Ⅰ. The Discipline of ICL 1
1. The Sources of ICL 1
1.1. The Components of ICL 1
1.2. The Different Sources of Law and Their Application to ICL’s Components 13
1.3. Assessing the Sources of Law Applicable to ICL and the Doctrinal Framework of ICL 15
1.4. Complementarity 19
2. The Peculiarities of ICL Enforcement Regimes 22
3. The Policies and Values of ICL and Their Systemic Development 27
3.1. The Historical Evolution of the "Direct Enforcement System" 28
3.2. The Evolution of ICL Norm-Development 30
3.3. The Historic Evolution of ICL Enforcement through the "Indirect Enforcement System" 34
3.4. The Underlying Concept of ICL Enforcement：A Civitas Maxima 35
4. The Changing Nature of International Law and Relations and Their Impact on ICL 44
5. Conclusion 52
Ⅱ. The Subjects of International Criminal Law：Ratione Personae 59
1. Introduction 59
2. Doctrinal Considerations 61
3. International Criminal Responsibility of Individuals 66
3.1. Basis of Responsibility 66
3.2. International Criminal Responsibility of Non-State Actors 70
4. Criminal Responsibility of Heads of State and Other Persons Benefiting from International Immunities 73
4.1. Introduction 73
4.2. Historical Evolution before International Judicial Organs and under Conventional ICL 75
4.3. Customary Practice of States 78
4.4. The ICJ’s 2002 Ruling on International Immunities of Certain Persons 89
4.5. Head of State Immunity under the ICTY/ICTR and ICC 91
4.6. Conclusion 95
5. International Criminal Responsibility of Groups and Organizations 96
5.1. International Responsibility of Individual Group Members 96
5.2. International Criminal Responsibility of Corporations As Legal Persons 98
5.3. Corporate Liability for Harm to the Environment 99
5.4. Liability of TNCs for Their Conduct Abroad:“Aiding and Abetting”As Applied to TNCs 101
6. International Criminal Responsibility of States 104
7. State Immunity：A Bar to Civil Remedies for Jus Cogens International Crime 109
8. The Victim As a Subject of ICL 111
8.1. The Evolution of the Individual Victim’s Rights in International Law 111
8.2. The Normative Framework of a Victim’s Right to Reparation 113
8.2.1. The Evolution and Foundation of the Normative Framework for a Victim’s Right of Reparation 114
8.2.2. Defining the Term“Victim” 122
8.2.3. A State’s Obligation to Respect，Ensure Respect for，and Enforce International Human Rights and Humanitarian Law 124
8.2.4. The Rights of Victims 124
8.3. Mechanisms for Obtaining Reparation for Victims 126
8.4. Economic and Political Considerations 130
9. Conclusion 133
Ⅲ. International Crimes：Ratione Materiae 137
1. Introduction 137
2. Codification of ICL 139
3. Criteria for International Criminalization 142
4. The Penal Characteristics of ICL Conventions 143
5. The Hierarchy of International Crimes 146
6. The General Categories of International Crimes 149
6.1. Protection of International Peace and Security 150
6.1.1. Aggression 150
6.2. Protection of Human Interests Not Associated with Other Internationally Protected Interests 153
6.2.1. Genocide 153
6.2.2. Crimes against Humanity 157
6.2.3. War Crimes 167
6.2.4. Unlawful Possession，Use，Emplacement Stockpiling，and Trade of Weapons，including Nuclear Weapons 199
6.2.5. Nuclear Terrorism 201
6.2.6. Apartheid 201
6.2.7. Slavery，Slave-Related Practices，and Trafficking in Human Beings 202
6.2.8. Torture and Other Forms of Cruel，Inhuman，or Degrading Treatment or Punishment 203
6.2.9. Unlawful Human Experimentation 204
6.2.10. Enforced Disappearance and Extrajudicial Execution 205
6.2.11. Mercenarism 207
6.3. Protection of Human Interests Associated with Other Internationally Protected Interests 208
6.3.1. Piracy and Unlawful Acts against the Safety of Maritime Navigation and the Safety of Platforms on the High Seas 208
6.3.2. Aircraft Hijacking and Unlawful Acts of International Air Safety 208
6.3.3. Threat and Use of Force against Internationally Protected Persons and United Nations Personal 209
6.3.4. Taking of Civilian Hostages 210
6.3.5. Use of Explosives 210
6.3.6. Financing of Terrorism 210
6.3.7. Unlawful Use of the Mail 210
6.4. Protection of Social and Cultural Interests 212
6.4.1. Unlawful Traffic in Drugs and Related Drug Offenses 212
6.4.2. Organized Crime and Related Specific Crimes 213
6.4.3. Destruction and/or Theft of National Treasures 213
6.4.4. Unlawful Acts against Certain Internationally Protected Elements of the Environment 214
6.4.5. International Traffic in Obscene Materials 214
6.4.6. Falsification and Counterfeiting 215
6.4.7. Unlawful Interference with International Submarine Cables 215
6.4.8. Corruption and Bribery Bribery of Foreign Public Officials 216
7. Evolution of the Process of International Criminalization 216
7.1. Introduction 216
7.2. Assessing the Characteristics of ICL Conventions and Related Instruments 219
7.3. Observations on the Ranking and Classification of International Crimes 227
8. Jus Cogens International Crimes 236
8.1. The Meaning of Jus Cogens 239
8.2. The Scope of Obligatlo Erga Omnes 244
9. The Principles of Legality and the Ratione Materiae of ICL 246
10. Conclusion 253
Appendix：ICL Conventions and Related Materials 255
Ⅳ. Principles of Criminal Responsibility：The General Part 285
1. Introduction 285
2. General Considerations 289
3. National Legal Standards and Their Relevance to ICL 296
4. Some Problems in Identifying the General Part from the Charter to the Rome Statute 301
5. Some Specific Problems 304
5.1. The Mental Element 304
5.2. Theories of Criminal Responsibility 313
6. The Application of the General Part by the IMT，IMTFE，and in Other Proceedings：A Historical Analysis 318
7. The Jurisprudence of the ICTY，the ICTR，and the ICC 320
7.1. Participation 325
7.1.1. Planning 325
7.1.2. Instigating 326
7.1.3. Ordering 327
7.1.4. Committing 328
7.2. Aiding and Abetting 329
7.3. Omission 331
8. Command Responsibility：Policy Considerations 332
8.1. The Evolution of Command Responsibility in the Regulation of Armed Conflicts 336
8.2. Civilian Command Responsibility 370
9. Joint Criminal Enterprise 373
10. Defenses and Exoneration 401
10.1. Obedience to Superior Orders 403
10.1.1. Rationale 403
10.1.2. Policy Considerations 406
10.1.3. Scholarly Views 410
10.1.4. The Judgments of Tribunals 416
10.1.5. Post-Charter Developments 429
10.1.6. Conclusion 437
10.2. Duress 438
10.3. Reprisals 452
10.3.1. Introduction 452
10.3.2. Historical Evolution 454
10.4. Tu Quoque 465
10.5. Self-Defense 470
10.6. Insanity (Mental Incapacity) 470
10.7. Intoxication 472
10.8. Mistake of Fact and Mistake of Law 473
10.9. Conclusion 474
11. ICL Penalties and Sentencing 474
11.1. Introduction 474
11.2. IMT，IMTFE，and Subsequent Proceedings 476
11.3. ICTY and ICTR 478
11.4. International Criminal Court 481
12. Conclusion 484
Ⅴ. The“Indirect Enforcement System:”Modalities of International Cooperation in Penal Matters 487
1. Introduction 487
2. The Maxim Aut Dedere Autjudlcare 487
2.1. Origin and Rationale 487
2.2. Nature and Content of the Obligation 496
3. The Modalities of "International Cooperation in Penal Matters" 499
3.1. Introduction 499
3.2. Extradition 500
3.3. Legal Assistance (Also Referred to As Mutual Legal Assistance) 504
3.4. Execution of Foreign Sentences 506
3.5. Recognition of Foreign Penal Judgments 509
3.6. Transfer of Criminal Proceedings 510
3.7. Freezing and Seizing of Assets (Deriving from Criminal Activities) 511
3.8. Intelligence and Law Enforcement Information-Sharing 519
3.9. Regional and Sub-Regional "Judicial Spaces" 526
4. Assessing the "Indirect Enforcement System" 528
5. Conclusion 533
Ⅵ. The "Direct Enforcement System:" History of International Criminal Investigations and Prosecutions 535
1. Introduction 535
2. History of International Criminal Investigations and Prosecutions：From Versailles to Rome，1919-1998 540
2.1. Ad Hoc International Investigative Commissions and International Criminal Tribunals since 1919 541
2.2. The 1919 Commission on the Responsibilities of the Authors of War and on Enforcement of Penalties 542
2.3. The Allies’ Failure to Establish Prosecutions Pursuant to the Treaty of Versailles 545
2.4. The Leipzig Trials 547
2.5. The 1943 United Nations War Crimes Commission 549
2.6. The International Military Tribunal at Nuremberg 551
2.7. Control Council Law No. 10 557
2.8. The Instrument of Surrender of Italy 557
2.9. The Far East Commission and the International Military Tribunal for the Far East at Tokyo 558
2.10. Politics of Defendant Selection in the Far East 562
2.11. Comparison of the Legal Bases for Setting up the IMT，IMTFE，and CCL 10 and Far East Allied Military Prosecutions 564
2.12. The Years of Silence：1955-1992 565
2.13. The Commission of Experts Established Pursuant to Security Council Resolution 780 (1992) 566
2.14. The International Criminal Tribunal for the Former Yugoslavia 569
2.15. The Rwanda Commission of Experts 572
2.16. The International Criminal Tribunal for Rwanda (ICTR) 573
3. Establishing an International Criminal Court 1937-1994 575
4. Changing Times：1989 to 1998 584
4.1. Assessing the Progress from 1989 to 1998 589
4.2. Informal Inter-Sessional Meetings 594
4.3. The "Like-Minded" States 595
4.4. The NGO Community 595
4.5. The Draft Statute of the International Criminal Court 596
4.6. The Rome Diplomatic Conference June 15-July 17,1998 599
4.6.1. The Flow of Texts to the Drafting Committee 605
4.6.2. The Negotiating Process 609
4.6.3. The Final Stage 613
4.6.4. Legal Methods and Techniques 616
4.6.5. The Signing of the Convention 624
5. Recent Developments 1998-2011 625
5.1. ICC Review Conference，Kampala，Uganda (May 31-June 11，2010) 630
5.1.1. Evolution of the Definition of the Crime of Aggression 632
5.1.2. Defining Aggression and Its Triggering Mechanism 635
5.2. Looking Forward 642
6. Conclusion 648
Ⅶ. The International Criminal Court：A Hybrid "Direct Enforcement System" 651
1. The Need for an ICC 651
2. The Characteristics of the ICC 654
2.1. The Nature of the ICC 654
2.2. Complementarity of the ICC and National Legal Systems 655
3. Applicable Law 656
4. The Jurisdiction of the ICC 658
4.1. Preconditions to the Exercise of Jurisdiction 658
4.2. Ratione Temporis：When the ICC May Extend Its Jurisdiction 660
4.3. Ratione Personae：The Subjects of Criminal Responsibility 660
4.4. Ratione Materlae：The Crimes within the Jurisdiction of the ICC 661
4.5. The Definition and Elements of the Crime of Aggression 666
4.5.1. The Triggering Mechanisms of the Crime of Aggression 674
5. Elements of Criminal Responsibility：The General Part 678
6. Invoking the Jurisdiction of the Court 680
6.1. Referring a "Situation" to the Court：Initiation of the Investigation and Prosecution 680
6.2. The Prosecutor’s Proprio Motu Initiation of an Investigation 682
6.3. Admissibility and Inadmissibility 682
6.4. Ne Bis In Idem 684
7. The Court’s Exercise of Jurisdiction 685
7.1. Procedural Due Process 685
7.2. The Investigation Process 686
7.3. The Trial 688
7.3.1. The Rights of the Accused at Trial 688
7.3.2. Protection of Victims and Witnesses at Trial 688
7.3.3. Relevant Evidence and the Protection of National Security 688
7.3.4. Offenses against the Administration of Justice 689
7.3.5. Decisions and Orders 689
7.4. The Appeal 690
8. Penalties and Sentencing 690
9. Victim Reparation 692
10. Enforcement Modalities，Surrender，and Judicial Assistance 698
10.1. Enforcement Modalities 698
10.2. Surrender of Individuals and Judicial Assistance 699
11. Exceptions to the Obligation to Cooperate 702
12. The Organization and Operation of the Court 705
12.1. The Presidency 705
12.2. The Appeals，Trial，and Pre-Trial Division 705
12.3. The Prosecutor and the Office of the Prosecutor 706
12.4. The Registry 707
12.5. The Assembly of States Parties 707
13. Relationship of the ICC with the United Nations 708
13.1. Relationship to the Security Council 708
14. Amending the Statute 709
15. The Operation of The Court 710
16. Assembly of State Parties 710
17. National Implementing Legislation 714
18. Summary of the ICC’s Work 715
19. Conclusion 719
Ⅷ. Mixed Models of International Criminal Justice 721
1. Introduction 721
2. Kosovo 726
3. Bosnia and Herzegovina 733
4. Sierra Leone 739
5. Timor-Leste 753
6. Cambodia 760
7. Lebanon 769
8. Conclusion 778
Ⅸ. The "Procedural Part" of ICL：Procedural and Evidentiary Norms Applicable to International Criminal Proceedings 785
1. Introduction 785
2. International Criminal Procedure 793
2.1. Introduction 793
2.2. Rights and Clusters of Rights 796
2.2.1. The Right to Life，Liberty，and Security of the Person 797
2.2.2. The Right to Recognition before the Law and Equal . Protection of the Law 799
2.2.3. The Right to Be Free from Arbitrary Arrest and Detention 800
2.2.4. The Right to Freedom from Torture and Cruel，Inhuman，and Degrading Treatment or Punishment 802
2.2.5. The Right to Be Presumed Innocent 805
2.2.6. The Right to a Fair Trial 807
2.2.7. The Right to Assistance of Counsel 818
2.2.8. The Right to a Speedy Trial 825
2.2.9. The Right to Appeal 827
2.2.10. The Right to Be Protected from Double Jeopardy 829
2.2.11. The Right to Be Protected from Ex Post Facto Law 830
2.3. A Summary of Protected Procedural Rights 832
2.4. Conclusion 832
3. Rules of Evidence 833
3.1. Introduction 833
3.2. Historical Evolution of the Rules Governing Evidence 835
3.3. The Collection and General Approach to Evidence 836
3.4. Fair Trial Rights and Evidence 838
3.4.1. Equality of Arms 839
3.4.2. The Right to Be Informed Promptly of the Charges and Disclosure of Evidence 841
3.4.3. The Right to Translated Documents 846
3.4.4. The Rights of the Suspects 848
3.4.5. The Right to an Expeditious Trial and to Be Tried without Undue Delay 848
3.4.6. The Right to Be Present at Trial 850
3.4.7. Witnesses，the Right to a Public Trial，and Protective Measures 854
3.4.8. The Privilege against Self-incrimination and the Right to Remain Silent 858
3.4.9. Remedies for the Infringement of Rights 861
3.5. Other Issues Related to Evidence 861
3.5.1. Expert Evidence 861
3.5.2. Documentary and Forensic Evidence 863
3.5.3. Interpretation of the Rules of Evidence and Procedure at the ICTY/ICTR 863
3.6. Evidence in Appellate Proceedings 867
4. Conclusion 867
Appendix Ⅰ：International Instruments Surveyed 869
Appendix Ⅱ：Rights Surveyed 870
Appendix Ⅲ：Constitutions Surveyed 898
Appendix Ⅳ：ICC Comparison Chart 900
Ⅹ. International Criminal Justice in the Age of Globalization 909
1. Introduction 909
1.1. National Criminal Justice Systems Enforcing ICL Norms 915
1.2. The Distinction between the Policies and Goals of Punishment in National Criminal Justice Systems and Those in the ICJ System 917
1.3. The Need to Harmonize the International Criminal Justice System and National Criminal Justice Systems 919
1.4. The Philosophy and Policy of Punishments for Jus Cogens International Crimes 921
1.4.1. Philosophical Considerations 921
1.4.2. The Historical Premise of Punishment 927
1.4.3. Universal Justice for Jus Cogens International Crimes 932
2. Accountability Mechanisms 937
2.1. International Prosecutions 939
2.2. International and National Criminal Investigatory Commission 941
2.3. International and National Truth Commissions 943
2.4. National Prosecutions 944
2.5. National Lustration Mechanisms 946
2.6. National Civil Remedies 948
2.7. Mechanisms for the Reparation of Victims 951
2.8. Policy Considerations 954
2.9. Selecting the Appropriate Accountability Mechanism 956
2.10. The Right to a Remedy and Reparation for Victims 958
2.10.1. The Duty to Provide a Remedy 958
2.10.2. Duty to Provide Reparation 963
2.10.3. Forms of Reparation 966
2.11. Social Policy Considerations 968
2.12. The Internationalization of National Criminal Justice 970
3. Amnesties and International Criminal Justice 972
4. Assessment 979
ⅩⅠ. Reflections on International Criminal Justice：Past and Future 983
1. Introduction 983
2. Law and Legal Systems in Historical Perspective 989
3. The Origins of Justice Values 991
4. Of War and Peace，and of Interests and Values 993
4.1. Contemporary Post-Conflict Justice 995
4.2. War，Peace，and Realpolitik 997
4.3. The Challenge of Impunity 1002
5. The Origins of International Criminal Law 1003
6. From Tribalism to Supra-Nationalism 1008
7. The Paradigms of International Law and Their Evolution 1011
8. International Criminal Justice in the Age of Globalization 1013
8.1. Introduction 1013
8.2. The Twentieth Century 1023
8.3. The Third Stage 1030
8.4. Tokenism，Symbolism，and Head of State Prosecution 1036
9. Assessment 1041
ⅩⅡ. A Historical Review and Quantitative Analysis of International Criminal Justice 1047
1. The Historical Stages of International Criminal Justice 1047
1.1. The Early Historic Period--Thirteenth to Nineteenth Centuries 1047
1.2. The Twentieth Century 1052
1.3. The Third Stage 1058
2. Quantitative Analysis of International Criminal Prosecutions from World War to 2012 1058
2.1. Introduction 1058
2.2. The World War Ⅱ Cases 1061
2.3. The Cold War 1068
2.4. The Reemergence of ICL 1070
3. Deterrence and the Value of ICL 1076
4. Tokenism，Symbolism，and Head of State Prosecution 1082
5. Assessment 1087
List of Court Cases 1093
Index 1101