State Sovereignty and International Criminal Law

State Sovereignty and

International Criminal Law

Morten Bergsmo and LING Yan (editors)

State Sovereignty

and International Criminal Law

Morten Bergsmo and LING Yan (editors)

2012

Torkel Opsahl Academic EPublisher

Beijing

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ISBN 978-82-93081-35-7

Dedicated to the memory of Professor LI Haopei

and his service to international law

i

PUBLICATION SERIES PREFACE

The Torkel Opsahl Academic EPublisher is pleased to release State Sov￾ereignty and International Criminal Law in its Publication Series. The

book deals with a topic which champions of the international criminal jus￾tice movement should strive to appreciate also from the perspective of

States that have reservations about the extensive reach of contemporary

war crimes justice. The chapters were originally prepared in the context of

the FICHL LI Haopei Lecture Series. The anthology is published in sepa￾rate Chinese and English versions. R. Frazier Lowell, NIE Jingjing,

SONG Tianying and XUE Ru have assisted with translations.

FAN Yuwen has provided invaluable and noble assistance with the

Chinese version. We also thank Dr. YI Ping, ZHANG Xin and ZHANG

Yueyao for their assistance.

Morten Bergsmo

Editor-in-Chief

Kiki A. Japutra

Executive Editor

iii

FOREWORD BY CHRISTIAN TOMUSCHAT

This anthology is important for several reasons. First, it brings together a

diversity of quality contributions on difficult current topics such as the

reach of universal criminal jurisdiction for serious international crimes,

immunity of State officials in respect of such crimes, and the conse￾quences of the criminalisation of aggression in the context of the Rome

Statute of the International Criminal Court. These are three clusters of

controversy subject to intense discussions in international courts, between

governments, and among academics. The present book contributes to

those discussions.

Secondly, the theme of the anthology is State Sovereignty and In￾ternational Criminal Law. This formulation speaks less to those who are

already persuaded of the value of international criminal justice, than to

those States and actors who have reservations about how fast and far it

has developed. By engaging the laden concept of ‘state sovereignty’, the

book reaches out to everyone interested in international criminal law, in￾viting an inclusive and responsible dialogue on the need to balance the

development of international criminal law with legitimate state interests.

The editors suggest that time has come to “consolidate the significant

gains in the development of international criminal law since 1993” rather

“than further development at the risk of over-extension”. Coming from

two Chinese and European professors in international criminal law – both

of whom have been involved in the field since 1993 – this suggestion calls

for further reflection. Indeed, the time has come to take stock and re￾assess what has been achieved twenty years after the establishment of the

International Criminal Tribunal for the former Yugoslavia and ten years

after the coming into force of the Rome Statute of the International

Criminal Court. The widespread feeling of satisfaction with the institu￾tionalisation of international criminal justice should not blind our eyes for

the necessity of carefully pondering the strengths and the shortcomings of

this new wing of the constitution of the international community.

The chapters of this book were all prepared in the context of the LI

Haopei Lecture Series of the Forum for International Criminal and Hu￾manitarian Law. This Series seeks to foster dialogue among international

lawyers in China, Europe and elsewhere. The quality and topicality of this

iv

anthology suggests that the Series is succeeding. Its great merit is to pro￾vide Chinese scholars with a voice that will be heard everywhere in the

legal world. Unfortunately, for many decades, China was de facto ex￾cluded from debates about topics of paramount importance for humankind

although, as the largest nation on the globe, its views and arguments are

indispensable when universal standards of conduct are being elaborated. It

may be hoped that contacts as those established by the Forum within the

framework of its Lecture Series will continue and expand their reach, fa￾cilitating dialogue and co-operation between international lawyers in

China and Europe as well as more widely.

Christian Tomuschat

Emeritus Professor, Humboldt University

Former Member, International Law Commission

v

TABLE OF CONTENTS

Publication Series Preface........................................................................ i

Foreword by Christian Tomuschat ......................................................... iii

1. On State Sovereignty and Individual Criminal Responsibility

for Core International Crimes in International Law ......................... 1

By Morten Bergsmo and LING Yan

2. The Life and Contributions of Professor LI Haopei....................... 13

By WANG Houli

3. Brief Analysis of a Few Controversial Issues

in Contemporary International Criminal Law ................................ 21

By ZHOU Lulu

3.1. The Crime of Aggression......................................................... 22

3.1.1. The Definition of Crimes of Aggression................... 25

3.1.2. Precondition for the Court to Exercise

Jurisdiction over Crimes of Aggression .................... 29

3.2. Universal Jurisdiction .............................................................. 35

3.2.1. Background of the Question...................................... 35

3.2.2. Review and Analysis................................................. 38

3.2.2.1. What About Using the ‘Principle

of Sovereignty’ as the Theoretical

Basis of Universal Jurisdiction?................ 40

3.2.2.2. What About Taking the ‘Principle

of Obligation Erga Omnes’

(the Common Interest of Humanity)

as the Theoretical Basis of Universal

Jurisdiction?.............................................. 42

3.2.2.3. What About the Theory of Combating

Criminal Activity and Ensuring

that Crimes Never Go Unpunished

vi

Being the Theoretical Basis

of Universal Jurisdiction? ......................... 43

3.2.3. Case Analysis ............................................................ 45

3.3. Criminal Immunity of State Officials Abroad.......................... 46

3.3.1. The Institution of Immunity in International

Law............................................................................ 46

3.3.2. Analysis..................................................................... 49

3.3.2.1. Regarding Criminal Immunity

Enjoyed by State Officials

in Other Countries..................................... 49

3.3.2.2. The Criminal Immunity of State

Officials before International

Criminal Tribunals .................................... 51

4. Has Non-Immunity for Heads of State Become a Rule

of Customary International Law?................................................... 55

By LIU Daqun

4.1. Challenge to the Rule of Heads of State Immunity.................. 56

4.2. Immunity before National Courts ............................................ 60

4.3. Immunity of the Head of State before International

Courts and Tribunals................................................................ 63

4.4. The Difference between the International

ad hoc Tribunals and the ICC .................................................. 68

4.5. Security Council Referrals ....................................................... 70

4.6. Conclusion ............................................................................... 73

5. Immunity for State Officials from Foreign Jurisdiction

for International Crimes ................................................................. 75

By JIA Bingbing

5.1. Introduction.............................................................................. 75

5.2. Criminal versus Civil Jurisdiction............................................ 78

5.3. Universal Jurisdiction .............................................................. 79

5.4. Immunity for State Officials .................................................... 82

5.5. Immunity versus Treaty Crimes............................................... 86

5.6. Immunity versus Violations of Jus Cogens ............................. 88

5.7. International Jurisdiction.......................................................... 92

5.8. Conclusions: A Hierarchy of Rules?........................................ 93

vii

6. International Criminal Court: A Judicial Guarantee

for International Peace and Security?............................................. 97

By GUO Yang

6.1. Introduction.............................................................................. 97

6.2. Definition of the Crime of Aggression .................................... 99

6.2.1. Act of Aggression ................................................... 101

6.2.2. Crime of Aggression ............................................... 107

6.2.2.1. A Leadership Crime................................ 108

6.2.2.2. Actus Reus and Mens Rea

of the Crime ............................................ 110

6.2.2.3. The Threshold Clause ............................. 112

6.2.3. Understandings Regarding the Crime

of Aggression: Is Humanitarian Intervention

Excluded?................................................................ 114

6.3. Conditions for the Court’s Jurisdiction over the Crime

of Aggression......................................................................... 116

6.3.1. Introduction............................................................. 116

6.3.2. Analysis................................................................... 119

6.4. Conclusion ............................................................................. 125

7. Universal Jurisdiction for Core International Crimes .................. 129

By Erkki Kourula

7.1. Introduction............................................................................ 129

7.2. The Idea of Universal Jurisdiction......................................... 130

7.3. Challenges in the Exercise of Universal Jurisdiction

in Relation to Core International Crimes ............................... 131

8. The Connotation of Universal Jurisdiction

and its Application in the Criminal Law of China ....................... 149

By MA Chengyuan

8.1. Introduction............................................................................ 149

8.2. Universal Jurisdiction Based on Customary

International Law................................................................... 155

8.2.1. Definition ................................................................ 155

8.2.2. Characteristics......................................................... 157

8.2.2.1. The Subject of this Jurisdiction

is Every State .......................................... 157

viii

8.2.2.2. This Jurisdiction Applies to Crimes

in Customary International Law.............. 159

8.2.2.3. This Jurisdiction Applies to Crimes

Committed by Foreigners Abroad

not Against this State or its Citizens ....... 161

8.2.2.4. This Jurisdiction can be Exercised

in absentia............................................... 162

8.2.2.5. Statutory Limitations

are not Applicable when Exercising

this Jurisdiction ....................................... 163

8.2.2.6. International Crimes

can be Prosecuted Retroactively

when Applying this Jurisdiction.............. 164

8.3. Universal Jurisdiction Based on International Treaty............ 165

8.3.1. Definition ................................................................ 165

8.3.2. Characteristics ......................................................... 166

8.3.2.1. The Subject of this Jurisdiction

is the States Parties of a Treaty ............... 166

8.3.2.2. The Manifestation of this Jurisdiction

is the Clause or Principle

of Aut Dedere Aut Judicare..................... 168

8.3.2.3. This Jurisdiction Applies

to the Crimes Defined

in International Treaties .......................... 171

8.3.2.4. This Jurisdiction cannot be Exercised

in absentia............................................... 172

8.3.2.5. This Jurisdiction cannot be Exercised

Retroactively ........................................... 173

8.4. Universal Jurisdiction Based on Domestic Law .................... 174

8.4.1. Definition ................................................................ 174

8.4.2. Characteristics ......................................................... 177

8.4.2.1. The Object of this Jurisdiction

is the Foreign Suspect Found

in the State............................................... 177

8.4.2.2. This Jurisdiction Requires Inability

to Extradite.............................................. 178

8.4.2.3. This Jurisdiction Applies to All

Crimes Able to be Extradited.................. 178

8.4.2.4. This Jurisdiction has to Conform

to the Principle of Double

Criminality .............................................. 179

ix

8.5. Application of Universal Jurisdiction

in the Criminal Law of China ................................................ 180

8.5.1. Universal Jurisdiction in the Criminal Law

of China................................................................... 180

8.5.2. Problems in Application of Universal

Jurisdiction in China ............................................... 182

8.5.2.1. Universal Jurisdiction Based

on Customary International

Law is Not Incorporated

in the Criminal Law of China ................. 183

8.5.2.2. China Violates its International

Obligation by Not Transforming

Crimes in International Treaties

into its Criminal Law .............................. 183

8.5.3.3. Universal Jurisdiction Prescribed

in Article 9 Conflicts

with the Principle of Legality

in Article 3 .............................................. 185

8.5.3.4. Prosecution of International Crime

with Other Classification

in the Criminal Law Violates

the Principle of Prohibition

of Analogy .............................................. 186

8.6. Conclusion ............................................................................. 187

9. Universal Jurisdiction Before the United Nations

General Assembly: Seeking Common Understanding

under International Law ............................................................... 191

By ZHU Lijiang

9.1. Introduction............................................................................ 191

9.2. The Way to New York........................................................... 192

9.3. Procedural Progress in New York.......................................... 200

9.4. Common Understanding in the UNGA.................................. 204

9.4.1. Opinio Juris............................................................. 206

9.4.1.1. Definition of Universal Jurisdiction........ 207

9.4.1.2. Rationale of Universal Jurisdiction......... 210

9.4.1.3. Crimes Subject to Universal

Jurisdiction.............................................. 212

9.4.1.4. Preconditions to the Exercise

of Universal Jurisdiction......................... 216