国际刑法中的合法性原则AutoDisplay

国际刑法中的合法性原则

PrincipleofLegalityinInternationalCriminalLawNullumcrimensinelege,nullapoenasinelege目次1国内刑法罪刑法定原则之回顾（比较对象）2国际刑法中合法性原则之历史（比较语境）3国际刑法中合法性原则之特性（比较结论）我的观点

国际刑法不需要罪行法定

合法性原则只是审判者的自我正当化1国内刑法罪刑法定原则

之回顾1.1发展历史1.2思想渊源1.3下位原则1.4中国命运1.1发展历史1.1.1普通法1.1.1.1英国大宪章（1215年）*MagnaCarta

alsocalledMagnaCartaLibertatumorTheGreatCharteroftheLibertiesofEngland普通法中替代法定主义之正当程序浅析***Jescheck/Weigend,1996,AT5,15/II.1**Bassiouni,2003,IICL,p.191ACopyExhibitedintheBritishLibrary1.1.1.2美国宪法中的禁止事后法Art.1§9(3)

NoBillofAttainderorexpostfactoLawshallbepassed.第一条第九款第三项不得通过褫夺公权法案或事后法。Art.1§10(1)NoStateshall...passanyBillofAttainder,expostfactoLaw...第一条第十款第一项各州不得……通过任何褫夺公权法案、事后法……TheOriginalExhibitedintheNARATheOriginalExhibitedintheNARAARepresentationbyJean-Jacques-FrançoisLeBarbier1.1.3Feuerbach之表述（1801年）PaulJohannAnselmRittervonFeuerbach现行德国普通刑法教科书Lehrbuchdesgemeinen,inDeutschlandgeltendenpeinlichenRechts无法无刑，无罪无刑，无刑法无罪Nullapoenasinelege.Nullapoenasinecrimine.Nullumcrimensinepoenalegali.*无事先刑法，无罪无罚Nullumcrimen,nullapoenasinepraevialegepoenali.1813年巴伐利亚刑法典BayerischenStrafgesetzbuchesvon1813*Feuerbach,1801,S.20,§241.2思想基础1.2.1沿革意义*1.2.1.1心理强制说**Feuerbach,TheoriedespsychologischenZwangs1.2.1.2三权分立学说***Montesquieu,TriasPolitica1.2.1.3启蒙时期自然法思想*****此提法见张明楷，2011，刑法学四版，第51页**Feuerbach,1801,S.15ff.,§§17~22***Montesquieu,1748,DeL'espritDesLois,XI/6****Roxin,1997,ATI3,5/131.2.2现代意义1.2.2.1司法考试观点*1.2.2.1.1民主主义1.2.2.1.2尊重人权主义（自由主义）*2012年司法考试辅导用书（第二卷），第3页1.2.2.2现代刑法学观点*1.2.2.2.1政治自由主义DerpolitischeLiberalismus1.2.2.2.2民主与分权DemokratieundGewaltenteilung1.2.2.2.3一般预防Generalprävention1.2.2.2.4罪责原则DasSchuldprinzip*Roxin,1997,ATI3,5/18ff.1.3下位原则1.3.1通说观点*1.3.1.1严格（stricta）1.3.1.2成文（scripta）1.3.1.3事前（praevia）1.3.1.4确定（certa）*Roxin,1997,ATI3,5/7ff.;Jescheck/Weigend,1996,AT5,15/III~IV1.3.2实质侧面？1.3.2.1实质侧面的内容*1.3.2.1.1条文明确性1.3.2.1.2适正性禁止处罚不当罚行为，禁止残虐不均衡刑罚1.3.2.3反对意见**1.3.2.4德国学者的类似表述****山口厚，2011，总论，第19页以下**王世洲，2011，总论，第41页以下***Jescheck/Weigend,1996,AT5,4/II.1~21.4中国命运1.4.1积极的罪刑法定？*必罚主义之隐忧1.4.2几种解释**1.4.3联系新刑诉法的一点思考****曲新久，2009，刑法学2版，第35页以下**陈兴良，2010，教义，第46页以下；张明楷，2011，刑法学4版，第53页以下***陈光中，2012，刑诉，第306页，第414页以下2国际刑法中合法性原则

之历史2.1一战后2.2二战后2.3冷战中2.4冷战后2.5跨世纪2.1.1一战后的凡尔赛条约（1919年）TreatyofVersailles2.1.1.1条约文本相关条文PartVIIPenaltiesArticle227.TheAlliedandAssociatedPowerspubliclyarraignWilliamIIofHohenzollern,formerlyGermanEmperor,forasupremeoffenceagainstinternationalmoralityandthesanctityoftreaties.Aspecialtribunalwillbeconstitutedtotrytheaccused,therebyassuringhimtheguaranteesessentialtotherightofdefence.Itwillbecomposedoffivejudges,oneappointedbyeachofthefollowingPowers:namely,theUnitedStatesofAmerica,GreatBritain,France,ItalyandJapan.Initsdecisionthetribunalwillbeguidedbythehighestmotivesofinternationalpolicy,withaviewtovindicatingthesolemnobligationsofinternationalundertakingsandthevalidityofinternationalmorality.Itwillbeitsdutytofixthepunishmentwhichitconsidersshouldbeimposed.TheAlliedandAssociatedPowerswilladdressarequesttotheGovernmentoftheNetherlandsforthesurrendertothemoftheex-Emperorinorderthathemaybeputontrial.2.2.1纽伦堡审判（1945年~1946年）

NuremburgTrial2.2.1.1作为审判依据的伦敦宪章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判决书分析2.2.1.2.1法庭管辖权合法性LegitimacyoftheJurisdictionoftheTribunalThejurisdictionoftheTribunalisdefinedintheAgreementandCharter...ThemakingoftheCharterwastheexerciseofthesovereignlegislativepowerbythecountriestowhichtheGermanReichunconditionallysurrendered;andtheundoubtedrightofthesecountriestolegislatefortheoccupiedterritorieshasbeenrecognizedbythecivilizedworld.TheCharterisnotanarbitraryexerciseofpoweronthepartofthevictoriousnations,butintheviewoftheTribunal,aswillbeshown,itistheexpressionofInternationalLawexistingatthetimeofitscreation;andtothatextentisitselfacontributiontoInternationalLaw...Indoingso,theyhavedonetogetherwhatanyoneofthemmighthavedonesingly;foritisnottobedoubtedthatanynationhastherightthustosetupspecialcourtstoadministerlaw.WithregardtotheconstitutionoftheCourt,allthatthedefendantsareentitledtoaskistoreceiveafairtrialonthefactsandlaw.译文：本法庭管辖权由协定及宪章赋予……制定宪章乃接受德意志帝国无条件投降诸国最高立法权之运用；文明世界对诸国为占领区立法之权力殆无疑问。宪章并非战胜国一方权力之恣意行使，相反依本法庭将予释明之观点，乃是对制定当下现存国际法之表述；且在此范围内本身亦是对国际法之贡献……由此，诸国携手完成原本可能由其任一单独完成之工作；因为任一国家有权设立特别法庭执行法律此点无可置疑。关于法庭之组建，诸被告人有权要求的便仅是基于事实和法律得到一个公正的审判。2.2.1.2.3法庭意见TheViewoftheTribunalInthefirstplace,itistobeobservedthatthemaxim“nullumcrimensinelege”isnotalimitationofsovereignty,butisingeneralaprincipleofjustice.ToassertthatitisunjusttopunishthosewhoindefianceoftreatiesandassuranceshaveattackedneighbouringStateswithoutwarningisobviouslyuntrue,forinsuchcircumstancestheattackermustknowthatheisdoingwrong,andsofarfromitbeingunjusttopunishhim,itwouldbeunjustifhiswrongwereallowedtogounpunished.OccupyingthepositionstheydidintheGovernmentofGermany,thedefendants,oratleastsomeofthem,musthaveknownofthetreatiessignedbyGermany,outlawingrecoursetowarforthesettlementofinternationaldisputes;theymusthaveknownthattheywereactingindefianceofallInternationalLawwhenincompletedeliberationtheycarriedouttheirdesignsofinvasionandaggression.Onthisviewofthecasealone,itwouldappearthatthemaximhasnoapplicationtothepresentfacts.2.2.1.3.2凡尔赛条约（1919年）TreatyofVersaillesBreachesofcertainprovisions:PartIII.PoliticalClausesforEuropeSectionIII.LeftBankoftheRhine(§§42~44)SectionVI.Austria(§80)SectionVII.Czecho-SlovakState(§81)SectionX.Memel(§99)SectionXI.FreeCityofDanzig(§100)特定条款之违反：第三章欧洲政治条款第三节撤离莱茵河畔（第四十二至四十四条）第六节奥地利（第八十条）第七节捷克斯诺伐克国（第八十一条）第十节梅梅尔（第九十九条）第十一节但泽自由城（第一百条）2.2.1.3.4罗加诺公约（1925年）LocarnoTreatiesTreatiesofmutualguaranteewithBelgium,France,GreatBritainandItaly.ArbitrationtreatieswithCzechoslovakia,BelgiumandPoland.(ArbitrationTreaties)ArticleIAlldisputesofeverykindbetweenGermanyandPoland...whichitmaynotbepossibletosettleamicablybythenormalmethodsofdiplomacy,shallbesubmittedfordecisiontoanarbitraltribunal...与比利时、法国、大不列颠和意大利签订互相担保条约，与捷克斯诺伐克、比利时和波兰签订仲裁条约。仲裁条约第一条德国与波兰等国间所有类型任何争议若无法以正常外交方式友善解决，则应向仲裁法庭申请裁决。2.2.1.3.5巴黎非战公约（1928年）TheGeneralTreatyfortheRenunciationofWarof27thAugust,1928,knownasthePactofParisortheKellogg-BriandPactPreambleTHEPRESIDENTOFTHEGERMANREICH,THEPRESIDENTOFTHEUNITEDSTATESOFAMERICA,HISMAJESTYTHEKINGOFTHEBELGIANS,THEPRESIDENTOFTHEFRENCHREPUBLIC,HISMAJESTYTHEKINGOFGREATBRITAINIRELANDANDTHEBRITISHDOMINIONSBEYONDTHESEAS,EMPEROROFINDIA,HISMAJESTYTHEKINGOFITALY,HISMAJESTYTHEEMPEROROFJAPAN,THEPRESIDENTOFTHEREPUBLICOFPOLANDTHEPRESIDENTOFTHECZECHOSLOVAKREPUBLIC,Deeplysensibleoftheirsolemndutytopromotethewelfareofmankind;persuadedthatthetimehascomewhenafrankrenunciationofwarasaninstrumentofnationalpolicyshouldbemadetotheendthatthepeacefulandfriendlyrelationsnowexistingbetweentheirpeoplesshouldbeperpetuated...allchangesintheirrelationswithoneanothershouldbesoughtonlybypacificmeans...thusunitingcivilisednationsoftheworldinacommonrenunciationofwarasaninstrumentoftheirnationalpolicy...2.2.1.3.6其他国际法基础（宣示而非约束）：国际联盟1924年国际争端和平解决议定书TheLeagueofNations1924ProtocolforthePacific

SettlementofInternationalDisputes(A)warofaggressionconstitutesa

violationofthissolidarityandisaninternationalcrime.国际联盟1927年9月24日大会宣言DeclarationofAssemblyoftheLeagueofNationson24thSeptember,1927(A)warofaggressioncanneverserveasameansofsettlinginternational

disputes,andisinconsequenceaninternationalcrime...2.2.2东京审判（1946年~1948年）TokyoTrial2.2.2.1作为审判依据的远东国际军事法庭宪章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判决书分析2.2.2.2.1法庭管辖权合法性LegitimacyoftheJurisdictionoftheTribunalInouropinionthelawoftheCharterisdecisiveandbindingontheTribunal.ThisisaspecialtribunalsetupbytheSupremeCommanderunderauthorityconferredonhimbytheAlliedPowers...Intheexerciseoftheirrighttocreatetribunals...belligerentpowersmayactonlywithinthelimitsofinternationallaw.我们认为宪章之法乃决定性的并约束本法庭。本法庭由最高统帅依诸同盟国授予之权限设立…在其设立法庭之权利行使中…交战国仅得在国际法界限内为任何行为。2.2.2.2.2辩护方意见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前南斯拉夫问题国际刑事法庭（1993年）TheInternationalCriminalTribunalfortheformerYugoslavia2.4.1.1法庭规约摘录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夫伦基亚案法庭意见（1998年）TribunalOpinionofProsecutorv.AntoFurundžija...(I)tfallstotheTrialChambertoestablishwhetheranappropriatesolutioncanbereachedbyresortingtothegeneralprinciplesof

internationalcriminallawor,ifsuchprinciplesareofnoavail,tothegeneralprinciples

ofinternationallaw...(t)hegeneralprincipleofrespectforhumandignity...TheTrialChamberthereforeconsidersthat,toarriveatanaccuratedefinitionofrapebasedonthecriminallawprincipleofspecificity(Bestimmtheitgrundsatz,alsoreferredtobythemaxim“nullumcrimensinelegestricta”),itisnecessarytolookforprinciplesofcriminallawcommontothemajorlegalsystemsoftheworld.Theseprinciplesmaybederived,withallduecaution,fromnationallaws...theTrialChamberisoftheopinionthatitisnotcontrarytothegeneralprincipleofnullumcrimensinelegetochargeanaccusedwithforcibleoralsexasrapewheninsomenationaljurisdictions,includinghisown,hecouldonlybechargedwithsexualassaultinrespectofthesameacts.译文：…这样一项任务落到审判庭头上，即决定是否能达成适当的解决方案，通过诉诸国际刑法普遍原则，或该种原则不起效果时诉诸国际法原则…尊重人格尊严之普遍原则…故审判庭考虑，在明确性的刑法原则（Bestimmtheitgrundsatz亦以格言形式表达为"nullumcrimensinelegestricta"）上，对强奸进行精确定义，需要考察世界主要法律体系中普遍的刑法原则。怀着所有应有的审慎，此种原则可能来自于国家法律之规定…审判庭认为将被告强迫口交之行为作为强奸罪起诉并不违反罪刑法定之普遍原则，即使在一些司法体系，包括被告本人所在的，被告仅可能被以性骚扰起诉。2.4.2卢旺达问题国际刑事法庭（1994）InternationalCriminalTribunalforRwanda法庭规约摘录SelectiveArticleoftheStatuteoftheICTRArticle2Genocide1.TheInternationalTribunalforRwandashallhavethepowertoprosecutepersonscommittinggenocideasdefinedinparagraph2ofthisarticleorofcommittinganyoftheotheractsenumeratedinparagraph3ofthisarticle.2.Genocidemeansanyofthefollowingactscommittedwithintenttodestroy,inwholeorinpart,anational,ethnical,racialorreligiousgroup,assuch:(a)Killingmembersofthegroup;(b)Causingseriousbodilyormentalharmtomembersofthegroup;(c)Deliberatelyinflictingonthegroupconditionsoflifecalculatedtobringaboutitsphysicaldestructioninwholeorinpart;(d)Imposingmeasuresintendedtopreventbirthswithinthegroup;(e)Forciblytransferringchildrenofthegrouptoanothergroup.3.Thefollowingactsshallbepunishable: