國際刑法中的合法性原則AutoDisplay

國際刑法中的合法性原則

PrincipleofLegalityinInternationalCriminalLawNullumcrimensinelege,nullapoenasinelege目次1國內(nèi)刑法罪刑法定原則之回顧（比較對象）2國際刑法中合法性原則之歷史（比較語境）3國際刑法中合法性原則之特性（比較結(jié)論）我的觀點(diǎn)

國際刑法不需要罪行法定

合法性原則只是審判者的自我正當(dāng)化1國內(nèi)刑法罪刑法定原則

之回顧1.1發(fā)展歷史1.2思想淵源1.3下位原則1.4中國命運(yùn)1.1發(fā)展歷史1.1.1普通法1.1.1.1英國大憲章（1215年）*MagnaCarta

alsocalledMagnaCartaLibertatumorTheGreatCharteroftheLibertiesofEngland普通法中替代法定主義之正當(dāng)程序淺析***Jescheck/Weigend,1996,AT5,15/II.1**Bassiouni,2003,IICL,p.191ACopyExhibitedintheBritishLibrary1.1.1.2美國憲法中的禁止事后法Art.1§9(3)

NoBillofAttainderorexpostfactoLawshallbepassed.第一條第九款第三項(xiàng)不得通過褫奪公權(quán)法案或事后法。Art.1§10(1)NoStateshall...passanyBillofAttainder,expostfactoLaw...第一條第十款第一項(xiàng)各州不得……通過任何褫奪公權(quán)法案、事后法……TheOriginalExhibitedintheNARATheOriginalExhibitedintheNARAARepresentationbyJean-Jacques-Fran?oisLeBarbier1.1.3Feuerbach之表述（1801年）PaulJohannAnselmRittervonFeuerbach現(xiàn)行德國普通刑法教科書Lehrbuchdesgemeinen,inDeutschlandgeltendenpeinlichenRechts無法無刑，無罪無刑，無刑法無罪Nullapoenasinelege.Nullapoenasinecrimine.Nullumcrimensinepoenalegali.*無事先刑法，無罪無罰Nullumcrimen,nullapoenasinepraevialegepoenali.1813年巴伐利亞刑法典BayerischenStrafgesetzbuchesvon1813*Feuerbach,1801,S.20,§241.2思想基礎(chǔ)1.2.1沿革意義*1.2.1.1心理強(qiáng)制說**Feuerbach,TheoriedespsychologischenZwangs1.2.1.2三權(quán)分立學(xué)說***Montesquieu,TriasPolitica1.2.1.3啟蒙時(shí)期自然法思想*****此提法見張明楷，2011，刑法學(xué)四版，第51頁**Feuerbach,1801,S.15ff.,§§17~22***Montesquieu,1748,DeL'espritDesLois,XI/6****Roxin,1997,ATI3,5/131.2.2現(xiàn)代意義1.2.2.1司法考試觀點(diǎn)*1.2.2.1.1民主主義1.2.2.1.2尊重人權(quán)主義（自由主義）*2012年司法考試輔導(dǎo)用書（第二卷），第3頁1.2.2.2現(xiàn)代刑法學(xué)觀點(diǎn)*1.2.2.2.1政治自由主義DerpolitischeLiberalismus1.2.2.2.2民主與分權(quán)DemokratieundGewaltenteilung1.2.2.2.3一般預(yù)防Generalpr?vention1.2.2.2.4罪責(zé)原則DasSchuldprinzip*Roxin,1997,ATI3,5/18ff.1.3下位原則1.3.1通說觀點(diǎn)*1.3.1.1嚴(yán)格（stricta）1.3.1.2成文（scripta）1.3.1.3事前（praevia）1.3.1.4確定（certa）*Roxin,1997,ATI3,5/7ff.;Jescheck/Weigend,1996,AT5,15/III~IV1.3.2實(shí)質(zhì)側(cè)面？1.3.2.1實(shí)質(zhì)側(cè)面的內(nèi)容*1.3.2.1.1條文明確性1.3.2.1.2適正性禁止處罰不當(dāng)罰行為，禁止殘虐不均衡刑罰1.3.2.3反對意見**1.3.2.4德國學(xué)者的類似表述****山口厚，2011，總論，第19頁以下**王世洲，2011，總論，第41頁以下***Jescheck/Weigend,1996,AT5,4/II.1~21.4中國命運(yùn)1.4.1積極的罪刑法定？*必罰主義之隱憂1.4.2幾種解釋**1.4.3聯(lián)系新刑訴法的一點(diǎn)思考****曲新久，2009，刑法學(xué)2版，第35頁以下**陳興良，2010，教義，第46頁以下；張明楷，2011，刑法學(xué)4版，第53頁以下***陳光中，2012，刑訴，第306頁，第414頁以下2國際刑法中合法性原則

之歷史2.1一戰(zhàn)后2.2二戰(zhàn)后2.3冷戰(zhàn)中2.4冷戰(zhàn)后2.5跨世紀(jì)2.1.1一戰(zhàn)后的凡爾賽條約（1919年）TreatyofVersailles2.1.1.1條約文本相關(guān)條文PartVIIPenaltiesArticle227.TheAlliedandAssociatedPowerspubliclyarraignWilliamIIofHohenzollern,formerlyGermanEmperor,forasupremeoffenceagainstinternationalmoralityandthesanctityoftreaties.Aspecialtribunalwillbeconstitutedtotrytheaccused,therebyassuringhimtheguaranteesessentialtotherightofdefence.Itwillbecomposedoffivejudges,oneappointedbyeachofthefollowingPowers:namely,theUnitedStatesofAmerica,GreatBritain,France,ItalyandJapan.Initsdecisionthetribunalwillbeguidedbythehighestmotivesofinternationalpolicy,withaviewtovindicatingthesolemnobligationsofinternationalundertakingsandthevalidityofinternationalmorality.Itwillbeitsdutytofixthepunishmentwhichitconsidersshouldbeimposed.TheAlliedandAssociatedPowerswilladdressarequesttotheGovernmentoftheNetherlandsforthesurrendertothemoftheex-Emperorinorderthathemaybeputontrial.2.2.1紐倫堡審判（1945年~1946年）

NuremburgTrial2.2.1.1作為審判依據(jù)的倫敦憲章LondonCharteroftheInternationalMilitaryTribunalatNuremburgII.JURISDICTIONANDGENERALPRINCIPLESArticle6.TheTribunalestablishedbytheAgreementreferredtoin

Article1hereofforthetrialandpunishmentof

themajorwarcriminalsoftheEuropeanAxiscountriesshallhavethepowertotryandpunish

personswho,actingin

theinterestsoftheEuropeanAxiscountries,

whetherasindividualsorasmembersoforganizations,committedany

ofthefollowingcrimes.Thefollowingacts,oranyofthem,arecrimescomingwithinthe

jurisdictionoftheTribunalforwhichthereshallbe

individual

responsibility:(a)CRIMESAGAINSTPEACE:namely,planning,preparation,initiationor

wagingofawarofaggression,orawar

inviolationofinternationaltreaties,

agreementsorassurances,orparticipationinacommonplanorconspiracyfor

theaccomplishmentofanyoftheforegoing;(b)WARCRIMES:namely,violationsofthelawsorcustomsofwar.Such

violationsshallinclude,butnotbe

limitedto,murder,ill-treatmentordeportation

toslavelabororforanyotherpurposeofcivilianpopulationoforin

occupied

territory,murderorill-treatmentofprisonersofwarorpersonsontheseas,

killingofhostages,plunderof

publicorprivateproperty,wantondestructionof

cities,townsorvillages,ordevastationnotjustifiedbymilitary

necessity;(c)CRIMESAGAINSTHUMANITY:namely,murder,extermination,

enslavement,deportation,andother

inhumaneactscommittedagainstany

civilianpopulation,beforeorduringthewar;orpersecutionsonpolitical,

racial

orreligiousgroundsinexecutionoforinconnectionwithanycrimewithinthe

jurisdictionoftheTribunal,

whetherornotinviolationofthedomesticlawofthecountrywhereperpetrated.

Leaders,organizers,instigatorsandaccomplices

participatingintheformulationorexecutionofacommonplanor

conspiracytocommitanyoftheforegoingcrimesareresponsibleforallactsperformedbyanypersonsinexecution

ofsuchplan.2.2.1.2判決書分析2.2.1.2.1法庭管轄權(quán)合法性LegitimacyoftheJurisdictionoftheTribunalThejurisdictionoftheTribunalisdefinedintheAgreementandCharter...ThemakingoftheCharterwastheexerciseofthesovereignlegislativepowerbythecountriestowhichtheGermanReichunconditionallysurrendered;andtheundoubtedrightofthesecountriestolegislatefortheoccupiedterritorieshasbeenrecognizedbythecivilizedworld.TheCharterisnotanarbitraryexerciseofpoweronthepartofthevictoriousnations,butintheviewoftheTribunal,aswillbeshown,itistheexpressionofInternationalLawexistingatthetimeofitscreation;andtothatextentisitselfacontributiontoInternationalLaw...Indoingso,theyhavedonetogetherwhatanyoneofthemmighthavedonesingly;foritisnottobedoubtedthatanynationhastherightthustosetupspecialcourtstoadministerlaw.WithregardtotheconstitutionoftheCourt,allthatthedefendantsareentitledtoaskistoreceiveafairtrialonthefactsandlaw.譯文：本法庭管轄權(quán)由協(xié)定及憲章賦予……制定憲章乃接受德意志帝國無條件投降諸國最高立法權(quán)之運(yùn)用；文明世界對諸國為占領(lǐng)區(qū)立法之權(quán)力殆無疑問。憲章并非戰(zhàn)勝國一方權(quán)力之恣意行使，相反依本法庭將予釋明之觀點(diǎn)，乃是對制定當(dāng)下現(xiàn)存國際法之表述；且在此范圍內(nèi)本身亦是對國際法之貢獻(xiàn)……由此，諸國攜手完成原本可能由其任一單獨(dú)完成之工作；因?yàn)槿我粐矣袡?quán)設(shè)立特別法庭執(zhí)行法律此點(diǎn)無可置疑。關(guān)于法庭之組建，諸被告人有權(quán)要求的便僅是基于事實(shí)和法律得到一個(gè)公正的審判。2.2.1.2.3法庭意見TheViewoftheTribunalInthefirstplace,itistobeobservedthatthemaxim“nullumcrimensinelege”isnotalimitationofsovereignty,butisingeneralaprincipleofjustice.ToassertthatitisunjusttopunishthosewhoindefianceoftreatiesandassuranceshaveattackedneighbouringStateswithoutwarningisobviouslyuntrue,forinsuchcircumstancestheattackermustknowthatheisdoingwrong,andsofarfromitbeingunjusttopunishhim,itwouldbeunjustifhiswrongwereallowedtogounpunished.OccupyingthepositionstheydidintheGovernmentofGermany,thedefendants,oratleastsomeofthem,musthaveknownofthetreatiessignedbyGermany,outlawingrecoursetowarforthesettlementofinternationaldisputes;theymusthaveknownthattheywereactingindefianceofallInternationalLawwhenincompletedeliberationtheycarriedouttheirdesignsofinvasionandaggression.Onthisviewofthecasealone,itwouldappearthatthemaximhasnoapplicationtothepresentfacts.2.2.1.3.2凡爾賽條約（1919年）TreatyofVersaillesBreachesofcertainprovisions:PartIII.PoliticalClausesforEuropeSectionIII.LeftBankoftheRhine(§§42~44)SectionVI.Austria(§80)SectionVII.Czecho-SlovakState(§81)SectionX.Memel(§99)SectionXI.FreeCityofDanzig(§100)特定條款之違反：第三章歐洲政治條款第三節(jié)撤離萊茵河畔（第四十二至四十四條）第六節(jié)奧地利（第八十條）第七節(jié)捷克斯諾伐克國（第八十一條）第十節(jié)梅梅爾（第九十九條）第十一節(jié)但澤自由城（第一百條）2.2.1.3.4羅加諾公約（1925年）LocarnoTreatiesTreatiesofmutualguaranteewithBelgium,France,GreatBritainandItaly.ArbitrationtreatieswithCzechoslovakia,BelgiumandPoland.(ArbitrationTreaties)ArticleIAlldisputesofeverykindbetweenGermanyandPoland...whichitmaynotbepossibletosettleamicablybythenormalmethodsofdiplomacy,shallbesubmittedfordecisiontoanarbitraltribunal...與比利時(shí)、法國、大不列顛和意大利簽訂互相擔(dān)保條約，與捷克斯諾伐克、比利時(shí)和波蘭簽訂仲裁條約。仲裁條約第一條德國與波蘭等國間所有類型任何爭議若無法以正常外交方式友善解決，則應(yīng)向仲裁法庭申請裁決。2.2.1.3.5巴黎非戰(zhàn)公約（1928年）TheGeneralTreatyfortheRenunciationofWarof27thAugust,1928,knownasthePactofParisortheKellogg-BriandPactPreambleTHEPRESIDENTOFTHEGERMANREICH,THEPRESIDENTOFTHEUNITEDSTATESOFAMERICA,HISMAJESTYTHEKINGOFTHEBELGIANS,THEPRESIDENTOFTHEFRENCHREPUBLIC,HISMAJESTYTHEKINGOFGREATBRITAINIRELANDANDTHEBRITISHDOMINIONSBEYONDTHESEAS,EMPEROROFINDIA,HISMAJESTYTHEKINGOFITALY,HISMAJESTYTHEEMPEROROFJAPAN,THEPRESIDENTOFTHEREPUBLICOFPOLANDTHEPRESIDENTOFTHECZECHOSLOVAKREPUBLIC,Deeplysensibleoftheirsolemndutytopromotethewelfareofmankind;persuadedthatthetimehascomewhenafrankrenunciationofwarasaninstrumentofnationalpolicyshouldbemadetotheendthatthepeacefulandfriendlyrelationsnowexistingbetweentheirpeoplesshouldbeperpetuated...allchangesintheirrelationswithoneanothershouldbesoughtonlybypacificmeans...thusunitingcivilisednationsoftheworldinacommonrenunciationofwarasaninstrumentoftheirnationalpolicy...2.2.1.3.6其他國際法基礎(chǔ)（宣示而非約束）：國際聯(lián)盟1924年國際爭端和平解決議定書TheLeagueofNations1924ProtocolforthePacific

SettlementofInternationalDisputes(A)warofaggressionconstitutesa

violationofthissolidarityandisaninternationalcrime.國際聯(lián)盟1927年9月24日大會宣言DeclarationofAssemblyoftheLeagueofNationson24thSeptember,1927(A)warofaggressioncanneverserveasameansofsettlinginternational

disputes,andisinconsequenceaninternationalcrime...2.2.2東京審判（1946年~1948年）TokyoTrial2.2.2.1作為審判依據(jù)的遠(yuǎn)東國際軍事法庭憲章CharteroftheInternationalMilitaryTribunalfortheFarEastIIJURISDICTIONANDGENERALPROVISIONSArticle5.JurisdictionOverPersonsandOffenses.TheTribunalshallhavethepowertotryandpunishFarEasternwarcriminalswhoasindividualsorasmembersoforganizationsarechargedwithoffenseswhichincludeCrimesagainstPeace.Thefollowingacts,oranyofthem,arecrimescomingwithinthejurisdictionoftheTribunalforwhichthereshallbeindividualresponsibility:(a)CrimesagainstPeace:Namely,theplanning,preparation,initiationorwagingofadeclaredorundeclaredwarofaggression,orawarinviolationofinternationallaw,treaties,agreementsorassurances,orparticipationinacommonplanorconspiracyfortheaccomplishmentofanyoftheforegoing;(b)ConventionalWarCrimes:Namely,violationsofthelawsorcustomsofwar;(c)CrimesagainstHumanity:Namely,murder,extermination,enslavement,deportation,andotherinhumaneactscommittedagainstanycivilianpopulation,beforeorduringthewar,orpersecutionsonpoliticalorracialgroundsinexecutionoforinconnectionwithanycrimewithinthejurisdictionoftheTribunal,whetherornotinviolationofthedomesticlawofthecountrywhereperpetrated.Leaders,organizers,instigatorsandaccomplicesparticipatingintheformulationorexecutionofacommonplanorconspiracytocommitanyoftheforegoingcrimesareresponsibleforallactsperformedbyanypersoninexecutionofsuchplan.2.2.2.2判決書分析2.2.2.2.1法庭管轄權(quán)合法性LegitimacyoftheJurisdictionoftheTribunalInouropinionthelawoftheCharterisdecisiveandbindingontheTribunal.ThisisaspecialtribunalsetupbytheSupremeCommanderunderauthorityconferredonhimbytheAlliedPowers...Intheexerciseoftheirrighttocreatetribunals...belligerentpowersmayactonlywithinthelimitsofinternationallaw.我們認(rèn)為憲章之法乃決定性的并約束本法庭。本法庭由最高統(tǒng)帥依諸同盟國授予之權(quán)限設(shè)立…在其設(shè)立法庭之權(quán)利行使中…交戰(zhàn)國僅得在國際法界限內(nèi)為任何行為。2.2.2.2.2辯護(hù)方意見TheDefendents'Opinion(1)TheAlliedPowersactingthroughtheSupremeCommanderhavenoauthoritytoincludeintheCharteroftheTribunalandtodesignateasjusticiable"CrimesagainstPeace"(Article5(a));(2)AggressivewarisnotperseillegalandthePactofParisof1928renouncingwarasaninstrumentofnationalpolicydoesnotenlargethemeaningofwarcrimesnorconstitutewarcrime;(3)Waristheactofanationforwhichthereisnoindividualresponsibilityunderinternationallaw;(4)TheprovisionsoftheCharterare"expostfacto"legislationandthereforeillegal;(5)TheInstrumentofSurrenderwhichprovidesthattheDeclarationofPotsdamwillbegiveneffectimposestheconditionthatConventionalWarCrimesasrecognizedbyinternationallawatthedateoftheDeclaration(26July,1945)wouldbetheonlycrimesprosecuted;(6)Killingsinthecourseofbelligerentoperationsexceptinsofarastheyconstituteviolationsoftherulesofwarfareorthelawsandcustomsofwararethenormalincidentsofwarandarenotmurder;(7)SeveraloftheaccusedbeingprisonersofwararetriablebymartialasprovidedbytheGenevaConvention1929andnotbythisTribunal.2.4.1前南斯拉夫問題國際刑事法庭（1993年）TheInternationalCriminalTribunalfortheformerYugoslavia2.4.1.1法庭規(guī)約摘錄SelectiveArticleoftheStatuteoftheICTYArticle4Genocide

1.TheInternationalTribunalshallhavethepowertoprosecutepersonscommittinggenocideasdefinedinparagraph2ofthisarticleorofcommittinganyoftheotheractsenumeratedinparagraph3ofthisarticle.2.Genocidemeansanyofthefollowingactscommittedwithintenttodestroy,inwholeorinpart,anational,ethnical,racialorreligiousgroup,assuch:(a)killingmembersofthegroup;(b)causingseriousbodilyormentalharmtomembersofthegroup;(c)deliberatelyinflictingonthegroupconditionsoflifecalculatedtobringaboutitsphysicaldestructioninwholeorinpart;(d)imposingmeasuresintendedtopreventbirthswithinthegroup;(e)forciblytransferringchildrenofthegrouptoanothergroup.3.thefollowingactsshallbepunishable:(a)genocide;(b)conspiracytocommitgenocide;(c)directandpublicincitementtocommitgenocide;(d)attempttocommitgenocide;(e)complicityingenocide.Article5CrimesagainsthumanityTheInternationalTribunalshallhavethepowertoprosecutepersonsresponsibleforthefollowingcrimeswhencommittedinarmedconflict,whetherinternationalorinternalincharacter,anddirectedagainstanycivilianpopulation:(a)murder;(b)extermination;(c)enslavement;(d)deportation;(e)imprisonment;(f)torture;(g)rape;(h)persecutionsonpolitical,racialandreligiousgrounds;(i)otherinhumaneacts.2.4.1.2夫倫基亞案法庭意見（1998年）TribunalOpinionofProsecutorv.AntoFurund?ija...(I)tfallstotheTrialChambertoestablishwhetheranappropriatesolutioncanbereachedbyresortingtothegeneralprinciplesof

internationalcriminallawor,ifsuchprinciplesareofnoavail,tothegeneralprinciples

ofinternationallaw...(t)hegeneralprincipleofrespectforhumandignity...TheTrialChamberthereforeconsidersthat,toarriveatanaccuratedefinitionofrapebasedonthecriminallawprincipleofspecificity(Bestimmtheitgrundsatz,alsoreferredtobythemaxim“nullumcrimensinelegestricta”),itisnecessarytolookforprinciplesofcriminallawcommontothemajorlegalsystemsoftheworld.Theseprinciplesmaybederived,withallduecaution,fromnationallaws...theTrialChamberisoftheopinionthatitisnotcontrarytothegeneralprincipleofnullumcrimensinelegetochargeanaccusedwithforcibleoralsexasrapewheninsomenationaljurisdictions,includinghisown,hecouldonlybechargedwithsexualassaultinrespectofthesameacts.譯文：…這樣一項(xiàng)任務(wù)落到審判庭頭上，即決定是否能達(dá)成適當(dāng)?shù)慕鉀Q方案，通過訴諸國際刑法普遍原則，或該種原則不起效果時(shí)訴諸國際法原則…尊重人格尊嚴(yán)之普遍原則…故審判庭考慮，在明確性的刑法原則（Bestimmtheitgrundsatz亦以格言形式表達(dá)為"nullumcrimensinelegestricta"）上，對強(qiáng)奸進(jìn)行精確定義，需要考察世界主要法律體系中普遍的刑法原則。懷著所有應(yīng)有的審慎，此種原則可能來自于國家法律之規(guī)定…審判庭認(rèn)為將被告強(qiáng)迫口交之行為作為強(qiáng)奸罪起訴并不違反罪刑法定之普遍原則，即使在一些司法體系，包括被告本人所在的，被告僅可能被以性騷擾起訴。2.4.2盧旺達(dá)問題國際刑事法庭（1994）InternationalCriminalTribunalforRwanda法庭規(guī)約摘錄SelectiveArticleoftheStatuteoftheICTRArticle2Genocide1.TheInternationalTribunalforRwandashallhavethepowertoprosecutepersonscommittinggenocideasdefinedinparagraph2ofthisarticleorofcommittinganyoftheotheractsenumeratedinparagraph3ofthisarticle.2.Genocidemeansanyofthefollowingactscommittedwithintenttodestroy,inwholeorinpart,anational,ethnical,racialorreligiousgroup,assuch:(a)Killingmembersofthegroup;(b)Causingseriousbodilyormentalharmtomembersofthegroup;(c)Deliberatelyinflictingonthegroupconditionsoflifecalculatedtobringaboutitsphysicaldestructioninwholeorinpart;(d)Imposingmeasuresintendedtopreventbirthswithinthegroup;(e)Forciblytransferringchildrenofthegrouptoanothergroup.3.Thefollowingactsshallbepunishable: