国际刑法中的合法性原则AutoDisplay

国际刑法中的合法性原那么

PrincipleofLegalityinInternationalCriminalLawNullumcrimensinelege,nullapoenasinelege目次1国内刑法罪刑法定原那么之回忆〔比较对象〕2国际刑法中合法性原那么之历史〔比较语境〕3国际刑法中合法性原那么之特性〔比较结论〕我的观点

国际刑法不需要罪行法定

合法性原那么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那么→目的为防止专制者、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束3.“两种犯罪〞的异质性与不必要的担忧1国内刑法罪刑法定原那么

之回忆1.1开展历史1.2思想渊源1.3下位原那么1.4中国命运1.1开展历史1.1.1普通法1.1.1.1英国大宪章〔1215年〕*MagnaCartaalsocalledMagnaCartaLibertatumorTheGreatCharteroftheLibertiesofEngland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大宪章相关条文文本39.Nullusliberhomocapiatur,velimprisonetur,autdisseisiatur,aututlagetur,autexuletur,autaliquomododestruatur,necsupereumibimus,necsupereummittemus,nisiperlegalejudiciumpariumsuorumvelperlegemterre.39.Nofreemanshallbecaptured,orimprisioned,ordispossessed,oroutlawed,orexiled,orinanywaydestroyed,norwillwegouponhim,norwillwesenduponhim,exceptingbythelegaljudgementofhispeersorbythelawsoftheland.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。ACopyExhibitedintheBritishLibrary1.1.1.2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……TheOriginalExhibitedintheNARA1.1.1.2a大宪章之传承——权利法案正当程序条款Articletheseventh(AmendmentVDueProcessClause)Nopersonshallbeheldtoanswerforacapital,orotherwiseinfamouscrime,unlessonapresentmentorindictmentofaGrandJury,exceptincasesarisinginthelandornavalforces,orintheMilitia,wheninactualserviceintimeofwarorpublicdanger;norshallanypersonbesubjectforthesameoffencetobetwiceputinjeopardyoflifeorlimb;norshallbecompelledinanycriminalcasetobeawitnessagainsthimself,norbedeprivedoflife,liberty,orproperty,withoutdueprocessoflaw;norshallprivatepropertybetakenforpublicuse,withoutjustcompensation.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。TheOriginalExhibitedintheNARA1.1.2法国1.1.2.1法国人权宣言〔1789年〕DéclarationdesDroitsdel’HommeetduCitoyenVII.Nulhommenepeutêtreaccusé,arrêténidétenuquedanslescasdéterminésparlaLoi,etselonlesformesqu’elleaprescrites.Ceuxquisollicitent,expédient,exécutentoufontexécuterdesordresarbitraires,doiventêtrepunis;maistoutCitoyenappeléousaisienvertudelaLoi,doitobéiràl’instant:ilserendcoupableparlarésistance.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分；但根据法律而被传唤或被扣押的公民应当立即服从；抗拒那么构成犯罪。ARepresentationbyJean-Jacques-FrançoisLeBarbier1.1.2.2法国1791年刑法典——绝对法定刑DEUXIÈMEPARTIE-Descrimesetdeleurpunition.TITREII-Crimescontrelesparticuliers.SECTIONI-Crimesetattentatscontrelespersonnes.Article8L'homicidecommissanspréméditationseraqualifiémeurtre,etpunidelapeinedevingtannéesdefers.Article9Lorsquelemeurtreseralasuited'uneprovocationviolente,sanstoutefoisquelefaitpuisseêtrequalifiéhomicidelégitime,ilpourraêtredéclaréexcusable,etlapeineseradedixannéesdegêne.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。1.1.3Feuerbach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思想根底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，2021，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〕*2021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罪责原那么DasSchuldprinzip*Roxin,1997,ATI3,5/18ff.1.3下位原那么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适正性禁止处分不当罚行为，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，2021，总论，第19页以下**王世洲，2021，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，2021，刑法学2版，第35页以下**陈兴良，2021，教义，第46页以下；张明楷，2021，刑法学4版，第53页以下***陈光中，2021，刑诉，第306页，第414页以下2国际刑法中合法性原那么

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.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，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，以下诸国各任命一名，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〕NuremburgTrial2.2.1.1作为审判依据的伦敦宪章LondonCharteroftheInternationalMilitaryTribunalatNuremburgII.JURISDICTIONANDGENERALPRINCIPLESArticle6.TheTribunalestablishedbytheAgreementreferredtoinArticle1hereofforthetrialandpunishmentofthemajorwarcriminalsoftheEuropeanAxiscountriesshallhavethepowertotryandpunishpersonswho,actingintheinterestsoftheEuropeanAxiscountries,whetherasindividualsorasmembersoforganizations,committedanyofthefollowingcrimes.Thefollowingacts,oranyofthem,arecrimescomingwithinthejurisdictionoftheTribunalforwhichthereshallbeindividualresponsibility:(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.译文：第二章管辖权及总原那么第六条法庭在第一条提及之协定根底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，或其任一局部，皆为法庭管辖权内之犯罪，实施者应承担个人责任：(a)违反和平罪：即，方案、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：即，违反战争法或惯例。此种违反响含而不仅限于谋杀、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：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行的领导者、组织者、教唆者、帮助者，对实行犯罪方案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奉献……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TheDefendents'OpinionItwasurgedonbehalfofthedefendantsthatafundamentalprincipleofalllaw-internationalanddomestic-isthattherecanbenopunishmentofcrimewithoutapre-existinglaw."Nullumcrimensinelege,nullapoenasinelege."Itwassubmittedthatexpostfactopunishmentisabhorrenttothelawofallcivilizednations,thatnosovereignpowerhadmadeaggressivewaracrimeatthetimethattheallegedcriminalactswerecommitted,thatnostatutehaddefinedaggressivewar,thatnopenaltyhadbeenfixedforitscommission,andnocourthadbeencreatedtotryandpunishoffenders.被告方强烈主张，包含国际法和国内法的所有法律，都有一项根本原那么，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TheViewoftheTribunalInthefirstplace,itistobeobservedthatthemaxim“nullumcrimensinelege〞isnotalimitationofsovereignty,butisingeneralaprincipleofjustice.ToassertthatitisunjusttopunishthosewhoindefianceoftreatiesandassuranceshaveattackedneighbouringStateswithoutwarningisobviouslyuntrue,forinsuchcircumstancestheattackermustknowthatheisdoingwrong,andsofarfromitbeingunjusttopunishhim,itwouldbeunjustifhiswrongwereallowedtogounpunished.OccupyingthepositionstheydidintheGovernmentofGermany,thedefendants,oratleastsomeofthem,musthaveknownofthetreatiessignedbyGermany,outlawingrecoursetowarforthesettlementofinternationaldisputes;theymusthaveknownthattheywereactingindefianceofallInternationalLawwhenincompletedeliberationtheycarriedouttheirdesignsofinvasionandaggression.Onthisviewofthecasealone,itwouldappearthatthemaximhasnoapplicationtothepresentfacts.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那么。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，禁止诉诸战争解决国际争端；当他们经过深思熟虑将侵略和攻击的方案付诸实施时，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)tmustberememberedthatInternationalLawisnottheproductofaninternationallegislature,andthatsuchinternationalagreementsasthePactofParishavetodealwithgeneralprinciplesoflaw,andnotwithadministrativemattersofprocedure.Thelawofwaristobefoundnotonlyintreaties,butinthecustomsandpracticesofStates,whichgraduallyobtaineduniversalrecognition,andfromthegeneralprinciplesofjusticeappliedbyjuristsandpractisedbymilitarycourts...Indeed,inmanycasestreatiesdonomorethanexpressanddefineformoreaccuratereferencetheprinciplesoflawalreadyexisting.…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那么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那么…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那么，以便更精确的引述。2.2.1.3国际法根底摘录2.2.1.3.1海牙公约〔1899年及1907年〕HagueConventions1899年海牙公约之国际争端和平解决PacificSettlementofInternationalDisputes(B)eforeanappealtoarms...tohaverecourse,asfarascircumstancesallow,tothegoodofficesormediationofoneormorefriendlyPowers.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ConventionRelativetotheOpeningofHostilitiesThecontractingPowersrecognizethathostilitiesbetweenthemmustnotcommencewithoutapreviousandexplicitwarning,intheformofeitheradeclarationofwar,givingreasons,oranultimatumwithaconditionaldeclarationofwar.协议各方认同发生于彼此间之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〕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〕2.2.1.3.3国际联盟盟约〔1919年〕CovenantoftheLeagueofNationsTHEHIGHCONTRACTINGPARTIES...bytheacceptanceofobligationsnottoresorttowar...agreetothisCovenant...Art.11Anywar...is...amatterofconcerntothewholeLeague,andtheLeagueshalltakeanyactionthatmaybedeemedwiseandeffectualtosafeguardthepeace...Art.12TheMembersoftheLeagueagree...innocasetoresorttowaruntilthreemonthsaftertheawardbythearbitratorsorthereportbytheCouncil.诸缔约国…在接受不诉诸战争之义务根底上…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〕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假设无法以正常外交方式友善解决，那么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...前言译文：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、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，其条约利益应不被成认。希望在签署国典范之鼓励下，世上其他各国亦参与此人道努力，待该条约生效即参加之，以带着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：ARTICLEITheHighContractingPartiessolemlydeclareinthenamesoftheirrespectivepeoplesthattheycondemnrecoursetowarforthesolutionofinternationalcontroversies,andrenounceit,asaninstrumentofnationalpolicyintheirrelationswithoneanother.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。ARTICLEIITheHighContractingPartiesagreethatthesettlementorsolutionofalldisputesorconflictsofwhatevernatureorofwhateverorigintheymaybe,whichmayariseamongthem,shallneverbesoughtexceptbypacificmeans.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其他国际法根底〔宣示而非约束〕：国际联盟1924年国际争端和平解决议定书TheLeagueofNations1924ProtocolforthePacificSettlementofInternationalDisputes(A)warofaggressionconstitutesaviolationofthissolidarityandisaninternationalcrime.国际联盟1927年9月24日大会宣言DeclarationofAssemblyoftheLeagueofNationson24thSeptember,1927(A)warofaggressioncanneverserveasameansofsettlinginternationaldisputes,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.译文：第二章管辖权及总规定第五条对人与犯罪之管辖权法庭应有权力审判并惩罚远东战犯，他们作为个人或组织成员被以包括违反和平罪在内的罪名起诉。下述诸行为，或其任一局部，皆为法庭管辖权内之犯罪，实施者应承担个人责任：(a)违反和平罪：即，方案、准备、发动或进行宣战或不宣战的侵略战争，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)普通战争罪：即，违反战争法或习惯；(c)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行的领导者、组织者、教唆者、帮助者，对实行犯罪方案的任何人所为之所有行为负责。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.译文：〔1〕通过最高统帅行事之诸同盟国并无权限将违反和平罪纳入法庭宪章并称其应受审判；〔2〕侵略战争并非实质违法，1928年放弃将战争作为国家政策手段的巴黎公约并未扩大战争犯罪之涵义，亦为明定战争犯罪；〔3〕战争是国家行为，故而于国际法上并无个人责任；〔4〕宪章条款乃事后立法故而非法；〔5〕成认波茨坦宣言效力之投降书使得在宣言日被国际法正式成认的普通战争罪应为仅有的被诉罪行；〔6〕在交战行动过程中的杀伤，除构成对战争规那么或法律及习惯之违反，乃是正常战争事件而非谋杀；〔7〕一些成为战俘之被告可被1929年日内瓦公约规定之军事法庭而非本法庭审判。2.2.2.2.3法庭意见TheViewoftheTribunalThey(theNuremburgTribunal)embodycompleteanswerstothefirstfour...thisTribunalpreferstoexpressitsunqualifiedadherencetotherelevantopinionsoftheNurembergTribunalratherthanbyreasoningthemattersanewinsomewhatdifferentlanguagetoopenthedoortocontroversybywayofconflictinginterpretationsofthetwostatementsofopinions...AggressivewarwasacrimeatinternationallawlongpriortothedateoftheDeclarationofPotsdam...ThelateChiefJusticeStone...said...Part3andArticle63,applyonlytojudicialproceedingsdirectedagainstaprisonerofwarforoffencescommittedwhileaprisonerofwar...他们〔纽伦堡法庭〕对前四个问题作出全面答复…本法庭宁愿对纽伦堡法庭相关意见表达无条件支持而非以略微不同的字句再次推理，从而使人利用两种意见陈述解释上的矛盾，敞开争议之门…侵略战争成为国际犯罪远早于波茨坦宣言日…前首席大法官斯通说，第三章六十三条仅适用于对犯罪时是战俘的犯人进行的司法程序…2.3.1世界人權宣言〔1948年〕UniversalDeclarationofHumanRights來自聯合國大會第三屆會議決議案二一七(三)，代碼A/RES/217(III)第十一條二．任何人在刑事上之行為或不行為，於其發生時依國家或國際法律均不構成罪行者，應不為罪。刑罰不得重於犯罪時法律之規定。Article112.Nooneshallbeheldguiltyofanypenaloffenceonaccountofanyactoromissionwhichdidnotconstituteapenaloffence,undernationalorinternationallaw,atthetimewhenitwascommitted.Norshallaheavierpenaltybeimposedthantheonethatwasapplicableatthetimethepenaloffencewascommitted.2.3.2欧洲人权公约〔1950年〕EuropeanConventionfortheProtectionofHumanRightsandFundamentalFreedomsArticle7–Nopunishmentwithoutlaw1.Nooneshallbeheldguiltyofanycriminaloffenceonaccountofanyactoromissionwhichdidnotconstituteacriminaloffenceundernationalorinternationallawatthetimewhenitwascommitted.Norshallaheavierpenaltybeimposedthantheonethatwasapplicableatthetimethecriminaloffencewascommitted.2.Thisarticleshallnotprejudicethetrialandpunishmentofanypersonforanyactoromissionwhich,atthetimewhenitwascommitted,wascriminalaccordingtothegeneralprinciplesoflawrecognisedbycivilisednations.第七条无法无罚1.任何人的作为或不作为，在其发生时依国内法或国际法不构成刑事犯罪者，不得认定为任何罪行。刑罚不得重于犯罪时可适用的刑罚。2.假设作为或不作为于行为时据文明国家所成认的一般法律原那么为刑事犯罪者，本条不得阻碍对任何人之作为或者不作为进行审判或者予以惩罚。2.3.3公民及政治權利國際盟約〔1966年〕InternationalCovenantonCivilandPoliticalRights聯合國大會一九六六年十二月十六日第２２００Ａ〔ＸＸＩ〕號決議通過並開放給各國簽字、批准和参加。按照第四十九條的規定，於一九七六年三月二十三日生效。第十五條一．任何人之行為或不行為，於發生當時依內國法及國際法均不成罪者，不為罪。刑罰不得重於犯罪時法律所規定。犯罪後之法律規定減科刑罰者，從有利於行為人之法律。二．任何人之行為或不行為，於發生當時依各國公認之一般法律原則為有罪者，其審判與刑罰不受本條規定之影響。Article151.Nooneshallbeheldguiltyofanycriminaloffenceonaccountofanyactoromissionwhichdidnotconstituteacriminaloffence,undernationalorinternationallaw,atthetimewhenitwascommitted.Norshallaheavierpenaltybeimposedthantheonethatwasapplicableatthetimewhenthecriminaloffencewascommitted.If,subsequenttothecommissionoftheoffence,provisionismadebylawfortheimpositionofthelighterpenalty,theoffendershallbenefitthereby.2.Nothinginthisarticleshallprejudicethetrialandpunishmentofanypersonforanyactoromissionwhich,atthetimewhenitwascommitted,wascriminalaccordingtothegeneralprinciplesoflawrecognizedbythecommunityofnations.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SelectiveArticleoftheStatuteoftheICTYArticle4Genocide1.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.译文：第4条灭绝种族1．国际法庭应有权对犯有本条第2款定义的灭绝种族罪的人或犯有本条第3款所列举任何其他行为的人予以起诉。2．灭绝种族指蓄意全部或局部消灭某一个民族、人种、种族或宗教团体，犯有以下行为之一：〔a〕杀害该团体的成员；〔b〕致使该团体的成员在身体上或精神上遭受严重伤害；〔c〕成心使该团体处于某种生活状况下，以消灭其全部或局部的声明；〔d〕强制实行方法，意图防止该团体内的生育；〔c〕强迫转移该