The Global Prosecution of Core Crimes underInternational Law

Christopher Soler

The Global Prosecutionof Core Crimes underInternational Law

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Christopher SolerFaculty of LawsUniversity of MaltaValletta, Malta

ISBN 978-94-6265-334-4 ISBN 978-94-6265-335-1 (eBook)https://doi.org/10.1007/978-94-6265-335-1

Published by T.M.C. ASSER PRESS, The Hague, The Netherlands www.asserpress.nlProduced and distributed for T.M.C. ASSER PRESS by Springer-Verlag Berlin Heidelberg

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To the wrongly convicted and imprisoned,in the hope they would be freed;

to all victims who still await criminal justice,in the belief it shall prevail; and

to all journalists who, at the risk of losingtheir own lives, courageously expose such sadstories.

Foreword

There are several ways by means of which one could read the book byDr. Christopher Soler entitled The Global Prosecution of Core Crimes underInternational Law. The book adopts a multi-layered approach in which every part isboth autonomous and functional to the larger design. This outcome may correspondto the author’s own intellectual maturation while preparing his doctoral dissertation,but has the distinct advantage that the reader can benefit both from each and everychapter on its own, as well as from the entirety of the book as a whole for a unitaryvision. To this extent, the book can serve as a valuable frame of reference for jurists,judges, legal practitioners, academics and public administrators who work in thedynamic fields of international human rights law and international criminal law,more so because the book has a noticeable substantive law dimension and a markedprocedural law perspective.

Christopher Soler earned his Ph.D. from the prestigious University ofAmsterdam, which degree led to this book, after conducting extensive researchunder the supervision of Prof. Harmen van der Wilt, whose guidance helped himdeepen his reasoning relating to some delicate criminal responsibility issues inaddition to various institutional matters revolving around the very “architecture” ofinternational criminal justice as a system per se.

First, the book offers a bird’s-eye view on international criminal justice anddescribes, in a competent and appropriate way, the diversified scope of jurisdic-tional avenues which serve to bring to justice those accused of major internationalcrimes (the so-called “core crimes”, and the author expresses an interesting view onthis very terminology). The author scrutinizes the aut dedere aut judicare rule in thedetail it deserves. This certainly constitutes an overarching benefit of this work.

Secondly, the book examines some of the most crucial difficulties in interna-tional criminal justice, namely the lack of cooperation, in particular in the executionof arrest warrants and in the surrender of defendants. In this regard, the author offersa number of interesting proposals and thought provoking comments with a view tostrengthen the cooperation system between states and the International CriminalCourt.

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Thirdly, the book presents a renewed perspective on domestic efforts to prose-cute and punish persons accused of international crimes by supporting the notionthat a broader positive obligation for states to repress/punish core crimes isemerging.

Fourthly, there are constructive reflections upon possible improvements to bemade to the coordination between the domestic and international level, so as totransform an often confrontational relationship into a more collaborative one. Thevertical and horizontal systems of enforcement are thoroughly examined. This, inand of itself, contributes to a better understanding of such systems and is anotherenveloping benefit of this book. Moreover, both systems are integrated and dis-sected systematically to provide the answer to the main research question of theanalytical study, this being: Which are the juridical obstacles to the surrender and/orextradition of individuals wanted for core crimes? The examination and criticalanalysis of both systems of enforcement of international criminal law in one and thesame work gives this book a significant edge over other studies which only dealwith the systems of enforcement individually and separately, just as though theywere completely distinct and detached frameworks. This is another underlying assetof this work.

Finally, this book is a timely contribution to the broader debate on the future ofinternational criminal justice and on the possible ways to offer redress to the victimsof international crimes. The author combines his extensive practical experience asan attorney involved in criminal law cases with a trans-national dimension(extradition, judicial cooperation and so on), with diplomatic experience as Staterepresentative in ICC-related matters, together with an academic approach whichleads him to offer both practical and expedient solutions.

In this vein, the author offers several potential options that could improve thecurrent situation. Moreover, reviewing the framework of existing rules, he identifiesa number of solutions which could strengthen the overall objective of renderingjustice for core crimes in a more efficient and effective manner.

An area where recent developments will potentially benefit from this work is theestablishment of mechanisms designed to collect and preserve evidence for possibleuse in criminal proceedings either at national or international level, before tribunalswhich are yet to be determined. In this regard, the International, Impartial andIndependent Mechanism to Assist in the Investigation and Prosecution of PersonsResponsible for the Most Serious Crimes under International Law Committed in theSyrian Arab Republic since March 2011 (also known as the “IIIM”) established bythe UN General Assembly in December 2016 or the Investigative team to promoteaccountability for Daesh/ISIL crimes (UNITAD) created by the Security Council inSeptember 2017, at the request of the Government of Iraq, come to mind. Theserecent mechanisms as well as other nascent initiatives such as the proposed mul-tilateral treaty for mutual legal assistance and extradition for the domestic prose-cution of the most serious international crimes launched by the Netherlandstogether with several other States, as well as the possible draft convention on theprevention and repression of crimes against humanity emerging from the worksof the International Law Commission, seem to point to a “new era” for international

viii Foreword

criminal justice—the era of return to national jurisdiction, coherently—somehow—with the principle of complementarity of the ICC jurisdiction.

Broadly speaking the author does not challenge the main underlying idea behindthe notion of complementarity that domestic courts are and remain the essentialavenue for the prosecution and punishment of international crimes. However, hemakes a clever attempt to offer a broader perspective that apart from domesticcourts includes a strengthened role for the ICC, legislative reforms and appropriateimplementation of the ICC Statute and domestication of international norms.

The book, which I strongly commend, offers innovative ideas on how to furtherstructure a functioning “global system” of international criminal justice where thevarious actors involved would cooperate more effectively towards the objective ofrendering justice for victims of international crimes.

New York, USA/Catania, ItalyOctober–November 2018

Salvatore ZappalàProfessor of International and EU Law

University of Catania (Italy)

Editor-in-Chief, Journal of InternationalCriminal Justice

Member of the Steering Committee of the AntonioCassese Initiative for Justice, Peace & Humanity

Former Legal Adviser (2010–2018)to the Permanent Mission of Italy

to the United Nations in New York

Foreword ix

Preface

This book deals with the prosecution of core crimes and is aimed at legal practi-tioners (prosecutors, defence lawyers, magistrates and judges), jurists, experts ofcriminal justice, researchers, public administrators, law students, human rightsactivists and journalists. It provides the first comprehensive study of both systemsof enforcement of international criminal law, and of the relationship between thesesystems, in one book by using with the same lens. It examines an under-studiedfield of law and serves to increase an understanding of the two systems ofenforcement of international criminal law, these being the horizontal system ofenforcement and the vertical system of enforcement, also known as thesupra-national system and the inter-State system respectively. These are dealt withseparately, but the interaction between them is also assessed. This book differen-tiates between various species (categories) of crimes, establishing a frame of ref-erence for the ultimate consideration of the two systems of enforcement. It offersperspectives which, in turn, can be used to improve the prevailing enforcementregime. Moreover, it undertakes an exhaustive jurisprudential overview in assessingthe systems of enforcement of international criminal law. In so doing, it offersinsights about how the enforcement of international criminal law can be consoli-dated and improved, both in so far as substantive international criminal law isconcerned and in respect of procedural international criminal law. By virtue of thelegal analysis therein, this book espouses a human rights law oriented critique to thegeneral enforcement of domestic, regional and international criminal justice.

It is distressing to contemplate why persons are investigated, prosecuted andpunished for various crimes such as theft, to give just one example, whereas theyare frequently not investigated, prosecuted and punished for mass atrocities (corecrimes) which, besides endangering international peace and security, causeimmense suffering and hardship to many human beings and to humankind ingeneral. This realpolitik, i.e. the failure to investigate, prosecute and punish corecrimes, is becoming more common place in view of an increasing number of Stateswhich are either unwilling or unable to do so for reasons which I delve into. Uponsuch failure, the responsibility to protect has to be assumed either by other Stateswhich could exercise other forms of jurisdiction, such as universal jurisdiction, over

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persons found on their territory, or else by the international community in the formof an investigation and prosecution before an international criminal tribunal, ajudicial panel, a special court, a hybrid court and/or the International CriminalCourt. I research the ways (means) how this could be implemented, and alsoconsider which judicial institution is best positioned (placed) to do so.

By scrutinizing the cooperation regime within both systems of enforcement, thebook investigates the extent to which obstacles to the surrender and/or extraditionof individuals are insurmountable or otherwise. Where grounds for refusal ofextradition are invoked by States, some ideas to restrict their application and effect,without violating international human rights law, are postulated. These can includeways to circumvent the stumbling block, id est, the ground for refusal. I suggestways, methods and ideas which could incentivise and encourage the cooperation ofStates which are called to surrender or extradite (i.e. physically transfer) an indi-vidual wanted for the purposes of an eventual prosecution of core crimes. Myproposals are of a juridical (legal) nature and hinge upon the pretext that interna-tional criminal law is poorly executed and implemented because of a majorstumbling block, this being that individuals wanted for core crimes are not sur-rendered to the International Criminal Court and are not extradited to the requestingState which intends to prosecute them for their alleged crimes notwithstanding thesubsistence of compelling incriminating evidence which could, in all probability, besufficient to secure their conviction before a competent criminal court. I challengesuch grounds for refusal of surrender and/or extradition, where this is possible.Should this not be possible, I examine ways how the stumbling block (i.e. theground for refusal) could be circumvented, provided these remedial measures donot violate international human rights law.

The book is divided in five (V) parts and organised in twenty-three (23) chapters.Throughout the work, I examine the extent to which grounds for refusal of sur-render act as obstacles to hinder or jeopardise the process of surrender from a Stateto the International Criminal Court. I investigate the extent to which grounds forrefusal of extradition act as obstacles to hinder or jeopardise the extradition processbetween the requesting State and the requested State. The critical analysis is pre-ceded by an inspection of the concept of ‘core crimes’ which are distinguished from‘transnational organized crimes’, ‘international crimes’ and ‘domestic crimes’.I undertake an autopsy of the general State obligation to cooperate, illustrate theextent to which such obligation is binding (both upon State Parties to theInternational Criminal Court and upon non-State Parties in certain circumstances),and reveal the consequences in cases of a breach thereof.

To achieve the above objective, I avail myself and make use of principles, suchas complementarity and subsidiarity, which are crucial to successfully execute rulesof international law such as the obligation to extradite or prosecute (aut dedere autjudicare), a rule which is also examined in detail. Understanding both systems ofenforcement, comprehensively and collectively, unmasks the synergy andinter-relation between them. The work determines the ability and the potential ofeach one of the two systems of enforcement to fight impunity and, in a secondarymanner, the ability and the potential of the remaining system to fight impunity upon

xii Preface

the default of the other system. The prospective roles of domestic, hybrid, special(sui generis) and international courts (and tribunals) in the fight against impunityfor the purposes of the enforcement of international criminal law are discussed andevaluated. The proliferation of such courts and tribunals is a laudable effort of theinternational community which is aimed to ensure that victims of core crimes can atleast have their day in court.

Valletta, Malta Christopher SolerJanuary 2019

Preface xiii

Acknowledgements

This book is an updated and revised version of the doctoral thesis which I defendedat the beautiful Agnietenkapel, Universiteit van Amsterdam, on 22 December 2017,a very special day. This project started at the very end of 2010, with the encour-agement of the Rector Emeritus of the University of Malta, Prof. Juanito Camilleri,and of the Chancellor of the University of Malta, Prof. David Attard, my rolemodel, now Judge and Vice-President of the International Tribunal for the Lawof the Sea. I thank you both for the encouragement and for your belief in me. Thisproject was largely enabled by the financial contribution of the University of Malta,of which I am currently the Director (Legal Services) and which I thank forsponsoring my doctoral research. I hereby express appreciation to Prof.Alfred J. Vella, Rector of the University of Malta. Rettur, thank you for allowingme both to pursue my Ph.D. studies and to permit that I chair two importantworking groups under the auspices of the Maltese Presidency of the Council of theEuropean Union, namely COJUR (Public International Law) and COJUR-ICC(International Criminal Court) between January and June 2017. I thank theGovernment of Malta for appointing me both to chair such workshops and also asits delegate to the Assembly of State Parties to the Rome Statute of the InternationalCriminal Court in its 15th session held in The Hague between 16 and 24 November2016. These were enriching experiences. Furthermore, my judicial role asChairperson of one of the three Chambers of the Refugee Appeals Board in termsof the Refugees Act, Chapter 420 of the Laws of Malta, has increased myawareness about the distressing human tragedies that underlie the consummation ofserious crimes of concern to the international community.

Throughout my doctoral research there have been some special colleagues, closefriends of mine, who have shown interest in my project and, occasionally, providedsound advice. Their constructive critique has enabled me to pose some importantquestions which proved to be fruitful. These include Prof. Kevin Aquilina, mymentor, Prof. Andrew Muscat, Prof. Giuseppe Cataldi, Prof. Stephen Calleya,Judge Prof. Liesbeth Lijnzaad, Assist. Prof. Rosanne van Alebeek, AdjunctProf. David Donat Cattin, Assoc. Prof. João Casqueira Cardoso, Judge Juan Carlos

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Fernández de Aguirre, Dr. Michele Corleto, Dr. Monica Vlad, Dr. Ivan Mifsud,Dr. Omar Grech, Dr. David Friggieri, Dr. Audrey Fino, Dr. Alex Spiteri Gingell,Dr. Kevan Azzopardi, Ms. Zahra Mousavi, Ms. Morgane Nicot, Ms. Irene ter Stege,Mr. Michiel Egeler, Mr. Isaac de Toro Mezquita, Mr. Giuseppe Colasanto andMr. Graziano Patriarca. I cherish moments where I am able to engage directly withsome wise individuals whose commitment to human rights is truly relentless andinspirational. The President of the Republic of Malta, Marie-Louise Coleiro Preca,comes to mind in this regard. Grazzi mill-qalb Eċċellenza. Others whom I alsoknow well, and who have contributed to the protection of human rights and thedelivery of criminal justice, include Judge Emeritus of the European Court ofHuman Rights Giovanni Bonello, Judge Emeritus Joseph Galea Debono, JudgeEmeritus Lawrence Quintano, Dr. Emmanuel Mallia, and Dr. Tonio Borg. Here Imust also thank my lecturers at the University of Sussex, where I obtained myLL.M. in International Criminal Law in 1999, particularly Prof. Richard Vogler,Prof. Paul Omar and Dr. Emily Haslam. They consolidated and secured my passionfor international criminal law and the extent to which I value the protection offundamental human rights.

I show deep appreciation for the patience and dedication of members of staff atthe libraries where I conducted my research, namely the T.M.C. Asser Institute inThe Hague (especially Mr. Marco van der Harst), the University of Amsterdam, thePeace Palace Library in The Hague, the University of Malta (especially DirectorMr. Kevin Ellul), the University of Sussex (United Kingdom), the Institute ofAdvanced Legal Studies in Russell Square, London, the Università La Sapienza ofRome, the University of Maribor, Slovenia (through Prof. Dušan Lesjak), theUniversità degli Studi di Ferrara (through Dr. Rocco Toffaletti), and theInternational Maritime Law Institute (IMLI) which is housed at the University ofMalta. At the latter university, Ms. Daniela Agius Cachia and Ms. Denise Joneshelped me coordinate secretarial, administrative and logistical matters whichfacilitated my tasks. They hereby deserve a note of thanks. Likewise, as an ultimatebeneficiary of its informative ‘International Crimes Database’ website, I expresswords of praise to the T.M.C. Asser Institute. Furthermore ‘DomCLIC’ came invery handy especially when I compiled Part IV of my book. In pursuance thereof, Ithank The Hague Justice Portal and the other partners involved in ‘DomCLIC’ fortheir priceless project. A word of thanks also goes to Springer-Verlag, distributorsof my book. I express my heartfelt gratitude to T.M.C. Asser Press and to all itsmembers of staff, especially to Mr. Frank Bakker, Publisher, and Ms. Kiki vanGurp, Production Coordinator, both of whom helped me to finalise the manuscript.Hence, ‘thank you, Asser Press’ and ‘thank you, Springer’.

The insights of Prof. Harmen van der Wilt, my Ph.D. supervisor, were crucial.I wish to express profound appreciation to such a generous gentleman, a brilliantlegal mind indeed. I cherish every moment spent with you and I am honoured tohave been a recipient of your wisdom and a beneficiary of your frank guidance.You will always be a friend and colleague I will respect and look up to. Moreover,you were the one who recommended my book for publication by T.M.C. AsserPress. Thank you so much, Harmen. My heartfelt thanks goes to Prof. Salvatore

xvi Acknowledgements

Zappalà, certainly a leading authority in the field, who immediately accepted myinvitation to read my book and write a foreword thereto. Your praiseworthy wordsfill me with pride. Grazie mille Salvatore.

I am very grateful to my sister, Sara Bianchi, who left my nephews and niecewith my brother-in-law in order to support me throughout the oral defence of mydoctoral thesis. That meant a lot to me. I have been truly blessed to have the parentsI have, William (an architect-writer, who was a pillar of advice and support), andNatalie, née Woods. They have been inspirational role models. From my decision tobecome a lawyer at the tender age of 11 to date, they have served as a bastion ofrespect and empowerment. There are no words which can capture and describe mygratitude in your regard. Thinking about you automatically conjures one thought tomy mind: ‘you can’t light a candle to the sun’. Last but not least, a very special andunique thanks goes to my wife Christine, née Dyer, and to our children Daniel andNina. You have been so patient and understanding to endure my love affair withinternational criminal law throughout this long journey which culminated in thisopus. To all my family: ‘Inħobbkhom ħafna’.

Acknowledgements xvii

Contents

Part I Introduction

1 Methodological Framework and Research Questions . . . . . . . . . . . 31.1 Motivation and Objective . . . . . . . . . . . . . . . . . . . . . . . . . . . . 41.2 Field of Application . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 81.3 Structure, Methodology and Research Questions . . . . . . . . . . . . 10References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 13

2 Preliminary Observations on the Systems of Enforcement . . . . . . . 152.1 The Vertical System of Enforcement: A Useful Frame

of Reference . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 162.2 The Horizontal System of Enforcement: From

a ‘Ius Prosequi’ to ‘Mandatory Prosecutions’? . . . . . . . . . . . . . 23References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 25

Part II The Characterisation and Prosecution of Core Crimes:Some Underlying Assumptions

3 Multi-level Prosecutions of Serious Crimes of Concernto the International Community . . . . . . . . . . . . . . . . . . . . . . . . . . . 31References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 37

4 Why Do We Need to Understand the Concept of ‘CoreCrimes’? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 414.1 The Salient Features of Core Crimes . . . . . . . . . . . . . . . . . . . . 434.2 Why Are Core Crimes the Most Serious Crimes of Concern

to the International Community? . . . . . . . . . . . . . . . . . . . . . . . 46References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 56

5 What Is Required to Intrude into the Sovereignty of a DefaultingState in Order to Investigate and Prosecute Core Crimes? . . . . . . . 595.1 The Principles of Human Security and International Harm . . . . 61

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5.2 Why Do Group (Collective) Crimes Breach HumanSecurity and Why Are They so Harmful? . . . . . . . . . . . . . . . . . 66

5.3 Interventions Designed to Prevent and Punish Core Crimesby Prosecuting Core Crimes . . . . . . . . . . . . . . . . . . . . . . . . . . 72

5.4 The Conceptual Genesis of the Responsibility to Protect . . . . . . 735.5 The Transformation of the Concept of the Responsibility

to Protect into a Legal Principle . . . . . . . . . . . . . . . . . . . . . . . . 76References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 82

6 The Overarching Contextual (Juridical) Elements . . . . . . . . . . . . . 896.1 Genocide . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 916.2 Crimes Against Humanity . . . . . . . . . . . . . . . . . . . . . . . . . . . . 936.3 War Crimes . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1016.4 Aggression . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 104References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 106

7 The Juridical Consequences of Core Crimes: IndividualCriminal Liability and State Aggravated Responsibility . . . . . . . . . 111References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 116

8 Detecting the Determining and Distinguishing Factors . . . . . . . . . . 1178.1 Core Crimes Versus Transnational Organized Crimes . . . . . . . . 1188.2 Core Crimes Versus Domestic Crimes . . . . . . . . . . . . . . . . . . . 1318.3 Core Crimes Versus International Crimes . . . . . . . . . . . . . . . . . 1338.4 Concluding Remarks . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 138References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 139

Part III The Vertical System of Enforcement

9 Salient Features of the Vertical System of Enforcement . . . . . . . . . 1479.1 The Meaning of Verticality . . . . . . . . . . . . . . . . . . . . . . . . . . . 1489.2 Distinguishable Models of the Vertical System

of Enforcement . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1499.3 The Line of Demarcation Between a Preference

and a Necessity . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 156References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 160

10 The State Obligation to Cooperate under International Law . . . . . 16510.1 The Nature of the General Obligation of An ICC State

Party to Cooperate . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 16610.2 The Obligations of Non-State Parties under the United Nations

Security Council Resolution Regime . . . . . . . . . . . . . . . . . . . . 17510.3 The Consequences of a Breach of the State’s Obligation

to Cooperate . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 184References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 201

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11 Inherent Limitations of the Vertical System of Enforcement . . . . . 20911.1 Grounds for Refusal Emerging Directly from Admissibility

Challenges . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 21611.1.1 Genuine Willingness or Ability to Prosecute . . . . . . . . 21811.1.2 Ne Bis in Idem . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 23111.1.3 Postponement of the Execution of a Request

for Surrender . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 24911.2 Competing Requests and Conflicting Obligations . . . . . . . . . . . 25111.3 Specific Requirements under National Law. . . . . . . . . . . . . . . . 255

11.3.1 Abuse of Process . . . . . . . . . . . . . . . . . . . . . . . . . . . . 25611.4 Diplomatic Privileges and Immunities . . . . . . . . . . . . . . . . . . . 265

11.4.1 Immunities Rationae Personae . . . . . . . . . . . . . . . . . . 27811.4.2 Immunities Rationae Materiae . . . . . . . . . . . . . . . . . . 289

11.5 The Rule of Speciality . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 296References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 298

12 The Ensuing ‘Jurisdictional Joint Venture’, A Divisionof Labour Par Excellence . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 311References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 314

Part IV The Horizontal System of Enforcement

13 Aut Dedere Aut Judicare . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 31913.1 The Nature, Scope and Status of the Aut Dedere Aut

Judicare Rule . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 32113.2 The Execution of the Aut Dedere Aut Judicare Rule

in Domestic Criminal Courts . . . . . . . . . . . . . . . . . . . . . . . . . . 35113.3 Limitations of the Aut Dedere Aut Judicare Rule . . . . . . . . . . . 36713.4 Emerging Alternatives to the Aut Dedere Aut Judicare

Formulae . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 37013.5 The Fractional Re-characterisation of the Aut Dedere

Aut Judicare Rule . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 380References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 389

14 The Reliance of the Horizontal System of Enforcementon the Corpus Juris Relating to Extradition . . . . . . . . . . . . . . . . . . 403References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 408

15 The Impact of Customary International Law and GeneralPrinciples of Law on the Horizontal System of Enforcement . . . . . 411References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 413

16 Pitfalls Within the Horizontal System of Enforcement . . . . . . . . . . 41516.1 The Non-extradition of Nationals . . . . . . . . . . . . . . . . . . . . . . . 42816.2 The Military Offence Exemption . . . . . . . . . . . . . . . . . . . . . . . 436

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16.3 The Political Offence Exemption . . . . . . . . . . . . . . . . . . . . . . . 43716.4 The Double Criminality Rule . . . . . . . . . . . . . . . . . . . . . . . . . . 44816.5 The Exclusion of the Cause of the Criminal Action

by Reason of Amnesty . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 45416.6 Plea Bargaining . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 46516.7 Human Rights General Exceptions to Extraditions . . . . . . . . . . 467

16.7.1 The Right to a Fair Trial . . . . . . . . . . . . . . . . . . . . . . 47016.7.2 The Ne Bis in Idem Rule . . . . . . . . . . . . . . . . . . . . . . 47716.7.3 The Prohibition of Torture and Other Cruel,

Inhuman and Degrading Treatment or Punishment . . . . 49316.7.4 Death Row and the Death Penalty . . . . . . . . . . . . . . . . 507

16.8 Diplomatic Privileges and Immunities . . . . . . . . . . . . . . . . . . . 51816.8.1 Immunities Rationae Personae . . . . . . . . . . . . . . . . . . 51916.8.2 Immunities Rationae Materiae . . . . . . . . . . . . . . . . . . 522

References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 533

17 Concurrent State Obligations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 551References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 553

18 The Self-assumption of Jurisdiction: An Abuse of Processor a Necessary Evil? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 555References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 559

Part V Conclusion

19 The Obligation of States to Prevent, Prosecute and PunishCore Crimes . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 563References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 577

20 The Development of Functional InternationalConstitutionalism . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 581References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 584

21 The Exercise of Kompetenz-Kompetenz in the Determinationof Presumptive Jurisdiction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 58721.1 International Courts . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 58921.2 Domestic Courts . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 592References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 595

22 The Proliferation of Judicial Panels and Judicial Partnerships . . . . 597References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 601

23 Concluding Observations and Final Remarks . . . . . . . . . . . . . . . . . 603References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 615

Table of Cases . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 619

Index . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 657

xxii Contents

Abbreviations

ABA American Bar AssociationACIL Amsterdam Centre for International LawACJHR African Court of Justice and Human RightsACmmHPR African Commission on Human and Peoples’

RightsACtHPR African Court of Human and Peoples’ RightsAG Advocate GeneralAHRLJ African Human Rights Law JournalAHRLR African Human Rights Law ReportsAI Amnesty InternationalAIDP Association Internationale de Droit PénalAIDS Acquired Immune Deficiency SyndromeAIP Amnesty International PublicationsAJICL Arizona Journal of International and Comparative

LawAJIL American Journal of International LawAJLS African Journal of Legal StudiesAJPIL Austrian Journal of Public and International LawALJ Australian Law JournalAnx. AnnexA-P JHR Asia-Pacific Journal on Human RightsAPSR American Political Science ReviewAshgate Ashgate Publishing LimitedASIL American Society of International LawASP Assembly of State Parties to the Rome Statute

of the International Criminal CourtASR African Studies ReviewAsser Institute T.M.C. Asser InstituutAsser Press T.M.C. Asser Press

xxiii

AUILR American University International Law ReviewAULR Auckland University Law ReviewBasic Principles & Guidelines Basic Principles and Guidelines on the Right to a

Remedy and Reparation for Victims of GrossViolations of International Human Rights Lawand Serious Violations of InternationalHumanitarian Law

BCICLR Boston College International and ComparativeLaw Review

BEP Berkeley Electronic PressBiH Bosnia and HerzegovinaBIICL British Institute of International and Comparative

LawBJIL Berkeley Journal of International LawBLSR Berkeley Law Scholarship RepositoryBrill Koninklijke Brill N.V.BUILJ Boston University International Law JournalBWCC Bosnian War Crimes ChamberBYIL British Yearbook of International LawCaLR California Law ReviewCAP Carolina Academic PressCAR Central African RepublicCAT Convention Against TortureCgJIL Chicago Journal of International LawChJIL Chinese Journal of International LawCIA Central Intelligence AgencyCILJ Cornell International Law JournalCILRAP Centre for International Law Research and PolicyCISA Convention Implementing the Schengen

AgreementCJEL Columbia Journal of European LawCJTL Columbia Journal of Transnational LawCLF Criminal Law ForumCLJ Cambridge Law JournalCllUP Cornell University PressCLP Current Legal ProblemsCLR Criminal Law ReviewCLSC Crime, Law and Social ChangeCMP Cameron May Publishing LimitedCoE Council of EuropeCOJUR Comité JuridiqueCP Clarendon PressCPL Cavendish Publishing LimitedCREMS Convention Relating to Extradition between the

Member States of the European Union

xxiv Abbreviations

CUP Cambridge University PressD & H Dunker & Humblot GmbHDaesh Ad-Dawlah al-Islamiyah fil ‘Iraq wa ash-ShamDINA Dirección de Intelligencia Nacional, ChileDJCIL Duke Journal of Comparative and International

LawDoc. DocumentDPLR DePaul Law ReviewDRC The Democratic Republic of The CongoEAC Extraordinary African ChambersEAW European Arrest WarrantECCC Extraordinary Chambers in the Courts of

Cambodia for the Prosecution of CrimesCommitted During the Period of DemocraticKampuchea

ECE European Convention on ExtraditionECFI Court of First Instance of the European

CommunitiesECJ Court of Justice of the European UnionECMAC European Convention on Mutual Assistance in

Criminal MattersECtHR European Court of Human Rights and

Fundamental FreedomsECvHR European Convention for the Protection of

Human Rights and Fundamental Freedomsed. Editoredn. Editioneds. EditorsEE Edward Elgar Publishing LimitedEILR Emory International Law ReviewEJCCLCJ European Journal of Crime, Criminal Law and

Criminal JusticeEJIL European Journal of International LawEJIL: Talk! The Blog of the European Journal of International

LawEJLS European Journal of Legal StudiesEPPO European Public Prosecutor’s OfficeESPO Ethiopian Special Prosecutor’s OfficeETSPSC East Timor Special Panels for Serious CrimesEU European UnionEUCLR European Union Constitutional Law ReviewFARC Fuerzas Armadas Revolucionarias de ColombiaFEDEFAM Federación Latinoamericana de Asociaciones de

Familiares de Detenidos-Desaparecidos

Abbreviations xxv

FIDH Fédération Internationale des Ligues des Droitsde l’Homme

FILJ Fordham International Law JournalFP The Foundation PressFRA European Union Agency for Fundamental RightsFramework Decision on theEuropean Arrest Warrant

EU Council Framework Decision 2002/584 of the13th June 2002 on the European Arrest Warrantand the Surrender Procedures Between MemberStates 2000/584/JHA

FRG Federal Republic of GermanyFYIL Finnish Yearbook of International LawGAOR General Assembly Official RecordsGerman LJ German Law JournalGIP Graduate Institute PublicationsGiuffrè Giuffrè Editore S.p.A.GJIL Goettingen Journal of International LawGLJ Georgetown Law JournalGPO Government Printing OfficeGrJIL Georgetown Journal of International LawGULC Georgetown University Law CenterGUP Goettingen University PressGYIL German Yearbook of International LawHAIL The Hague Academy of International LawHCSS Hybrid Court for South SudanHHRJ Harvard Human Rights JournalHILJ Harvard International Law JournalHIV Human Immunodeficiency VirusHJIL Houston Journal of International LawHJJ Hague Justice JournalHoL House of LordsHP Hart PublishingHRB The Human Rights BriefHRC Human Rights CommitteeHRQ Human Rights QuarterlyHRW Human Rights WatchIACmmHR Inter-American Commission on Human RightsIACtHR Inter-American Court of Human RightsIACvHR Inter-American Convention on Human RightsIBA International Bar AssociationICC Statute Rome Statute of the International Criminal CourtICC International Criminal CourtICCPR International Covenant on Civil and Political

RightsICD of the HC of Kenya International Crimes Division of the High Court

of Kenya

xxvi Abbreviations

ICD of the HC of Uganda International Crimes Division of the High Courtof Uganda

ICD International Crimes Database, T.M.C. AsserInstitute

ICJ International Court of JusticeICJ Rep. Annual Reports of the International Court of

JusticeICJ Statute Statute of the International Court of JusticeICJR International Criminal Justice ReviewICLQ International and Comparative Law QuarterlyICLR International Criminal Law ReviewICRC International Committee of the Red CrossICT of Bangladesh International Crimes Tribunal (Bangladesh)ICTR International Criminal Tribunal for RwandaICTY International Criminal Tribunal for the Former

YugoslaviaIDEA International Institute for Democracy and

Electoral AssistanceIDI Institut de Droit InternationalIDJHRL Interdisciplinary Journal of Human Rights LawIHT Iraqi High TribunalIIIM International, Impartial and Independent

Mechanism to Assist in the Investigation andProsecution of Those Responsible for the MostSerious Crimes under International LawCommitted in the Syrian Arab Republic SinceMarch 2011

ILA International Law AssociationiLawyer iLawyer, a blog on international justiceILC Yearbook Yearbook of the International Law CommissionILC International Law CommissionILJ Indiana Law JournalILR Israel Law ReviewIMO International Maritime OrganizationIntersentia Intersentia PublishersIRRC International Review of the Red CrossISSJ International Social Science JournalIYIL Italian Yearbook of International LawJCL Journal of Criminal LawJCS Journal of Conflict StudiesJEP Jurisdicción Especial para la PazJHR Journal of Human RightsJHUP John Hopkins University PressJICJ Journal of International Criminal Justice

Abbreviations xxvii

JITE Journal of Institutional and TheoreticalEconomics

JSJ Journal of Social JusticeJW & SL John Wiley & Sons LimitedKLI Kluwer Law InternationalKRC Kampala Review Conference of the Rome Statute

of the International Criminal CourtKRP Kosovo Regulation 64 PanelsKSC Kosovo Specialist ChambersLCP Law and Contemporary ProblemsLHPS Long House Publishing ServicesLJIL Leiden Journal of International LawLLAICLR Loyola of Los Angeles International Law and

Comparative Law ReviewLongman Longman Publishing GroupLtd. LimitedMaklu Maklu PublishersMcGLJ McGill Law JournalMEDAC Mediterranean Academy of Diplomatic Studies,

University of MaltaMJECL Maastricht Journal of European and Comparative

LawMJIL Michigan Journal of International LawMLJ Mississippi Law JournalMnnJIL Minnesota Journal of International LawMNP Martinus Nijhoff PublishersMPYUNL Max Planck Yearbook of United Nations LawMS Mohr Siebeck GmbH & Co. KGMUP Manchester University Pressn. FootnoteNATO North Atlantic Treaty OrganisationNEJICL New England Journal of International and

Comparative LawNELR New England Law ReviewNGO Non-Governmental OrganisationNILR Netherlands International Law ReviewNJIHR Northwestern Journal of International Human

RightsNJIL Nordic Journal of International LawNlJIL Netherlands Journal of International LawNo. NumberNos. Numbersnotes FootnotesNQHR Netherlands Quarterly of Human RightsNY New York

xxviii Abbreviations

NYIL Netherlands Yearbook of International LawNYUJILP New York University Journal of International

Law and PoliticsNZJPIL New Zealand Journal of Public International LawOAS Organization of American StatesOJLS Oxford Journal of Legal StudiesOLAF Office Européen de la Lutte AntifraudeOPI Oceana Publications Inc.OTP Office of the Prosecutor of the International

Criminal CourtOUP Oxford University Pressp. Pagepara Paragraphparas ParagraphsPB Penguin BooksPCIJ Permanent Court of International JusticePE Pearson Education LimitedPGA Parliamentarians for Global ActionPiCT Project on International Courts and Tribunalspp. PagesPRI Peace Research InstitutePULP Pretoria University Law PressRBDI Revue Belge de Droit InternationalRDI Rivista di Diritto InternazionaleRIDP Revue internationale de droit pe nal: bulletin de

l'Association Internationale de Droit Pe nalRLP Rowman and Littlefield PublishersRound Hall Round Hall LimitedRPE Rules of Procedure and EvidenceRUF Revolutionary United FrontS & M Sweet & MaxwellSAJCJ South African Journal of Criminal JusticeSCJIL Santa Clara Journal of International lawSCSL Special Court for Sierra LeoneS-G Secretary-General of the United NationsSijthoff A.W. Sijthoff International Publishing

Company B.V.SJIL Stanford Journal of International LawSJLTA Southwestern Journal of Law and Trade in the

AmericasSpringer Springer-VerlagSTL Special Tribunal for LebanonSUP Stanford University PressSWCC Serbian War Crimes ChamberT & F Taylor & Francis Group

Abbreviations xxix

TBA Texas Bar AssociationTILJ Texas International Law JournalTJLR Thomas Jefferson Law ReviewTLR Texas Law ReviewTOAEP Torkel Opsahl Academic E-PublisherTP Transnational Publishers IncorporationTRAL Thomson Reuters (Professional) Australia

LimitedTRIAL Track Impunity AlwaysUCK Kosovo Liberation ArmyUCLALR University of California Los Angeles Law

ReviewUDHR Universal Declaration of Human RightsUK United KingdomULR Utrecht Law ReviewUMHRL University of Minnesota Human Rights LibraryUMJLR University of Michigan Journal of Law ReformUN United NationsUNAFEI United Nations Asia and Far East Institute for the

Prevention and the Treatment of OffendersUNC United Nations CharterUNCATOC United Nations Convention Against

Transnational Organized CrimeUNCHR United Nations Commission on Human RightsUNCLOS United Nations Convention on the Law of the SeaUNDP United Nations Development ProgrammeUNGA United Nations General AssemblyUNITA The National Union for the Total Independence

of AngolaUNODC United Nations Office on Drugs and CrimeUNSC United Nations Security CouncilUNTAET United Nations Transitional Administration in

East TimorUPLR University of Pennsylvania Law ReviewUSA United States of AmericaUTFLR University of Toronto Faculty of Law ReviewUTLR The University of Tulsa Law ReviewUvA Universiteit van Amsterdam (University of

Amsterdam)Vathek Vathek PublishingVCLT Vienna Convention on the Law of TreatiesVJIL Virginia Journal of International LawVol. VolumeVUA Vrije Universiteit Amsterdam (Free University of

Amsterdam)

xxx Abbreviations

WILJ Wisconsin International Law JournalWK Wolters KluwerYIHL Yearbook of International Humanitarian LawYJIA Yale Journal of International AffairsYJIL Yale Journal of International LawYLJ Yale Law JournalYUP Yale University Press

Abbreviations xxxi