed6e of the facts a+d therefore met the me+s rea criterio+ for comma+d res7o+si#i-it 9 )9$9$9$ /e+s Rea of the ISS i+structors The co+c-usio+s reached :ith re6ard to the IDF officia-s i+"o-"ed i+ .hiam ca+ #e a+a-o6ous- a77-ied to the ISS i+structors9 ,-ear- ! a-so i+ this res7ect! a detai-ed a+a- sis of each i+di"idua- case shou-d #e co+ducted9 *o:e"er! o+ a 6e+era- #asis! it ma #e assumed that those mem#ers of the ISS :ho :ere i+ char6e of the trai+i+6 of the SL0 had co+structi"e Fif +ot actua-G @+o:-ed6e of the mistreatme+t of the detai+ees u+der6oi+6 i+terro6atio+9 This ho-ds true i+ 7articu-ar for those i+structors :ho atte+ded the 7roceedi+6s9 AFN$)$B /oreo"er! it :ou-d ha"e #ee+ 7arado=ica- for a+ i+te--i6e+ce #od such as the ISS to #e u+a:are of the facts occurri+6 i+ a s7ot co+sidered e=treme- ;hot; for the securit of Israe-9 4 2 5 -.tus Reus )9$9(9' IDF officia-s Particu-ar- those :ho :ere i+ char6e of the em7-o me+t of the i+terro6ators cou-d ha"e i+ter"e+ed # remo"i+6 the 7er7etrators AFN$)(B or re7orti+6 the facts to the com7ete+t authorities9 AFN$))B The fact that these a#uses co+ti+ued for o"er a decade su66ests that i+sufficie+t measures :ere ta@e+! e"e+ thou6h! a-so i+ this case! the co+duct of each su7erior shou-d #e a+a- Hed i+di"idua-- 9 There has #ee+ o+e case! re-ated to the 'J%J u7risi+6 at .hiam! i+ :hich i+"esti6atio+s :ere co+ducted # the IDF :ith re6ard to the #eati+6 of some detai+ees9 0ccordi+6 to 0m+est the SL0 staff :ere questio+ed # a se+ior Israe-i officer a+d after se"era:ee@s! t:o 6uards :ere dismissed9 *o:e"er! the com7-ete re7ort of the i+"esti6atio+ :as +e"er made a"ai-a#-e9 AFN$)5B I+ re-atio+ to e=ecuti"e comma+ders! the *i6h ,omma+d ,ase esta#-ished that these must 6uara+tee the 7rotectio+ of 7riso+ers of :ar a+d ci"i-ia+s :ithi+ their area a+d that i+actio+ +ot:ithsta+di+6 @+o:-ed6e is a+ i+fri+6eme+t of their o#-i6atio+s9 0s o#ser"ed i+ ,e-e#ici! u+-i@e tacticacomma+ders! the ha"e &224 territoria- authorit a+d more o+erous duties9 AFN$)4B This "ie: :as shared # the .aha+ ,ommissio+! accordi+6 to :hich the IDF! as the occu7 i+6 7o:er! had to ma@e sure that a-- the u+its a+d the ci"i-ia+s :ithi+ the occu7ied area :ere acti+6 -a:fu-- 9 For the 7rese+t case! this mea+s that IDF su7eriors i+ char6e of the ;safet Ho+e; had to 6uara+tee the res7ect of the ri6hts of the 7riso+ers of .hiam9 The fu-fi-me+t of this dut :as a-so -i@e- to #e :ithi+ their materia- 7ossi#i-it : the ;safet Ho+e; :as a re-ati"e- sma-- area i+ :hich mo"eme+t a+d commu+icatio+ F7articu-ar- :ith .hiamG did +ot 7rese+t a 7articu-ar o#stac-e9 AFN$)<B The co+c-usio+! therefore! is that at -east those IDF comma+ders :ith territoria- authorit had a dut to i+ter"e+e9
Pa6e '<
)9$9(9$ ISS I+structors 1ith re6ard to ISS i+structors! it ma #e ar6ued that # "irtue of their 7ositio+ the had a dut to su7er"ise their trai+ees a+d 7re"e+t the #reach of I*L9 This dut ma #e e=7-ai+ed :ith the ;Iara+te+ste--u+6; theor of ci"i- -a: s stems9 AFN$)%B It ma #e su#mitted that # teachi+6 a+ irre6u-ar mi-itia i+terro6atio+ methods! the ISS i+structors created a ;da+6er;9 The shou-d ha"e #ee+ a:are of the ris@ of a#uses a+d thus the shou-d ha"e su7er"ised their trai+ees # im7arti+6 them the +ecessar disci7-i+e9 AFN$)JB Si+ce the i+structors 7aid re6u-ar "isits to .hiam AFN$5&B a+d assisted the SL0 :ith 7rofessio+a- 6uida+ce! it :as :ithi+ their 7o:er to re7roach the misco+duct of the i+terro6atio+s! 7articu-ar- duri+6 the sessio+s atte+ded # them9 0+ i+dicium su66esti+6 that the ISS ma ha"e i+te+tio+a-- fai-ed to i+ter"e+e is that u+ti- 'JJJ! AFN$5'B Io"er+me+t 6uide-i+es authoriHed the ISS to use 7h sica- mea+s duri+6 i+terro6atio+s Fe"e+ thou6h these cou-d +ot #e ta+tamou+t to torture or &226 6rie"ous harm to the 7erso+;s di6+it G9 AFN$5$B Due to this situatio+! there ha"e #ee+ a--e6atio+s that the ISS +ot o+- fai-ed to 7re"e+t the i+terro6ators from usi+6 torture! #ut e"e+ tau6ht them ho: to do it9 AFN$5(B The 7rese+t 7a7er :i-- +ot ta@e i+to co+sideratio+ these a--e6atio+s si+ce further e"ide+ce :ou-d #e required a+d si+ce the focus of the discussio+ is comma+d res7o+si#i-it for acts of omissio+! +ot for the issui+6 of u+-a:fu- orders9 Due to the 7rotracted ado7tio+ of these 7ractices a+d the -ac@ of 7roof i+dicati+6 that a+ ste7s :ere ta@e+ to sto7 them! it ma #e 7resumed that those :ho :ere i+ char6e of the i+structio+ :ere u-timate- res7o+si#-e for their occurre+ce9 Ne"erthe-ess! a-so i+ this res7ect! each i+di"idua- case shou-d #e a+a- Hed se7arate- a+d i+ detai-9 5 SUAA-R+ -)D C()CLUS!()S The aim of this 7a7er is to discuss the doctri+e of comma+d res7o+si#i-it for acts of omissio+! 7articu-ari+ re-atio+ :ith the co+duct of mi-itias9 The t:o ma8or questio+s e=ami+ed are :hether the doctri+e e=te+ds to the -eaders of irre6u-ar 6rou7s! as :e-- as to re6u-ar arm comma+ders i+ re-atio+ :ith ;7ro= ; mi-itias9 These issues ha"e #ee+ a77roached # e=ami+i+6 the case of .hiam! :hich i+"o-"ed the a--e6ed res7o+si#i-it res7ecti"e- of officia-s of the South Le#a+ese 0rm a+d the Israe-i Defe+se Forces Fi+c-udi+6 the Ie+eraSecurit Ser"icesG for the use of torture as a+ i+terro6atio+ method # SL0 mi-ita+ts9 1ith re6ard to the first questio+! a +ecessar 7re-imi+ar fi+di+6 is :hether irre6u-ar com#ata+ts 2 i+ casu the i+terro6ators 2 are #ou+d # the huma+itaria+ -a: 7ro"isio+s #a++i+6 torture9 O+ the #asis of the I,3 decisio+ i+ the Nicara6ua ,ase! it :as esta#-ished that commo+ artic-e ( to the 'J)J Ie+e"a ,o+"e+tio+s 2 :hich 6uara+tees the res7ect of #asic huma+ ri6hts! i+c-udi+6 the 7rohi#itio+ of torture u+der a-- circumsta+ces 2 amou+ts to customar -a: a77-ica#-e to a-- t 7es of co+f-icts9 *o:e"er! i+ order to fa-- :ithi+ its sco7e! irre6u-ar 6rou7s must #e or6a+iHed a+d -ed # a res7o+si#-e comma+der9 The SL0 7ossessed these characteristics a+d therefore its mi-ita+ts! i+c-udi+6 the i+terro6ators! :ere #ou+d # the 7ro"isio+9 From the fact that commo+ artic-e ( o+- a77-ies to mo"eme+ts -ed # a res7o+si#-e comma+der 2 a requireme+t i+troduced to discrimi+ate a6ai+st crimi+a- 6a+6s that ca++ot 6uara+tee the res7ect of I*L 2 it :as i+ferred that a-so mi-itia -eaders are su#8ect to the doctri+e of comma+d res7o+si#i-it 9 This co+c-usio+ :as furthermore su77orted # artic-e 4F(G of the I,TR Statute! :hich e=te+ded the a77-ica#i-it of the doctri+e to +o+2i+ter+atio+a- co+f-icts9 &259 The e=ami+atio+ of three SL0 7erso+a-ities! that is Ie+era- Lahad! the 7riso+ director a+d the 7riso+ comma+der! 7ermits o+e to ide+tif a disti+ctio+ #et:ee+ the test to #e a77-ied to tactica- a+d e=ecuti"e comma+ders9 The first are those i+ char6e of u+its assi6+ed to them! :hereas the seco+d are i+ char6e of a :ho-e territor 9 Tactica- comma+ders are +ame- su#8ect to the three2sta6e test used # the I,TY i+ ,e-e#ici! :hich requires FiG the e=iste+ce of a su7erior2su#ordi+ate re-atio+shi7D FiiG that the su7erior @+e: or had reaso+ to @+o: that the crimi+a- act :as a#out to #e or had #ee+ committedD a+d FiiiG that the su7erior fai-ed to ta@e +ecessar a+d reaso+a#-e measures to 7re"e+t the crimi+a- act or 7u+ish the 7er7etrator thereof9 Because e=ecuti"e comma+ders! u+-i@e tacticacomma+ders! ha"e a territoria- authorit requiri+6 them to mai+tai+ 7eace
Pa6e '%
a+d order :ithi+ a re6io+! it :as esta#-ished that their res7o+si#i-it is +ot restricted to u+its that are directsu#ordi+ated to them9 The must 7re"e+t a-- t 7es of disorder! +o matter # :hom the are 7er7etrated9 Therefore the first criterio+ of the three2sta6e test does +ot a77- to them9 O+ this #asis it :as 7ossi#-e to co+c-ude that! if it :ere 7ro"e+ i+ a crimi+a- 7roceedi+6 that Ie+era- Lahad :as effecti"e- the e=ecuti"e comma+der of the ;safet Ho+e;! he ma #e -ia#-e for the mistreatme+t of the detai+ees of .hiam9 *o:e"er! :ith re6ard to the 7riso+ director! it :as assumed that he ma #e -ia#-e as a tacticacomma+der of the i+terro6ators for ha"i+6 fai-ed to ta@e reaso+a#-e measures to 7re"e+t their misco+duct! +ot:ithsta+di+6 @+o:-ed6e of the facts9 The res7o+si#i-it of IDF a+d ISS officia-s for the acts of the SL0 i+terro6ators :as e=ami+ed i+ sectio+ three9 This :as 7ossi#-e # "irtue of the fact that comma+d res7o+si#i-it is +ot e=c-usi"e9 0+ offe+der ma +ame- #e su#8ect to differe+t su7eriors! as -o+6 as these e=ercised effecti"e co+tro- a+d authorit o"er him9 Therefore! the i+terro6ators ma ha"e #ee+ co+curre+t- su#ordi+ated to the 7riso+ director a+d IDF/ISS officia-s9 0+ im7orta+t 7re-imi+ar fi+di+6 :as that +ot:ithsta+di+6 the co+fusio+ created # the I,TY i+ the Tadic 3urisdictio+ ,ase! state a+d i+di"iduacrimi+a- res7o+si#i-it are t:o disti+ct issues9 Therefore! the fact that the state of Israe- ma ha"e had a+ a6e+c re-atio+shi7 :ith the SL0 :as irre-e"a+t for the determi+atio+ :hether its re7rese+tati"es cou-d i+cur i+di"iduacrimi+a- res7o+si#i-it for the misco+duct of the SL0 i+terro6ators9 I+di"idua- res7o+si#i-it has to #e esta#-ished for each i+di"idua- case! o+ the #asis of the three2 sta6e2test as out-i+ed i+ ,e-e#ici9 O+e of the ma8or 7ro#-ems i+ assessi+6 the res7o+si#i-it of IDF officia-s is the i+ter7retatio+ of the requireme+t of a su7erior2su#ordi+ate re-atio+shi79 The SL0 :as a+ i+de7e+de+t irre6u-ar force +ot i+cor7orated i+to the IDF9 To a"oid this 7ro#-em! a first ar6ume+t is #ased o+ the 7resum7tio+ that the IDF! the force i+ co+troof the ;safet Ho+e;! must ha"e had e=ecuti"e comma+ders i+ char6e of mai+tai+i+6 7eace a+d order i+ the area9 Because their dut is to 6e+era-- 7re"e+t the commissio+ of crimes i+ the area! it :ou-d a-so ha"e #ee+ their tas@ to 7re"e+t the mistreatme+t of the detai+ees he-d at .hiam9 0 seco+d ar6ume+t :as #ased o+ the fi+di+6s of the I,TR i+ the /usema ,ase! that the e=iste+ce of a co+tractua- re-atio+shi7 2 as :as the case #et:ee+ the SL0 i+terro6ators a+d some IDF officia-s 2 is 7resum7ti"e of a su7erior2su#ordi+ate re-atio+shi79 Therefore it :as assumed that those IDF officia-s :ho had 7aid the sa-aries of the i+terro6ators ma ha"e e=ercised authorit o"er them9 But authorit 7er se is +ot sufficie+t9 1hat is a-so required is the me+s rea9 0 &25/ "er im7orta+t co+c-usio+ :as that +ot:ithsta+di+6 the e=iste+ce of "arious tests! the o+e curre+t- i+ force as 7art of 7rese+t i+ter+atio+a- customar -a: is the ;@+e: or had reaso+ to @+o:; test esta#-ished # artic-e %4 0P I a+d co+firmed # the I,TY i+ ,e-e#ici9 0ccordi+6 to this test! comma+ders ca+ #e -ia#-e o+- if the had actua@+o:-ed6e or if the 7ossessed i+formatio+ 7utti+6 them o+ +otice of the ris@ of crimes ha"i+6 #ee+ or a#out to #e committed9 It is +o -o+6er required from them! as it :as u+der the ;shou-d ha"e @+o:+; test used i+ the 7ost seco+d :or-d :ar tria-s! that the ta@e a-- 7ossi#-e measures to o#tai+ this 7rimar i+formatio+9 0 s stematic i+ter7retatio+ of artic-e $% of the I,, Statute co+firmed this tre+d9 Therefore IDF officia-s cou-d +ot #e he-d res7o+si#-e for ha"i+6 fai-ed to o#tai+ such i+formatio+9 The :ou-d mere- i+cur res7o+si#i-it if this i+formatio+ :ere i+ fact a"ai-a#-e to them a+d if the had +o+ethe-ess fai-ed to acquire @+o:-ed6e of the co+te+t or to require additio+a- i+"esti6ati"e re7orts9 O+ the #asis of these e-eme+ts! it :as co+c-uded that if the facts 7resumed i+ this 7a7er cou-d #e 7ro"e+ i+ a tria-! IDF e=ecuti"e comma+ders of the ;safet Ho+e; a+d IDF officia-s i+ char6e of the em7-o me+t of the i+terro6ators ma i+cur comma+d res7o+si#i-it for the mistreatme+t of the detai+ees at .hiam9 The res7o+si#i-it of the ISS mem#ers :ho had i+structed the SL0 i+terro6ators raises fe:er 7ro#-ems9 I+ this case! the ar6ume+t is #ased o+ the doctri+e a77-ica#-e to tacticacomma+ders9 0 "er im7orta+t co+c-usio+ is that the co+ce7t of ;comma+der; is to #e i+ter7reted #road- ! so as to i+c-ude e"er o+e :ho has de facto co+tro- o"er the offe+der! #e this a ci"i-ia+! a mi-itar su7erior or a mem#er of a+ irre6u-ar force9 E"e+ thou6h the ISS :as +ot i+cor7orated i+to the IDF! it :as he-d that # "irtue of the mi-itar structure of the u+it! its -eaders amou+ted to mi-itar comma+ders i+ the se+se of the UN ad hoc tri#u+a-s; statutes a+d 8uris7rude+ce9 This co+c-usio+ :as a-so su77orted # artic-e $%FaG I,, Statute! :hich is #ased o+ customar 7ri+ci7-es #ut! ho:e"er! ca++ot #e a77-ied to the 7rese+t case due to the +o+retroacti"e effect of the Statute a+d the +o+2
Pa6e 'J
ratificatio+ # Israe-9 The res7o+si#i-it of these 7erso+s ca+ ar6ua#- #e #ased o+ the fact that as i+structors of the i+terro6ators it :ou-d ha"e #ee+ their dut to su7er"ise them :hi-e i+ the e=ercise of their fu+ctio+s a+d! at -east! to re7ort their misco+duct to the com7ete+t authorities9 Therefore! o+e ma co+c-ude that the -ac@ of a hierarchica- a+d forma- su7erior2su#ordi+ate re-atio+shi7 does +ot detract from the 7ossi#i-it of i+curri+6 comma+d res7o+si#i-it 9 E"er o+e ho-di+6 de facto authorit o"er someo+e res7o+si#-e for #reaches of I*L is su#8ect to this doctri+e! i+c-udi+6 mi-itia comma+ders a+d re6u-ar arm comma+ders i+ char6e of irre6u-ar com#ata+ts9 /oreo"er! e=ecuti"e comma+ders are e=em7ted from the requireme+t of su7eriorit : as -o+6 as the ha"e @+o:-ed6e! their fai-ure to i+ter"e+e to 7re"e+t the occurre+ce of crimes :ithi+ their 8urisdictio+ ca+ im7- their crimi+a- res7o+si#i-it 9 *o:e"er! as 7ro"e+ # the -e+6th a+d cum#ersome 7roceedi+6s of the I,TY a+d the I,TR! the determi+atio+ of the e=act ro-e 7-a ed # each i+di"idua- i+ a s7ecific case is far from sim7-e9 This case stud attem7ts to a+a- He comma+d res7o+si#i-it as a hi6h- re-e"a+t to7ic of i+ter+atio+acrimi+a- -a: # uti-iHi+6 a co+crete e=am7-e9 It :as +ot its i+te+tio+ 2 +or :as it :ithi+ its 7ossi#i-ities 2 to 8ud6e Israe-;s 7o-ic i+ souther+ Le#a+o+ or to char6e a+ s7ecific i+di"idua-9 This :ou-d #e the tas@ of a court9 AFNa'B9 PhD ca+didate! Schoo- of La:! U+i"ersit of Ber+ FS:itHer-a+dG9 The author :ishes to tha+@ Prof9 1a-ter .P-i+ for his he-7fu- comme+ts9 0+ errors are the author;s so-e res7o+si#i-it 9 AFN'B9 Israe-i /i+istr of Forei6+ 0ffairs F/F0G! ;The Israe-i 1ithdra:a- from Souther+ Le#a+o+: Bac@6rou+d Poi+ts;! $) /a $&&&! at Uhtt7:// :::9mfa96o"9i-/mfa/6o9as7>/F0*&hd5&V! 0mos *are-! ;IDF 1ithdra:s from Le#a+o+ 0fter '% ears;! *a;aretH s7ecia- for the o+2-i+e editio+! $) /a $&&&! at U htt7://:::$9haaretH9co9i-/s7ecia-/-e#a+o+2e/d/'%&%%%9as7V9 AFN$B9 ;0+ti2air2craft Fire O"er Norther+ Israe-i To:+;! 06e+ce Fra+ce Press! $) 07ri- $&&$ Fi+ -e=is +e=isG9 AFN(B9 Tria-s are curre+t- #ei+6 he-d i+ Le#a+o+ a6ai+st former SL0 mi-ita+ts! #ut the ha"e #ee+ criticiHed for #ei+6 summar a+d for ha"i+6 fai-ed to address the issue of :ar crimes9 See 0P! ;Bei-i+: SL0 /e+ 1o+;t #e Tried for 1ar ,rimes;! 3erusa-em Post! $4 /a $&&&! Trac 1i-@i+so+! ;Le#a+o+ 1a-@s a Fi+e Li+e i+ Tria-s of 0ccused Israe- ,o--a#orators;! Los 0+6e-es Times! '% 3u+e $&&& Fi+ -e=is +e=isG! Nicho-as B-a+ford! ;SL0 /i-itia /e+ 0:ait Se+te+ces for ,o--a#oratio+;! The Times! $$ 3u+e $&&& Fi+ -e=is +e=isG9 AFN)B9 0rt9 ( commo+ to the four I,s9 0ccordi+6 to the 8uris7rude+ce of the I+ter+atio+a- Tri#u+a- for the Former Yu6os-a"ia FI,TYG! "io-atio+s of commo+ art9 ( im7- crimi+a- co+seque+ces #oth i+ i+ter+atio+a- a+d +o+2i+ter+atio+a- co+f-icts9 See Prosecutor " Dus@o Tadic! Decisio+ o+ the Defe+ce /otio+ o+ 3urisdictio+! ,ase No9 IT2J)2'2T! '& 0u6ust 'JJ5! 7ara9 4<! a+d Prosecutor " Tadic! Decisio+ o+ the Defe+ce /otio+ for I+ter-ocutor 077ea- o+ 3urisdictio+! ,ase No9 IT2J)2'20R<$! $ Octo#er 'JJ5! 7ara9 %&! #oth i+ 09 .-i7 O I9 S-uiter Feds9G! 0++otated Leadi+6 ,ases of I+ter+atio+a- ,rimi+a- Tri#u+a-s 2 ?o-9': The I+ter+atio+a- ,rimi+aTri#u+a- for the Former Yu6os-a"ia 'JJ(2'JJ% F'JJJG (! ((9 AFN5B9 This ho-ds 7articu-ar- true if the comma+der :as 7rese+t at the crime sce+e9 Perso+a-/direct res7o+si#i-it Fart9 4F'G I,TR statute a+d art9 <F'G I,TY statuteG is differe+t from the strict comma+d/i+direct res7o+si#i-it ! F7ara9 ( of the same artic-esG9 See Prosecutor " 3ea+ Pau- 0@a esu! T,! $ Se7tem#er 'JJ%! ,ase No9 I,TR2J42)2T! 7ara9 )<'! The Prosecutor " De-a-ic et a-9! T,! '4 No"em#er 'JJ%! ,ase No9 IT2J42$'! 7ara9 (((! The Prosecutor " .a ishema a+d RuHi+da+a! $' /a 'JJJ! ,ase No9 I,TR2J52'2T! 7ara9 $'&9 The disti+ctio+ is a-so reca--ed i+ artic-es $5 a+d $% of the Treat of Rome for a+ I+ter+atio+a- ,rimi+a- ,ourt Fherafter: I,, StatuteG9 See .ria+6sa@ .ittichaisaree! I+ter+atio+a- ,rimi+a- La: F$&&'G $5'9 Such cases usua-- resu-t i+ a+ a66ra"ated char6e for comma+d res7o+si#i-it 9 Prosecutor " 0-e@so"s@i! 0,! $) /a $&&&! ,ase IT2J52')/'! 7ara9 '%(/ Prosecutor " De-a-ic! 0,! $& Fe#ruar $&&'! ,ase No9 IT2J42$'! 7ara9 <(4!<)(9 AFN4B9 The I,TY FI+ter+atio+a- ,rimi+a- Tri#u+a- for Former Yu6os-a"iaG a+d the I,TR FI+ter+atio+a-
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,rimi+a- Tri#u+a- for R:a+daG9 AFN<B9 0-fred Sch-icht! Li#a+o+ H:ische+ BRr6er@rie6 u+d I+ter+atio+a-em .o+f-i@t F'J%4G '&9 AFN%B9 IDF! Israe-s; 1ars! Pu#-icatio+ No9 ' FTe- 0"i": IDFGF'JJ&G9 AFNJB9 See Sch-icht! o79 cit9! '$9 AFN'&B9 Ed B-a+che! ;0 BiHarre et B-ood ,o+f-ict Dra6s o+ i+ South Le#a+o+2Part '; F'JJ<G JFJG 3a+e;s I+te--i6e+ce Re"ie: )'$9 AFN''B9 S, Res9 )$5! 'J /arch 'J<%9 AFN'$B9 The U+ited Natio+s I+terim Force for Souther+ Le#a+o+9 S, Res9 )$4! 'J /arch 'J<%9 AFN'(B9 B-a+che! -oc9 cit9! )'$9 AFN')B9 IDF! -oc9 cit! see +9% a#o"e! )4! Sch-icht! o79 cit9! $'9 AFN'5B9 I#id9 AFN'4B9 IDF! -oc9 cit! see +9% a#o"e! 5'! Sch-icht! o79 cit9! $59 AFN'<B9 I#id9! $)9 AFN'%B9 See R9 Ii-adi! ;The Practice a+d ,ase La: of Israe- i+ /atters Re-ated to I+ter+atio+a- La:; F'JJ%G ($F$G Israe- La: Re"ie: (5)! (5%9 AFN'JB9 IDF! -oc9 cit9! see +9% a#o"e! 5'9 AFN$&B9 See B;tse-em! Israe-i ?io-atio+s of *uma+ Ri6hts of Le#a+ese ,i"i-ia+s! ,ha7ter '! 3a+uar $&&&! at Uhtt7://:::9#tse-em9or6V9 AFN$'B9 0m+est '5/'%/J<G (9 I+ter+atio+a- Fhereafter: 0m+est G! Israe-;s For6otte+ *osta6es! 3u'JJ< F0I: /DE
AFN$$B9 Sh-omo Brom! Israe- a+d South Le#a+o+: Before a Peace 06reeme+t :ith S ria F'JJJG9 AFN$(B9 The fi6ures :ere 7ro"ided # /a8or Ie+era- Da+ *a-utH! head of the IDF O7eratio+s De7artme+t! at 7ara9 $) of his affida"it i+ res7o+se to the 7etitio+ to the *i6h ,ourt of 3ustice fi-ed # *a/o@ed: ,e+tre for the Defe+ce of the I+di"idua- a+d the 0ssociatio+ of ,i"i- Ri6hts i+ Israe-! re7rese+ted # attor+e s Tamar Pe-e62 Sr @ a+d Da+ Ya@ir! a+d four Le#a+ese detai+ees im7riso+ed i+ 0-2.hiam Priso+ to o#tai+ their re-ease9 *,3 'J5'/JJ! Ramda+ et a-9 " /i+ister of Defe+ce! see +9$< #e-o:9 AFN$)B9 P9 .aufma++! ;0rea that 077ears Li@e a S7ider;s 1e#; F'JJJG '% O+ the Other *a+d! $42$<! source cited i+ B;tse-em! +9$& a#o"e9 AFN$5B9 F0+sar or I+sarG See 0m+est ! Israe-/South Le#a+o+ 2 the .hiam Detai+ees: Torture a+d I--2treatme+t! FLo+do+: 0IG F/a 'JJ$G! I,R, Press Re-ease No9 '5&)! Ie+e"a! ) 07ri- 'J%5 Fi+ 09 Bou"ier a+d /9 Sasso-i! *o: Does La: Protect i+ 1ar> F'JJJG %%JG9
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AFN$4B9 0m+est ! -oc9 cit9! see +9$5 a#o"e! 5! ,ommittee for the su77ort of the Le#a+ese detai+ees i+ the Israe-i 7riso+s F,SLDIPG! ;1hat do You .+o: 0#out the .hiam Dete+tio+ ,e+tre>; at Uhtt7://:::9fo--o:u7cs-d2 i79or69-#9V! *R1! ;Israe- Res7o+si#-e for 0#uses at .hiam Priso+;! $% Octo#er 'JJJ! at Uhtt7:// :::9hr:9or6/hr:/7ress/'JJJ/oct/isr-$%'&9htmV9 AFN$<B9 B;tse-em! see +9$& a#o"e! 'J! 0ffida"it of Bri6adier Ie+era- Da+ *a-utH! 7aras ))! 5) a+d 54 Fat Uhtt7://outof@hiam9tri7od9comVG9 AFN$%B9 It :as c-osed o+ the e"e of the Israe-i Defe+se Forces; FIDFG :ithdra:a-9 ,SLDIP! ;The .hiam Dete+tio+ ,e+tre is ,-osed Fore"erQ;! $( /a $&&&! at Uhtt7://:::9fo--o:u7cs-d2i79or69-#9V! *are-! -oc9 cit9 AFN$JB9 BB,! ;,haos i+ South Le#a+o+;! $( /a +e:s9##c9co9u@/hi/e+6-ish/:or-d/midd-e[east/+e:sid[<4&&&&/<4&%'49stmV9 $&&&! at Uhtt7://
AFN(&B9 0m+est ! -oc9 cit9! see +9$' a#o"e! '! Natio+a- 0ssociatio+ For Le#a+ese Detai+ees i+ Israe-i Priso+s FN0FLDIPG! ;0 /emo Su#mitted to the 0ccredited Di7-omatic /issio+s I+ter+atio+a- Red ,ross a+d other I+ter+atio+a- *uma+itaria+ Or6a+iHatio+s;! at Uhtt7://:::9+a-di79or69-#/echo9htm-/B;tse-emV! ;0-2.hiam Priso+: Torture a+d U+-a:fu- Dete+tio+;! 'JJJ! at Uhtt7:// :::9#tse-em9or6V9 AFN('B9 0m+est ! -oc9 cit9! see +9$5 a#o"e! '! 09 Da a+! ;Israe- is the So"erei6+ i+ South Le#a+o+9 There are docume+ts;! *a;aretH! % No"em#er 'JJJ! E+6-ish "ersio+ at Uhtt7://outof@hiam9tri7od9com/#a6atH&%''9htmV9 AFN($B9 0m+est ! -oc9 cit9! see +9$' a#o"e9 AFN((B9 *R1! -oc9 cit9! see +9(4 #e-o:! 0m+est ! 'JJJ 0++ua- Re7ort o+ Israe- Fthe State ofG a+d the Occu7ied Territories! at Uhtt7:// :::9am+est 9or6/ai-i#/aire7ort/arJJ/mde'59htmV9 AFN()B9 *R1! -oc9 cit9! see +9(4 #e-o:! 0m+est ! -oc9 cit9! see +9$' a#o"e! 0m+est ! ;S9B9 F+ame omittedG free: +o: re-ease remai+i+6 .hiam hosta6es;! /DE '5/<J/J%! ( Se7tem#er 'JJ%! at Uhtt7:// :::9:e#9am+est 9or6/ai9+sf/i+de=//DE'5&<J'JJ%V! *R1! ;Israe-;s 1ithdra:a- from S9 Le#a+o+: the *uma+ Ri6hts Dime+sio+;! /a $&&&! at Uhtt7:// :::9hr:9or6/cam7ai6+s/-e#a+o+/israe-&5'&&&9htmV9 AFN(5B9 0m+est ! -oc9 cit9! see +9$' a#o"e! *R1! -oc9 cit9! see +9(4 #e-o:! B;tse-em! see +9(& a#o"e9 AFN(4B9 0m+est ! -oc9 cit9! see +9$' a#o"e! *R1! ;Israe- Res7o+si#-e for 0#uses i+ .hiam Priso+;! Press Re-ease! Octo#er 'JJJ! at Uhtt7:// :::9hr:9or6/hr:/7ress/'JJJ/oct/isr-$%'&9htmV9 AFN(<B9 0m+est ! -oc9 cit9! see +9$' a#o"e9 AFN(%B9 0ffida"it! see +9$< a#o"e! 7ara9 5'9 AFN(JB9 I#id9! 7ara9 )): ;Israe-i securit forces #ri+6 their 7ositio+ o+ the issue of the re-ease of the detai+ees to the atte+tio+ of the SL0;9 See a-so a 7re"ious docume+t su#mitted to the Su7reme ,ourt i+ 07ri- 'JJJ F*i6h ,ourt of 3ustice 'J5'/JJ! Set for $< 07ri- 'JJJG! 7ara9 <: ;the 7arties co+su-t to6ether co+cer+i+6 the arrest a+d re-ease of 7eo7-e i+ the a-2.hiam i+sta--atio+9; F*ereafter ;7re"ious affida"it;! a"ai-a#-e at Uhtt7:// outof@hiam9tri7od9com/7re"affi9htmVG! *R1! -oc9 cit9! see +9(4 a#o"e! B;tse-em! see +9$& a#o"e! 'J: ;AtBhis su7er"isio+ is co+s7icuous i+! amo+6 other thi+6s! decisio+2ma@i+6 re6ardi+6 the re-ease of detai+ees9 For e=am7-e i+ 3u+e 'JJ%! the I+ter+atio+a- ,ommittee of the Red ,ross FI,R,G mediated a 7riso+er e=cha+6e! i+ :hich fift detai+ees from 0-2.hiam :ere e=cha+6ed for the #od of Israe-i so-dier Itamar I-ia9 Israe- :as the #e+eficiar of the dea- a+d the 7art that a6reed to the e=cha+6e9;
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AFN)&B9 0m+est I+ter+atio+a-! ;Israe- a+d the Occu7ied Territories;! 0++ua- Re7ort $&&&! POL '&/&&'/&&! at Uhtt7:// :e#9am+est 9or6/%&$54%F$&&5(%&%J/cou+tries/%)%(<f&(555$%)fd%&$54%f$&&55$J()> O7e+Docume+tV! B;tse-em! see +9(& a#o"e9 AFN)'B9 UN,*R! ,i"i- a+d Po-itica- Ri6hts! I+c-udi+6 Tuestio+s of: Torture a+d Dete+tio+! Re7ort of the 1or@i+6 Irou7 o+ 0r#itrar Dete+tio+! $% Decem#er 'JJJ! UN doc9 E/,N9)/$&&&/)! 7ara9 '%: ;I+ the -i6ht of the fore6oi+6! the 1or@i+6 Irou7 co+siders that it is 8ustified i+ addressi+6 the commu+icatio+s a+d ur6e+t a77ea-s co+cer+i+6 dete+tio+ at 0-2.hiam to the Israe-i Io"er+me+t! i+asmuch as it has #ee+ sufficie+tdemo+strated that the SL0 is acti+6 o+ #eha-f of the IDF9; AFN)$B9 Da+ie- So#e-ma+! ;0-2*a am Priso+ers Set Free;! *a;aretH s7ecia- for the o+2-i+e editio+! $) /a $&&&! at Uhtt7:// :::$9haaretH9co9i-/s7ecia-/-e#a+o+2e/d/'%&%%49as7V! BB,! ;Israe- ,ourt U7ho-ds Detai+ees; Re-ease;! '< 07ri- $&&&! see +9$J a#o"e9 AFN)(B9 See 0m+est ! -oc9 cit9! see +9$' a#o"e! /9 *ess! Die 0+:e+d#ar@eit des huma+itPre+ ?L-@errechts i+#eso+dere i+ 6emischte+ .o+f-i@te+ F'J%5G ')(! E9 Da"id! Pri+ci7es de droit des co+f-its armSs F'JJ)G '$'! *9 P9 Iasser! ;I+ter+atio+a-iHed! No+2i+ter+atio+a- 0rmed ,o+f-icts: ,ase Studies of 0f6ha+ista+! .am7uchea a+d Le#a+o+; F'J%(G ((F'G 0ULR ')5! R9 0r+o-d! ;*uma+ Ri6hts i+ Times of 1ar: the Protectio+ of PO1s a+d the ,ase of Ro+ 0rad; F$&&&G 5F'G *uma+ Ri6hts La: Re"ie: '&! D9 Tur+s! ;Some Ref-ectio+s o+ the ,o+f-ict i+ Souther+ Le#a+o+; F$&&&G 5F$G 3,SL 'J$2'J(9 AFN))B9 O+ this 7ro#-em see ,9 B ro+! ;0rmed ,o+f-icts: I+ter+atio+a- or No+2i+ter+atio+a->; F$&&'G 4F'G 3,SL 4(9 AFN)5B9 I,3! Nicara6ua " U+ited States of 0merica! ,ase co+cer+i+6 mi-itar a+d 7arami-itar acti"ities i+ a+d a6ai+st Nicara6ua! $< 3u+e 'J%4! 7ara9 $'%! referred to i+ Prosecutor " Tadic! Decisio+ o+ the defe+ce motio+ o+ 8urisdictio+! '& 0u6ust 'JJ5! ,ase No9 IT2J)2'2T! 7ara9 '&$9 AFN)4B9 Prosecutor " Dus@o Tadic! Decisio+ o+ the Defe+ce /otio+ for I+ter-ocutor 077ea- o+ 3urisdictio+! 0,! $ Octo#er 'JJ5! ,ase No9 IT2J)2'2 0R<$! 7ara9 '$%! Prosecutor " .ordic a+d ,er@eH! $4 Fe#ruar $&&'! T,! ,ase No9 IT2J52')/$! 7ara9 '4%! Prosecutor " De-a-ic! 0,! $& Fe#ruar $&&'! ,ase No9 IT2J42$'! 7aras '5(2'<(! Prosecutor " B-as@ic! T,! ( /arch $&&&! ,ase No9 IT2J52')! 7ara9 '<4! Prosecutor " /usema! T,! $< 3a+uar $&&&! ,ase No9 I,TR2J42'(! 7ara9 $)&2$)$! Prosecutor " Ba6i-ishema! T,! < 3u+e $&&'! ,ase No9 I,TR2J52'02T! 7ara9 J%! Prosecutor " 3ea+ Pau- 0@a esu! T,! $ Se7tem#er 'JJ%! ,ase No9 I,TR2J42)2T! 7ara9 4'$9 The crimi+a-iHatio+ of #reaches of commo+ art9 ( is a +o"e-t i+troduced # the I,TR statute9 See UN Secretar Ie+era-;s re7ort o+ the R:a+da Statute! UN doc9 S/'JJ5/'()! (! 7ara9 '$9 AFN)<B9 See Y9 Sa+doH et9 a-9 Feds9G! ,omme+tar o+ the 0dditio+a- Protoco-s of 'J<< F'J%<G 7ara9 (&)(! Prosecutor " Furu+dHi8a! T,! '& Decem#er 'JJ%! ,ase No9 IT2J52'</'! 7aras '()! '4&! Prosecutor " De-a-ic! '4 No"em#er 'JJ%! ,ase No9 IT2J42$'! 7ara9 )559 AFN)%B9 UN,*R Res9 'JJ%/4$: ;Ira"e- co+cer+ed at the 7ersiste+t dete+tio+ # Israe- of ma+ Le#a+ese citiHe+s i+ the dete+tio+ ce+tres of .hi am a+d /ar8a ou+! a+d at the death of some of these detai+ees as a resu-t of i--2treatme+t a+d torture 999;! at Uhtt7:// :::9hri9ca/fortherecord'JJ%/docume+tatio+/commissio+/'JJ%2 4$9htmV! see a-so Summar record of the '4<<th meeti+6 of the *uma+ Ri6hts ,ommittee! $< 3u- 'JJ%! UN doc9 ,,PR/,/SR!'4<<! 7ara9 J& Fthe ,hair7erso+G: ;It :as c-ear that "arious measures ado7ted u+der the state of emer6e+c :ere i+co+siste+t :ith the o#8ect a+d 7ur7ose of the ,o"e+a+tD that :as true! i+ 7articu-ar! of certai+ methods of i+terro6atio+ em7-o ed! :hich! if the did +ot amou+t to torture! certai+- co+stituted i--2treatme+t :ithi+ the mea+i+6 of artic-e < Fof the I+ter+atio+a- ,o"e+a+t o+ ,i"i- a+d Po-itica- Ri6htsG9 If de7ri"atio+ of s-ee7! as a mi+imum! amou+ts to i-- treatme+t! it is -e6itimate to 7resume that the use of e-ectric shoc@s is ta+tamou+t to torture9;
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AFN)JB9 Israe-i Su7reme ,ourt! ;3ud6me+t o+ the I+terro6atio+ /ethods a77-ied # the ISS;! 4 Se7tem#er 'JJJ! at Uhtt7://:::9derechos9or6/huma+2ri6hts/me+a/doc/torture9htm-V9 This decisio+ is im7orta+t #ecause the SL0 ado7ted simi-ar methods! Summar Records of the )J4th meeti+6 of the ,ommittee 06ai+st Torture! UN doc9 ,0T/,/SR9)J4! at 7ara9 $&9 AFN5&B9 0m+est ! -oc9 cit9! see +9$5 a#o"e! 0m+est ! -oc9 cit9! see +9$' a#o"e! B;tse-em! see +9$& a#o"e! $&! Su-eima+ Ramada+ et a-9 " The /i+ister of Defe+ce! *i6h ,ourt of 3ustice 'J5'/JJ! $< 07ri- 'JJJ! at Uhtt7:// outof@hiam9tri7od9com/V Fa#out .hiamG9 AFN5'B9 O+ the doctri+e of the I,, Fthe I+ter+atio+a- ,rimi+a- ,ourtG! see Ire6 R9 ?etter! ;,omma+d Res7o+si#i-it of No+2/i-itar Su7eriors i+ the I+ter+atio+a- ,rimi+a- ,ourt FI,,G; F$&&&G $5 Y3IL %J9 AFN5$B9 O+ $& Se7tem#er $&&$! %' cou+tries! e=c-udi+6 the US0 a+d Israe-! had ratified the I,, Statute9 The Statute has come i+to force o+ ' 3u- $&&$9 See Uhtt7://:::9icc+o:9or6V9 AFN5(B9 See for e=am7-e the a77roach ta@e+ i+ Prosecutor " De-a-ic! '4 No"em#er 'JJ%! ,ase No9 IT2J42$'! 7ara9 (J(9 AFN5)B9 Israe- ratified it o+ 4 3uUhtt7://:::9cicr9or6V9 'J5' a+d Le#a+o+ o+ '& 07ri- 'J5'9 See the I,R, :e#site
AFN55B9 O+ $( 3u- 'JJ<9 I+fo! at I,R, :e#site! i#id9 AFN54B9 0rt9 ' im7oses o+ *i6h ,o+tracti+6 Parties F*,PG the dut to e+sure the res7ect of the treat i+ a-circumsta+ces! thus requiri+6 them to ha"e a s stem i+ :hich a-- their re7rese+tati"es! such as comma+ders! :i-com7- :ith its 7ro"isio+s9 AFN5<B9 0rt9 )F$G requires mi-itias to #e comma+ded # a res7o+si#-e 7erso+9 AFN5%B9 For e969! art9 '! accordi+6 to :hich the treat o+- a77-ies to armed 6rou7s comma+ded # a res7o+si#-e 7erso+9 *o:e"er! due to the fact that the armed forces of the Le#a+ese Io"er+me+t :ere +ot direct- i+"o-"ed i+ the co+f-ict! it is questio+a#-e :hether 0P II is a77-ica#-e9 Name- 0P II! u+-i@e commo+ art9 (! does +ot co"er co+f-icts #et:ee+ factio+s Fo+ the criteria see Prosecutor " 0@a esu! ,ase No9 I,TR2J42)2T! $ Se7tem#er 'JJ%! 7aras 4'J2 4$<G9 *o:e"er! it is questio+a#-e :hether the Le#a+ese Io"er+me+t co+sidered the dete+tio+ of its citiHe+s a+d the occu7atio+ of the south as a+ act of :ar of the SL09 I+dicatio+s i+ this directio+ are 6i"e+ # the tria-s he-d # the /i-itar ,ourt i+ Beirut a6ai+st former SL0 mi-ita+ts9 ,NN! ;Le#a+o+ Se+te+ces Pro2 Israe-i /i-itiame+;! 5 3u+e $&&&! at Uhtt7:// :::9c++9com/$&&&/1ORLD/meast/&4/&5/mideast9-e#a+o+9&'/i+de=9htm-V! Trac 1i-@i+so+! ;Le#a+o+ 1a-@s a Fi+e Li+e i+ Tria-s of 0ccused Israe- ,o--a#orators;! '% 3u+e $&&&! Los 0+6e-es Times! '&Fi+ -e=is +e=isG9 /ore 6e+era-- ! o+ the qua-ificatio+ of the co+f-ict! see 0r+o-d! -oc9 cit9 a+d Tur+s! -oc9 cit9 AFN5JB9 The I,TY a+d the I,TR esta#-ished that a-so #reaches of commo+ art9 ( a+d art9 ) 0P II e+taii+di"iduacrimi+a- res7o+si#i-it 9 Prosecutor " Dus@o Tadic! Decisio+ o+ the Defe+ce /otio+ for I+ter-ocutor 077ea- o+ 3urisdictio+! 0,! $ Octo#er 'JJ5! ,ase No9 IT2J)2'20R<$! 7ara9 '$%! Prosecutor " .ordic a+d ,er@eH! $4 Fe#ruar $&&'! T,! ,ase No9 IT2J52')/$! 7ara9 '4%! Prosecutor " De-a-ic! 0,! $& Fe#ruar $&&'! ,ase No9 IT2J42$'! 7aras '5(2'<(! Prosecutor " /usema! T,! $< 3a+uar $&&&! ,ase No9 I,TR2J42 '(! 7ara9 $)&2$)$! Prosecutor " 3ea+ Pau- 0@a esu! T,! $ Se7tem#er 'JJ%! ,ase No9 I,TR2J42)2T! 7ara9 4'$9 AFN4&B9 I,R,! ;Natio+a- E+forceme+t of I+ter+atio+a- *uma+itaria+ La:: ,omma+d res7o+si#i-it a+d omissio+;! $( Fe#ruar 'JJJ! Uhtt7://
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:::9cicr9or6/icrce+69+sf/5cacfdf)%ca4J%#4)'$54$)$&&(#($J5/c#<fd(5%f'<%<<)d)'$54<$'&&)%e45<> O7e+Docume+tV9 AFN4'B9 0-thou6h Israe- is +ot a 7art to 0P I! these +orms! as it :i-- #e sho:+! a77- as customar -a:9 See Prosecutor " De-a-ic! T,! '4 No"em#er 'JJ%! ,ase No9 IT2J42$'! 7ara9 (%(/(J&/Prosecutor " B-as@ic! T,! ( /arch $&&&! ,ase No9 IT2J52')! 7ara9 ('&9 AFN4$B9 T9 /ero+! *uma+ Ri6hts a+d *uma+itaria+ Norms as ,ustomar La: F'JJ'G (9 AFN4(B9 I+ Re Yamashita! ($< US '! ')2'4 F'J)5G9 AFN4)B9 U+ited States " 1i-he-m List et a-9 Fthe *osta6e ,aseG! ?o-9 WI! T1,! '$(&! '(&(9 AFN45B9 U+ited States " 1i-he-m "o+ Lee# et a-9! ?o-9 WI! T1,! )4$! 5'$9 AFN44B9 Prosecutor " De-a-ic! T,! '4 No"em#er 'JJ%! ,ase No9 IT2J42$'! 7ara9 (((9 AFN4<B9 U+ited States " Soemu To oda! Officia- Tra+scri7t of Record of Tria-! 5&&525&&49 ,ited # Prosecutor " De-a-ic! T,! '4 No"em#er 'JJ%! ,ase No9 IT2J42$'! 7ara9 ((J9 AFN4%B9 Prosecutor " De-a-ic! T,! '4 No"em#er 'JJ%! ,ase No9 IT2J42$'! 7ara9 ()(9 AFN4JB9 See #e-o: +9<&9 AFN<&B9 See Re7ort of the SI! UN doc9 S/$5<&)! ( /a 'JJ(! J! 7aras ()9 0rt9 < a+d the criteria to determi+e comma+d res7o+si#i-it ha"e #ee+ #ased o+ customar -a:9 AFN<'B9 Prosecutor " De-a-ic! '4 No"em#er 'JJ%! ,ase No9 IT2J42$'! 7aras 4)</<&)/<)$9 AFN<$B9 Prosecutor " De-a-ic! '4 No"em#er 'JJ%! ,ase No9 IT2J42$'! 7ara9 ()49 These criteria reca-- the o+es esta#-ished i+ the To oda Tria-! see +94< a#o"e9 See a-so Sa+doH et a-9! o79 cit9! 7ara9 (5)(9 AFN<(B9 Prosecutor " De-a-ic! '4 No"em#er 'JJ%! ,ase No9 IT2J42$'! 7aras (5)2(4(9 ,o+firmed i+ the 077ea3ud6me+t! 7ara9 'J5! Prosecutor " 0-e@so"s@i! T,! $5 3u+e 'JJJ! ,ase No9 IT2J)2')/'20! 7ara9 <59 This 7ositio+ :as co+firmed # the 077ea-s ,ham#er! at 7ara9 <)9 AFN<)B9 Prosecutor " De-a-ic! '4 No"em#er 'JJ%! ,ase No9 IT2J42$'! 7aras (5)! <(59 See a-so Prosecutor " .ordic a+d ,er@eH! $4 Fe#ruar $&&'! T,! ,ase No9 IT2J52')/$! 7ara9 )'49 AFN<5B9 Prosecutor " De-a-ic! '4 No"em#er 'JJ%! ,ase No9 IT2J42$'! 7ara9 (<%9 AFN<4B9 Prosecutor " De-a-ic! 0,! $& Fe#ruar $&&'! ,ase No9 IT2J42$'! 7aras 'J42'J<9 AFN<<B9 U+ited States " 1i-he-m "o+ Lee# et a-9! ?o-9 WI! T1,! )4$9 AFN<%B9 U+ited States " 1i-he-m "o+ Lee# et a-9! ?o-9 WI! T1,! 5))25)5! referred to i+ Par@s! ;,omma+d Res7o+si#i-it for 1ar ,rimes; F'J<(G 4$ /i-itar La: Re"ie: )(2))9 AFN<JB9 U+ited States " 1i-he-m List et a-9! ?o-9 WI! T1,! '$(&! '$4&9 See +9)5 a+d Par@s! -oc9 cit9! 4&9 The tri#u+a- co+c-uded that there had to #e a causati"e! o"ert act or omissio+ from :hich a 6ui-t i+te+t cou-d #e
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i+ferred! therefore re8ecti+6 a theor of strict -ia#i-it 9 AFN%&B9 Prosecutor " De-a-ic! '4 No"em#er 'JJ%! ,ase No9 IT2J42$'! 7ara9 (<$! 4)%24)J a+d Prosecutor " De-a-ic! 0,! case No9 IT2J42$'! $& Fe#ruar $&&'! 7ara9 $5% Ffoot+otes omittedG9 For detai-s see B9B9 3ia! ;The Doctri+e of ,omma+d Res7o+si#i-it i+ I+ter+atio+a- La:; F'JJ%G WL?F(G NILR ($5! (((9 AFN%'B9 See I9 Ba+te@as! ;The ,o+tem7orar La: of Su7erior Res7o+si#i-it ; F'JJJG J(F(G 03IL 5%59 AFN%$B9 See ,9 Bassiou+i a+d P9 /a+i@as! The La: of the I+ter+atio+a- ,rimi+a- Tri#u+a- for the Former Yu6os-a"ia F'JJ4G (4'! /9 Li77ma+! ;*uma+itaria+ La:: the U+certai+ ,o+tours of ,omma+d Res7o+si#i-it ; F$&&'G J TLS3,IL ')! 09 B9 ,hi+6! ;E"o-utio+ of the ,omma+d Res7o+si#i-it Doctri+e i+ Li6ht of the ,e-e#ici Decisio+ of the I+ter+atio+a- ,rimi+a- Tri#u+a- for the Former Yu6os-a"ia; F'JJJG $5 N,3IL,R '%$9 AFN%(B9 I+ Re Yamashita! F'J)5G ($< US '9 AFN%)B9 The 7rosecutor " 3ea+ Pau- 0@a esu! T,! $ Se7tem#er 'JJ%! ,ase No9 I,TR2J42)2T! 7ara9 )%%9 AFN%5B9 US0 " 1i-he-m "o+ Lee# et a-9! i+ Tria-s of 1ar ,rimi+a-s! ?o-9 WI! 5)(25)): ;,rimi+a-it does +ot attach to e"er i+di"idua- i+ this chai+ of comma+d from that fact a-o+e9 There must #e a 7erso+a- dere-ictio+9 That ca+ occur o+- :here the act is direct- tracea#-e to him or :here his fai-ure to 7ro7er- su7er"ise his su#ordi+ates co+stitutes crimi+a- +e6-i6e+ce o+ his 7art9 I+ the -atter case it must #e a 7erso+a- +e6-ect amou+ti+6 to a :a+to+! immora- disre6ard of the actio+ of his su#ordi+ates amou+ti+6 to acquiesce+ce9; Referred to i+ Prosecutor " B-as@ic! T,! ( /arch $&&&! ,ase No9 IT2J52')! 7ara9 ($'9 See a-so Par@s! -oc9 cit9! )$9 AFN%4B9 U+ited States " Soemu To oda AOfficia- Tra+scri7t of Record of Tria-B 5&&4! referred to i+ Prosecutor " De-a-ic! '4 No"em#er 'JJ%! ,ase No9 IT2J42$'! 7ara9 (%%! a+d Prosecutor " B-as@ic! T,! ( /arch $&&&! ,ase No9 IT2J52')! 7ara9 ('49 For detai-s see Par@s! -oc9 cit9! <'! 19D9 Bur+ett! ;,omma+d Res7o+si#i-it a+d a ,ase Stud of the ,rimi+a- Res7o+si#i-it of Israe-i /i-itar ,omma+ders for the Po6rom of Shati-a a+d Sa#ra; F'J%5G '&< /i-itar La: Re"ie: <'! ''%2''J! 09P9?9 Ro6ers! La: o+ the Batt-efie-d F'JJ4G '((9 AFN%<B9 U+ited States " 1i-he-m List et a-9! ?o-9 WI! T1,! '$(&! '$<'9 Referred to i+ Prosecutor " De-a-ic! '4 No"em#er 'JJ%! ,ase No9 IT2J42$'! 7ara9 (%J a+d Prosecutor " B-as@ic! T,! ( /arch $&&&! ,ase No9 IT2J52')! 7ara9 ($$9 For detai-s see Par@s! -oc9 cit9! 4'9 AFN%%B9 U+ited States " 1i-he-m List et a-9! ?o-9 WI! T1,! '$(&! '$<'9 For detai-s see Par@s! -oc9 cit9! 4'9 AFN%JB9 U+ited States " 1i-he-m List et a-9! ?o-9 WI! T1,! '$(&! '$<'9 Referred to i+ Prosecutor " De-a-ic! '4 No"em#er 'JJ%! ,ase No9 IT2J42$'! 7ara9 (%J9 AFNJ&B9 This 7ro"isio+ is +o: 7art of customar -a:9 Prosecutor " De-a-ic! '4 No"em#er 'JJ%! ,ase No9 IT2J42 $'! 7aras (%(! (J&! Prosecutor " B-as@ic! T,! ( /arch $&&&! ,ase No9 IT2J52')! 7ara9 ('&9 AFNJ'B9 Prosecutor " De-a-ic! T,! '4 No"em#er 'JJ%! ,ase No9 IT2J42$'! 7ara9 (J(! co+firmed i+ the 077ea3ud6me+t! 7ara9 $$)9 AFNJ$B9 Prosecutor " B-as@ic! T,! ( /arch $&&&! ,ase No9 IT2J52')! 7ara9 (')2(($ F7ara9 ($) i+ 7articu-arG9 The T, seems to su77ort the "ie: that there is +o co+tradictio+ #et:ee+ the me+s rea a77-ied i+ 7ost seco+d :or-d :ar cases a+d art9 %42%< of 0P I9 The T, a-so refers to the fi+di+6s of the .aha+ ,ommissio+ Fat 7ara9 (('G9 The -atter he-d that ;AtBhe a#se+ce of a :ar+i+6 from e=7erts ca++ot ser"e as a+ e=7-a+atio+ for i6+ori+6 the da+6er of a massacre9 The ,hief of Staff shou-d ha"e @+o:+ a+d foresee+ 2 # "irtue of commo+
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@+o:-ed6e! as :e-- as the s7ecia- i+formatio+ at his dis7osa- 2 that there :as a 7ossi#i-it of harm to the 7o7u-atio+ i+ the cam7s at the ha+ds of the Pha-a+6ists9; Fat )J< of the Re7ort! see #e-o:G *o:e"er it seems to the author that the ,ommissio+ re-ied o+ a ;had reaso+ to @+o:; test! rather tha+ a ;shou-d ha"e @+o:+; test requiri+6 him to o#tai+ the i+formatio+9 The ,ommissio+ +ame- o#ser"ed that: ;AiBf it i+deed #ecomes c-ear that those :ho decided o+ the e+tr of the Pha-a+6ists i+to the cam7s shou-d ha"e foresee+ 2 from the i+formatio+ at their dis7osa- a+d from thi+6s :hich :ere commo+ @+o:-ed6e 2 that there :as da+6er of a massacre! a+d +o ste7s :ere ta@e+ :hich mi6ht ha"e 7re"e+ted this da+6er or at -east 6reat- reduced the 7ossi#i-it that deeds of this t 7e mi6ht #e do+e! the+ those :ho made the decisio+s a+d those :ho im7-eme+ted them are i+direct- res7o+si#-e for :hat u-timate- occurred! e"e+ if the did +ot i+te+d this to ha77e+ a+d mere- disre6arded the a+tici7ated da+6er;9 Israe-! Fi+a- Re7ort of the ,ommissio+ of I+quir i+to the e"e+ts at the refu6ee cam7s i+ Beirut! < Fe#ruar 'J%(! F'J%(G $$ IL/ )J<9 AFNJ(B9 Prosecutor " De-a-ic! 0,! $& Fe#ruar $&&'! ,ase No9 IT2J42$'! 7ara9 $)'! Prosecutor " .ordic a+d ,er@eH! $4 Fe#ruar $&&'! T,! ,ase No9 IT2J52')/$! 7ara9 )(& a+d )($9 AFNJ)B9 Prosecutor " De-a-ic! '4 No"em#er 'JJ%! ,ase No9 IT2J42$'! 7ara9 (%49 AFNJ5B9 Prosecutor " De-a-ic! '4 No"em#er 'JJ%! ,ase No9 IT2J42$'! 7ara9 (%4! Prosecutor " B-as@ic! T,! ( /arch $&&&! ,ase No9 IT2J52')! 7ara9 (&<! Prosecutor " .ordic a+d ,er@eH! $4 Fe#ruar $&&'! T,! ,ase No9 IT2J52')/$! 7ara9 )$<9 The T, i+ De-a-ic referred to the Fi+a- Re7ort of the UN ,ommissio+ of E=7erts for the I,TY! :hich co+tai+s a -ist of e-eme+ts that ma #e used as i+dicia9 These i+c-ude the +um#er! t 7e a+d sco7e of i--e6a- acts! the time duri+6 :hich these occurred! the +um#er a+d t 7e of troo7s i+"o-"ed! the -o6istics i+"o-"ed! the 6eo6ra7hica- -ocatio+ of the acts! their :ides7read occurre+ce! the tactica- tem7o of o7eratio+s! the modus o7era+di of simi-ar i--e6a- acts! the officers a+d staff i+"o-"ed a+d the -ocatio+ of the comma+der at the time9 ,ommissio+ of E=7erts Re7ort! '<! referred to i+ Bassiou+i a+d /a+i@as! o79 cit9! ()(9 AFNJ4B9 Prosecutor " De-a-ic! T,! '4 No"em#er 'JJ%! ,ase No9 IT2J42$'! 7ara9 (%(9 AFNJ<B9 Prosecutor " De-a-ic! '4 No"em#er 'JJ%! ,ase No9 IT2J42$'! 7ara9 (J(9 O+ this issue see a-so the Prosecutor;s "ie: i+ Prosecutor " .ordic a+d ,er@eH! $4 Fe#ruar $&&'! T,! ,ase No9 IT2J52')/$! 7ara9 )(&9 0rt9 $% I,, Statute states: ;I+ additio+ to other 6rou+ds of crimi+a- res7o+si#i-it u+der this Statute for crimes :ithi+ the 8urisdictio+ of the ,ourt: FaG 0 mi-itar comma+der or 7erso+ effecti"e- acti+6 as a mi-itar comma+der sha-- #e crimi+a-- res7o+si#-e for crimes :ithi+ the 8urisdictio+ of the ,ourt committed # forces u+der his or her effecti"e comma+d a+d co+tro-! or effecti"e authorit a+d co+tro- as the case ma #e! as a resu-t of his or her fai-ure to e=ercise co+tro- 7ro7er- o"er such forces! :here: FiG That mi-itar comma+der or 7erso+ either @+e: or! o:i+6 to the circumsta+ces at the time! shou-d ha"e @+o:+ that the forces :ere committi+6 or a#out to commit such crimesD a+d FiiG That mi-itar comma+der or 7erso+ fai-ed to ta@e a-- +ecessar a+d reaso+a#-e measures :ithi+ his or her 7o:er to 7re"e+t or re7ress their commissio+ or to su#mit the matter to the com7ete+t authorities for i+"esti6atio+ a+d 7rosecutio+9 F#G 1ith res7ect to superior a+d su#ordi+ate re-atio+shi7s +ot descri#ed i+ 7ara6ra7h FaG! a superior sha-- #e crimi+a-- respo"si,le for crimes :ithi+ the 8urisdictio+ of the ,ourt committed # su#ordi+ates u+der his or her effecti"e authorit a+d co+tro-! as a resu-t of his or her fai-ure to e=ercise co+tro- 7ro7er- o"er such su#ordi+ates! :here: FiG The superior either @+e:! or co+scious- disre6arded i+formatio+ :hich c-ear- i+dicated! that the su#ordi+ates :ere committi+6 or a#out to commit such crimesD FiiG The crimes co+cer+ed acti"ities that :ere :ithi+ the effecti"e respo"si,ility a+d co+troof the superiorD a+d FiiiG The superior fai-ed to ta@e a-- +ecessar a+d reaso+a#-e measures :ithi+ his or her 7o:er to 7re"e+t or re7ress their commissio+ or to su#mit the matter to the com7ete+t authorities for i+"esti6atio+ a+d 7rosecutio+9; AFNJ%B9 Prosecutor " .a ishema a+d RuHi+da+a! $' /a 'JJJ! ,ase No9 I,TR2J52'2T! 7aras $$52$$%9 AFNJJB9 I9e9 comma+ders i+ char6e of a territor 9 Prosecutor " De-a-ic! '4 No"em#er 'JJ%! ,ase No9 IT2J42$'! 7ara9 <$&9
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AFN'&&B9 It +ame- co+c-uded that art9 %4 0P I has re7-aced the me+s rea test ado7ted i+ the *osta6e ,ase! :hich s7ecifica-- dea-t :ith e=ecuti"e comma+ders9 U+ited States " 1i-he-m List et a-9! ?o-9 WI! T1,! '$(&! '$<'! cited i+ Prosecutor " De-a-ic! '4 No"em#er 'JJ%! ,ase No9 IT2J42$'! 7ara9 (%(/(%J a+d referred to i+ Par@s! -oc9 cit9! 4'9 The T, 7ositio+ :as shared # the 0,! at 7ara9 $(&9 AFN'&'B9 Prosecutor " B-as@ic! T,! ( /arch $&&&! ,ase No9 IT2J52')! 7aras (&&2(&'9 AFN'&$B9 I#id9! 7aras $4(/$<&/$%)9 AFN'&(B9 Prosecutor " B-as@ic! T,! ( /arch $&&&! ,ase No9 IT2J52')! 7aras ((<2((%9 AFN'&)B9 Prosecutor " 0-e@so"s@i! 0,! $) /arch $&&&! ,ase No9 IT2J52')/'! 7ara9 '%(/Prosecutor " De-a-ic! 0,! T,! $5 3u+e 'JJJ! ,ase No9 IT2J)2')/'20! 7aras <(4! <)(ss9 The issue of direct res7o+si#i-it is +e"erthe-ess #e o+d the sco7e of this 7a7er9 AFN'&5B9 Prosecutor " B-as@ic! T,! ( /arch $&&&! ,ase No9 IT2J52')! 7ara9 $%59 E969! i+ re6ard of fai-ure to 7u+ish! B-as@ic he-d that this ma co+stitute i+sti6atio+ o+- if a causa- +e=us is 7ro"e+9 Para9 ((J/ Prosecutor " De-a-ic! T,! '4 No"em#er 'JJ%! ,ase No9 IT2J42$'! 7ara9 (JJ9 AFN'&4B9 Trechse-/No--! Sch:eiHerisches Strafrecht! 0--6emei+er Tei- I F'JJ%G $)$9 AFN'&<B9 See I9 Strate+:erth! Sch:eiHerisches Strafrecht! 0--6emei+er Tei- I: Die Straftat F$+d ed9! 'JJ4G '549 AFN'&%B9 See Strate+:erth! o79 cit9! )(9 See for e=am7-e the S:iss Su7reme ,ourt decisio+s BIE '&' I? '5$! BIE '&% I? <9 AFN'&JB9 Trechse- a+d No--! o79 cit9! $5$9 AFN''&B9 Ba+te@as! -oc9 cit9! 5J)9 AFN'''B9 Prosecutor " De-a-ic! T,! '4 No"em#er 'JJ%! ,ase No9 IT2J42$'! 7ara9 )&&9 AFN''$B9 Prosecutor " De-a-ic! T,! '4 No"em#er 'JJ%! ,ase No9 IT2J42$'! 7ara9 )&&9 O+ the thesis that the -e6a- requireme+t of causatio+ has #ee+ o"ercome # the +eeds of a 7o-ic of deterre+ce Fthe more remo"ed a su7erior is from the sce+e of the crime! the more difficu-t it is to 7ro"e the causa- +e=usG see Bassiou+i O /a+i@as! o79 cit9! (5&! ,9 Bassiou+i! ,rimes a6ai+st *uma+it i+ I+ter+atio+a- ,rimi+a- La: F'JJ$G (<$9 AFN''(B9 Prosecutor " De-a-ic! T,! '4 No"em#er 'JJ%! ,ase No9 IT2J42$'! 7ara9 (J<9 AFN'')B9 Trechse- a+d No--! o79 cit9! <<9 AFN''5B9 See 1909 Scha#as i+ O9 Triffterer Fed9G! ,omme+tar o+ the Rome Statute of the I+ter+atio+a,rimi+a- ,ourt F'JJJG ''5! 7ara9 '59 AFN''4B9 The 7rosecutor " 3ea+ Pau- 0@a esu! T,! $ Se7tem#er 'JJ%! ,ase No9 I,TR2J42)2T9 AFN''<B9 Statute of the I,TR! artic-es ' a+d )9 AFN''%B9 UN Secretar Ie+era-;s re7ort o+ the R:a+da Statute! UN doc9 S/'JJ5/'()! at (! 7ara9 '$9
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AFN''JB9 The 7rosecutor " 3ea+ Pau- 0@a esu! T,! $ Se7tem#er 'JJ%! ,ase No9 I,TR2J42)2T! 7ara9 )J$9 AFN'$&B9 Prosecutor " .ordic a+d ,er@eH! $4 Fe#ruar $&&'! T,! ,ase No9 IT2J52')/$! IT2J52')/$! 7ara9 (<'! Prosecutor " De-a-ic! 0,! $& Fe#ruar $&&'! ,ase No9 IT2J42$'! 7ara9 <(4: ;7roof of acti"e 7artici7atio+ # a su7erior i+ the crimi+a- acts of su#ordi+ates adds to the 6ra"it of the su7erior;s fai-ure to 7re"e+t or 7u+ish those acts a+d ma therefore a66ra"ate the se+te+ce9; AFN'$'B9 B;tse-em! see +9$& a#o"e! i+ cha7ter '9 AFN'$$B9 09 39 ?e+ter! ;I+de7e+de+ce o+ the Border: the South Le#a+ese 0rm Toda ; F'J%JG $$ I+ter+atio+aDefe+ce Re"ie: J'5! 0ffida"it of IDF Bri6adier Ie+9 D9 *a-utH! see +9$< a#o"e! 7ara9 (J9 AFN'$(B9 R9 Ber6ma+! ;Tha+@s for Your ,oo7eratio+;! *a;aretH! $& Octo#er 'JJJ! *R1! ;Israe-/Le#a+o+: 7erso+a +o+ 6rata;! 3u- 'JJJ! ( of ,ha7ter III9 AFN'$)B9 See Sectio+ (9' of this 7a7er9 For a more detai-ed qua-ificatio+ of the co+f-ict see 0r+o-d! -oc9 cit9 a+d Tur+s! -oc9 cit9! See a-so ,9 Iree+:ood! ;The Sco7e of 077-icatio+ of *uma+itaria+ La:;! i+ D9 F-ec@ Fed9G! The *a+d#oo@ of *uma+itaria+ La: i+ 0rmed ,o+f-icts F'JJJG )%: ;0rtic-e ( is #road e+ou6h to co"er a co+f-ict #et:ee+ differe+t re#e- 6rou7s9; /oreo"er the T, i+ 0@a esu he-d that art9 ) of the I,TR Statute! :hich e+com7asses #reaches of commo+ artic-e ( to the Ie+e"a ,o+"e+tio+s! a-so a77-ies to ci"i-ia+s :ho are acti"e- su77orti+6 the :ar effort9 Prosecutor " 0@a esu! T,! $ Se7tem#er 'JJ%! ,ase No9 I,TR2J42)2T! 7ara9 4)&9 AFN'$5B9 Prosecutor " De-a-ic! 0,! $& Fe#ruar $&&'! ,ase No9 IT2J42$'! 7ara9 $<)! art9 $% I,,9 AFN'$4B9 Prosecutor " De-a-ic! '4 No"em#er 'JJ%! ,ase No9 IT2J42$'! 7aras (5)! <(59 Prosecutor " .ordic a+d ,er@eH! $4 Fe#ruar $&&'! T,! ,ase No9 IT2J52')/$! 7aras )'49 Precede+ts ho-di+6 that a-so ci"i-ia+s ma #e -ia#-e as comma+ders are Prosecutor " 0-e@so"s@i! T,! $5 3u+e 'JJJ! ,ase No9 IT2J)2 ')/'20! 7ara9 <%! The Prosecutor " 3ea+ Pau- 0@a esu! T,! $ Se7tem#er 'JJ%! ,ase No9 I,TR2J42)2T! 7ara9 $'! a+d Prosecutor " .ordic a+d ,er@eH! $4 Fe#ruar $&&'! T,! ,ase No9 IT2J52')/$! 7aras )'4ss/ art9 $% I,, Statute9 AFN'$<B9 See 1i--iam 39 Fe+ric@ i+ O9 Triffterer Fed9G! o79 cit9! 5$&! Ire6 R9 ?etter! ;,omma+d Res7o+si#i-it of No+2mi-itar Su7eriors i+ the I+ter+atio+a- ,rimi+a- ,ourt FI,,G; F$&&&G F$5G Y3IL %J9 AFN'$%B9 See +9'$$9 AFN'$JB9 The ,omme+tar to art9 ( +ame- states that the 7ro"isio+ o+- a77-ies to co+f-icts of a +o+2 i+ter+atio+a- character! i9e9 co+f-icts i+"o-"i+6 a 7art i+ re"o-t :ho 7ossesses a+ or6a+iHed mi-itar force! a+ authorit res7o+si#-e for its acts! acti+6 :ithi+ a determi+ate territor a+d ha"i+6 the mea+s of res7ecti+6 a+d e+suri+6 res7ect for the co+"e+tio+9 39 Pictet! ,omme+tar to the I Ie+e"a ,o+"e+tio+ F'J4&G at )J9 0s i+dicated a#o"e! the SL0 :as a+ or6a+iHed force! -ed # a comma+di+6 Ie+era- a+d i+ co+troof the south of Le#a+o+9 AFN'(&B9 Prosecutor " De-a-ic! '4 No"em#er 'JJ%! ,ase No9 IT2J42$'! 7ara9 (549 The ,omme+tar to art9 $% of the I,, Statute +ame- states that: ;a mi-itar comma+der is usua-- a mem#er of the armed forces of a 7art to a co+f-ict :ho is assi6+ed to or :ho has assumed comma+d o"er o+e or more u+its of the armed forces9; F7ara9 5'<G ;Para6ra7h FaG Aof art9 $% I,, StatuteB refers to mi-itar or quasi2mi-itar re-atio+shi7s :here# 7erso+s e=ercise comma+d o"er forces9 Para6ra7h F#G refers to su7erior a+d su#ordi+ate re-atio+shi7s of a +o+2mi-itar +ature such as those i+ the +o+2mi-itar com7o+e+ts of 6o"er+me+t! 7o-itica- 7arties or #usi+ess9; See Fe+ric@ i+ O9 Triffterer Fed9G! o79 cit9! at 5'<! 5$&! 7ara9 '59
Pa6e $J
AFN'('B9 0ccordi+6 to the ,omme+tar to the I,, Statute! 7erso+s effecti"e- acti+6 as comma+ders u+der art9 $%FaG ma #e 7o-ice officers i+ comma+d of armed 7o-ice u+its! 7erso+s res7o+si#-e for 7arami-itar u+its +ot i+cor7orated i+to the armed forces! a+d 7erso+s :ho ha"e assumed de facto co+tro- o"er the armed forces! armed 7o-ice u+its! or 7arami-itar u+its9 The re-e"a+t criterio+ is that ;such armed forces sha-- #e su#8ect to a+ i+ter+a- disci7-i+ar s stem :hich sha-- e+force com7-ia+ce :ith i+ter+atio+a- huma+itaria+ -a:9; See Fe+ric@! i#id9! 5'%9 AFN'($B9 0m+est ! -oc9 cit9! see +9$5 a#o"e! %9 AFN'((B9 Bur+ett! -oc9 cit9! ')5! T9 1u! ;,rimi+a- Lia#i-it for the 0ctio+s of Su#ordi+ates 2 the Doctri+e of ,omma+d Res7o+si#i-it a+d its 0+a-o6ous i+ U+ited States -a:; F'JJ<G F(%G *IL3 $J$! Prosecutor " 0-e@so"s@i! T,! $5 3u+e 'JJJ! ,ase No9 IT2J)2')/'20! 7aras <(! Prosecutor " De-a-ic! '4 No"em#er 'JJ%! ,ase No9 IT2J42$'! 7ara9 (5)/4)<! Prosecutor " .ordic a+d ,er@eH! $4 Fe#ruar $&&'! T,! ,ase No9 IT2J52 ')/$! 7ara9 (4J9 AFN'()B9 Prosecutor " .ordic a+d ,er@eH! $4 Fe#ruar $&&'! T,! ,ase No9 IT2J52')/$! 7ara9 )$$9 AFN'(5B9 Ber6ma+! ;Tha+@s for our 999;! -oc9 cit9! at Uhtt7:// outof@hiam9tri7od9com/*ashem0@e-9htmV9 0ffida"it! see +9$< a#o"e! 7ara9 (J9 AFN'(4B9 See /r9 Lamda+;s 7ositio+ FIsrae-i de-e6atio+G at the '4<<th meeti+6 #et:ee+ Israe- a+d the UN *uma+ Ri6hts ,ommittee! UN doc9 ,,PR/,/SR9'4<< FSummar RecordG at 7ara9 $) : ;Israe- had +o effecti"e co+tro- or 8urisdictio+ o"er the 7eo7-e of souther+ Le#a+o+9 Such co+tro- :as e=ercised # Ie+era- Lahad! the head of the Souther+ Le#a+ese 0rm ! :ho :as res7o+si#-e for the 7riso+s i+ the area9; See a-so E-isa#eth Le" ! ;Pour -a 7remi`re fois -e ,I,R 7eut "isiter -a 7riso+ de .hiam! da+s -e sud du Li#a+;! Le +ou"eau quotidie+! '' Octo#er 'JJ5: ;,o+tre toute S"ide+ce! -es IsraS-ie+s 7ersiste+t ] affirmer que -a Ho+e +e re-`"e 7as de -eur ressort9 ,o+cer+a+t .hiam! i-s se so+t tou8ours dSdoua+Ss e+ affirma+t que -a 7riso+ Stait 7-acSe sous -a res7o+sa#i-itS d;0+toi+e Lahad9; AFN'(<B9 Da"id Rud6e! ;W F+ame omittedG Re-eases 1ou-d2#e 0ssassi+;! The 3erusa-em Post! ) Se7tem#er 'JJ%9 AFN'(%B9 See the artic-e ;*uma+ Pa:+s i+ a Sordid Iame;! Time /a6aHi+e! '4 3uUhtt7://outof@hiam9tri7od9com/Time['JJ&9htmV9 'JJ&! at
AFN'(JB9 Prosecutor " De-a-ic! T,! '4 No"em#er 'JJ%! ,ase No9 IT2J42$'! 7ara9 4)%! referri+6 to the *osta6e ,ase: ;The matter of su#ordi+atio+ of u+its as a #asis of fi=i+6 crimi+a- res7o+si#i-it #ecomes im7orta+t i+ the case of a mi-itar comma+der ha"i+6 so-e- a tacticacomma+d9 But as to the comma+di+6 6e+era- of occu7ied territor :ho is char6ed :ith mai+tai+i+6 7eace a+d order! 7u+ishi+6 crime a+d 7rotecti+6 -i"es a+d 7ro7ert ! su#ordi+atio+ are re-ati"e- u+im7orta+t9 *is res7o+si#i-it is 6e+era- a+d +ot -imited to a co+troof u+its direct- u+der his comma+d9; Prosecutor " De-a-ic! 0,! $& Fe#ruar $&&'! ,ase No9 IT2J42$'! 7ara9 $5%9 Sa+doH et a-9! o79 cit9! 7ara9 (555! Ba+te@as! -oc9 cit9! 5%&25%4! Bur+ett! -oc9 cit9! '')! '('9 See ho:e"er Par@s! -oc9 cit9! %4! accordi+6 to :hom this 7ri+ci7-e :as +o -o+6er acce7ted # customar -a:9 AFN')&B9 The -e6a- #asis for determi+i+6 :hether a+ area is occu7ied territor ! is art9 )$ of the *a6ue Re6u-atio+s of 'J&< a+d commo+ art9 $ of the four I,s! +o: 7art of customar -a:9 O+ the 7rese+ce of Israea+d the SL0 amou+ti+6 to occu7atio+! see B;tse-em! +9$& a#o"e! at ''9 AFN')'B9 0m+est ! -oc9 cit9! see +9$5 a#o"e! %! 0ffida"it! see +9$< a#o"e! 7ara9 )%9
Pa6e (&
AFN')$B9 Prosecutor " De-a-ic! 0,! $& Fe#ruar $&&'! ,ase No9 IT2J42$'! 7ara9 'J<9 AFN')(B9 0m+est ! -oc9 cit9! see +9$5 a#o"e! %9 AFN'))B9 Prosecutor " De-a-ic! T,! '4 No"em#er 'JJ%! ,ase No9 IT2J42$'! 7ara9 4)%/ Prosecutor " De-a-ic! 0,! $& Fe#ruar $&&'! ,ase No9 IT2J42$'! 7ara9 $4(9 AFN')5B9 Prosecutor " De-a-ic! T,! '4 No"em#er 'JJ%! ,ase No9 IT2J42$'! 7ara9 <J4! Prosecutor " De-a-ic! 0,! $& Fe#ruar $&&'! ,ase No9 IT2J42$'! 7ara9 $449 AFN')4B9 See Prosecutor " De-a-ic! T,! '4 No"em#er 'JJ%! ,ase No9 IT2J42 $'! 7ara9 %'&! :hich reached this co+c-usio+ i+ re6ard of *aHim De-ic9 AFN')<B9 Prosecutor " De-a-ic! '4 No"em#er 'JJ%! ,ase No9 IT2J49$'! 7ara9 (%(9 09P9?9 Ro6ers! La: o+ the Batt-efie-d F'JJ4G '($! Ba+te@as! -oc9 cit9! 5J&9 B i+direct i+te+t he mea+s do-us e"e+tua-is! i9e9 those circumsta+ces i+ :hich the 7rosecuted has +o :i-fu- i+te+t to 7er7etrate the acts #ut +e"erthe-ess fai-s to ta@e 7re"e+ti"e measures +ot:ithsta+di+6 the @+o:-ed6e of the ris@9 See No-- a+d Trechse-! o79 cit9! %$9 O+ the issue of +e6-i6e+ce! see Prosecutor " De-a-ic! T,! '4 No"em#er 'JJ%! ,ase No9 IT2J42$'! 7ara9 ($% a+d (J$! a+d Prosecutor " 0@a esu! 7ara9 )%J! a+d Prosecutor " /usema! 7ara9 '('! i+dicati+6 that +e6-i6e+ce ma #e a #asis for 7rosecuti+6 :here this is so serious that it is ta+tamou+t to acquiesce+ce or e"e+ ma-icious i+te+t9 AFN')%B9 The I,TY re8ected the strict -ia#i-it test i+ Prosecutor " .ordic a+d ,er@eH! $4 Fe#ruar $&&'9 T,! ,ase No9 IT2J52')/$! 7ara9 (4J! a+d Prosecutor " De-a-ic! 0,! $& Fe#ruar $&&'! ,ase No9 IT2J42$'! 7ara9 $(J9 AFN')JB9 Prosecutor " De-a-ic! '4 No"em#er 'JJ%! ,ase No9 IT2J42$'! 7ara9 (%(/ Differe+t sta+dards ma a77- to ci"i-ia+ comma+ders! as i+ art9 $% F#G of the I,, Statute9 *o:e"er! the sco7e of our a+a- sis :i-- #e restricted to the mi-itar comma+ders of the IDF a+d the SL09 /em#ers of the ISS :i-- a-so #e co+sidered as 7art of the mi-itar # "irtue of the hierarchica- structure of the cor7s9 O+ this issue see ?etter! -oc9 cit9! %J9 AFN'5&B9 Prosecutor " De-a-ic! '4 No"em#er 'JJ%! ,ase No9 IT2J42$'! 7ara9 (%J! Prosecutor " B-as@ic! T,! ( /arch $&&&! ,ase No9 IT2J52')! 7ara9 ('49 AFN'5'B9 Prosecutor " De-a-ic! '4 No"em#er 'JJ%! ,ase No9 IT2J42$'! 7ara9 (%49 AFN'5$B9 See the $) /a $&&& issue of The Iuardia+! '): ;.hiam is c-ose to the 8oi+t headquarters of the Israe-is a+d SL0 i+ /ar8a ou+! Eca7ita-E of the stri79; Da"id Rud6e! ;Lahad Re-eases 1ou-d2#e 0ssassi+;! The 3erusa-em Post! ) Se7tem#er 'JJ%: ;Bishara! a commu+ist acti"ist! shot Lahad o+ No"em#er < 'J%%! at his house i+ /ar8;a ou+9; AFN'5(B9 0ffida"it! see +9$< a#o"e! 7ara9 5'9 AFN'5)B9 0m+est ! -oc9 cit9! see +9$'! '49 AFN'55B9 See +9J< a#o"e9 AFN'54B9 Prosecutor " De-a-ic! T,! '4 No"em#er 'JJ%! ,ase No9 IT2J42$'! 7ara9 (%(/(J&/ Prosecutor " B-as@ic! T,! ( /arch $&&&! ,ase No9 IT2J52')! 7ara9 ('&9 AFN'5<B9 Prosecutor " De-a-ic! '4 No"em#er 'JJ%! ,ase No9 IT2J42$'! 7ara9 (J(! Prosecutor " De-a-ic! 0,! $& Fe#ruar $&&'! 7ara9 $($! Prosecutor " B-as@ic! T,! ( /arch $&&&! ,ase No9 IT2J52')! 7ara9 ('&! Prosecutor " .ordic a+d ,er@eH! $4 Fe#ruar $&&'! T,! ,ase No9 IT2J52')/$! 7ara9 )()/)(<9
Pa6e ('
AFN'5%B9 ,ross refere+ce i+ Prosecutor " .ordic a+d ,er@eH! $4 Fe#ruar $&&'! T,! ,ase No9 IT2J52')/$! 7ara9 )(49 AFN'5JB9 0mo+6 ear- artic-es i+dicati+6 the use of torture at .hiam! see R9 Fis@! ;Tortured SL0 ,a7ti"es ma #e Li+@ed to *osta6e Dea-D Dea- to Free 1ester+ers *e-d i+ Le#a+o+;! The Times! '' 0u6ust 'JJ%9 I+ this artic-e Fis@ o#ser"es that UN troo7s re7orted screams comi+6 from the 7riso+9 See a-so R9 Fis@! ;Torture i+ Souther+ Le#a+o+D Shias Descri#e Priso+ Terror;! The Times! $ /arch 'J%<9 For the Israe-i Press! see 09La"ie! ;It is Our Priso+;! *a;aretH! $( Se7tem#er 'JJJ! Editoria-! *a;aretH! (& Se7tem#er 'JJJ! ;0 Priso+ 1ithout a State;! B9 /ichae-! ;The Shame of .hiam;! Yediot 0hro+ot! '5 Octo#er 'JJJ! a-- at Uhtt7://outof@hiam9tri7od9com/our7riso+9htmV9 AFN'4&B9 O+e e=am7-e is the artic-e :ritte+ # Rud6e! -oc9 cit9 AFN'4'B9 See +9$&5 #e-o:9 AFN'4$B9 Fis@! ;Tortured SL0 999;! -oc9 cit9! 0m+est ! ;Ur6e+t 0ctio+ .hiam;! $< Octo#er 'JJJ! /DE '5/<5/JJ/ B;tse-em! see +otes $& a+d (& a#o"e9 The Pu#-ic ,ommittee 06ai+st Torture i+ Israe-! RE: Fear of Torture a+d the De7ri"atio+ of Le6a- Re7rese+tatio+ Detai+ees i+ 0-2.hiam Priso+ i+ the South Le#a+o+ Securit Mo+e! 'J Se7tem#er 'JJJ! o+ fi-e :ith the author9 See for e=am7-e 0m+est ! ;Ora- stateme+t to the UN ,ommissio+ o+ *uma+ Ri6hts o+ the Israe-i Occu7ied Territories;! /DE '5/&(/J5! ' Fe#ruar 'JJ59 AFN'4(B9 See a-so 06e+ce Fra+ce Press! $% Se7tem#er 'JJJ! ;Israe- Trai+s SL0 i+ Priso+ I+terro6atio+ /ethods: Re7ort9; AFN'4)B9 B;tse-em! see +9$& a#o"e! cha7ter ) FE=tract from Ro+e+ Ber6ma+! ;O.9 0#a+do+ Us!; *a;aretH! $& Octo#er 'JJJG: ;the curre+t comma+der of SL0;s :ester+ #ri6ade a+d head of its securit a77aratus! ,o-9 0@e*ashem! i+ a+ i+ter"ie: :ith *a;aretH! esse+tia-- admitted that torture is used a6ai+st detai+ees i+ the 7riso+9; AFN'45B9 See B-a+che! -oc9 cit9! )'(: ;The SL0 had 4$ 7erma+e+t 7ositio+s from :hich it co+tro--ed the mo"eme+t of 7eo7-e a+d 6oods i+ the securit Ho+e9; SuHa++e Io-de+#er6! ;Le#a+o+ ,hief /o"es to Stem SL0 E=odus;! The Iuardia+! ) 07ri$&&&! at Uhtt7:// :::96uardia+u+-imited9co9u@/israe-/Stor /&!$<4(!'%&)&<!&&9htm-V9 AFN'44B9 ,riteria such as the ra+@ or the e=7erie+ce of the comma+der! the siHe of his staff! the commu+icatio+ a#i-ities a+d the com#at situatio+ ca+ #e co+sidered to esta#-ish co+structi"e @+o:-ed6e9 Par@s! -oc9 cit9! '&)9 AFN'4<B9 Prosecutor " De-a-ic! T,! '4 No"em#er 'JJ%! ,ase No9 IT2J42$'! 7ara9 <<&9 AFN'4%B9 See Fis@! ;Tortured SL0 999;! -oc9 cit9 AFN'4JB9 0m+est ! -oc9 cit9! see +9$5 a#o"e9 AFN'<&B9 0rie Da a+! ;Israe- is the So"erei6+ i+ South Le#a+o+9 There are Docume+ts;! *a;aretH! % No"em#er 'JJJ! at Uhtt7:// outof@hiam9tri7od9com/#a6atH&%''9htmV9 AFN'<'B9 0rt9 )(! 0++e= to the I? *a6ue ,o+"e+tio+ of 'J&<! The *i6h ,omma+d case! see +945 a#o"e9 AFN'<$B9 I+ casu :e are +ame- dea-i+6 :ith a+ act of omissio+! i9e9 a+ ;U+ter-assu+6sde-i@t; i+ the S:iss2 Ierma+ doctri+e9 See No-- a+d Trechse-! o79 cit9! J'9
Pa6e ($
AFN'<(B9 0s stated i+ the .aha+ Re7ort! c-aimi+6 that those :ho @+e: of the da+6ers i+"o-"ed shou-d ha"e :ar+ed IDF su7eriors at the i+ce7tio+ of the decisio+ to -et the Pha-a+6ists mo"e i+to the cam7s9 See the .aha+ Re7ort! +9J$ a#o"e! 5&<! i+ re6ard of /a89 Yehoshua Sa6u 9 AFN'<)B9 Prosecutor " 0-e@so"s@i! T,! $5 3u+e 'JJJ! ,ase No9 IT2J)2')/'2 0! 7ara9 %'! Prosecutor " De-a-ic! '4 No"em#er 'JJ%! ,ase No9 IT2J42$'! 7ara9 (J59 AFN'<5B9 Ba+te@as! -oc9 cit9! 5J'! Iree+! ;Su7erior Orders a+d ,omma+d Res7o+si#i-it ; F'J%JG WW?II ,a+adia+ Year#oo@ of I+ter+atio+a- La: $&&! The Prosecutor " 3ea+ Pau- 0@a esu! T,! $ Se7tem#er 'JJ%! ,ase No9 I,TR2J42)2T! 7ara9 )49 AFN'<4B9 Prosecutor " B-as@ic! T,! ( /arch $&&&! ,ase No9 IT2J52')! 7ara9 ((59 AFN'<<B9 Prosecutor " B-as@ic! T,! ( /arch $&&&! ,ase No9 IT2J52')! 7ara9 <()9 AFN'<%B9 0m+est ! -oc9 cit9! see +9$' a#o"e! '49 AFN'<JB9 Prosecutor " .ordic a+d ,er@eH! $4 Fe#ruar $&&'! T,! ,ase No9 IT2J52')/$! 7ara9 )''9 AFN'%&B9 I+ re-atio+ to the res7o+si#i-it of IDF su7eriors for the misco+duct of IDF su#ordi+ates :ho 7artici7ated i+ the i+terro6atio+s! co+c-usio+s a+a-o6ous to those reached i+ re6ard of SL0 for their su#ordi+ates ca+ #e dra:+9 AFN'%'B9 See the structure of the IDF at Uhtt7:// :::9idf9i-/e+6-ish/or6a+iHatio+/struct9stmV9 AFN'%$B9 0ffida"it! see +9$<! 7ara9 5'9 AFN'%(B9 The /ossad! o+ the other ha+d! :as a--e6ed to ha"e #ee+ the -iaiso+ #et:ee+ the 6rou7 a+d Israe-9 The Director of the /i-itar I+te--i6e+ce a+d the head of the /ossad :ere fou+d i+direct- res7o+si#-e for ha"i+6 disre6arded the ris@s of crimes #ei+6 committed :he+ the authoriHed the Pha-a+6ists to e+ter the cam7s! as :e-- as for ha"i+6 fai-ed to order a77ro7riate measures for 7re"e+ti+6 these9 .aha+ Re7ort! see +9J$ a#o"e! )<(! 5&$25&(9 L9 /a-o+e! ;The .aha+ Re7ort! 0rie- Sharo+ a+d the Sa#ra2Shati--a /assacres i+ Le#a+o+: Res7o+si#i-it U+der I+ter+atio+a- La: for /assacres of ,i"i-ia+ Po7u-atio+s; F'J%5G $ Utah La: Re"ie: (%J9 AFN'%)B9 0ffida"it! see +9$< a#o"e! 7ara9 (J9 AFN'%5B9 T9 /ero+! ;,-assificatio+ of 0rmed ,o+f-icts i+ the Former Yu6os-a"ia: Nicara6ua;s Fa--out; F'JJ%G J$ 03IL $(49 Prosecutor " Tadic! Se7arate a+d Disse+ti+6 O7i+io+ of 3ud6e /cDo+a-d re6ardi+6 the a77-ica#i-it of 0rtic-e $ of the Statute! < /a 'JJ<! ,ase IT2J)2'2T! i+ 'JJ<F(4G IL/ J<<! 7ara9 $<: ;I+ comi+6 to its u-timate co+c-usio+! the ma8orit o7i+io+ fai-s to 6i"e a77ro7riate :ei6ht to the u+ique circumsta+ces the Tria,ham#er is faced :ith 6i"e+ its 7ositio+ as a+ i+ter+atio+a- crimi+a- tri#u+a- determi+i+6 i+di"idua- 2 as o77osed to State 2 res7o+si#i-it 9 This 7ro#-em 7ermeates the e+tire a+a- sis! #e6i++i+6 :ith the ma++er i+ :hich the issue is i+itia-- framed as o+e of Eim7uta#i-it E! :hich the ma8orit c-ear- +otes re-ates to Ede-i+que+c E a+d the Eattri#utio+ of #reach a+d -ia#i-it E to a State9 0 determi+atio+ of im7uta#i-it :as a77ro7riate i+ Nicara6ua! :here the mo"i+6 7art sou6ht to determi+e fau-t a+d -ia#i-it of a State for the acts of the co+tras as a6ai+st the U+ited States! #ut is +ot suita#-e here! :here the issue of res7o+si#i-it is so-e- for the 7ur7ose of ide+tif i+6 the occu7 i+6 7o:er9 This is reco6+iHed e"e+ # the ma8orit ! :hich +otes that Nicara6ua E:as co+cer+ed u-timate- :ith the res7o+si#i-it of a State for the #reach! i+ter a-ia! of ru-es of i+ter+atio+a- huma+itaria+ -a:! :hi-e the i+sta+t case is co+cer+ed u-timate- :ith the res7o+si#i-it of a+ i+di"idua- for the #reach of such ru-esE;9
Pa6e ((
AFN'%4B9 .aha+ Re7ort! see +9 J$ a#o"e! 5&$25&(9 For critiques of the fi+di+6s! see /a-o+e! -oc9 cit9! (%)!(%J! Iree+! ;1ar ,rimes! ,rimes 06ai+st *uma+it a+d ,omma+d Res7o+si#i-it ;! i+ Iree+ Fed9G! Essa s o+ the /oder+ La: of 1ar F$+d ed9! 'JJJG (&%9 AFN'%<B9 Prosecutor " B-as@ic! T,! ( /arch $&&&! ,ase No9 IT2J52')! 7ara9 (('9 AFN'%%B9 Prosecutor " De-a-ic! 0,! $& Fe#ruar $&&'! ,ase No9 IT2J42$'! 7ara9 $5%: ;The 077ea-s ,ham#er co+curs :ith the "ie: of the Tria- ,ham#er that the *osta6e case is #ased o+ a disti+ctio+ i+ i+ter+atio+a- -a: #et:ee+ the duties of a comma+der for occu7ied territor a+d comma+ders i+ 6e+era- 9999 The authorit of such a comma+der Fi+ occu7ied territor G is to a -ar6e e=te+t territoria-! a+d the duties a77- i+6 i+ occu7ied territor are more o+erous a+d far reachi+6 tha+ those a77- i+6 to comma+ders 6e+era-- 9; AFN'%JB9 Prosecutor " De-a-ic! 0,! $& Fe#ruar $&&'! ,ase No9 IT2J42$'! 7ara9 (&(: ;it is 7ossi#-e to ima6i+e sce+arios i+ :hich o+e of t:o 7erso+s of equastatus or ra+@ 2 such as t:o so-diers or t:o ci"i-ia+ 7riso+ 6uards 2 cou-d i+ fact e=ercise Eeffecti"e co+tro-E o"er the other at -east i+ the se+se of 7ure- 7ractica- a#i-it to 7re"e+t the co+duct of the other # ! for e=am7-e! force of 7erso+a-it or 7h sica- stre+6th9; AFN'J&B9 Bur+ett! -oc9 cit9! ')5! 1u! -oc9 cit9! $J$! Prosecutor " 0-e@so"s@i! T,! $5 3u+e 'JJJ! ,ase No9 IT2J)2 ')/'20! 7aras <(! Prosecutor " De-a-ic! '4 No"em#er 'JJ%! ,ase No9 IT2J42$'! 7aras (5)! 4)<9 AFN'J'B9 B;tse-em! see +9$& a#o"e! '59 AFN'J$B9 UN doc9 E/,N)/$&&&/)! ;,i"i- a+d Po-itica- Ri6hts! I+c-udi+6 Tuestio+s of: Torture a+d Dete+tio+;! $% Decem#er $&&&! 7ara9 '%9 AFN'J(B9 0ffida"it! see +9$< a#o"e! 7ara9 )'9 AFN'J)B9 I#id9! 7ara9 549 AFN'J5B9 I#id9! 7aras ))2)59 BB, Ne:s! ;1or-d: /idd-e East! Israe- 0--o:s First Priso+ ?isits i+ /o+ths;! J 3u- 'JJ%! at Uhtt7:// +e:s9##c9co9u@/hi/e+6-ish/:or-d/midd-e[east/+e:sid['$J&&&/'$J4(59stmV9 AFN'J4B9 Prosecutor " De-a-ic! 0,! $& Fe#ruar $&&'! ,ase No9 IT2J42$'! 7ara9 $449 AFN'J<B9 0ffida"it! see +9$< a#o"e! 7ara9 ))9 AFN'J%B9 0ccordi+6 to 0m+est ! some detai+ees :ere mo"ed from .hiam to Israe-i dete+tio+ faci-ities for further i+terro6atio+ # Israe-i i+te--i6e+ce officers #efore #ei+6 retur+ed to .hiam9 0m+est ! -oc9 cit9! see +9$5 a#o"e! ')9 The 7o:er to decide a#out the tra+sfer of detai+ees a+d their re-ease :as co+sidered as a+ e-eme+t i+dicati+6 e=ercise of comma+d res7o+si#i-it 9 Prosecutor " De-a-ic! 0,! $& Fe#ruar $&&'! ,ase No9 IT2J42$'! 7ara9 $&49 AFN'JJB9 0ffida"it! see +9$< a#o"e! 7ara9 )&9 AFN$&&B9 Prosecutor " De-a-ic! '4 No"em#er 'JJ%! ,ase No9 IT2J42$'! 7ara9 4<%9 AFN$&'B9 R9 Fis@! ;Torture i+ Souther+ Le#a+o+ 999;! -oc9 cit9 AFN$&$B9 I#id9
Pa6e ()
AFN$&(B9 0m+est ! -oc9 cit9! see +9$5 a#o"e! '&2''9 AFN$&)B9 I#id9! '!J!''9 AFN$&5B9 0ffida"it! see +9$< a#o"e! 7ara9 5&9 Refere+ce is made to the affida"it of S9B9 F+ame omittedG! :ho dec-ared that she :as i+terro6ated # Israe-is i+ 'JJ$9 See N9 B-a+ford! ;Si6htseers Disco"er the *orrors of .hiam Priso+;9 The Times! $5 /a $&&&9 AFN$&4B9 0ffida"it! see +9$< a#o"e! 7ara9 5$9 AFN$&<B9 R9 Fis@! ;.hiam 3ai-! :here Torture is Routi+e a+d # Remote ,o+tro-;! The I+de7e+de+t! $& /a $&&&! at Uhtt7// :::9moqa:ama9or6/hosta6es/doc$&&&/torture9htmV9 R9 Fis@9 ;Betra ed! Beate+ a+d Bur+t # the *ated Eco--a#oratorsE;! The I+de7e+de+t! (& 0u6ust 'JJJ! '( Fi+ -e=is +e=isG9 /arti+ 0sser! ;0+a- sis: Ro-e of the SL0;! BB, Ne:s O+-i+e9 $( /a $&&&9 at Uhtt7://+e:s9##c9co9u@/hi/e+6-ish/:or-d/midd-e[east/+e:sid[ <4&&&&/<4&J')9stmV9 AFN$&%B9 0m+est ! -oc9 cit9! see +9$5 a#o"e9 AFN$&JB9 The issui+6 of questio+s to #e as@ed ma #e i+ter7reted as a directi"e9 0ccordi+6 to the ,omme+tar to the Rome Statute! a su7erior has effecti"e authorit a+d co+tro- o"er su#ordi+ates :he+ he has the authorit to issue directi"es to su#ordi+ates to 7erform certai+ :or@ or :or@ re-ated acti"ities9 See Fe+ric@! i+ O9 Triffterer Fed9G! o79 cit9! 5$'! 7ara9 '%9 AFN$'&B9 0ffida"it! see +9$< a#o"e! 7ara9 5)9 AFN$''B9 Prosecutor " /usema! T,! $< 3a+uar $&&&! ,ase No9 I,TR2J42'(! 7ara9 %%&9 AFN$'$B9 Prosecutor " 0-e@so"s@i! T,! $5 3u+e 'JJJ! ,ase No9 IT2J)2')/'2 0! 7ara9 '&49 AFN$'(B9 ,ommissio+ o+ *uma+ Ri6hts! UN doc9 E/,N9)/$&&&/)! $% Decem#er 'JJJ! 7ara9 '49 See a-so artic-es )$ a+d )( of the Re6u-atio+s a++e=ed to the 'J&< *a6ue ,o+"e+tio+ FI?G Res7ecti+6 the La:s a+d ,ustoms of 1ar o+ La+d! a+d commo+ art9 $ to the 'J)J Ie+e"a ,o+"e+tio+s! accordi+6 to :hich :hat is re-e"a+t to determi+e occu7atio+ is the de facto 7rese+ce of a+ arm i+ a forei6+ territor ! i+de7e+de+t- from :hether the reaso+s for it are #e--i6ere+t or +ot9 AFN$')B9 ,ommissio+ Re7ort! see +9J$ a#o"e! )J4: ;If the territor of 1est Beirut ma #e "ie:ed at the time of the e"e+ts as occu7ied territor 2 a+d :e do +ot determi+e that such i+deed is the case from a -e6a- 7ers7ecti"e 2 the+ it is the dut of the occu7ier! accordi+6 to the ru-es of usua- a+d customar i+ter+atio+a- -a:! to do a-- it ca+ to e+sure the 7u#-ic;s :e--2#ei+6 a+d securit 9 E"e+ if these -e6a- +orms are i+"a-id re6ardi+6 the situatio+ i+ :hich the Israe-i 6o"er+me+t a+d the forces o7erati+6 at its i+structio+s fou+d themse-"es at the time of the e"e+ts! sti--! as far as the o#-i6atio+s a77- i+6 to e"er ci"i-iHed +atio+ a+d the ethica- ru-es acce7ted # ci"i-iHed 7eo7-es 6o! the 7ro#-em of i+direct res7o+si#i-it ca++ot #e disre6arded9; AFN$'5B9 The situatio+ duri+6 the e"e+ts of Sa#ra a+d ,hati-a i+ the #e6i++i+6 of the Ei6hties a+d the more rece+t co+f-ict i+ South Le#a+o+ had ma+ simi-arities! +ot:ithsta+di+6 the reductio+ of the IDF;s 7rese+ce i+ the area9 AFN$'4B9 Prosecutor " De-a-ic! '4 No"em#er 'JJ%! ,ase No9 IT2J42$'! 7ara9 4)J9 ,o+firmed i+ the 077ea3ud6me+t! at 7ara9 $5%9 AFN$'<B9 Prosecutor " De-a-ic! '4 No"em#er 'JJ%! ,ase No9 IT2J42$'! 7ara9 4)J! co+firmed i+ the 077ea-
Pa6e (5
3ud6me+t at 7ara9 $5%9 AFN$'%B9 0ffida"it! see +9$< a#o"e! 7ara9 '%! 0m+est ! -oc9 cit9! see +9$5 a#o"e! J9 AFN$'JB9 *R1! -oc9 cit9! see +9'$( a#o"e! $ of cha7ter III! *R1! -oc9 cit9! see +9() a#o"e! (9 AFN$$&B9 *R1! -oc9 cit9! see +9'$( a#o"e! % of cha7ter III9 AFN$$'B9 The +ame of the so-dier is o+ fi-e at B;tse-em9 *e 6a"e his testimo+ to YeheH@e- Lei+ at B;tse-em;s offices o+ '( Se7tem#er 'JJJ9 B;tse-em! see +9$& a#o"e! ')9 AFN$$$B9 0ffida"it! see +9$< a#o"e! 7ara9 5'9 AFN$$(B9 ?9 Sherr ! ;Torture i+ .hiam Priso+: Res7o+si#i-it a+d 0ccou+ta#i-it ;! 0- *a at! $% Octo#er 'JJJ! at Uhtt7:// :::9hr:9or6/editoria-s/'JJJ/@hiam27riso+9htmV! (9 AFN$$)B9 I#id9! (9 AFN$$5B9 Prosecutor " De-a-ic! 0,! $& Fe#ruar $&&'! ,ase No9 IT2J42$'! 7ara9 (&(9 AFN$$4B9 Prosecutor " De-a-ic! '4 No"em#er 'JJ%! ,ase No9 IT2J42$'! 7ara9 (%(9 AFN$$<B9 0ffida"it! see +9$< a#o"e! 7ara9 5&! 0m+est ! -oc9 cit9! see +9$5 a#o"e! '! (! J! ''! ')9 AFN$$%B9 I#id9! '&!')9 AFN$$JB9 0ffida"it! see +9$< a#o"e! 7ara9 )%! 549 AFN$(&B9 See the -ist of e-eme+ts :hich ma #e used as i+dicia i+ Prosecutor " De-a-ic! '4 No"em#er 'JJ%! ,ase No9 IT2J42$'! 7ara9 (%49 AFN$('B9 0m+est ! -oc9 cit9! see +9$5 a#o"e! (9 AFN$($B9 0m+est ! ;1here is the Door> Letter from a+ 0m+est I+ter+atio+a- De-e6atio+ ?isiti+6 .hiam Dete+tio+ ,e+tre i+ South Le#a+o+;! /a $&&&! /DE '% 0u6ust $&&&! '! E9 Stourto+! ;Israe- accused;! ( No"em#er $&&&! BB, Ne:s o+-i+e at Uhtt7://+e:s9##c9co9u@V! $9 AFN$((B9 0sser! -oc9 cit9! Da"id Rud6e! ;/ordechai: Ira+ armi+6 *iH#u--ah;! The 3erusa-em Post! $' /a 'JJ<9 AFN$()B9 0m+est ! -oc9 cit9! see +9$5 a#o"e! (&! (<9 AFN$(5B9 See for e=am7-e i#id9! Ro+ Be+2Yishai! ;*uma+ Pa:+s i+ a Sordid Iame;! Time /a6aHi+e! '4 3u'JJ&! at Uhtt7://outof@hiam9tri7od9com/Time[ 'JJ&9htmV9 AFN$(4B9 0m+est ! -oc9 cit9! see +9$($ a#o"e! (9 AFN$(<B9 Prosecutor " De-a-ic! '4 No"em#er 'JJ%! ,ase No9 IT2J42$'! 7ara9 (J(9 Prosecutor " De-a-ic! 0,! $& Fe#ruar $&&'! 7ara9 $($9 Prosecutor " B-as@ic! T,! ( /arch $&&&! ,ase No9 IT2J52')! 7ara9 ('&9 Prosecutor " .ordic a+d ,er@eH! $4 Fe#ruar $&&'! T,! ,ase No9 IT2J52')/$! 7ara9 )()/)(<9
Pa6e (4
AFN$(%B9 See +9'5J a#o"e9 AFN$(JB9 See the 7ositio+ of /r Lamda+! i+ UN doc9 ,,PR/,/SR9'4<<! 7ara9 $)9 See a-so the res7o+se of the S7o@es7erso+ of the /i+istr of Defe+ce of the State of Israe- to B;tse-em! $4 Decem#er 'JJJ! i+ B;tse-em! see +9$& a#o"e! a77e+di=9 AFN$)&B9 0m+est ! -oc9 cit9! see +9$5 a#o"e! at (&! (<9 AFN$)'B9 I#id9! (J9 AFN$)$B9 I+ this 7a7er it :as 7resumed that due to the hierarchica- structure of the u+it! ISS su7eriors qua-ified as mi-itar comma+ders u+der the 8uris7rude+ce of the I,TY! as :e-- as u+der art9 $%FaG I,, Statute9 For the reaso+i+6 see the ar6ume+ts made i+ re6ard of the su7eriors of the SL09 AFN$)(B9 The 7o:er to remo"e the 6uards :as co+sidered as a reaso+a#-e measure # the T, i+ Prosecutor " De-a-ic! '4 No"em#er 'JJ%! ,ase No9 IT2J42 $'! 7ara9 <4<9 AFN$))B9 Prosecutor " De-a-ic! 0,! $& Fe#ruar $&&'! case No9 IT2J42$'! 7ara9 'J&9 Prosecutor " 0-e@so"s@i! T,! $5 3u+e 'JJJ! ,ase No9 IT2J)2')/'20 7ara9 <%9 Prosecutor " B-as@ic! T,! ( /arch $&&&! ,ase No9 IT2J52 ')! 7ara9 $J49 AFN$)5B9 0m+est ! -oc9 cit9! see +9$5 a#o"e! )'9 AFN$)4B9 Prosecutor " De-a-ic! 0,! $& Fe#ruar $&&'! ,ase No9 IT2J42$'! 7ara9 $5%9 The 0, referred to artic-e )( of the 0++e= to the 'J&< *a6ue Re6u-atio+s FI?G! :hich 7ro"ides that ;The authorit of the -e6itimate 7o:er ha"i+6 i+ fact 7assed i+to the ha+ds of the occu7a+t! the -atter sha-- ta@e a-- measures i+ his 7o:er to restore! a+d e+sure! as far as 7ossi#-e! 7u#-ic order a+d safet ! :hi-e res7ecti+6! u+-ess a#so-ute- 7re"e+ted! the -a:s i+ force i+ the cou+tr 9; AFN$)<B9 Prosecutor " 0-e@so"s@i! T,! $5 3u+e 'JJJ! ,ase No9 IT2J)2')/'2 0! 7ara9 %'! Prosecutor " De-a-ic! '4 No"em#er 'JJ%! ,ase No9 IT2J42$'! 7ara9 (J59 AFN$)%B9 0ccordi+6 to S:iss crimi+a- -a:! a 7erso+ :ho creates a da+6er is res7o+si#-e for the 7re"e+tio+ of a+ 7ossi#-e harm deri"i+6 from it9 0+ a+a-o6ous dut is i+cum#e+t u7o+ 7are+ts :ith res7ect to their chi-dre+9 See Strate+:erth! o79 cit9! )&%9 AFN$)JB9 O+ this see Prosecutor " De-a-ic! '4 No"em#er 'JJ%! ,ase No9 IT2J42$'! 7ara9 <<(9 0 simi-ar 7ositio+ :as fo--o:ed # the .aha+ ,ommissio+ i+ re6ard of the Defe+ce /i+istr a+d the ,hief of Staff9 1hat :as re7roached to them :as that +ot:ithsta+di+6 the -i@e-ihood of the Pha-a+6ists harmi+6 the 7o7u-atio+! +o su7er"isor measures :hatsoe"er :ere ta@e+9 .aha+ ,ommissio+ Re7ort! see +9J$ a#o"e! 5&$! 5&59 AFN$5&B9 0ffida"it! see +9$< a#o"e! 7ara9 5'9 AFN$5'B9 See the Israe-i Su7reme ,ourt 3ud6me+t o+ the I+terro6atio+ /ethods a77-ied # the ISS! 4th Se7tem#er 'JJJ! at Uhtt7://:::9derechos9or6/huma+2ri6hts/me+a/doc/torture9htm-V9 AFN$5$B9 UN ,ommittee 06ai+st Torture! UN doc9 ,0T/,/SR9)J4! $J No"em#er $&&'! at 7ara9 )9 These i+c-uded sha@i+6! use of the ;sha#ach; 7ositio+! the ;fro6 crouch;! e=cessi"e ti6hte+i+6 of ha+dcuffs a+d s-ee7 de7ri"atio+9 See the 3ud6me+t of the Israe-i Su7reme ,ourt! +9$5' a#o"e9 UN *uma+ Ri6hts ,ommittee! UN doc9 ,,PR/,/SR9'4<4! Summar Record of the '4<4th meeti+6: Israe-! $% Se7tem#er 'JJ% Fsummar recordG at 7ara9 (49
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AFN$5(B9 Reuters F3erusa-emG! ;Israe- 0dmits it Trai+s SL0 I+terro6ators;! $% Se7tem#er 'JJJ! at Uhtt7://:::9a+6e-fire9com/i-/Four/others/Ja9htm-V! /ar@ Le"ie! 0ss9 Press! ;Israe- Trai+ed Priso+ I+terro6ators;! $J Se7tem#er 'JJJ9 END OF DO,U/ENT
$ 3INT,R3 J($ $ 39 I+t;- ,rim9 3ust9 J($ (Cite as: 2 J !"t#l Crim Just 652%
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3our+a- of I+ter+atio+a- ,rimi+a- 3ustice Se7tem#er! $&&) *oo= Review &652 ELIES ?0N SLIEDREIT! T*E ,RI/IN0L RESPONSIBILITY OF INDI?IDU0LS FOR ?IOL0TIONS OF INTERN0TION0L *U/0NIT0RI0N L01 FT*E *0IUE: T/, 0SSER PRESS! $&&(G )(<PP Professor Peter /ur7h AFN)B South Te=as ,o--e6e of La:
,o7 ri6ht C $&&) # O=ford U+i"ersit PressD Professor Peter /ur7h To o+e :ho has rece+t- #ee+ immersed i+ the rou6h2a+d2tum#-e of #att-e at the I+ter+atio+a- ,rimi+aTri#u+a- for the Former Yu6os-a"ia FI,TYG! the o77ortu+it to sit do:+ a+d read a treatise o+ the theor of crimi+a- res7o+si#i-it is -i@e ta@i+6 a dee7 #reath of 7ure o= 6e+ after #ei+6 -oc@ed i+ a smo@e2fi--ed room for a da 9 These da s! it is u+usua- for a+ author to 6o #ac@ to first 7ri+ci7-es a+d dea- :ith a su#8ect as fu+dame+taas the modes of crimi+a- res7o+si#i-it o+ a ri6orous- theoretica- #asis! a+d e"e+ more so to attem7t a thorou6h a+a- sis of the e=te+t to :hich those first 7ri+ci7-es ha"e #ee+ ho+oured i+ the 7ractica- de"e-o7me+t of the -a:9 E-ies "a+ S-iedre6t +ot o+- attem7ts this! #ut a-so succeeds admira#- 9 The ,rimi+a- Res7o+si#i-it of I+di"idua-s for ?io-atio+s of I+ter+atio+a- *uma+itaria+ La:! Dr "a+ S-iedre6t;s doctora- thesis! 7ro"ides a com7rehe+si"e! :e-- reaso+ed a+d! at times! quite critica- e=ami+atio+ of the "arious a77roaches to crimi+ares7o+si#i-it ta@e+ i+ i+ter+atio+a- crimi+a- -a:9 Ta@i+6! as her starti+6 7oi+t! the Rome Statute of the I+ter+atio+a- ,rimi+a- ,ourt FI,,G! the author e=7-ores the histor of the "arious attem7ts to create a theor of crimi+a- res7o+si#i-it that is adequate to co"er the com7-e=ities of moder+ :ar crimes a+d crimes a6ai+st huma+it ! 7articu-ar- 6i"e+ the a77are+t 7arado= that those most cu-7a#-e are ofte+ far remo"ed from the actuacommissio+ of s7ecific offe+ces9 She dea-s i+ detai- :ith the Statutes of the I+ter+atio+a- /i-itar Tri#u+aFI/TG! the I,TY a+d the I+ter+atio+a- ,rimi+a- Tri#u+a- for R:a+da FI,TRG! a+d su77-eme+ts this :ith a+ i--umi+ati+6 treatme+t of com7ara#-e theories i+ domestic -a:! #oth u+der commo+2-a: a+d ci"i-2-a: s stems9 I+ additio+9 Dr "a+ S-iedre6t e=ami+es the 7ri+ci7a- defe+ces reco6+iHed # i+ter+atio+a- crimi+a- -a: a+d the :a i+ :hich those defe+ces re-ate to the theories of crimi+a- res7o+si#i-it 9 Li@e Iau-! the #oo@ is co+"e+ie+t- di"ided i+to three 7arts9 Part I dea-s :ith the modes of i+di"iduares7o+si#i-it 9 It #e6i+s :ith a historica- sur"e ! :hich i+c-udes the emer6e+ce of #oth i+di"idua- a+d co--ecti"e res7o+si#i-it i+ i+ter+atio+a- crimi+a- -a:! a+d co+ti+ues :ith a com7rehe+si"e re"ie: of modes of i+di"idua7er7etratio+ a+d 7artici7atio+9 Part II is co+cer+ed :ith su7erior res7o+si#i-it 9 The historica- sur"e i+ this 7art is of 6reater i+terest! i+ that it i+c-udes a :ider ra+6e of sources! i+c-udi+6 the To@ o Tri#u+a- a+d the .aha+ ,ommissio+! amo+6 others9 The su#8ect of su7erior res7o+si#i-it is dea-t :ith o+ a co+ce7tua- #asis! as :e-- as # refere+ce to the -a: ema+ati+6 from the ad hoc Tri#u+a-s a+d the I,, Statute9 Part III! e+tit-ed ;0"erti+6 Res7o+si#i-it ;! dea-s :ith defe+ces9 The a+a- sis here is assisted # refere+ce to the emer6e+ce of the 7ri+ci7adefe+ces i+ differe+t s stems of domestic -a:! :hich ser"es to hi6h-i6ht the "er differe+t a77roach ta@e+ to defe+ces 6e+era-- a+d certai+ s7ecific defe+ces i+ 7articu-ar i+ i+ter+atio+a- crimi+a- -a:9 The #oo@ co+c-udes :ith a+ e7i-o6ue! :hich 7ro"ides a+ o"er"ie: of the s stem of res7o+si#i-it i+ i+ter+atio+a- crimi+a- -a:9 ,e+tra- to Dr "a+ S-iedre6t;s :or@ is the co+ce7t that 6e+ocide! :ar crimes a+d crimes a6ai+st huma+it occur i+ the co+te=t of s stematic a+d -ar6e2sca-e "io-e+ce! resu-ti+6 i+ s stem2crimi+a-it 9 Traditio+a- +otio+s of crimi+a- res7o+si#i-it ! #ased o+ a re-ati"e- sim7-istic mode- of res7o+si#i-it as either a 7ri+ci7a- or a+
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accessor ! are i+adequate to dea- :ith the cha--e+6es 7osed # s stem2crimi+a-it 9 1hi-e i+di"idua- offe+ces ma #e committed o+ a+ e+ormous sca-e! the most si6+ifica+t crimi+a-it does +ot -ie :ith the i+di"idua7er7etrators9 I+deed! the i+di"idua- offe+ces ma ! most a77ro7riate- ! #e dea-t :ith +ot # i+ter+atio+a- courts or tri#u+a-s! #ut # domestic courts! assumi+6 that this is 7ossi#-e! -o6istica-- a+d 7o-itica-- ! i+ the co+te=t of the co+f-ict i+ :hich the ha"e occurred9 Those most res7o+si#-e are e+tre+ched i+ the hi6her eche-o+s of the &655 7o-itica- a+d mi-itar esta#-ishme+t! a+d their cu-7a#i-it ca++ot #e assessed i+ terms of traditio+a- direct res7o+si#i-it 9 The rare- commit the offe+ces 7erso+a-- ! a+d ofte+ :i-- +ot e"e+ #e 7rese+t :he+ the offe+ces are committed9 The co+ce7t of 7-a++i+6 as a mode of crimi+a- res7o+si#i-it ma #e the most a77ro7riate "ehic-e for dea-i+6 :ith the mem#ers of the -eadershi7! et 7-a++i+6 is disti+ct from traditio+a- modes of crimi+a- res7o+si#i-it 9 The+ there is the 7ro#-em of the crimi+a- or6a+iHatio+! ma+ mid2-e"e- mem#ers of :hich are +ot i+"o-"ed i+ 7-a++i+6! #ut ma #e i+"o-"ed i+ tra+smitti+6 orders or i+ faci-itati+6 the commissio+ of offe+ces # those -o:er do:+ i+ the chai+9 0 :or@a#-e theor of 8oi+t crimi+a- e+ter7rise is required to ma@e the mem#ers of the or6a+iHatio+ -ia#-e9 Simi-ar- ! a theor of comma+d res7o+si#i-it is required to ta@e accou+t of the fact that comma+ders ma esca7e crimi+a- res7o+si#i-it # ascri#i+6 the commissio+ of offe+ces to those u+der their comma+d! e"e+ thou6h the ma ha"e ta@e+ +o ste7s to 7re"e+t or 7u+ish those res7o+si#-e9 Dr "a+ S-iedre6t sho:s ho: efforts to co+struct a "ia#-e o"era-- theor of crimi+a- res7o+si#i-it ha"e 7ro6ressed from the I/T to the ad hoc Tri#u+a-s a+d the I,,9 Dr "a+ S-iedre6t o#ser"es that her stud ;comme+ces i+ Nurem#er6 a+d e+ds i+ Rome; F79 JG9 To this re"ie:er! o+e of the more i+teresti+6 facets of her :or@ is her e=ami+atio+ of Nurem#er6 as the 6e+esis of :hat has ha77e+ed si+ce i+ the fie-d of crimi+a- res7o+si#i-it 9 It is eas to o"er-oo@ :hat a radica- cha+6e :as made # the a77roach of the I/T to the :ho-e co+ce7t of crimi+a- res7o+si#i-it ! #ut :e do so at our 7eri-9 1e +o: te+d to ta@e for 6ra+ted the idea of comma+d res7o+si#i-it a+d co--ecti"e res7o+si#i-it ! a+d it is eas to for6et ho: co+tro"ersia- ma+ as7ects of this a77roach :ere at the time! a+d! # e=te+sio+! remai+ toda 9 Yet! i+ ma+ :a s! the I/T :as a har#i+6er of :hat :as to come! +ot o+- i+ the o#"ious res7ect that the ad hoc Tri#u+a-s a+d the I,, are #ui-di+6 o+ :hat :as do+e at Nurem#er6! #ut a-so i+ the more su#t-e res7ect that the co+f-ict #et:ee+ certai+ traditio+a- domestic theories of crimi+a- res7o+si#i-it ! for e=am7-e the ci"i-2-a: sus7icio+ of the commo+ -a:;s attachme+t to co+s7irac a+d the differi+6 commo+2-a: a+d ci"i-2-a: a77roaches to the me+ta- e-eme+t i+ crimi+a- -a:! has 7-aced si6+ifica+t difficu-ties i+ the :a of creati+6 a u+i"ersa-- acce7ta#-e theor of res7o+si#i-it ! adequate to meet the dema+ds of moder+ i+ter+atio+a- crimi+acases9 The author sho:s co+"i+ci+6- :h :e sti-- stru66-e :ith some of these di-emmas i+ the ad hoc Tri#u+a-s a+d ma co+ti+ue to do so i+ the I,,9 The de"e-o7i+6 doctri+e of 8oi+t crimi+a- e+ter7rise is the most dramatic e=am7-e of the :i--i+6+ess of the ad hoc Tri#u+a-s to e=7a+d o+ the -e6ac of the I/T9 Be6i++i+6 :ith the Tadic decisio+! the I,TY has 7resided o"er a remar@a#-e 7iece of 8udicia- -e6is-atio+! i+ the course of :hich i+di"iduacrimi+a- res7o+si#i-it has #ee+ e=te+ded :e-- #e o+d the traditio+a- co+ce7t of co+s7irac ! 7ro"idi+6 the Prosecutor :ith a "ersati-e :ea7o+ :ith :hich to #ri+6 to tria- some :hose co++ectio+ :ith the commissio+ of su#sta+ti"e offe+ces is! to sa the -east! te+uous9 It ma #e! as I thi+@ Dr "a+ S-iedre6t #e-ie"es! +ecessar to co+struct a :ide2ra+6i+6 crimi+a- res7o+si#i-it i+ res7o+se to the 7articu-ar dema+ds of i+ter+atio+a- crimi+a- 8ustice9 The sca-e of the 7ote+tia- res7o+si#i-it a+d of the 7ote+tia- com7-icit of the 7artici7a+ts 6oes #e o+d a+ thi+6 :ith :hich domestic -a: is fami-iar! a+d :e ca++ot re- o+ the same :ea7o+s of 7rosecutio+9 But some +ote of cautio+ must #e i+troduced9 Some of the #ou+daries of traditio+a+otio+s of crimi+a- res7o+si#i-it ! as o77osed to mora- res7o+si#i-it ! must #e res7ected9 0t some 7oi+t! the idea that 7erso+s i+ differe+t re6io+s of a cou+tr ! :ho ha"e +e"er met! :ho ha"e +o histor of shared acti"ities! a+d :ho a77ear to ha"e -itt-e i+ commo+ other tha+ #ei+6 o+ 6e+era-- the same side duri+6 a :ar! ca+ #e im7-icated i+ a si+6-e 8oi+t crimi+a- e+ter7rise! #ecomes u+rea-istic a+d da+6erous9 1hat is! :he+ 7ro7er- used! a usefutoo- for e+suri+6 that those cu-7a#-e do +ot esca7e res7o+si#i-it ! ca+! :he+ a#used! #ecome a du#ious su#stitute for rea- e"ide+ce9 I+ e"a-uati+6 the radica- de"e-o7me+ts i+ the &654 -a:9 Dr "a+ S-iedre6t ta@es care to reco6+iHe this9 Noti+6 that the commo+ 7ur7ose a+d 8oi+t crimi+a- e+ter7rise co+ce7ts #order o+ co--ecti"e res7o+si#i-it ! she i+sists that the shou-d #e c-ose- e=ami+ed to e+sure that the do +ot "io-ate #asic 7ri+ci7-es of res7o+si#i-it 9 Dr "a+ S-iedre6t;s treatme+t of the su#8ect of 7er7etratio+ a+d 7artici7atio+ i+ crime ma #e the most im7ressi"e feature of the #oo@9 I :ou-d recomme+d a detai-ed stud of ,ha7ter $ to e"er 8ud6e a+d -a: er
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i+"o-"ed :ith the I,, or o+e of the Tri#u+a-s9 It is i+ this cha7ter! 7erha7s! that the author;s critica- facu-t comes i+to its o:+ most stro+6- 9 It :ou-d +ot #e 7ossi#-e! i+ the s7ace 7ermitted here! to do 8ustice to a-- the ar6ume+ts 7rese+ted9 But her critica- a+a- sis of the treatme+t of me+ta- e-eme+ts i+ the 8uris7rude+ce of the ad hoc Tri#u+a-s is 7articu-ar- im7ressi"e! a+d -eads to a+ i+tri6ui+6 questio+ of :hether the drafters of the I,, Statute ha"e -ear+ed a-- the -esso+s :hich mi6ht ha"e #ee+ dra:+ from 7re"ious e=7erie+ce9 The author;s treatme+t of the issue of su7erior res7o+si#i-it ! if rather -ess critica- of the de"e-o7me+t of the -a: # the ad hoc Tri#u+a-s! is +o+ethe-ess im7ressi"e- thorou6h a+d re"ea-i+69 Dr "a+ S-iedre6t traces the e"o-utio+ of the -a:! issue # issue! i+ co+sidera#-e detai-9 The mai+ criticism to #e made of the author;s a+a- sis is that! to this re"ie:er! she a77ears to #e u+du- for6i"i+6 of the im7ossi#- hi6h sta+dard set # the U+ited States /i-itar ,ommissio+ Fa+d # the U+ited States Su7reme ,ourtG i+ Yamashita! a+d a+a-o6ous reaso+i+6! :hich seems! at times! a-most to 7roduce a cu-ture of strict -ia#i-it ! thou6h she does co+cede that it is ca7a#-e of 7roduci+6 harsh resu-ts9 If the co+"ictio+ a+d se+te+ce of Ie+era- Yamashita are to #e ta@e+ as sta+dard! that is o#"ious- somethi+6 of a+ u+derstateme+t9 It is +ot e+tire- u+fair to see that decisio+ as a "io-atio+ of huma+ ri6hts i+ itse-f9 It :ou-d #e a-- too eas to tur+ hi6h2ra+@i+6 officers i+to 6uara+tors or i+surers of the co+duct of their su#ordi+ates! rather tha+ sim7- comma+ders! a+d it is +ot a#so-ute- c-ear that i+ter+atio+a- crimi+a- -a: has a#a+do+ed that a77roach9 This re"ie:er :ou-d ha"e :e-comed a more u+equi"oca- stateme+t that the author :ou-d +ot su77ort such a "ie:9 0+other as7ect of Dr "a+ S-iedre6t;s "ie: of superior respo"si,ility merits atte+tio+9 It is summariHed i+ the fo--o:i+6 7assa6e: The I,, i+herited a co+ce7t Aof superior respo"si,ilityB that is u+iform i+ its u+der- i+6 7ri+ci7-es a+d #road i+ its a77-icatio+ :hi-st retai+i+6 its s7ecific characteristics9 The 8uris7rude+ce of the ad hoc Tri#u+a-s de-i"ered the too-s for "aria+ce :ith the i+troductio+ of the co+ce7t of ;effecti"e co+tro-;9 It further res7ected #ou+daries set # crimi+a- -a: # requiri+6 @+o:-ed6e of the u+der- i+6 crimes9 U+fortu+ate- ! the I,, co+ce7t is framed i+ t:o disti+ct sta+dards! for mi-itar a+d +o+2mi-itar su7eriors9 This is a+ u++ecessar differe+tiatio+ of the co+ce7t a+d de+ies its u+iform +ature! :hich is #ased i+ customar i+ter+atio+a- -a:9 O+ that 7oi+t! the I,, co+ce7t of su7erior res7o+si#i-it must #e re6arded as f-a:ed a+d a ste7 #ac@! F79 $$(G Dr "a+ S-iedre6t;s "ie: is #ased o+ her a+a- sis of the .a ishema a+d RuHi+da+a cases i+ the I,TR a+d the ,e-e#ici case i+ the I,TY9 The former cases cited 0rtic-e $% i+ ado7ti+6 a differe+t sta+dard of @+o:-ed6e as #et:ee+ mi-itar a+d +o+2mi-itar comma+ders9 Dr "a+ S-iedre6t co+te+ds! ho:e"er! that this 7ositio+ ca++ot #e mai+tai+ed i+ the -i6ht of the decisio+ of the 077ea-s ,ham#er i+ ,e-e#ici9 AFN'B The -atter case! it is ar6ued! esta#-ished a ;@+e: or ou6ht to ha"e @+o:+; sta+dard! a+d did so o+ the #asis of a re"ie: of e=isti+6 -a:! :ithout re6ard to a+ disti+ctio+ i+ the +ature of the comma+d9 Dr "a+ S-iedre6t co+ti+ues: It is su#mitted that irres7ecti"e of its ;mi-itar starti+6 7oi+t; the ,e-e#ici Tria- ,ham#er a+d 077ea-s ,ham#er touch u7o+ 7ri+ci7-es of superior respo"si,ility! a+d as such their fi+di+6s o+ the matter 6o #e o+d the #ou+daries of the case! a+d #e o+d that of the I,TY9 /oreo"er! &655 the 7arameters of superior respo"si,ility as set out i+ ,e-e#ici -ea"e room for "ariatio+9 De facto a+d de iure comma+d! the e-eme+t of ;co+tro-;! the #road superior co+ce7t! a+d the ;materia- a#i-it ; to ha-t crimes! are a-- desi6+ed to accommodate differi+6 circumsta+ces a+d 7erso+s9 This :a the Tria- ,ham#er a+d 077ea-s ,ham#er i+ ,e-e#ici de"ised o+e u+iform superior respo"si,ility co+ce7t9 This stems from the 7ro"isio+ a+d its -e6ahistor 9 *a"i+6 re6ard to 0rtic-e $% of the I,, Statute a+d the differe+tiatio+ to mi-itar a+d +o+2mi-itar superiors, :ith their res7ecti"e co6+iti"e sta+dards of ;shou-d ha"e @+o:+; a+d ;co+scious- disre6arded;! :e ca+ 7ositio+ the co6+iti"e sta+dard of the ,e-e#ici case #et:ee+ those of the 0rtic-e $% of the I,, Statute9 F'45G *e+ce! the author su66ests that the differe+tiatio+ co+tai+ed i+ 0rtic-e $% is u+8ustifia#-e a+d shou-d #e re7-aced # a u+iform 7ro"isio+ for a-- @i+ds of superior respo"si,ility 22 mi-itar or other:ise9 AFN$B Dr "a+ S-iedre6t;s co+c-usio+s i+"o-"e readi+6 a -ot i+to the ,e-e#ici 8ud6me+ts! a+d the #asis for re6ardi+6 a u+ified doctri+e of superior respo"si,ility as #ei+6 a c-ear- esta#-ished 7art of customar i+ter+atio+a- -a: is some:hat more te+uous tha+ she :ou-d co+cede9 /oreo"er! the 7ossi#i-it of ;u+reaso+a#-e attri#utio+ of
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-ia#i-it ; is i+sufficie+t- stressed9 The author #e-ie"es! o7timistica-- ! that it is met # the ,e-e#ici sta+dard of effecti"e co+tro-! :hich ;:arra+ts that the doctri+e of superior respo"si,ility is o+- o7erati"e i+ cases i+ :hich the superior#s co+tro- o"er su#ordi+ates c-ose- resem#-es that of mi-itar superiors#9 *o:e"er! it is ar6ua#-e that the reaso+ for differe+tiati+6 is 7recise- the 7ractica- difficu-t of ma@i+6 that determi+atio+ i+ the a#se+ce of a "erifia#-e chai+ of comma+d9 The hi6h qua-it of the :or@ co+ti+ues i+ the treatme+t of defe+ces i+ i+ter+atio+a- crimi+a- -a:9 This re"ie:er fou+d 7articu-ar- i--umi+ati+6 Dr "a+ S-iedre6t;s detai-ed :or@ o+ the defe+ce of mista@e9 The differe+ces i+ the treatme+t of this defe+ce as #et:ee+ commo+2-a: a+d ci"i-2-a: 8urisdictio+s are shar7 a+d si6+ifica+t! a+d 6o a -o+6 :a to e=7-ai+i+6 :h it ma #e difficu-t to arri"e at a defi+iti"e +orm :hich #ecomes 6e+era-- acce7ta#-e for the 7ur7oses of i+ter+atio+a- crimi+a- -a:9 But! as Dr "a+ S-iedre6t sho:s! the difficu-ties ru+ some:hat dee7er tha+ that9 The disti+ctio+ #et:ee+ 8ustificatio+s a+d e=cuses! :hich is -itt-e u+derstood # the commo+ -a:! ma ! +o+ethe-ess! #e a +ecessar o+e9 The author sho:s that this fai-ure i+ u+dersta+di+6 has -ed to co+fusio+ i+ a +um#er of areas! +ot -east i+ the -a: re-ati+6 to +ecessit a+d duress9 The disti+ctio+ #et:ee+ actio+s ta@e+ i+ a 7u#-ic ca7acit a+d those ta@e+ i+ a 7ri"ate ca7acit ma co+ti+ue to #e si6+ifica+t9 But! more 6e+era-- ! the treatme+t of the :ho-e su#8ect of defe+ces # i+ter+atio+a- crimi+a- -a: is rather odd9 O+e has the im7ressio+ that! u+ti- the I,, Statute! the :ere 6e+era-- fro:+ed u7o+! a-most as thou6h there :ere somethi+6 i+dece+t a#out the "er idea that defe+ces cou-d e=ist to the offe+ces :hich are the su#8ect of i+ter+atio+a- 7rosecutio+s9 Not o+- :as there a+ a#se+ce of refere+ce to defe+ces i+ the 6o"er+i+6 docume+ts! #ut e"e+ those refere+ces that did e=ist seem to ha"e #ee+ casua-- diso:+ed! as :it+ess the curious de+ia- # the I,TY 077ea-s ,ham#er i+ the ,e-e#ici case that the defe+ce of dimi+ished me+ta- res7o+si#i-it e=isted i+ the 8uris7rude+ce of the Tri#u+a-! e"e+ thou6h 7roof of the defe+ce is e=7ress- 7ro"ided for i+ the Ru-es of Procedure a+d E"ide+ce9 Dr "a+ S-iedre6t co+c-udes! :ith some cautio+! that the I,, Statute 7ro"ides 6rou+ds for o7timism that a more i+c-usi"e a+d usa#-e #od of -a: i+ the area of defe+ces :i-- at -ast emer6e F()$G9 I+ this res7ect! her co+c-usio+s a#out the defe+ce of su7erior orders ma #e the most co+tro"ersia- i+ the #oo@9 Res7o+di+6 to criticisms of 0rtic-e (( I,,St! as a+ u+8ustified de7arture from customar i+ter+atio+a-a:9 Dr "a+ S-iedre6t +ot o+- ma@es the ar6ume+t that it is 8ustified # socia- co+cer+s! i+c-udi+6 #att-efie-d rea-it ! #ut a-so co+te+ds that! co+trar to the 6e+era-- acce7ted "ie:! the defe+ce of su7erior orders! :he+ defi+ed :ithi+ the 7ro7er -imits # a co+ditio+a- -ia#i-it &65$ a77roach! actua-- re7rese+ts the mature "ie: of customar i+ter+atio+a- -a:9 I+ a+s:er s7ecifica-- to Iaeta! AFN(B :ho co+te+ds that customar i+ter+atio+a-a: i+sists o+ the a#so-ute -ia#i-it a77roach9 Dr "a+ S-iedre6t o#ser"es: I disa6ree :ith Iaeta for four reaso+s9 First- ! #ecause her ar6ume+t that there is a commu+is o7i+io amo+6 states co+firmi+6 the a#so-ute -ia#i-it a77roach u+der customar i+ter+atio+a- -a: is sti-- "er much #ased o+ the Nurem#ur6 7recede+t9 *o:e"er 999 I :ou-d a6ree :ith Iarra:a that Nurem#ur6 :as ;situatio+2s7ecific;! a+d! therefore! +ot a re-ia#-e source of customar i+ter+atio+a- -a:9 Seco+d- ! #e o+d Nurem#ur6 there ha"e #ee+ attem7ts to codif the co+ditio+a- -ia#i-it a77roach o+ the i+ter+atio+a- -e"ei+ the frame:or@ of the 'J)J Ie+e"a ,o+"e+tio+s a+d the 'J<< 0dditio+a- Protoco-s to the Ie+e"a ,o+"e+tio+s9 This :ea@e+s the a--e6ed e=iste+ce of 6e+era- a6reeme+t amo+6 states o+ the a#so-ute -ia#i-it ru-e9 Third- ! "arious e=am7-es a#o"e ha"e sho:+ that a +um#er of +atio+a- :ar crimes tria-s ha"e reco6+iHed a+d a77-ied the co+ditio+a- -ia#i-it a77roach! e"e+ :he+ it co+cer+ed a +o+2+atio+a-9 State 7ractice after Nurem#er6 does +ot :arra+t the co+c-usio+ that su7erior orders ca+ +e"er amou+t to a defe+ce i+ cases of :ar crimes9 Last- ! :hat e=act- is mea+t # :ar crimes> The co+ce7t! :ith its ri6id requireme+ts as to co+te=t a+d ca7acit ! has cha+6ed radica-- u+der the i+f-ue+ce of the 8uris7rude+ce of the Tri#u+a-s for the Former Yu6os-a"ia a+d R:a+da a+d has #ee+ 7art- re7-aced # crimes a6ai+st huma+it 9 The -atter +otio+ 7ro"ed much more usefu- a+d f-e=i#-e i+ dea-i+6 :ith mass crime9 This resu-ted i+ a ;de"a-uatio+; of :ar crimes! e"ide+ced i+ some of the fi+di+6s i+ Erdemo"ic a+d a-so i+ the I,, Statute itse-f i+ 0rtic-e ('F'GFcG a+d 0rtic-e ((9 Thus! :he+ Iaeta refers to the a#so-ute -ia#i-it a77roach a+d ;:ar crimes;! she mi6ht :e-- mea+ the most serious i+ter+atio+a- crimes! i9e9 ;ma+ifest- u+-a:fu-; acts that i+ the 7ast :ere a-- 6rou7ed to6ether u+der the term ;:ar crimes;! #ut +o:ada s qua-if as crimes a6ai+st huma+it a+d 6e+ocide9 If that is the case! :e are -ess i+ disa6reeme+t tha+ mi6ht a77ear at first si6ht9 The a#so-ute a+d the co+ditio+a- -ia#i-it a77roaches -ead to the same resu-t i+ the am#it of crimes a6ai+st
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huma+it a+d 6e+ocide9 F((<2((%G This #o-d a77roach is i+teresti+6! a+d cha--e+6es ma+ :ide- he-d o7i+io+s9 It :ou-d +ot #e 7ossi#-e i+ the s7ace a"ai-a#-e here to do 8ustice to the ar6ume+ts for a+d a6ai+st the author;s "ie:! #ut it c-ear- deser"es further stud ! as does the #oo@ as a :ho-e9 Dr "a+ S-iedre6t has 7roduced a usefu- a+d i+teresti+6 :or@! :hich offers +ot o+- com7rehe+si"e a+a- sis of the 7rese+t -a:! #ut a-so a usefu- historica- a+d co+te=tua#ac@6rou+d to the u+der- i+6 issues9 It :i-- 7ro"e i+"a-ua#-e +ot o+- to scho-ars a+d stude+ts! #ut a-so to 8ud6es a+d 7ractitio+ers i+ the ad hoc Tri#u+a-s a+d the I,,9 AFN'B9 0s the author +otes! a simi-ar 7ositio+ is ta@e+ # 09 Mahar! ;,omma+d Respo"si,ility of ,i"i-ia+ Superiors for Ie+ocide;! ') Leide+ 3our+a- of I+ter+atio+a- La: F$&&'G 5J'24'49 AFN$B9 Thou6h she re6ards 0rt9 $% as a ;ste7 for:ard; i+ the se+se of reco6+iHi+6 superior respo"si,ility as a se7arate crime of omissio+ F79 $$(G9 AFN(B9 P9 Iaeta! ;The Defe+ce of Superior Orders i+ the Statute of the I+ter+atio+a- ,rimi+a- ,ourt "ersus ,ustomar I+ter+atio+a- La:;! '& Euro7ea+ 3our+a- of I+ter+atio+a- La: F'JJJG '<$9 AFN)B9 Professor of La:! South Te=as ,o--e6e of La:! Professor /ur7h is the Editor2i+2,hief of B-ac@sto+e;s ,rimi+a- Practice! a+d ser"es as Defe+ce ,ou+se- at the I+ter+atio+a- ,rimi+a- Tri#u+a- for the Former Yu6os-a"ia9 END OF DO,U/ENT
)5 ?03IL '(J )5 ?a9 39 I+t;- L9 '(J (Cite as: 45 Ca J !"t#l L /56%
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?ir6i+ia 3our+a- of I+ter+atio+a- La: Fa-- $&&) &/56 E0 10R OF /EDI0! 1ORDS! NE1SP0PERS! 0ND R0DIO ST0TIONSE: T*E I,TR /EDI0 TRI0L ?ERDI,T 0ND 0 NE1 ,*0PTER IN T*E INTERN0TION0L L01 OF *0TE SPEE,* Ire6or S9 Iordo+ AFNa'B ,o7 ri6ht C $&&) ?ir6i+ia 3our+a- of I+ter+atio+a- La: 0ssociatio+D Ire6or S9 Iordo+ Ta#-e of ,o+te+ts I. II. Introduction ....................................................... $4, The Le4a! Landsca(e -rior to The -rosecutor &. Nahi/ana ............ $46 A. Internationa! Law .............................................. $46 $. The Internationa! Mi!itar" Tri una! at Nure/ er4 ............. $46 a. The Au!ius Streicher Case .................................. $46 . The %ans Frit:sche Case .................................... $44 3. Internationa! Con&entions .................................... $4# a. The Benocide Con&ention .................................... $4# . Other Internationa! Con&entions ............................ $4# B. 'o/estic Laws .................................................. $47 C. ICT) Law ....................................................... $48 $. The ICT) Statute ............................................. $48 3. The -rosecutor &. A@a"esu .................................... $47 6. The -rosecutor &. )u44iu ..................................... $#6 III. The -rosecutor &. Nahi/ana ......................................... $#4 A. The Facts ...................................................... $#4
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$. Bac@4round ................................................... $#4 3. The 'efendants ............................................... $#+ a. %assan N4e:e ............................................... $#+ . Ferdinand Nahi/ana ......................................... $#8 c. Aean1Bosco Bara"a4wi:a ..................................... $+# d. Interaction a/on4 the Three 'efendants ..................... $++ B. The Char4es .................................................... $+7 C. The 'ecision ................................................... $+8 $. Benocide ..................................................... $+8 3. 'irect and -u !ic Incite/ent to Co//it Benocide .............. $7, a. Content .................................................... $7, . Causation .................................................. $7+ c. Te/(ora! Aurisdiction ...................................... $77 6. Su(erior )es(onsi i!it" ...................................... $77 4. Cons(irac" ................................................... $8$ I9. The Le4a! Landsca(e after The -rosecutor &. Nahi/ana ............... $86 A. The )e!ationshi( etween S(eechC BenocideC and the Mass Media .. $86
B. The Breadth of Cri/ina! Lia i!it" .............................. $87 $. Su(erior )es(onsi i!it" ...................................... $87 3. Cons(irac" ................................................... $7$ 6. Te/(ora! Aurisdiction ........................................ $73 9. Conc!usion ......................................................... $7+
&/49 I9 I+troductio+ O+ Decem#er (! $&&(! former Tria- ,ham#er I of the I+ter+atio+a- ,rimi+a- Tri#u+a- for R:a+da FI,TRG ha+ded do:+ its 8ud6me+t i+ The Prosecutor "9 Nahima+a! et a-9! AFN'B the so2ca--ed E/edia ,ase9E The three defe+da+ts22 Ferdi+a+d Nahima+a a+d 3ea+2Bosco Bara a6:iHa! fou+ders of the i+famous Radio TS-S"isio+ Li#re des /i--e ,o--i+es &/4/ FRTL/G! ofte+ ca--ed ERadio /achete!E a+d *assa+ N6eHe! editor2i+2chief of the equa-- i+famous +e:s7a7er .a+6ura
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22:ere co+"icted of 6e+ocide! direct a+d 7u#-ic i+citeme+t to commit 6e+ocide! co+s7irac to commit 6e+ocide! a+d crimes a6ai+st huma+it Fe=termi+atio+ a+d 7ersecutio+G9 AFN$B RTL/! throu6h the air:a"es! a+d .a+6ura! throu6h 7ri+t! e=horted R:a+da;s *utu ma8orit 7o7u-atio+ to e=termi+ate the cou+tr ;s Tutsi mi+orit 9 For their crimes! Nahima+a a+d N6eHe :ere se+te+ced to -ife im7riso+me+t! :hi-e Bara a6:iHa :as se+te+ced to (5 ears im7riso+me+t9 AFN(B Be o+d its im7orta+ce i+ #ri+6i+6 three @e 7er7etrators of the R:a+da+ 6e+ocide to 8ustice! the case sta+ds as a -a+dmar@ i+ the 8uris7rude+ce of hate s7eech9 Not si+ce the I+ter+atio+a- /i-itar Tri#u+a- FI/TG at Nurem#er6 tried the NaHi 7ro7a6a+dists 3u-ius Streicher a+d *a+s FritHsche i+ 'J)52'J)4! had a+ i+ter+atio+a- tri#u+a- #ee+ ca--ed u7o+ to decide :hether the media;s free e=7ressio+ 7rero6ati"e had de6e+erated i+to :ar crimes Fi+c-udi+6 6e+ocide a+d crimes a6ai+st huma+it G9 AFN)B 0+d +ot si+ce the ad"e+t of the 'J)% ,o+"e+tio+ o+ the Pre"e+tio+ a+d Pu+ishme+t of the ,rime of Ie+ocide FIe+ocide ,o+"e+tio+G! had such a tri#u+a- co+ducted a triaof +e:s media mem#ers for the crime of Edirect a+d 7u#-ic i+citeme+t to 6e+ocide9E AFN5B 0s e=7ected! the Nahima+a decisio+ 6oes a -o+6 :a to:ard a+s:eri+6 si6+ifica+t questio+s re6ardi+6 the 7ro7er -e6asta+dard for disti+6uishi+6 #et:ee+ 7ermissi#-e s7eech a+d crimi+a- ad"ocac i+ the co+te=t of massi"e "io-atio+s of i+ter+atio+a- huma+itaria+ -a:9 It a-so 7ro"ides 6uida+ce re6ardi+6 the a77-icatio+ of that sta+dard to the media a+d he-7s defi+e the re-atio+shi7 #et:ee+ the most serious crimes &/42 7ote+tia-- arisi+6 from such ad"ocac : 6e+ocide! direct a+d 7u#-ic i+citeme+t to commit 6e+ocide! a+d co+s7irac to commit 6e+ocide9 O+ the other ha+d! the 8ud6me+t raises other im7orta+t questio+s! :ithout +ecessari- reso-"i+6 them! co+cer+i+6 such issues as the sco7e of crimi+aad"ocac a+d 8urisdictio+9 These a+s:ers a+d questio+s are of 6reat mome+t! as the Nahima+a case shou-d ser"e as a crucia- 7recede+t for future cases i+"o-"i+6 huma+ ri6hts a+d free e=7ressio+9 AFN4B Ii"e+ the si6+ifica+ce of the Nahima+a decisio+! this 0rtic-e :i-- 7-ace it i+ its historica- co+te=t! e=ami+e its facts a+d char6es! de-i+eate the issues i+"o-"ed i+ the case! a+d a+a- He ho: the Tri#u+a- reso-"ed them9 Part II :i-- #e6i+ # e=ami+i+6 the decisio+;s historica- a+d -e6a- 7recede+ts! i+c-udi+6 the Nurem#er6 decisio+s! UN co+"e+tio+s! other domestic a+d i+ter+atio+a- 7recede+ts! the I,TR Statute a+d 7re"ious I,TR 8ud6me+ts dea-i+6 :ith hate s7eech9 Part III :i-- the+ co+sider the facts! char6es a+d im7orta+t -e6a- issues i+"o-"ed i+ the Nahima+a decisio+9 This :i-- i+c-ude a #rief histor of RTL/ a+d .a+6ura a+d their fou+ders! as :e-- as a re"ie: of the crimes char6ed a+d a 7arsi+6 of the sa-ie+t -e6a- issues raised9 Those issues i+c-ude a+ e=ami+atio+ of the co+tours of the -i+e #et:ee+ free s7eech a+d crimi+a- ad"ocac ! a+d the sco7e of i+di"idua- a+d su7erior res7o+si#i-it i+ re-atio+ thereto9 Fi+a-- ! Part I? of the 0rtic-e :i-- assess :hich o-d issues the &/45 Nahima+a decisio+ has reso-"ed a+d forecast :hich +e: o+es it has raised for future reso-utio+9 II9 The Le6a- La+dsca7e Prior To The Prosecutor "9 Nahima+a 09 I+ter+atio+a- La: The im7orta+ce of The Prosecutor "9 Nahima+a #ecomes a77are+t :he+ o+e co+siders the dearth of i+ter+atio+a7recede+t re6ardi+6 media hate s7eech -eadi+6 u7 to it9 Ne"erthe-ess! a #od of -a: did e=ist 7rior to the Nahima+a 8ud6me+t9 The most im7orta+t case -a: i+ this re6ard is deri"ed from the o7i+io+s issued # the I+ter+atio+a- /i-itar Tri#u+a- at Nurem#er6! :hich esse+tia-- mar@ the #irth of i+ter+atio+a- 8uris7rude+ce for hate s7eech9 '9 The I+ter+atio+a- /i-itar Tri#u+a- at Nurem#er6 0fter 1or-d 1ar II! the "ictorious 0--ies o7ted for 8ustice o"er "e+6ea+ce a+d 7resided o"er the e7ocha- Nurem#er6 tria-s of the ma8or NaHi :ar crimi+a-s9 0mo+6 the defe+da+ts tried #efore the I+ter+atio+a- /i-itar Tri#u+a- at Nurem#er6 FI/TG :ere 3u-ius Streicher! 7u#-isher of the :ee@- a+ti2Semitic +e:s7a7er Der StRrmer a+d *a+s FritHsche! head of the Radio Sectio+ of the NaHi Pro7a6a+da /i+istr 9 The Streicher a+d FritHsche cases are the most si6+ifica+t 7re2I,TR i+ter+atio+a- 7recede+ts re6ardi+6 media use of hate s7eech i+ co++ectio+ :ith massi"e "io-atio+s of i+ter+atio+a- huma+itaria+ -a:9
Pa6e )
a9 The 3u-ius Streicher ,ase The I,TR has characteriHed the 3u-ius Streicher case as the Emost famous co+"ictio+ for i+citeme+t9E AFN<B The I/T se+te+ced Streicher to death for the a+ti2Semitic artic-es he 7u#-ished i+ his :ee@- +e:s7a7er Der StRrmer9 AFN%B I+ its 8ud6me+t! the I/T quoted +umerous i+sta+ces :here Der StRrmer ca--ed for the e=termi+atio+ of 3e:s9 AFNJB 0-thou6h Streicher! commo+- referred to as E3e:2Baiter Num#er O+e!E de+ied a+ @+o:-ed6e of 3e:ish mass e=ecutio+s! the I/T fou+d he re6u-ar- recei"ed i+formatio+ o+ the de7ortatio+ a+d @i--i+6 of 3e:s i+ Easter+ &/44 Euro7e9 AFN'&B Si6+ifica+t- ! the 8ud6me+t does +ot 7osit a direct causa- -i+@ #et:ee+ Streicher;s 7u#-icatio+ a+d a+ s7ecific acts of murder9 I+stead! it refers to his :or@ as a 7oiso+ Ei+8ected i+ to the mi+ds of thousa+ds of Ierma+s :hich caused them to fo--o: the ANaHiB 7o-ic of 3e:ish 7ersecutio+ a+d e=termi+atio+9E AFN''B 1hi-e ac@+o:-ed6i+6 that Streicher :as +ot a *it-er ad"iser or e"e+ co++ected to NaHi 7o-ic formu-atio+! the I/T +o+ethe-ess fou+d that EStreicher;s i+citeme+t to murder a+d e=termi+atio+ at the time :he+ 3e:s i+ the East :ere #ei+6 @i--ed u+der the most horri#-e co+ditio+s c-earco+stitutes 7ersecutio+ o+ 7o-itica- a+d racia- 6rou+ds i+ co++ectio+ :ith 1ar ,rimes as defi+ed # the AI/TB ,harter! a+d co+stitutes a ,rime a6ai+st *uma+it 9E AFN'$B #9 The *a+s FritHsche ,ase 0-so char6ed :ith i+citeme+t as a crime a6ai+st huma+it ! *a+s FritHsche :as acquitted # the I+ter+atio+a- /i-itar Tri#u+a-9 AFN'(B *ead of the Radio Sectio+ of the Pro7a6a+da /i+istr duri+6 the :ar! FritHsche :as :e-- @+o:+ for his :ee@- #roadcasts9 AFN')B I+ his defe+se! FritHsche asserted that he had refused requests from NaHi Pro7a6a+da /i+ister 3ose7h Ioe##e-s to i+cite a+ta6o+ism a+d arouse hatred! a+d that he had +e"er "oiced the theor of the Emaster race9E AFN'5B I+ fact! he c-aimed! he had e=7ress- 7rohi#ited the term from #ei+6 used # the Ierma+ 7ress a+d radio that he co+tro--ed9 *e a-so testified that he had e=7ressed his co+cer+ o"er the co+te+t of Streicher;s +e:s7a7er! Der StRrmer! a+d that he had tried t:ice to #a+ it9 AFN'4B I+ acquitti+6 FritHsche! the I/T fou+d he had +ot e=ercised co+troo"er the formu-atio+ of 7ro7a6a+da 7o-icies a+d that he had #ee+ a mere co+duit of directi"es 7assed do:+ to him9 1ith re6ard to the char6e that he had i+cited the commissio+ of :ar crimes # de-i#erate- fa-sif i+6 +e:s to arouse 7assio+s i+ the Ierma+ 7eo7-e! the I/T fou+d +o e"ide+ce FritHsche @+e: a+ such i+formatio+ :as fa-se9 AFN'<B &/45 $9 I+ter+atio+a- ,o+"e+tio+s a9 The Ie+ocide ,o+"e+tio+ I+ the :a@e of NaHi atrocities! the U9N9 Ie+era- 0ssem#- #e6a+ :or@ o+ a Ie+ocide ,o+"e+tio+ i+ 'J)4 :ith the 7assa6e of Reso-utio+ J4F'G! esta#-ishi+6 6e+ocide as a crime carr i+6 i+di"idua- accou+ta#i-it u+der i+ter+atio+a- -a:9 AFN'%B The fi+ished 7roduct! ado7ted i+ 'J)%! -isted the acts that co+stitute 6e+ocide a+d the+ e+umerated a se7arate set of acts that :arra+t 7u+ishme+t9 0rtic-e II of the ,o+"e+tio+ defi+es 6e+ocide as a series of acts Fi+c-udi+6! for e=am7-e! @i--i+6 a+d causi+6 serious #odi- or me+ta- harmG committed :ith the i+te+t to destro ! i+ :ho-e or i+ 7art! a +atio+a-! eth+ic! racia- or re-i6ious 6rou7! as such9 0rtic-e III the+ states that a +um#er of re-ated acts committed i+ furthera+ce of 0rtic-e II sha-- a-so #e 7u+isha#-e9 This i+c-udes Edirect a+d 7u#-ic i+citeme+t to commit 6e+ocide9E AFN'JB #9 Other I+ter+atio+a- ,o+"e+tio+s Not:ithsta+di+6 the Ie+ocide ,o+"e+tio+! there is a+ i+here+t te+sio+ i+ i+ter+atio+a- -a: #et:ee+ the ri6ht to #e free from discrimi+atio+ a+d the ri6ht to freedom of e=7ressio+9 AFN$&B The U+i"ersa- &/4$ Dec-aratio+ of *uma+ Ri6hts! AFN$'B for e=am7-e! 7ro"ides i+ 0rtic-e < that E0-- are e+tit-ed to equa- 7rotectio+ a6ai+st a+ discrimi+atio+9 9 9a+d a6ai+st a+ i+citeme+t to such discrimi+atio+9E AFN$$B 0rtic-e 'J! o+ the other ha+d! states: EE"er o+e has the ri6ht to freedom of o7i+io+ a+d e=7ressio+9E AFN$(B The I+ter+atio+a- ,o"e+a+t o+ ,i"i- a+d Po-itica- Ri6hts FI,,PRG AFN$)B 7ro"ides i+ 0rtic-e 'JF$G that EAeB"er o+e sha-- ha"e the ri6ht to freedom of e=7ressio+!E AFN$5B :hi-e +oti+6 i+ 0rtic-e 'JF(G that the e=ercise of this ri6ht Ecarries :ith it s7ecia- duties a+d res7o+si#i-itiesE a+d ma therefore #e su#8ect to certai+ +ecessar restrictio+s: Efor res7ect of the ri6hts or re7utatio+s of others!E a+d Efor the 7rotectio+ of +atio+a- securit or of 7u#-ic order! or of 7u#-ic hea-th or
Pa6e 5
mora-s9E AFN$4B 0rtic-e $&F$G 6oes e"e+ further! 7ro"idi+6 that EAaB+ ad"ocac of +atio+a-! racia- or re-i6ious hatred that co+stitutes i+citeme+t to discrimi+atio+! hosti-it or "io-e+ce sha-- #e 7rohi#ited # -a:9E AFN$<B Simi-ar to the d +amic #et:ee+ 0rtic-es 'JF$G a+d F(G of the I,,PR! 0rtic-e '&F'G of the Euro7ea+ ,o+"e+tio+ o+ *uma+ Ri6hts 7ro"ides for the ri6ht to freedom of e=7ressio+ AFN$%B :hi-e 0rtic-e '&F$G restricts such freedom! for e=am7-e! Ei+ the i+terests of +atio+a- securit E a+d Efor the 7rotectio+ of the re7utatio+ or ri6hts of others9E AFN$JB Li@e the I,,PR! a #a-a+ci+6 test is em7-o ed that co+siders: F'G :hether the restrictio+s are 7rescri#ed # -a:D F$G :hether their aim is -e6itimateD a+d F(G :hether the ca+ #e co+sidered +ecessar i+ a democratic societ 9 O"era--! this requires a E7ressi+6 socia- +eedE a+d a+ i+ter"e+tio+ E7ro7ortio+ate to the -e6itimate aims 7ursued9E AFN(&B /ore strict- focused o+ cur#i+6 hate s7eech! the I+ter+atio+a- &/41 ,o+"e+tio+ o+ the E-imi+atio+ of a-- Forms of Racia- Discrimi+atio+ F,ERDG requires States Parties to dec-are as a+ offe+se 7u+isha#-e # -a: Ea-- dissemi+atio+ of ideas #ased o+ racia- su7eriorit or hatred! i+citeme+t to racia- discrimi+atio+! as :e-- as a-- acts of "io-e+ce or i+citeme+t to such acts a6ai+st a+ race or 6rou7 of 7erso+s of a+other co-or or eth+ic ori6i+! a+d a-so the 7ro"isio+ of a+ assista+ce to racist acti"ities! i+c-udi+6 the fi+a+ci+6 thereof9E AFN('B The ,ERD a-so requires the 7rohi#itio+ of or6a+iHatio+s a+d a-- other or6a+iHed 7ro7a6a+da acti"ities that E7romote a+d i+cite racia- discrimi+atio+!E a+d the reco6+itio+ of 7artici7atio+ i+ such or6a+iHatio+s or acti"ities as a+ offe+se 7u+isha#-e # -a:9 AFN($B B9 Domestic La:s 1ithi+ i+di"idua- cou+tries! -a:s re6u-ati+6 hate s7eech ca+ #e 7-aced i+ "arious cate6ories9 0t o+e e+d of the s7ectrum are cou+tries such as De+mar@ a+d the Nether-a+ds! :here hate s7eech -a:s are acti"e- e+forced a+d 7remised o+ the +eed to 7rotect huma+ di6+it quite a7art from a+ i+terest i+ safe6uardi+6 7u#-ic order9 AFN((B 0t the other e+d of the s7ectrum is the U+ited States! routi+e- co+sidered the most s7eech27rotecti"e cou+tr 9 The First 0me+dme+t to the U9S9 ,o+stitutio+ 7ro"ides that the 6o"er+me+t ma Ema@e +o -a:9 9 9a#rid6i+6 the freedom of s7eech! or of the 7ress9E AFN()B The U+ited States! u+-i@e 7erha7s a+ other +atio+! has re-ied o+ freedom of e=7ressio+! as o77osed to su77ressio+! to e=7ose i+imica- ideas! mar6i+a-iHe them! a+d there# 7romote a+d safe6uard democrac 9 I+ 'J'J! 3ustice *o-mes fi-ed a disse+t i+ 0#rams "9 U+ited States AFN(5B i+ :hich he i+troduced the Emar@et7-ace of ideasE meta7hor to e+ca7su-ate the U9S9 co+ce7t of freedom of s7eech9 I+ the mar@et7-ace meta7hor! ideas com7ete a6ai+st o+e a+other for acce7ta+ce22:ith the u+der- i+6 faith that truth :i-- 7re"ai- i+ such a+ o7e+ e+cou+ter9 AFN(4B &/44 0-thou6h hi6h- s7eech27rotecti"e! the First 0me+dme+t does +ot 7rotect a-- s7eech9 3ustice *o-mes himse-f :rote i+ Froh:er@ "9 U+ited States! EA1Be "e+ture to #e-ie"e that +either *ami-to+ +or /adiso+! +or a+ other com7ete+t 7erso+ the+ or -ater! e"er su77osed that to ma@e crimi+a- the cou+se-i+6 of a murder :ithi+ the 8urisdictio+ of ,o+6ress :ou-d #e a+ u+co+stitutio+a- i+terfere+ce :ith free s7eech9E AFN(<B The U9S9 Su7reme ,ourt i+ Bra+de+#ur6 "9 Ohio formu-ated a test for :hether such s7eech :ou-d qua-if for co+stitutio+a- 7rotectio+9 It he-d that the First 0me+dme+t :i-- +ot 7rotect s7eech that Eis directed to i+citi+6 or 7roduci+6 immi+e+t -a:-ess actio+ a+d is -i@e- to 7roduce such actio+9E AFN(%B ,9 I,TR La: '9 The I,TR Statute Res7o+di+6 to the massacre of hu+dreds of thousa+ds of Tutsis a+d moderate *utus i+ 'JJ)! the Securit ,ou+ci-! acti+6 u+der ,ha7ter ?II of the U9N9 ,harter! created the I+ter+atio+a- ,rimi+a- Tri#u+a- for R:a+da FI,TRG # Reso-utio+ J55 of No"em#er %! 'JJ)9 The I,TR :as esta#-ished for the 7rosecutio+ of 7erso+s res7o+si#-e for 6e+ocide a+d other serious "io-atio+s of i+ter+atio+a- huma+itaria+ -a: committed i+ the territor of R:a+da #et:ee+ 3a+uar '! 'JJ) a+d Decem#er ('! 'JJ)9 The I,TR is 6o"er+ed # its Statute! :hich is a++e=ed to Securit ,ou+ci- Reso-utio+ J559 AFN(JB The I,TR;s su#8ect matter i+c-udes the crimes of 6e+ocide F0rtic-e $ of the Statute! :hich e+com7asses co+s7irac !
Pa6e 4
com7-icit ! a+d direct a+d 7u#-ic i+citeme+tGD crimes a6ai+st huma+it F0rtic-e ( of the Statute! :hich i+c-udes! i+ter a-ia! murder! e=termi+atio+! a+d 7ersecutio+GD a+d "io-atio+s of 0rtic-e ( commo+ to the Ie+e"a ,o+"e+tio+s a+d of 0dditio+a- Protoco- II F0rtic-e ) of the StatuteG9 AFN)&B I+ order to attach i+di"idua- -ia#i-it to these crimes! 0rtic-e 4 of the Statute dea-s :ith EI+di"idua- ,rimi+aRes7o+si#i-it 9E 0rtic-e 4F'G &/46 i+cu-7ates i+di"idua-s for their o:+ acts of 7-a++i+6! i+sti6ati+6! orderi+6! committi+6 or other:ise aidi+6 a+d a#etti+6 i+ the 7-a++i+6! 7re7aratio+ or e=ecutio+ of a crime referred to i+ 0rtic-es $ to ) of the Statute9 Pursua+t to 0rtic-e 4F(G Fthe E superiorE or Ecomma+dE respo"si,ility 7ro"isio+G! the fact that crimi+a- acts :ere committed # a su#ordi+ate does +ot re-ie"e the superior of crimi+a- respo"si,ility if the superior @+e: or had reaso+ to @+o: that the su#ordi+ate :as a#out to commit such acts or had do+e so a+d the superior fai-ed to ta@e +ecessar a+d reaso+a#-e measures to 7re"e+t such acts or to 7u+ish the 7er7etrators thereof9 AFN)'B 0s a com7-eme+t to EdirectE i+di"iduacrimi+a- -ia#i-it ! Ecomma+dE or E superiorD respo"si,ility assi6+s crimi+arespo"si,ility to a -eader :ho fai-s to co+tro- his or her su#ordi+ates a+d is thus a form of im7uted cu-7a#i-it #ased o+ the -eader;s omissio+s9 AFN)$B Traditio+a-- ! a+d co+siste+t :ith I,TR Statute 0rtic-e 4F(G! the doctri+e has three e-eme+ts: F'G su7erior2su#ordi+ate re-atio+shi7D F$G @+o:-ed6eD a+d F(G i+actio+9 AFN)(B $9 The Prosecutor "9 0@a esu I+ its first a+d 7erha7s most historic 8ud6me+t to date! the I,TR fou+d Ta#a commu+e /a or 3ea+2Pau- 0@a esu 6ui-t of 6e+ocide a+d crimes a6ai+st huma+it for the murder a+d ra7e of Tutsis # *utus! i+c-udi+6 the -oca- I+teraham:e mi-itia! i+ Ta#a9 AFN))B It :as the first co+"ictio+ for 6e+ocide fo--o:i+6 a tria- si+ce the si6+i+6 of the Ie+ocide ,o+"e+tio+9 0mo+6 other 6rou+d2#rea@i+6 decisio+s! AFN)5B the Tri#u+a- fou+d 0@a esu 6ui-t of direct a+d 7u#-ic i+citeme+t to commit 6e+ocide9 AFN)4B To do so! the Tri#u+a- :as ca--ed u7o+ to i+ter7ret &/59 0rtic-e II (FcG of the I,TR Statute! :hich mirrors 0rtic-e III F#G of the Ie+ocide ,o+"e+tio+9 I+ 0@a esu! the Tri#u+a- #e6a+ # 7oi+ti+6 out that Eat the time the ,o+"e+tio+ o+ Ie+ocide :as ado7ted! the de-e6ates a6reed to e=7ress- s7e-- out direct a+d 7u#-ic i+citeme+t to commit 6e+ocide as a s7ecific crime! i+ 7articu-ar! #ecause of its critica- ro-e i+ the 7-a++i+6 of a 6e+ocide9E AFN)<B I+ this re6ard! the de-e6ate from the USSR stated! EIt :as im7ossi#-e that hu+dreds of thousa+ds of 7eo7-e shou-d commit so ma+ crimes u+-ess the had #ee+ i+cited to do so a+d u+-ess the crimes had #ee+ 7remeditated a+d carefu-- or6a+iHed9E AFN)%B The So"iet de-e6ate :e+t o+ to as@ Eho: i+ those circumsta+ces! the i+citers a+d or6a+iHers of the crime cou-d #e a--o:ed to esca7e 7u+ishme+t! :he+ the :ere the o+es rea-- res7o+si#-e for the atrocities committed9E AFN)JB The Tri#u+a- determi+ed that 0@a esu committed this crime # -eadi+6 a+d addressi+6 a 7u#-ic 6atheri+6 i+ Ta#a o+ 07ri- 'J! 'JJ)! duri+6 :hich he ur6ed the 7o7u-atio+ to u+ite i+ order to e-imi+ate :hat he referred to as the so-e e+em : the accom7-ices of the EI+@ota+ iE22a dero6ator refere+ce to Tutsis9 This :as u+derstood to #e a ca-- to @i-- the Tutsis i+ 6e+era-9 AFN5&B /ai+- o+ the #asis of 0rtic-e J' of the R:a+da+ Pe+a- ,ode! the Tri#u+a- defi+ed the crime of direct a+d 7u#-ic i+citeme+t to commit 6e+ocide as direct- 7ro"o@i+6 a+other to commit 6e+ocide throu6h s7eeches at 7u#-ic 6atheri+6s! or throu6h the sa-e or dissemi+atio+ of :ritte+ or audio"isua- commu+icatio+! a+d co+sidered the crime to ha"e #ee+ committed :hether or +ot such 7u#-ic i+citeme+t :as successfu-9 AFN5'B 0 crucia- as7ect of the Tri#u+a-;s factua- fi+di+6s i+"o-"ed ascertai+i+6 :he+ the @i--i+6 of Tutsis i+ Ta#a #e6a+9 AFN5$B The Tri#u+a- sou6ht to demo+strate a +e=us or Ecausa- re-atio+shi7E #et:ee+ 0@a esu;s s7eech a+d the su#seque+t massacres9 AFN5(B The Tri#u+a- o7i+ed that esta#-ishi+6 a E7ossi#-e coi+cide+ceE #et:ee+ 0@a esu;s s7eech a+d the massacres :ou-d +ot #e sufficie+t9 I+stead! Ethere must #e 7roof of a 7ossi#-e causa- -i+@9E AFN5)B The Tri#u+aco+c-uded that there :as a &/5/ causa- -i+@ #et:ee+ 0@a esu;s s7eech a+d the e+sui+6 Tutsi massacres o+ 07ri- 'J! 'JJ)9 Further! the Tri#u+a- co+sidered that the me+s rea required for the crime of direct a+d 7u#-ic i+citeme+t to commit 6e+ocide -ies i+ the i+te+t direct- to 7rom7t or 7ro"o@e a+other to commit 6e+ocide9 The 7erso+ :ho i+cites others to commit 6e+ocide must himse-f ha"e the s7ecific i+te+t to commit 6e+ocide! +ame- ! to destro ! i+ :ho-e or i+ 7art! a
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+atio+a-! eth+ic! racia-! or re-i6ious 6rou79 AFN55B Based o+ the circumsta+ces surrou+di+6 0@a esu;s co+duct! the Tri#u+a- fou+d he had the requisite me+s rea9 0dditio+a-- ! the Tri#u+a- fou+d that the E7u#-icE e-eme+t of i+citeme+t to commit 6e+ocide ma #e determi+ed i+ -i6ht of t:o factors: AFN54B the 7-ace :here the i+citeme+t occurred a+d :hether or +ot Eassista+ceE :as Ese-ecti"eE or E-imited9E AFN5<B 0ccordi+6 to the Tri#u+a-! a -i+e of authorit commo+- fo--o:ed i+ ci"i- -a: s stems :ou-d re6ard :ords as #ei+6 E7u#-icE :here the :ere Es7o@e+ a-oudE i+ a 7-ace that :as 7u#-ic E# defi+itio+9E It co+c-uded # citi+6 the I+ter+atio+a- La: ,ommissio+ for the 7ro7ositio+ that 7u#-ic i+citeme+t is characteriHed # Ea ca-- for crimi+aactio+ to a +um#er of i+di"idua-s i+ a 7u#-ic 7-aceE or to Emem#ers of the 6e+era- 7u#-ic at -ar6e # such mea+s as the mass media! for e=am7-e! radio or te-e"isio+9E AFN5%B /oreo"er! i+ determi+i+6 :hether 0@a esu;s s7eech co+stituted EdirectE a+d 7u#-ic i+citeme+t! the Tri#u+a- he-d Ethat the direct e-eme+t of i+citeme+t shou-d #e "ie:ed i+ the -i6ht of its cu-tura- a+d -i+6uistic co+te+t9E AFN5JB Thus! :hi-e a 7articu-ar s7eech ma #e 7ercei"ed as EdirectE i+ o+e cou+tr ! it :ou-d +ot! de7e+di+6 o+ the audie+ce! #e so 7ercei"ed i+ a+other cou+tr 9 AFN4&B Based o+ this! the Tri#u+a- he-d that a case2# 2case factua- i+quir :ou-d #e +ecessar 9 That i+quir :ou-d co+sist of determi+i+6 E:hether the 7erso+s for :hom the messa6e :as i+te+ded immediate- 6ras7ed the im7-icatio+ thereof9E AFN4'B I+ 0@a esu! the Tri#u+a- re-ied o+ #oth e=7ert a+d fact :it+ess &/52 testimo+ to co+duct this i+quir 9 I+ 7articu-ar! the Tri#u+a- co+sidered the testimo+ of Dr9 /athias RuHi+da+a! Professor of Li+6uistics at the U+i"ersit of R:a+da9 AFN4$B I+ his s7eech! 0@a esu i+sisted that his -iste+ers @i-- the EI+@ota+ i9E Dr9 RuHi+da+a e=ami+ed se"era- R:a+da+ 7u#-icatio+s a+d #roadcasts # RTL/9 From this! he co+c-uded that! at the time of the e"e+ts i+ questio+! the term EI+@ota+ iE :as equi"a-e+t to ERPF s m7athiHerE AFN4(B or ETutsi9E /oreo"er! the Tri#u+a- 7oi+ted out that se"era7rosecutio+ :it+esses corro#orated RuHi+da+a # testif i+6 that :he+ 0@a esu ur6ed the audie+ce to @i-- the EI+@ota+ i!E his -iste+ers u+derstood that as a ca-- to @i-- Tutsis9 AFN4)B Based o+ this! the Tri#u+a- ru-ed that the 7rosecutio+ had 7ro"ed that i+ the co+te=t of the time! 7-ace a+d circumsta+ces of 0@a esu;s s7eech! EI+@ota+ iE mea+t ETutsi9E AFN45B Fi+a-- ! u+re-ated to his acts of i+citeme+t #ut sti-- re-e"a+t for 7ur7oses of this 0rtic-e! the Tri#u+a- co+sidered :hether 0@a esu cou-d #e he-d crimi+a-- res7o+si#-e for se=ua- crimes committed # his su#ordi+ates F,ou+ts '(2'522crimes a6ai+st huma+it G u+der 0rtic-e 4F(G of the Statute9 To #e6i+! the Tri#u+a- co+sidered the me+s rea required for su7erior res7o+si#i-it 9 It fou+d that Eit is certai+- 7ro7er to e+sure that there has #ee+ ma-icious i+te+t! or! at -east! e+sure that +e6-i6e+ce :as so serious as to #e ta+tamou+t to acquiesce+ce or e"e+ ma-icious i+te+t9E AFN44B Ne"erthe-ess! the Tri#u+a- :e+t o+ to co+c-ude that 0rtic-e 4F(G;s a77-icatio+ to ci"i-ia+s is +ot c-ear a+d shou-d #e decided o+ a case2# 2 case #asis: The ,ham#er therefore fi+ds that i+ the case of ci"i-ia+s! the a77-icatio+ of the 7ri+ci7-e of i+di"iduacrimi+ares7o+si#i-it ! e+shri+ed i+ 0rtic-e 4F(G! to ci"i-ia+s remai+s co+te+tious9 06ai+st this #ac@6rou+d! the ,ham#er ho-ds that it is a77ro7riate to assess o+ a case # case #asis the 7o:er of authorit actua-- de"o-"ed u7o+ the 0ccused i+ order to determi+e :hether or +ot he had the 7o:er to ta@e a-- +ecessar a+d reaso+a#-e measures to 7re"e+t the commissio+ of the a--e6ed crimes or to 7u+ish the 7er7etrators thereof9 AFN4<B &/55 0-thou6h Ethe e"ide+ce su77orted a fi+di+6 that a su7erior/ su#ordi+ate re-atio+shi7 e=istedE #et:ee+ 0@a esu a+d the I+teraham:e :ho :ere at the #ureau commu+a-! the Tri#u+a- focused o+ the I+dictme+t;s fai-ure to descri#e the re-atio+shi7 Fsu7erior/ su#ordi+ateG i+ 7recise- those terms9 Therefore! the Tri#u+a- fou+d it cou-d +ot co+sider 0@a esu;s 6ui-t u+der 0rtic-e 4F(G9 AFN4%B (9 The Prosecutor "9 Ru66iu Ieor6es Ru66iu! a Be-6ia+ +atio+a- a+d the o+- Euro7ea+ i+dicted # the Tri#u+a- to date! 7-ed 6ui-t to o+e cou+t each of direct a+d 7u#-ic i+citeme+t to 6e+ocide a+d crimes a6ai+st huma+it F7ersecutio+G9 AFN4JB *e :as se+te+ced to t:e-"e ears im7riso+me+t9 0-thou6h the decisio+ did +ot #rea@ +e: -e6a- 6rou+d re6ardi+6 the crime of i+citeme+t! it did 7ro"ide "a-ua#-e i+si6ht i+to the Tri#u+a-;s 7erce7tio+ of RTL/;s acti"ities! a+d the crimi+a- res7o+si#i-it of its o7erators! duri+6 the 6e+ocide9 AFN<&B
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I+ its 8ud6me+t se+te+ci+6 Ru66iu! the Tria- ,ham#er +oted that he had 7-a ed a critica- ro-e i+ the i+citeme+t of eth+ic hatred a+d "io-e+ce that RTL/ "i6orous- 7ursued: EThrou6h his #roadcasts at the RTL/! he e+coura6ed setti+6 u7 of road #-oc@s a+d co+6ratu-ated 7er7etrators of massacres of the Tutsi at these road #-oc@s9E AFN<'B I+ this re6ard! the Tri#u+a- o7i+ed that the Streicher 8ud6me+t :as 7articu-ar- re-e"a+t si+ce Ru66iu! -i@e Streicher! i+fected 7eo7-e;s mi+ds :ith eth+ic hatred a+d 7ersecutio+9 AFN<$B The Tria- ,ham#er further +oted that his #roadcasts co+ti+ued to ca-- u7o+ the 7o7u-atio+! 7articu-ar- the mi-itar a+d the I+teraham:e mi-itia! to fi+ish off Ethe 'J5J re"o-utio+E22a+ i+citeme+t to massacre the e+tire Tutsi 7o7u-atio+9 It a-so 7oi+ted out that Ru66iu E:a6ed a media :ar a6ai+st the Be-6ia+s o"er the RTL/!E attac@i+6 the &/54 i+ter+atio+a7o-ic ado7ted # the Be-6ia+ 6o"er+me+t to:ards R:a+da9 AFN<(B The -ast a66ra"ati+6 factor +oted :as that Ru66iu co+ti+ued to :or@ for RTL/ a+d to i+cite hatred a6ai+st Tutsis! *utu 7o-itica- o77o+e+ts! a+d Be-6ia+s! e"e+ after he #ecame a:are that the #roadcasts of RTL/ :ere co+tri#uti+6 to the massacres9 AFN<)B III9 The Prosecutor "9 Nahima+a 09 The Facts '9 Bac@6rou+d R:a+da;s -e6ac of eth+ic "io-e+ce is of re-ati"e- rece+t "i+ta6e9 AFN<5B Be-6ium! :hich admi+istered the cou+tr 7ursua+t to a Lea6ue of Natio+s ma+date after 1or-d 1ar I! used the mi+orit Tutsis Frou6h- te+ 7erce+t of the 7o7u-atio+G to admi+ister the co-o+ a+d co+ferred o+ them ma+ 7ri"i-e6es22 such as access to educatio+! trai+i+6 a+d 8o#s22that :ere de+ied to *utus9 AFN<4B The *utus #ecame rese+tfu- of this dis7arate treatme+t9 B the -ate 'J5&s! the #e6a+ dema+di+6 a 6reater share of 7o:er a+d a+ im7ro"eme+t i+ their -i"i+6 co+ditio+s9 AFN<<B This -ed to a 'J5J *utu u7risi+6 i+ :hich Tutsis :ere massacred throu6hout the cou+tr 9 AFN<%B Thus! a c c-e of "io-e+ce :as i+au6urated! :hich co+ti+ued :ith i+de7e+de+ce i+ 'J4$ a+d the e-ectio+ of IrS6oire .a a#a+da as Preside+t of the First Re7u#-ic9 AFN<JB The .a a#a+da ears :ere mar@ed # co+ti+ui+6 *utu "io-e+ce a6ai+st Tutsis! ma+ of :hom too@ refu6e i+ &/55 +ei6h#ori+6 cou+tries! such as U6a+da9 AFN%&B The re6ime e"e+tua-- desta#i-iHed! a--o:i+6 Ie+era- 3u"e+a*a# arima+a! 0rm ,hief of Staff! to seiHe 7o:er throu6h a cou7 o+ 3u- 5! 'J<(9 *a# arima+a i+stituted a o+e27art s stem :ith the creatio+ of the /ou"eme+t rS"o-utio++aire +atio+a- 7our -e dS"e-o77eme+t F/RNDG9 AFN%'B *a# arima+a -ar6e- ma+a6ed to @ee7 the -id o+ a+ti2Tutsi "io-e+ce for the +e=t se"e+tee+ ears9 *o:e"er! # 'J%J! :or-d coffee 7rices! :hich had he-7ed #uo the R:a+da+ eco+om ! had co--a7sed a+d the cou+tr :as a6ai+ desta#i-iHed9 AFN%$B O+ Octo#er '! 'JJ&! some 5!&&& :e--2armed Tutsi e=i-es22co--ecti"e- ca--ed the R:a+da+ Patriotic Fro+t FRPFG22i+"aded R:a+da from their #ase i+ U6a+da! -ed # curre+t 7reside+t Pau- .a6ame9 AFN%(B 1ithi+ da s! the R:a+da+ arm :e+t o+ a ram7a6e a+d s-au6htered Tutsis sus7ected of co--a#orati+6 :ith the RPF9 AFN%)B 0fter a+other t:o ears of hi6h eth+ic te+sio+ a+d "io-e+ce! as :e-- as 7ressure from i+ter+atio+a- do+ors! *a# arima+a a+d the RPF si6+ed the 0rusha Peace 0ccords22desi6+ed to 6i"e the RPF a 7-ace i+ the R:a+da+ 6o"er+me+t a+d mi-itar 9 AFN%5B E=tremist *utus de7-ored the 0rusha 0ccords9 AFN%4B Preside+t *a# arima+a! for his 7art! 7roceeded to sta-- o+ setti+6 u7 the 7o:er2shari+6 6o"er+me+t9 AFN%<B E=tremist *utus! #ecomi+6 more a6itated! started the E*utu Po:erE mo"eme+t! s7earheaded # the ,DR Part a+d its -eader 3ea+ Bosco Bara a6:iHa9 AFN%%B The e=tremists #e6a+ to 7our si6+ifica+t resources i+to trai+i+6 a+d armi+6 outh mi-itia 6rou7s22the I+teraham:e Fattached to *a# arima+a;s /RND 7art G a+d the Im7uHamu6am#i Fthe ,DR;s outh mi-itiaG9 AFN%JB 0-so at this time! Ferdi+a+d Nahima+a a+d 3ea+ Bosco Bara a6:iHa esta#-ished the &/5$ e=tremist radio statio+! Radio Te-e"isio+ Li#re des /i--e ,o--i+es FRTL/G! a+d #e6a+ #roadcasti+6 Tutsi hate screeds9 AFNJ&B E=tremist +e:s7a7ers such as .a+6ura! ru+ # *assa+ N6eHe! i+cited Tutsi hatred as :e-- throu6h the 7ri+t media9 AFNJ'B *uma+ ri6hts 6rou7s #e6a+ to :ar+ the i+ter+atio+a- commu+it of a+ im7e+di+6 ca-amit 9 The :ere 7ro7hetic9 O+ 07ri- 4! 'JJ)! the *utu e=tremists #e6a+ to im7-eme+t a 7-a+ of 6e+ocide9 Preside+t
Pa6e J
*a# arima+a a+d the 7reside+t of Buru+di! , 7rie+ Ntar amira! :ere @i--ed that da :he+ *a# arima+a;s 7-a+e :as shot do:+ +ear .i6a-i 0ir7ort9 AFNJ$B That +i6ht the 6e+ocide #e6a+ :he+ a -ist of Tutsis a+d *utu moderates :ere s stematica-- murdered i+ .i6a-i9 AFNJ(B Su#seque+t- ! throu6hout the cou+tr ! the R:a+da+ 0rmed Forces FF0RG! the Preside+tia- Iuard! a+d the I+teraham:e/Im7uHamu6am#i! at the #ehest of +atio+a- a+d -oca- 7o-iticia+s! set u7 road#-oc@s9 The+! i+ e"er 7refect! commu+e! a+d ce--u-e the :e+t from house to house! @i--i+6 Tutsis a+d moderate *utus9 The :ere e=horted a+d i+structed # RTL/! :hich -ed the @i--ers to the -ocatio+ of "ictims o"er the air:a"es9 The @i--i+6s :ere es7ecia-- 6ruesome9 /ost "ictims :ere hac@ed to death :ith machetes9 ,o+6re6a+ts :ere s-au6htered i+ churches a+d 7atie+ts i+ hos7ita-s9 These sacred com7-e=es #ecame ma@eshift co+ce+tratio+ cam7s9 AFNJ)B B 3u- ! as ma+ as %&&!&&& Tutsis :ere murdered9 AFNJ5B $9 The Defe+da+ts a9 *assa+ N6eHe *assa+ N6eHe :as #or+ i+ R:a+da o+ Decem#er $5! 'J5<! i+ Ru#a"u commu+e! Iise+ i 7refecture9 *e #e6a+ :or@i+6 as a 8our+a-ist i+ 'J<%9 AFNJ4B B 'JJ&! he :as :or@i+6 for the i+de7e+de+t +e:s7a7er .a+6u@a9 AFNJ<B N6eHe -eft .a+6u@a i+ /a 'JJ&9 AFNJ%B N6eHe started 7u#-ishi+6 .a+6ura Ftra+s-ated as E:a@e others u7EG as o:+er a+d editor2i+2chief i+ /a 'JJ&9 The -ast issue of .a+6ura &/51 7u#-ished i+ R:a+da :as No9 5J! :hich a77eared i+ /arch 'JJ)! o+e mo+th #efore the start of the 6e+ocide9 .a+6ura :as co+sidered the #est @+o:+ a+d most :ide- read R:a+da+ +e:s7a7er duri+6 the time of its 7u#-icatio+9 0mo+6 its most +otorious 7ieces :as the so2ca--ed E*utu Te+ ,omma+dme+ts!E 7u#-ished i+ .a+6ura No9 4! i+ Decem#er 'JJ&! :ithi+ a+ artic-e e+tit-ed E077ea- to the ,o+scie+ce of the *utu9E The artic-e itse-f referred to the 'JJ& RPF i+"asio+ a+d :ar+ed readers that the RPF a+d Tutsi Ei+fi-tratorsE :ithi+ the cou+tr :ere attem7ti+6 to co+quer R:a+da a+d im7ose a feuda- mo+arch o+ *utus9 It characteriHed the Tutsi as E#-oodthirst E a+d c-aimed the :ou-d use their mo+e ! :ome+ a+d disho+est to 6ai+ co+tro- o"er the cou+tr 9 *utus :ere ur6ed to Ecease fee-i+6 7it for the TutsiQE a+d to Eta@e a-- +ecessar measures to deter the e+em from -au+chi+6 a fresh attac@9E AFNJJB The artic-e the+ set forth the ETe+ ,omma+dme+ts9E 0mo+6 other thi+6s! the ,omma+dme+ts directed *utus to shu+ Tutsi :ome+! a"oid doi+6 #usi+ess :ith Tutsis or 7ro"ide them :ith 6o"er+me+t 8o#s or 7ositio+s i+ the mi-itar 9 It a-so ordered the E'J5J socia- re"o-utio+E Fduri+6 :hich thousa+ds of Tutsis :ere massacredG #e tau6ht to *utus Eat a-- -e"e-s9E AFN'&&B 0+other i+famous .a+6ura 7u#-icatio+ :as the co"er of No9 $4! issued i+ No"em#er 'JJ'9 The co"er as@ed readers: E*o: a#out re2-au+chi+6 the 'J5J Bahutu re"o-utio+ so that :e ca+ co+quer the I+ e+Hi2Ntusi9E AFN'&'B 0d8oi+i+6 te=t as@ed i+ ca7ita- -etters: E1*0T 1E0PONS S*0LL 1E USE TO ,ONTUER T*E INYENMI ON,E 0ND FOR 0LL>>E 3ust to the -eft of this :as a dra:i+6 of a machete9 AFN'&$B I+ a Fe#ruar 'JJ( artic-e i+ .a+6ura No9 )&! e+tit-ed E0 ,oc@roach ,a++ot Ii"e Birth to a Butterf- !E Tutsis :ere descri#ed as #io-o6ica-- disti+ct from *utus a+d i+here+t- mar@ed # ma-ice a+d :ic@ed+ess9 AFN'&(B I+ fact! throu6hout .a+6ura! Tutsis :ere de+i6rated as :i- ! de"ious! 6reed ! 7o:er2hu+6r ! a+d #-oodthirst 9 Tutsi :ome+ :ere accused of co+s7iri+6 :ith Tutsi me+ to use their se=ua-it to -ure *utu me+ i+to -iaiso+s to 7romote Tutsi eth+ic domi+a+ce o"er *utus9 AFN'&)B The +e:s7a7er ofte+ used crude! 7or+o6ra7hic cartoo+s Fmuch as Streicher did i+ Der StRrmerG to de#ase the Tutsis a+d o77ositio+ *utus9 AFN'&5B &/54 O+- fi"e issues of .a+6ura :ere 7u#-ished i+ 'JJ)9 AFN'&4B The Tri#u+a- descri#ed them as focused more o+ the mi-itar threat 7osed # the RPF a+d the 7ote+tia- #-ood co+seque+ces of a+ RPF attac@9 AFN'&<B O+e feature of the 'JJ) .a+6ura issues stood out! ho:e"er! a+d demo+strated a -i+@ #et:ee+ .a+6ura a+d RTL/9 0 com7etitio+ :as -au+ched i+ .a+6ura Nos9 5% a+d 5J! 7u#-ished i+ /arch 'JJ)! o+e mo+th #efore the #e6i++i+6 of the 6e+ocide9 The com7etitio+ co+sisted of questio+s as@i+6 7artici7a+ts to ide+tif :hich #ac@ issue of .a+6ura co+tai+ed a 7articu-ar te=t9 The 7ur7ose of the com7etitio+ :as stated as Ese+sitiHi+6 the 7u#-ic! :ho -o"es the +e:s7a7er! to its ideas9E AFN'&%B ,ertai+ com7etitio+ 7riHes cou-d E#e see+ at RTL/9E AFN'&JB 0 7ortio+ of the com7etitio+ as@ed readers to e"a-uate "arious RTL/ #roadcasters9 AFN''&B /oreo"er! the com7etitio+ :as 7u#-iciHed o+ RTL/ i+ /arch 'JJ)9 Liste+ers :ere e+coura6ed to 7urchase .a+6ura o+ a+ e=7edited #asis so the cou-d se+d i+ a+s:ers a+d
Pa6e '&
7artici7ate i+ the com7etitio+9 AFN'''B #9 Ferdi+a+d Nahima+a Ferdi+a+d Nahima+a :as #or+ i+ R:a+da o+ 3u+e '5! 'J5& i+ Iato+de commu+e! Ruhe+6eri 7refecture9 Nahima+a :as a histor 7rofessor :ho 6radua-- rose i+ 7romi+e+ce at the Natio+a- U+i"ersit of R:a+da9 *e started i+ 'J<< as a+ assista+t -ecturer of histor at the U+i"ersit 9 1ithi+ o+e ear! he :as e-ected ?ice2Dea+ of the Facu-t of Letters9 *e :as e-e"ated a6ai+ to the 7ositio+ of Dea+ of the Facu-t i+ 'J%&9 From there! he :as +amed Preside+t of the 0dmi+istrati"e ,ommittee i+ 'J%' a+d 0ssista+t Secretar 2Ie+era- i+ 'J%(9 *is rise :as ca77ed # his 7romotio+ to Director of the R:a+da+ Office of I+formatio+ FORINFOR22:hich co+tro--ed the +atio+a- radio statio+! Radio R:a+daG i+ 'JJ&9 *e he-d that 7ositio+ u+ti- 'JJ$9 AFN''$B The Tri#u+a- +oted i+ its 3ud6me+t a+d Se+te+ce that a +um#er of 7rosecutio+ :it+esses testified to Nahima+a;s discrimi+ator 7ractices a6ai+st Tutsis as a u+i"ersit stude+t! 7rofessor! a+d admi+istrator! a+d as Director of ORINFOR9 *o:e"er! the Tri#u+a- did +ot re- o+ this e"ide+ce! characteriHi+6 it as too remote i+ time to the crimi+a&/56 char6es9 AFN''(B Ne"erthe-ess! it did co+sider o+e a--e6atio+ of re-ated 7re"ious crimi+a- co+duct dati+6 to Nahima+a;s te+ure at ORINFOR9 I+ 'JJ$! Nahima+a ordered fi"e #roadcasts o+ Radio R:a+da descri#i+6 a Ecommu+iquSE a--e6ed- fa=ed from Nairo#i Fsus7ected to #e a fa#ricatio+ at the time a+d -ater 7ro"ed to #e suchG re"ea-i+6 a su77osed 7-ot # Tutsis to assassi+ate a 6rou7 of *utu -eaders9 0s a resu-t of these #roadcasts! hu+dreds of Tutsis :ere murdered i+ the Bu6esera re6io+ of R:a+da9 AFN'')B The 7rosecutio+ i+troduced e"ide+ce sho:i+6 that Nahima+a :as termi+ated as ORINFOR Director #ecause of this9 AFN''5B 1ithi+ mo+ths of his dismissa-! Nahima+a seiHed o+ the idea of starti+6 a 7ri"ate radio statio+ that :ou-d #etter ref-ect the "oice of his 7art ! Preside+t *a# arima+a;s /RND9 AFN''4B Nahima+a used his e=te+si"e co+tacts! :ithi+ the 7art a+d as former ORINFOR Director! to set u7 a E,omitS d;i+itiati"eE or ESteeri+6 ,ommitteeE F:hich co+sisted of si= 7eo7-e! i+c-udi+6 Nahima+a a+d Bara a6:iHaG a+d to arra+6e for fi+a+ci+69 The Steeri+6 ,ommittee :as descri#ed # Nahima+a as a 7ro"isio+a- Board of Directors9 AFN''<B De-e6ated authorit to act u+der the aus7ices of the Steeri+6 ,ommittee! Nahima+a :as +amed ,hair of the Tech+ica- a+d Pro6rammi+6 ,ommittee9 AFN''%B The fift fou+di+6 mem#ers Ffi+a+cia- co+tri#utors a+d shareho-dersG of RTL/ re7rese+ted a cross2sectio+ of co+ser"ati"e a+d e=tremist *utus :ithi+ the cou+tr ! i+c-udi+6 mem#ers of the /RND! ,DR a+d -eaders of the I+teraham:e mi-itia9 AFN''JB Nahima+a 7-a ed a ce+tra- ro-e i+ the esta#-ishme+t a+d ma+a6eme+t of the radio statio+9 *e :as o+e of three mem#ers of the Steeri+6 ,ommittee authoriHed to si6+ chec@s o+ #eha-f of the com7a+ 9 AFN'$&B Nahima+a 7rocured the tech+ica- equi7me+t from Euro7e to set u7 the &/$9 radio statio+9 AFN'$'B *e a-so 7artici7ated i+ the hiri+6 of its editor2 i+2chief! Ias7ard Iahi6i! a+d 8our+a-ists! i+c-udi+6 the i+famous .a+ta+o *a#ima+a9 AFN'$$B 0-thou6h the com7a+ e"e+tua-- a77oi+ted a 7ro"isio+a- director! Phocas *a#ima+a! AFN'$(B a+d Nahima+a testified that he e=ercised +o co+tro- o"er the 7ro6rammi+6! co+te+t or da 2to2da ru++i+6 of RTL/! AFN'$)B the e"ide+ce su66ested other:ise9 I+ additio+ to a s-e: of docume+ts te+dered # the 7rosecutio+ sho:i+6 Nahima+a;s co+tro- o"er RTL/ #a+@i+6! cor7orate ma+a6eme+t! a+d 7u#-ic re-atio+s! AFN'$5B the Tri#u+a- e=ami+ed a 'JJ( docume+t e+tit-ed EOr6a+iHatio+ a+d Structure of the Broader I+itiati"e ASteeri+6 ,ommitteeB9E The docume+t -isted four committees o7erati+6 u+der the Steeri+6 ,ommittee! i+c-udi+6 o+e res7o+si#-e for tech+ica- matters a+d 7ro6rams! headed # Nahima+a9 0mo+6 Nahima+a;s su7er"isor fu+ctio+s -isted i+ this ca7acit :as to Ere"ie: a+d 7ossi#- im7ro"e RTL/ 7ro6ram 7o-ic !E Edesi6+ the 6rid for 7i-ot 7ro6rammi+6 from ' 0u6ust to (' Decem#er 'JJ(!E a+d Edesi6+ a 7ro7osed 6rid for radio a+d T? 7ro6rammi+6 to #e su#mitted to the officia- or6a+s of the 6e+era- assem#- 9E AFN'$4B 0dditio+a-- ! Nahima+a admitted i+ his testimo+ that! o+ at -east o+e occasio+ i+ Fe#ruar or /arch 'JJ)! he 7artici7ated Fas a mem#er of the Steeri+6 ,ommitteeG i+ re7rima+di+6 RTL/ 8our+a-ists for a #roadcast i+ :hich I+@ota+ i Fi9e9! RPF or RPF s7iesG :ere ide+tified as #ei+6 i+ a s7ecified "ehic-e headi+6 i+ a certai+ directio+ at a certai+ 7-ace a+d time9 AFN'$<B Fi+a-- ! a 7arade of :it+esses testified to dea-i+6 :ith a+d 7ercei"i+6 Nahima+a i+ the 7eriod #efore the 6e+ocide as the Emai+ #rai+E #ehi+d RTL/ or its E-eader9E AFN'$%B I+ S:iss 8our+a-ist Phi-i77e Dahi+de+;s "ideota7ed i+ter"ie: of Ias7ard Iahi6i! the RTL/ editor2i+2chief referred to Nahima+a as the Eto7 ma+9E AFN'$JB Former .i6a-i Prosecutor Fra+cois2Wa"ier Nsa+Hu:era testified that! :he+ .a+ta+o *a#ima+a :as ca--ed i+ for questio+i+6 i+ co++ectio+ :ith a /arch 'JJ) #roadcast! he to-d Nsa+Hu:era that he &/$/ had sim7- read a te-e6ram
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6i"e+ to him # his su7er"isor! Ferdi+a+d Nahima+a9 AFN'(&B Si6+ifica+t e"ide+ce :as offered re6ardi+6 RTL/;s radio tra+smissio+s duri+6 the 7eriod #et:ee+ its i+itia- #roadcast i+ 3u- 'JJ( AFN'('B a+d the #e6i++i+6 of the 6e+ocide o+ 07ri- 4! 'JJ)9 I+ 6e+era-! the Tri#u+a- a+a- Hed four as7ects of 7re26e+ocide 7ro6rammi+6: F'G 6e+era- efforts to create a+imosit to:ard TutsisD AFN'($B F$G #roadcasts that equated the terms I+ e+Hi a+d I+@ota+ i :ith Tutsis i+ 6e+era-D AFN'((B F(G ac@+o:-ed6eme+ts of RTL/;s re7utatio+ as a+ti2Tutsi a+d i+citi+6 hatred to:ard TutsisD AFN'()B a+d F)G s7ecific e=am7-es of "er#a- attac@s o+ Tutsis9 AFN'(5B The -atter i+c-uded #roadcasti+6 +ames a+d -ocatio+s of i+di"idua-s :ho :ere su#seque+t- tar6eted :ith "io-e+ce9 For i+sta+ce! the Tri#u+a- co+sidered a+ 07ri- (! 'JJ)! #roadcast i+ :hich .a+ta+o *a#ima+a de+ou+ced a doctor i+ , a+6u6u9 Three da s -ater! the doctor :as #ur+t a-i"e i+ fro+t of his house9 AFN'(4B 0mo+6 the e"ide+ce 7rese+ted at tria- :ere accou+ts of the /i+istr of I+formatio+ ta@i+6 the RTL/ Steeri+6 ,ommittee to tas@ for its 7ro6rammi+6 #efore 07ri- 4! 'JJ)9 This e"ide+ce i+c-uded a+ Octo#er $5! 'JJ(! -etter se+t to the Steeri+6 ,ommittee that :ar+ed RTL/ its 7ro6rams :ere Ee+coura6i+6 "io-e+ce9E AFN'(<B There :as a-so e"ide+ce of t:o meeti+6s #et:ee+ the Steeri+6 ,ommittee a+d the /i+ister of I+formatio+9 These meeti+6s too@ 7-ace o+ No"em#er $4! 'JJ(! a+d Fe#ruar '&! 'JJ)! res7ecti"e- 9 AFN'(%B Duri+6 the meeti+6s! the /i+ister of I+formatio+ :ar+ed RTL/ that it :as fome+ti+6 eth+ic hatred a+d "io-e+ce9 0 se6me+t of the Fe#ruar '&! 'JJ)! meeti+6 :as ca7tured o+ "ideota7e9 I+ the "ideota7e! RTL/ :as :ar+ed a6ai+ that it :as stirri+6 u7 eth+ic hatred a+d "io-e+ce a+d it had to sto7 or se"ere measures &/$2 :ou-d #e ta@e+ a6ai+st it9 Ferdi+a+d Nahima+a :as 7ictured i+ the "ideota7e recei"i+6 this :ar+i+6 Fa-o+6 :ith Fe-icie+ .a#u6a a+d 3ea+2Bosco Bara a6:iHaG9 AFN'(JB The Tri#u+a- a-so co+sidered the +ature of RTL/ tra+smissio+s after the 6e+ocide started o+ 07ri- 4! 'JJ)9 It co+c-uded that the same themes 7redomi+ated #ut :ith 6reater i+te+sit 9 AFN')&B I+ additio+! it ide+tified +e: cate6ories of #roadcasts: F'G those ca--i+6 for a #-a+@et e=termi+atio+ of a-- TutsisD AFN')'B F$G those re7orti+6 that e=termi+atio+ had ta@e+ 7-ace a+d 7raisi+6 itD AFN')$B F(G those attac@i+6 UN0/IRD AFN')(B F)G those do:+7-a i+6 the e=termi+atio+ or ur6i+6 the 7o7u-atio+ to hide traces of it to im7ro"e R:a+da;s ima6e amo+6 the i+ter+atio+a- commu+it D AFN'))B a+d F5G those 6i"i+6 i+structio+s to mi-itia ma++i+6 the road#-oc@s9 AFN')5B The Tri#u+a- focused o+ o+e #roadcast i+ 7articu-ar :hich -eft +o dou#t that Tutsis :ere #ei+6 tar6eted for e=termi+atio+ #ecause of their eth+icit 9 I+ the 3u+e )! 'JJ) #roadcast! .a+ta+o *a#ima+a said: O+e hu+dred thousa+d ou+6 me+ must #e recruited ra7id- 9 The shou-d a-- sta+d u7 so that :e @i-- the I+@ota+ i a+d e=termi+ate them! a-- the easier that ATr9B9 9 9the reaso+ :e :i-- e=termi+ate them is that the #e-o+6 to o+e eth+ic 6rou79 Loo@ at the 7erso+;s hei6ht a+d his 7h sica- a77eara+ce9 3ust -oo@ at his sma-- +ose a+d the+ #rea@ it9 AFN')4B 0-thou6h Nahima+a admitted to -imited i+"o-"eme+t :ith RTL/ i+ the 7eriod #efore the 6e+ocide! he c-aimed to ha"e had +o i+"o-"eme+t i+ RTL/ o+ce the 6e+ocide #e6a+9 *e testified that after 07ri- 4 throu6h the e+d of 3u- 'JJ)! the Steeri+6 ,ommittee +o -o+6er e=isted &/$5 a+d there :as a Etota- d sfu+ctio+i+69E AFN')<B *e asserted that RTL/ :as ta@e+ o"er # the arm ! E@id+a77edE # 7eo7-e :ho did +ot ha"e the same o#8ecti"es as its fou+di+6 mem#ers! a+d! he admitted! tra+sformed i+to a Etoo- for @i--i+69E AFN')%B There :as e"ide+ce 7rese+ted that! at the out#rea@ of the 6e+ocide! Nahima+a had ta@e+ refu6e at the Fre+ch em#ass a+d had #ee+ e"acuated # Fre+ch troo7s to Bu8um#ura! Buru+di9 AFN')JB There :as a-so e"ide+ce! ho:e"er! that co+tradicted Nahima+a;s testimo+ 9 For e=am7-e! o+ 07ri- $5! 'JJ)! Nahima+a :as i+ter"ie:ed i+ , a+6u6u! R:a+da o+ Radio R:a+da9 *e referred to himse-f as Eo+e of the fou+ders of RTL/E a+d descri#ed a+ e=cha+6e he had :ith the former Buru+dia+ 0m#assador to .i6a-i9 Nahima+a re7orted te--i+6 him! EI am "er ha77 #ecause I ha"e u+derstood that RTL/ is i+strume+ta- i+ a:a@e+i+6 the ma8orit 7eo7-e9E Nahima+a a-so stated that Etoda ;s :ars are +ot fou6ht usi+6 #u--ets o+- ! it is a-so a :ar AsicB of media! :ords! +e:s7a7ers a+d radio statio+s9E Referri+6 to RTL/ a+d Radio R:a+da! he co+c-uded! E1e :ere satisfied :ith #oth radio statio+s #ecause the i+formed us o+ ho: the 7o7u-atio+ from a-- cor+ers of the cou+tr had stood u7 a+d :or@ed to6ether :ith our armed forces! the armed forces of our cou+tr :ith a "ie: to ha-ti+6 the e+em 9E AFN'5&B Prosecutio+ :it+ess Phi-i77e Dahi+de+ testified that he sa: Nahima+a t:ice i+ Ie+e"a! o+ 3u+e J a+d '5! 'JJ)9 I+ testimo+ #efore the UN *uma+ Ri6hts ,ommissio+! Dahi+de+ had ear-ier stated that Nahima+a! as Ethe s7iritua- -eader a+d @i+67i+ of RTL/E a+d Ethe mai+ ideo-o6ue #ehi+d *utu e=tremism!E shou-d #e 7rosecuted for :ar crimes9 AFN'5'B
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Dahi+de+ had as@ed for a 3u+e J meeti+6 :ith the Preside+t of the I+terim Io"er+me+t! Theodore Si+di@u#:a#o! #ut :as to-d that :as +ot 7ossi#-e9 I+stead! he :ou-d #e recei"ed # Nahima+a! :ho :as :or@i+6 as EPo-itica- 0d"iserE to the Preside+t9 AFN'5$B Dahi+de+ as@ed &/$4 Nahima+a :hether he @+e: a#out the stateme+t Dahi+de+ had made! me+tio+i+6 him! to the UN *uma+ Ri6hts ,ommissio+9 Nahima+a said he @+e: a#out it9 AFN'5(B *e did +ot e=7ress disa77ro"a- to Dahi+de+ of the RTL/ #roadcasts9 AFN'5)B For the 3u+e '5 meeti+6! Dahi+de+ had a6ai+ as@ed to s7ea@ :ith the Preside+t9 This time! Nahima+a a+d Bara a6:iHa met him9 0t some 7oi+t duri+6 this meeti+6! Dahi+de+ as@ed :hether RTL/ :as sti-- o7erati+69 Nahima+a a+d Bara a6:iHa to-d him that RTL/ :as a#out to #e tra+sferred from .i6a-i to Iise+ i9 Dahi+de+ me+tio+ed that he :as ho7i+6 to set u7 a radio statio+ i+ the re6io+9 Bara a6:iHa res7o+ded! i+ a 8o"ia- ma++er! that Dahi+de+;s radio statio+ :ou-d com7ete :ith RTL/9 AFN'55B 0dditio+a- @e e"ide+ce a-so tied Nahima+a to RTL/ duri+6 the 6e+ocide9 0ccordi+6 to the re7ort of 7rosecutio+ e=7ert :it+ess 0-iso+ Des For6es! i+ ear- /a 'JJ)! Nahima+a :as see+ e+teri+6 the /i+istr of Defe+se i+ the com7a+ of RTL/ Pro"isio+a- Director Phocas *a#ima+a9 AFN'54B /ore dam+i+6- ! her re7ort a-so stated that i+ -ate 3u+e a Fre+ch di7-omat! 0m#assador Ya++ic@ Ierard! to-d Nahima+a that the #roadcasts :ere de7-ora#-e a+d must sto7! 7articu-ar- those threate+i+6 Ie+era- Da--aire a+d UN0/IR9 Nahima+a 7romised to i+ter"e+e :ith the 8our+a-ists a+d Ierard re7orted su#seque+t- that RTL/ attac@s o+ Ie+era- Da--aire a+d UN0/IR ha-ted 7rom7t- thereafter9 AFN'5<B &/$5 c9 3ea+2Bosco Bara a6:iHa 3ea+2Bosco Bara a6:iHa :as #or+ i+ 'J5& i+ /utura commu+e! Iise+ i 7refecture! R:a+da9 0 -a: er # trai+i+6! he :as a fou+di+6 mem#er of the e=tremist *utu ,DR 7art ! :hich :as esta#-ished i+ 'JJ$9 Li@e Nahima+a! he :as a mem#er of the ,omitS d;i+itiati"e! :hich or6a+iHed the fou+di+6 of RTL/9 Duri+6 this time! he a-so he-d the 7ost of Director of Po-itica- 0ffairs i+ R:a+da;s /i+istr of Forei6+ 0ffairs9 AFN'5%B 0s RTL/ :as #ei+6 esta#-ished! Bara a6:iHa! co+sidered a E:e-- @+o:+ 8urist i+ R:a+da!E :as chose+ to chair RTL/;s Le6a- ,ommittee! :hich :as tas@ed to dra: u7 artic-es of associatio+9 AFN'5JB Bara a6:iHa :as 6i"e+ such a 7romi+e+t ro-e! i+ 7art! #ecause he :as E@+o:+ # the 6o"er+me+t a+d had ma+ co+tacts! :hich cou-d #e he-7fu- i+ #ri+6i+6 i+ shareho-ders for the com7a+ 9E AFN'4&B I+ /a 'JJ(! Bara a6:iHa :as o+e of three i+di"idua-s Fi+ additio+ to Nahima+a a+d .a#u6aG de-e6ated authorit to act o+ #eha-f of RTL/ Fi+c-udi+6 chec@2si6+i+6 authorit G9 AFN'4'B 0s a mem#er of the ,omitS d;i+itiati"e! Bara a6:iHa 7artici7ated i+ RTL/ ma+a6eme+t -ar6e- to the same e=te+t as Nahima+a9 For e=am7-e! #oth Nahima+a a+d Bara a6:iHa re7rese+ted RTL/ i+ meeti+6s ca--ed # the /i+istr of I+formatio+ to :ar+ RTL/ a#out its 7ro6rammi+69 AFN'4$B 0+d #oth me+ co+ducted RTL/;s #a+@i+6 a+d dea-i+6s :ith shareho-ders9 AFN'4(B I+ a+ 0u6ust 'JJ( i+ter"ie:! RTL/ editor2i+2chief Ias7ard Iahi6i referred to Nahima+a as Ethe to7 ma+E a+d to Bara a6:iHa as E+um#er t:o9E AFN'4)B I+ the 7eriod #efore the 6e+ocide! Bara a6:iHa a-so 7artici7ated i+ RTL/ #roadcasts9 I+ a+ RTL/ #roadcast o+ Decem#er '$! 'JJ(! for e=am7-e! Bara a6:iHa shared :ith RTL/ -iste+ers his o:+ e=7erie+ce as a *utu: 0 *utu chi-d9 9 9-et me ta@e m o:+ e=am7-e! for I :as #or+ a *utu9 A/ 7are+tsB are *utus9 The #rou6ht me u7 as a *utu! I 6re: u7 i+ *utu cu-ture9 I :as #or+ #efore the 'J5J re"o-utio+D m father did forced -a#or9 9 99 / mother used to :eed i+ the fie-ds of the Tutsis :ho :ere i+ 7o:er9 / 6ra+dfather 7aid &/$$ tri#ute mo+e 9 I sa: a-- those thi+6s! a+d :he+ I as@ed them :h the 6o to cu-ti"ate for other 7eo7-e! :eed for other 7eo7-e :he+ our 6arde+s :ere +ot :e-mai+tai+ed! the :ou-d te-- me: EThat is ho: thi+6s areD :e must :or@ for the Tutsis9E The Tutsi had to #e #rou6ht u7 @+o:i+6 that he :as the chief! that the *utu chi-d :as u+der his authorit 9 9 99 No *utu :ou-d share his mea- :ith a TutsiD that :as for#idde+9 It :as i+cu-cated i+ the Tutsis +e"er to eat :ith the *utus a+d :e :ere to-d to fear the Tutsis9 AFN'45B Duri+6 the 6e+ocide! Bara a6:iHa retai+ed a hi6h de6ree of 7o:er i+ R:a+da9 *e :or@ed as a+ ad"isor to R:a+da+ Preside+t Si+di@u#:a#o a+d tra"e-ed to Fra+ce! the U+ited States a+d e-se:here to defe+d the R:a+da+ 6o"er+me+t9 AFN'44B Bara a6:iHa a-so co+ti+ued his re-atio+shi7 :ith RTL/ a+d remai+ed curre+t re6ardi+6 its o7eratio+s9 0s 7roof of this! the Tri#u+a- referred to Bara a6:iHa;s 7rese+ce at the 3u+e '5! 'JJ)! meeti+6 #et:ee+ Nahima+a a+d S:iss 8our+a-ist Phi-i77e Dahi+de+9 0s +oted su7ra! duri+6 the meeti+6! Dahi+de+ as@ed :hether RTL/ :as sti-o7erati+69 Bara a6:iHa! a-o+6 :ith Nahima+a! to-d him that RTL/ :as a#out to #e tra+sferred from .i6a-i to Iise+ i9 Bara a6:iHa me+tio+ed -i6hthearted- that if Dahi+de+ set u7 a radio statio+ i+ the re6io+! :hich Dahi+de+ :as ho7i+6
Pa6e '(
to do! that it :ou-d com7ete :ith RTL/9 AFN'4<B d9 I+teractio+ amo+6 the Three Defe+da+ts Based o+ the testimo+ of se"era- :it+esses! the Tri#u+a- 7ercei"ed Bara a6:iHa as a E- +ch7i+E #et:ee+ Nahima+a a+d N6eHe9 AFN'4%B 077are+t- ! Nahima+a a+d N6eHe did +ot ha"e a "er 6ood re-atio+shi79 AFN'4JB *o:e"er! Nahima+a a+d Bara a6:iHa :or@ed "er c-ose- to6ether i+ the ma+a6eme+t of RTL/9 0t the same time! Bara a6:iHa a+d N6eHe :or@ed "er c-ose- to6ether i+ the ,DR9 0ccordi+6 to o+e :it+ess! Bara a6:iHa a+d N6eHe discussed the ,DR! .a+6ura! a+d RTL/ a-- i+ the co+te=t of the *utu stru66-e a6ai+st the Tutsi9 Based o+ this! the Tri#u+a- 7ercei"ed a+ i+stitutio+a- -i+@ amo+6 Bara a6:iHa F,DR a+d RTL/G! N6eHe F,DR a+d .a+6uraG a+d Nahima+a FRTL/G9 AFN'<&B &/$1 B9 The ,har6es *assa+ N6eHe F#ased 7rimari- o+ his .a+6ura acti"itiesG a+d Ferdi+a+d Nahima+a F#ased 7rimari- o+ his RTL/ acti"itiesG :ere char6ed! 7ursua+t to 0rtic-es $ a+d ( of the Tri#u+a-;s Statute! :ith se"e+ cou+ts: co+s7irac to commit 6e+ocideD 6e+ocideD direct a+d 7u#-ic i+citeme+t to commit 6e+ocideD com7-icit i+ 6e+ocide a+d crimes a6ai+st huma+it F7ersecutio+! e=termi+atio+! a+d murderG9 AFN'<'B N6eHe :as char6ed :ith i+di"idua- res7o+si#i-it for these crimes u+der 0rtic-e 4F'G of the Statute9 *e :as additio+a-- char6ed :ith su7erior res7o+si#i-it u+der 0rtic-e 4F(G :ith res7ect to a-- #ut o+e of the crimes22co+s7irac to commit 6e+ocide9 AFN'<$B Simi-ar- ! Nahima+a :as char6ed u+der 0rtic-e 4F'G of the Statute for his crimes9 *o:e"er! he :as char6ed :ith su7erior res7o+si#i-it u+der 0rtic-e 4F(G o+:ith res7ect to direct a+d 7u#-ic i+citeme+t to commit 6e+ocide a+d crimes a6ai+st huma+it F7ersecutio+G! +ot for 6e+ocide9 AFN'<(B Bara a6:iHa :as char6ed :ith the same crimes9 I+ additio+! he :as char6ed :ith t:o cou+ts of serious "io-atio+s of 0rtic-e ( commo+ to the Ie+e"a ,o+"e+tio+s a+d of 0dditio+a- Protoco- II! 7ursua+t to 0rtic-e ) of the Statute9 *e :as char6ed :ith i+di"idua- res7o+si#i-it u+der 0rtic-e 4F'G of the Statute :ith res7ect to a-- of these cou+ts e=ce7t the 0rtic-e ) char6es9 0dditio+a-- ! he :as char6ed :ith su7erior res7o+si#i-it u+der 0rtic-e 4F(G of the Statute :ith res7ect to a-- cou+ts! e=ce7t that of co+s7irac to commit 6e+ocide9 AFN'<)B Pursua+t to motio+s for acquitta- fi-ed # each defe+da+t! the Tri#u+a-! i+ a decisio+ dated Se7tem#er $5! $&&$! acquitted Nahima+a a+d Bara a6:iHa of crimes a6ai+st huma+it FmurderG9 It further acquitted Bara a6:iHa of the t:o 0rtic-e ) cou+ts9 The 7rosecutio+ had co+ceded that there :as +o e"ide+ce 7rese+ted of these crimes9 AFN'<5B The tria- i+ this case had o7e+ed o+ Octo#er $(! $&&&! a+d e+ded! after $(& tria- da s! o+ 0u6ust $$! $&&(9 AFN'<4B &/$4 ,9 The Decisio+ The Tri#u+a- #e6a+ its a+a- sis of the -e6a- issues # quoti+6 a UN Ie+era- 0ssem#- Reso-utio+! ado7ted i+ 'J)4! :hich dec-ared that freedom of i+formatio+! a fu+dame+ta- huma+ ri6ht! Erequires as a+ i+dis7e+sa#-e e-eme+t the :i--i+6+ess a+d ca7acit to em7-o its 7ri"i-e6es :ithout a#use9 It requires as a #asic disci7-i+e the mora- o#-i6atio+ to see the facts :ithout 7re8udice a+d to s7read @+o:-ed6e :ithout ma-icious i+te+t9E AFN'<<B The Tri#u+a- :e+t o+ to co+sider si6+ifica+t issues raised # certai+ @e char6es i+ the case9 AFN'<%B '9 Ie+ocide ,ou+t T:o of the I+dictme+ts char6ed each defe+da+t! res7ecti"e- ! :ith 6e+ocide 7ursua+t to 0rtic-e $F(GFaG of the Statute9 This tra+s-ates to @i--i+6 mem#ers of a+ eth+ic or racia- 6rou7 Fi+ this case! TutsisG :ith the i+te+t to destro ! i+ :ho-e or i+ 7art! the eth+ic or racia- 6rou7 as such9 0s co+cer+ed their res7ecti"e ro-es i+ the media! +o+e of the defe+da+ts e"er e+6a6ed i+ direct acts Fsuch as @i--i+6 or i+f-icti+6 serious #odi- harmG that cou-d! o+ their face a+d i+ a+d of themse-"es! co+stitute actus reus 7redicates to the crime of 6e+ocide9
Pa6e ')
The Tri#u+a- cou-d -oo@ to some 7recede+t i+ co+sideri+6 :hether these media defe+da+ts committed the crime of 6e+ocide9 The Streicher case! for e=am7-e! dea-t :ith a defe+da+t;s use of the media to i+cite the 7u#-ic duri+6 a time of mass e=termi+atio+s9 I+ additio+! the 0@a esu case i+"o-"ed a s7ea@er addressi+6 a -ar6e! 7u#-ic audie+ce a+d i+citi+6 it to acts of 6e+ocide9 Those 7recede+ts! ho:e"er! :ere of some:hat -imited "a-ue9 I+ the case of Streicher! decided #efore the Ie+ocide ,o+"e+tio+! the defe+da+t :as fou+d 6ui-t of crimes a6ai+st huma+it F7ersecutio+G9 AFN'<JB 0@a esu! for its 7art! :as disti+6uisha#-e #ecause the s7ea@er :as i+ the direct 7rese+ce of his audie+ce a+d ur6ed that &/$6 7articu-ar audie+ce to @i-- a s7ecifica-- ide+tified 6rou7 Fi9e9! the Tutsis of Ta#aG9 AFN'%&B I+ Nahima+a! o+ the other ha+d! the Tri#u+a- :as co+fro+ted :ith a series of +e:s7a7er artic-es Fi+ the case of .a+6uraG a+d radio #roadcasts Fi+ the case of RTL/G issued for the most 7art # 7erso+s other tha+ the defe+da+ts themse-"es! :hich -od6ed 6e+era-iHed attac@s a6ai+st the Tutsi eth+icit 9 AFN'%'B No s7ecific causaco++ectio+ cou-d #e esta#-ished #et:ee+ these artic-es a+d #roadcasts a+d the :ides7read massacres that occurred after 07ri- 4! 'JJ)9 The defe+se seiHed o+ this a+d ar6ued that it :as the do:+i+6 of Preside+t *a# arima+a;s air7-a+e that 7reci7itated the @i--i+6 of i++oce+t Tutsi ci"i-ia+s! +ot the media messa6es9 The Tri#u+a- thou6ht this a+a- sis did +ot 6o far e+ou6h: The ,ham#er acce7ts that this mome+t i+ time Athe do:+i+6 of the air7-a+eB ser"ed as a tri66er for the e"e+ts that fo--o:ed9 That is e"ide+t9 But if the do:+i+6 of the 7-a+e :as a tri66er! the+ RTL/! .a+6ura! a+d ,DR :ere the #u--ets i+ the 6u+9 The tri66er had such a dead- im7act #ecause the 6u+ :as -oaded9 The ,ham#er therefore co+siders the @i--i+6 of Tutsi ci"i-ia+s ca+ #e said to ha"e resu-ted! at -east i+ 7art! from the messa6e of eth+ic tar6eti+6 for death that :as c-ear- a+d effecti"e- dissemi+ated throu6h RTL/! .a+6ura a+d ,DR! #efore a+d after 07ri- 4! 'JJ)9 AFN'%$B The Tri#u+a- co+c-uded: The +ature of media is such that causatio+ of @i--i+6 a+d other acts of 6e+ocide :i-- +ecessari- #e effected # a+ immediate- 7ro=imate cause i+ additio+ to the commu+icatio+ itse-f9 I+ the ,ham#er;s "ie:! this does +ot dimi+ish the causatio+ to #e attri#uted to the media! or the crimi+a- accou+ta#i-it of those res7o+si#-e for the commu+icatio+9 AFN'%(B 0 7i"ota- issue had #ee+ reso-"ed9 AFN'%)B 0ssumi+6 the messa6e cou-d #e &/19 deemed 6e+ocida- a+d 6e+ocide did occur! the fact that the messa6e! :ide- diffused throu6h +e:s7a7ers a+d radio! cou-d +ot #e direct- tied to s7ecific acts of @i--i+6 :ou-d +ot a#so-"e the messa6e;s master of the crime of 6e+ocide9 Thus! the Tri#u+a- fou+d! the su#sta+ti"e crime of 6e+ocide cou-d #e committed throu6h the air:a"es a+d 7ri+t AFN'%5B :ithout tar6eti+6 s7ecific i+di"idua-s9 The questio+ of :hether this mass media messa6e :as i+ fact crimi+a-! ho:e"er! remai+ed to #e reso-"ed9 $9 Direct a+d Pu#-ic I+citeme+t to ,ommit Ie+ocide a9 ,o+te+t The Tri#u+a- +e=t had to e=ami+e the co+te+t of the messa6es at issue to decide :hether the defe+da+ts had e+6a6ed i+ the 7ermissi#-e e=ercise of free s7eech or i+ +o+27rotected crimi+a- hate ad"ocac 9 It #e6a+ # re"ie:i+6 e=isti+6 8uris7rude+ce i+ this area9 The Tri#u+a- framed its a+a- sis i+ terms of reco+ci-i+6 the i+here+t te+sio+ #et:ee+ freedom of s7eech a+d freedom from discrimi+atio+9 First! it had to decide #et:ee+ the more s7eech27rotecti"e 0merica+ mode-! as ur6ed # 3oh+ F-o d III! cou+se- for N6eHe! or the discrimi+atio+2se+siti"e i+ter+atio+a- mode-9 It o7ted for the -atter: EThe ,ham#er co+siders i+ter+atio+a- -a:! :hich has #ee+ :e-- de"e-o7ed i+ the areas of freedom from discrimi+atio+ a+d freedom of e=7ressio+! to #e the 7oi+t of refere+ce for its co+sideratio+ of these issues! +oti+6 that domestic -a: "aries :ide- :hi-e i+ter+atio+a- -a: codifies e"o-"i+6 u+i"ersa- sta+dards9E AFN'%4B &/1/ The Tri#u+a- first co+sidered cases decided u+der the I+ter+atio+a- ,o"e+a+t o+ ,i"i- a+d Po-itica- Ri6hts FI,,PRG9 It #e6a+ # focusi+6 o+ the c-ash #et:ee+ I,,PR 0rtic-e 'J F7rotecti+6 freedom of e=7ressio+G a+d 0rtic-e $& Ffor#iddi+6 i+citeme+t to +atio+a-! racia- or re-i6ious discrimi+atio+G9 T:o cases from ,a+ada refused to sa+ctio+ a+ti2 Semitic s7eech u+der I,,PR 0rtic-e 'J9 I+ Ross "9 ,a+ada! the *uma+ Ri6hts ,ommittee u7he-d disci7-i+ar actio+ ta@e+ a6ai+st a schoo- teacher i+ ,a+ada for stateme+ts he made that :ere fou+d to ha"e Ede+i6rated the faith a+d #e-iefs of 3e:s9 9 99E AFN'%<B Simi-ar- ! i+ 39R9T9 a+d the 19I9 Part "9 ,a+ada! the com7-ai+t a--e6ed 0rtic-e 'J "io-atio+s
Pa6e '5
stemmi+6 from a refusa- to 7ermit the use of 7ho+e ser"ices to circu-ate messa6es :ar+i+6 of the da+6ers of Ei+ter+atio+a- 3e:r E -eadi+6 the :or-d i+to :ars! u+em7-o me+t! a+d i+f-atio+ a+d the co--a7se of :or-d "a-ues a+d 7ri+ci7-es9 The *uma+ Ri6hts ,ommittee dec-ared the com7-ai+t i+admissi#-e as it sou6ht to dissemi+ate Ead"ocac of racia- or re-i6ious hatred9E AFN'%%B I+ Ro#ert Faurisso+ "9 Fra+ce! the *uma+ Ri6hts ,ommittee co+sidered the mea+i+6 of the term Ei+citeme+tE i+ 0rtic-e $&F$G of the I,,PR9 I+ that case! the com7-ai+a+t cha--e+6ed his co+"ictio+ i+ Fra+ce for 7u#-ishi+6 his "ie: dou#ti+6 the e=iste+ce of 6as cham#ers at NaHi co+ce+tratio+ cam7s9 The ,ommittee fou+d the com7-ai+a+t i+cited Ehis readers to a+ti2semitic AsicB #eha"iourE a+d the Fre+ch decisio+ did +ot "io-ate 0rtic-e 'J;s freedom of e=7ressio+ 7ro"isio+9 AFN'%JB 0 co+curri+6 o7i+io+ su77orted the fi+di+6 of a+ti2Semitic 7ur7ose # citi+6 the com7-ai+a+t;s refere+ces to terms such as E7articu-ar- 3e:ish historia+sE or the Ema6ic 6as cham#er9E The co+curri+6 o7i+io+ a-so focused o+ the co+te=t of the com7-ai+a+t;s messa6es22a cha--e+6e to :e--2docume+ted historica- facts :ith the im7-icatio+ that Eu+der the &/12 6uise of im7artia- academic research9 9 9the "ictims of NaHism :ere 6ui-t of disho+est fa#ricatio+9E AFN'J&B The Tri#u+a- a-so e=ami+ed cases decided u+der the Euro7ea+ ,o+"e+tio+ o+ *uma+ Ri6hts! :hich has de"e-o7ed 8uris7rude+ce #a-a+ci+6 the ri6ht to freedom of e=7ressio+ F0rtic-e '&F'G of the ,o+"e+tio+G :ith the ri6ht to restrict e=7ressio+ for +atio+a- securit or 7rotectio+ of the ri6hts a+d re7utatio+s of others F0rtic-e '&F$G of the ,o+"e+tio+G9 O+ o+e ha+d! cases such as 3ersi-d "9 De+mar@ o"ertur+ed the co+"ictio+ of a 8our+a-ist :ho i+ter"ie:ed mem#ers of a racist outh 6rou79 0-thou6h the 8our+a-ist did +ot e=7-icit- co+dem+ the i+ter"ie:ees! the ,ourt 7oi+ted to 7ortio+s of the i+ter"ie: i+ :hich the 8our+a-ist ide+tified the i+ter"ie:ees as EracistE a+d Ee=tremist outhsE a+d thus Ec-eardisassociated himAse-fB from the 7erso+s i+ter"ie:ed9E AFN'J'B O+ the other ha+d! i+ Ma+a "9 Tur@e ! the ,ourt u7he-d the co+"ictio+ of a former ma or :hose re6io+ :as u+der emer6e+c ru-e o:i+6 to "io-e+t c-ashes ra6i+6 #et:ee+ 6o"er+me+t securit a+d .urdish se7aratist forces9 I+ a ma8or +atio+a- +e:s7a7er! the ma or stated that he su77orted the .urdish forces a+d seemi+6- co+do+ed .urdish massacres # sa i+6 Ea+ o+e ca+ ma@e mista@es9E Ii"e+ the "io-e+ce ra6i+6 a#out him! the ,ourt co+c-uded that the ma or;s stateme+ts Ehad to #e re6arded as -i@e- to e=acer#ate a+ a-read e=7-osi"e situatio+ i+ that re6io+9E AFN'J$B From these cases! the Tri#u+a- 6-ea+ed four criteria throu6h :hich s7eech co+te+t re6ardi+6 race or eth+icit cou-d #e a+a- Hed as either -e6itimate e=7ressio+ or crimi+a- ad"ocac : F'G 7ur7oseD F$G te=tD F(G co+te=tD a+d F)G the re-atio+shi7 #et:ee+ s7ea@er a+d su#8ect9 The first t:o criteria! 7ur7ose a+d te=t! are -um7ed to6ether # the Tri#u+a-! #ut the shou-d #e co+sidered se7arate- 9 AFN'J(B First! u+der the test set out # the Tri#u+a-! the fi+der of fact must co+sider the o#8ect of the s7eech9 The Tri#u+a7ro"ided some e=am7-es of -e6itimate o#8ecti"es: historica- research! the dissemi+atio+ of +e:s a+d i+formatio+! a+d the 7u#-ic accou+ta#i-it of 6o"er+me+t &/15 authorities9 AFN'J)B 0t the o77osite e+d of the s7ectrum! e=7-icit ca--s for "io-e+ce :ou-d e"i+ce a c-ear- i--e6itimate 7ur7ose9 Seco+d! the a+a- sis shou-d focus o+ the te=t itse-f! :hich :i-- he-7 re"ea- the 7ur7ose of the s7eech9 The Tri#u+a+oted! for e=am7-e! that i+ the Faurisso+ case! AFN'J5B the UN *uma+ Ri6hts ,ommittee sa: the term Ema6ic 6as cham#erE as su66esti+6 that the author :as moti"ated # a+ti2Semitism rather tha+ 7ursuit of historica- truth9 AFN'J4B I+ co+trast! the i+ter"ie:er i+ the 3ersi-d case AFN'J<B dista+ced himse-f from a messa6e of eth+ic hatred # referri+6 to his i+ter"ie:ees as EracistE a+d Ee=tremist ouths9E 0ccordi+6 to the Tri#u+a-! this te=tua- a+a- sis a--o:ed the 3ersi-d ,ourt to co+c-ude that the 7ur7ose of the 7ro6ram :as the dissemi+atio+ of +e:s! rather tha+ the 7ro7a6atio+ of racist "ie:s9 Third! the e=ami+atio+ shou-d ce+ter o+ co+te=t9 I+ other :ords! circumsta+ces e=ter+a- to a+d surrou+di+6 the te=t must #e co+sidered i+ order to 6ras7 the te=t;s si6+ifica+ce9 AFN'J%B O+ce a6ai+! the Tri#u+a- -oo@ed to the Faurisso+ case! AFN'JJB :here the *uma+ Ri6hts ,ommittee +oted that! i+ co+te=t! the im7act of cha--e+6i+6 the e=iste+ce of 6as cham#ers22a :e--2docume+ted historica- fact22:ou-d 7romote a+ti2Semitism9 Simi-ar- ! i+ the Ma+a case! AFN$&&B the Euro7ea+ ,ourt of *uma+ Ri6hts co+sidered the 6e+era- stateme+t made a#out massacres # the former ma or i+ the co+te=t of the massacres ta@i+6 7-ace at that time! :hich i+ the ,ourt;s "ie: made the stateme+t E-i@e- to e=acer#ate a+ a-read e=7-osi"e situatio+9 9 99E The Tri#u+a- a-so i+dicated that! i+ the case of ora- commu+icatio+! the to+e of the s7ea@er i+ utteri+6 the :ords :ou-d he-7 7ut the s7eech i+to its 7ro7er co+te=t9 AFN$&'B
Pa6e '4
Fi+a-- ! the fi+der of fact shou-d co+sider the re-atio+shi7 #et:ee+ the s7ea@er a+d the su#8ect9 The a+a- sis shou-d #e more s7eech27rotecti"e :he+ the s7ea@er is 7art of a mi+orit criticiHi+6 the 6o"er+me+t or the cou+tr ;s ma8orit : AFN$&$B &/14 The da+6ers of ce+sorshi7 ha"e ofte+ #ee+ associated i+ 7articu-ar :ith the su77ressio+ of 7o-itica- or other mi+orities! or o77ositio+ to the 6o"er+me+t9 The s7ecia- 7rotectio+s de"e-o7ed # the 8uris7rude+ce for s7eech of this @i+d! i+ i+ter+atio+a- -a: a+d more 7articu-ar- i+ the 0merica+ -e6a- traditio+ of free s7eech! reco6+iHe the 7o:er d +amic i+here+t i+ the circumsta+ces that ma@e mi+orit 6rou7s a+d 7o-itica- o77ositio+ "u-+era#-e to the e=ercise of 7o:er # the ma8orit or # the 6o"er+me+t9 9 99 The s7ecia- 7rotectio+s for this @i+d of s7eech shou-d accordi+6- #e ada7ted! i+ the ,ham#er;s "ie:! so that eth+ica-- s7ecific e=7ressio+ :ou-d #e more rather tha+ -ess carefu-scruti+iHed to e+sure that mi+orities :ithout equa- mea+s of defe+ce are +ot e+da+6ered9 AFN$&(B Based o+ this a+a- sis! the Tri#u+a- :as a#-e to disti+6uish #et:ee+ 7ermissi#-e s7eech a+d i--e6a- i+citeme+t i+ the cases of .a+6ura a+d RTL/9 The Tri#u+a- +oted! for e=am7-e! that some of the artic-es a+d #roadcasts offered i+to e"ide+ce # the 7rosecutio+ co+"e ed historica- i+formatio+! 7o-itica- a+a- sis! or ad"ocac of eth+ic co+scious+ess re6ardi+6 the i+equita#-e distri#utio+ of 7ri"i-e6e i+ R:a+da9 Of +ote! i+ this re6ard! :as Bara a6:iHa;s Decem#er '$! 'JJ(! #roadcast i+ :hich he s7o@e of the discrimi+atio+ he e=7erie+ced as a *utu chi-d9 AFN$&)B Usi+6 the Tri#u+a-;s a+a- tic criteria! the 7ur7ose of the s7eech a77eared to #e ad"ocac of eth+ic co+scious+ess9 The te=t itse-f used -a+6ua6e co+"e i+6 historica- i+equities a+d +ot i+citeme+t9 /oreo"er! the co+te=t at that 7oi+t :as +ot that of :ides7read 6e+ocide! as :ou-d #e the case after 07ri- 4! $&&)! #ut a 7eriod of socia- i+sta#i-it a+d 7o-itica- de#ate9 Fi+a-- ! the s7ea@er s7o@e a#out his e=7erie+ce as a mem#er of the 7o-itica-- dis7ossessed criticiHi+6 the esta#-ishme+t of that era9 I+ characteriHi+6 Bara a6:iHa;s #roadcast as a 7ermissi#-e e=ercise of free s7eech! the Tri#u+a- descri#ed it as Ea mo"i+6 7erso+a- accou+t of his e=7erie+ce of discrimi+atio+ as a *utu9E AFN$&5B I+ co+trast to the raisi+6 of eth+ic co+scious+ess! the Tri#u+a- co+dem+ed Eharmfu- eth+ic stereot 7i+6E such as the RTL/ #roadcast :hich stated the Tutsis Eare the o+es :ho ha"e a-- the mo+e 9E *ere! the te=t itse-f does +ot :ithsta+d scruti+ 9 The Tri#u+a- com7ared it to a #roadcast that stated 7eo7-e of the Tutsi eth+icit o:+ed se"e+t &/15 7erce+t of the ta=is i+ R:a+da9 AFN$&4B This :as i+formatio+a- i+ +ature as o77osed to sa i+6 that Tutsis Eha"e a-- the mo+e !E :hich the Tri#u+a- descri#ed as Ea 6e+era-iHatio+ that has #ee+ e=te+ded to the Tutsi 7o7u-atio+ as a :ho-e9E AFN$&<B This te=tua- a+a- sis a--o:ed the Tri#u+a- to attri#ute a+ im7ro7er 7ur7ose to the s7eech9 This :as u+derscored! accordi+6 to the Tri#u+a-! # the co+te=t of the s7eech9 I+ the first 7-ace! the Eto+e of the #roadcast9 9 9co+"e s the hosti-it a+d the rese+tme+t of the 8our+a-ist! .a+ta+o *a#ima+a9E AFN$&%B /oreo"er! Ea stateme+t of eth+ic 6e+era-iHatio+ 7ro"o@i+6 rese+tme+t a6ai+st mem#ers of that eth+icit :ou-d ha"e a hei6hte+ed im7act i+ the co+te=t of a 6e+ocida- e+"iro+me+t9 It :ou-d #e more -i@e- to -ead to "io-e+ce9E AFN$&JB Fi+a-- ! a-thou6h the Tri#u+a- did +ot e=7-icit- 7oi+t it out! the stateme+t :as made # a mem#er of the ma8orit :ho su77orted the 6o"er+me+t the+ i+ 7-ace! a+d :ho criticiHed mem#ers of the mi+orit 9 O"era--! the+! usi+6 the Tri#u+a-;s a+a- tic criteria! this :ou-d +ot #e co+sidered 7rotected s7eech9 AFN$'&B 0t the far e+d of this s7ectrum is .a+6ura;s Decem#er 'JJ& 7u#-icatio+ of the ETe+ ,omma+dme+tsE AFN$''B a+d .a+ta+o *a#ima+a;s 3u+e )! 'JJ)! #roadcast ca--i+6 o+ -iste+ers to e=termi+ate the I+@ota+ i! :ho :ou-d #e @+o:+ # hei6ht a+d 7h sica- a77eara+ce9 *a#ima+a co+c-uded: E3ust -oo@ at his sma-- +ose a+d the+ #rea@ it9E AFN$'$B The 7ur7ose a+d te=t of this #roadcast c-ear- amou+ted to im7ermissi#-e i+citeme+t to eth+ic "io-e+ce9 The s7ea@er :as 7art of the ma8orit eth+ic 6rou7! su77orti+6 6o"er+me+t 7o-icies! a+d attac@i+6 the mi+orit 9 /oreo"er! the e=ter+a- co+te=t :as o+e of a+ o+6oi+6 6e+ocide9 AFN$'(B Fi+a-- ! i+ terms of co+te=t! the s7ea@er i+ +o :a &/1$ attem7ted to dista+ce himse-f from the messa6e9 To the Tri#u+a-! this :as si6+ifica+t: I+ cases :here the media dissemi+ates "ie:s that co+stitute eth+ic hatred a+d ca--s to "io-e+ce for i+formati"e or educatio+a- 7ur7oses! a c-ear dista+ci+6 from these is +ecessar to a"oid co+"e i+6 a+ e+dorseme+t of the messa6e a+d i+ fact to co+"e a cou+ter2messa6e to e+sure that +o harm resu-ts from the #roadcast9 The 7ositio+i+6 of the media :ith re6ard to the messa6e i+dicates the rea- i+te+t of the messa6e! a+d to some de6ree the rea- messa6e itse-f9 The editor of .a+6ura a+d the 8our+a-ists :ho #roadcast o+ RTL/ did +ot dista+ce themse-"es from the messa6e of eth+ic hatred9 Rather the 7ur"e ed the messa6e9 AFN$')B #9 ,ausatio+
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I+ 0@a esu! the Tri#u+a- co+c-uded that the crime of direct a+d 7u#-ic i+citeme+t to commit 6e+ocide cou-d #e committed :hether or +ot such 7u#-ic i+citeme+t :as successfu-9 AFN$'5B 0s +oted a#o"e! ho:e"er! a crucia- as7ect of the Tri#u+a-;s factua- fi+di+6s i+"o-"ed demo+strati+6 a Ecausa- re-atio+shi7E #et:ee+ 0@a esu;s s7eech a+d the su#seque+t massacres9 The Tri#u+a- co+c-uded that there :as such a causa- -i+@9 AFN$'4B Thus! 0@a esu -eft the door o7e+ to the ar6ume+t that direct a+d 7u#-ic i+citeme+t to commit 6e+ocide required a sho:i+6 of "io-e+ce occasio+ed # the i+citeme+t9 The Nahima+a 8ud6me+t c-osed that door: EThe ,ham#er +otes that this causare-atio+shi7 is +ot requisite to a fi+di+6 of i+citeme+t9 It is &/11 the 7ote+tia- of the commu+icatio+ to cause 6e+ocide that ma@es it i+citeme+t9E AFN$'<B c9 Tem7ora- 3urisdictio+ 0s +oted! a#o"e! the Tri#u+a-;s tem7ora- 8urisdictio+ is -imited to the 7eriod 3a+uar '! 'JJ)! throu6h Decem#er ('! 'JJ)9 *o:e"er! most issues of .a+6ura! as :e-- as a -ar6e 7ortio+ of RTL/ #roadcasts! :ere 7u#-ished a+d tra+smitted 7rior to 3a+uar '! 'JJ)9 The Tri#u+a- +e"erthe-ess asserted 8urisdictio+ o"er these actio+s u+der the doctri+e of Ei+choate offe+ses9E 0ccordi+6 to the Tri#u+a-! the crime of direct a+d 7u#-ic i+citeme+t to commit 6e+ocide! as :e-- as co+s7irac ! Eis a+ i+choate offe+se that co+ti+ues i+ time u+ti- the com7-etio+ of the acts co+tem7-ated9E AFN$'%B I+ other :ords! the crime is 7arasitic to the su#sta+ti"e offe+se it co+tem7-ates9 U+ti- the u+der- i+6 su#sta+ti"e offe+se! i9e9! 6e+ocide! is com7-eted! the crime is co+ti+ui+69 0s a resu-t! the Tri#u+a- fou+d that: The 7u#-icatio+ of .a+6ura! from its first issue i+ /a 'JJ& throu6h its /arch 'JJ) issue! the a--e6ed im7act of :hich cu-mi+ated i+ e"e+ts that too@ 7-ace i+ 'JJ)! fa--s :ithi+ the tem7ora- 8urisdictio+ of the Tri#u+a- to the e=te+t the 7u#-icatio+ is deemed to co+stitute direct a+d 7u#-ic i+citeme+t to 6e+ocide9 Simi-ar- ! the ,ham#er co+siders that the e+tiret of RTL/ #roadcasti+6! from 3u- 'JJ( throu6h 3u- 'JJ)! the a--e6ed im7act of :hich cu-mi+ated i+ e"e+ts that too@ 7-ace i+ 'JJ)! fa--s :ithi+ the tem7ora- 8urisdictio+ of the Tri#u+a- to the e=te+t that the #roadcasts are deemed to co+stitute direct a+d 7u#-ic i+citeme+t to 6e+ocide9 AFN$'JB (9 Superior Respo"si,ility I+ 0@a esu! the Tri#u+a- had demo+strated a certai+ discomfort :ith e=te+di+6 the doctri+e of superior respo"si,ility to ci"i-ia+s9 First! it Edec-i+ed to state a 6e+era- ru-eE that the superior respo"si,ility doctri+e e"e+ Ea77-ies to ci"i-ia+s9E AFN$$&B Des7ite +oti+6 that Ethe e"ide+ce su77orted a fi+di+6 that a superior/su#ordi+ate re-atio+shi7 e=istedE &/14 #et:ee+ 0@a esu a+d the -oca- mi-itia! moreo"er! the Tri#u+a- u-timate- refused to ma@e such a factua- fi+di+69 AFN$$'B The Nahima+a decisio+ e"ide+ced a sea cha+6e o+ this issue! :ith the Tri#u+a- si6+a-i+6 its +e: attitude i+ o+e terse se+te+ce: EThe ,ham#er +otes that i+ /usema! the Tri#u+a- fou+d that su7erior res7o+si#i-it e=te+ded to +o+2mi-itar setti+6s! i+ that case to the o:+er of a tea factor 9E AFN$$$B The Prosecutor "9 /usema AFN$$(B i+"o-"ed a Iiso"u commu+e tea factor director :ho :as char6ed :ith #ri+6i+6 armed i+di"idua-s! i+c-udi+6 tea factor em7-o ees! i+to the Bisesero re6io+ of the .i#u e 7refecture a+d orderi+6 a+ attac@ o+ Tutsis :ho had sou6ht refu6e there9 AFN$$)B /usema :as co+"icted of o+e cou+t of 6e+ocide a+d t:o cou+ts of crimes a6ai+st huma+it 9 AFN$$5B 1ith res7ect to the crimes committed # the tea factor em7-o ees! /usema;s 6ui-t :as 7redicated o+ 0rtic-e 4F(G su7erior res7o+si#i-it 9 I+ arri"i+6 at this resu-t! the Tri#u+a- reaffirmed the 7ri+ci7-e of case2# 2case a+a- sis esta#-ished i+ 0@a esu: ATBhe ,ham#er reiterates its reaso+i+6 i+ the 0@a esu 3ud6me+t! :ith :hich Tria- ,ham#er II co+curred i+ the .a ishema a+d RuHi+da+a 3ud6me+t! AFN$$4B that it is a77ro7riate to assess o+ a case2# 2case #asis the 7o:er of authorit actua-- de"o-"ed o+ a+ accused to determi+e :hether or +ot he 7ossessed the 7o:er to ta@e a-- +ecessar a+d reaso+a#-e measures to 7re"e+t the commissio+ of the a--e6ed crimes or to 7u+ish their 7er7etratio+9 Therefore the su7erior;s actua- or forma- 7o:er of co+tro- o"er his su#ordi+ates remai+s a determi+i+6 factor i+ char6i+6 ci"i-ia+s :ith su7erior res7o+si#i-it 9 AFN$$<B
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I+ determi+i+6 :hether /usema cou-d #e he-d crimi+a-- -ia#-e u+der the doctri+e of su7erior res7o+si#i-it ! the Tri#u+a- #ifurcated its &/16 a+a- sis #et:ee+ the co+ce7ts of Ede 8ure 7o:er a+d de facto co+tro-9E AFN$$%B 1ith res7ect to de 8ure 7o:er o"er the em7-o ees! the Tri#u+a- fou+d /usema satisfied the test 6i"e+ his +omi+a- 7ositio+ as director of the tea factor 9 AFN$$JB Re6ardi+6 de facto co+tro-! the Tri#u+a- focused o+ certai+ @e factua- fi+di+6s9 First! it +oted the testimo+ of o+e :it+ess that! a-thou6h /usema had to a+s:er to su7eriors i+ the R:a+da+ 6o"er+me+t! he :as res7o+si#-e for the da 2to2da admi+istratio+ of the tea factor ! i+c-udi+6 the hiri+6 a+d firi+6 of em7-o ees9 AFN$(&B The Tri#u+a- a-so fou+d that! # "irtue of these 7o:ers! /usema :as i+ a 7ositio+ to ta@e reaso+a#-e measures to attem7t to 7re"e+t or 7u+ish the use of tea factor "ehic-es! u+iforms or other tea factor 7ro7ert i+ the commissio+ of the char6ed crimes9 AFN$('B Fi+a-- ! i+ determi+i+6 :hether /usema cou-d #e he-d -ia#-e u+der the doctri+e of su7erior res7o+si#i-it ! the Tri#u+ahomed i+ o+ the fact that /usema :as 7erso+a-- 7rese+t at the attac@ sites AFN$($B a+d @+e:! or had reaso+ to @+o:! that his su#ordi+ates :ere a#out to commit the char6ed crimes or had a-read do+e so9 /oreo"er! /usema aided a+d a#etted such crimes throu6h his 7rese+ce a+d 7artici7atio+9 AFN$((B Based o+ a-- this! the Tri#u+a- fou+d 0rtic-e 4F(G -ia#i-it 9 AFN$()B I+ -i6ht of e=isti+6 I,TR 7recede+t! the odds mi6ht ha"e seemed -o+6 that the Tri#u+a- :ou-d 7i+ 0rtic-e 4F(G superior respo"si,ility o+ RTL/ fou+ders Ferdi+a+d Nahima+a a+d 3ea+2Bosco Bara a6:iHa for the acts of RTL/ 8our+a-ists9 That is es7ecia-- true :he+ each of the superior respo"si,ility criteria is co+sidered22i9e9! superior2su#ordi+ate re-atio+shi7! @+o:-ed6e! a+d i+acti"it 9 The e"ide+ce a6ai+st Nahima+a a+d Bara a6:iHa su77orti+6 these criteria :as ar6ua#- :ea@er tha+ that 7roffered i+ 0@a esu a+d /usema9 1ith res7ect to the superior2su#ordi+ate re-atio+shi7! the e"ide+ce i+ su77ort of the defe+da+ts; de 8ure 7o:er o"er the RTL/ 8our+a-ists :as +ot c-ear2cut9 O+ o+e ha+d! there :as +o questio+ that! 7rior to the 6e+ocide! Nahima+a a+d Bara a6:iHa :ie-ded a reaso+a#-e de6ree of co+tro- o"er RTL/ o7eratio+s9 0s Steeri+6 ,ommittee directors! the &/49 had authorit o"er #a+@i+6! cor7orate ma+a6eme+t! 7u#-ic re-atio+s! hiri+6 a+d firi+6 of em7-o ees! a+d #roadcast co+te+t9 For e=am7-e! chec@2:riti+6 7o:er "ested e=c-usi"e- i+ the defe+da+ts Fa+d Fe-icie+ .a#u6aG9 The e"ide+ce a-so i+dicated that the hired 7ro"isio+a- director Phocas *a#ima+a a+d 8our+a-ists Ias7ard Iahi6i a+d .a+ta+o *a#ima+a9 /oreo"er! 7rosecutio+ :it+ess Fra+cois2Wa"ier Nsa+Huera! the former .i6a-i 7rosecutor! testified that :he+ he ca--ed i+ .a+ta+o *a#ima+a for questio+i+6 re6ardi+6 a #roadcast! *a#ima+a to-d him that Nahima+a had him read :hat :as #roadcast9 0+d Nahima+a himse-f admitted that o+ o+e occasio+ he re7rima+ded a 8our+a-ist for reaso+s re-ati+6 to #roadcast co+te+t9 Fi+a-- ! #oth Nahima+a a+d Bara a6:iHa atte+ded meeti+6s :ith the /i+ister of I+formatio+ :herei+ the defe+da+ts :ere :ar+ed a#out the i+ce+diar +ature of RTL/ #roadcasts9 AFN$(5B O+ the other ha+d! the e"ide+ce re6ardi+6 de 8ure 7o:er after the 6e+ocide #e6a+ :as certai+- -ess com7e--i+69 There is +o dou#t that #oth defe+da+ts :or@ed for the 7ro"isio+a- 6e+ocide 6o"er+me+t a+d had some @+o:-ed6e re6ardi+6 RTL/;s o7eratio+s9 The stro+6est 7iece of e"ide+ce i+ this re6ard :as the co+"ersatio+ the defe+da+ts had :ith S:iss 3our+a-ist Phi-i77e Dahi+de+ o+ 3u+e '5! 'JJ)9 0side from Bara a6:iHa;s comme+t to Dahi+de+ that a +e: radio statio+ :ou-d com7ete :ith that of the defe+da+ts! ho:e"er! there a77eared to #e +o e"ide+ce the defe+da+ts sti-- he-d themse-"es out as de 8ure directors of RTL/9 E"ide+ce demo+strati+6 de facto co+tro- :as simi-ar9 Pre26e+ocide! such co+tro- :as am7-e9 Duri+6 the 6e+ocide! ho:e"er! de facto co+tro- :as quite sca+t! :ith o+e e=ce7tio+: :he+ a Fre+ch di7-omat i+formed Nahima+a i+ -ate 3u+e that #roadcasts threate+i+6 UN0/IR :ere de7-ora#-e a+d +eeded to sto7! Nahima+a 7romised to i+ter"e+e :ith the 8our+a-ists9 The di7-omat re7orted su#seque+t- that RTL/ attac@s o+ UN0/IR ha-ted 7rom7t- thereafter9 There :as +o a+ecdota- e"ide+ce i+ this re6ard co+cer+i+6 Bara a6:iHa9 The @+o:-ed6e e-eme+t is a-so su#8ect to differe+t a+a- ses 7re2 a+d 7ost26e+ocide9 ,ertai+- ! the defe+da+ts :ere :e-acquai+ted :ith RTL/ o7eratio+s a+d #roadcasts #efore the 6e+ocide9 0fter 07ri- 4! ho:e"er! there :as -itt-e e"ide+ce sho:i+6 @+o:-ed6e! aside from the Dahi+de+ co+"ersatio+9 /usema a+d .a ishema su66est that 7h sica- &/4/ 7rese+ce at the crimes is a 6ood i+dicator of @+o:-ed6e9 I+ 0@a esu! that :as +ot e+ou6h9 I+ Nahima+a! 7h sica- 7rese+ce :as com7-ete- -ac@i+622it a77ears u+dis7uted that Nahima+a a+d Bara a6:iHa :ere +ot o+ the 7remises :he+ RTL/ made its murderous #roadcasts duri+6 the 6e+ocide9 If a+ thi+6! e"ide+ce :as 7rese+ted that the defe+da+ts :ere freque+t-
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outside the cou+tr :he+ these e"e+ts too@ 7-ace9 0-thou6h this a77ears to satisf the Ei+acti"it E criterio+! the defe+da+ts; -ac@ of 7h sica- 7ro=imit a+d 7ursuit of other acti"ities :hi-e the crimes at issue :ere #ei+6 committed seem to re+der this criterio+ moot9 O+ the other ha+d! there :as e"ide+ce that Nahima+a :as a#-e to co+tro- RTL/ acti"ities # commu+icati+6 :ith the radio statio+ # te-e7ho+e9 AFN$(4B )9 ,o+s7irac 0rtic-e $F(GF#G of the Statute 7ro"ides that the Tri#u+a- sha-- ha"e the 7o:er to 7rosecute 7erso+s char6ed :ith the crime of co+s7irac to commit 6e+ocide9 AFN$(<B I+ /usema! the Tri#u+a- he-d that the crime of co+s7irac to commit 6e+ocide is defi+ed as Ea+ a6reeme+t #et:ee+ t:o or more 7erso+s to commit the crime of 6e+ocide9E AFN$(%B It emer6es from this that the @e e-eme+t is the a6reeme+t itse-f a+d +ot its co+seque+ces9 AFN$(JB 0s e=7ressed i+ the Nahima+a 8ud6me+t! EAtBhe esse+ce of the char6e of co+s7irac is the a6reeme+t of those char6ed9E AFN$)&B The Nahima+a 8ud6me+t the+ 7oi+ted out that the e=iste+ce of a Eforma- or e=7ressE a6reeme+t :as +ot +eeded to 7ro"e the char6e of co+s7irac 9 Rather! a+ a6reeme+t cou-d #e i+ferred from co+certed or coordi+ated actio+! a+d a tacit u+dersta+di+6 of the crimi+a- 7ur7ose &/42 :as sufficie+t9 AFN$)'B 0s a+ e=am7-e of this! the Tri#u+a- cited its decisio+ i+ The Prosecutor "9 Ni ite6e@a9 AFN$)$B I+ that case! I,TR;s first 7ost2tria- co+"ictio+ for co+s7irac to commit 6e+ocide! the Tri#u+a- fou+d that the /i+ister of I+formatio+ for R:a+da;s 'JJ) I+terim Io"er+me+t had 7rocured arms for a+ attac@! -ed other attac@s! a+d i+cited others to commit attac@s a6ai+st Tutsis i+ the .i#u e re6io+9 0s 7art of this! Ni ite6e@a 7artici7ated i+ a series of meeti+6s i+ the re6io+9 .i#u e 7rSfet ,-Sme+t .a ishema a+d 7romi+e+t .i#u e #usi+essma+ O#ed RuHi+da+a a-so 7artici7ated9 0t each meeti+6! 7-a+s :ere made to attac@ Tutsis a+d the attac@s :ere su#seque+t- carried out9 AFN$)(B Based o+ this! the Tri#u+a- cou-d i+fer the e=iste+ce of a+ a6reeme+t to commit 6e+ocide #et:ee+! i+ter a-ia! Ni ite6e@a! .a ishema! a+d RuHi+da+a9 AFN$))B I+ Nahima+a! ho:e"er! there :as +o e"ide+ce of meeti+6s atte+ded # Bara a6:iHa! N6eHe! a+d Nahima+a i+ :hich 6e+ocida- acts :ere 7-a++ed9 I+ fact! the record i+dicates that Nahima+a a+d N6eHe dis-i@ed each other AFN$)5B a+d :ere rare- i+ o+e a+other;s 7rese+ce9 AFN$)4B The defe+se ar6ued that this -oose associatio+ cou-d +ot #e descri#ed as a Eco+s7irac E #ut :ou-d more a77ro7riate- #e termed Eco+scious 7ara--e-ism9E AFN$)<B The Tri#u+a- disa6reed9 Not:ithsta+di+6 the -imited 7erso+a- co+tact amo+6 the defe+da+ts! AFN$)%B it fou+d that! throu6h RTL/! .a+6ura! a+d ,DR! the e+6a6ed i+ a sufficie+t de6ree of Ei+stitutio+a- coordi+atio+E to form a co+s7irac to commit 6e+ocide9 For e=am7-e! .a+6ura :as a shareho-der of RTL/ a+d the t:o s7o+sored a 8oi+t co+test desi6+ed to i+crease .a+6ura;s readershi79 O+e of the 7riHes offered :as for ,DR &/45 mem#ers o+- 9 AFN$)JB .a+6ura 7romoted the ,DR AFN$5&B a+d im7orta+t ,DR mem#ers! i+ additio+ to Bara a6:iHa! :ere i+"o-"ed :ith RTL/9 For e=am7-e! Sta+is-as Sim#iHi! a mem#er of the ,DR E=ecuti"e ,ommittee! #ecame a mem#er of the RTL/ Steeri+6 ,ommittee9 AFN$5'B 0s a resu-t! the Tri#u+a- fou+d the e=iste+ce of a+ Ei+stitutio+a- co+s7irac E to commit 6e+ocide: This e"ide+ce esta#-ishes! #e o+d a reaso+a#-e dou#t! that Nahima+a! Bara a6:iHa a+d N6eHe co+scious- i+teracted :ith each other! usi+6 the i+stitutio+s the co+tro--ed to 7romote a 8oi+t a6e+da! :hich :as the tar6eti+6 of the Tutsi 7o7u-atio+ for destructio+9 There :as 7u#-ic 7rese+tatio+ of this shared 7ur7ose a+d coordi+atio+ of efforts to rea-iHe their commo+ 6oa-9 AFN$5$B I?9 The Le6a- La+dsca7e after The Prosecutor "9 Nahima+a 1hi-e the Nahima+a 8ud6me+t :i-- most -i@e- #e remem#ered for its historic de"e-o7me+t of hate s7eech 8uris7rude+ce! it has certai+- -eft its mar@ o+ other emer6i+6 areas of i+ter+atio+a- -a: dea-i+6 :ith the sco7e of crimi+a- -ia#i-it 22i9e9! su7erior res7o+si#i-it ! co+s7irac ! a+d tem7ora- 8urisdictio+9 Not:ithsta+di+6 the #readth of its a+a- sis! ho:e"er! the Nahima+a 8ud6me+t -eft certai+ hate s7eech issues u+e=7-ored9 This Part assesses the si6+ifica+ce! as :e-- as the stre+6ths a+d 7ote+tia- shortcomi+6s! of the Nahima+a 8ud6me+t! a+d attem7ts to 6au6e its 7ossi#-e i+f-ue+ce o+ the 6ro:th of future i+ter+atio+a- crimi+a- 8uris7rude+ce9 09 The Re-atio+shi7 #et:ee+ S7eech! Ie+ocide! a+d the /ass /edia
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Perha7s of 6reatest si6+ifica+ce! The Prosecutor "9 Nahima+a he-7ed defi+e the re-atio+shi7 #et:ee+ s7eech! 6e+ocide! a+d mass media9 It did this # a+a- Hi+6 the ro-e of a radio statio+! a +e:s7a7er! a+d their res7ecti"e o7erators i+ re-atio+ to the crimes of 6e+ocide a+d direct a+d 7u#-ic i+citeme+t to commit 6e+ocide9 AFN$5(B The Tri#u+a-;s ru-i+6s &/44 re7rese+t a+ historica- e=7a+sio+ of i+ter+atio+a- crimi+a- -ia#i-it :ith res7ect to hate s7eech9 To #e6i+! the Tri#u+a- fou+d that eth+ic hate s7eech! +ot +ecessari- tar6eti+6 s7ecific i+di"idua-s #ut tra+smitted throu6h the mass media duri+6 a time of 6e+ocide! ca+ 6i"e rise to the crime of 6e+ocide9 /oreo"er! e"e+ if 6e+ocide does +ot occur! mass diffusio+ of certai+ dero6ator s7eech ca+ co+stitute the crime of direct a+d 7u#-ic i+citeme+t to commit 6e+ocide9 Re8ecti+6 the 0merica+ mode- a+d o7ti+6 i+stead to refi+e a+d e=7a+d o+ e=isti+6 i+ter+atio+a- hate s7eech 8uris7rude+ce! the Nahima+a 8ud6me+t 7ro"ided i+"a-ua#-e 6uida+ce for future courts to e=ami+e the co+te+t of such s7eech9 It -aid out a four2criteria test F7ur7ose! te=t! co+te=t! a+d re-atio+shi7 #et:ee+ the s7ea@er a+d su#8ectG a+d 6a"e e=am7-es of ho: to a77- it9 To ta@e #ut o+e e=am7-e! the co+ti+ued acti"ities of hate radio statio+s i+ the Democratic Re7u#-ic of ,o+6o cou-d -i@e- #e the su#8ect of future i+ter+atio+a- crimi+a- 7rosecutio+9 AFN$5)B The Rome Statute of the I+ter+atio+a- ,rimi+a,ourt FI,,G! co+siste+t :ith the I,TR Statute! crimi+a-iHes direct a+d 7u#-ic i+citeme+t to commit 6e+ocide9 AFN$55B The Nahima+a 8ud6me+t shou-d #e crucia- to I,, 8urists i+ 7rosecuti+6! defe+di+6 a+d 8ud6i+6 such cases9 AFN$54B It :i-- a-so 7-a a+ im7orta+t ro-e i+ the I,TR triaof Simo+ Bi@i+di! a 7o7u-ar R:a+da+ music com7oser a+d si+6er :ho is accused of com7osi+6 a+d 7erformi+6 so+6s :hich mo#i-iHed a+d i+cited the I+teraham:e a+d ci"i-ia+s to murder Tutsis9 *e has #ee+ char6ed :ith! i+ter a-ia! direct a+d 7u#-ic i+citeme+t to commit 6e+ocide9 AFN$5<B &/45 O+ the other ha+d! there :ere certai+ fuHH areas i+ the Nahima+a record re6ardi+6 hate s7eech that the Tri#u+acou-d ha"e e-ucidated #ut chose to i6+ore9 /ost of these dea- :ith s7eech co+te+t9 AFN$5%B 0-thou6h the Tri#u+aesta#-ished a four2criteria test to e"a-uate the crimi+a-it of hate s7eech! it fai-ed to a77- that test i+ certai+ @e i+sta+ces9 0s the Tri#u+a- +oted! ESe"era- hu+dred ta7es of RTL/ #roadcasts ha"e #ee+ i+troduced i+to e"ide+ce9 9 99E AFN$5JB The Tri#u+a-! ho:e"er! re-ied o+ o+- Ethe most i+crimi+ati+6 a+d the most e=cu-7ator e"ide+ce9E AFN$4&B 0s a resu-t! it o"er-oo@ed a+ im7orta+t #od of more E6ra E e"ide+ce9 That sort of e"ide+ce is referred to i+ the Ru66iu 8ud6me+t9 AFN$4'B It co+sists of the fo--o:i+6 t 7es of s7eech: F'G use of code :ords Fe969! su66esti+6 that Eto fi6htE mea+s to E@i--E TutsisGD AFN$4$B F$G 7raisi+6 the @i--ers for 7ast acts of "io-e+ce Fe969! co+6ratu-ati+6 the E"a-ia+t com#ata+tsE :ho e+6a6ed i+ a E#att-eE a6ai+st Tutsi ci"i-ia+sGD AFN$4(B a+d F(G 6e+era-- ascri#i+6 7ositi"e "irtues to "io-e+ce Fe969! stati+6 that the 7o7u-atio+ is ha"i+6 a E6ood timeE @i--i+6G9 AFN$4)B These are +ot direct ca--s to murder #ut &/4$ are i+dis7e+sa#-e i+ me+ta-- co+ditio+i+6 a 7o7u-atio+ for 6e+ocide a+d i+ he-7i+6 the 7er7etrators co"er their trac@s9 Simi-ar- ! the Nahima+a 8ud6me+t su66ested that the R:a+da+ 6o"er+me+t had sou6ht to a"ai- itse-f of a 7ro7a6a+da tech+ique @+o:+ as Eaccusatio+ i+ a mirrorE: AE=7ert :it+ess 0-iso+B Des For6es testified that a docume+t :as fou+d i+ the Butare 7refectura- office! :ritte+ # a 7ro7a6a+dist :ho #ased his :or@ o+ a Fre+ch #oo@! Ps cho-o6ie de -a 7u#-icitS et de -a 7ro7a6a+de9 Dra:i+6 a-so o+ Le+i+ a+d Ioe##e-s! he ad"ocated the use of -ies! e=a66eratio+! ridicu-e a+d i++ue+do a6ai+st the ad"ersar a+d su66ests that the 7u#-ic mi6ht #e 7ersuaded that the ad"ersar sta+ds for :ar! death! s-a"er ! re7ressio+! i+8ustice a+d sadistic crue-t 9 *e stressed the im7orta+ce of -i+@i+6 7ro7a6a+da to e"e+ts a+d su66ested sim7- Ecreati+6E e"e+ts! if +ecessar 9 *e 7ro7osed the use of :hat he ca--ed E0ccusatio+ i+ a mirror!E mea+i+6 that o+e :ou-d im7ute to the ad"ersar o+e;s o:+ i+te+tio+s a+d 7-a+s9 EI+ this :a !E he :rote! Ethe 7art :hich is usi+6 terror :i-- accuse the e+em of usi+6 terror9E Such a tactic cou-d #e used to 7ersuade ho+est 7eo7-e that attac@ # the e+em 8ustifies ta@i+6 :hate"er measures are +ecessar for -e6itimate defe+se9 AFN$45B 0-thou6h the 8ud6me+t does ma@e refere+ce to o+e 7re26e+ocide #roadcast :here RTL/ :ar+ed of +efarious Tutsi i+te+tio+s! AFN$44B the Tri#u+a- did +ot co+sider it i+ its a+a- sis of the t 7es of s7eech of :hich RTL/ a"ai-ed itse-f9 Out of the hu+dreds of RTL/ ta7es i+troduced i+to e"ide+ce! o+e mi6ht e=7ect to fi+d 6e+ocide27eriod 7assa6es :here Tutsis :ere fa-se- accused of committi+6 or 7-a++i+6 to commit a6ai+st *utus the t 7es of atrocities e=tremist *utus
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:ere actua-- committi+6 a6ai+st Tutsis9 AFN$4<B 0-thou6h it is i+direct! such e"ide+ce is equa-- i+f-ammator a+d shou-d ha"e &/41 #ee+ hi6h-i6hted i+ the 8ud6me+t as additio+a- 7roof of direct a+d 7u#-ic i+citeme+t to commit 6e+ocide9 I+citeme+t ca+ ta@e ma+ forms a+d this mi6ht ha"e #ee+ a 6o-de+ o77ortu+it for i+ter+atio+a- -a: to reco6+iHe them e=7-icit- 9 Fi+a-- ! the Tri#u+a- o"er-oo@ed o+e other im7orta+t as7ect of i+citeme+t i+ its 8ud6me+t9 The Ru66iu case made c-ear that Be-6ia+s :ere a-so tar6eted for murder9 AFN$4%B No me+tio+ is made of this i+ discussi+6 RTL/2re-ated crimi+a-ia#i-it 9 0-thou6h this :ou-d +ot a77ear to qua-if as a 6e+ocide crime Fas Be-6ia+s :ere +ot tar6eted for 6e+ocideG! it :ou-d co+stitute a crime a6ai+st huma+it F7ersecutio+G 7ursua+t to 0rtic-e ( of the I,TR Statute9 AFN$4JB 0s Ru66iu;s su7eriors! Nahima+a a+d Bara a6:iHa :ere equa-- -ia#-e for these #roadcasts tar6eti+6 Be-6ia+s9 1hi-e the Nahima+a 8ud6me+t ma #e criticiHed for a fai-ure to address certai+ e-eme+ts of the case! its trai-2#-aHi+6 i+ the area of i+citeme+t has a-read su#8ected it to the scor+ of some free2s7eech ad"ocates9 AFN$<&B The fear the decisio+ cou-d 7ro"ide co"er to re7ressi"e 6o"er+me+ts arou+d the :or-d that routi+e- stif-e -e6itimate criticism a+d disse+t throu6h 7rete=tua- restrictio+s o+ hate s7eech a+d i+citeme+t9 AFN$<'B N6eHe;s 0merica+ attor+e ! 3oh+ F-o d! e=7ressed 7articu-ar co+cer+ o"er Simo+ Bi@i+di;s i+dictme+t for i+citi+6 6e+ocide throu6h his - rics9 F-o d com7ared 7rosecuti+6 Bi@i+di to E7utti+6 Bo# D -a+ o+ tria- for 7rotest so+6s9E AFN$<$B O+ the other ha+d! accordi+6 to 3oeSimo+! De7ut Director of the ,ommittee to Protect 3our+a-ists: F-o d;s co+cer+s :ere -ar6e- dismissed # free2s7eech ad"ocates i+ this cou+tr Athe U+ited StatesB22after a--! the @i+d of s7eech the defe+da+ts e+6a6ed i+ :ou-d +ot #e 7rotected u+der a+ i+ter+atio+a- sta+dard9 E"e+ u+der the U9S9 First 0me+dme+t! # far the most 7rotecti"e -e6a- frame:or@ i+ the &/44 :or-d! s7eech is +ot 7rotected if it is i+te+ded to 7ro"o@e immi+e+t -a:-ess "io-e+ce a+d is -i@e- to do so9 AFN$<(B I+ the case of N6eHe! First 0me+dme+t attor+e F-o d 0#rams has +e"erthe-ess su66ested that Ethe Tri#u+a- cou-d ha"e used a -ess restricti"e sta+dard to achie"e the same resu-t9E 0#rams questio+ed! EAiBf N6eHe :as co+"icted for actua7artici7atio+ i+ the 6e+ocide! :as it e"e+ +ecessar to co+sider artic-es he :rote ears #efore the 6e+ocide occurred>E AFN$<)B 0#rams #e-ie"es the issue is +ot :hether U9S9 sta+dards shou-d #e im7osed o+ the :or-d! #ut E:hether i+ter+atio+a- tri#u+a-s ca+ #e 7ersuaded to ado7t measures that mi+imiHe the 7ote+tia- im7act o+ freedom of e=7ressio+9E AFN$<5B I+ the Nahima+a 8ud6me+t! the Tri#u+a- has ado7ted such measures9 Its four2criteria test for a+a- Hi+6 s7eech co+te+t aims to e=em7t -e6itimate disse+t a+d criticism! as :e-- as other forms of 7rotected s7eech! from crimi+a- 7rosecutio+9 I--ustrati"e of this is Bara a6:iHa;s 7erso+a- accou+t of eth+ic discrimi+atio+ #roadcast o+ RTL/9 AFN$<4B 0-thou6h 7ote+tia-- ca7a#-e of sto@i+6 eth+ic hatred! a77-icatio+ of the Tri#u+a-;s criteria resu-ted i+ c-assif i+6 this as a form of -e6itimate e=7ressio+9 AFN$<<B 1ith res7ect to N6eHe i+ 7articu-ar! it :as im7orta+t for the Tri#u+a- to co+sider artic-es :ritte+ #efore the 6e+ocide occurred9 ,o+siste+t :ith the I/T decisio+ i+ the Streicher case! N6eHe;s artic-es :or@ed as a 7oiso+ Ei+8ected i+to the mi+dsE of thousa+ds of R:a+da+s :hich caused them to fo--o: the e=tremist *utu 7o-ic of Tutsi 7ersecutio+ a+d e=termi+atio+9 AFN$<%B I+ Streicher! the I/T fou+d a -i+@ #et:ee+ the artic-es i+ Der StRrmer a+d NaHi e=termi+atio+ des7ite the a#se+ce of a c-ose tem7ora- +e=us9 It co+c-uded that the artic-es he-7ed co+ditio+ Ierma+s to hate 3e:s a+d to commit eth+ic a+d re-i6ious "io-e+ce a6ai+st them9 AFN$<JB I+ -i6ht of this! it :as reaso+a#-e for the Tri#u+a- to co+c-ude that N6eHe;s .a+6ura artic-es had the same effect o+ R:a+da;s *utu 7o7u-aceD as o+e comme+tator has +oted: E1ritte+ &/46 materia-s ca+ #e uti-iHed i+ a simi-ar- i+sidious fashio+ to 7romote a+d i+cite 6e+ocide9 Periodica-s ca+ tri66er the same mass effects that radio 7ro7a6a+da ca+ acti"ate9E AFN$%&B B9 The Breadth of ,rimi+a- Lia#i-it I+ additio+ to e=7-ori+6 a+d stretchi+6 the co+tours of mass media i+citeme+t crimes! the Tri#u+a- a-so cast a :ide +et o"er the situatio+s a+d i+di"idua-s to :hich a+d to :hom -ia#i-it for such crimes cou-d attach9 The Nahima+a 8ud6me+t e=te+ded that -ia#i-it "ertica-- ! horiHo+ta-- ! a+d tem7ora-- 9 '9 Superior Respo"si,ility
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Throu6h the doctri+e of superior respo"si,ility! the Tri#u+a- e=te+ded hate s7eech crimi+a- -ia#i-it i+ a "erticama++er9 The Nahima+a 8ud6me+t re7rese+ts a+ im7orta+t sta6e i+ I,TR;s e"o-utio+ of superior respo"si,ility 8uris7rude+ce9 I+ 0@a esu! the Tri#u+a- sho:ed some hesitatio+ i+ a77- i+6 the superior respo"si,ility doctri+e to ci"i-ia+s9 0++ou+ci+6 a case2# 2case a77roach to determi+atio+s of superior respo"si,ility! it refused to fi+d the Ta#a ma or -ia#-e for the crimes of the -oca- mi-itia i+ s7ite of a superior/su#ordi+ate re-atio+shi7 a+d 0@a esu;s @+o:-ed6e of the crimes a+d 7rese+ce at their commissio+9 AFN$%'B I+ /usema! the Tri#u+a- 6ot off the fe+ce a+d u+equi"oca-ac@+o:-ed6ed that superior respo"si,ility a77-ies to ci"i-ia+s9 It :e+t o+ to fi+d that the tea factor director #ore superior respo"si,ility for the crimes of his em7-o ees si+ce he e=ercised o"er them de 8ure 7o:er a+d de facto co+tro-9 I+ so fi+di+6! the Tri#u+a- +oted! i+ter a-ia! /usema;s da 2to2da admi+istratio+ of the tea factor ! his 7rese+ce at the crime sce+e! a+d his aidi+6 a+d a#etti+6 the su#ordi+ate crimi+a-s9 AFN$%$B I+ -i6ht of the fore6oi+6! Nahima+a re7rese+ts a 6ia+t -ea7 for:ard i+ I,TR;s de"e-o7me+t of the ci"i-ia+ su7erior res7o+si#i-it doctri+e9 I+ Nahima+a! as o77osed to /usema! the defe+da+ts c-ear- :ere +ot i+"o-"ed i+ the da 2to2da o7eratio+s of RTL/ duri+6 the 6e+ocide9 Nor :ere the 7h sica-- 7rese+t duri+6 the commissio+ of the crimes &/69 at issue9 To the co+trar ! the record re"ea-ed that #oth defe+da+ts :ere ofte+ out of the cou+tr duri+6 that time a+d +ot i+ re6u-ar touch :ith RTL/ em7-o ees9 I+stead! the Tri#u+a-;s 8ud6me+t seems to tur+ more o+ a EDeisticE AFN$%(B a77roach to su7erior res7o+si#i-it : i9e9! the defe+da+ts esta#-ished RTL/! fi+a+ced it! staffed it! co+tro--ed its i+itia- 7ro6rammi+6 a+d to+e! co+ti+ued their ste:ardshi7 of it e"e+ after i+te+se ce+sure re6ardi+6 its messa6e of hate! a+d the+ -eft it to ru+ its horrific course duri+6 the 6e+ocide9 The e"ide+ce at tria-! ho:e"er s-im! sho:ed that the defe+da+ts @+e: :hat RTL/ :as doi+6 a+d cou-d ha"e tried to i+ter"e+e to sto7 the dissemi+atio+ of its murderous messa6e #ut chose +ot to9 /oreo"er! the record demo+strated the defe+da+ts; a77are+t satisfactio+ :ith RTL/;s acti"ities duri+6 the 6e+ocide9 I+ esse+ce! the Tri#u+a- fou+d that the defe+da+ts! @+o:i+6- a+d :ith foresi6ht of the co+seque+ces! had created a 6e+ocida- mo+ster a+d :i--i+6- set it -oose o+ the R:a+da+ 7o7u-atio+9 0+d the @+e: :hat the mo+ster :as doi+6 after it :as u+-eashed o+ the 7u#-ic9 That the defe+da+ts did +ot accom7a+ the mo+ster o+ its @i--i+6 s7ree did +ot e=o+erate them from superior respo"si,ility9 This "ie: of ci"i- superior respo"si,ility au6urs :e-- for the I,,! :hose Statute co+tai+s se7arate 7ro"isio+s for mi-itar a+d ci"i-ia+ comma+d respo"si,ility9 AFN$%)B 0-thou6h structura-- simi-ar! these 7ro"isio+s differ i+ :ordi+6 :ith res7ect to the superior2su#ordi+ate e-eme+t a+d the @+o:-ed6e e-eme+t9 AFN$%5B I+ 7articu-ar! for -ia#i-it to attach to a ci"i-ia+! the u+der- i+6 crimes must co+cer+ Eacti"ities that :ere :ithi+ the effecti"e respo"si,ility a+d co+troof the superior9E This qua-ificatio+ is +ot 7rese+t i+ the mi-itar comma+d respo"si,ility 7ro"isio+9 AFN$%4B /ore si6+ifica+t- ! ho:e"er! a mi-itar comma+der is crimi+a-- respo"si,le for crimes of :hich he or she Eshou-d ha"e @+o:+!E :hereas a ci"i-ia+ superior is crimi+a-- &/6/ respo"si,le o+- if he or she Eco+scious- disre6arded i+formatio+ :hich c-ear- i+dicatedE that the su#ordi+ates :ere committi+6 or a#out to commit a crime9 AFN$%<B I+ -i6ht of this more ri6orous sta+dard! the Tri#u+a-;s f-e=i#-e a77roach to superior respo"si,ility ma he-7 -e"e- the 7-a i+6 fie-d #et:ee+ ci"i-ia+s a+d mi-itar 7erso++e- :he+ it comes to attachi+6 superior respo"si,ility to #reaches of i+ter+atio+a- crimi+a- -a:9 $9 ,o+s7irac The I,TR Statute re7rese+ts a #-e+d of #oth the commo+ -a: a+d ci"i- -a: traditio+s! AFN$%%B a+d the te+sio+ #et:ee+ the t:o s stems is fe-t 7erha7s most @ee+- :he+ e=ami+ed throu6h the 7rism of co+s7irac 9 The Tri#u+a- has +oted! for e=am7-e! that at the time of the Ie+ocide ,o+"e+tio+ Eco+s7irac :as a forei6+ co+ce7t to Fre+ch -a:9E AFN$%JB E"e+ toda ! co+s7irac i+ the ci"i- -a: traditio+ is +arro:- circumscri#ed a+d! i+ co+trast to the 0+6-o2Sa=o+ s stem! mere a6reeme+t a+d o"ert acts are +ot sufficie+t22the o#8ect of the co+s7irac must #e achie"ed9 AFN$J&B Ii"e+ this i+com7ati#i-it #et:ee+ the t:o s stems! ci"i- -a: 7ractitio+ers mi6ht ha"e e=7ected a+ I,TR a77roach to co+s7irac
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for6ed i+ a s7irit of com7romise a+d co+ser"atism9 The Nahima+a 8ud6me+t dashed such e=7ectatio+s9 0s the doctri+e of su7erior res7o+si#i-it effected a 6e+erous "ertica- e=7a+sio+ of hate s7eech -ia#i-it ! the Tri#u+ama+a6ed a+ equa-- 6e+erous horiHo+ta- e=te+sio+ throu6h a+ i+si6htfu- a+d #o-d a77roach to co+s7irac -a:9 I+ 7articu-ar! the Tri#u+a-;s formu-atio+ of a+ Ei+stitutio+a- co+s7irac E theor 7ermitted it to fi+d a+ Ea6reeme+tE #et:ee+ three i+di"idua-s :ho! o+ a+ i+di"idua- -e"e-! did +ot a77ear to #e :or@i+6 as a trio9 Simi-ar- ! o+ a hi6her -e"e-! +o e"ide+ce :as marsha-ed sho:i+6 the defe+da+ts; coordi+atio+ as 7art of a -ar6er 6o"er+me+t ca#a- to commit 6e+ocide9 Ne"erthe-ess! o+ c-oser i+s7ectio+ of the e"ide+ce! each i+di"idua-;s i+stitutio+ FRTL/! ,DR! a+d .a+6uraG :as 6e+ocida-- -i+@ed :ith the other throu6h "arious &/62 media acti"ities! i+c-udi+6 7romotio+s! co+tests! a+d ad"ertisi+69 Thus! a-thou6h t:o of the three defe+da+ts FNahima+a a+d N6eHeG actua-- e=7erie+ced 7erso+a- a+imosit to:ard o+e a+other a+d a+ a77are+t a"ersio+ to :or@i+6 to6ether! their i+stitutio+s :or@ed sufficie+t- i+ co+cert to demo+strate a crimi+a- a6reeme+t to commit 6e+ocide throu6h use of the media9 Such a+ astute a77roach to co+s7irac -a: is "ita- for the success of future :ar crimes tri#u+a-s9 0ccordi+6 to o+e comme+tator: 1ithout co+s7irac theor ! 7rosecutors miss a+ e+tire cate6or of 7ote+tiadefe+da+ts99 9 9 ,o+s7irac is a theor that ca+ #ri+6 -eaders to 8ustice for or6a+iHi+6 a+d i+s7iri+6 crimi+a- acti"it 9 I+ additio+! the crime of co+s7irac reco6+iHes the s7ecia- da+6ers of 8oi+t actio+! a--o:i+6 the s:ee7 of 7rosecutio+ to focus o+ 6rou7 crimi+a-it ! :hich is ofte+ more 7ote+t a+d effecti"e tha+ i+di"idua- :ro+6doi+69 9 99 It is 7articu-ar- im7orta+t that tri#u+a-s such as the I,TY a+d the I,, e=7erime+t :ith +e: a77roaches i+ order to e=7a+d the effecti"e+ess of i+ter+atio+a- crimi+a- -a:9 These tri#u+a-s are 7oised to ad"a+ce a+d refi+e the -a: more quic@- tha+ treat drafters a+d +e6otiators! o+ :hom the tas@ of refi+i+6 the co+s7irac theor :ou-d other:ise rest :ere it +ot for f-e=i#i-it # 8ud6es a+d 7rosecutors9 AFN$J'B The Nahima+a 8ud6me+t has a+s:ered this ca-- a+d! throu6h the co+ce7t of Ei+stitutio+a- co+s7irac !E has ad"a+ced a+d refi+ed the reach of i+ter+atio+a- -a: :ith res7ect to 6rou7 crimi+a-it 9 (9 Tem7ora- 3urisdictio+ 0s +oted a#o"e! +ear- a-- of N6eHe;s acts of i+citeme+t! throu6h .a+6ura! occurred 7rior to the start of the Tri#u+a-;s tem7ora- 8urisdictio+ o+ 3a+uar '! 'JJ)9 .a+6ura 7u#-ished o+- fi"e issues i+ 'JJ) a+d +o+e 7ast the mo+th of /arch9 It 7u#-ished +othi+6 duri+6 the 6e+ocide9 I+ co+c-udi+6 that N6eHe! i+ his ca7acit as .a+6ura editor2i+2chief! committed the crime of direct a+d 7u#-ic i+citeme+t to commit 6e+ocide! the Tri#u+a- focused 7rimari- o+ 7re2'JJ) issues of .a+6ura9 AFN$J$B So ho: does the Tri#u+a- shoehor+ these 7re2'JJ) acts &/65 :ithi+ its tem7ora- 8urisdictio+> It does so throu6h its treatme+t of Ei+choateE offe+ses9 AFN$J(B I+ 7re2tria- 7roceedi+6s! Nahima+a a+d N6eHe cha--e+6ed their i+dictme+ts o+ the 6rou+ds that the i+c-uded a--e6atio+s of crimes that fe-- outside the Tri#u+a-;s tem7ora- 8urisdictio+9 AFN$J)B The Tria- ,ham#er ru-ed that! :hi-e such e"e+ts E7ro"ide a re-e"a+t #ac@6rou+dE a+d ma co+stitute Esu#sidiar or i+terre-ated a--e6atio+sE :ith 7ossi#-e Ee"ide+tiar "a-ue!E the accused Ecou-d +ot #e he-d accou+ta#-e for crimes committed 7rior to 'JJ)E a+d Esuch e"e+ts :ou-d +ot #e referred to ;e=ce7t for historica- 7ur7oses or i+formatio+9E; AFN$J5B 0ccordi+6- ! the a--e6atio+s :ou-d remai+ i+ the i+dictme+ts9 AFN$J4B O+ i+ter-ocutor a77ea-! the 077ea-s ,ham#er co+firmed the Tria- ,ham#er;s decisio+9 AFN$J<B The a77e--ate decisio+ :as su77-eme+ted # a 3oi+t Se7arate O7i+io+ of 3ud6es ?ohrah a+d Nieto2Na"ia! i+ :hich the +oted: 1ith i+choate crimes i+ 7articu-ar! it ca+ #e difficu-t to ascertai+ :he+ a-- of the co+stitue+t e-eme+ts of the offe+ce e=ist so that a 7ote+tia- 7ro#-em arises if it is i+te+ded that a co+"ictio+ :i-- #e #ased u7o+ +ot 8ust o+e defi+ed e"e+t occurri+6 o+ a s7ecific date #ut u7o+ a series of e"e+ts or acts :hich too@ 7-ace o"er a+ e=te+ded 7eriod of time9 AFN$J%B Thus! the 3oi+t Se7arate O7i+io+ questio+ed :hether the Tri#u+a-;s -imited tem7ora- 8urisdictio+ :as i+te+ded to a77so as to e=c-ude e"ide+ce of E7re2'JJ) i+citeme+t or co+s7irac 9E AFN$JJB The O7i+io+ +oted! ho:e"er! that the Securit ,ou+ci- e=7ress- esta#-ished the Tri#u+a-;s tem7ora- 8urisdictio+ from 3a+uar '! 'JJ)! rather tha+ 07ri- 4!
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'JJ) &/64 Fthe start of the 6e+ocideG! Ei+ order to ca7ture the 7-a++i+6 sta6e of the crime9E AFN(&&B Thus! the O7i+io+ co+c-uded! the I,TR Statute shou-d #e i+ter7reted Ei+ a restricti"e fashio+ i+ order to fu-fi-- this i+te+tio+9E AFN(&'B The Nahima+a Tria- ,ham#er esche:ed such a+ i+ter7retatio+9 The Tria- ,ham#er +oted that the aforeme+tio+ed Securit ,ou+cide#ate :as he-d re6ardi+6 a 6e+era- 7ro7osa- that the Tri#u+a-;s 8urisdictio+ co"er acts from Octo#er 'JJ&9 0s a resu-t! the Tria- ,ham#er a-so +oted! the Securit ,ou+ci- did +ot s7ecifica-- co+sider i+choate offe+ses9 Thus! the Nahima+a Tria- ,ham#er fou+d! Ethe Securit ,ou+cide#ate does +ot 7ro"ide 6uida+ce o+ the a77-icatio+ of tem7ora- 8urisdictio+ to these 7articu-ar offe+ses9E AFN(&$B It co+c-uded: The ,ham#er co+siders that the ado7tio+ of ' 3a+uar 'JJ) rather tha+ 4 07ri- 'JJ) as the comme+ceme+t of the Tri#u+a-;s tem7ora- 8urisdictio+! e=7ress- for the 7ur7ose of i+c-udi+6 the 7-a++i+6 state! i+dicates a+ i+te+tio+ that is more com7ati#-e :ith the i+c-usio+ of i+choate offe+ces that cu-mi+ate i+ the commissio+ of acts i+ 'JJ) tha+ it is :ith their e=c-usio+9 It is o+- the commissio+ of acts com7-eted 7rior to 'JJ) that is c-ear- e=c-uded from the tem7ora8urisdictio+ of the Tri#u+a-9 AFN(&(B Thus! for 7ur7oses of this a+a- sis! the issue #oi-s do:+ to :he+ the acts 6i"i+6 rise to the i+choate offe+ses ha"e #ee+ Ecommitted9E The Nahima+a Tria- ,ham#er co+c-uded that the commissio+ of i+choate offe+ses co+ti+ues Eu+ti- the com7-etio+ of the acts co+tem7-ated9E AFN(&)B Precede+t su66ests other:ise9 I+ The Prosecutor "9 /usema! the Tri#u+a- +oted that i+choate crimes Fi+ that case co+s7irac G are E7u+isha#-e # "irtue of the crimi+a- act as such a+d +ot as a co+seque+ce of the resu-t of that act9E AFN(&5B I+ a+ accom7a+ i+6 foot+ote! the Tri#u+a- e=7-icit- stated that this a77-ied to the i+choate crime of direct a+d 7u#-ic i+citeme+t to commit 6e+ocide9 It added that this crime carries such a hi6h ris@ for societ that it must #e 7u+ished :ithout refere+ce to su#seque+t acts! if a+ ! of 6e+ocide9 AFN(&4B &/65 This is co+siste+t :ith :e--2esta#-ished defi+itio+s of i+choate crimes9 E,rimes that are 7u+ished #efore the harm that is the u-timate co+cer+ of societ occurs are ca--ed i+choate crimes9E AFN(&<B That a+ i+choate crime is committed 7rior to! a+d i+de7e+de+t- of! the o#8ect crime is a=iomatic9 EI+deed! the mai+ 7ur7ose of 7u+ishi+6 i+choate crimes is to a--o: the 8udicia- s stem to i+ter"e+e #efore a+ actor com7-etes the o#8ect crime9E AFN(&%B 0s a resu-t! for the 6rou+ds stated i+ the Nahima+a 8ud6me+t! the Tri#u+a-;s i+c-usio+ of the defe+da+ts; 7re2'JJ) i+citeme+t :ithi+ its tem7ora- 8urisdictio+ :ou-d a77ear to #e 7ro#-ematic9 U+der the traditio+a- "ie: of i+choate crimes! each such act of i+citeme+t :as seemi+6- com7-eted! a+d therefore ca7a#-e of #ei+6 7u+ished! immediate- after it occurred! i9e9! after the 7u#-icatio+ of the +e:s7a7er artic-e or #roadcast of the radio messa6e9 AFN(&JB O+ the other ha+d! it ma #e 7ossi#-e to u+dersta+d the Tri#u+a-;s "ie: of i+citeme+t as #roader a+d more f-uid9 I+ other :ords! the Tri#u+a- 7ercei"ed the i+citeme+t +ot as a series of discreet! i+di"idua- acts #ut as 7art of a+ e=te+ded! o"erarchi+6 Escheme of i+citeme+t9E I+ fact! this mi6ht #e a more a77ro7riate u+dersta+di+6 of Emass mediaE i+citeme+t to 6e+ocide! :hich cou-d #e see+ as 7roceedi+6 i+ fits a+d starts a+d #ui-di+6 to a 6e+ocida- cresce+do9 0+d it :ou-d seem to com7ort :ith the 0merica+ Eco+ti+ui+6 offe+se doctri+eE u+der :hich Ea co+ti+ui+6 offe+se is o+e :hich is +ot com7-ete u7o+ the first act! #ut i+stead co+ti+ues to #e 7er7etrated o"er time9E AFN('&B This doctri+e a77-ies &/6$ to co+s7irac ! a+ i+choate offe+se! a+d thus cou-d co+cei"a#- #e a77-ied as :e-- to the i+choate offe+se of i+citeme+t9 AFN(''B O+ce a6ai+! the reso-utio+ of this issue :i-- ha"e a -ar6e im7act o+ the future i+ter+atio+a- 7rosecutio+ of hate s7eech crimes9 I+ 7articu-ar! the I,, Statute -imits its tem7ora- 8urisdictio+ to Ecrimes committed after e+tr i+to force of AtheB Statute9E AFN('$B Because the I,, e+tered i+to force o+ 3u- '! $&&$! +umerous i+sta+ces of i+citeme+t to 6e+ocide committed #efore that date ma 6o u+7u+ished9 U+der the Tri#u+a-;s i+choate offe+se a+a- sis! ho:e"er! it is 7ossi#-e those crimes cou-d #e 7rosecuted9 ?9 ,o+c-usio+ It has #ee+ said that E:ords @i--9E I+ The Prosecutor "9 Nahima+a! the I+ter+atio+a- ,rimi+a- Tri#u+a- for R:a+da e=7-ai+ed i+ -e6a- terms ho: i+strume+ts of mass media ca+ #e res7o+si#-e for usi+6 :ords to commit 6e+ocide9
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/oreo"er! the Tri#u+a- 7ro"ided a+a- tic criteria to u+dersta+d ho: certai+ :ords! their 7ur7ose! co+te=t! s7ea@er! a+d tar6et ca+ #e e=ami+ed to determi+e :he+ the e=ercise of free s7eech corrodes i+to i--e6a- ad"ocac 9 *ad the Tri#u+a-;s 8ud6me+t sto77ed there! it :ou-d ha"e made a si6+ifica+t co+tri#utio+ to the de"e-o7me+t of i+ter+atio+a- crimi+a- -a:9 But the 8ud6me+t;s im7orta+ce is :ider2reachi+69 I+ co+sideri+6 the ro-e of mass media e=ecuti"es i+ re-atio+ to 6e+ocida- hate s7eech crimes! the 8ud6me+t a-so co+sidered the "ertica- reach of crimi+a- -ia#i-it ! throu6h the char6e of Esu7erior &/61 res7o+si#i-it !E as :e-- as its horiHo+ta- reach! throu6h the char6e of co+s7irac 9 1ith res7ect to the former! the Tri#u+a- :ise- co+c-uded that the RTL/ defe+da+ts; 7h sica- dista+ce from the sce+e of the crimes a+d -imited commu+icatio+ :ith the 7er7etrators duri+6 the 6e+ocide did +ot a#so-"e them of -ia#i-it 22# setti+6 u7 RTL/ a+d for6i+6 it i+to a hate2messa6e factor ! the defe+da+ts had @+o:i+6- acti"ated a time #om# a+d! des7ite ha"i+6 the mea+s to do so! fai-ed to defuse it9 Simi-ar- ! the Tri#u+a- astute- co+c-uded that! des7ite a+ 7erso+a- a+imosit a+d disharmo+ amo+6 the defe+da+ts! their e+ter7rises :ere sufficie+t- -i+@ed i+ a commo+ 7ur7ose to fi+d a+ Ei+stitutio+a- co+s7irac 9E /oreo"er! throu6h a+ a+a- sis of Ei+choate offe+ses!E the Tri#u+a- :as a#-e to fi+d that N6eHe;s 7re2'JJ) i+citeme+t! the -io+;s share of the char6es a6ai+st him! fe-- :ithi+ the Tri#u+a-;s tem7ora- 8urisdictio+9 The i+choate offe+se of i+citeme+t is +ot com7-eted! reaso+ed the Tri#u+a-! u+ti- its o#8ect crime has #ee+ committed9 This ar6ua#- f-ies i+ the face of the ratio+a-e #ehi+d i+choate offe+ses: societ crimi+a-iHes certai+ i+choate acts #ecause it see@s to 7u+ish i+ci7ie+t actio+s #efore the ca+ #-ossom i+to more serious crimes9 Sti--! co+s7irac is a+ i+choate offe+se9 U+der the 0merica+ Eco+ti+ui+6 offe+seE doctri+e! it ma +ot #e com7-eted! for statute of -imitatio+s 7ur7oses! u+ti-! amo+6 other 7ossi#-e outcomes! the tar6et offe+se is committed9 Perha7s a "a-id ar6ume+t ca+ #e made that the mass media i+citeme+t i+ Nahima+a! :hich :as i+timate- -i+@ed :ith the co+s7irac ! did +ot co+sist of discrete u+its of actio+9 I+stead! it :as a stream of drum#eats that e##ed a+d f-o:ed! #ut u-timate- reached a cresce+do i+ the R:a+da+ 6e+ocide9 I+ this se+se! the Tri#u+a-;s ta@e o+ tem7ora- 8urisdictio+ ma u-timate- #e "a-idated9 0t the da:+ of a +e: mi--e++ium! the :or-d is +o safer from the t 7e of hate s7eech that c-osed the -ast o+e9 0-thou6h the Tri#u+a- i+ Nahima+a cou-d ha"e e=7-ored i+ 6reater detai- ho: more su#t-e forms of s7eech Fe969! code :ords! 6-orificatio+ of "io-e+ce! co+6ratu-atio+sG ca+ co+stitute 6e+ocida- i+citeme+t! it has 7ro"ided a #-ue7ri+t for future courts to e+6a6e i+ such a+a- sis9 Ferdi+a+d Nahima+a ma ha"e #ee+ correct :he+ he testified! E1he+ there is :ar! there is :ar! a+d 7ro7a6a+da is 7art of it9E AFN('(B 0fter the Tri#u+a-;s 8ud6me+t! o+e mi6ht add! E1he+ a :ar crime has #ee+ committed! a :ar crime has #ee+ committed a+d mass media 7ro7a6a+da ca+ #e 7art of it9E AFNa'B9 Se+ior Tria- 0ttor+e ! U+ited States De7artme+t of 3ustice! ,rimi+a- Di"isio+! Office of S7ecia- I+"esti6atio+s F1or-d 1ar II NaHi 7rosecutio+ u+itGD 0ttor+e ! Office of the Prosecutor F/edia ,ase TeamG! I+ter+atio+a- ,rimi+aTri#u+a- for R:a+da! 'JJ42J%D 39D9 'JJ&! U+i"ersit of ,a-ifor+ia at Ber@e-e D B909! 'J%5! U+i"ersit of ,a-ifor+ia at Ber@e-e 9 The author :ou-d -i@e to tha+@ his co--ea6ues at the U+ited States De7artme+t of 3ustice for their i+si6htfuedits a+d su66estio+sD Dr9 Ro#ert 1aite for his i+"a-ua#-e historica- research assista+ceD 0dam Fre ! Su#missio+s Re"ie: Editor of the ?ir6i+ia 3our+a- of I+ter+atio+a- La:! for his 6uida+ce throu6h the su#missio+ 7rocessD a+d m :o+derfu- :ife a+d chi-dre+! :hose 7atie+ce a+d e+coura6eme+t :ere i+dis7e+sa#-e to this 7ro8ect9 The "ie:s e=7ressed i+ this 0rtic-e are those of the author a+d do +ot +ecessari- ref-ect the "ie:s of the U+ited States! the U9S9 De7artme+t of 3ustice! the I+ter+atio+a- ,rimi+a- Tri#u+a- for R:a+da! or a+ other i+stitutio+9 AFN'B9 Prosecutor "9 Nahima+a! Bara a6:iHa! O N6eHe! 3ud6me+t a+d Se+te+ce! I,TR ,ase No9 JJ25$2T FDec9 (! $&&(G Aherei+after Nahima+a 3ud6me+tB9 AFN$B9 0-thou6h the decisio+ i+ The Prosecutor "9 Nahima+a dea-s :ith Bara a6:iHa;s crimi+a- -ia#i-it i+ co++ectio+ :ith his acti"ities as a fou+di+6 mem#er of the *utu27o:er 7art ,oa-itio+ for the Defe+se of the Re7u#-ic F,DRG! see! e969! Nahima+a 3ud6me+t I,TR ,ase No9 JJ25$2T PP J<52 J<<! this 0rtic-e :i-- +ot e=ami+e that as7ect of the decisio+ i+ a+ detai-9 AFN(B9 Id9 PP ''&52''&%9 Bara a6:iHa :as actua-- se+te+ced to -ife im7riso+me+t #ut the decisio+ reduced the se+te+ce to thirt 2fi"e ears i+ -i6ht of a--e6ed 7rocedura- "io-atio+s of his ri6hts9 Id9 PP ''&42''&<9
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AFN)B9 See I/T 3ud6me+t! Oct9 '! 'J)4! re7ri+ted i+ $$ The Tria- of Ierma+ /a8or 1ar ,rimi+a-s: Proceedi+6s of the I+ter+atio+a- /i-itar Tri#u+a- Sitti+6 at Nurem#er6 Ierma+ 5&'2&$ F'J)4G Aherei+after StreicherBD id9 at 5$52$4 Aherei+after FritHscheB9 See a-so ,athari+e /ac.i++o+! I+ter+atio+a- Decisio+: Prosecutor "9 Nahima+a Bara a6:iHa! O N6eHe! J% 0m9 39 I+t;- L9 ($5! ($% F$&&)G FEThis ad8udicatio+ is the first si+ce the Streicher a+d FritHsche cases at Nurem#er6 to co+fro+t the res7o+si#i-it of the media u+der i+ter+atio+a- crimi+a- 8ustice 7ri+ci7-es9EG9 AFN5B9 ,o+"e+tio+ o+ the Pre"e+tio+ a+d Pu+ishme+t of the ,rime of Ie+ocide! art9 III! Dec9 J! 'J)%! <% U9N9T9S9 $<<! $%& Aherei+after Ie+ocide ,o+"e+tio+B9 AFN4B9 I+ 7articu-ar! it :i-- #e si6+ifica+t for 7ote+tia- hate s7eech cases #rou6ht #efore the 7erma+e+t I+ter+atio+a,rimi+a- ,ourt FI,,G! :hich o7e+ed i+ 3u- $&&$9 0ccordi+6 to Radio Nether-a+ds: Some 7eo7-e #e-ie"e that *ate Radio is a 7he+ome+o+ that started a+d e+ded i+ the mid2J&;s! +ota#- i+ the Ireat La@es Re6io+ of 0frica arou+d Buru+di a+d R:a+da9 A*o:e"er! rece+t histor B sho:s that hate radio co+ti+ues to #e a co+sta+t da+6er9 *ate radio @i--ed more tha+ %&&!&&& 7eo7-e i+ the -ast decade9 Its i+f-ue+ce shou-d +ot #e i6+ored9 ,ou+teracti+6 *ate /edia! Radio Nether-a+ds /edia Net:or@! at htt7:// :::9r+:9+-/rea-radio/dossiers/htm-/hatei+tro9htm- F-ast "isited 07r9 4! $&&)G9 ,-a+desti+e Radio 1atch a-so re7orts that: The R:a+da+ case is 7erha7s the most fami-iar e=am7-e of hate media from rece+t ears9 *o:e"er! other re6io+s i+ co+f-ict ha"e see+ simi-ar o7eratio+s s7ri+6 u7! :ith the aim of s7readi+6 discord a+d hei6hte+i+6 te+sio+D I+do+esia! the Phi-i77i+es! a+d the Democratic Re7u#-ic of ,o+6o amo+6st them9 De+mar@;s ,o7e+ha6e+2#ased! e=treme ri6ht2:i+6 Radio Oase+ has o+- rece+t- had its state fu+di+6 :ithdra:+9 /ea+:hi-e! i+ South 0frica! Radio Pretoria co+ti+ues to #roadcast its 7ro2a7artheid messa6e9 Descri#ed # the I+ter+atio+a- *era-d Tri#u+e as the radio statio+ :here Ea7artheid is sti-- re"ered!E this Eu+ique "oice for co+ser"ati"e 0fri@a+ers sti-- #roadcasts the o-d a7artheid re6ime;s +atio+a- a+them e"er mor+i+69E 0+a- sis: R:a+da+ *ate /edia22Te+ Years O+! ,-a+desti+e Radio 1atch! at htt7://:::9c-a+desti+eradio9com/cr:/+e:s97h7>ida$')Ost+a'5(O+e:sa)&( F-ast "isited 07r9 5! $&&)G9 AFN<B9 Prosecutor "9 3ea+2Pau- 0@a esu! 3ud6me+t! I,TR ,ase No9 J42)2T P 55& FSe7t9 $! 'JJ%G Aherei+after 0@a esu 3ud6me+tB9 AFN%B9 See Streicher! su7ra +ote )! at 5$J2(&9 AFNJB9 Id9 at 5&'2&$9 AFN'&B9 Id9 AFN''B9 Id9 AFN'$B9 Id9 AFN'(B9 See FritHsche! su7ra +ote )! at 5$52$49 AFN')B9 Id9 at 5$59 AFN'5B9 Tra+scri7t of I/T Proceedi+6s! 3u+e $4! 'J)4! re7ri+ted i+ '< The Tria- of Ierma+ /a8or 1ar ,rimi+a-s: Proceedi+6s of the I+ter+atio+a- /i-itar Tri#u+a- Sitti+6 at Nurem#er6 Ierma+ $)(! $)5 F'J)%G9 AFN'4B9 Id9 at $549 AFN'<B9 FritsHche! su7ra +ote )! at 5$52$49 This decisio+ has #ee+ criticiHed9 For e=am7-e! i+ disse+t! the So"iet 3ud6e
Pa6e $<
+oted that the "erdict fai-ed to ta@e i+to accou+t that FritHsche :as! u+ti- 'J)$! Ethe Director de facto of the Reich Press a+d that! accordi+6 to himse-f! su#seque+t to 'J)$! he #ecame the ;,omma+der2i+2,hief of the Ierma+ radio9E; Disse+ti+6 O7i+io+ of the So"iet /em#er of the I+ter+atio+a- /i-itar Tri#u+a-! Oct9 '! 'J5&! re7ri+ted i+ $$ The Triaof Ierma+ /a8or 1ar ,rimi+a-s: Proceedi+6s of the I+ter+atio+a- /i-itar Tri#u+a- Sitti+6 at Nurem#ur6 Ierma+ 5(% F'J5&G9 The disse+t co+ti+ued: For the correct defi+itio+ of the ro-e of defe+da+t *a+s FritHsche it is +ecessar ! first- ! to @ee7 c-ear- i+ mi+d the im7orta+ce attached # *it-er a+d his c-osest associates Fas Ioeri+6! for e=am7-eG to 7ro7a6a+da i+ 6e+era- a+d to radio 7ro7a6a+da i+ 7articu-ar9 This :as co+sidered o+e of the most im7orta+t a+d esse+tia- factors i+ the success of co+ducti+6 a+ a66ressi"e :ar9 9 9a+d i+ trai+i+6 the Ierma+ 7o7u-ace to acce7t o#edie+t- ANaHiB crimi+a- e+ter7rises9 9 99 I+ the 7ro7a6a+da s stem of the *it-er State it :as the dai- 7ress a+d the radio that :ere the most im7orta+t :ea7o+s9 Id9 The So"iet 3ud6e a-so +oted: EIt is further esta#-ished that the defe+da+t s stematica-- 7reached the a+ti2socia- theor of race hatred a+d characteriHed 7eo7-es i+ha#iti+6 cou+tries "ictimiHed # a66ressio+ as ;su#2huma+s;99 9 9 FritHsche a6itated for a-- the ci"i-ia+ 7o7u-atio+ of Ierma+ to ta@e acti"e 7art i+ the acti"ities of this terroristic NaHi u+der6rou+d or6a+iHatio+9E Id9 at 5(J9 AFN'%B9 I909 Res9 J4FIG! U9N9 I0OR! 4th ,omm9! 55th 7-e+9 mt69 at '%J! U9N9 Doc9 0/4)/0dd9' F'J)4G9 AFN'JB9 I909 Res9 $4&FIIIG! U9N9 I0OR! (rd Sess9! Part I F0/%'&G at '<)9 AFN$&B9 For a 6ood discussio+ re6ardi+6 this te+sio+ a+d a+ o"er"ie: of the com7eti+6 -e6a- re6imes! see Stri@i+6 a Ba-a+ce: *ate S7eech! Freedom of E=7ressio+ a+d No+2Discrimi+atio+ FSa+dra ,o-i"er ed9! 'JJ$G9 See a-so Ste7ha+ie Farrior! /o-di+6 the /atri=: The *istorica- a+d Theoretica- Fou+datio+s of I+ter+atio+a- La: ,o+cer+i+6 *ate S7eech! ') Ber@e-e 39 I+t;- L9 ' F'JJ4G9 AFN$'B9 I909 Res9 $'<0FIIIG! U9N9 I0OR! (d Sess9! Su779 No9 '! U9N9 Doc9 0/%'& F'J)%G Aherei+after UD*RB9 AFN$$B9 Id9 art9 <9 AFN$(B9 Id9 art9 'J9 AFN$)B9 I+ter+atio+a- ,o"e+a+t o+ ,i"i- a+d Po-itica- Ri6hts! JJJ U9N9T9S9 '<'! o7e+ed for si6+ature Dec9 '4! 'J44 Fe+tered i+to force /ar9 $(! 'J<4G Aherei+after I,,PRB9 AFN$5B9 Id9 art9 'JF$G9 AFN$4B9 Id9 art9 'JF(G9 AFN$<B9 Id9 art9 $&F$G9 AFN$%B9 Euro7ea+ ,o+"e+tio+ for the Protectio+ of *uma+ Ri6hts a+d Fu+dame+ta- Freedoms! o7e+ed for si6+ature No"9 )! 'J5&! art9 '&F'G! $'( U9N9T9S9 $$$ Fe+tered i+to force Se7t9 (! 'J5(G9 AFN$JB9 Id9 art9 '&F$G9 AFN(&B9 Nahima+a 3ud6me+t! P JJ'9 AFN('B9 I+ter+atio+a- ,o+"e+tio+ o+ the E-imi+atio+ of 0-- Forms of Racia- Discrimi+atio+! 0rt9 )FaG! 44& U9N9T9S9 'J5! o7e+ed for si6+ature /ar9 <! 'J44 Fe+tered i+to force 3a+9 )! 'J4JG9 AFN($B9 Id9 art9 )F#G9
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AFN((B9 See 1"S 0rt9 '(<FdG F'%%'G Fame+ded 'JJ4G! tra+s-ated i+ The Dutch Pe+a- ,ode! '(( FLouise Ra er a+d Stafford 1ads:orth tra+s9! Rothma+ O ,o9 'JJ<GD The Da+ish ,rimi+a- ,ode N$44F#G! a"ai-a#-e at The Da+ish ,rimi+a,ode '&< FI9E9,9 Iad9 'J5%G9 AFN()B9 U9S9 ,o+st9 ame+d I9 AFN(5B9 0#rams "9 U+ited States! $5& U9S9 4'4 F'J'JG9 AFN(4B9 Borro:i+6 from 3oh+ /i-to+;s E0reo7a6iticaE F'4))G a+d 3oh+ Stuart /i--;s EO+ Li#ert E F'%5JG! *o-mes :rote i+ his 0#rams disse+t: But :he+ me+ ha"e rea-iHed that time has u7set ma+ fi6hti+6 faiths! the ma come to #e-ie"e e"e+ more tha+ the #e-ie"e the "er fou+datio+s of their o:+ co+duct that the u-timate 6ood desired is #etter reached # free trade i+ ideas22 that the #est test of truth is the 7o:er of the thou6ht to 6et itse-f acce7ted i+ the com7etitio+ of the mar@et9 9 99 That at a+ rate is the theor of our ,o+stitutio+9 It is a+ e=7erime+t! as a-- -ife is a+ e=7erime+t9 $5& U9S9 at 4(&9 AFN(<B9 Froh:er@ "9 U+ited States! $)J U9S9 $&)! $&4 F'J'JG9 AFN(%B9 Bra+de+#ur6 "9 Ohio! (J5 U9S9 )))! ))< F'J4JG9 AFN(JB9 See Statute of the I+ter+atio+a- ,rimi+a- ,ourt for R:a+da! S9,9 Res9 J55! U9N9 S,OR! )Jth Sess9! ()5(d mt69! U9N9 Doc9 S/RES/J55 F'JJ)G Aherei+after I,TR StatuteB9 AFN)&B9 Id9 arts9 $! ( O )9 AFN)'B9 Id9 art9 49 AFN)$B9 Id9 See a-so /9 ,herif Bassiou+i O Peter /a+i@as! The La: of the I+ter+atio+a- ,rimi+a- Tri#u+a- for the Former Yu6os-a"ia! ()5! ()%25& F'JJ4G9 AFN)(B9 See ,urt 09 *ess-er! Note! ,omma+d Res7o+si#i-it for 1ar ,rimes! %$ Ya-e L939 '$<)! '$<42<< F'J<(G9 It has #ee+ su66ested that the term Ecomma+d res7o+si#i-it !E :hich im7-ies a77-icatio+ i+ mi-itar co+te=ts! shou-d #e re7-aced # the #roader term Esu7erior res7o+si#i-it !E :hich a-so e+com7asses +o+2mi-itar co+te=ts9 See .ai 0m#os! Su7erior Res7o+si#i-it ! i+ ' The Rome Statute of the I+ter+atio+a- ,rimi+a- ,ourt: 0 ,omme+tar %$(! %$) +9'! %54 F0+to+io ,assese et a-9 eds9! $&&$G9 AFN))B9 Prosecutor "9 3ea+2Pau- 0@a esu! 3ud6me+t! I,TR ,ase No9 J42)2T FSe7t9 $! 'JJ%G Aherei+after 0@a esu 3ud6me+tB9 AFN)5B9 The 0@a esu 8ud6me+t a-so fou+d! for e=am7-e! that the s stematic ra7e of Tutsi :ome+ co+stituted the 6e+ocida- act of Ecausi+6 serious #odi- or me+ta- harm to mem#ers of the Atar6etedB 6rou79E Id9 PP <('2<((9 AFN)4B9 Id9 PP 4<(24<59 AFN)<B9 Id9 P 55'9 AFN)%B9 Id9 AFN)JB9 Id9
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AFN5&B9 Id P 4<(9 AFN5'B9 Id9 P 55(9 AFN5$B9 Id9 PP ()%2(5<9 AFN5(B9 Id9 P 4<(F"iiG9 AFN5)B9 Id9 P ()J9 AFN55B9 Id9 P 54&9 AFN54B9 Id9 P 5549 AFN5<B9 The Tri#u+a- does +ot defi+e Eassista+ce9E *o:e"er! i+ Prosecutor "9 Ru66iu! the Tri#u+a- re7-aced the :ord Eassista+ceE :ith Ei+citeme+t9E Prosecutor "9 Ru66iu! 3ud6me+t a+d Se+te+ce! I,TR ,ase No9 J<2($2I P '< F$&&&G Aherei+after Ru66iu 3ud6me+tB9 Ne"erthe-ess! it did +ot e-a#orate o+ the mea+i+6 of Ese-ecti"eE i+citeme+t! 7resuma##ecause i+ #oth 0@a esu a+d Ru66iu! the E7u#-icE e-eme+t of the crime :as +ot a+ issue9 Id9 AFN5%B9 Ru66iu 3ud6me+t! I,TR ,ase No9 J<2($2I P '<9 AFN5JB9 0@a esu 3ud6me+t! I,TR ,ase No9 J42)2T P 55<9 AFN4&B9 Id9 AFN4'B9 Id9 P 55%9 AFN4$B9 Id9 PP ()&! 4<( Fi"G9 AFN4(B9 RPF sta+ds for the ER:a+da+ Patriotic Fro+t!E a 6rou7 of 7rimari- U6a+da+ Tutsi e=i-es :ho -au+ched a+ armed i+"asio+ of R:a+da after the 6e+ocide #e6a+9 AFN4)B9 0@a esu 3ud6me+t! I,TR ,ase No9 J42)2T PP (((2()<9 AFN45B9 Id9 PP (4'! <&J9 AFN44B9 Id9 P )%J9 AFN4<B9 Id9 P )J'9 AFN4%B9 Id9 P 4J'9 See a-so Ire6 R9 ?etter! ,omma+d Res7o+si#i-it of No+2/i-itar Su7eriors i+ the I+ter+atio+a,rimi+a- ,ourt! $5 Ya-e 39 I+t;- L9 %J! '() F$&&&G9 AFN4JB9 Ru66iu 3ud6me+t! I,TR ,ase No9J<2($2I9 AFN<&B9 *o:e"er! Ru66iu is the Tri#u+a-;s first decisio+ re6ardi+6 7ersecutio+ as a crime a6ai+st huma+it 9 U+der the I,TR Statute! crimes a6ai+st huma+it co+sist of certai+ acts committed Eas 7art of a :ides7read or s stematic attac@ a6ai+st a+ ci"i-ia+ 7o7u-atio+ o+ +atio+a-! 7o-itica-! eth+ic! racia- or re-i6ious 6rou+ds9E I,TR Statute! su7ra +ote (J! art9 (9 The Tri#u+a- he-d that hate s7eech tar6eti+6 a 7o7u-atio+ o+ the #asis of eth+icit or other discrimi+ator 6rou+ds
Pa6e (&
co+stitutes 7ersecutio+ u+der 0rtic-e (FhG of its Statute9 Ru66iu 3ud6me+t! I,TR ,ase No9J<2($2I PP $$2$(9 AFN<'B9 Ru66iu 3ud6me+t! I,TR ,ase No9J<2($2I P 5&9 AFN<$B9 Id9 P 'J9 AFN<(B9 Id9 P ))F"iiG9 AFN<)B9 Id9 P 5'9 AFN<5B9 See Phi-i7 Ioure"itch! 1e 1ish to I+form You that Tomorro: 1e 1i-- Be .i--ed :ith Our Fami-ies 5)255 F'JJ%G9 Ioure"itch cites the o#ser"atio+s of se"era- Be-6ia+ c-er6 me+ :ho +oted that E#efore the Euro7ea+ 7e+etratio+!E the R:a+da+s 6e+ui+e- had Ethe fee-i+6 of formi+6 o+e 7eo7-eE a+d fe-t that Etheir cou+tr :as the ce+ter of the :or-d9E Id9 O+e c-er6 ma+ co+c-uded that EAtBhere are fe: 7eo7-e i+ Euro7e amo+6 :hom o+e fi+ds these three factors of +atio+a- cohesio+: o+e -a+6ua6e! o+e faith! o+e -a:9E Id9 at 559 Ioure"itch co+c-udes that u+ti- E'J5J there had +e"er #ee+ s stematic 7o-itica- "io-e+ce recorded #et:ee+ *utus a+d Tutsis22a+ :here9E Id9 at 5J9 AFN<4B9 Id9 at 5<9 See a-so Ierard Pru+ier! The R:a+da ,risis: 0 *istor of a Ie+ocide $42(5 F'JJ5G9 AFN<<B9 Ioure"itch! su7ra +ote <5! at 5%9 AFN<%B9 Id9 at 5J9 See a-so 0-ai+ Deste=he! R:a+da a+d Ie+ocide i+ the T:e+tieth ,e+tur )'2)) F'JJ)GD Pru+ier! su7ra +ote <4! at 5)24&9 AFN<JB9 Ioure"itch! su7ra +ote <5! at 4'9 AFN%&B9 Id9 at <(9 See a-so Nahima+a 3ud6me+t! I,TR ,ase No9 JJ25$2T P '&4FJ&GD Pru+ier! su7ra +ote <4! at 5<25%! 4'2 4)9 AFN%'B9 /i-itar ,ou7 i+ R:a+da Fo--o:s Tri#a- Disse+sio+! N9Y9 Times! 3u- 4! 'J<(! at (9 See a-so ,har-es /ohr! R:a+da ,ou7 Traced to 0rea Ri"a-r a+d Po"ert ! N9Y9 Times! 3u- <! 'J<(! at )D Nahima+a 3ud6me+t! I,TR ,ase No9 JJ25$2T P '&4FJ'2J$G9 AFN%$B9 Ioure"itch! su7ra +ote <5! at <49 See a-so Pru+ier! su7ra +ote <4! at %)2J&9 AFN%(B9 Thousa+ds I+"ade! R:a+da Re7orts! N9Y9 Times! Oct9 (! 'JJ&! at 0$'9 AFN%)B9 Nahima+a 3ud6me+t! I,TR ,ase No9 JJ25$2T P ''&9 See a-so R:a+da Sa s Its 0rm Did Not .i-- ,i"i-ia+s! N9Y9 Times! Oct9 '$! 'JJ&! at 0'&9 AFN%5B9 Nahima+a 3ud6me+t! I,TR ,ase No9 JJ25$2T PP '&4FJ4G! '&4F'&$G9 AFN%4B9 Ioure"itch! su7ra +ote <5! at JJ2'&&9 See a-so Nahima+a 3ud6me+t! I,TR ,ase No9 JJ25$2T P '&4F'&)G9 AFN%<B9 Nahima+a 3ud6me+t! I,TR ,ase No9 JJ25$2T P '&4F'&)G9 AFN%%B9 Ioure"itch! su7ra +ote <5! at J$9 See a-so Nahima+a 3ud6me+t! I,TR ,ase No9 JJ25$2T PP '&4FJ%G! '&4F'&'G9 AFN%JB9 Ioure"itch! su7ra +ote <5! at J(9 See a-so Nahima+a 3ud6me+t! I,TR ,ase No9 JJ25$2T PP ''(! ('J9
Pa6e ('
AFNJ&B9 Ioure"itch! su7ra +ote <5! at JJ9 AFNJ'B9 Id9 at %<2%%9 AFNJ$B9 Nahima+a 3ud6me+t! I,TR ,ase No9 JJ25$2T P '')9 AFNJ(B9 Id9 AFNJ)B9 Id9 See a-so Do+ate--a Lorch! *eart of R:a+da;s Dar@+ess: S-au6hter at a Rura- ,hurch! N9Y9 Times! 3u+e (! 'JJ)! at 0'9 AFNJ5B9 See /i-to+ Leite+#er6! 0+atom of a /assacre! N9Y9 Times! 3u- ('! 'JJ)! at E'59 AFNJ4B9 Nahima+a 3ud6me+t! I,TR ,ase No9 JJ25$2T P <9 AFNJ<B9 Id9 P '$)9 AFNJ%B9 Id9 AFNJJB9 Id9 P '(J9 AFN'&&B9 Id9 AFN'&'B9 EI+ e+HiE is the .i+ ar:a+da :ord for Ecoc@roach9E Id9 P '4&9 AFN'&$B9 Id9 AFN'&(B9 Id9 PP '<J2'%&9 AFN'&)B9 Id9 P J4(9 AFN'&5B9 Id9 PP $&<2$'&9 AFN'&4B9 Id9 P $'$9 AFN'&<B9 Id9 P $(&9 AFN'&%B9 Id9 P $)%9 AFN'&JB9 Id9 P $)<9 AFN''&B9 Id9 P $5&9 AFN'''B9 Id9 PP $5'2$5$9 AFN''$B9 Id9 P 59 AFN''(B9 Id9 P 4$&9
Pa6e ($
AFN'')B9 Id9 P 4J'9 AFN''5B9 Id9 P 4J&9 AFN''4B9 Id9 PP )J&2)J'9 Nahima+a testified that! at the time! he fe-t that Radio R:a+da :as i+ the ha+ds of the /DR 7art a+d he fe-t that *a# arima+a;s /RND 7art "ie:s :ere +ot 6etti+6 sufficie+t co"era6e o+ the +atio+a- radio9 Id9 P )J&9 AFN''<B9 Id9 P )J%9 No e-ectio+ e"er too@ 7-ace for a 7erma+e+t Board of Directors9 Thus! the ESteeri+6 ,ommitteeE co+ti+ued to o7erate as a Board of Directors for RTL/ throu6hout its e=iste+ce9 Id9 AFN''%B9 Id9 P )J'9 AFN''JB9 Id9 P )J)9 The -ist of shareho-ders e"e+tua-- :ou-d i+c-ude Preside+t 3u"e+a- *a# arima+a Fthe -ar6est shareho-der :ith $&& sharesG a+d ,o-o+e- ThSo+este Ba6osora F:ide- co+sidered to #e the chief architect a+d #ehi+d2 the2sce+es -eader of the 'JJ) 6e+ocide i+ R:a+daG9 Id9 P 5&%9 AFN'$&B9 Id9 P )J59 AFN'$'B9 Id9 P )J$9 AFN'$$B9 Id9 P )J59 AFN'$(B9 Id9 P )J%9 AFN'$)B9 Id9 P 5&&9 AFN'$5B9 Id9 PP 5&425&%9 AFN'$4B9 Id9 P 5&<9 AFN'$<B9 Id9 P 5&'9 AFN'$%B9 Id9 PP 5&J25(&9 AFN'$JB9 Id9 P 5''9 AFN'(&B9 Id9 PP 5'425'<9 AFN'('B9 Id9 P ()$9 AFN'($B9 Id9 PP ()52(55! (4(2(4% F:herei+ the Tutsis :ere criticiHed for ha"i+6 too much :ea-thG! (4% Fe+6a6i+6 i+ eth+ic stereot 7i+6 i+ refere+ce to 7h sica- characteristicsG9 It shou-d #e +oted that certai+ 7ara6ra7hs i+ this sectio+ of the Tri#u+a-;s o7i+io+ a-so 7ro"ide three e=am7-es of RTL/ 7ermitti+6 s7ea@ers cou+ter to its 7oi+t of "ie: to ma@e stateme+ts duri+6 its #roadcasts: see! id9 P ()% F?i+ce+t Ra"i R:a#u@:isi! editor of .a+6u@aGD id9 P (5& FLa+doua-d Ndasi+6:a! ?ice ,hair of the Li#era- Part GD id9 P (5' FRPF -eader Tito Rutaremara9G AFN'((B9 Id9 PP (5%2(4$9 AFN'()B9 Id9 PP (5( FESo! those :ho thi+@ that our radio statio+ sets 7eo7-e at odds :ith others :i-- #e amaHed9EG! (54
Pa6e ((
Fac@+o:-ed6i+6 7eo7-e thi+@ RTL/ Ecreates te+sio+!E a+d Eheats u7 headsEG9 AFN'(5B9 Id9 PP (<'2(%J9 AFN'(4B9 Id9 PP (%)2(%59 AFN'(<B9 Id9 PP 5<'25<$9 AFN'(%B9 Id9 PP 5<(24&<9 AFN'(JB9 Id9 PP 5%<25J&9 AFN')&B9 For e=am7-e! there is refere+ce to #roadcasts :here I+@ota+ i are equated :ith Tutsi! id9 P (J5! :here the Tutsi eth+icit is +e6ati"e- stereot 7ed! id9 P )&%! a+d :here i+di"idua-s are si+6-ed out for s-au6hter! id9 P )('9 AFN')'B9 See! e969! id9 P )&$ Frecou+ti+6 .a+ta+o *a#ima+a;s #roadcast of 07ri- '(! 'JJ): EThis +e"er ha77e+ed a+ :here i+ the :or-d! that a fe: i+di"idua-s ATutsisB! a c-ique of i+di"idua-s Fa6atsi@o @;a#a+tuG :ho :a+t 7o:er9 9 9:ho :a+t 7o:er9 9 9:ho are - i+6 that the are defe+di+6 the i+terest of a fe: 7eo7-e9 9 9:ho! thirst for 7o:er9 9 9shou-d #e e=termi+ated9EG9 AFN')$B9 Id9 P )&(9 I+ a+ RTL/ #roadcast of 3u- $! 'JJ)! .a+ta+o *a#ima+a e=u-ted i+ the e=termi+atio+ of the I+@ota+ i: ESo! :here did a-- the I+@ota+ i :ho used to te-e7ho+e me 6o! eh> The must ha"e #ee+ e=termi+ated9 9 99 Let us si+6: ;,ome! -et us re8oice: the I+@ota+ i ha"e #ee+ e=termi+atedQ ,ome dear frie+ds! -et us re8oice! the Iood Lord is 8ust9E; Id9 AFN')(B9 Id9 P )($9 AFN'))B9 Id9 PP )'J2)$)9 AFN')5B9 Id9 P )(( Fdescri#i+6 a /a #roadcast i+ :hich .a+ta+o *a#ima+a direct- e+coura6es those 6uardi+6 the tre+ches a6ai+st the I+ e+Hi to ta@e dru6s #ecause it a77ears to ma@e them Equite coura6eous9EG AFN')4B9 Id9 P (J49 AFN')<B9 Id9 P 5(%9 Nahima+a ac@+o:-ed6ed! ho:e"er! that o+ 07ri- %! 'JJ)! he :e+t to RTL/ a+d sa: some of its 7erso++e- Fi+c-udi+6 8our+a-istsG9 B his accou+t! he sim7- sto77ed # for fiftee+ to t:e+t mi+utes to see ho: e"er o+e :as fari+69 *e 6a"e +o i+structio+s :hi-e he :as there a+d did +ot retur+ to RTL/ after this "isit9 Id9 AFN')%B9 Id9 AFN')JB9 Id9 P 5)'9 AFN'5&B9 Id9 P 5(J9 AFN'5'B9 Id9 P 5)'9 AFN'5$B9 Id9 P 5459 Nahima+a admitted usi+6 the tit-e E0d"iser to the Preside+tE duri+6 the 6e+ocide #ut c-aimed it :as E-ess tha+ rea-9E *o:e"er! as +oted # the Tri#u+a-! Nahima+a accom7a+ied the Preside+t to "arious forei6+ desti+atio+s i+c-udi+6 Ie+e"a9 *e a-so tra"e-ed :ith the Preside+t to Tu+is for a meeti+6 of the Or6a+iHatio+ for 0frica+ U+it FO0UG9 Id9
Pa6e ()
AFN'5(B9 *e de+ied! ho:e"er! that he :as the head of RTL/9 Id9 P 5)$9 AFN'5)B9 Id9 P 54)9 AFN'55B9 Id9 AFN'54B9 Id9 P 5)(9 *earsa is admissi#-e u+der Ru-e %J of the I,TR Ru-es of Procedure a+d E"ide+ce F0me+ded 3u4! $&&$G9 Pursua+t to Ru-e %JF,G: E0 ,ham#er ma admit a+ re-e"a+t e"ide+ce :hich it deems to ha"e 7ro#ati"e "a-ue9E I,TR Ru-es of Procedure a+d E"ide+ce! Ru-e %J! U9N9 Doc9 ITR/(/RE?9' F'JJ5G Fame+ded 3u- 4! $&&$G! a"ai-a#-e at htt7:// :::9ictr9or6/ENILIS*/ru-es/i+de=9htm9 AFN'5<B9 I+ his testimo+ ! Nahima+a de+ied 6oi+6 to the /i+istr of Defe+se :ith Phocas *a#ima+a9 *e a-so de+ied that Fre+ch officia-s s7o@e to him a#out RTL/9 *e ac@+o:-ed6ed meeti+6 :ith them! #ut said the o+- ta-@ed a#out O7eratio+ Turquoise9 The source cited for the i+formatio+ a#out Nahima+a;s co+"ersatio+ :ith Ierard :as a Fe#ruar $%! $&&&! i+ter"ie: :ith 3ea+2,hristo7he Be--iard of the Fre+ch Forei6+ /i+istr ! #ased o+ a Fre+ch di7-omatic te-e6ram from :hich he :as readi+69 Des For6es testified that Be--iard :as :ith Ierard :he+ he met :ith Nahima+a9 Nahima+a 3ud6me+t! I,TR ,ase No9 JJ25$2T P 5)(9 I+ heari+6s of the Fre+ch Natio+a- 0ssem#- o+ R:a+da! e=tracts of :hich :ere i+troduced i+to e"ide+ce! O7eratio+ Turquoise :as discussed a+d Be--iard;s meeti+6 :ith Nahima+a :as me+tio+ed9 I+ the re7ort of the heari+6s! Nahima+a :as referred to three times as the EDirectorE of RTL/9 Id9 P 5))9 AFN'5%B9 Id9 P 49 AFN'5JB9 Id9 PP )J'! )J)9 AFN'4&B9 Id9 P )J)9 AFN'4'B9 Id9 PP )J5! 5&49 AFN'4$B9 Id9 P 5&'9 AFN'4(B9 Id9 P 5&49 AFN'4)B9 Id9 P 5''9 AFN'45B9 Id9 P ()59 AFN'44B9 Id9 P 5)&9 AFN'4<B9 Id9 P 5)$9 AFN'4%B9 Id9 P '&5&9 AFN'4JB9 Id9 P %%$9 AFN'<&B9 Id9 PP %%%2%%J9 AFN'<'B9 Id9 P %9 AFN'<$B9 Id9 P '&9
Pa6e (5
AFN'<(B9 Id9 P %9 AFN'<)B9 Id9 P J9 AFN'<5B9 Id9 P <)9 AFN'<4B9 Id9 P J)9 AFN'<<B9 Id9 P J))9 AFN'<%B9 This 0rtic-e -imits itse-f to a+a- sis of issues re-ated to hate s7eech crimes9 Of those! it further -imits itse-f to discussio+ of issues si6+ifica+t- co+tri#uti+6 to:ard the de"e-o7me+t of i+ter+atio+a- crimi+a- -a:9 Thus! a-thou6h the Tri#u+a- e=ami+ed the cu-7a#i-it of Bara a6:iHa a+d N6eHe i+ refere+ce to eth+ic "io-e+ce +ot direct- re-ated to RTL/ a+d .a+6ura! this 0rtic-e :i-- +ot touch o+ that9 /oreo"er! this 0rtic-e :i-- +ot a+a- He i+ a+ de7th the defe+da+ts; res7ecti"e co+"ictio+s for crimes a6ai+st huma+it F7ersecutio+ a+d e=termi+atio+G9 No si6+ifica+t +e: 6rou+d :as #ro@e+ :ith res7ect to these char6es9 But see .e"i+ 19 Ioeri+6! et a-9! 1h U9S9 La: Shou-d *a"e Bee+ ,o+sidered i+ the R:a+da+ /edia ,o+"ictio+s! $$ ,omm9 La:9 '&! '$ F$&&)G: E*o:e"er! the char6es for 7ersecutio+ :ou-d #e co+sidered attac@i+6 mere ad"ocac ! a+d :ou-d +ot ha"e #ee+ sustai+ed i+ the U+ited States9E AFN'<JB9 See Streicher! su7ra +ote )9 AFN'%&B9 See 0@a esu 3ud6me+t! I,TR ,ase No9 J42)2T! su7ra +ote ))9 AFN'%'B9 This is i+ co+trast to the s7ecific ca--s for @i--i+6 issued o+ RTL/9 The Tri#u+a- reco6+iHed these se7aratea+d had +o trou#-e i+ -i+@i+6 them to the crime of 6e+ocide: EI+ 'JJ)! #oth #efore a+d after 4 07ri-! RTL/ #roadcast the +ames of Tutsi i+di"idua-s a+d their fami-ies9 9 99 I+ some cases these 7erso+s :ere su#seque+t- @i--ed9 0 s7ecific causaco++ectio+ #et:ee+ the RTL/ #roadcasts a+d the @i--i+6 of these i+di"idua-s9 9 9has #ee+ esta#-ished9E Nahima+a 3ud6me+t! I,TR ,ase No9 JJ25$2T P J)J9 AFN'%$B9 Id9 P J5(9 AFN'%(B9 Id9 P J5$9 AFN'%)B9 0s Professor ,athari+e /ac.i++o+ has rece+t- +oted: EThe /edia ,ase is +ota#-e for ho-di+6 a +e:s7a7er editor a+d a #roadcast e=ecuti"e crimi+a-- accou+ta#-e +ot o+- for the crime of :hat the said! #ut for the crimes their :ords did: the 6e+ocida- acts that resu-ted from :hat the said! or :ere res7o+si#-e for sa i+6! to others9E /ac.i++o+! su7ra +ote )! at ($%2$J9 She co+c-uded: EBut the 6reatest co+ce7tua- #rea@throu6h of the case is its ru-i+6 that media committed 6e+ocide throu6h i+sti6ati+6 it! :ith media -eaders he-d accou+ta#-e accordi+6- 9E Id9 at ($J9 AFN'%5B9 The Tri#u+a-;s co+c-usio+ that +e:s7a7er artic-es! as o77osed to radio #roadcasts! cou-d ha"e a causa- -i+@ to 6e+ocide has #ee+ questio+ed9 See! e969! Rece+t ,ases! The /edia ,ase! ''< *ar"9 L9 Re"9 $<4J! $<<)2<5 F$&&)G9 The Tri#u+a-;s co+c-usio+! ho:e"er! is at -east 7artia-- #o-stered # the Streicher decisio+! :hich i+"o-"ed the 7ri+t media e=c-usi"e- 9 See a-so 3oshua 1a--e+stei+! Pu+ishi+6 1ords: 0+ 0+a- sis of the Necessit of the E-eme+t of ,ausatio+ i+ Prosecutio+s for I+citeme+t to Ie+ocide! 5) Sta+9 L9 Re"9 (5'! (J' F$&&'G FE1ritte+ materia-s ca+ #e uti-iHed i+ a simi-ar- i+sidious fashio+ to 7romote a+d i+cite 6e+ocide9 Periodica-s ca+ tri66er the same mass effects that radio 7ro7a6a+da ca+ acti"ate9EG9 For a more detai-ed discussio+! see su7ra Sectio+ I?909 AFN'%4B9 Nahima+a 3ud6me+t! I,TR ,ase No9 JJ25$2T P '&'&9 The Tri#u+a- :e+t o+ to +ote! ho:e"er! that U9S9 -a: a-so acce7ts the fu+dame+ta- 7ri+ci7-es set forth i+ i+ter+atio+a- -a: a+d has reco6+iHed that i+citeme+t to "io-e+ce! threats! -i#e-! fa-se ad"ertisi+6! o#sce+it ! a+d chi-d 7or+o6ra7h are amo+6 those forms of e=7ressio+ that fa-- outside
Pa6e (4
the sco7e of freedom of s7eech 7rotectio+9 Id9 P '&'&9 It a-so 7oi+ted out that i+ the rece+t case of ?ir6i+ia "9 B-ac@! 5(% U9S9 ()( F$&&(G! the U9S9 Su7reme ,ourt rece+t- i+ter7reted the free s7eech 6uara+tee of the First 0me+dme+t to 7ermit a #a+ o+ cross #ur+i+6 :ith i+te+t to i+timidate9 /oreo"er! i+ the immi6ratio+ co+te=t! adhere+ts of Natio+a- Socia-ism ha"e #ee+ stri77ed of citiHe+shi7 a+d de7orted from the U+ited States o+ the #asis of their a+ti2Semitic :riti+6s9 See! e969! U+ited States "9 So@o-o"! %') F9$d %4) F$d ,ir9 'J%<G9 AFN'%<B9 I+ter+atio+a- ,o"e+a+t o+ ,i"i- a+d Po-itica- Ri6hts! ,ommu+icatio+ No9 <(4/'JJ<: ,a+ada F3uris7rude+ceG P ''95! U9N Docs9 ,,PR/,/<&/D/<(4/'JJ< F$&&&G FRoss "9 ,a+adaG9 AFN'%%B9 I+ter+atio+a- ,o"e+a+t o+ ,i"i- a+d Po-itica- Ri6hts! ,ommu+icatio+ No9 '&)/'J%': ,a+ada F3uris7rude+ceG P %F#G! U9N Docs9 ,,PR/,/'%/D/'&)/'J%' F39R9T9 O the 19I9 Part "9 ,a+adaG Fdec-ared i+admissi#-e 07r9 4! 'J%(G9 AFN'%JB9 I+ter+atio+a- ,o"e+a+t o+ ,i"i- a+d Po-itica- Ri6hts! ,ommu+icatio+ No9 55&/'JJ(: Fra+ce F3uris7rude+ceG P <95! U9N Docs9 ,,PR/,/5%/D/55&/'JJ( F'JJ4G FRo#ert Faurisso+ "9 Fra+ceG9 AFN'J&B9 Id9 P 4 FE"att! 39! .retHmer! 39! O .-ei+! 39 co+curri+6G9 AFN'J'B9 3ersi-d "9 De+mar@! 'J Eur9 ,t9 *9R9 '! $< F'JJ5G9 AFN'J$B9 Ma+a "9 Tur@e ! $< Eur9 ,t9 *9R9 44<! 4<& F'JJJG9 It shou-d #e +oted as :e--! ho:e"er! that the ma or stated he :as +ot i+ fa"or of massacres9 Id9 at 44J9 AFN'J(B9 I+ fact! the 8ud6me+t;s su#headi+6s su66est that the o+- criteria are 7ur7ose a+d co+te=t9 See Nahima+a 3ud6me+t! I,TR ,ase No9 JJ25$2T PP '&&&2'&&49 *o:e"er! as me+tio+ed a#o"e! the Tri#u+a- -um7ed to6ether 7ur7ose a+d te=t9 /oreo"er! the Tri#u+a- did +ot e=7-icit- characteriHe as a se7arate criterio+ the re-atio+shi7 #et:ee+ the s7ea@er a+d the su#8ect9 0s e=7-ai+ed i+fra! this shou-d #e co+sidered as a disti+ct 7oi+t of a+a- sis9 AFN'J)B9 Id9 P '&&'9 AFN'J5B9 I+ter+atio+a- ,o"e+a+t o+ ,i"i- a+d Po-itica- Ri6hts! ,ommu+icatio+ No9 55&/'JJ(: Fra+ce F3uris7rude+ceG! U9N9 Doc9 ,,PR/,/5%/D/55&/'JJ( F'JJ4G FRo#ert Faurisso+ "9 Fra+ceG9 AFN'J4B9 Nahima+a 3ud6me+t! I,TR ,ase No9 JJ25$2T P '&&'9 AFN'J<B9 3ersi-d! 'J Eur9 ,t9 *9R9 at $<9 AFN'J%B9 This :ou-d a77ear to #e com7-ime+tar to the Ecu-tura-E a+d E-i+6uisticE co+te=tua- a+a- sis of direct a+d 7u#-ic i+citeme+t recomme+ded # the Tri#u+a- i+ the 0@a esu case9 See 0@a esu 3ud6me+t! I,TR ,ase No9 J42 )2T P 55<9 AFN'JJB9 I+ter+atio+a- ,o"e+a+t o+ ,i"i- a+d Po-itica- Ri6hts! ,ommu+icatio+ No9 55&/'JJ(: Fra+ce F3uris7rude+ceG! U9N Docs9 ,,PR/,/5%/D/55&/'JJ( F'JJ4G FRo#ert Faurisso+ "9 Fra+ceG9 AFN$&&B9 Ma+a! $< Eur9 ,t9 *9R9 at 4<&9 AFN$&'B9 Nahima+a 3ud6me+t! I,TR ,ase No9 JJ25$2T P '&$$9 AFN$&$B9 Id9 P '&&49 AFN$&(B9 Id9 P '&&%9
Pa6e (<
AFN$&)B9 Id9 P ()59 AFN$&5B9 Id9 P '&'J9 AFN$&4B9 Id9 P '&$'9 AFN$&<B9 Id9 AFN$&%B9 Id9 AFN$&JB9 Id9 P '&$$9 AFN$'&B9 E"e+ if this did +ot qua-if as Ei+citeme+t!E the Tri#u+a- 7oi+ted out that -ess "iru-e+t forms of hate s7eech ca+ co+stitute 7ersecutio+! a crime a6ai+st huma+it 9 Id9 P '&<$9 The Tri#u+a- fou+d that hate s7eech is as serious as the other acts e+umerated as crimes a6ai+st huma+it u+der 0rtic-e (FhG9 Id9 The Tri#u+a- su66ested that the .a+6ura artic-e E0 ,oc@roach ,a++ot Ii"e Birth to a Butterf- !E :hi-e +ot risi+6 to the -e"e- of i+citeme+t! :ou-d co+stitute 7ersecutio+ a+d a crime a6ai+st huma+it 9 See id9 P '&(<9 See a-so Rece+t ,ases! The /edia ,ase! su7ra +ote '%5! at $<<( +9(< Fdescri#i+6 the artic-e as Ediscrimi+ator #ut +ot e=hortator 9EG9 AFN$''B9 Nahima+a 3ud6me+t! I,TR ,ase No9 JJ25$2T PP '(%2'(J9 AFN$'$B9 Id9 P (J49 The Tri#u+a- a-so descri#ed this #roadcast as fitti+6 i+to the Ei+citeme+tE cate6or 9 Id9 P '&($9 AFN$'(B9 Of course! .a+6ura;s 7u#-icatio+ of The Te+ ,omma+dme+ts :as +ot :ithi+ the co+te=t of the 6e+ocide9 I+ this se+se! the i--e6a- +ature of the artic-e is some:hat dimi+ished9 AFN$')B9 Nahima+a 3ud6me+t! I,TR ,ase No9 JJ25$2T P '&$)9 The defe+se attem7ted to ar6ue that the defe+da+ts had dista+ced themse-"es from these 7er+icious messa6es # offeri+6 a forum for the o77ositio+ to air its "ie:s9 For e=am7-e! N6eHe 7oi+ted to his 7u#-icatio+ of the 'J ,omma+dme+ts of the Tutsi as offeri+6 a ri7oste to the *utu Te+ ,omma+dme+ts9 Simi-ar- ! defe+se cou+se- touted RTL/;s #roadcast of a+ i+ter"ie: :ith a+ RPF -eader as sho:i+6 e"e+2ha+ded+ess9 *o:e"er! the Tri#u+a- cou+tered that Ethe e=am7-es do +ot i+ fact esta#-ish the e"e+2ha+ded+ess su66ested! -ar6e- due to the to+e a+d ma++er i+ :hich the :ere 7rese+ted9E Id9 P '&$(9 For e=am7-e! the 'J ,omma+dme+ts! a-thou6h su77osed- to-d from the Tutsi 7oi+t of "ie:! 7ai+t the Tutsis i+ a +e6ati"e -i6ht9 /oreo"er! the Tri#u+a- fou+d that the ma++er i+ :hich RTL/ 7rese+ted the RPF -eader E:ith dero6ator refere+ces to the ta--! mi-@2dri+@i+6 Tutsi! hard- su66ests e"e+2ha+ded+ess9 The 8our+a-ist e=udes scor+ a+d co+tem7t for the Tutsi :hi-e #oasti+6 that ;e"e+; the I+@ota+ i ca+ s7ea@ o+ RTL/9E Id9 P '&$(9 AFN$'5B9 0@a esu 3ud6me+t! I,TR ,ase No9 J42)2T P 55(9 AFN$'4B9 Id9 P 4<)9 AFN$'<B9 Nahima+a 3ud6me+t! I,TR ,ase No9 JJ25$2T P '&'59 AFN$'%B9 Id9 P '&'<9 AFN$'JB9 Id9 AFN$$&B9 ?etter! su7ra +ote 4%! at '(59
Pa6e (%
AFN$$'B9 0@a esu 3ud6me+t! I,TR ,ase No9 J42)2T P 4J'9 AFN$$$B9 Nahima+a 3ud6me+t! I,TR ,ase No9 JJ25$2T P J<49 AFN$$(B9 Prosecutor "9 0-fred /usema! 3ud6me+t a+d Se+te+ce! I,TR ,ase No9 J42'(20 F$&&&G9 Aherei+after /usema 3ud6me+tB9 AFN$$)B9 Id9 PP J! (<'9 AFN$$5B9 Id9 PP J(4! J5' O J4<9 AFN$$4B9 Prosecutor "9 ,-Sme+t .a ishema a+d O#ed RuHi+da+a! 3ud6me+t! I,TR ,ase No9 J52'2T F'JJJG Aherei+after .a ishema 3ud6me+tB9 .a ishema :as char6ed :ith 0rtic-e 4F(G res7o+si#i-it for murders i+ the .i#u e 7refecture9 0s 7rSfet Fsome:hat a@i+ to a 6o"er+orG of that re6io+! .a ishema :as fou+d to ha"e de 8ure authorit o"er ma+ of the assai-a+ts! :ho :ere 7o-ice a+d 7riso+ em7-o ees9 Id9 P )%J9 /oreo"er! as a :e--2@+o:+ a+d res7ected fi6ure i+ the commu+it ! :ho :as 7rese+t at the @i--i+6s! .a ishema e=ercised de facto co+tro- o"er the assai-a+ts9 Id9 P 5&'9 AFN$$<B9 Id9 P '(59 AFN$$%B9 Id9 P %%'9 AFN$$JB9 Id9 P %%&9 AFN$(&B9 Id9 P %<49 AFN$('B9 Id9 P %%&9 AFN$($B9 This :ou-d a-so a77ear to #e a sa-ie+t fact i+ terms of a+a- Hi+6 :hether /usema e=ercised de facto co+troo"er the Tea Factor em7-o ees :ho 7artici7ated i+ the massacres9 This is co+siste+t :ith the .a ishema a+a- sis of de facto co+tro-9 See .a ishema 3ud6me+t! I,TR ,ase No9 J52'2T9 See a-so discussio+ su7ra +ote $$49 AFN$((B9 Id9 P J$)9 AFN$()B9 Id9 P J$59 AFN$(5B9 Nahima+a 3ud6me+t! I,TR ,ase No9 JJ25$2T PP 5<(24&<9 The e"ide+ce is +ot as c-ear :hether Bara a6:iHa had as much authorit as Nahima+a o"er hiri+6 a+d firi+6 as :e-- as #roadcast co+te+t9 AFN$(4B9 ,urious- ! Nahima+a :as char6ed :ith 0rtic-e 4F(G -ia#i-it ! a+d fou+d 6ui-t thereof! o+- :ith res7ect to the crime of direct a+d 7u#-ic i+citeme+t to commit 6e+ocide! +ot 6e+ocide itse-f9 Nahima+a 3ud6me+t! I,TR ,ase No9 JJ2 5$2T P J<(9 Bara a6:iHa :as fou+d 6ui-t of su7erior res7o+si#i-it for the crimes of #oth 6e+ocide a+d direct a+d 7u#-ic i+citeme+t to commit 6e+ocide9 Id9 AFN$(<B9 This 7ortio+ of the I,TR statute comes from the Ie+ocide ,o+"e+tio+9 The officia- records FEtra"au= 7rS7aratoiresEG of the +e6otiatio+s of the U9N9 Ie+ocide ,o+"e+tio+ su66est that the ratio+a-e for i+c-udi+6 such a+ offe+se :as to e+sure! i+ "ie: of the serious +ature of the crime of 6e+ocide! that the mere a6reeme+t to commit 6e+ocide shou-d #e 7u+isha#-e e"e+ if +o 7re7arator act has ta@e+ 7-ace9 See U9N9 I0OR! 4th ,omm9! (rd Sess9 F'J)%G9 AFN$(%B9 /usema 3ud6me+t! I,TR ,ase No9 J42'(20 P 'J'9
Pa6e (J
AFN$(JB9 Id9 P 'J(9 I+ fact! the Tri#u+a- he-d that a+ accused ca++ot #e co+"icted of #oth co+s7irac a+d the su#sta+ti"e crime :hich is its o#8ect9 Id9 P 'J%9 It a-so he-d! ho:e"er! that the requisite i+te+t for the crime of co+s7irac to commit 6e+ocide is the same i+te+t required for the crime of 6e+ocide itse-f9 Id9 P 'J$9 AFN$)&B9 Nahima+a 3ud6me+t! I,TR ,ase No9 JJ25$2T P '&)59 AFN$)'B9 Id9 AFN$)$B9 Prosecutor "9 E-iSHer Ni ite6e@a! 3ud6me+t a+d Se+te+ce! I,TR ,ase No9 J42')2T F$&&(G9 AFN$)(B9 Id9 PP $'42$($9 AFN$))B9 Id9 P )$%9 AFN$)5B9 Nahima+a 3ud6me+t! I,TR ,ase No9 JJ25$2T P %%$9 AFN$)4B9 Id9 P '&5&9 The e"ide+ce sho:ed o+- t:o occasio+s o+ :hich the t:o me+ :ere to6ether9 0t o+e 7oi+t! the :ere to6ether i+ Bara a6:iHa;s office at the /i+istr of Forei6+ 0ffairs9 Id9 The o+- other time the :ere i+ each other;s 7rese+ce :as at a -ar6e 'JJ( /RND ra-- at N amiram#o Stadium9 Id9 It a77ears the t:o me+ :ere +e"er a-o+e9 /oreo"er! the t:o a#o"e2descri#ed occasio+s :ere the o+- times a-- three defe+da+ts :ere i+ o+e a+other;s 7rese+ce9 AFN$)<B9 Id9 P '&)%9 AFN$)%B9 *o:e"er! the Tri#u+a- did a--ude to the Bara a6:iHa office meeti+6! the N amiram#o Stadium ra-- ! a+d a .a+6ura co"er! o+ :hich a-- three me+ a77ear! to su66est a sufficie+t de6ree of E7erso+a- co--a#oratio+E to form a co+s7irac :ith Bara a6:iHa as Ethe - +ch7i+ amo+6 the three 0ccused9E Id9 PP '&55! '&5&9 AFN$)JB9 Id9 P '&5'9 AFN$5&B9 Id9 P '&5$9 AFN$5'B9 Id9 P '&5(9 AFN$5$B9 Id9 P '&5)9 AFN$5(B9 Of course! it did this as :e-- :ith res7ect to crimes a6ai+st huma+it F7ersecutio+ a+d murderG9 AFN$5)B9 For i+sta+ce! the Fre+ch media :atchdo6 or6a+iHatio+ Re7orters Sa+s Fro+ti`res FRSFG rece+t- issued a :ar+i+6 re6ardi+6 the Natio+a- ,o+6o-ese Radio a+d Te-e"isio+ 7ro6ram ca--ed EForum des /Sdias9E 0ccordi+6 to RSF! the 7ro6ram! 7rese+ted # 8our+a-ist Nob- .a-o+da! co+tai+s i+citeme+t to eth+ic hatred! "io-e+ce! a+d murder of eth+ic R:a+da+s or 7eo7-e :ho are Eco+sidered to #e R:a+da+ # "irtue of their 7h sica- characteristics9E See /a 'J! $&&) Press Re-ease of Re7orters Sa+s Fro+ti`res! a"ai-a#-e at htt7:// :::9mo+uc9or6/+e:s9as7=>+e:sIDa$4$<9 AFN$55B9 See Rome Statute of the I+ter+atio+a- ,rimi+a- ,ourt! 3u- '<! 'JJ%! U9N9 Doc9 0/,ONF9 '%(/J! re7ri+ted i+ (< I9L9/9 JJJ Fe+tered i+to force 3u- '! $&&$G Aherei+after Rome StatuteB! arts9 4 O $59 AFN$54B9 See /ar-ise Simo+s! Tria- ,e+ters o+ Ro-e of Press Duri+6 R:a+da /assacre! N9Y9 Times! /ar9 (! $&&$! at 0( FELe6a- s7ecia-ists #e-ie"e that the outcome of the curre+t AmediaB tria- ma set a crucia- 7recede+t for future i+ter+atio+a- cases! i+ 7articu-ar for the 7erma+e+t I+ter+atio+a- ,rimi+a- ,ourt99 9 9EG9
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AFN$5<B9 See Prosecutor "9 Bi@i+di! I+dictme+t! I,TR ,ase No9 &'2<$2I F3u+e $<! $&&'G9 The i+dictme+t :as su#seque+t- ame+ded to i+c-ude a char6e of crimes a6ai+st huma+it F7ersecutio+G9 AFN$5%B9 It has #ee+ 7oi+ted out as :e-- that the Tri#u+a- cou-d ha"e fou+d that the hate s7eech at issue :as res7o+si#-e for 6e+ocida- se=ua- "io-e+ce that shou-d ha"e #ee+ im7uted to the defe+da+ts9 See Rece+t ,ases! The /edia ,ase! su7ra +ote '%5! at $<<52<4: /uch of the e"ide+ce demo+strated the media;s "i-ificatio+ of Tutsi :ome+;s se=ua-it as a mea+s throu6h :hich the Tutsis :ou-d u+dermi+e the *utu;s ma8orit 7o:er9 Ii"e+ the Tri#u+a-;s ear-ier ho-di+6 that ra7e ca+ co+stitute 6e+ocide a+d its fi+di+6s i+ the /edia ,ase :ith re6ard to causatio+ for other 6e+ocida- acts! the causatio+ e-eme+t shou-d #e the same :ith res7ect to the 6e+ocida- se=ua- "io-e+ce that occurred o+ a mass sca-e9 See a-so L-eH-ie Iree+! Ie+der *ate Pro7a6a+da a+d Se=ua- ?io-e+ce i+ the R:a+da+ Ie+ocide: 0+ 0r6ume+t for I+tersectio+a-it i+ I+ter+atio+a- La:! (( ,o-um9 *um9 Rts9 L9 Re"9 <(( F$&&$G9 AFN$5JB9 Nahima+a 3ud6me+t! I,TR ,ase No9 JJ25$2T P ())9 AFN$4&B9 Id9 AFN$4'B9 Ru66iu 3ud6me+t! I,TR ,ase No9 J<2($2I9 AFN$4$B9 Id9 P ))Fi"G9 I+ 0@a esu! the 7rosecutio+ re-ied o+ -i+6uistics e=7ert /athias RuHi+da+a to defi+e :ords such as EI+@ota+ i9E 0@a esu 3ud6me+t! I,TR ,ase No9 J42)2T PP ()&! 4<(9 I+ Nahima+a! RuHi+da+a :as qua-ified as a+ e=7ert :it+ess! #ut his e=7ert co+c-usio+s! if a+ ! are +ot referred to i+ the Tri#u+a-;s 8ud6me+t9 Nahima+a 3ud6me+t! I,TR ,ase No9 JJ25$2T P 5(9 RuHi+da+a shou-d ha"e #ee+ used to 7ro"ide a -e=ico+ of hate2s7eech code :ords9 This :ou-d ha"e 6o+e a -o+6 :a to:ard f-eshi+6 out a+ im7orta+t as7ect of 6e+ocide 7ro7a6a+da9 0ccordi+6 to Professor 1i--iam Scha#as: EAtBhe histor of 6e+ocide sho:s that those :ho i+cite the crime s7ea@ i+ eu7hemisms9E 1i--iam 09 Scha#as! /u6esera "9 /i+ister of ,itiHe+shi7 a+d Immi6ratio+! J( 0m9 39 I+t;- L9 5$J! 5(& F'JJJG9 0s a+ e=am7-e of this! i+ the .am#a+da case! the Prime /i+ister of the i+terim 6e+ocide 6o"er+me+t :as fou+d to ha"e committed the crime of direct a+d 7u#-ic i+citeme+t to commit 6e+ocide # utteri+6 the fo--o:i+6 meta7hor: EAYBou refuse to 6i"e our #-ood to our cou+tr a+d the do6s dri+@ it for +othi+69E Prosecutor "9 .am#a+da! 3ud6me+t a+d Se+te+ce! I,TR ,ase No9 J<2$(2 S F'JJ%G P (JF=G9 AFN$4(B9 Ru66iu 3ud6me+t! I,TR ,ase No9 J<2($2I P ))F"G9 AFN$4)B9 Id9 AFN$45B9 Nahima+a 3ud6me+t! I,TR ,ase No9 JJ25$2T P '''9 AFN$44B9 Id9 P (%%9 0s Professor ,athari+e /ac.i++o+ has +oted: EThis i+famous ;accusatio+ i+ a mirror;22the 7ro7a6a+da tech+ique i+ :hich o+e side fa-se- attri#utes attac@s to the other i+ order to 8ustif reta-iatio+ i+ @i+d! casti+6 a66ressio+ as se-f2defe+se22:as es7ecia-- causa-- 7ote+t9E /ac.i++o+! su7ra +ote )! at ((&9 AFN$4<B9 Ru66iu has #ee+ quoted a"ai-i+6 himse-f of this tech+ique o+ RTL/ duri+6 the 6e+ocide: EThe fift thousa+d #odies that ca+ #e fou+d i+ La@e ?ictoria! :hich threate+ La@e ?ictoria :ith 7o--utio+22the come from massacres :hich o+- the RPF cou-d ha"e committed9E See Ioure"itch! su7ra +ote <5! at '4'9 AFN$4%B9 See! e969! Ru66iu 3ud6me+t! I,TR ,ase No9 J<2($2I P ))F"iG9 For e=am7-e! Ru66iu e=horted the 7o7u-atio+ to ta@e EmeasuresE a6ai+st Be-6ia+s for the assassi+atio+ of Preside+t *a# arima+a9 Id9 *e a-so rai-ed that Be-6ia+s :ere res7o+si#-e for the o77ressio+ of *utus # Tutsis9 Id9 AFN$4JB9 I+ refere+ce to these #roadcasts! the Ru66iu 8ud6me+t referred to Emass 7ersecutio+sE of the Be-6ia+ co+ti+6e+t o+ E7o-itica- or eth+ic 6rou+ds9E Id9 P )59 It is 7ossi#-e! of course! that such crimes cou-d ha"e rise+ to the -e"e- of
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6e+ocide9 Based o+ the record 7rese+ted! ho:e"er! 6e+ocida- i+te+t a6ai+st the Be-6ia+s is +ot readi- a77are+t9 AFN$<&B9 See 3oe- Simo+! /urder # /edia: 1h the R:a+da+ Ie+ocide Tri#u+a- 1e+t Too Far! FDec9 ''! $&&(G! at htt7://s-ate9ms+9com/id/$&J$(<$/9 AFN$<'B9 Id9 AFN$<$B9 Di+a Tem7-e2Rasto+! Radio *ate! Le6a- 0ffairs! Se7tem#er/Octo#er $&&$! at ($! a"ai-a#-e at htt7://:::9-e6a-affairs9or6/issues/Se7tem#er2Octo#er2$&&$/feature[rasto+[se7oct$&&$9htm-9 AFN$<(B9 See Simo+! su7ra +ote $<&9 See a-so ,9 Ed:i+ Ba@er! Ie+ocide! Press Freedom! a+d the ,ase of *assa+ N6eHe! U9 Pe++9 La: Schoo-! Pu#-ic La: 1or@i+6 Pa7er No9 )4 F3u+e '<! $&&)G! at htt7://7a7ers9ssr+9com/so-(/7a7ers9cfm> a#stract[ida)%&<4$9 AFN$<)B9 See Simo+! su7ra +ote $<&D see a-so Rece+t ,ases! The /edia ,ase! su7ra +ote '%5 Fquestio+i+6 the Tri#u+a-;s co+c-usio+ that +e:s7a7er artic-es! as o77osed to radio #roadcasts! cou-d ha"e a causa- -i+@ to 6e+ocideG9 AFN$<5B9 See Simo+! su7ra +ote $<&9 AFN$<4B9 See su7ra +otes '45! $&5 a+d accom7a+ i+6 te=t9 AFN$<<B9 Id9 AFN$<%B9 See su7ra +ote %9 0-thou6h it shou-d #e 7oi+ted out that the Streicher decisio+ i+"o-"ed the char6e of crimes a6ai+st huma+it ! +ot 6e+ocide9 AFN$<JB9 Id9 AFN$%&B9 3oshua 1a--e+stei+! Pu+ishi+6 1ords: 0+ 0+a- sis of the Necessit of the E-eme+t of ,ausatio+ i+ Prosecutio+s for I+citeme+t to Ie+ocide! 5) Sta+9 L9 Re"9 (5'! (J' F$&&'G9 Of course! this #e6s the questio+ of :hether 7u#-icatio+ of N6eHe;s artic-es fit :ithi+ the Tri#u+a-;s tem7ora- 8urisdictio+9 For a more detai-ed discussio+ of this issue! see i+fra Sectio+ I?9B9(9 AFN$%'B9 0@a esu 3ud6me+t! I,TR ,ase No9 J42)2T P 4J'9 AFN$%$B9 /usema 3ud6me+t! I,TR ,ase No9 J42'(20 PP %<4! %%&! %%'! J$) O J$59 AFN$%(B9 EDeismE is a+ E+-i6hte+me+t2era theor that 7osits Iod;s creatio+ of the u+i"erse a+d su#seque+t a#se+ce from its o7eratio+9 I+stead of i+ter"e+i+6! Iod -ets -ife ru+ its o:+ course9 Deism;s ori6i+a- adhere+ts i+c-uded Loc@e! Rousseau! a+d ?o-taire9 E,urre+t- ! most Deists seem to #e-ie"e that Iod created the u+i"erse! ;:ou+d it u7; a+d the+ disassociated himse-f from his creatio+9 Some refer to Deists as #e-ie"i+6 i+ a Iod :ho acts as a+ a#se+tee -a+d-ord or a #-i+d :atchma@er9E Da"id Lore+ Bueh+er! E0 No+2Re-i6ious Natura-istic Pers7ecti"e o+ IodE F$d9 ed9 $&&'G! a"ai-a#-e at htt7:// :::96eocities9com/6amemuse/+atura-istic6od9PDF9 See a-so O=ford Dictio+ar of 1or-d Re-i6io+s FO=ford U+i"ersit Press 'JJ<G at $4< FEThus Deism 7ro7osed a Iod :ho i+itiated creatio+ a+d do+ated its -a:s! #ut the+ a--o:ed it to 7ursue its o:+ course9EG9 AFN$%)B9 See Rome Statute! su7ra +ote $55! art9 $%9 AFN$%5B9 See ?etter! su7ra +ote 4%! at ''&9
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AFN$%4B9 ,om7are Rome Statute! su7ra +ote $55! art9 $%FaG! :ith art9 $% F#GFiiG9 AFN$%<B9 See Rome Statute! su7ra +ote $55! art9 $%FaGFiG! F#GFiG9 See a-so Ro S9 Lee! The I+ter+atio+a- ,rimi+a- ,ourt! The /a@i+6 of the Rome Statute: Issues! Ne6otiatio+s! Resu-ts F.-u:er La: I+ter+atio+a- 'JJJG9 AFN$%%B9 See 3odi Thor7! 1e-come E=2Dictators! Torturers a+d T ra+ts: ,om7arati"e 077roach to *a+d-i+6 E=2 Dictators a+d Past *uma+ Ri6hts 0#uses! (< Io+H9 L9 Re"9 '4<! '%' F$&&$G F+oti+6 that #oth I,TR a+d I,TY Eo7erate u+der a h #rid a77roach com#i+i+6 commo+ -a: a+d ci"i- -e6a- s stems9 9 9EG9 AFN$%JB9 /usema 3ud6me+t! I,TR ,ase No9 J42'(20 P '%<9 AFN$J&B9 Id9 P 'J49 AFN$J'B9 Richard P9 Barrett O Laura E9 Litt-e! Lesso+s of Yu6os-a" Ra7e Tria-s: 0 Ro-e for ,o+s7irac La: i+ I+ter+atio+a- Tri#u+a-s! %% /i++9 L9 Re"9 (&! %) F$&&(G9 AFN$J$B9 Nahima+a 3ud6me+t! I,TR ,ase No9 JJ25$2T P '&$( Ffocusi+6 o+ The 077ea- to the ,o+scie+ce of the *utu a+d The Te+ ,omma+dme+ts! 7u#-ished i+ .a+6ura No9 4 i+ Decem#er 'JJ&G! P '&$% Freferri+6 to .a+6ura No9 )& 7u#-ished i+ Fe#ruar 'JJ(G O P '&(4 Fdea-i+6 a6ai+ :ith .a+6ura No9 4 a+d the EmacheteE co"er of No9 $4 of No"em#er 'JJ'G9 It shou-d #e +oted! ho:e"er! that the Tri#u+a- does refer i+ 7ara6ra7h '&(4 to Ethe i+creased atte+tio+ i+ 'JJ) issues of .a+6ura to the fear of a+ RPF attac@ a+d the threat that @i--i+6 of i++oce+t Tutsi ci"i-ia+s that :ou-d fo--o: as a co+seque+ce9E AFN$J(B9 Id9 PP '&&2'&)! '&'<9 AFN$J)B9 Id9 P '&& Fquoti+6 Prosecutor "9 *assa+ N6eHe! Decisio+ o+ the Prosecutor;s Request for Lea"e to 0me+d the I+dictme+t! I,TR ,ase No9 J<2I! P ( FNo"9 5! 'JJJGD Prosecutor "9 Ferdi+a+d Nahima+a! I,TR ,ase No9 J42''2T! P $% FNo"9 5! 'JJJGG9 AFN$J5B9 Id9 P '&& Fciti+6 *assa+ N6eHe O Ferdi+a+d Nahima+a "9 The Prosecutor! Decisio+ o+ the I+ter-ocutor 077ea-s! ,ase Nos9 I,TR2J<2$<20R<$ a+d I,TR2J42''20R<$ P 4 FSe7t9 5! $&&&G Aherei+after N6eHe O Nahima+a I+ter-ocutor 077ea-sB9 AFN$J4B9 Id9 AFN$J<B9 Id9 AFN$J%B9 N6eHe O Nahima+a I+ter-ocutor 077ea-s! 3oi+t Se7arate O7i+io+ of 3ud6e La- ,ha+d ?ohrah a+d 3ud6e Rafae- Nieto2Na"ia! ,ase Nos9 I,TR2J<2$<2 0R<$ a+d I,TR2J42''20R<$ P <9 AFN$JJB9 Id9 AFN(&&B9 Id9 Fciti+6 Re7ort of the Secretar 2Ie+era- Pursua+t to Para6ra7h 5 of the Securit ,ou+ci- Reso-utio+ J55 F'JJ)G! U9N9 Doc9 S/'JJ5/'()! P ') FFe#9 '(! 'JJ5GG9 AFN(&'B9 Id9 PP '<! '% O $(9 AFN(&$B9 Nahima+a 3ud6me+t! I,TR ,ase No9 JJ25$2T P '&)9 AFN(&(B9 Id9 Fem7hasis addedG9
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AFN(&)B9 Id9 P '&'<9 AFN(&5B9 /usema 3ud6me+t! I,TR ,ase No9 J42'(20 P 'J(9 AFN(&4B9 Id9 at +9(< Fciti+6 0@a esu 3ud6me+t! I,TR ,ase No9 J42)2T P 5$G9 AFN(&<B9 Nic@ Mimmerma+! 0ttem7ted Sta-@i+6: 0+ 0ttem7t2To20-most20ttem7t2To20ct! $& N9 I--9 U9 L9 Re"9 $'J! $$$ F$&&&G9 AFN(&%B9 Ira P9 Ro##i+s! Dou#-e I+choate ,rimes! $4 *ar"9 39 o+ Le6is9 '! ( F'J%JG9 AFN(&JB9 Ne"erthe-ess! e"e+ if N6eHe;s 7re2'JJ) acts of i+citeme+t :ere e=c-uded as fa--i+6 outside the Tri#u+a-;s tem7ora- 8urisdictio+! there is su77ort i+ the record for fi+di+6 him -ia#-e #ased o+ his 'JJ) 7u#-icatio+s9 0s +oted a#o"e! .a+6ura;s /arch 'JJ) com7etitio+ co+sisted of questio+s as@i+6 7artici7a+ts to ide+tif :hich #ac@ issue of .a+6ura co+tai+ed a 7articu-ar te=t9 To 7artici7ate! readers had to scour #ac@ issues of the +e:s7a7er9 Nahima+a 3ud6me+t! I,TR ,ase No9 JJ25$2T PP $)<2$5$9 I+ this :a ! .a+6ura :as a#-e! i+ effect! to re7u#-ish its 7re2'JJ) i+citeme+t9 Thus! e"e+ u+der a more restricti"e i+ter7retatio+ of the Tri#u+a-;s tem7ora- 8urisdictio+! N6eHe mi6ht ha"e #ee+ fou+d 6ui-t of direct a+d 7u#-ic i+citeme+t to commit 6e+ocide #ased o+ his 'JJ) issues of .a+6ura9 AFN('&B9 U+ited States "9 Ii-#ert! '(4 F9(d ')5'! ')5( F''th ,ir9 'JJ%G9 But see Toussie "9 U+ited States! (J< U9S9 ''$! '')2'5 F'J<&G Foffe+ses shou-d +ot #e co+sidered as co+ti+ui+6 u+-ess Ethe e=7-icit -a+6ua6e of the9 9 9statute com7e-s such a co+c-usio+! or the +ature of the crime i+"o-"ed is such that ,o+6ress must assured- ha"e i+te+ded that it #e treated as a co+ti+ui+6 Aoffe+seBEG9 AFN(''B9 See B-ac@;s La: Dictio+ar $J' F5th ed9 'J<JG FE0 co+ti+ui+6 offe+se is the ;AtB 7e of crime :hich is committed o"er a s7a+ of time as! for e=am7-e! a co+s7irac 9 0s to 7eriod of statute of -imitatio+! the -ast act of the offe+se co+tro-s for comme+ceme+t of the 7eriod9 9 99E;G9 I+ fact! i+ a se7arate o7i+io+ attached to the 077ea-s ,ham#er Decisio+ o+ I+ter-ocutor 077ea-s of N6eHe a+d Nahima+a! the Nahima+a 8ud6me+t +otes that 3ud6e Shaha#uddee+ a--uded to a ratio+a-e a+a-o6ous to the co+ti+ui+6 offe+se doctri+e: 1ith re6ard to the char6e of co+s7irac ! :here the co+s7irac a6reeme+t mi6ht date #ac@ to a time 7rior to ' 3a+uar 'JJ)! 3ud6e Shaha#uddee+ e=7ressed the "ie: that so -o+6 as the 7arties co+ti+ue to adhere to the a6reeme+t! the ma #e re6arded as co+sta+t- re+e:i+6 it u7 to the time of the acts co+tem7-ated # the co+s7irac 9 Therefore a co+s7irac a6reeme+t made 7rior to #ut co+ti+ui+6 i+to the 7eriod of 'JJ) ca+ #e co+sidered as fa--i+6 :ithi+ the 8urisdictio+ of the Tri#u+a-9 Nahima+a 3ud6me+t! I,TR ,ase No9 JJ25$2T P '&)9 Thus! :hi-e the co+ti+ui+6 offe+se doctri+e 7ermits e=7a+ded i+c-usio+ of crimes 6oi+6 for:ard i+ time Fretardi+6 o7eratio+ of the statute of -imitatio+sG! the Tri#u+a-;s theor of i+choate offe+ses 7ermits e=7a+ded i+c-usio+ of time 6oi+6 #ac@:ards i+ time Fthere# shoehor+i+6 crimes i+to the Tri#u+a-;s tem7ora- 8urisdictio+G9 AFN('$B9 Rome Statute! su7ra +ote $55! art9 ''! N '9 AFN('(B9 Nahima+a 3ud6me+t! I,TR ,ase No9 JJ25$2T P (9 END OF DO,U/ENT
5 3INT,R3 4(% 5 39 I+t;- ,rim9 3ust9 4(% (Cite as: 5 J !"t#l Crim Just $54%
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3our+a- of I+ter+atio+a- ,rimi+a- 3ustice 3u- ! $&&< Symposium &$54 UNDERST0NDINI /ENS RE0 IN ,O//0ND RESPONSIBILITY From Yamashita to B-as@ic a+d Be o+d 3e++ S9 /arti+eH AFNa'B ,o7 ri6ht C $&&< # O=ford U+i"ersit PressD 3e++ S9 /arti+eH -,stra.t Des7ite 5& ears of doctri+a- e"o-utio+! the me+s rea for comma+d res7o+si#i-it is sti-- u+c-ear9 Four factors he-7 e=7-ai+ this9 First! i+ter+atio+a- courts freque+t- #orro: me+s rea termi+o-o6 from +atio+a- -e6as stems :ithout adequate- u+dersta+di+6 or e=7-ai+i+6 differe+ces i+ ho: those terms are used9 Seco+d! courts a+d comme+tators ofte+ +e6-ect to e+6a6e e=7-icit- i+ a+ e-eme+t2# 2e-eme+t a+a- sis of me+s rea requireme+ts! sim7- Fa+d :ro+6- G assumi+6 that the same me+tastate must a77- to each e-eme+t of a+ offe+ce9 Third! courts sometimes react to e"ide+tiar u+certai+t # creati+6 -e6a- u+certai+t 9 Fi+a-- ! courts ha"e res7o+ded to +ormati"e criticism of comma+d res7o+si#i-it doctri+e i+ its more e=7a+si"e "ersio+s! #ut ha"e #ee+ u+:i--i+6 to e=7-ore the +ormati"e ar6ume+ts i+ fa"our of it9 Normati"e ar6ume+ts a#out comma+d res7o+si#i-it doctri+e must ta@e accou+t of differe+ces #et:ee+ ordi+ar mu+ici7a- crimi+a- -a: a+d i+ter+atio+a- crimi+a- -a:! i+c-udi+6 the ori6i+s of comma+d res7o+si#i-it i+ the -a:s of :ar! a+d the s7eciafactua- co+te=ts i+ :hich it is a77-ied9 The artic-e ar6ues that there is so-id Fthou6h +ot i+co+tro"erti#-eG su77ort i+ customar i+ter+atio+a- -a: for ho-di+6 su7eriors -ia#-e :he+ the cu-7a#- fai- to acquire @+o:-ed6e of their su#ordi+ates; misdeeds! a+d that there are stro+6 retri#uti"e a+d uti-itaria+ ar6ume+ts for such a+ a77roach9 I+ter+atio+a- courts shou-d ado7t such a ;dut of @+o:-ed6e; sta+dard9 &$56 / !"tro0u.tio" ,omma+d res7o+si#i-it AFN'B doctri+e is a ce+tra- 7i--ar of i+ter+atio+a- crimi+a- -a: #ecause it addresses a fu+dame+ta- di-emma of -e6a- res7o+ses to mass atrocit ! :hich is that the atrocities are usua-- carried out # foot so-diers #ut it is ofte+ the 6e+era-s a+d 7reside+ts :ho #ear a 6reater share of mora- res7o+si#i-it 9 AFN$B From the triaof Ie+era- Yamashita fo--o:i+6 1or-d 1ar II to the tria- 5& ears -ater of Ie+era- B-as@ic at the I+ter+atio+a- ,rimi+a- Tri#u+a- for the former Yu6os-a"ia FI,TYG! comma+d res7o+si#i-it doctri+e has #ee+ do66ed # the criticism that it seemi+6- a--o:s comma+ders to #e 7u+ished i+ the a#se+ce of the co+scious :ro+6doi+6 usua-- associated :ith mora- cu-7a#i-it 9 AFN(B For a "ariet of reaso+s! 8ud6es o+ i+ter+atio+a- crimi+a- tri#u+a-s are ri6ht- co+cer+ed that their actio+s #e 7ercei"ed as -e6itimate! a+d so these criticisms ha"e #ee+ 8ust cause for re7eated re2e=ami+atio+ of the forma- sco7e of the doctri+e9 AFN)B The a77-icatio+ of comma+d res7o+si#i-it doctri+e to 7articu-ar facts has a-so #ee+ the o#8ect of 6reat co+tro"ers ! i+ 7art #ecause hard 7roof of the co++ectio+ #et:ee+ the 6e+era-s a+d the crimes committed # their foot so-diers is ofte+ e=treme- difficu-t to fi+d9 I+ some cases! su7eriors ma e"e+ ha"e 6o+e out of their :a to remai+ ;:i-fu-- #-i+d; to the crimes of their su#ordi+ates9 I+ cases :here direct 7roof of a comma+der;s i+"o-"eme+t is -ac@i+6! circumsta+tia- e"ide+ce a+d i+fere+tia- 7roof ma su#stitute to remo"e &$49 reaso+a#-e dou#t i+ the mi+ds of the 8ud6es! AFN5B #ut ma +ot satisf critica- o#ser"ers :ho :i-- c-aim that the defe+da+t :as #ee+ ;sca7e6oated; # a #iased tri#u+a-9
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This artic-e focuses 7rimari- o+ the e"o-utio+ of the me+s rea requireme+t for comma+d res7o+si#i-it ! :hich has #ee+ the most co+tro"ersia- as7ect of the doctri+e #oth i+ theor a+d i+ a77-icatio+9 0t "arious times! i+ter+atio+a- courts a+d tri#u+a-s ha"e co+"icted su7eriors #ased o+ me+ta- states that mi6ht #e descri#ed as @+o:-ed6e! rec@-ess+ess! +e6-i6e+ce a+d e"e+! 7erha7s! #ased o+ strict -ia#i-it 9 I+ some cases! the ha"e a77-ied a su#8ecti"e sta+dard for me+tastate! :hi-e i+ others the ha"e used a seemi+6- o#8ecti"e sta+dard9 The ha"e stru66-ed! :ithout 6reat success! to situate ;:i-fu- #-i+d+ess; some:here #et:ee+ @+o:-ed6e a+d +e6-i6e+ce9 The ha"e +ot a-:a s #ee+ c-ear i+ s7ecif i+6 :hether the same me+tastate is required i+ re-atio+ to each materia- e-eme+t of the crime committed # the su#ordi+ates9 0+d the ha"e do+e so i+ mu-ti7-e -a+6ua6es! usi+6 terms that do +ot tra+s-ate e=act- from o+e -a+6ua6e a+d -e6a- s stem to a+other9 The +et resu-t is that! des7ite ha-f a ce+tur ;s :orth of case -a:! it is difficu-t to descri#e :ith 7recisio+ the me+tae-eme+t of comma+d res7o+si#i-it 9 The artic-e attem7ts to u+ta+6-e the me+s rea de#ate! +ot o+- e=7-ai+i+6 :hat the -a: curre+t- is :ith re6ards to the me+s rea required for comma+d res7o+si#i-it ! #ut more im7orta+t- ! :h a+d ho: the -a: 6ot to :here it is a+d :h there has #ee+ so much co+fusio+ a-o+6 the :a 9 O+e ma8or reaso+ for the -ac@ of c-arit is differe+ces #et:ee+ mu+ici7a- -e6a- s stems i+ their cate6oriHatio+ of "arious me+ta- statesD mistra+s-atio+ is a 7ro#-em +ot o+- i+ a -itera- se+se Ffor e=am7-e! :he+ i+ter+atio+a- 8ud6me+ts are tra+s-ated from Fre+ch i+to E+6-ishG AFN4B #ut i+ a more theoretica- se+se! as :he+ su#t- differe+t co+ce7ts from +atio+a- -e6a- s stems such as rec@-ess+ess a+d do-us e"e+tua-is are erro+eous- treated as equi"a-e+t9 I+ter+atio+a- courts a+d tri#u+a-s freque+t- #orro: terms from domestic -e6a- s stems :ithout 6i"i+6 sufficie+t atte+tio+ to their 7recise defi+itio+ or the co+te=t i+ :hich the are used i+ domestic courts9 Seco+d! courts a+d comme+tators sometimes fai- to e+6a6e i+ a+ e-eme+t2# 2e-eme+t a+a- sis of me+s rea requireme+ts i+ the comma+d res7o+si#i-it co+te=t! sim7- Fa+d :ro+6- G assumi+6 that the same me+tastate must a77- to each e-eme+t of the crime9 The thus fai- to dise+ta+6-e :hether a +e6-i6e+ce sta+dard mi6ht #e suita#-e for some e-eme+ts! e"e+ if it :ere +ot suita#-e for a-- e-eme+ts of a-- crimes9 Third! the mudd-ed state of the me+s rea requireme+t is to some de6ree a 7roduct of e"ide+tiar 7ro#-ems e+demic to 7rosecutio+s for i+ter+atio+a- &$4/ crimesD it is ofte+ quite difficu-t to ascertai+ :ith a+ accurac a comma+der;s actuame+tastate! a+d 8udicia- decisio+s ha"e sometimes o#fuscated the su#sta+ti"e -e6asta+dard as a resu-t of the factua- u+certai+t 9 /oreo"er! the courts ha"e fai-ed to 6ra77-e e=7-icit- :ith the :a s i+ :hich 7ermitti+6 differe+t e"ide+tiar i+fere+ces a+d 7resum7tio+s ca+ su#sta+tia-- a-ter the formasu#sta+ti"e ru-es9 0 fourth reaso+ for the u+c-ear state of the -a: is :hat this artic-e refers to as the 6host of Yamashita 7ro#-em9 The Yamashita decisio+ has cast a -o+6 shado: o"er the de"e-o7me+t of su7erior res7o+si#i-it doctri+e! as #oth the first moder+ case to a77- the doctri+e a+d the case most ofte+ criticiHed for a--o:i+6 co+"ictio+ #ased o+ +e6-i6e+ce or! 7erha7s! e"e+ strict -ia#i-it 9 I+ter+atio+a- 8ud6es; se+siti"it to criticism a#out the -oose+ess of the me+s rea requireme+t for comma+d res7o+si#i-it has #ee+ u+fortu+ate- cou7-ed :ith re-ucta+ce to e=7-ore e=7-icit- the theoretica- 8ustificatio+s for the doctri+e9 This re-ucta+ce ma #e attri#uted to fears that such e=7-oratio+ :ou-d su66est that the courts :ere tradi+6 i+ -e= fere+da rather tha+ -e= -ata9 To the co+trar ! ho:e"er! this artic-e ar6ues that +ot o+- is there so-id Fthou6h +ot i+co+tro"erti#-eG su77ort i+ customar i+ter+atio+a- -a: for ho-di+6 su7eriors -ia#-e :he+ the cu-7a#- fai- to acquire @+o:-ed6e of their su#ordi+ates; misdeeds! AFN<B there are stro+6 retri#uti"e a+d uti-itaria+ ar6ume+ts for such a+ a77roach9 0t a mi+imum! future e=7-icatio+ of the doctri+e must 7ro#e #e o+d 7-atitudes a#out the i--i#era-it of 7u+ishme+t #ased o+ +e6-i6e+ce9 2 3rami"< t8e 'ro,lem: Comma"0 Respo"si,ility a"0 Ae"s Rea - *asi. Eleme"ts of Comma"0 Respo"si,ility
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,omma+d res7o+si#i-it is # +o: :e-- esta#-ished i+ customar i+ter+atio+a- -a:! a+d is ref-ected i+ se7arate 7ro"isio+s i+ each of the statutes of moder+ i+ter+atio+a- crimi+a- tri#u+a-s9 For e=am7-e! 0rtic-e <F(G of the Statute of the I,TY im7oses -ia#i-it o+ a ;su7erior; if ;he @+e: or had reaso+ to @+o: that the su#ordi+ate :as a#out to commit such acts or had do+e so a+d the su7erior fai-ed to ta@e the +ecessar a+d reaso+a#-e measures to 7re"e+t such acts or to 7u+ish the 7er7etrators thereof;9 AFN%B The I+ter+atio+a- ,rimi+a- ,ourt FI,,G Statute im7oses -ia#i-it o+ mi-itar comma+ders :ho ;@+e: or! o:i+6 to the circumsta+ces at the time! shou-d ha"e @+o:+; a#out crimes of their &$42 su#ordi+ates as :e-- as ci"i-ia+ -eaders :ho ;@+e:! or co+scious- disre6arded i+formatio+ :hich c-ear- i+dicated; that their su#ordi+ates :ere committi+6 or :ere a#out to commit crimes9 AFNJB Thus! u+der curre+t doctri+e i+ the I,TY a+d the I+ter+atio+a- ,rimi+a- Tri#u+a- for R:a+da FI,TRG! three e-eme+ts are +ecessar to esta#-ish -ia#i-it #ased o+ superior respo"si,ility: FiG the e=iste+ce of a de 8ure or de facto superior22su#ordi+ate re-atio+shi7 of effecti"e co+tro-D FiiG the superior @+e: or had reaso+ to @+o: that the crimi+a- act :as a#out to #e or had #ee+ committedD FiiiG the superior fai-ed to ta@e the +ecessar ste7s to 7re"e+t or 7u+ish the offe+ces9 AFN'&B ,omma+d respo"si,ility im7oses -ia#i-it for "er serious crimes Fi+c-udi+6 s7ecific i+te+t crimes such as 6e+ocideG o+ the #asis of a+ actus reus that is a+ omissio+ a+d me+s rea that is -ess tha+ 7ur7ose or e"e+ actua@+o:-ed6e9 AFN''B 077-icatio+ of comma+d respo"si,ility doctri+e is re-ati"e- strai6htfor:ard :he+ a superior actua-;@+e:; his su#ordi+ates had committed or :ere a#out to commit crimes9 I+ at -east some of its 7ermutatio+s! superior respo"si,ility resem#-es com7-icit -ia#i-it ! a+d :hi-e some domestic -e6a- s stems require that a+ accom7-ice act For omit to act! :here the -a: im7oses a dut to actG :ith the 7ur7ose Fa+d +ot mere@+o:-ed6eG of aidi+6 the 7ri+ci7a-! +ot a-- -e6a- s stems do9 AFN'$B 1ith 7roof of @+o:-ed6e the i+ter+atio+asta+dard thus does +ot de"iate so su#sta+tia-- from :ides7read 7ri+ci7-es of crimi+a- -a: as to 6i"e rise to co+cer+9 /oreo"er! :hi-e co+ce7tua-- si6+ifica+t! the differe+ce #et:ee+ 7ur7ose a+d @+o:-ed6e is ofte+ a s-im o+e i+ a+ e"ide+tiar se+seD si+ce -e6a- fact2fi+ders ca++ot -oo@ i+to the defe+da+t;s heart! the :i-- ofte+ i+fer 7ur7ose from 7roof of @+o:-ed6e re6ard-ess of :hether the forma- -e6a- sta+dard a--o:s or requires such i+fere+ce9 Thi+6s #e6i+ to #ecome more com7-icated :he+ o+e -ea"es the rea-m of actua- @+o:-ed6e a+d mo"es i+to the rea-m of ;had reaso+ to @+o:;! ;shou-d ha"e @+o:+; a+d "arious other formu-atio+s that ha"e #ee+ 6i"e+ to comma+d res7o+si#i-it doctri+e o"er the ears9 This is the hot- co+tested terrai+ of co+scious a+d u+co+scious +e6-i6e+ce! rec@-ess+ess! do-us e"e+tua-is a+d other 6radatio+s of ris@ #eha"iour! a+d it is i+ this area that i+ter+atio+a- courts ha"e ru+ i+to trou#-e i+ attem7ti+6 to articu-ate a c-ear! cohere+t sta+dard of -ia#i-it 9 ,riticisms of comma+d res7o+si#i-it doctri+e ce+tre o+ the 7ro#-em of me+ta- state9 1hi-e domestic -e6as stems a-so sometimes im7ose crimi+a- &$45 -ia#i-it #ased o+ rec@-ess or +e6-i6e+t omissio+s! the t 7ica-do so for crimes that carr -i6hter se+te+ces a+d -ess mora- o77ro#rium tha+ do 6e+ocide! :ar crimes a+d crimes a6ai+st huma+it 9 Thus! a theoretica- e=7-a+atio+ of the doctri+e must demo+strate :h the s7ecia- ro-e i+ societ of a mi-itar comma+der or ci"i-ia+ -eader creates a dut to 7re"e+t serious "io-atio+s of i+ter+atio+a-a: a+d 8ustifies im7ositio+ of se"ere 7u+ishme+t for -ess2tha+27ur7osefu- fai-ures to fu-fi- that dut 9 From the 7ost21or-d 1ar II decisio+ i+ Yamashita throu6h the I,TY;s decisio+ i+ B-as@ic! critics of comma+d res7o+si#i-it ha"e su66ested that the doctri+e is f-a:ed i+ ma+ of its a77-icatio+s #ecause it ;dis7-a AsB a measure of i+se+siti"it to the de6ree of the actor;s o:+ 7erso+a- cu-7a#i-it ;9 AFN'(B The su66est that -ia#i-it #ased o+ a+ thi+6 short of actua- @+o:-ed6e or at -east a 7articu-ar- cu-7a#-e form of :i-fu#-i+d+ess is u+8ustifia#-e! 7articu-ar- :he+ the crimes for :hich a comma+der is #ei+6 he-d res7o+si#-e i+c-ude a s7ecific i+te+t Fsuch as the i+te+t to harm a 6rou7 that accom7a+ies 6e+ocide or the crime a6ai+st huma+it of 7ersecutio+G9 AFN')B The reaso+ that mu+ici7a- crimi+a- -a: does +ot t 7ica-- a--o: com7-icit -ia#i-it for acts or omissio+s u+derta@e+ :ithout @+o:-ed6e of the 7ri+ci7a-;s crime! a+d therefore ar6ue that im7osi+6
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-ia#i-it o+ ;+e6-i6e+t; comma+ders "io-ates the cu-7a#i-it 7ri+ci7-e that -ies at the heart of -i#era- crimi+a8ustice s stems9 This criticism has i+f-ue+ced the de"e-o7me+t of the doctri+e9 * U"0ersta"0i"< t8e Ae"s Rea 'ro,lem i" !"ter"atio"al Crimi"al Law Differe+t mu+ici7a- -e6a- s stems use a "ariet of terms to descri#e the me+ta- states that accom7a+ the commissio+ of crimes9 I+ the U+ited States! for e=am7-e! the i+f-ue+tia- /ode- Pe+a- ,ode F/P,G disti+6uishes #et:ee+ four me+ta- states! o+e of :hich is required for each materia- e-eme+t of a+ offe+ce: 7ur7ose! @+o:-ed6e! rec@-ess+ess a+d +e6-i6e+ce9 AFN'5B The /P, a-so differe+tiates #et:ee+ the mea+i+6 of the me+ta- e-eme+t de7e+di+6 o+ :hether the materia- e-eme+t to :hich it corres7o+ds is the resu-t of the co+duct! the +ature of the co+duct or the circumsta+ces atte+da+t to the co+duct9 Pur7ose requires acti+6 :ith the ;co+scious o#8ect; of causi+6 a resu-t or e+6a6i+6 i+ co+duct of a 6i"e+ +ature! or a:are+ess of atte+da+t circumsta+ces9 AFN'4B .+o:-ed6e requires a:are+ess that it is ;7ractica-- certai+; that co+duct :i-- cause such a resu-t! that the co+duct is of the 7rohi#ited +ature or that atte+da+t circumsta+ces e=ist9 AFN'<B Rec@-ess+ess i+"o-"es the co+scious disre6ard of ;a su#sta+tia- a+d u+8ustifia#-e ris@; that the materia- e-eme+t e=ists or :i-resu-t from the co+duct :here the disre6ard of ris@ ;i+"o-"es a 6ross de"iatio+ from the sta+dard of co+duct that a -a:2a#idi+6 7erso+ :ou-d o#ser"e i+ the &$44 actor;s situatio+;9 AFN'%B Fi+a-- ! a 7erso+ acts +e6-i6e+tu+der the /P, :he+ ;he shou-d #e a:are of a su#sta+tia- a+d u+8ustifia#-e ris@; that a materia- e-eme+t e=ists or :i-- resu-t from the co+duct a+d the ris@ is ;of such a +ature a+d de6ree that the actor;s fai-ure to 7ercei"e it 999 i+"o-"es a 6ross de"iatio+ from the sta+dard of care that a reaso+a#-e 7erso+ :ou-d o#ser"e i+ the actor;s situatio+;9 AFN'JB Some! #ut # +o mea+s a--! states :ithi+ the federa- s stem of the U+ited States ha"e ado7ted the /P, termi+o-o6 i+to their crimi+a- codes9 Other commo+ -a: 8urisdictio+s use simi-ar termi+o-o6 ! #ut ofte+ :ith su#t-e differe+ces i+ em7hasis a+d mea+i+69 For e=am7-e! some 8urisdictio+s attem7t to disti+6uish #et:ee+ ordi+ar ! 6ross a+d crimi+a+e6-i6e+ce9 Li@e:ise! :hi-e #oth Britai+ a+d the U+ited States em7-o the co+ce7t of rec@-ess+ess! the US /ode- Pe+a- ,ode focuses o+ co+scious+ess of ris@ as the defi+i+6 characteristic disti+6uishi+6 rec@-ess+ess from +e6-i6e+ce! :hi-e British -a: Fa+d some 8urisdictio+s :ithi+ the U+ited StatesG a77are+t- em7hasiHes the de6ree of ris@9 AFN$&B Some commo+ -a: 8urisdictio+s a-so em7-o a "ariet of other terms! such as s7ecific a+d 6e+era- i+te+t! ma-ice a+d :i-fu-+ess! each :ith their o:+ defi+itio+9 AFN$'B ,i"i- -a: 8urisdictio+s use differe+t terms! :hich do +ot +eat- ma7 o+to the commo+ -a: cate6ories9 I+ co+ti+e+ta- Euro7e! me+ta- states are #road- s7-it i+to ;do-us; a+d ;cu-7a;! :hich corres7o+d rou6h- to i+te+t a+d +e6-i6e+ce9 AFN$$B Do-us a+d cu-7a! i+ tur+! are each su#di"ided i+to a "ariet of me+ta- states9 Do-us s7ecia-is! for e=am7-e! c-ose- corres7o+ds to the commo+ -a: co+ce7t of s7ecific i+te+t22for e=am7-e! the i+te+t to destro a racia-! +atio+a-! re-i6ious or eth+ic 6rou7 that disti+6uishes 6e+ocide from murder9 Do-us directus a+d do-us 6e+era-is Fsimi-ar to 6e+era- i+te+tG! are i+ tur+ disti+6uished from do-us e"e+tua-is9 The cate6or of do-us e"e+tua-is 7ro"ides a+ e=am7-e of the difficu-t of matchi+6 ci"i- -a: co+ce7ts :ith commo+ -a: cate6ories9 The I,TY! a+d some 7romi+e+t scho-ars such as 0+to+io ,assese! ha"e equated do-us e"e+tua-is :ith commo+ -a: rec@-ess+ess9 AFN$(B Other -eadi+6 scho-ars! such as Ieor6e F-etcher a+d 3e+s Oh-i+! ar6ue that the t:o differ i+ im7orta+t res7ects: Rec@-ess+ess focuses o+ the ris@ that the 7er7etrator is :i--i+6 to ta@e! #ut do-us e"e+tua-is is a#out the actor;s attitude! re6ard-ess of the ris@ of harm9 The 7u+isha#-e attitude! as defi+ed i+ the Ierma+ -iterature a+d case -a:! is o+e of a77ro"a- a+d ide+tificatio+ :ith the e"i- resu-t9 AFN$)B &$45 The co+ti+e+ta- equi"a-e+t of the /P, "ersio+ of rec@-ess+ess! F-etcher a+d Oh-i+ ar6ue! is +ot do-us e"e+tua-is #ut a @i+d of cu-7a22co+scious or ad"erte+t +e6-i6e+ce F:hich ci"i- -a: s stems disti+6uish i+ tur+ from u+co+scious or i+ad"erte+t +e6-i6e+ceG9 AFN$5B 0 7erso+ :ho is ha77 a#out or at -east reco+ci-ed to the harm his or her co+duct threate+s to cause acts :ith do-us e"e+tua-is! AFN$4B :hi-e a 7erso+ :ho is a:are that his or her co+duct 7rese+ts the e=act same ris@ of harm! #ut ho7es that the harm :i-- +ot resu-t! acts :ith a form of cu-7a! co+scious +e6-i6e+ce9 0ddi+6 to the co+fusio+! tra+s-atio+s of 8ud6me+ts at the I,TY do +ot a-:a s use co+siste+t termi+o-o6 9 I+ o+e +ota#-e e=am7-e! the officia- E+6-ish tra+s-atio+ of the Tria- ,ham#er 8ud6me+t i+ the B-as@ic case tra+s-ated the authoritati"e Fre+ch "ersio+;s -e do- S"e+tue- as ;rec@-ess+ess; i+ o+e
Pa6e 5
7-ace! AFN$<B a+d as ;+e6-i6e+ce; i+ a+other9 AFN$%B La ered o+ to7 of these #asic cate6oriHatio+s of me+ta- states are a "ariet of other co+ce7ts that refi+e the a+a- sis of a 7articu-ar actor;s me+ta- cu-7a#i-it 9 1hat if the actor is mista@e+ a#out the facts> 1hat if the actor is :i-fu-- #-i+d to the facts! i+ other :ords if she i+te+tio+a-- a"oids -ear+i+6 the u+7-easa+t truth> AFN$JB Natio+a- -e6a- s stems attem7t to dea- :ith these sce+arios either throu6h a77e+da6es to the i+itia- defi+itio+ of me+ta- states! or throu6h se7arate doctri+a- su#cate6ories9 U+sur7risi+6- ! their a77roaches are +ot co+siste+t9 For e=am7-e! some s stems ma defi+e :i-fu- #-i+d+ess as the equi"a-e+t of @+o:-ed6eD others ma treat it as a s7ecies of +e6-i6e+ce #ased o+ the ar6ume+t that the actor ;shou-d ha"e @+o:+; a#out the facts! a+d therefore :as cu-7a#-e i+ #reachi+6 the dut to #e a:are of the ris@s of his or her actio+sD or the ma attem7t to dod6e the 7ro#-em # sim7- asserti+6! as the US /ode- Pe+a- ,ode does! that a:are+ess of the hi6h 7ro#a#i-it of a fact is equi"a-e+t to @+o:-ed6e of a fact9 AFN(&B E"e+ o+ce 7articu-ar me+ta- states ha"e #ee+ suita#- defi+ed a+d disti+6uished from o+e a+other! scho-ars a+d 8ud6es i+ domestic -e6a- s stems ha"e e+6a6ed i+ e=te+si"e de#ate o"er :hether the terms accurateca7ture the @i+d of #eha"iour that is most #-ame:orth or most threate+i+6 &$4$ to societ ! AFN('B as :e-- as the a77-icatio+ of these me+ta- states to 7articu-ar crimes a+d to 7articu-ar forms of -ia#i-it 9 For e=am7-e! does a+ accom7-ice +eed to share the crimi+a- 7ur7ose of the 7ri+ci7a- :ith res7ect to each e-eme+t of the offe+ce! or is it e+ou6h that he has @+o:-ed6e of that i+te+t :he+ he 7ro"ides assista+ce to the 7ri+ci7a-> AFN($B Differe+t -e6a- s stems 6i"e differe+t a+s:ers! AFN((B a+d the questio+ itse-f ma #e of 6reater or -esser si6+ifica+ce de7e+di+6 o+ :hether a -e6a- s stem co+siders 7ri+ci7a-s a+d accessories as equi"a-e+t i+ terms of -ia#i-it a+d 7u+ishme+t9 AFN()B /u+ici7a- -e6a- s stems a-so "ar i+ :hether the "ie: crimi+a- 7u+ishme+t #ased o+ forms of +e6-i6e+ce as commo+7-ace or e=ce7tio+a- a+d disfa"oured! somethi+6 :hich ma i+ tur+ #e i+f-ue+ced # ho: the co+ce7tua-iHe +e6-i6e+ce9 AFN(5B Fi+a-- ! differe+t -e6a- s stems ha"e differe+t ru-es of e"ide+ce! a+d differe+t :a s of treati+6 e"ide+tiar 7resum7tio+s! a-- of :hich ma su#sta+tia-- a-ter the actuaeffect of su#sta+ti"e doctri+es9 I+ short! the issue of me+s rea is i+e=trica#- i+tert:i+ed :ith other as7ects of a +atio+a- -e6a- s stem;s su#sta+ti"e a+d 7rocedura- crimi+a- -a:9 The a#o"e e=am7-es dra: o+ -e6a- s stems desce+ded from Britai+ a+d 1ester+ Euro7e9 The 7icture o+- #ecomes more com7-e= :he+ o+e attem7ts to i+c-ude the rest of the :or-d i+ this com7arati"e a+a- sis9 /a+ 7ost2co-o+ia- states fo--o: either the commo+ -a: or co+ti+e+tamode-s! #ut other +o+2Euro7ea+ states ha"e their o:+ disti+cti"e :a s of thi+@i+6 a#out crimi+a- :ro+6doi+69 AFN(4B It shou-d come as +o sur7rise! the+! that i+ter+atio+a- crimi+a- tri#u+a-s22 staffed :ith 8urists from ma+ differe+t -e6a- s stems22shou-d ha"e faced serious 7ro#-ems i+ descri#i+6 the me+s rea a77-ica#-e to a mode of -ia#i-it such as comma+d res7o+si#i-it 9 Neither i+ter+atio+a- treat -a: +or i+ter+atio+a- customar -a: 7ro"ides com7rehe+si"e! u+i"ersa-- acce7ted defi+itio+s of cu-7a#-e me+ta- states for i+ter+atio+a- crimes! a+d a+ attem7t to ascertai+ the 6e+era- 7ri+ci7-es of -a: commo+ to +atio+a- -e6a- s stems is com7-icated # the "aried a77roaches such s stems ta@e9 AFN(<B U+fortu+ate- ! &$41 i+ter+atio+a- decisio+s are +ot a-:a s se-f2 co+scious a#out the differe+ces i+ +atio+a- termi+o-o6 ! +or are the 7recise a#out the co+ce7ts that termi+o-o6 attem7ts to ca7ture9 To 6i"e a co+crete e=am7-e! a+ attem7t to defi+e a+ i+ter+atio+a- sta+dard of ;rec@-ess+ess; ca++ot sim7#orro: termi+o-o6 from +atio+a- courts! #ut must e=7-icit- ta@e accou+t of these co+te=tua- differe+ces i+ em7hasis a+d mea+i+69 It must ta@e accou+t of the fact that some s stems em7hasiHe the a:are+ess of ris@2 ta@i+6 i+ defi+i+6 rec@-ess #eha"iour! others em7hasiHe the de6ree of ris@! a+d sti-- others em7hasiHe the attitude to:ards ris@9 It must a-so ta@e accou+t of :hether the -e6a- s stems i+ questio+ ha"e a doctri+e of :i-fu#-i+d+ess that further refi+es a+a- sis of the me+tastate! a+d :hether! i+ e"a-uati+6 the defe+da+t;s fai-ure to -ear+ the truth! that doctri+e em7hasiHes a:are+ess of the 7ro#a#i-it of a fact! attitude to:ards the 7ro#a#i-it of the fact or the -e"e- of 7ro#a#i-it itse-f9 It must #e co+scious of the si6+ifica+ce the -e6a- s stem attaches to differe+ces i+ me+tastate i+ determi+i+6 -ia#i-it a+d 7u+ishme+t9 It must a-so co+sider :hether the same me+ta- e-eme+t a77-ies to each e-eme+t of the offe+ce22for e=am7-e! :hat shou-d ha77e+ :he+ a comma+der
Pa6e 4
has @+o:-ed6e that his troo7s are @i--i+6 ci"i-ia+s! #ut is mere- rec@-ess or +e6-i6e+t :ith res7ect to the 7ossi#i-it that the are carr i+6 out those @i--i+6s :ith 6e+ocida- i+te+t9 0+d it must co+sider :hether use of a 7articu-ar sta+dard #orro:ed from +atio+a- s stems is 8ustified i+ the u+ique co+te=t of i+ter+atio+a- crimi+a8ustice9 U+fortu+ate- ! i+ter+atio+a- courts ha"e +ot a-:a s #ee+ this 7rceise a#out defi+i+6 me+s rea! a+d +o:here has this #ee+ more of a 7ro#-em tha+ i+ the co+te=t of superior respo"si,ility doctri+e9 5 Comma"0 Respo"si,ility from +amas8ita to *las=i. - 'ost7Worl0 War !! Case Law Superior respo"si,ility #e6a+ its moder+ de"e-o7me+t as a theor of i+ter+atio+a- crimi+a- -ia#i-it duri+6 the 7ost21or-d 1ar II tria-s9 No+e of the statutor te=ts creati+6 the 7ost21or-d 1ar II tri#u+a-s22the Nurem#er6 ,harter! ,o+tro- ,ou+ci- La: No9 '& F:hich 6o"er+ed the su#seque+t tria-s of -o:er2-e"e- NaHi :ar crimi+a-s i+ occu7ied Euro7eG! a+d the ,harter of the I+ter+atio+a- /i-itar Tri#u+a- for the Far East22co+tai+ed e=7-icit 7ro"isio+s o+ the res7o+si#i-it of comma+ders for acts # their su#ordi+ates9 Ne"erthe-ess! the doctri+e :as de"e-o7ed a+d a77-ied i+ se"era- @e tria-s! i+c-udi+6: the triaof Ie+era- Yamashita! the *osta6e Tria-! the Ierma+ *i6h ,omma+d Tria-! the To@ o Tria- a+d the triaof 0dmira- To oda9 These cases :ere im7orta+t i+ the de"e-o7me+t of the customar i+ter+atio+a- -a: re-ated to comma+d res7o+si#i-it i+ so far as the e=7-ored the co+tours of comma+d res7o+si#i-it i+ a "ariet of factuacircumsta+ces :ith comma+ders of "ar i+6 -e"e-s9 But their 6reatest shortcomi+6 is that the e=7ress a "ariet of i+co+siste+t "ie:s o+ the me+tastate required for &$44 -ia#i-it 22 sometimes! u+fortu+ate- ! :ithi+ the same decisio+9 I+ this :a ! the foreshado:ed much of the co+fusio+ that has accom7a+ied the doctri+e i+ the I,TY a+d I,TR9 The most famous 1or-d 1ar II comma+d res7o+si#i-it case is that of Ie+era- Tomo u@i Yamashita! the comma+di+6 6e+era- of the Im7eria- 3a7a+ese 0rm i+ the Phi-i77i+es! :ho :as se+te+ced to death # a US mi-itar commissio+ for atrocities committed # troo7s u+der his comma+d9 0 ma8orit of the US Su7reme ,ourt u7he-d the co+"ictio+ o"er "i6orous disse+t9 Yamashita remai+s o+e of the most co+tro"ersiaa77-icatio+s of comma+d res7o+si#i-it doctri+e! #oth #ecause of the questio+a#-e 7rocedures used at his triaa+d #ecause of am#i6uit a#out the commissio+;s fi+di+6s :ith re6ard to me+s rea9 I+deed! #ecause it :as so co+tro"ersia-! Yamashita has had a+ u+due i+f-ue+ce o+ the o"era-- de"e-o7me+t of su7erior res7o+si#i-it doctri+e9 The mi-itar commissio+ i+ Yamashita! a+d #oth the ma8orit a+d disse+t i+ the US Su7reme ,ourt! acce7ted the #asic 7remise that a mi-itar comma+der cou-d #e he-d crimi+a-- -ia#-e i+ some circumsta+ces for #reachi+6 his dut to 7re"e+t his troo7s from committi+6 crimes9 The mi-itar commissio+! i+ a+ oft2quoted 7assa6e! e=7-ai+ed that: ,-ear- ! assi6+me+t to comma+d mi-itar troo7s is accom7a+ied # #road authorit a+d hea" res7o+si#i-it 9 This has #ee+ true i+ a-- armies throu6hout recorded histor 9 It is a#surd! ho:e"er! to co+sider a comma+der a murderer or ra7ist #ecause o+e of his so-diers commits a murder or a ra7e9 Ne"erthe-ess! :here murder a+d ra7e a+d "icious! re"e+6efu- actio+s are :ides7read offe+ces! a+d there is +o effecti"e attem7t # a comma+der to disco"er a+d co+tro- the crimi+a- acts! such a comma+der ma #e he-d res7o+si#-e! e"e+ crimi+a-- -ia#-e! for the -a:-ess acts of his troo7s! de7e+di+6 u7o+ their +ature a+d the circumsta+ces surrou+di+6 them9 AFN(%B The ma8orit of the US Su7reme ,ourt a6reed! stati+6 ;the -a: of :ar 7resu77oses that its "io-atio+ is to #e a"oided throu6h the co+troof the o7eratio+s of :ar # comma+ders :ho are to some e=te+t res7o+si#-e for their su#ordi+ates; AFN(JB a+d that a mi-itar comma+der -i@e Ie+era- Yamashita had ;a+ affirmati"e dut to ta@e such measures as :ere :ithi+ his 7o:er a+d a77ro7riate i+ the circumsta+ces to 7rotect 7riso+ers of :ar a+d the ci"i-ia+ 7o7u-atio+;9 AFN)&B E"e+ the disse+ti+6 8ustices acce7ted the 7ri+ci7-e that a mi-itar comma+der cou-d #e 7u+ished ;for c-ear a+d u+-a:fu- fai-ures to 7re"e+t atrocities;9 AFN)'B
Pa6e <
The ma8or co+tro"ers i+ Yamashita had to do :ith me+s rea9 The mi-itar commissio+ did +ot s7ecif the me+s rea -e6a-- required for -ia#i-it ! +or did it ma@e e=7-icit factua- fi+di+6s a#out the defe+da+t;s me+tastate9 AFN)$B No direct &$46 e"ide+ce of Ie+era- Yamashita;s @+o:-ed6e of the crimes :as a"ai-a#-e! a+d his defe+ce :as that a+ a66ressi"e US mi-itar cou+ter2offe+si"e had effecti"e- cut off his chai+ of comma+d a+d commu+icatio+! re+deri+6 him i+ca7a#-e of @+o:i+6 a#out or 7re"e+ti+6 the crimes9 The commissio+ did +ot directaddress this defe+ce! i+stead sim7- stati+6 that the atrocities # 3a7a+ese forces ;:ere +ot s7oradic i+ +ature #ut i+ ma+ cases :ere methodica-- su7er"ised # 3a7a+ese officers a+d +o+2commissio+ed officers; a+d that Ie+era- Yamashita ;fai-ed to 7ro"ide effecti"e co+troof AhisB troo7s as required # the circumsta+ces;9 AFN)(B The commissio+ did +ot s7ecif the me+tastate that accom7a+ied this fai-ure of co+tro-! +or did it e=7-ai+ :hether it had fou+d the same me+tastate :ith res7ect to a-- of the crimes or to each e-eme+t of the crimes9 AFN))B Some o#ser"ers ha"e ar6ued that the fairest readi+6 of the case is that the commissio+ re8ected Yamashita;s c-aims of i6+ora+ce a+d fou+d that he must ha"e @+o:+ a#out the crimes! :hi-e others ha"e su66ested that the decisio+ :as ta+tamou+t to strict -ia#i-it 22that is! that it did +ot require a+ 7roof re6ardi+6 Yamashita;s me+tastate at a--22or at -east -ia#i-it #ased o+ u+co+scious or i+ad"erte+t +e6-i6e+ce9 AFN)5B 3ustice Rut-ed6e;s disse+t! for e=am7-e! +oted that the commissio+ ;+o:here e=7ress- dec-ares that @+o:-ed6e :as esse+tia- to 6ui-t; a+d that it :as ;im7ossi#-e; to determi+e :hether Yamashita had #ee+ co+"icted for a ;:i--fu-! i+formed a+d i+te+tio+a- omissio+; or e"e+ ;a +e6-i6e+t fai-ure o+ his 7art to disco"er this a+d ta@e :hat measures he the+ cou-d to sto7 the co+duct;9 AFN)4B Si+ce the Yamashita case i+"o-"ed 8ud6es from o+- o+e cou+tr 22the U+ited States22the am#i6uities i+ the me+s rea sta+dard a77-ied i+ the case are +ot a 7roduct of the defi+itio+a- 7ro#-ems that occur i+ i+ter+atio+acrimi+a- tri#u+a-s! #ut rather seem most -i@e- to #e a 7roduct of the e"ide+tiar am#i6uit i+ his case9 Ii"e+ the -ac@ of co+c-usi"e e"ide+ce o+ the issue! it :as difficu-t to determi+e :hat Ie+era- Yamashita;s actuame+tastate :as9 The commissio+;s fai-ure to 7recise- articu-ate a -e6a- sta+dard a77ears to #e a+ u+fortu+ate resu-t of the e"ide+tiar 7ro#-ems Fa+d 7erha7s of f-a:s i+ the mi-itar commissio+ 7rocessG9 &$59 The criticism of the Yamashita decisio+ :as immediate! a+d has co+ti+ued o"er time9 AFN)<B To a remar@a#-e de6ree! the de"e-o7me+t of comma+d res7o+si#i-it i+ the immediate aftermath of Yamashita a+d o"er the succeedi+6 decades has #ee+ sha7ed # defe+si"e+ess a#out the Yamashita decisio+ a+d attem7ts to dista+ce the doctri+e from the tai+t of strict -ia#i-it 9 AFN)%B 0 seco+d im7orta+t a77-icatio+ of the doctri+e i+ the 7ost21or-d 1ar II 7eriod came i+ the *osta6es Tria-! AFN)JB i+ :hich t:e-"e hi6h2ra+@i+6 Ierma+ officers :ere tried #efore a US mi-itar tri#u+a- at Nurem#er6 acti+6 u+der 0--ied ,o+tro- ,ou+ci- La: No9 '&9 The accused :ere char6ed :ith res7o+si#i-it for re7risa@i--i+6s of hosta6es i+ occu7ied territor ! amo+6 other crimes9 Seemi+6- mi+dfu- of the criticism that had a-read #ee+ -e"e--ed at the Yamashita decisio+! the tri#u+a- :as carefu- to disti+6uish that 7rior case9 AFN5&B 0s a factua- matter! the *osta6es Tria- defe+da+ts; @+o:-ed6e of ma+ of the crimes :as -ess i+ dou#t tha+ i+ Yamashita! for i+ ma+ i+sta+ces re7orts a#out the re7risa- @i--i+6s had #ee+ 7assed u7 the chai+ of comma+d9 The tri#u+a-! ho:e"er! osci--ated #et:ee+ resti+6 its decisio+ o+ dis#e-ief of the defe+da+ts; c-aims of i6+ora+ce i+ -i6ht of these re7orts a+d o+ a-ter+ati"e theories of :i-fu- #-i+d+ess or +e6-i6e+t fai-ure to o#tai+ @+o:-ed6e9 The tri#u+a- #e6a+ # e=7-ai+i+6 that a comma+der ma #e he-d res7o+si#-e for acts that he ;@+e: or ou6ht to ha"e @+o:+ a#out;9 AFN5'B The tri#u+a- re8ected the ar6ume+t that defe+da+ts :ere i6+ora+t of re7orts recei"ed duri+6 their tem7orar a#se+ce from headquarters! ho-di+6 that ;a+ arm comma+der :i-- +ot ordi+ari- #e 7ermitted to de+ @+o:-ed6e of re7orts recei"ed at his headquarters! the #ei+6 se+t there for his s7ecia#e+efit;9 AFN5$B The tri#u+a- :e+t further! ho:e"er! a+d su66ested that comma+ders ha"e a+ affirmati"e dut to co--ect i+formatio+ i+ their areas of comma+d! stati+6 that a comma+der :i-- +ot ;ordi+ari- #e 7ermitted to de+ &$5/ @+o:-ed6e of ha77e+i+6s :ithi+ his area of comma+d :hi-e he is 7rese+t therei+; AFN5(B a+d that a comma+di+6 6e+era-: is char6ed :ith +otice of occurre+ces ta@i+6 7-ace :ithi+ that territor 9 *e ma require adequate re7orts of a-- occurre+ces that come :ithi+ the sco7e of his 7o:er a+d! if such re7orts are i+com7-ete or
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other:ise i+adequate! he is o#-i6ed to require su77-eme+tar re7orts to a77rise him of a-- the 7erti+e+t facts9 If he fai-s to require a+d o#tai+ com7-ete i+formatio+! the dere-ictio+ of dut rests u7o+ him a+d he is i+ +o 7ositio+ to 7-ead his o:+ dere-ictio+ as a defe+se9 AFN5)B 0t the same time! ho:e"er! the tri#u+a- cautio+ed ;:e sha-- require 7roof of a causati"e! o"ert act or omissio+ from :hich a 6ui-t i+te+t ca+ #e i+ferred;9 AFN55B O+- s-i6ht- more c-arit emer6ed from the Ierma+ *i6h ,omma+d Tria-! a-so #efore a US mi-itar commissio+ at Nurem#er6 u+der ,o+tro- ,ou+ci- La: No9 '&9 The tri#u+a- disti+6uished the 7ositio+s of the defe+da+ts #efore it F:ho thou6h hi6h2ra+@i+6 :ere some:here #e-o: the "er to7 -eaders of the NaHi Reich :ho had 7erso+a-- ordered ma+ of the crimesG from the 7ositio+ of Ie+era- Yamashita! :hom the tri#u+acharacteriHed as the u-timate authorit i+ the territor to :hich he :as assi6+ed9 AFN54B Seemi+6- i+ res7o+se to the criticism of the Yamashita decisio+! the tri#u+a- too@ 7ai+s to +ote that: ,rimi+a-it does +ot attach to e"er i+di"idua- i+ this chai+ of comma+d from that fact a-o+e9 There must #e a 7erso+a- dere-ictio+9 That ca+ occur o+- :here the act is direct- tracea#-e to him or :here his fai-ure to 7ro7er- su7er"ise his su#ordi+ates co+stitutes crimi+a- +e6-i6e+ce o+ his 7art9 I+ the -atter case it must #e a 7erso+a- +e6-ect amou+ti+6 to a :a+to+! immora- disre6ard of the actio+ of his su#ordi+ates amou+ti+6 to acquiesce+ce9 0+ other i+ter7retatio+ of I+ter+atio+a- La: :ou-d 6o far #e o+d the #asic 7ri+ci7-es of crimi+a- -a: @+o:+ to ci"i-iHed +atio+s9 AFN5<B The tri#u+a- a-so stated that ;the occu7 i+6 comma+der must ha"e @+o:-ed6e of these offe+ces a+d acquiesce or 7artici7ate or crimi+a-- +e6-ect to i+terfere i+ their commissio+ a+d that the offe+ces committed must #e 7ate+t- crimi+a-;9 AFN5%B Some of the defe+da+ts i+ the *i6h ,omma+d case :ere acquitted of 7articu-ar char6es :here the had o77osed the im7-eme+tatio+ of u+-a:fu- orders recei"ed do:+ the chai+ of comma+d or :here the chai+ of comma+d 7artia-- # 7assed them! 6i"i+6 them a ri6ht to assume that the ;officers i+ &$52 comma+d of those u+its :ou-d 7ro7er- 7erform the fu+ctio+s :hich had #ee+ e+trusted to them # hi6her authorities;9 AFN5JB The To@ o 1ar ,rimes Tria- #efore the I+ter+atio+a- /i-itar Tri#u+a- for the Far East! i+"o-"ed $% mi-itar a+d ci"i-ia+ officia-s from 3a7a+9 This :as the most si6+ifica+t of the 7ost21or-d 1ar II decisio+s to im7ose -ia#i-it o+ ci"i-ia+! as :e-- as mi-itar ! -eaders for fai-ure to act9 AFN4&B The tri#u+a- he-d that su7eriors cou-d #e co+"icted :here ;the had @+o:-ed6e that such crimes :ere #ei+6 committed! a+d ha"i+6 such @+o:-ed6e the fai-ed to ta@e such ste7s as :ere :ithi+ their 7o:er to 7re"e+t the commissio+ of such crimes i+ the future;! or :here ;the are at fau-t i+ ha"i+6 fai-ed to acquire such @+o:-ed6e;9 AFN4'B Thus! the court e=7-ai+ed! ;AiBf such a 7erso+ had! or shou-d! #ut for +e6-i6e+ce or su7i+e+ess! ha"e had such @+o:-ed6e! he is +ot e=cused for i+actio+ if his office required or 7ermitted him to ta@e a+ actio+ to 7re"e+t such crimes;9 AFN4$B I+ a+other si6+ifica+t case! 0dmira- Soemu To oda! the former ,omma+der2i+2,hief of the 3a7a+ese ,om#i+ed F-eet! :as tried #efore a+ 0ustra-ia+22US mi-itar tri#u+a- i+ To@ o for the ;Ra7e of /a+i-a;! i+c-udi+6 ma+ of the same crimes for :hich Ie+era- Yamashita had #ee+ char6ed9 AFN4(B This tri#u+a- a-so attem7ted to a+s:er some of the criticism a6ai+st Yamashita! e=7-ai+i+6 that the Ie+era- had #ee+ he-d -ia#-e #ecause he ;did +ot attem7t to 7re"e+t! e"e+ to the e=te+t of issui+6 orders; the acts of his su#ordi+ates ;of :hich actio+s the comma+ders must ha"e had @+o:-ed6e;9 AFN4)B The esse+tia- e-eme+ts of comma+d res7o+si#i-it ! the tri#u+a- o7i+ed! i+c-uded @+o:-ed6e or +otice! either ;AaBctua-! as i+ the case of a+ accused :ho sees their commissio+ or :ho is i+formed thereof short- after;! or ;AcBo+structi"e A! tBhat is! the commissio+ of such a 6reat +um#er of offe+ces :ithi+ his comma+d that a reaso+a#-e ma+ cou-d come to +o other co+c-usio+ tha+ that the accused must ha"e @+o:+ of the offe+ces or of the e=iste+ce of a+ u+derstood a+d ac@+o:-ed6ed routi+e for their commissio+;9 AFN45B 0dmira- To oda :as u-timate- acquitted o+ a-- char6es9 Thus! # the e+d of the 7ost21or-d 1ar II tria-s! a co+se+sus had emer6ed that -ia#i-it cou-d #e im7osed for a -eader;s fai-ure to act i+ the co+te=t of actua- @+o:-ed6e of crimes # su#ordi+atesD the fi+di+6 of actua@+o:-ed6e cou-d #e #ased o+ either e=7ress e"ide+ce of @+o:-ed6e! or i+fere+tia- 7roof of @+o:-ed6e #ased o+
Pa6e J
the :ides7read +ature of the offe+ces9 Si6+ifica+t- ! a-most a-- of the cases a-so su66ested that! e"e+ i+ the a#se+ce of 7roof of actua- @+o:-ed6e! a cu-7a#-e fai-ure to o#tai+ i+formatio+ a#out the co+duct of su#ordi+ates mi6ht suffice9 The sco7e of the -atter cate6or :as sti-- u+c-ear! &$55 as to the sco7e of the dut to o#tai+ i+formatio+ a#out su#ordi+ates! as to :hat -e"e- of a:are+ess of ris@ :as required to tri66er the dut of i+"esti6atio+! a+d as to the attitude that must accom7a+ a cu-7a#-e fai-ure to i+quire9 Some decisio+s had su66ested ;+e6-i6e+ce or su7i+e+ess; AFN44B mi6ht #e e+ou6h :hi-e others had required a ;:a+to+! immoradisre6ard;! AFN4<B a+d sti-- others su66ested that ;co+structi"e; @+o:-ed6e :ou-d #e im7uted to the comma+der :here crimes :ere e=treme- :ides7read re6ard-ess of :hether he had actua- @+o:-ed6e9 * Treaty Law: -00itio"al 'roto.ol ! The sco7e of comma+d res7o+si#i-it came u7 i+ a ha+dfu- of +atio+a- cases a+d situatio+s i+ i+ter"e+i+6 ears #et:ee+ the 7ost21or-d 1ar II tria-s a+d the creatio+ of the ad hoc tri#u+a-s i+ the 'JJ&s9 AFN4%B The most si6+ifica+t de"e-o7me+t duri+6 these ears! ho:e"er! :as the ado7tio+ of 0dditio+a- Protoco- I to the Ie+e"a ,o+"e+tio+s i+ 'J<<9 U+fortu+ate- ! 0dditio+a- Protoco- I o#fuscated rather tha+ c-arified the me+s rea requireme+t9 0rtic-e %4 of 0dditio+a- Protoco- I stated that ;the fact that a #reach of the ,o+"e+tio+s or this Protoco- :as committed # a su#ordi+ate does +ot a#so-"e his su7eriors from 7e+a- or disci7-i+ar res7o+si#i-it ! as the case ma #e! if the @+e: or had i+formatio+ :hich shou-d ha"e e+a#-ed them to co+c-ude i+ the circumsta+ces at the time! that he :as committi+6 or :as 6oi+6 to commit such a #reach a+d if the did +ot ta@e a-- feasi#-e measures :ithi+ their 7o:er to 7re"e+t or re7ress the #reach;9 AFN4JB 0-thou6h it mi6ht ha"e #ee+ ho7ed that the +e: treat :ou-d c-arif the sta+dard! there :as a discre7a+c #et:ee+ the equa-- authoritati"e E+6-ish a+d Fre+ch "ersio+s of the te=t! :ith the Fre+ch "ersio+ readi+6 ;des i+formatio+s -eur 7ermetta+t de co+c-ure;! :hich tra+s-ates more c-ose- to the seemi+6- stricter sta+dard of ;i+formatio+ e+a#-i+6 them to co+c-ude; rather tha+ to the E+6-ish ;i+formatio+ :hich shou-d ha"e e+a#-ed them to co+c-ude;9 AFN<&B The I+ter+atio+a,ommittee of the Red ,ross FI,R,G comme+tar su66ests that the Fre+ch shou-d #e fo--o:ed #ecause it is more co+siste+t :ith the o#8ect a+d 7ur7ose of the treat ! #ut the ,omme+tar ;s reaso+i+6 is +ot e+tire- c-ear9 AFN<'B 0s the I,R, ,omme+tar a-so e=7-ai+s! o#8ectio+s had #ee+ raised to the difficu-t of esta#-ishi+6 i+te+t i+ case of a fai-ure to act! 7articu-ar- i+ the case of +e6-i6e+ce9 AFN<$B The comme+tar states that +ot a-+e6-i6e+ce ma 6i"e &$54 rise to -ia#i-it D rather! ;the +e6-i6e+ce must #e so serious that it is ta+tamou+t to ma-icious i+te+t! a7art from a+ -i+@ #et:ee+ the co+duct i+ questio+ a+d the dama6e that too@ 7-ace;9 AFN<(B It is +ot c-ear :hat this mea+s! si+ce the esse+ce of +e6-i6e+ce is a+ a#se+ce of ma-icious i+te+t9 Nor is it c-ear ho: the dut of @+o:-ed6e that :as esta#-ished # the 7ost21or-d 1ar II case -a: :as affected # the -a+6ua6e a#out ;i+formatio+ :hich e+a#-ed/shou-d ha"e e+a#-ed them to co+c-ude; that crimes :ere #ei+6 committed9 1as this -a+6ua6e a+ attem7t to su66est that comma+ders had +o dut to acquire i+formatio+ a#out the co+duct of their su#ordi+ates> Or :as is sim7- mea+t to c-arif that! as some of the 7ost21or-d 1ar II cases had su66ested! the dut of @+o:-ed6e :as +ot ta+tamou+t to strict -ia#i-it a+d that a defe+da+t cou-d #e he-d -ia#-e o+- :he+ circumsta+ces i+dicated that his #reach of the dut of @+o:-ed6e "io-ated some sta+dard of reaso+a#-e care> C Comma"0 Respo"si,ility i" t8e -0 >o. Tri,u"als 0s the fore6oi+6 discussio+ i+dicates! :he+ the ad hoc tri#u+a-s for R:a+da a+d the former Yu6os-a"ia 7ic@ed u7 their :or@ i+ the mid2'JJ&s! the had a co+sidera#-e #od of -a: to dra: o+! #ut a-so co+sidera#-e :or@ to do i+ terms of c-arif i+6 the doctri+e a+d 7articu-ar- the sco7e of the @+o:-ed6e requireme+t9 The docume+ts -eadi+6 u7 to the creatio+ of the ad hoc tri#u+a-s did -itt-e to he-7 matters! for the ! too! descri#ed the me+ta- e-eme+t i+ i+co+siste+t terms9 The Secretar 2Ie+era-;s re7ort o+ the esta#-ishme+t of the I,TY! for e=am7-e! stated that :he+ a comma+der is ;he-d res7o+si#-e for fai-ure to 7re"e+t a crime or to deter the u+-a:fu- #eha"iour of his su#ordi+ates; this is a form of ;im7uted res7o+si#i-it or crimi+a- +e6-i6e+ce;9 AFN<)B O+ the other ha+d! the ,ommissio+ of E=7erts that recomme+ded the esta#-ishme+t of the I,TY had e=7-ai+ed i+ its fi+a- re7ort its o7i+io+ that ;the me+ta- e-eme+t +ecessar :he+ the comma+der has +ot 6i"e+ the
Pa6e '&
offe+di+6 order is FaG actua- @+o:-ed6e! F#G such serious 7erso+a- dere-ictio+ o+ the 7art of the comma+der as to co+stitute :i-fu- a+d :a+to+ disre6ard of the 7ossi#-e co+seque+ces! or FcG a+ im7utatio+ of co+structi"e @+o:-ed6e! that is! des7ite 7-eas to the co+trar ! the comma+der! u+der the facts a+d circumsta+ces of the 7articu-ar case! must ha"e @+o:+ of the offe+ces char6ed a+d acquired therei+;9 AFN<5B &$55 The first 8ud6me+t i+ the ad hoc courts to address comma+d res7o+si#i-it :as the I,TR Tria,ham#er 8ud6me+t i+ 0@a esu9 AFN<4B 3ea+2Pau- 0@a esu :as a #our6mestre! a ci"i-ia+ officia- some:hat -i@e a ma or! char6ed :ith 6e+ocide a+d crimes a6ai+st huma+it 9 *e :as char6ed u+der #oth 0rtic-e 4F'G a+d 4F(G of the I,TR Statute9 The Tria- ,ham#er #e6a+ # +oti+6 that ;AtBhere are "ar i+6 "ie:s re6ardi+6 the me+s rea required for comma+d res7o+si#i-it ; a+d that: 0ccordi+6 to o+e "ie: it deri"es from a -e6a- ru-e of strict -ia#i-it ! that is! the su7erior is crimi+a-res7o+si#-e for acts committed # his su#ordi+ate! :ithout it #ei+6 +ecessar to 7ro"e the crimi+a- i+te+t of the su7erior9 0+other "ie: ho-ds that +e6-i6e+ce :hich is so serious as to #e ta+tamou+t to co+se+t or crimi+a- i+te+t! is a -esser requireme+t9 AFN<<B The Tria- ,ham#er em7hasiHed that comma+d res7o+si#i-it deri"es from the 7ri+ci7-e of i+di"iduacrimi+a- res7o+si#i-it ! a+d that ;crimi+a- i+te+t is the mora- e-eme+t required for a+ crime a+d that! :here the o#8ecti"e is to ascertai+ the i+di"iduacrimi+a- res7o+si#i-it of a 7erso+ 999 it is certai+- 7ro7er to e+sure that there has #ee+ ma-icious i+te+t! or! at -east! e+sure that +e6-i6e+ce :as so serious as to #e ta+tamou+t to acquiesce+ce or e"e+ ma-icious i+te+t;9 AFN<%B 0-thou6h reco6+iHi+6 that comma+d res7o+si#i-it doctri+e cou-d #e a77-ied to ci"i-ia+ -eaders -i@e 0@a esu! the tri#u+a- u-timate- dec-i+ed to co+sider the a77-icatio+ of 0rtic-e 4F(G #ecause the i+dictme+t did +ot s7ecifica-- a--e6e a su7erior/su#ordi+ate re-atio+shi7 #et:ee+ the accused a+d the I+teraham:e :ho had committed the crimes9 AFN<JB *o:e"er! the Tria- ,ham#er did fi+d 0@a esu -ia#-e o+ the #asis of 0rtic-e 4F'G for ha"i+6 ordered! committed! or aided a+d a#etted 6e+ocide a+d crimes a6ai+st huma+it 9 The I,TY;s 8ud6me+t i+ the De-a-ic case! re+dered a fe: :ee@s after the 0@a esu decisio+! :as the first from that tri#u+a- to address the sco7e of 0rtic-e <F(G9 AFN%&B The court;s decisio+ a#out su7erior res7o+si#i-it :as doctri+a-- si6+ifica+t i+ ma+ res7ects! as it reco6+iHed the 7ossi#i-it of -ia#i-it #ased o+ de facto as :e-- as de 8ure co+tro-! a+d he-d that ci"i-ia+ as :e-as mi-itar -eaders cou-d #e he-d -ia#-e :he+ the ;e=ercise a de6ree of co+tro- o"er their su#ordi+ates :hich is simi-ar to that of mi-itar comma+ders;9 AFN%'B The De-a-ic decisio+ :as a-so e=treme- i+f-ue+tia- i+ terms of esta#-ishi+6 the me+s rea required for su7erior res7o+si#i-it i+ the ad hoc tri#u+a-s9 First! a+d -east co+tro"ersia-- ! the Tria- ,ham#er he-d that actua- @+o:-ed6e cou-d #e sho:+ # direct e"ide+ce or esta#-ished # :a of circumsta+tia- e"ide+ce9 AFN%$B I+ this re6ard! the Tria- ,ham#er 7oi+ted to the factors -isted # the ,ommissio+ of E=7erts &$5$ as criteria for e"a-uati+6 :hether the circumsta+ces i+dicated that the defe+da+t had actua- @+o:-ed6e9 AFN%(B The Tria- ,ham#er had 6reater difficu-t i+ e=7-ai+i+6 :hat is e+com7assed # 0rtic-e <F(G;s ;had reaso+ to @+o:; -a+6ua6e9 O+ce a6ai+ co+fro+ti+6 the 6host of Ie+era- Yamashita! the 077ea-s ,ham#er i+ the same case! :ou-d e=7-icit- re8ect the +otio+ that comma+d respo"si,ility :as a form of strict -ia#i-it ! a+d +ote that it ;:ou-d +ot descri#e superior respo"si,ility as a "icarious -ia#i-it doctri+e i+sofar as "icarious -ia#i-it ma su66est a form of strict im7uted -ia#i-it ;9 AFN%)B Ear-ier! the Tria- ,ham#er o7i+ed that ;a superior is +ot 7ermitted to remai+ :i-fu-- #-i+d to the acts of his su#ordi+ates;! AFN%5B a+d admitted that difficu-ties arose i+ situatio+s :here ;the superior -ac@s such i+formatio+ # "irtue of his fai-ure to 7ro7er- su7er"ise his su#ordi+ates9; AFN%4B 1hi-e ac@+o:-ed6i+6 the 7ost21or-d 1ar II case -a: su66esti+6 that a comma+der ma #e he-d -ia#-e :here he is ;at fau-t i+ ha"i+6 fai-ed to acquire such @+o:-ed6e;! AFN%<B the cham#er re-ied o+ 0dditio+a- Protoco- I to co+c-ude that at the time the offe+ces occurred! customar i+ter+atio+a- -a: required that ;that a su7erior ca+ #e he-d crimi+a-- res7o+si#-e o+- if some s7ecific i+formatio+ :as i+ fact a"ai-a#-e to him :hich :ou-d 7ro"ide +otice of offe+ces committed # his su#ordi+ates;9 Such i+formatio+ +eed +ot 7ro"ide co+c-usi"e 7roof of the crimes! #ut must #e e+ou6h so that it ;i+dicated the +eed for additio+a- i+"esti6atio+;9 AFN%%B The Tria- ,ham#er;s "erdict tur+ed 7rimari- o+ the issue of :hether the 7articu-ar defe+da+ts did! i+
Pa6e ''
fact! ha"e a su7erior re-atio+shi7 of effecti"e co+tro- o"er the 7er7etrators of the crimes! a+d +ot o+ their @+o:-ed6e of such crimes9 AFN%JB The 077ea-s ,ham#er a6reed i+ su#sta+tia- 7art :ith the Tria- ,ham#er;s -e6a- a+a- sis! i+c-udi+6 the co+c-usio+ that the ;had reaso+ to @+o:; 7ro+6 of <F(G -ia#i-it o+- a77-ies :here ;i+formatio+ :as a"ai-a#-e to him :hich :ou-d ha"e 7ut him o+ +otice of offe+ces committed # su#ordi+ates;9 AFNJ&B The 077ea-s ,ham#er re8ected a+ 6e+era- dut o+ the 7art of a comma+der to acquire @+o:-ed6e a#out su#ordi+ate;s crimes! stati+6 that ;A+Be6-ect of a dut to acquire such @+o:-ed6e! ho:e"er! does +ot feature i+ the 7ro"isio+ as a se7arate offe+ce! a+d a su7erior is +ot therefore -ia#-e u+der the 7ro"isio+ for such fai-ures #ut o+- for fai-i+6 to ta@e +ecessar a+d reaso+a#-e measures to 7re"e+t or 7u+ish;9 AFNJ'B The I,TY;s a77-icatio+ of comma+d res7o+si#i-it doctri+e i+ De-a-ic :as re-ati"e- u+co+tro"ersia-! #ut o+e of the +e=t cases i+ :hich it a77-ied the &$51 doctri+e -ed to the 6reatest co+tro"ers a#out the doctri+e si+ce Yamashita9 The Tria- ,ham#er i+ B-as@ic issued its co+tro"ersia- o7i+io+ #et:ee+ the time of the tria8ud6me+t a+d the a77ea-s 8ud6me+t i+ De-a-ic! a+d offered a su#sta+tia-- differe+t i+ter7retatio+ of the ;had reaso+ to @+o:; sta+dard9 AFNJ$B Ie+era- Tihomir B-as@ic :as i+dicted for his ro-e as a comma+der i+ the ,roatia+ armed forces i+ Bos+ia a+d char6ed :ith res7o+si#i-it for a :ide ra+6e of crimes u+der #oth 0rtic-es <F'G a+d <F(G9 There :as c-ear e"ide+ce of :ides7read atrocities i+ the re6io+ of B-as@ic;s comma+d! #ut re-ati"e- -itt-e e"ide+ce esta#-ishi+6 his @+o:-ed6e of the crimes9 Li@e the Yamashita tri#u+a-! the B-as@ic Tria- ,ham#er u+fortu+ate- res7o+ded to this e"ide+tiar am#i6uit :ith a -e6a-- am#i6uous decisio+9 To #e6i+ :ith! the B-as@ic Tria- ,ham#er disa6reed :ith the De-a-ic Tria- ,ham#er;s a+a- sis of the sco7e of the @+o:-ed6e requireme+t! i+stead dra:i+6 from the 1or-d 1ar II case -a: a+ affirmati"e dut o+ the 7art of comma+ders to i+"esti6ate the co+duct of their su#ordi+ates re6ard-ess of :hether the ha"e s7ecific i+formatio+ 6i"i+6 rise to sus7icio+9 AFNJ(B 0s the 7re"ious discussio+ of the 7ost21or-d 1ar II case -a: i+dicates! this i+ter7retatio+ of the state of customar -a: is certai+- defe+si#-e9 AFNJ)B U+fortu+ate- ! the ar6ume+t for this a77roach :as +ot 7rese+ted i+ the stro+6est ma++er i+ the B-as@ic case #ecause the tria8ud6me+t :as 7-a6ued # -i+6uistic a+d a+a- tica- am#i6uities9 Some co+"ictio+s :ere #ased +ot o+ 0rtic-e <F(G! #ut o+ 0rtic-e <F'G for Ie+era- B-as@ic;s ha"i+6 ordered acts ;:hich he cou-d o+- reaso+a#- ha"e a+tici7ated :ou-d -ead to crimes;9 AFNJ5B I+ certai+ 7-aces! the Tria- ,ham#er seemi+6- re8ected o+ credi#i-it 6rou+ds Ie+era- B-as@ic;s c-aims of i6+ora+ce of the crimes of his su#ordi+ates! :hi-e i+ other 7-aces! it seemi+6- im7osed -ia#i-it for +e6-i6e+t fai-ure to acquire @+o:-ed6e of crimes: ;ta@i+6 i+to accou+t his 7articu-ar 7ositio+ of comma+d a+d the circumsta+ces 7re"ai-i+6 at the time! such i6+ora+ce ca++ot #e a defe+ce :here the a#se+ce of @+o:-ed6e is the resu-t of +e6-i6e+ce i+ the dischar6e of his duties: this comma+der had reaso+ to @+o: :ithi+ the mea+i+6 of the statute;9 AFNJ4B /oreo"er! the o7i+io+ is -ittered :ith cursor a-ter+ati"e ho-di+6s to the effect that ;Ai+B a+ case! Ie+era- B-as@ic did +ot 7erform his duties :ith the +ecessar reaso+a#-e di-i6e+ce;9 AFNJ<B The Tria- ,ham#er did +ot ma@e a+ attem7t to disti+6uish his me+s rea to:ards differe+t e-eme+ts of the crimes9 Fi+a-- ! it is u+c-ear :hat the Tria- ,ham#er actua-- mea+t # its use of terms such as ;+e6-i6e+ce; #ecause the cham#er fai-ed to 6ra77-e :ith differe+ces i+ termi+o-o6 amo+6 +atio+a- -e6a- s stems9 These difficu-ties :ere o+- com7ou+ded # tra+s-atio+! for as &$54 7re"ious- +oted! the authoritati"e Fre+ch "ersio+;s -e do- S"e+tue- is tra+s-ated as ;rec@-ess+ess; i+ at -east o+e 7-ace i+ the officiaE+6-ish "ersio+ of the 8ud6me+t! AFNJ%B a+d as ;+e6-i6e+ce; i+ a+other9 AFNJJB Faced :ith #oth 7o7u-ar a+d scho-ar- criticism of the decisio+ AFN'&&B a+d effecti"e a77e--ate ad"ocac # 7articu-ar- s@i--ed defe+ce -a: ers! the 077ea-s ,ham#er re"ersed most of the Tria- ,ham#er;s 8ud6me+t9 06ai+! the 6host of Ie+era- Yamashita seems to ha"e #ee+ i+ the courtroom9 The court reaffirmed De-a-ic;s i+ter7retatio+ of ;had reaso+ to @+o:; as e+com7assi+6 o+- situatio+s :here ;i+formatio+ :as a"ai-a#-e to Athe su7eriorB :hich :ou-d ha"e 7ut him o+ +otice of offe+ces # su#ordi+ates; #ut +ot e+com7assi+6 situatio+s of ;A+Be6-ect of a dut to acquire such @+o:-ed6e;9 AFN'&'B Tuoti+6 the I,TR 077ea-s ,ham#er! the B-as@ic 077ea-s ,ham#er stated that ;ArBefere+ces to E+e6-i6e+ceE i+ the co+te=t of su7erior res7o+si#i-it are -i@e- to -ead to co+fusio+ of thou6ht; a+d ;re8ected crimi+a- +e6-i6e+ce as a #asis of -ia#i-it ;9 AFN'&$B
Pa6e '$
Thou6h its reaso+i+6 :as far c-earer tha+ the Tria- ,ham#er;s! the 077ea-s ,ham#er;s decisio+ -eft a 6reat dea- of u+certai+t 9 1hat e=act- :as the 077ea-s ,ham#er re8ecti+6 :he+ it said it :as #est +ot to s7ea@ of ;+e6-i6e+ce;> 1hat e=act- is a sta+dard #ased o+ as@i+6 :hether ;i+formatio+ :as a"ai-a#-e to Athe su7eriorB :hich :ou-d ha"e 7ut him o+ +otice of offe+ces # su#ordi+ates;> Is it e+ou6h that i+formatio+ :as ;a"ai-a#-e; to the su7erior e"e+ if he did +ot actua-- -oo@ at it> 1ou-d i+formatio+ ;7ut him o+ +otice; of offe+ces # su#ordi+ates if a reaso+a#-e comma+der i+ 7ossessio+ of the i+formatio+ :ou-d ha"e #ee+ co+cer+ed! e"e+ if this 7articu-ar comma+der :as +ot co+scious of the ris@> /a+ mu+ici7a- -e6a- s stems mi6ht! i+ fact! cate6oriHe such a sta+dard as a t 7e of +e6-i6e+ce9 The De-a-ic decisio+ is a re8ectio+ of the termi+o-o6 of +e6-i6e+ce! to #e sure! #ut it is co+ce7tua-- am#i6uous9 Su#seque+t cases at the I,TY a+d I,TR ha"e refi+ed "arious other im7orta+t e-eme+ts of the doctri+e! such as the ;effecti"e co+tro-; sta+dard! AFN'&(B the disti+ctio+ #et:ee+ comma+d res7o+si#i-it a+d -ia#i-it for i+sti6ati+6 or aidi+6 a+d a#etti+6! AFN'&)B a+d :hether su7erior res7o+si#i-it ca+ #e used to im7ose -ia#i-it for crimes +ot 7h sica-- 7er7etrated # the comma+der;s su#ordi+ates9 AFN'&5B Some tria- cham#ers ha"e e+6a6ed i+ e=treme- thou6htfu- a+d +ua+ced a+a- sis of the doctri+e9 The *a-i-o"ic Tria- ,ham#er;s decisio+! for e=am7-e! e=ami+ed com7eti+6 theories of the doctri+e as a t 7e of com7-icit -ia#i-it for the actua- crimes of su#ordi+ates "ersus a se7arate offe+ce of dere-ictio+ of dut a+d carefu-- co+c-uded that the -a+6ua6e ;AfBor the acts of his su#ordi+ates; i+ the case -a: of the tri#u+a- ;does +ot mea+ that the comma+der &$56 shares the same res7o+si#i-it as the su#ordi+ates :ho committed the crimes! #ut rather that #ecause of the crimes committed # his su#ordi+ates! the comma+der shou-d #ear res7o+si#i-it for his fai-ure to act;9 AFN'&4B Ne"erthe-ess! e"e+ after ears of thou6htfu- de"e-o7me+ts of other as7ects of the doctri+e! the De-a-ic 077ea-s ,ham#er;s am#i6uous articu-atio+ of the me+s rea requireme+t sti-- remai+s defi+iti"e i+ the ad hoc tri#u+a-s9 AFN'&<B D Comma"0 Respo"si,ility: Boi"< 3orwar0 I+ the comi+6 ears! the i+ter+atio+a- -e6a- s stem :i-- ha"e further o77ortu+ities to 6ra77-e :ith the sco7e of the doctri+e! a+d it +eed +ot adhere to the case -a: of the I,TY a+d I,TR9 The I,, statute! for e=am7-e! im7oses -ia#i-it o+ mi-itar comma+ders :ho ;@+e: or! o:i+6 to the circumsta+ces at the time! shou-d ha"e @+o:+; a#out crimes as :e-- as ci"i-ia+ -eaders :ho ;@+e:! or co+scious- disre6arded i+formatio+ :hich c-ear- i+dicated; that their su#ordi+ates :ere committi+6 or :ere a#out to commit crimes9 AFN'&%B The ;shou-d ha"e @+o:+; -a+6ua6e corres7o+ds to -a+6ua6e ma+ mu+ici7a- -e6a- s stems use i+ descri#i+6 +e6-i6e+ce2 #ased -ia#i-it ! a+d readi- admits the 7ossi#i-it of a dut of @+o:-ed6e9 The -a+6ua6e for ci"i-ia+ -eaders! o+ the other ha+d! is more e"ocati"e of rec@-ess+ess sta+dards i+ mu+ici7a- -e6a- s stems9 * #rid tri#u+a-s such as those i+ Sierra Leo+e! Bos+ia! a+d ,am#odia a-- ha"e cases i+"o-"i+6 comma+d res7o+si#i-it doctri+e9 The customar -a: is a-so -i@e- to #e further refi+ed throu6h co+ti+ui+6 state 7ractice9 Numerous +atio+a- mi-itar ma+ua-s AFN'&JB a+d statutes AFN''&B im7ose -ia#i-it o+ a comma+der &$$9 :ho fai-s to 7re"e+t crimes a#out :hich he ;shou-d ha"e @+o:+; or other:ise su66est some affirmati"e dut to i+"esti6ate9 Other cou+tries! ho:e"er! use -a+6ua6e more simi-ar to that i+ 0dditio+a- Protoco- I or sti-- other 7hrases9 AFN'''B Natio+a- case -a: is -i@e:ise "aried i+ its termi+o-o6 9 AFN''$B I+ -i6ht of the some:hat u+sett-ed +ature of the -a:! it is :orth co+sideri+6 the theoretica- 8ustificatio+s for choosi+6 o+e a77roach o"er a+other9 4 Ratio"aliGi"< t8e Ae"s Rea ReHuireme"t: E:plori"< Justifi.atio"s for a Duty of .+o:-ed6e for /i-itar ,omma+ders 0s +oted 7re"ious- ! there is su#sta+tia- if +ot i+co+tro"erti#-e su77ort i+ the case -a: of i+ter+atio+atri#u+a-s! as :e-- as i+ state 7ractice! for fi+di+6 i+ i+ter+atio+a- customar -a: a mi-itar comma+der;s ;dut of @+o:-ed6e; that 6oes #e o+d a sim7-e 7rohi#itio+ o+ the most e6re6ious forms of :i-fu- #-i+d+ess22that is! the dut to ta@e reaso+a#-e ste7s to acquire i+formatio+ a#out :hether their su#ordi+ates ha"e committed or are
Pa6e '(
a#out to commit crimes9 This sectio+ asserts that there are su#sta+tia- theoretica- ar6ume+ts i+ fa"our of such a+ a77roach that ha"e +ot #ee+ fu-- articu-ated # either courts or comme+tators9 1hether or +ot such ar6ume+ts are u-timate- 7ersuasi"e! the at -east su66est that the demo+iHatio+ of such a sta+dard as ;sim7-e +e6-i6e+ce; or strict -ia#i-it fai-s to ac@+o:-ed6e ho: the ;dut of @+o:-ed6e; fits :ithi+ the su7erior;s #roader dut to 7re"e+t crimes # su#ordi+ates9 /oreo"er! such criticism fai-s to ta@e i+to accou+t the u+ique co+te=t i+ :hich comma+d res7o+si#i-it doctri+e emer6ed! a co+te=t that disti+6uishes it from ordi+ar com7-icit -ia#i-it i+ mu+ici7a- crimi+a- -a:9 &$$/ U+dersta+di+6 the historica- fou+datio+s of comma+d res7o+si#i-it as a 7art of the -a: of :ar he-7s co+te=tua-iHe retri#uti"e a+d uti-itaria+ 8ustificatio+s for im7osi+6 -ia#i-it o+ comma+ders :ho are +ot actua-a:are of crimes committed # their su#ordi+ates! #ut :ho fai- to ta@e the reaso+a#-e ste7s that a 7rude+t comma+der i+ their situatio+ :ou-d to acquire @+o:-ed6e of su#ordi+ates; crimes9 0-thou6h the doctri+e curre+t- Fa+d 8ustifia#- G e=te+ds to ci"i-ia+ -eaders :ho e=ercise a de6ree of co+tro- o"er su#ordi+ates com7ara#-e to that i+ mi-itar hierarchies! comma+d res7o+si#i-it doctri+e has its ori6i+s i+ the 7ecu-iar cu-ture of mi-itar or6a+iHatio+s a+d is i+tert:i+ed :ith other ce+tra- co+ce7ts i+ the -a:s of :ar9 The I,, Statute disti+6uishes #et:ee+ the me+tastate required for mi-itar a+d ci"i-ia+ su7erior res7o+si#i-it ! a+d the remai+i+6 7ortio+ of this artic-e focuses o+ the situatio+ of mi-itar comma+ders! thou6h simi-ar ar6ume+ts mi6ht #e made for ci"i-ia+s i+ char6e of simi-ar- hierarchica- or6a+iHatio+s9 Scho-ars ha"e traced the +otio+ that a mi-itar comma+der is res7o+si#-e for the actio+s of his troo7s at -east as far #ac@ as Su+ THu;s :riti+6s o+ mi-itar disci7-i+e i+ 5&& B,D AFN''(B it :as 7art of Euro7ea+ mi-itar 7ractice as ear- as the ')&&sD AFN'')B a+d it had a 7-ace i+ the 0merica+ 0rtic-es of 1ar e+acted i+ '<<49 AFN''5B The *a6ue ,o+"e+tio+s of 'J&< AFN''4B forma-- i+troduced these -o+62sta+di+6 7ri+ci7-es i+to the moder+ i+ter+atio+a- -a: of :arfare # 7ro"idi+6 that the ;-a:s! ri6hts a+d duties of :ar; a77-ied to armies! mi-itias a+d "o-u+teer cor7s that fu-fi--ed the requireme+t of #ei+6 ;comma+ded # a 7erso+ res7o+si#-e for his su#ordi+ates;9 AFN''<B Simi-ar- ! the 'J)J Ie+e"a ,o+"e+tio+s 6uara+tee 7riso+er of :ar status i+ i+ter+atio+a- armed co+f-ict to mem#ers of mi-itias a+d "o-u+teer cor7s that are! amo+6 other thi+6s! ;comma+ded # a 7erso+ res7o+si#-e for his su#ordi+ates;9 AFN''%B Thus! the moder+ -a:s of :ar e=7-icitcou7-e the ri6hts of :arfare Fsuch as #e--i6ere+t immu+it a+d 7riso+er of :ar statusG :ith the duties of :arfare throu6h the "ehic-e of comma+d res7o+si#i-it 9 The :ord ;res7o+si#-e; co++otes -e6a- -ia#i-it ! #ut it a-so co++otes the ca7acit for mora- decisio+ that t 7ica-- accom7a+ies -ia#i-it ! as :he+ :e co--oquia-- sa a 7erso+ :ho is i+sa+e is +ot ;res7o+si#-e; for his actio+s9 The assi6+me+t of res7o+si#i-it to the comma+der is ref-ecti"e of the u+der- i+6 8ud6me+ts that the -a:s of :ar ma@e a#out i+di"idua- mora- choice a+d the sa+ctio+i+6 of "io-e+ce9 So-diers i+ #att-e do +ot e=ercise the fu-- measure of free :i-- attri#uted to 7ri"ate i+di"idua-s i+ 7eacetimeD the mi-itar hierarch co+tro-s the so-dier;s actio+s! a+d a so-dier o#e s his F-a:fu-G su7erior officers o+ 7ai+ of 7u+ishme+t or death9 AFN''JB This e=cuses the so-dier from mora- a+d -e6acu-7a#i-it for @i--i+6 i+ #att-eD :hat :ou-d #e murder i+ ordi+ar time is a -a:fu- &$$2 a+d 7ri"i-e6ed act of #e--i6ere+c :he+ committed # a so-dier i+ u+iform o+ a #att-efie-d a6ai+st a+other com#ata+t9 B the i+ter+a-o6ic of the -a:s of :ar! the so-dier is +ot res7o+si#-e for his actio+s! either i+ the se+se of -e6a- -ia#i-it or i+ the se+se of e=ercisi+6 a6e+c i+ the mora- decisio+ to use -etha- force a6ai+st a+other huma+9 But this #e--i6ere+t;s 7ri"i-e6e is i+e=trica#- i+tert:i+ed :ith the comma+der;s res7o+si#i-it for the so-dier;s actio+s! a+d a mi-itar comma+der;s dut to co+tro- his troo7s is the +ecessar coro--ar of his 7o:er9 *e is 6i"e+ -ice+ce to tur+ ordi+ar me+ i+to -etha-- destructi"e! a+d -e6a-- 7ri"i-e6ed! so-diersD i+deed! mi-itar trai+i+6 a+d comma+d structures are e=7ress- desi6+ed to disso-"e the socia- i+hi#itio+s that +orma-- 7re"e+t 7eo7-e from committi+6 acts of e=treme "io-e+ce! a+d to remo"e their se+se of mora- a6e+c :he+ committi+6 such acts9 1he+ these so-diers tur+ from their -a:fu- mi-itar aims to:ards ci"i-ia+s or other tar6ets 7rotected # the -a:s of :ar! ho:e"er! the comma+der is res7o+si#-e for this misuse of the 7ri"i-e6e of "io-e+ce his orders ha"e co+ferred o+ them9 The are 7ri"i-e6ed as his a6e+ts :he+ acti+6 -a:fu-- ! a+d he is res7o+si#-e for their actio+s as his a6e+ts :he+ the act u+-a:fu-- 9 These as7ects of the -a:s of :ar are 7ro7er- ref-ected +ot o+- i+ the me+ta- e-eme+t of comma+d res7o+si#i-it doctri+e! #ut a-so i+ the doctri+e;s requireme+t that a comma+der :ho is he-d -ia#-e had ;effecti"e co+tro-; o"er the troo7s i+ questio+9 Equati+6 a mi-itar comma+der :ho +e6-i6e+t- fai-s to co+tro- his troo7s :ith a 7ri"ate citiHe+ :ho
Pa6e ')
+e6-i6e+t- aids a+d a#ets the crime of a+other 7ri"ate i+di"idua- i6+ores the fu+dame+ta- differe+ces #et:ee+ these t:o situatio+s9 E"e+ i+ the c-osest ci"i-ia+ a+a-o6 ! some sort of em7-o me+t situatio+! a+ em7-o er does +ot e=ercise a de6ree of -ife2or2death co+tro- o"er em7-o ees that is remote- com7ara#-e to that of a mi-itar comma+der! +or does the em7-o er ha"e the 7o:er to authoriHe the em7-o ee to commit acts of -e6a-sa+ctio+ed "io-e+ce9 Simi-ar- ! :he+ o+e se--s a+other 7erso+ a 6u+! the sa-e ma 7ro"ide the 7h sica- mea+s for "io-e+ce! #ut it does +ot cha+6e the -e6a- status of that "io-e+ce! a+d there is +o e=7ectatio+ of a+ o+6oi+6 re-atio+shi7 after the sa-e is co+c-uded9 Re6ard-ess of :hether o+e thi+@s a+ em7-o er or 6u+ se--er shou-d #e required to ma@e reaso+a#-e i+quiries i+to :hat others are doi+6! the situatio+ of a mi-itar comma+der is disti+ct 7recise- #ecause of the de6ree of co+tro- o"er those others that the comma+der e=ercises a+d the -e6asa+ctio+ of "io-e+ce that the comma+d re-atio+shi7 e+tai-s9 The mora- -o6ic of the -a: of :ar #rea@s do:+ if the comma+der has +o dut to acquire @+o:-ed6e of :hat the @i--i+6 machi+es he has u+-eashed a+d :hom he oste+si#- co+tro-s are doi+6 :ith the 7o:er he has co+ferred o+ them9 To the e=te+t that 8ustice de7e+ds o+ 7u+ishi+6 co+scious choice! the most im7orta+t mome+t of morachoice for a mi-itar officer is the mome+t :he+ he assumes comma+d! that is :he+ he assumes a su7erior2 su#ordi+ate re-atio+shi7 of ;effecti"e co+tro-; o"er the actio+s of other me+ :ho! i+ the co+te=t of :arfare! :i-#e e=7ected to carr out acts of e=treme "io-e+ce u+der his orders9 0+ other -ater choice! such as the choice to acquire or +ot acquire i+formatio+ at a 7articu-ar mome+t! is 6i-di+6 the -i- 9 &$$5 I+ additio+ to #ei+6 -i+@ed to a mome+t of re-e"a+t morachoice! 7u+ishme+t of a comma+der for crimes committed # his troo7s is a-so comme+surate :ith the harm attri#uta#-e to his co+duct9 ,ritica-- ! that is true :hether the #reach ta@es the form of a fai-ure to issue orders a6ai+st i--e6a- actio+ or to 7u+ish offe+ders! or the fai-ure of a comma+der to ta@e ste7s to -ear+ :hether his su#ordi+ates are committi+6 crimes i+ circumsta+ces :here a reaso+a#- 7rude+t comma+der :ou-d u+derta@e such i+"esti6atio+9 1arfare e+tai-s a+ i+e"ita#- hi6h ris@ that the -a:fu-- sa+ctio+ed "io-e+ce :i-- s7i-- o"er i+to u+-a:fu- "io-e+ce! a+d a+ attem7t to mai+tai+ the #ou+dar #et:ee+ -a:fu- a+d u+-a:fu- "io-e+ce must e+tai- co+sta+t mo+itori+6 of :hat so-diers are doi+69 0 comma+der;s dere-ictio+ of dut must #e quite se"ere! i+deed! :he+ me+ o"er :hom he has ;effecti"e co+tro-; e+6a6e i+ 6e+ocide or crimes a6ai+st huma+it a+d he does +ot e"e+ +otice9 I+ such a situatio+! the harms f-o:i+6 from his #reach of dut are e=treme! a+d 7redicta#- so9 ,rimi+a- 7u+ishme+t of comma+ders is hard- u+8ust i+ a retri#uti"e se+se :he+ it is comme+surate :ith the de6ree of harm their #reach of dut has caused! a+d to the res7o+si#i-it for the co+duct a+d choices of others the chose to u+derta@e at the mome+t the acce7ted mi-itar comma+d9 I+ additio+ to these retri#uti"e 8ustice ratio+a-es! comma+d res7o+si#i-it doctri+e a-so ref-ects a uti-itaria+ u+dersta+di+6 of the most effecti"e mea+s of 7re"e+ti+6 "io-atio+s of i+ter+atio+a- huma+itaria+ -a:9 Socia7s cho-o6ists ha"e -o+6 reco6+iHed the 7articu-ar da+6ers 7osed # 6rou7s! a+d 7articu-ar- hierarchica- 6rou7s :ith a+ authoritaria+ structure9 AFN'$&B I+di"idua-s i+ 6rou7s are more -i@e- to #eha"e i+ e=treme :a s! to e+6a6e i+ co+duct that the :ou-d co+sider immora- i+ a+other co+te=t! a+d to #e i+f-ue+ced # their 7eers9 AFN'$'B /oreo"er! e=7erime+ts # socia- 7s cho-o6ists ha"e re"ea-ed the im7orta+ce of co+formit to the 6rou7! o#edie+ce to authorit ! dei+di"iduatio+ a+d dehuma+iHatio+ of the other i+ e=7-ai+i+6 :h other:ise 7s cho-o6ica-- +orma- i+di"idua-s sometimes e+6a6e i+ acts of e"i- a+d crue-t 9 AFN'$$B These da+6ers are 7articu-ar- 7rese+t i+ mi-itar or6a+iHatio+s! :hich i+te+tio+a-- re2socia-iHe their mem#ers to de2sti6matiHe @i--i+6 a+d re7-ace i+di"idua- choice a+d auto+om :ith -o a-t to the 6rou7 a+d the comma+d9 /i-itar cu-ture 7rese+ts 7articu-ar da+6ers! #ut effecti"e use of mi-itar comma+d structures ca+ miti6ate these da+6ers9 O+e detai-ed stud of the co+f-ict i+ Sierra Leo+e! for e=am7-e! fou+d a stro+6 corre-atio+ #et:ee+ the o"era-- -e"eof disci7-i+e i+ other:ise simi-ar fi6hti+6 u+its a+d their treatme+t of ci"i-ia+ 7o7u-atio+s9 I+ that stud ! disci7-i+ed mi-itar u+its22those i+ :hich comma+ders c-ose- mo+itored their troo7s a+d 7u+ished #reaches of &$$4 mi-itar re6u-atio+s a+d ordi+ar F+o+2:arG crimes22:ere -ess -i@e- to commit :ar crimes9 AFN'$(B ,o+so+a+t :ith this socia- scie+ce research a+d :ith i+tuiti"e u+dersta+di+6s of ho: mi-itar hierarchies :or@! i+ter+atio+a- huma+itaria+ -a: o7erates from the 7remise that disci7-i+ed mi-itar comma+d structures are to #e the 7rimar mode of deterri+6 -a: of :ar "io-atio+s9 From a 7re"e+tio+ 7ers7ecti"e! it ma@es se+se to require a comma+der to ta@e the ste7s a reaso+a#- 7rude+t i+di"idua- i+ the circumsta+ces :ou-d ta@e to
Pa6e '5
acquire @+o:-ed6e of su#ordi+ates; #eha"iour9 I+ the a#se+ce of such @+o:-ed6e! a comma+der :i-- ha"e a difficu-t time crafti+6 a77ro7riate 7o-icies to 7re"e+t offe+ces! a+d :i-- #e u+a#-e to 7u+ish 7er7etrators9 1hate"er o+e mi6ht thi+@ i+ 6e+era- a#out the rea-2:or-d deterre+ce "a-ue of i+ter+atio+a- crimi+a7rosecutio+s! it is c-ear that the are +ot mea+t to #e the first2-i+e defe+ce a6ai+st :ar crimes9 /i-itar comma+ders a+d hierarchies are that first2-i+e defe+ceD the are e=7ress- tas@ed # i+ter+atio+a- -a: :ith 7re"e+ti+6 crimes9 The -e6a- sta+dard of comma+d res7o+si#i-it de"e-o7ed i+ i+ter+atio+a- -a: has #ee+ i+cor7orated to a "er si6+ifica+t de6ree i+ +atio+a- mi-itar ma+ua-s a+d codes of mi-itar 8ustice9 AFN'$)B 1hi-e the actuaeffect of such mi-itar ma+ua-s a+d codes o+ trai+i+6! i+stitutio+a- structures! a+d comma+ders; #eha"iour is a+ em7irica- questio+ that has et to #e a+s:ered! +either ca+ their im7act #e discou+ted :ithout some em7irica- e"ide+ce that the are i+si6+ifica+t or are com7-ete- i6+ored9 If the requireme+t that mi-itar comma+ders ta@e reaso+a#-e ste7s to acquire @+o:-ed6e a#out :hether their troo7s are committi+6 crimes :ere firm- e+dorsed # i+ter+atio+a- courts as a 7ri+ci7-e of customar i+ter+atio+a- -a:! it is quite -i@e- that this sta+dard :ou-d #e i+cor7orated i+ a si6+ifica+t +um#er of +atio+a- mi-itar ma+ua-s a+d domestic codes of mi-itar 8ustice! :here it mi6ht ha"e some sa-utar effect o+ mi-itar trai+i+6 a+d i+stitutio+a- structures9 5 Co".lusio" It is time for i+ter+atio+a- courts to fi+a-- #ur the 6host of Yamashita9 To do so! the must co+fro+t direct- the doctri+e;s critics a+d 7ut for:ard the +ormati"e ar6ume+ts that su77ort su7erior res7o+si#i-it for -ess tha+ i+te+tio+a- #reaches of a comma+der;s dut to 7re"e+t a+d 7u+ish crimes9 Perha7s! such a+ a+a- sis :ou-d -ead them to ado7t the dut of @+o:-ed6e su66ested # this artic-e9 0t a mi+imum! ho:e"er! the shou-d at -east #ecome more se-f2co+scious a#out their use of termi+o-o6 of me+s rea #orro:ed from +atio+a- -e6as stems! a+d of the +eed to se7arate- a+a- si+6 the me+tastate for each e-eme+t of the crimes9 It is o+- i+ this :a that comma+d res7o+si#i-it doctri+e ca+ -ea"e #ehi+d the co+tro"ersies of the -ast ce+tur ! a+d 7re7are to meet the cha--e+6es of the +e: o+e9 AFNa'B9 0ssociate Professor! Sta+ford La: Schoo-9 The author tha+@s /ar@ .e-ma+! Da"id Lu#a+ a+d Bo# 1eis#er6 for he-7fu- comme+ts! a+d 3im 0-e=a+der of the Sta+ford La: Schoo- c-ass of $&&% for e=ce--e+t research assista+ce9 Portio+s of this artic-e dra: o+ some of the a+a- sis of comma+d res7o+si#i-it doctri+e i+ 09/9 Da++er a+d 39S9 /arti+eH! ;Iui-t 0ssociatio+s: 3oi+t ,rimi+a- E+ter7rise! ,omma+d Res7o+si#i-it ! a+d the De"e-o7me+t of I+ter+atio+a- ,rimi+a- La:;! J( ,a-ifor+ia La: Re"ie: F$&&5G <5! a+d so 7articu-ar tha+@s are due to 0--iso+ Da++er9 A8marti+eHK-a:9sta+ford9eduB AFN'B9 1ith the i+c-usio+ of ci"i-ia+ -eaders as :e-- as mi-itar comma+ders! the 7hrase ; superior respo"si,ility; has come to #e used a-o+6 :ith the o-der termi+o-o6 of ;comma+d respo"si,ility;9 This artic-e uses the terms ;superior respo"si,ility; a+d ;comma+d respo"si,ility; i+tercha+6ea#- 9 AFN$B9 I+ additio+ to this retri#uti"e 8ustice ratio+a-e! some o#ser"ers a-so ho7e that ho-di+6 -eaders respo"si,le :i-- 7ro"ide some measure of deterre+ce or at -east i+ca7acitatio+! a+d ma a-so ser"e restorati"e a+d e=7ressi"e fu+ctio+s9 1hether a+d ho: i+ter+atio+a- crimi+a- 7rosecutio+s deter crimi+a- co+duct are! of course! em7iricaquestio+s that ha"e et to #e a+s:ered9 ,o+ce7tua-- ! o+e mi6ht h 7othesiHe that 7rosecutio+ of a fe: hi6h2 -e"e- officia-s :ou-d #e a more efficie+t mea+s of deterre+ce tha+ 7rosecuti+6 +umerous ;-o:2-e"e-; offe+ders9 But see 39 .u a+d 39 NHe-i#e! ;Do I+ter+atio+a- ,rimi+a- Tri#u+a-s Deter or E=acer#ate *uma+itaria+ 0trocities>; Fdraft ma+uscri7t o+ fi-e :ith author! Octo#er $&&4G9 The i+ca7acitatio+ ar6ume+t i+ its i+ter+atio+a- "ersio+ 7osits that :he+ -eaders are im7riso+ed # a+ i+ter+atio+a- court! the are disa#-ed from 7-a i+6 a co+ti+ui+6 -eadershi7 ro-e i+ their societies! a--o:i+6 those societies to mo"e for:ard -ess e+cum#ered # the #urde+s of the 7ast9 Reha#i-itatio+ of the i+di"idua- offe+der is -ess ofte+ me+tio+ed as a ma8or ratio+a-e for i+ter+atio+a- crimi+a- -a:D a-ter+ati"e tra+sitio+a- 8ustice mecha+isms such as truth a+d reco+ci-iatio+ commissio+s are ofte+ su66ested as #etter too-s for reha#i-itatio+ of offe+ders9 AFN(B9 See e969 D9L9 Nersessia+! ;1hoo7s! I ,ommitted Ie+ocideQ The 0+oma- of ,o+structi"e Lia#i-it for
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Serious I+ter+atio+a- ,rimes;! (& F-etcher Forum o+ 1or-d 0ffairs F$&&4G %'D 09T9 O;Rei-- ! ;,omma+d Res7o+si#i-it : 0 ,a-- to Rea-i6+ the Doctri+e :ith Pri+ci7-es of I+di"idua- 0ccou+ta#i-it a+d Retri#uti"e 3ustice;! )& Io+Ha6a La: Re"ie: F$&&)/$&&5G '$<D /9 Damas@a! ;The Shado: Side of ,omma+d Res7o+si#i-it ;! )J 0merica+ 3our+a- of ,om7arati"e La: F$&&'G ))59 AFN)B9 See Da++er a+d /arti+eH! su7ra +ote Z! at J42'&$9 AFN5B9 See! e969 3ud6me+t! .ordic FIT2J52')/$G! 077ea-s ,ham#er! '< Decem#er $&&)! at N %() Fho-di+6 that 7rosecutio+ ca+ meet sta+dard of 7roof #e o+d a reaso+a#-e dou#t o+ e-eme+ts of comma+d res7o+si#i-it # i+fere+ces a+d i+direct e"ide+ceG9 AFN4B9 For e=am7-e! the officia- E+6-ish tra+s-atio+ of a co+tro"ersia- Tria- ,ham#er 8ud6me+t i+ the B-as@ic case tra+s-ated the ori6i+a- Fre+ch -e do- S"e+tue- as ;rec@-ess+ess; i+ some 7-aces! see e969 N )<)! a+d as ;+e6-i6e+ce; i+ others! see e969 N 54$ F3ud6me+t! B-as@ic FIT2J52')2TG! Tria- ,ham#er! ( /arch $&&&G9 AFN<B9 I+fra! at '(2'4 Fte=t accom7a+ i+6 foot+otes )J24<G9 AFN%B9 0rt9 <F(G I,TYSt9 a+d 0rt9 4F(G I,TRSt9 is su#sta+tia-- the same! as are the 7ro"isio+s i+ the statutes for the Sierra Leo+e a+d East Timor s7ecia- courts9 See 06reeme+t Bet:ee+ the U+ited Natio+s a+d the Io"er+me+t of Sierra Leo+e o+ the Esta#-ishme+t of a S7ecia- ,ourt for Sierra Leo+e! '4 3a+uar $&&$! Statute for the S7ecia- ,ourt i+ Sierra Leo+e! 0rt9 4F(G! a"ai-a#-e at htt7://:::9sc2s-9or6 F"isited J Decem#er $&&4GD Re69 No9 $&&&/'5 o+ the Esta#-ishme+t of Pa+e-s :ith E=c-usi"e 3urisdictio+ o"er Serious ,rimi+a- Offe+ces! UN Tra+sitio+a- 0dmi+istratio+ i+ East Timor! UN Doc9 UNT0ET/REI/$&&&/'5 F$&&&G! a"ai-a#-e at htt7:// :::9u+9or6/7eace/etimor/u+taetR/Re6&&'5E97df F"isited J Decem#er $&&4G9 AFNJB9 0rt9 $% I,,St9 AFN'&B9 See e969 .ordic 077ea-s 3ud6me+t! N %(J9 AFN''B9 See e969 Nersessia+! su7ra +ote (9 AFN'$B9 See 3ud6me+t! .rstic FIT2J%2((20G! 077ea-s ,ham#er! 'J 07ri- $&&)! at N ')' Fdiscussi+6 Fre+ch! Ierma+! S:iss! E+6-ish! ,a+adia+! 0ustra-ia+ a+d US -a: o+ the me+s rea required for aidi+6 a+d a#etti+6G9 AFN'(B9 Damas@a! su7ra +ote (! at )549 AFN')B9 I#id9! at )4(2)4)9 AFN'5B9 1he+ this artic-e uses the terms 7ur7ose! @+o:-ed6e! rec@-ess+ess a+d +e6-i6e+ce :ithout further e-a#oratio+! it i+te+ds that the #e i+ter7reted 7ursua+t to the /P, defi+itio+s9 AFN'4B9 0merica+ La: I+stitute! /ode- Pe+a- ,ode F'J4$G! at N $9&$F$GFaG9 AFN'<B9 I#id9! N $9&$F$GF#G9 AFN'%B9 I#id9! N $9&$F$GFcG9 AFN'JB9 I#id9! N $9&$F$GFdG9 AFN$&B9 See I9P9 F-etcher! Basic ,o+ce7ts of ,rimi+a- La: FO=ford: O=ford U+i"ersit Press! 'JJ%G! ''5D
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com7are The La: ,ommissio+ of E+6-a+d a+d 1a-es! Re7ort o+ the /e+ta- E-eme+t i+ ,rime! La: ,ommissio+ Re7ort No9 %J F'J<%G :ith 0merica+ La: I+stitute! /ode- Pe+a- ,ode F'J4$G9 AFN$'B9 See e969 39 .a7-a+! R9 1eis#er6 a+d I9 Bi+der! ,rimi+a- La: F5th ed+9! Ne: Yor@: 0s7e+! $&&)G! at '%$2'J<9 AFN$$B9 I9P9 F-etcher a+d 39D9 Oh-i+! ;Rec-aimi+6 Fu+dame+ta- Pri+ci7-es of ,rimi+a- La: i+ the Darfur ,ase;! ( 3our+a- of I+ter+atio+a- ,rimi+a- 3ustice F$&&5G 5(J! at 55)9 AFN$(B9 3ud6me+t! B-as@ic FIT2J52')20G! 077ea-s ,ham#er! $J 3u- $&&)! at NN (%2(JD 09 ,assese! I+ter+atio+a- ,rimi+a- La: FO=ford: O=ford U+i"ersit Press! $&&(G! at '4%9 AFN$)B9 F-etcher a+d Oh-i+! su7ra +ote $$! at 55)9 AFN$5B9 I#id9! See a-so /9D9 Du##er! ;Boo@ re"ie:: LutH Eidam! /a@i+6 ,om7arati"e ,rimi+a- La: Possi#-e ARhru+6 i+ das US2ameri@a+ische StrafrechtB F/u+ich: ,9*9 Bec@! $&&5G;! 5) Buffa-o La: Re"ie: F$&&4G $(5 Fsu66esti+6 that ;from a Ierma+ 7ers7ecti"e AthatB the co+ce7t of rec@-ess+ess is to #e see+ some:here i+ #et:ee+ the Ierma+ co+ce7ts of do-us e"e+tua-is a+d co+scious +e6-i6e+ce F#e:usste Fahr-Pssi6@eitG; a+d 6i"i+6 the e=am7-e of ;a+ i+8ur case :here the actor :as a:are that somethi+6 mi6ht ha77e+ to the "ictim #ut :as +ot certai+ that it :ou-d ha77e+ mi6ht -ead to differe+t resu-ts u+der Ierma+ a+d 0merica+ me+s rea schemes if the actor ho7ed that he :ou-d +ot hit a+other 7erso+; si+ce i+ the Ierma+ case it :ou-d de7e+d o+ the actor;s ho7e! :hi-e i+ the 0merica+ it :ou-d de7e+d o+ the -e"e- of ris@G9 AFN$4B9 Some commo+ -a: s stems attem7t to ca7ture somethi+6 simi-ar! thou6h +ot ide+tica-! to do-us e"e+tua-is # as@i+6 thi+6s such as :hether the defe+da+t acted :ith ;a+ a#a+do+ed a+d ma-i6+a+t heart;! i+ :hich case he :i-- #e -ia#-e for +o+2i+te+tio+a- murder9 See .a7-a+! 1eis#er6 a+d Bi+der! su7ra +ote $'! at (%)9 AFN$<B9 See e969 B-as@ic Tria- 3ud6me+t! at N )<)9 AFN$%B9 See e969 B-as@ic Tria- 3ud6me+t! at N 54$9 AFN$JB9 See D9 Lu#a+! ;,o+tri"ed I6+ora+ce;! %< Ieor6eto:+ La: 3our+a- F'JJJG J5<! at J4&2J4'9 AFN(&B9 I#id9! at J4&2J4'9 AFN('B9 It :ou-d #e im7ossi#-e i+ a short artic-e to summariHe the -iterature from e"e+ o+e +atio+ o+ this to7ic! #ut for a sam7-i+6 of US comme+tar ! see e969 L9 0-e=a+der! ;I+sufficie+t ,o+cer+: 0 U+ified ,o+ce7tio+ of ,rimi+a- ,u-7a#i-it ;! %% ,a-ifor+ia La: Re"ie: F$&&&G J('D 09,9 /ichae-s! ;0cce7ta+ce: The /issi+6 /e+taState;! <' South ,a-ifor+ia La: Re"ie: F'JJ%G J5(D .9 Simo+s! ;Rethi+@i+6 /e+ta- States;! <$ Bosto+ U+i"ersit La: Re"ie: F'JJ$G )4(D I9P9 F-etcher! Rethi+@i+6 ,rimi+a- La: FO=ford: O=ford U+i"ersit Press! 'J<%G! at $J42)&'9 AFN($B9 See e969 R9 1eis#er6! ;Rea77raisi+6 ,om7-icit ;! ) Buffa-o ,rimi+a- La: Re"ie: F$&&&G $'<9 AFN((B9 .rstic 077ea-s 3ud6me+t! at N ')' Fsur"e i+6 +atio+a- 7racticeG9 AFN()B9 See F-etcher! su7ra +ote $&! at '%J F;0merica+ a+d Fre+ch -a: su77ort the equi"a-e+t treatme+t of a-7arties! :hi-e Ierma+ a+d Russia+ -a: i+c-i+e to the "ie: that accessories shou-d #e 7u+ished -ess se"ere- 9;G9 AFN(5B9 See I9P9 F-etcher! ;The Theor of ,rimi+a- Ne6-i6e+ce! 0 ,om7arati"e 0+a- sis;! ''J U+i"ersit of
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Pe++s -"a+ia La: Re"ie: F'J<'G )&'! at )&(9 AFN(4B9 See! e969 I9 Do#i+so+! ;The ,rimi+a- La: of the Peo7-e;s Re7u#-ic of ,hi+a F'JJ<G: Rea- ,ha+6e or Rhetoric;! '' Pacific Rim La: a+d Po-ic 3our+a- F$&&$G '9 AFN(<B9 0-thou6h 0rt9 (& I,,St9 s7ecifies that! u+-ess other:ise 7ro"ided! -ia#i-it requires that the materiae-eme+ts of a+ offe+ce #e committed :ith ;i+te+t a+d @+o:-ed6e;! this is +ot -i@e- ref-ecti"e of customar i+ter+atio+a- -a:! a+d i+ a+ e"e+t does +ot attem7t to defi+e other re-e"a+t me+ta- states9 See ,assese! su7ra +ote $(! at '5J2'4&9 AFN(%B9 I? La: Re7orts of Tria-s of 1ar ,rimi+a-s! at (5 FU+ited Natio+s 1ar ,rimes ,ommissio+! 'J)<G9 AFN(JB9 I#id9! at '59 AFN)&B9 I#id9! at '49 AFN)'B9 See I#id9! at )& F/ur7h ! 39! disse+ti+6G9 AFN)$B9 ($< US 'F'J)4G! at 5$ FRut-ed6e! 39! disse+ti+6G9 3ustice Rut-ed6e +oted! for e=am7-e! that the commissio+ ;+o:here e=7ress- dec-ares that @+o:-ed6e :as esse+tia- to 6ui-t; a+d that it :as ;im7ossi#-e; to determi+e :hether Yamashita had #ee+ co+"icted for a ;:i--fu-! i+formed a+d i+te+tio+a- omissio+; or ;a +e6-i6e+t fai-ure o+ his 7art to disco"er this a+d ta@e :hat measures he the+ cou-d to sto7 the co+duct;9 I#id9 AFN)(B9 I#id9 AFN))B9 09F9 Ree-! The ,ase 06ai+st Ie+era- Yamashita F,hica6o: ,hica6o U+i"ersit Press! 'J)JG! '<) F;There :as +o fi+di+6 of a+ order! a+ @+o:-ed6e! a+ co+do+atio+ o+ Ie+era- Yamashita;s 7art9;G9 AFN)5B9 See! e969 19*9 Par@s! ;,omma+d Res7o+si#i-it for 1ar ,rimes;! 4$ /i-itar La: Re"ie: F'J<(G '(&2 '(%D Ree-! su7ra +ote ))! at '4J F+oti+6 that the commissio+ stated that ;AtBhe 7rosecutio+ 7rese+ted e"ide+ce to sho: that the crimes :ere so e=te+si"e a+d :ides7read! #oth as to time a+d area! that the must either ha"e #ee+ :i--fu-- 7ermitted # the accused! or secret- ordered # the accused; #ut referri+6 to 7rosecutio+ e"ide+ce o+ treatme+t of 7riso+ers as ;crimi+a- +e6-ect;G9 AFN)4B9 ($< US 'F'J)4G! at (5 F/ur7h ! 39! disse+ti+6G9 Procedura- irre6u-arities i+ the tria- :ere a-so the su#8ect of disse+t9 See i#id9! at )&2)'D i#id9! at )$ FRut-ed6e! 39! disse+ti+6G9 AFN)<B9 See Ree-! su7ra +ote ))! at '<D ,assese! su7ra +ote $(! at $&(D Damas@a! su7ra +ote (! at )%'D /9 1a-Her! 3ust a+d U+8ust 1ars: 0 /ora- 0r6ume+t :ith *istorica- I--ustratio+s F)th ed+9! Basic Boo@s! $&&4G! ('J2($$9 AFN)%B9 Strict -ia#i-it is +ot equa-- disfa"oured i+ a-- -e6a- s stems9 Ne"erthe-ess! s stems that do a--o: strict -ia#i-it i+ crimi+a- cases t 7ica-- do so for re6u-ator offe+ces! a+d +ot for "er serious crimes for :hich a defe+da+t ma recei"e a -e+6th term of im7riso+me+t or e"e+ a death se+te+ce9 AFN)JB9 U+ited States "9 1i-he-m List a+d others! ?III La: Re7orts of Tria-s of 1ar ,rimi+a-s! at () F'J)JGD see a-so WI Tria-s of 1ar ,rimi+a-s #efore the Nurem#er6 /i-itar Tri#u+a-s u+der ,o+tro- ,ou+ci- La: No9 '& F'J5&G9 AFN5&B9 ?III La: Re7orts of Tria-s of 1ar ,rimi+a-s! at %J F+oti+6 # co+trast that i+ the Yamashita tria- ;fe: if a+ re7orts of atrocities committed :ere made to the accused a+d here it is 7ro#a#-e that the :ides7read
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+ature of the offe+ces 7ro"ed :as a+ im7orta+t factor i+ so far as it ma ha"e co+"i+ced his 8ud6es either that the accused must ha"e @+o:+ or must #e deemed to ha"e @+o:+ of their 7er7etratio+! or that he fai-ed to fu-fi- a dut to disco"er the sta+dard of co+duct of his troo7s;G9 AFN5'B9 WI Tria-s of 1ar ,rimi+a-s #efore the Nurem#er6 /i-itar Tri#u+a-s u+der ,o+tro- ,ou+ci- La: No9 '&! U+ited States "9 1i-hem List a+d others F'J5&G '(&(9 AFN5$B9 ?III La: Re7orts of Tria-s of 1ar ,rimi+a-s! at <&9 AFN5(B9 ?III La: Re7orts of Tria-s of 1ar ,rimi+a-s! at <&9 AFN5)B9 I#id9! at <'9 AFN55B9 I#id9! at '$4'9 AFN54B9 WII La: Re7orts of Tria-s of 1ar ,rimi+a-s! at <4 Ffi+di+6 Yamashita ;+ot e+tire- a77-ica#-e to the facts i+ this case for the reaso+ that the authorit of Yamashita i+ the fie-d of his o7eratio+s did +ot a77ear to ha"e #ee+ restricted # either his mi-itar su7eriors or the state! a+d the crimes committed :ere # troo7s u+der his comma+d! :hereas i+ the case of the occu7atio+a- comma+ders i+ these 7roceedi+6s! the crimes char6ed :ere mai+- committed at the i+sta+ce of hi6her mi-itar a+d Reich authorities;G9 AFN5<B9 I#id9 AFN5%B9 I#id9! at <<9 AFN5JB9 I#id9 AFN4&B9 See 3ud6me+t! De-a-ic a+d others FIT2J42$'2TG! Tria- ,ham#er! '4 No"em#er 'JJ%! at (5<2(4(9 AFN4'B9 The To@ o 1ar ,rimes Tria-! The I+ter+atio+a- /i-itar Tri#u+a- for the Far East! 3ud6me+t! OfficiaTra+scri7t! 0++e= 024! re7ri+ted ?o-9 $& F'J%'G! at )%! )))2))%9 AFN4$B9 I#id9 AFN4(B9 See Par@s! su7ra +ote )5! at <&9 AFN4)B9 I#id9! at <$ Fquoti+6 'J U+ited States "9 Soemu To oda! Officia- Tra+scri7t! at 5&&5G9 AFN45B9 I#id9 Fquoti+6 'J U+ited States "9 Soemu To oda! Officia- Tra+scri7t! at 5&&525&&4G9 AFN44B9 The To@ o 1ar ,rimes Tria-! The I+ter+atio+a- /i-itar Tri#u+a- for the Far East! 3ud6me+t! OfficiaTra+scri7t! 0++e= 024! re7ri+ted ?o-9 $& F'J%'G! at )%! )))2))%9 AFN4<B9 WII La: Re7orts of Tria-s of 1ar ,rimi+a-s! at <49 AFN4%B9 See Par@s! su7ra +ote )5! at ' F/ LaiGD 19D9 Bur+ett! ;,omma+d Res7o+si#i-it a+d a ,ase Stud of the ,rimi+a- Res7o+si#i-it of Israe-i /i-itar ,omma+ders for the Po6rom at Shati-a a+d Sa#ra;! '&< /i-itar La: Re"ie: F'J%5G %&D see a-so L9,9 Iree+! ;,omma+d Res7o+si#i-it i+ I+ter+atio+a- *uma+itaria+ La:;! 5 Tra+s+atio+a- La: a+d ,o+tem7orar Pro#-ems F'JJ5G ('J9
Pa6e $&
AFN4JB9 0dditio+a- Protoco- I! 0rt9 %4F$G9 AFN<&B9 See I,R, ,omme+tar o+ Protoco- I 0dditio+a- to the Ie+e"a ,o+"e+tio+s of 'J)J! at '&'(2'&')9 AFN<'B9 I#id9 AFN<$B9 I#id9! at '&''9 AFN<(B9 I#id9! at '&'$9 AFN<)B9 Re7ort of the Secretar 2Ie+era- Pursua+t to Para6ra7h $ of Securit ,ou+ci- Reso-utio+ %&% F'JJ(G! UN Doc9 S/$5<&)! ( /a 'JJ(! at N 549 AFN<5B9 Fi+a- Re7ort of the ,ommissio+ of E=7erts Esta#-ished Pursua+t to Securit ,ou+ci- Reso-utio+ <%& F'JJ$G! UN Doc9 S/'JJ)/4<)! $< /a 'JJ)! at N 5%9 The ,ommissio+ -isted a "ariet of factors that mi6ht #e re-e"a+t to this i+quir ! i+c-udi+6 ;FaG The +um#er of i--e6a- actsD F#G The t 7e of i--e6a- actsD FcG The sco7e of i--e6a- actsD FdG The time duri+6 :hich the i--e6a- acts occurredD FeG The +um#er a+d t 7e of troo7s i+"o-"edD FfG The -o6istics i+"o-"ed! if a+ D F6G The 6eo6ra7hica- -ocatio+ of the actsD FhG The :ides7read occurre+ce of the actsD FiG The tactica- tem7o of o7eratio+sD F8G The modus o7era+di of simi-ar i--e6a- actsD F@G The officers a+d staff i+"o-"edD F-G The -ocatio+ of the comma+der at the time;9 AFN<4B9 3ud6me+t! 0@a esu FI,TR J42)2TG! Tria- ,ham#er! $ Se7tem#er 'JJ%9 AFN<<B9 I#id9! at N )%%9 AFN<%B9 I#id9! N )%J9 AFN<JB9 I#id9! N 4J'9 AFN%&B9 See De-a-ic Tria- 3ud6me+t9 AFN%'B9 I#id9! N (4(! (<%9 AFN%$B9 I#id9! N (%49 AFN%(B9 I#id9 AFN%)B9 3ud6me+t! De-a-ic a+d others FIT2J42$'20G! 077ea-s ,ham#er! $& Fe#ruar $&&'! N $(J AFN%5B9 De-a-ic Tria- 3ud6me+t! N (%<9 AFN%4B9 I#id9 AFN%<B9 I#id9! N )') Fquoti+6 U+ited States "9 1i-he-m List9! WI La: Re7orts of Tria-s of 1ar ,rimi+a-s! '$(&! '$<'G9 AFN%%B9 I#id9! N (J(9 AFN%JB9 I#id9! N <$&D N <<5! N %'&9
Pa6e $'
AFNJ&B9 De-a-ic 077ea-s 3ud6me+t! at N $)'9 AFNJ'B9 I#id9! N $$49 AFNJ$B9 3ud6me+t! B-as@ic FIT2J52')2TG! Tria- ,ham#er! ( /arch $&&&! N ($$9 AFNJ(B9 I#id9! at N ($$9 AFNJ)B9 See a-so ,assese! su7ra +ote $(! at $&5 +9 % Fdisa6reei+6 :ith De-a-ic 077ea- ,ham#er;s decisio+ that there is +o dut of @+o:-ed6e a+d citi+6 co+tem7orar state 7ractice i+ su77ort of a dut of @+o:-ed6e requireme+t i+ customar -a:G9 AFNJ5B9 B-as@ic Tria- 3ud6me+t! at N 54$9 AFNJ4B9 I#id9! at N (($9 AFNJ<B9 I#id9! at N <((9 The fi+di+6 here! as i+ se"era- other 7-aces! is 7hrased i+ the a-ter+ati"e to a fi+di+6 that Ie+era- B-as@ic had actua- @+o:-ed6e of the "io-atio+s9 AFNJ%B9 B-as@ic Tria- 3ud6me+t! at N )<)9 AFNJJB9 I#id9! N 54$9 AFN'&&B9 See 6e+era-- Damas@a! su7ra +ote (9 AFN'&'B9 B-as@ic 077ea-s 3ud6me+t! at N 4$9 AFN'&$B9 B-as@ic 077ea-s 3ud6me+t! at N 4( Fquoti+6 Ba6i-ishema 077ea-s 3ud6me+t! at NN ()2(5G9 AFN'&(B9 3ud6me+t! *a-i-o"ic FIT2&'2)%2TG! Tria- ,ham#er! '4 No"em#er $&&5! NN (%2'&&D Stru6ar FIT2&'2)$2 TG! Tria- ,ham#er! (' 3a+uar $&&5! N (4(9 AFN'&)B9 3ud6me+t! Sema+Ha FI,TR2J<2$&20G! 077ea-s ,ham#er! $& /a $&&5! N $5<9 AFN'&5B9 3ud6me+t! Oric FIT2&(24%2TG! Tria- ,ham#er! (& 3u+e $&&4! NN $J52 (&49 AFN'&4B9 *a-i-o"ic Tria- 3ud6me+t! at N 5)9 But see i#id9! N J59 AFN'&<B9 See i#id9! at NN 4<2<'9 AFN'&%B9 0rt9 $% I,,St9 AFN'&JB9 See 39 *e+c@aerts a+d L9 Dos:a-d2Bec@ FedsG! ,ustomar I+ter+atio+a- *uma+itaria+ La:! ?o-9 II: Practice F,am#rid6e: ,am#rid6e U+i"ersit Press $&&5G! at (<$%2(<)5 Aco--ecti+6 e=am7-es: Be-6ium F;shou-d ha"e @+o:+;GD ,a+ada F;shou-d ha"e @+o:+;GD Ne: Mea-a+d F;shou-d ha"e @+o:+;G a+d F;had i+formatio+ :hich shou-d ha"e e+a#-ed him to co+c-ude! i+ the circumsta+ces at the time;GD U+ited States Na"a- *a+d#oo@ F;fai-ed other:ise to ta@e reaso+a#-e measures to disco"er a+d correct "io-atio+s that ma occur;GB9 AFN''&B9 I#id9! at (<)52(<5' Aco--ecti+6 e=am7-es: 0r6e+ti+a Draft ,ode of /i-itar 3ustice F;7ossessed i+formatio+ -eadi+6 him to co+c-ude! i+ the circumsta+ces at the time;GD 0rme+ia Pe+a- ,ode F;had i+formatio+
Pa6e $$
:hich shou-d ha"e e+a#-ed him to co+c-ude i+ the circumsta+ces at the time;GD 0Her#ai8a+ ,rimi+a- ,ode Fsectio+ tit-ed ;Ne6-i6e+ce or 6i"i+6 crimi+a- orders i+ time of armed co+f-ict;GD Ba+6-adesh I+ter+atio+a- ,rimes FTri#u+a-G 0ct Fim7osi+6 -ia#i-it o+ officer :ho ;fai-s or omits to dischar6e his dut to mai+tai+ disci7-i+e! or to co+tro- or su7er"ise the actio+s of the 7erso+s u+der his comma+d or his su#ordi+ates! :here# such 7erso+s or su#ordi+ates or a+ of them commit a+ such crimes;GD ,am#odia La: o+ the .hmer Rou6e Tria- F;@+e: or had reaso+ to @+o:;GD ,a+ada;s ,rimes a6ai+st *uma+it a+d 1ar ,rimes 0ct Fofficers :ho :ere ;crimi+a-+e6-i6e+t i+ fai-i+6 to @+o: that the 7erso+ is a#out to commit or is committi+6 such a+ offe+ce;GD Draft 0me+dme+ts to Pe+a- ,ode of E- Sa-"ador F;@+e: or had i+formatio+ that 7ermitted them to co+c-ude! i+ the circumsta+ces of the time;GD Ierma+ ;s La: I+troduci+6 the I+ter+atio+a- ,rimes ,ode Fse7arate- desi6+ati+6 crime of ;"io-atio+ of the dut of su7er"isio+; for a mi-itar comma+der :ho ;i+te+tio+a-- or +e6-i6e+t- omits 7ro7er- to su7er"ise a su#ordi+ate; :here ;the immi+e+t commissio+ of such a+ offe+ce :as discer+i#-e to the comma+der a+d he or she cou-d ha"e 7re"e+ted it;GD Nether-a+ds I+ter+atio+a- ,rimes 0ct F;cu-7a#- +e6-ects to ta@e measures 999 :here he has reaso+a#-e 6rou+ds for sus7ecti+6 that a su#ordi+ate has committed or i+te+ds to commit such a+ offe+ce;GD R:a+da La: Setti+6 u7 Iacaca 3urisdictio+ F;@+e: or cou-d @+o:;GD S:ede+ Pe+a,ode F;su7erior sha-- a-so #e se+te+ced i+ so far as he :as a#-e to foresee the crime;GB9 AFN'''B9 I#id9! at (<$%2(<)5 ANether-a+ds /i-itar /a+ua- F;he must ha"e @+o:+ a#out it or at -east ha"e had the +ecessar i+formatio+ a#out it;GD S:itHer-a+d mi-itar ma+ua- F;had recei"ed i+te--i6e+ce e+a#-i+6 them to deduce;GD U+ited .i+6dom /i-itar /a+ua- F;shou-d ha"e @+o:-ed6e throu6h re7orts recei"ed # him;GD U+ited States 0rm /a+ua- ;shou-d ha"e @+o:-ed6e! throu6h re7orts recei"ed # him or throu6h other mea+s;GB9 AFN''$B9 I#id9 AsummariHi+6 ,a+ada;s Bo-a+d case Fcourt martia- i+creasi+6 se+te+ce o+ defe+da+t comma+der of so-diers :ho @i--ed a Soma-i 7riso+er #ased o+ the fact that ;he had #ee+ +e6-i6e+t; a+d ;+e6-i6e+ce -ed to the death of a 7riso+er;GD ,a+ada;s Broc@-e#a+@ case F;sta+dard of care a77-ica#-e to the char6e of +e6-i6e+t 7erforma+ce of a mi-itar dut is that of the co+duct e=7ected of the reaso+a#-e 7erso+ of the ra+@ a+d i+ a-- the circumsta+ces of the accused at the time of 7-ace the a--e6ed offe+ce occurred9;GD I+do+esia! 0d *oc Tri#u+a- o+ *uma+ Ri6hts for East Timor! 8ud6me+t of ') 0u6ust $&&$ i+ the 0#i-io Soares ,ase F-ia#i-it im7osed o+ su7eriors :ho ;had the i+formatio+ :hich e+a#-ed him/her to co+c-ude that su#ordi+ates had or :ere 6oi+6 to commit crimes;GB9 AFN''(B9 Par@s! su7ra +ote )5! at (9 AFN'')B9 I#id9! at )9 AFN''5B9 I#id9! at 59 AFN''4B9 See e969 I+ re Yamashita! ($< US '! at '52'4 F'J)4G Fciti+6 'J&< *a6ue ,o+"e+tio+G9 AFN''<B9 0++e= to 'J&< *a6ue ,o+"e+tio+ I?! Re6u-atio+s Res7ecti+6 the La:s a+d ,ustoms of 1ar o+ La+d! 0rt9 '9 AFN''%B9 III Ie+e"a ,o+"e+tio+ Re-ati"e to the Treatme+t of Priso+ers of 1ar F'J)JG! 0rt9 )F$GFaG9 AFN''JB9 Of course! o#edie+ce to su7erior orders is +ot a defe+ce :he+ the orders are u+-a:fu-9 AFN'$&B9 See e969 39 1a--er! Becomi+6 E"i-: *o: Ordi+ar Peo7-e ,ommit Ie+ocide a+d /ass .i--i+6 FNe: Yor@: O=ford U+i"ersit Press! $&&$G! $J2)J Fdescri#i+6 socia- scie+ce research o+ the ro-e of 6rou7 d +amics i+ the commissio+ of mass atrocitiesG9 AFN'$'B9 I#id9
Pa6e $(
AFN'$$B9 See P9 Mim#ardo! The Lucifer Effect: U+dersta+di+6 *o: Iood Peo7-e Tur+ E"i- FNe: Yor@: Ra+dom *ouse! $&&<G! $5%2($( Fsur"e i+6 a+d a+a- si+6 -iteratureG9 AFN'$(B9 /9 *um7hre s a+d 39/9 1ei+stei+! ;*a+d-i+6 a+d /a+ha+d-i+6 ,i"i-ia+s;! '&& 0merica+ Po-iticaScie+ce Re"ie: F$&&4G )$J9 AFN'$)B9 See su7ra +otes '&J2''$9 END OF DO,U/ENT

Superior Responsibility Westlaw 2

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