国际刑法中的合法性原AutoDisplay

1、国际刑法中的合法性原则principle of legality in international criminal lawnullum crimen sine lege,nulla poena sine lege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罪刑法定价值之论证路径：罪刑法定其上位概念即法治原则目的为防止独裁者、寡头或多数人之恣意擅断以从根本上保障个体权利与自由1. 作为仪式的审判在严重失序中恢复法治2. 胜利者裁判的事实存在与自我约

2、束3. “两种犯罪”的异质性与不必要的担心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）*magna carta also called magna carta libertatumor the great charter of the liberties of england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. 1911.1.1.1a 大宪章相关条文

3、文本39. nullus liber homo capiatur, vel imprisonetur, aut disseisiatur, aut utlagetur, aut exuletur, aut aliquo modo destruatur, nec super eum ibimus, nec super eum mittemus, nisi per legale judicium parium suorum vel per legem terre.39. no freeman shall be captured, or imprisioned, or dispossessed, o

4、r outlawed, or exiled, or in any way destroyed, nor will we go upon him, nor will we send upon him, excepting by the legal judgement of his peers or by the laws of the land.39. 凡自由人，除经其同侪之合法裁判或依国家法律，不得被逮捕、收监、罚没、褫权、驱逐或以任何方式践踏，吾等亦不得动用武力或派遣军队对待之。a copy exhibited in the british library1.1.1.2 美国宪法中的禁止事后

5、法art. 1 9 (3) no bill of attainder or ex post facto law shall be passed.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) no state shall. pass any bill of attainder, ex post facto law.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the original exhibited in the nara1.1.1.2a 大宪章之传承权利法案正当程序条款article the seventh (amendment v due

6、 process clause) no person shall be held to answer for a capital, or otherwise infamous crime, unless on a presentment or indictment of a grand jury, except in cases arising in the land or naval forces, or in the militia, when in actual service in time of war or public danger; nor shall any person b

7、e subject for the same offence to be twice put in jeopardy of life or limb; nor shall be compelled in any criminal case to be a witness against himself, nor be deprived of life, liberty, or property, without due process of law; nor shall private property be taken for public use, without just compens

8、ation.第七条（第五修正案 正当程序条款） 非依大陪审团之起诉意见或公诉书，任何人不得受死罪或其他重大罪行之审判；惟于战争或社会动乱时期中，正在服役的陆海军或民兵中发生的案件，不在此例；人民不得为同一罪行而两次被置于危及生命或身体之处境；不得被强迫在任何刑事案件中自证其罪，不得不经正当法律程序而被剥夺生命、自由或财产；人民私有产业，如无合理赔偿，不得被征为公用。the original exhibited in the nara1.1.2 法国1.1.2.1 法国人权宣言（1789年）dclaration des droits de lhomme et du citoyenvii. nul

9、 homme ne peut tre accus, arrt ni dtenu que dans les cas dtermins par la loi, et selon les formes quelle a prescrites. ceux qui sollicitent, expdient, excutent ou font excuter des ordres arbitraires, doivent tre punis ; mais tout citoyen appel ou saisi en vertu de la loi, doit obir linstant : il se

10、rend coupable par la rsistance.vii. 除非在法律所规定的情况下并按照法律所指示的手续，不得控告、逮捕或拘留任何人。凡动议、发布、执行或令人执行专断命令者应受处罚；但根据法律而被传唤或被扣押的公民应当立即服从；抗拒则构成犯罪。a representation by jean-jacques-franois le barbier1.1.2.2 法国1791年刑法典绝对法定刑deuxime partie - des crimes et de leur punition.titre ii - crimes contre les particuliers. sectio

11、n i - crimes et attentats contre les personnes. article 8 lhomicide commis sans prmditation sera qualifi meurtre, et puni de la peine de vingt annes de fers. article 9 lorsque le meurtre sera la suite dune provocation violente, sans toutefois que le fait puisse tre qualifi homicide lgitime, il pourr

12、a tre dclar excusable, et la peine sera de dix annes de gne.第二编 各罪及刑罚第二章 针对个人的犯罪第一节 侵犯人身犯罪第八条 无预谋的杀人称作凶杀，处二十年禁锢。第九条 当凶杀由暴力挑衅引起，但不能被视作合法杀人的，或可予宽宥，处十年监禁。1.1.3 feuerbach之表述（1801年）paul johann anselm ritter von feuerbach现行德国普通刑法教科书lehrbuch des gemeinen, in deutschland geltenden peinlichen rechts无法无刑，无罪无刑

13、，无刑法无罪nulla poena sine lege.nulla poena sine crimine.nullum crimen sine poena legali.*无事先刑法，无罪无罚nullum crimen, nulla poena sine praevia lege poenali.1813年巴伐利亚刑法典bayerischen strafgesetzbuches von 1813*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, theorie des psychologischen z

14、wangs1.2.1.2 三权分立学说* montesquieu, trias politica1.2.1.3 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. 15 ff. , 1722*montesquieu, 1748, de lesprit des lois, 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.

15、1 政治自由主义 der politische liberalismus1.2.2.2.2 民主与分权 demokratie und gewaltenteilung1.2.2.2.3 一般预防 generalprvention1.2.2.2.4 罪责原则 das schuldprinzip*roxin, 1997, ati3, 5/18 ff.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, 5/7 ff. ; jesc

16、heck/weigend, 1996, at5, 15/iiiiv1.3.2 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.121.4 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，201

17、0，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）treaty of versailles2.1.1.1条约文本相关条文part vii penaltiesarticle 227. the allied and associated powers publicly arraign william ii of hohenzollern, formerly german emperor,

18、for a supreme offence against international morality and the sanctity of treaties.a special tribunal will be constituted to try the accused, thereby assuring him the guarantees essential to the right of defence. it will be composed of five judges, one appointed by each of the following powers: namel

19、y, the united states of america, great britain, france, italy and japan.in its decision the tribunal will be guided by the highest motives of international policy, with a view to vindicating the solemn obligations of international undertakings and the validity of international morality. it will be i

20、ts duty to fix the punishment which it considers should be imposed.the allied and associated powers will address a request to the government of the netherlands for the surrender to them of the ex-emperor in order that he may be put on trial.译文：第七章 刑罚第二百二十七条 协约诸国以违反国际道德及条约神圣性之极大罪行，公开控告霍恩索伦家族（王朝）威廉二世，

21、前德国皇帝。为审判被告人，将成立特別法庭，以向其确保必要的辩护权利。该法庭由五名法官组成，下列诸国各任命一名，即：美利坚合众国、大不列颠、法兰西、意大利、日本。在决定中法庭将受国际政策之至高意图为指引，并以确证国际承诺之神圣义务及国际道德之有效为目的。确定其认为当科之刑罚为其义务。协约诸国将向尼德兰（荷兰）政府提出引渡前德皇之请求，以令其接受审判。2.1.1.2 荷兰方面回应2.2.1 纽伦堡审判（1945年1946年） nuremburg trial2.2.1.1 作为审判依据的伦敦宪章london charter of the international military tribunal

22、 at nuremburgii. jurisdiction and general principlesarticle 6. the tribunal established by the agreement referred to in article 1 hereof for the trial and punishment of the major war criminals of the european axis countries shall have the power to try and punish persons who, acting in the interests

23、of the european axis countries, whether as individuals or as members of organizations, committed any of the following crimes.the following acts, or any of them, are crimes coming within the jurisdiction of the tribunal for which there shall be individual responsibility:(a) crimes against peace: name

24、ly, planning, preparation, initiation or waging of a war of aggression, or a war in violation of international treaties, agreements or assurances, or participation in a common plan or conspiracy for the accomplishment of any of the foregoing;(b) war crimes: namely, violations of the laws or customs

25、of war. such violations shall include, but not be limited to, murder, ill-treatment or deportation to slave labor or for any other purpose of civilian population of or in occupied territory, murder or ill-treatment of prisoners of war or persons on the seas, killing of hostages, plunder of public or

26、 private property, wanton destruction of cities, towns or villages, or devastation not justified by military necessity;(c) crimes against humanity: namely, murder, extermination, enslavement, deportation, and other inhumane acts committed against any civilian population, before or during the war; or

27、 persecutions on political, racial or religious grounds in execution of or in connection with any crime within the jurisdiction of the tribunal, whether or not in violation of the domestic law of the country where perpetrated. leaders, organizers, instigators and accomplices participating in the for

28、mulation or execution of a common plan or conspiracy to commit any of the foregoing crimes are responsible for all acts performed by any persons in execution of such plan.译文：第二章 管辖权及总原则第六条 法庭在第一条提及之协定基础上为使欧洲轴心国主要战犯受审及受罚而设立，其应有权审理及惩罚为轴心国利益行动而触犯下述罪名之个人或组织成员。下述诸行为，或其任一部分，皆为法庭管辖权内之犯罪，实施者应承担个人责任：(a) 违反和平

29、罪违反和平罪：即，计划、准备、发动或进行侵略战争，或违反国际条约、协定、承诺之战争，或为实现上述内容参与共谋或阴谋；(b) 战争罪战争罪：即，违反战争法或惯例。此种违反应含而不仅限于谋杀、虐待、奴役或因其他原因放逐属于占领区或在其内的平民，谋杀或虐待战俘或公海上的人，杀害人质，掠夺公私财产，任意毁坏城市、乡镇或农村，或不能被军事需要正当化的破坏；(c) 危害人类罪危害人类罪：即，在战争前或战争中针对平民人口实施的谋杀、灭绝、奴役、放逐及其他不人道行为；或在法庭管辖权内的犯罪的实行或关联行为中，因政治、种族、宗教原因进行迫害，无论是否触犯行为地国内法。在为实现上述犯罪的共谋或因阴谋中参与谋划或实

30、行的领导者、组织者、教唆者、帮助者，对实行犯罪计划的任何人所为之所有行为负责。2.2.1.2 判决书分析2.2.1.2.1 法庭管辖权合法性 legitimacy of the jurisdiction of the tribunalthe jurisdiction of the tribunal is defined in the agreement and charter. the making of the charter was the exercise of the sovereign legislative power by the countries to which the g

31、erman reich unconditionally surrendered; and the undoubted right of these countries to legislate for the occupied territories has been recognized by the civilized world. the charter is not an arbitrary exercise of power on the part of the victorious nations, but in the view of the tribunal, as will

32、be shown, it is the expression of international law existing at the time of its creation; and to that extent is itself a contribution to international law. in doing so, they have done together what any one of them might have done singly; for it is not to be doubted that any nation has the right thus

33、 to set up special courts to administer law. with regard to the constitution of the court, all that the defendants are entitled to ask is to receive a fair trial on the facts and law.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

34、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。2.1.1.2.2 辩护方意见 the defendents opinionit was urged on behalf of the defendants that a fundamental principle of all law - international and domestic - is that there can be no punishment of crime withou

35、t a pre-existing law. nullum crimen sine lege, nulla poena sine lege. it was submitted that ex post facto punishment is abhorrent to the law of all civilized nations, that no sovereign power had made aggressive war a crime at the time that the alleged criminal acts were committed, that no statute ha

36、d defined aggressive war, that no penalty had been fixed for its commission, and no court had been created to try and punish offenders.被告方强烈主张，包含国际法和国内法的所有法律，都有一项根本原则，即没有先在之法便不得有刑罚。“无法无罪，无法无罚。”其认为，事后刑罚乃是对所有文明国家法律之背弃，所谓犯行被实施时并无主权国家将侵略战争规定为犯罪，并无律条已界定侵略战争，实施该行为之刑罚未曾被限定，且审判及惩罚犯罪人之法院亦未被设曾立。2.2.1.2.3 法庭意见

37、 the view of the tribunalin the first place, it is to be observed that the maxim “nullum crimen sine lege” is not a limitation of sovereignty, but is in general a principle of justice. to assert that it is unjust to punish those who in defiance of treaties and assurances have attacked neighbouring s

38、tates without warning is obviously untrue, for in such circumstances the attacker must know that he is doing wrong, and so far from it being unjust to punish him, it would be unjust if his wrong were allowed to go unpunished. occupying the positions they did in the government of germany, the defenda

39、nts, or at least some of them, must have known of the treaties signed by germany, outlawing recourse to war for the settlement of international disputes; they must have known that they were acting in defiance of all international law when in complete deliberation they carried out their designs of in

40、vasion and aggression. on this view of the case alone, it would appear that the maxim has no application to the present facts.译文：首先，应注意到无法无罪之格言并非对主权的限制，而在总体上是一项正义原则。声称惩罚那些藐视条约和承诺不予警示地攻击邻国的人是不公正的，这显然不真实，因为在此种情境下攻击者必然知道他正在作恶，惩罚他非但不是不公正，甚至如果他的恶行被允许不受惩罚才是不公正。身处德国政府中的要职，诸被告人，或至少其中一些，必然知晓德国所签订之条约，禁止诉诸战争解决

41、国际争端；当他们经过深思熟虑将侵略和攻击的计划付诸实施时，他们必然知晓他们正在藐视国际法。关于此案仅以此种观点，似乎上述格言在现有事实上并无适用余地。. (i)t must be remembered that international law is not the product of an international legislature, and that such international agreements as the pact of paris have to deal with general principles of law, and not with admini

42、strative matters of procedure. the law of war is to be found not only in treaties, but in the customs and practices of states, which gradually obtained universal recognition, and from the general principles of justice applied by jurists and practised by military courts. indeed, in many cases treatie

43、s do no more than express and define for more accurate reference the principles of law already existing.必须谨记国际法并非由国际立法机关制定，如巴黎非战公约一类之国际协定只规定一般法律原则而非执行事务之程序。战争法并非只在条约中，亦在国家间习惯与实践中，慢慢获得世界性认同，并来源于法官所适用的，以及军事法院所实施的一般正义原则必然的，在许多案件中条约仅表达和定义已经存在的法律原则，以便更精确的引述。2.2.1.3 国际法基础摘录2.2.1.3.1 海牙公约（1899年及1907年）hague

44、 conventions1899年海牙公约之国际争端和平解决年海牙公约之国际争端和平解决pacific settlement of international disputes(b)efore an appeal to arms . to have recourse, as far as circumstances allow, to the good offices or mediation of one or more friendly powers.在诉诸武力前，只要情势允许，即应利用一个或多个友好国家的斡旋或调解。1907年海牙公约之关于公开战争行为之公约年海牙公约之关于公开战争行为之

45、公约convention relative to the opening of hostilitiesthe contracting powers recognize that hostilities between them must not commence without a previous and explicit warning, in the form of either a declaration of war, giving reasons, or an ultimatum with a conditional declaration of war.协议各方认同发生于彼此间之

46、战争行为不得不经事前明确示警，或以给出原因之宣战形式，或以最后通牒方式有条件地宣战。2.2.1.3.2 凡尔赛条约（1919年）treaty of versaillesbreaches of certain provisions:part iii. political clauses for europesection iii. left bank of the rhine ( 4244)section vi. austria ( 80)section vii. czecho-slovak state ( 81)section x. memel ( 99)section xi. free ci

47、ty of danzig ( 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）2.2.1.3.3 国际联盟盟约（1919年）covenant of the league of nationsthe high contracting parties. by the acceptance of obligations not to resort to war. agree to this covenant.art. 11 any war.

48、is. a matter of concern to the whole league, and the league shall take any action that may be deemed wise and effectual to safeguard the peace.art. 12 the members of the league agree. in no case to resort to war until three months after the award by the arbitrators or the report by the council.诸缔约国在

49、接受不诉诸战争之义务基础上同意此盟约第十一条 任何战争皆为整个联盟严重关切之事态，联盟将采取一切被认为明智而有效的行为以守护和平第十二条 联盟成员同意在仲裁或理事会报告裁定后三个月内绝不诉诸战争。2.2.1.3.4 罗加诺公约（1925年） locarno treatiestreaties of mutual guarantee with belgium, france, great britain and italy. arbitration treaties with czechoslovakia, belgium and poland.(arbitration treaties) art

50、icle i all disputes of every kind between germany and poland . which it may not be possible to settle amicably by the normal methods of diplomacy, shall be submitted for decision to an arbitral tribunal.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。仲裁条约仲裁条约 第一条第一条 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

51、裁法庭申请裁决。2.2.1.3.5 巴黎非战公约（1928年）the general treaty for the renunciation of war of 27th august, 1928, known as the pact of paris or the kellogg-briand pactpreamblethe president of the german reich, the president of the united states of america, his majesty the king of the belgians, the president of th

52、e french republic, his majesty the king of great britain ireland and the british dominions beyond the seas, emperor of india, his majesty the king of italy, his majesty the emperor of japan, the president of the republic of poland the president of the czechoslovak republic,deeply sensible of their s

53、olemn duty to promote the welfare of mankind; persuaded that the time has come when a frank renunciation of war as an instrument of national policy should be made to the end that the peaceful and friendly relations now existing between their peoples should be perpetuated . all changes in their relat

54、ions with one another should be sought only by pacific means. thus uniting civilised nations of the world in a common renunciation of war as an instrument of their national policy.前言译文：德意志帝国总统德意志帝国总统、美利坚合众国总统、比利时国王陛下、法兰西共和国总统、大不列颠爱尔兰及英属海外领地国王暨印度皇帝陛下、意大利国王陛下意大利国王陛下、日本天皇陛下日本天皇陛下、波兰共和国总统、捷克斯洛伐克共和国总统，因深

55、刻领会促进人类福祉之庄严使命；相信真诚放弃将战争作为国家政策手段之时刻已终于来临，各国人民间现存之和平友好关系应当永存；认诺彼此关系之任何变化应以温和手段寻求，并作为一和平有序过程之结果，今后任何诉诸战争以寻求促进其国家利益之签署国，其条约利益应不被承认。希望在签署国榜样之激励下，世上其他各国亦参与此人道努力，待该条约生效即加入之，以带领其人民进入其仁慈的条款范围，从而联合世界文明国家，普遍拒绝将战争作为国家政策工具。正文第一、二条及译文：article ithe high contracting parties solemly declare in the names of their re

56、spective peoples that they condemn recourse to war for the solution of international controversies, and renounce it, as an instrument of national policy in their relations with one another.第一条各缔约国以各自人民之名义庄严宣布，诸国谴责诉诸战争解决国际争端，并在彼此交往中，拒绝将其作为国家政策工具。article iithe high contracting parties agree that the s

57、ettlement or solution of all disputes or conflicts of whatever nature or of whatever origin they may be, which may arise among them, shall never be sought except by pacific means.第二条各缔约国同意，可能发生在诸国间的所有争议或冲突，无论何种性质，无论出于何种原因，其解决或处理仅得寻求和平手段。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the league of nat

58、ions 1924 protocol for the pacific settlement of international disputes(a) war of aggression constitutes a violation of this solidarity and is an international crime.国际联盟1927年9月24日大会宣言declaration of assembly of the league of nations on 24th september, 1927(a) war of aggression can never serve as a m

59、eans of settling international disputes, and is in consequence an international crime.2.2.2 东京审判 （1946年1948年） tokyo trial2.2.2.1 作为审判依据的远东国际军事法庭宪章charter of the international military tribunal for the far eastii jurisdiction and general provisionsarticle 5. jurisdiction over persons and offenses. th

60、e tribunal shall have the power to try and punish far eastern war criminals who as individuals or as members of organizations are charged with offenses which include crimes against peace.the following acts, or any of them, are crimes coming within the jurisdiction of the tribunal for which there sha