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Understanding International Criminal Law

Ellen S. Podgor, Gary R. Trombley Family White-Collar Crime Research Professor and Professor of Law Stetson University College of Law; Roger S. Clark, Board of Governors Professor, Rutgers University School of Law
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International Order Inquiry
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This Understanding treatise is divided into four parts:
•  The first part provides a general overview, with definitions to key terms that appear throughout the book. It covers the area of jurisdiction, as this is the starting point in determining the applicability of using international law.
•  The second part covers selected areas of international criminal law. It is not exhaustive of all areas of international or transnational law. Choices of specific crimes to cover were made on the basis of showing a diversity of topics, new and developing areas such as computer crimes, and the older more traditional areas such as piracy. It provides materials on both violent and non-violent crimes. Areas of immediate importance, such as terrorism and narcotics trafficking, are discussed.
•  The third part covers procedural issues. It includes constitutional issues, immunities, obtaining evidence from abroad, obtaining people from abroad, and post conviction issues such as prisoner transfers.
•  The final part of this treatise covers the international aspects of international criminal law. In addition to examining what constitutes an international crime, it looks at human rights issues, international tribunals, and the International Criminal Court.

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Table of Contents

PART ONE GENERAL PRINCIPLES

Chapter 1 INTRODUCTION


1.01 Scope of International Criminal Law . . . . . . . . . . . . . . . . . . . . . . . 3


[A] International Aspects of National Criminal Law . . . . . . . . . . . . . . 4


[B] Criminal Aspects of International Law . . . . . . . . . . . . . . . . . . . . 4


1.02 Sources of International Criminal Law . . . . . . . . . . . . . . . . . . . . . 5


[A] Generally . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5


[B] The Lotus Case . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 6


[C] Customary International Law . . . . . . . . . . . . . . . . . . . . . . . . . . 7


1.03 Key Terms in International Criminal Law . . . . . . . . . . . . . . . . . . . 8


[A] Comity . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9


[B] Complementarity . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9


[C] Erga Omnes . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 10


[D] Extraterritoriality . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 10


[E] Jus Cogens . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 11


[F] Ne Bis in Idem . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 11

Chapter 2 GENERAL PRINCIPLES OF JURISDICTION


2.01 Generally . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 13




2.02 Extraterritorial Application of United States Statutes . . . . . . . . . . . . 14


[A] Explicit Statutory Authority for Extraterritorial Application . . . . . . 14


[B] Judicial Interpretation Permitting Extraterritorial Application . . . . . 15


2.03 Jurisdictional Bases . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 17


2.04 Jurisdiction to Prescribe . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 18


[A] Territorial Principle . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 18


[1] Special Territorial Jurisdiction . . . . . . . . . . . . . . . . . . . . . . . 19


[2] Objective Territoriality (“Effects Principle”) . . . . . . . . . . . . . . 20


[B] Nationality Principle . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 21


[C] Passive Personality Principle . . . . . . . . . . . . . . . . . . . . . . . . . 21


[D] Protective Principle . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 22


[E] Universality Principle . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 23


2.05 Emerging Principles—“Landing State” and “Transferred”
Jurisdiction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 25


2.06 Limitations to Jurisdiction to Prescribe . . . . . . . . . . . . . . . . . . . . 26


2.07 Procedural Issues Related to Jurisdiction . . . . . . . . . . . . . . . . . . . 27


[A] Detainees and Habeas Corpus . . . . . . . . . . . . . . . . . . . . . . . . . 27


[B] Military Commissions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 30


[C] Military Involvement in Civilian Criminal Matters . . . . . . . . . . . 32

PART TWO SPECIFIC APPLICATIONS


Chapter 3 BUSINESS CRIMES



3.01 Generally . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 37


3.02 Foreign Corrupt Practices Act . . . . . . . . . . . . . . . . . . . . . . . . . . 37


[A] History and Purpose . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 37


[B] Statutes . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 38


[C] Who is Liable . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 40


[D] Corruptly . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 41


[E] Nexus . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 41


3.03 Antitrust . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 42


3.04 Securities Regulation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 43

Chapter 4 EXPORT CONTROLS


4.01 Generally . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 45


4.02 Export Administration Act . . . . . . . . . . . . . . . . . . . . . . . . . . . . 46


4.03 Arms Export Control Act . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 48


4.04 Executive Export Restrictions and Trade Embargos . . . . . . . . . . . . 49

Chapter 5 COMPUTER CRIMES


5.01 Generally . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 51


5.02 National Dimension . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 52


5.03 International Dimension . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 52

Chapter 6 NARCOTICS AND MONEY LAUNDERING


6.01 Jurisdiction for Narcotics Prosecutions . . . . . . . . . . . . . . . . . . . . . 55


[A] Jurisdiction Generally . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 55


[B] “Effects” Jurisdiction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 56


[C] Questions of Law? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 57


[D] Role of the Coast Guard . . . . . . . . . . . . . . . . . . . . . . . . . . . . 57


6.02 International Narcotics Trafficking . . . . . . . . . . . . . . . . . . . . . . . 58


[A] National Prosecutions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 58


[B] International Cooperation . . . . . . . . . . . . . . . . . . . . . . . . . . . 58


6.03 Money Laundering . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 60


[A] Generally . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 60


[B] White Collar Crime Cases . . . . . . . . . . . . . . . . . . . . . . . . . . . 61


[C] Money Laundering Prosecution to Combat Terrorism . . . . . . . . . . 61


[D] International Cooperation . . . . . . . . . . . . . . . . . . . . . . . . . . . 62


6.04 Currency Transaction Reports . . . . . . . . . . . . . . . . . . . . . . . . . . 63

Chapter 7 PIRACY AND TERRORISM


7.01 Terrorism Generally . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 65

[A] Definition . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 65

[B] Terrorism Laws in the U.S. . . . . . . . . . . . . . . . . . . . . . . . . . . 67

[C] Foreign Intelligence Surveillance Act . . . . . . . . . . . . . . . . . . . . 70

7.02 Prosecuting Terrorism . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 73

7.03 Enemy Combatants . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 74

7.04 Piracy . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 78

7.05 Aircraft Hijacking and Sabotage . . . . . . . . . . . . . . . . . . . . . . . . . 79

7.06 Hostage Taking . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 81

Chapter 8 TRANSNATIONAL ORGANIZED CRIME

8.01 Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 83

8.02 The Core Obligation to Criminalize Group Activities . . . . . . . . . . . 85

8.03 The Obligation to Criminalize Laundering . . . . . . . . . . . . . . . . . . 88

8.04 The Criminalization of Corruption . . . . . . . . . . . . . . . . . . . . . . . 88

8.05 Criminal Responsibility of Legal Persons . . . . . . . . . . . . . . . . . . . 89

8.06 Gravity of Penalties . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 89

8.07 Forfeiture . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 90

8.08 Jurisdiction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 91

8.09 Procedural Matters . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 92

8.10 Review by the Conference of the Parties . . . . . . . . . . . . . . . . . . . 93

PART THREE PROCEDURE

Chapter 9 EXTRATERRITORIAL APPLICATION OF U.S. CONSTITUTION


9.01 Constitutional Rights Abroad . . . . . . . . . . . . . . . . . . . . . . . . . . . 97

9.02 Fourth Amendment . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 98

[A] Verdugo-Urquidez . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 98

[B] Beyond Verdugo-Urquidez . . . . . . . . . . . . . . . . . . . . . . . . . . 99

[1] Aliens Within the United States . . . . . . . . . . . . . . . . . . . . . . 99

[2] U.S. Citizens Outside the United States . . . . . . . . . . . . . . . . 100

[3] Substantial Connections . . . . . . . . . . . . . . . . . . . . . . . . . . 100

[C] Planes, Boats, and Borders . . . . . . . . . . . . . . . . . . . . . . . . . . 101

[D] Foreign Intelligence . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 101

9.03 Fifth Amendment . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 102

9.04 Sixth Amendment . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 104

Chapter 10 IMMUNITIES FROM JURISDICTION

10.01 Diplomatic, Consular, and Organizational Immunity . . . . . . . . . . . 107

[A] Generally . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 107

[B] Diplomatic Immunity . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 108

[C] Consular Immunity . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 109

[D] Persons Associated with International Organizations . . . . . . . . . 109

10.02 Head of State and Act of State Immunities . . . . . . . . . . . . . . . . . 112

[A] Generally . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 112

[B] Limitations of Head of State Immunity . . . . . . . . . . . . . . . . . . 113

[1] Who Is Entitled to Head of State Immunity? . . . . . . . . . . . . . 113

[2] Crimes Covered Under Head of State Immunity . . . . . . . . . . . 114

[3] Waiver of Head of State Immunity . . . . . . . . . . . . . . . . . . . 116

[C] The International Criminal Court and Head of State Immunity . . . 116

Chapter 11 OBTAINING EVIDENCE FROM ABROAD

11.01 Letters Rogatory . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 119

[A] Generally . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 119

[B] The Letters Rogatory Process . . . . . . . . . . . . . . . . . . . . . . . . 120

[C] Deficiencies of the Letters Rogatory Process . . . . . . . . . . . . . . 120

[D] Defense Use of Letters Rogatory . . . . . . . . . . . . . . . . . . . . . . 121

11.02 Mutual Legal Assistance Treaties and Executive Agreements . . . . . 121

11.03 Grand Jury Subpoenas and Depositions . . . . . . . . . . . . . . . . . . . 124

[A] Grand Jury Subpoenas . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 124

[B] Depositions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 125

Chapter 12 OBTAINING PERSONS FROM ABROAD

12.01 Generally . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 127

12.02 Extradition to the United States . . . . . . . . . . . . . . . . . . . . . . . . 129

[A] Extradition Procedure . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 129

[B] Rule of Speciality . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 131

[C] Dual Criminality Principle . . . . . . . . . . . . . . . . . . . . . . . . . . 132

[D] Refusal to Extradite to the United States . . . . . . . . . . . . . . . . . 132

12.03 Extradition from the United States . . . . . . . . . . . . . . . . . . . . . . . 134

[A] Authorization to Extradite . . . . . . . . . . . . . . . . . . . . . . . . . . 134

[B] Treaty Interpretation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 134

[1] Guiding Principles . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 134

[2] Parties to the Treaty . . . . . . . . . . . . . . . . . . . . . . . . . . . . 136

[C] Extradition Procedure . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 136

[1] 18 U.S.C. 3184 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 136

[2] Necessary Proof for an Extradition . . . . . . . . . . . . . . . . . . . 137

12.04 Political Offense Exception . . . . . . . . . . . . . . . . . . . . . . . . . . . 139

[A] Rationale for Political Offense Exception . . . . . . . . . . . . . . . . . 139

[B] What Is a Political Offense? . . . . . . . . . . . . . . . . . . . . . . . . . 139

[C] Proving a Political Offense . . . . . . . . . . . . . . . . . . . . . . . . . . 142

12.05 Luring . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 142

12.06 Abduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 143

[A] United States v. Alvarez-Machain . . . . . . . . . . . . . . . . . . . . . 143

[B] Other Abduction Cases . . . . . . . . . . . . . . . . . . . . . . . . . . . . 146

Chapter 13 PRISONER TRANSFER TREATIES AND OTHER POSTCONVICTION
PROBLEMS


13.01 Prisoner Transfer Treaties . . . . . . . . . . . . . . . . . . . . . . . . . . . . 149

13.02 Recognition of Foreign Criminal Judgments . . . . . . . . . . . . . . . . 152

PART FOUR THE PROSECUTION OF INTERNATIONAL CRIMES

Chapter 14 INTERNATIONAL CRIMES


14.01 What is an International Crime? . . . . . . . . . . . . . . . . . . . . . . . . 157

14.02 Related Concepts . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 158

14.03 Specific Crimes . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 160

[A] Aggression . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 160

[B] Genocide . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 167

[C] Crimes Against Humanity . . . . . . . . . . . . . . . . . . . . . . . . . . 171

[D] War Crimes . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 174

[E] Overlapping Crimes . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 182

14.04 The General Part of International Criminal Law . . . . . . . . . . . . . . 183

Chapter 15 INTERNATIONAL HUMAN RIGHTS AND CRIMINAL
PROCEDURE


15.01 General Principles . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 187

[A] Universal Declaration of Human Rights . . . . . . . . . . . . . . . . . 188

[B] International Covenant on Civil and Political Rights . . . . . . . . . . 190

15.02 Torture . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 193

[A] Generally . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 193

[B] Convention Against Torture . . . . . . . . . . . . . . . . . . . . . . . . . 194

[C] United States Laws Against Torture . . . . . . . . . . . . . . . . . . . . 196

[D] Sexual Violence as Torture . . . . . . . . . . . . . . . . . . . . . . . . . . 197

15.03 The Death Penalty . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 198

15.04 The Vienna Convention on Consular Relations . . . . . . . . . . . . . . . 200

15.05 United Nations Standards and Norms . . . . . . . . . . . . . . . . . . . . . 203

Chapter 16 INTERNATIONAL TRIBUNALS

16.01 Generally . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 205

16.02 Nuremberg Tribunal . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 206

16.03 International Military Tribunal for the Far East . . . . . . . . . . . . . . 210

16.04 Ad Hoc Tribunal for the Former Yugoslavia . . . . . . . . . . . . . . . . 212

16.05 Ad Hoc Tribunal for Rwanda . . . . . . . . . . . . . . . . . . . . . . . . . . 215

16.06 Special Court for Sierra Leone . . . . . . . . . . . . . . . . . . . . . . . . . 218

16.07 Extraordinary Chambers in the Courts of Cambodia . . . . . . . . . . . 221

16.08 Special Tribunal for Lebanon (Hariri Tribunal) . . . . . . . . . . . . . . 222

16.09 Kosovo and East Timor . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 224

16.10 Some Creative “International” and “Hybrid” Initiatives . . . . . . . . . 226

[A] Lockerbie . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 226

[B] Iraq . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 228

Chapter 17 ROME STATUTE OF THE INTERNATIONAL CRIMINAL COURT

17.01 Generally . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 229

17.02 The Statute . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 230

[A] Part One—Establishment of the Court . . . . . . . . . . . . . . . . . . 230

[B] Part Two—Jurisdiction, Admissibility and Applicable Law . . . . 231

[C] Part Three—General Principles of Criminal Law . . . . . . . . . . . 237

[D] Part Four—Composition and Administration of the Court . . . . . 241

[E] Part Five—Investigation and Prosecution . . . . . . . . . . . . . . . . 242

[F] Part Six—The Trial . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 244

[G] Part Seven—Penalties . . . . . . . . . . . . . . . . . . . . . . . . . . . . 248

[H] Part Eight—Appeal and Revision . . . . . . . . . . . . . . . . . . . . . 248

[I] Part Nine—International Cooperation and Judicial Assistance . . . 249

[J] Part Ten—Enforcement . . . . . . . . . . . . . . . . . . . . . . . . . . . 250

[K] Part Eleven—Assembly of States Parties . . . . . . . . . . . . . . . . 251

[L] Part Twelve—Financing . . . . . . . . . . . . . . . . . . . . . . . . . . 251

[M] Part Thirteen—Final Clauses . . . . . . . . . . . . . . . . . . . . . . . . 252

17.03 Adopting the Rome Statute . . . . . . . . . . . . . . . . . . . . . . . . . . . 253

17.04 The First Review Conference . . . . . . . . . . . . . . . . . . . . . . . . . . 255