Elements of Accessorial Modes of Liability

Chapter One Introduction 1

Chapter Two Background 11

Ⅰ Introduction 11

Ⅱ Background to Article 25 of the Rome Statute 11

A Different Models of Individual Criminal Responsibility 12

B Codification of Individual Criminal Responsibility under International Law 14

Ⅲ Introduction to Article 25 of the Rome Statute 20

A The Text of Article 25 20

B Modes of Liability under Article 25(3) 22

C Element Analysis Approach 26

D Identifying the Elements of Accessorial Modes of Liability 30

Ⅳ Methodology 31

A Methodology for Developing the Proposed Elements 31

1 Interpretation of the Language of the Rome Statute 31

2 Analysis of the Potential for, and the Appropriateness of, Adopting Elements Already Developed by Other Courts and Tribunals 33

3 Analysis of the Potential for, and the Appropriateness of, Drawing on General Principles of Domestic Criminal Law 36

(a) Common Law 38

(b) Civil Law 40

Ⅴ Conclusion 41

Chapter Three Accessorial Act 43

Ⅰ Introduction 43

Ⅱ Ordering 43

A Introduction 43

B Conduct Element 44

1 What Constitutes an 'Order' 44

2 What Constitutes the Giving of an Order 47

3 Conclusion 52

C Circumstance Elements 53

1 Features of the Accused 53

1 Nature of the Act Ordered 59

Ⅲ Soliciting or Inducing 60

A Introduction 60

B Conduct Element 62

1 What Specific Conduct Might Constitute Soliciting or Inducing 62

2 Whether the Solicitation or Inducement Must Be Direct and Public 66

3 Conclusion 70

C Circumstance Elements 70

1 Features of the Accused 70

2 Nature of the Act Solicited/Induced 71

Ⅳ Aiding and Abetting 72

A Introduction 72

B Conduct Element 72

1 What Specific Conduct Might Constitute Aiding and Abetting 72

2 Tangible and Intangible Support 74

3 Providing the Means 80

4 Proximity to the Act of Commission 82

5 Conclusion 89

Ⅴ Conclusion 90

Chapter Four Accessorial Object 93

Ⅰ Introduction 93

Ⅱ Introduction to Derivative Nature 94

A What Does 'Derivative Nature' Mean? 94

B The Impact of the Derivative Nature on Liability 95

Ⅲ The Non-Derivative Approach 98

A Introduction 98

B The Consequences of this Approach 98

C Is this Approach Open under the Rome Statute? 99

Ⅳ Two Derivative Approaches 101

A Introduction 101

B The Accessorial Object under the Strict Derivative Approach 102

C The Accessorial Object under the Partially Derivative Approach 106

1 The Distinction between Justification and Excuse 106

2 The Accessorial Object 113

D Which Approach Is Open under the Rome Statute 114

E Which Approach Is Preferable 118

Ⅴ Conclusion 119

Chapter Five Causation 123

Ⅰ Causation and Accessorial Liability 123

Ⅱ Jurisprudence of Previous International Courts and Tribunals 126

A Aiding and Abetting 126

B Ordering and Instigating 128

C Conclusion 130

Ⅲ Requirement of a Successful Contribution 130

A Introduction 130

B Domestic Law Requires a Successful Contribution 130

C Metaphysical Objection to Causation in Cases of Accessorial Liability D Conclusion Ⅳ The Necessary Condition Test 137

A Introduction 137

B Underinclusiveness of the Test 139

1 Concurrent Overdetermination Cases 139

2 Pre-Emptive Overdetermination Cases 141

C Conclusion 143

Ⅴ The Substantial Effect Test 143

A Introduction 143

B Limited Support for the Test in Domestic Jurisdictions and Commentary 144

C Vague,Circular and Subjective Nature of the Test 144

D Conclusion 146

Ⅵ Conclusion 146

Chapter Six Mental Elements 149

Ⅰ Introduction 149

Ⅱ Introduction to the Concept of Intent 151

A Gradations of Intent 151

B Direct Intent (in the First Degree) 153

C Oblique Intent,or Direct Intent in the Second Degree 155

D Recklessness and Dolus Eventualis 157

Ⅲ Introduction to Article 30 160

A Intent and Knowledge 160

B Element Analysis Approach 161

C Definitions of 'Intent' 163

1 'Means to' 163

2 'Aware it will occur in the ordinary course of events' 166

D Definitions of 'Knowledge' 173

1 Awareness that a circumstance exists' 173

(a) Wilful Blindness 173

(b) Knowledge of Normative or Legal Circumstances 174

2 Awareness that...a consequence will occur in the ordinary course of events' 175

E Conclusion 175

Ⅳ Exceptions to Article 30 176

A Interpretation of 'Unless otherwise provided...' 176

B Types of Exceptions to Article 30 180

1 Less Stringent Mental Elements 180

2 More Stringent Mental Elements 181

3 Additional Mental Elements 182

Ⅴ Conclusion 184

Chapter Seven Proposed Mental Elements 187

Ⅰ Introduction 187

Ⅱ Conduct Elements 188

Ⅲ Circumstance Elements 189

Ⅳ Consequence Elements 191

Ⅴ Additional Mental Element 197

Ⅵ Conclusion 204

Chapter Eight Conclusion 205

Ⅰ Introduction 205

Ⅱ Liability of the Generals for Soliciting/Inducing 206

A Proposed Elements for Soliciting/Inducing 206

B Element 1--Conduct Element 207

C Element 2--Circumstance Element 208

D Element 3--Consequence Element 209

E Causation Requirement 211

F Conclusion 212

Ⅲ Liability of Archer for Ordering 212

A Proposed Elements for Ordering 212

B Element 1--Conduct Element 213

C Element 2--Circumstance Element 213

D Element 3--Circumstance Element 214

E Element 4--Consequence Element 215

F Causation Requirement 215

G Conclusion 216

Ⅳ Liability of Banks for Aiding and Abetting 216

A Proposed Elements for Aiding and Abetting 216

B Element 1--Conduct Element 217

C Element 2--Consequence Element 218

D Causation Requirement 218

E Element 3--Additional Mental Element 218

F Conclusion 219

Ⅴ Conclusion 219

Appendices 222

Index 231