【作者】 洪永红；

【导师】 邱兴隆；

【作者基本信息】 湘潭大学 ， 诉讼法， 2007， 博士

【摘要】 1994年11月8日联合国安全理事会在其第3453次会议上通过第955(1994)号决议,决定成立卢旺达国际刑事法庭(International Criminal Tribunal for Rwanda, ICTR)。这是安理会继1993年成立前南斯拉夫国际刑事法庭(ICTY)之后建立的第二个国际刑事法庭。该法庭自成立至今,已运行近13年,但国人对其知之甚少,其关注程度远不及在其后成立的国际刑事法院,也不及在其前成立的前南斯拉夫国际刑事法庭。本文旨在探讨卢旺达国际刑事法庭的成立背景、管辖权、诉讼程序及其在国际刑法中的地位等。本文除导言和结语外共分六部分:第一部分阐述卢旺达国际刑事法庭的建立背景和法律依据。通过背景考察,分析卢旺达国际刑事法庭建立的前提条件和建立的必然性和合法性,认为卢旺达国际刑事法庭回避历史的做法,不利于卢旺达国际刑事法庭实现维护卢旺达的和平与稳定的目的。卢旺达国际刑事法庭建立的法律依据是联合国安理会的决议和《联合国宪章》第7章。它创造性地解释了《联合国宪章》第7章的相关条款,符合联合国宪章的宗旨,为维护世界的和平与公正作出了努力。第二部分分析卢旺达国际刑事法庭的组织机构。卢旺达国际刑事法庭的组织机构分为检察官、审判庭和书记官处三大机构。后来,为提高工作效率,对组织机构进行了改革,成立了协调理事会和管理委员会等内部机构。重点探讨了检察官和法官的任职资格和职能。卢旺达国际刑事法庭一方面赋予检察官以较大、较主动的侦查权,以尽可能地查明事实,打击国际犯罪,同时赋予犯罪嫌疑人诸如沉默权等权利,以保障犯罪嫌疑人的合法权益,试图吸收普通法系和大陆法系侦查制度的优点,为构建理想的国际刑事侦查制度做出了有益的尝试。就法官的独立性而言,法官的独立性并不意味法庭与世隔绝。独立性仅仅要求在司法职能中,并不影响行政性援助。安理会后来所采取的加速审判的措施亦不影响卢旺达国际刑事法庭的司法独立性。相反,这些措施的目的是为了支持卢旺达国际刑事法庭达到它的目标。第三部分通过分析纽伦堡法庭、东京法庭、前南斯拉夫国际刑事法庭和国际刑事法院的管辖权,从比较角度探讨卢旺达国际刑事法庭的管辖权;指出卢旺达国际刑事法庭与其他法庭管辖权的异同,并分析产生这种异同的原因;尤其对卢旺达国际刑事法庭的优先管辖权和其他国家的管辖权进行了分析。本部分揭示了国家主权的产生和发展,分析了卢旺达政府对建立卢旺达国际刑事法庭的态度,最终认为,卢旺达国际刑事法庭的管辖权,从国家主权角度来说,是来自卢旺达国家主权让渡的结果。第四部分重点论述卢旺达国际刑事法庭管辖的三种主要罪行,即灭绝种族罪、反人道罪和战争罪。重点分析这三种罪的犯罪要素。卢旺达国际刑事法庭关于灭绝人种罪的定义与1948年12月联合国大会通过的《防止及惩治灭绝种族公约》的定义基本相同,但在司法实践中有所发展。卢旺达国际刑事法庭关于反人道罪的定义是指因为民族、政治、族群、人种或宗教原因,在广泛的或系统的攻击中对平民犯有谋杀、灭绝、奴役、驱逐出境、监禁、酷刑、强奸、迫害和其他不人道行为的犯罪。”这一定义与其他诸如纽伦堡法庭、前南斯拉夫国际刑事法庭和国际刑事法院的定义均不同,有自己的独特性。第五部分对卢旺达国际刑事法庭的程序制度进行评析,以进一步论述卢旺达国际刑事法庭的性质、地位和作用。卢旺达国际刑事法庭的诉讼模式,是以英美法系的对抗式模式为主,兼容大陆法系的职权主义模式,而形成的“混合诉讼模式”。其目的是实现惩罚犯罪和维护人权相统一。第六部分总结卢旺达国际刑事法庭的特点,分析其对国际刑事司法发展的贡献。其主要体现在如下6个方面:(1)卢旺达国际刑事法庭是历史上首次建立专门审理非国际性武装冲突的国际刑事法庭;(2)卢旺达国际刑事法庭对国际法的主体和国际人道主义法的发展做出了贡献,确认了自然人的国际刑事责任,认为国际人道主义法可以适用于和平时期;(3)卢旺达国际刑事法庭扩大了国际刑事司法机构的管辖权,尤其是首次承认了普遍管辖权;(4)卢旺达国际刑事法庭进一步丰富和发展了关于种族灭绝罪、反人道罪和战争罪的内容;(5)卢旺达国际刑事法庭的建立和运行推动了非洲国际法学的发展并在一定程度上促进了常设性国际刑事法院的建立;(6)卢旺达国际刑事法庭在诉讼程序方面融合了普通法系和大陆法系的刑事诉讼程序的内容,为建立混合式的国际刑事诉讼程序作出了有益的尝试。更多还原

【Abstract】 The United Nations Security Council decided to create the International Criminal Court for Rwanda (ICTR) by resolution 955 (1994) passed at its 3453rd session on 8 November 1994, which is the second international criminal tribunal after the former International Criminal Tribunal for Yugoslavia (ICTY) created by the Security Council in 1993. Despite 13 years’operation since its establishment, the Chinese people know little about ICTR and they pay less concern to it than to International Criminal Court (ICC) after and ICTY before its creation. This thesis discusses the reasons to establish ICTR, its jurisdiction, procedure and its status in international criminal law.There are six parts in the thesis besides the Introduction and Concluding Remarks.Part One explores the background and legal basis of ICTR. The prerequisite, necessity and legality to create ICTR are analyzed through historical survey, and it is submitted that the disregard of history by ICTR is inconducive to the maintenance of peace and stability in Rwanda. ICTR is legally established in accordance with the resolution of the Security Council and Chapter VII of United Nations Charter by which the relevant provisions of Chapter VII of United Nations Charter are creatively interpreted, which complies with the principle of United Nations Charter and contributes to world’s peace and equity.Part Two analyzes the structure of ICTR. The Tribunal consists of three organs, namely, the Office of Prosecution, the Chambers and the Registry. Later some internal units such as Coordinating Council and Administration Committee were set up for efficiency after reform. The qualifications and functions of the prosecutors and judges are emphatically discussed, the prosecutors are accorded with great and active power to investigate by the ICTR on one hand to find out the facts as soon as possible to fight against international crimes, on the other hand, ICTR endows the suspects with such rights as the right to silence in order that their legal rights and interests are guaranteed, the Tribunal attempts to draw the investigatory advantages from the common and civil legal systems, which is a beneficial experiment to build an ideal international criminal investigation system. As to the impartiality of the judges, it does not mean that the tribunal should be isolated from the outside world. Impartiality is only required in the judicial function, it will not affect the administrative services, and also, it will not be affected by the measures that the Security Council adopted later to accelerate the trial, instead the measures are to help ICTR realize its aim.The jurisdiction of ICTR is examined in Part Three by comparing it with those of Nuremberg Tribunal, Tokyo Tribunal, ICTY and ICC. The differences between the jurisdictions of ICTR and other tribunals as well as the reasons for them are discussed, and the primacy jurisdiction of ICTR and the jurisdictions of other national courts are especially analyzed. Part Three probes the origin and development of international sovereignty, examines the attitude of Rwanda government towards the establishment of ICTR and finally concludes that the jurisdiction of ICTR is the result of the transfer of Rwandan sovereignty.Part Four mainly deals with the three crimes over which ICTR has competence, namely, crimes of genocide, crimes against humanity and war crimes, and analyzes the forms of them. The definition of crimes of genocide is basically the same as that in the Convention on the Prevention and Punishment of Crimes of Genocide adopted by the General Assembly of the United Nations in December 1948, though it has some development in the judicial practice. The crimes against humanity in ICTR refers to those committed as part of a widespread or systematic attack against any civilian population on national, political, ethnic, racial or religious grounds such as murder; extermination; enslavement; deportation; imprisonment; torture; rape; persecutions on political, racial and religious grounds; and other inhumane acts. This definition is very peculiar, different from those adopted in Nuremberg Tribunal, ICTY and ICC.Part Five comments on the procedure of ICTR to make further discussion of its nature, status and role. ICTR adopts the mixed procedure mode, combining primarily the Anglo-American adversary elements with the inquisitorial elements of civil legal system, in order to make balance between the punishment of crimes and the guarantee of human rights.Part Six summarizes its contribution to the development of international criminal law , which are manifested as the following: (1) ICTR is the first international tribunal for the trial of non-international armed conflict in history; (2) ICTR makes contribution in the area of the subjects of international law and the development of international humanitarian law by confirming the international criminal responsibility of individuals and the application of international humanitarian law in peaceful period; (3) ICTR extends the jurisdiction of international criminal justice body, especially it recognizes the universal jurisdiction by its legislation for the first time; (4) ICTR further enriches and develops the contents of crimes of genocide, crimes against humanity and war crimes; (5) The establishment and operation of ICTR enhance the development of international law in Africa and facilitate the creation of permanent international criminal court to some degree; (6) ICTR makes a beneficial experiment for the establishment of the mixed international criminal procedure by its combination of the procedural elements from common law system with those from civil law system.更多还原