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Volumn 88, Issue , 2006, Pages 375-398

The principles of universal jurisdiction and complementarity: How do the two principles intermesh?

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EID: 85008907130     PISSN: 18163831     EISSN: 16075889     Source Type: Journal    
DOI: 10.1017/S1816383106000580     Document Type: Article
Times cited : (42)

References (55)
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    • See e.g.
    • See e.g. Kenneth C. Randall, ‘Universal jurisdiction under international law’, Texas Law Review, No. 66 (1988), pp. 785–8
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  • 3
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    • It should be noted that the principle of universal jurisdiction is not per se limited to criminal jurisdiction and could be extended, for instance, to civil responsibility. This is e.g. the case in the United States with the Alien Tort Act para. 1350
    • It should be noted that the principle of universal jurisdiction is not per se limited to criminal jurisdiction and could be extended, for instance, to civil responsibility. This is e.g. the case in the United States with the Alien Tort Act (28 U.S.C. para. 1350)
    • U.S.C , vol.28
  • 4
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    • the well-known decision 2d Cir However, considering the framework of this article, only universal jurisdiction linked to individual criminal responsibility will be considered
    • the well-known decision Filartiga v. Pena-Irala 630 F2d 876 (2d Cir. 1980). However, considering the framework of this article, only universal jurisdiction linked to individual criminal responsibility will be considered.
    • (1980) F2d , vol.630 , pp. 876
  • 6
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    • La compétence universelle
    • in Hervé Ascencio, Emmanuel Decaux and Alain Pellet (eds.) Ed. Pédone, Paris
    • Géraud de La Pradelle, ‘La compétence universelle’, in Hervé Ascencio, Emmanuel Decaux and Alain Pellet (eds.), Droit international pénal, Ed. Pédone, Paris, 2000, p. 974.
    • (2000) Droit international pénal , pp. 974
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    • See Book II, Chap. XXI, para. 3
    • See Grotius, De Jure Belli ac Pacis, 1625, Vol. II, Book II, Chap. XXI, para. 3, 1–2.
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    • 5 Weat See for instance at 161–2
    • See for instance United States v. Smith, 18 US (5 Weat.) 153 at 161–2 (1820).
    • (1820) US , vol.18 , pp. 153
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    • 85022955876 scopus 로고    scopus 로고
    • 3rd edn, Bruylant, Brussels Under the London Agreement of 8 August 1945, Article 1 provided for the jurisdiction of the Tribunal for crimes having no precise geographical location and Article 4 for the jurisdiction of national courts over other war criminals. As Eric David puts it, this has more to do with judicial co-operation between states than with universal jurisdiction However, within these provisions the spirit of universal jurisdiction (no safe haven for perpetrators of international crimes) was already present
    • Under the London Agreement of 8 August 1945, Article 1 provided for the jurisdiction of the Tribunal for crimes having no precise geographical location and Article 4 for the jurisdiction of national courts over other war criminals. As Eric David puts it, this has more to do with judicial co-operation between states than with universal jurisdiction (Le droit des conflits armés, 3rd edn, Bruylant, Brussels, 2002, p. 722). However, within these provisions the spirit of universal jurisdiction (no safe haven for perpetrators of international crimes) was already present.
    • (2002) Le droit des conflits armés , pp. 722
  • 10
    • 85022970192 scopus 로고    scopus 로고
    • Also sometimes called grave breaches of international humanitarian law. See common articles Article 49
    • Also sometimes called grave breaches of international humanitarian law. See common articles GC I, Article 49
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    • Article 50
    • GC II, Article 50
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    • Article 129
    • GC III, Article 129
    • GC , vol.III
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    • Article 146. See also the extension made by Article 85 of Additional Protocol I to the Geneva Conventions to the listed crimes
    • GC IV, Article 146. See also the extension made by Article 85 of Additional Protocol I to the Geneva Conventions to the listed crimes.
    • GC , vol.IV
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    • See Supr. Ct of Israel, Eichmann case, at 298–300
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    • Supr. Ct of Canada
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    • Supr. Ct of Canada, Finta, 24 March 1994, ILR, 104, at 305.
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    • above note 12
    • Eichmann case, above note 12.
    • Eichmann case
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    • 6th Cir., 31.10.1985, ILR
    • Demanjuk v. Petrovsky, US Court of Appeal, 6th Cir., 31.10.1985, ILR 79, 546.
    • US Court of Appeal , vol.79 , pp. 546
  • 18
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    • 24 March 1999 (HL)
    • House of Lords, 24 March 1999, [1999] 2 WLR 827 (HL).
    • (1999) WLR , vol.2 , pp. 827
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    • 8 June available at (last visited March 2006)
    • Cour d'Assises de Bruxelles, 8 June 2001, available at (last visited March 2006).
    • (2001) Cour d'Assises de Bruxelles
  • 20
    • 0041161200 scopus 로고    scopus 로고
    • May See e.g. ‘Final report’, above note 4. The following fourteen principles are usually accepted as the guiding principles on universal jurisdiction. They have been inspired by the Princeton principles, above note 5, and are also referred to by non-governmental organizations (NGOs) promoting the principle of universal jurisdiction. See AI Index: IOR 53/01/99
    • See e.g. ‘Final report’, above note 4. The following fourteen principles are usually accepted as the guiding principles on universal jurisdiction. They have been inspired by the Princeton principles, above note 5, and are also referred to by non-governmental organizations (NGOs) promoting the principle of universal jurisdiction. See Amnesty International, ‘Universal Jurisdiction: 14 Principles on the Effective Exercise of Universal Jurisdiction’, May 1999, AI Index: IOR 53/01/99: 1.
    • (1999) Universal Jurisdiction: 14 Principles on the Effective Exercise of Universal Jurisdiction , pp. 1
  • 21
    • 4344658597 scopus 로고    scopus 로고
    • See Oxford University Press, Oxford
    • See Antonio Cassese, International Criminal Law, Oxford University Press, Oxford, 2003, p. 285.
    • (2003) International Criminal Law , pp. 285
    • Cassese, A.1
  • 22
    • 85022928775 scopus 로고    scopus 로고
    • 11 April On this issue of trial in abstentia see the ICJ case Case, 14.02.02. ICJ Rep. 2002
    • On this issue of trial in abstentia see the ICJ case Democratic Republic of Congo v. Belgium, Warrant Arrest 11 April 2000 Case, 14.02.02. ICJ Rep. 2002.
    • (2000) Warrant Arrest
  • 23
    • 0040374558 scopus 로고    scopus 로고
    • Primacy or complementarity: Reconciling the jurisdiction of national courts and international criminal tribunals
    • Bartram S. Brown, ‘Primacy or complementarity: Reconciling the jurisdiction of national courts and international criminal tribunals’, Yale Journal of International Law, Vol. 23, p. 386. 1998.
    • (1998) Yale Journal of International Law , vol.23 , pp. 386
    • Brown, B.S.1
  • 24
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    • Comparative complementarity: Domestic jurisdiction consistent with the Rome Statute of the ICC
    • But see, on the limited impact of this change March
    • But see, on the limited impact of this change: Michael A. Newton, ‘Comparative complementarity: Domestic jurisdiction consistent with the Rome Statute of the ICC’, Military Law Review, Vol. 167 (March 2001), p. 20.
    • (2001) Military Law Review , vol.167 , pp. 20
    • Newton, M.A.1
  • 25
    • 23944434696 scopus 로고    scopus 로고
    • The principle of complementarity: A new machinery to implement international criminal law
    • Summer
    • Mohamed M. El Zeidy, ‘The principle of complementarity: A new machinery to implement international criminal law’, Michigan Journal of International Law, Vol. 23 (Summer 2002), p. 870.
    • (2002) Michigan Journal of International Law , vol.23 , pp. 870
    • El Zeidy, M.M.1
  • 26
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    • See e.g. above note 18
    • See e.g. Cassese, above note 18, p. 351.
    • Cassese1
  • 28
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    • Complementarity: National courts versus the ICC
    • Oxford University Press, Oxford in A. Cassese, P. Gaeta, J. R. W. D. Jones (eds.) ch. 18.1
    • John T. Holmes, ‘Complementarity: National courts versus the ICC’, in A. Cassese, P. Gaeta, J. R. W. D. Jones (eds.), The Rome Statute of the International Criminal Court: A Commentary, Oxford University Press, Oxford, 2002, ch. 18.1, p. 672.
    • (2002) The Rome Statute of the International Criminal Court: A Commentary , pp. 672
    • Holmes, J.T.1
  • 29
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    • above note 22
    • Brown, above note 22, p. 389.
    • Brown1
  • 30
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    • above note 29, ch. 18.1
    • Holmes, above note 29, ch. 18.1, p. 671.
    • Holmes1
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    • above note 29
    • Holmes, above note 29, p. 677.
    • Holmes1
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    • See, e.g., Supplementary Convention on the Abolition of Slavery, the Slave Trade, and Institutions and Practices Similar to Slavery, 4 Sept
    • See, e.g., Supplementary Convention on the Abolition of Slavery, the Slave Trade, and Institutions and Practices Similar to Slavery, 4 Sept. 1956, 266 UNTS 3
    • (1956) UNTS , vol.266 , pp. 3
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    • International Convention on the Suppression and Punishment of the Crime of Apartheid, adopted 30 Nov
    • International Convention on the Suppression and Punishment of the Crime of Apartheid, adopted 30 Nov. 1973, 1015 UNTS 244
    • (1973) UNTS , vol.1015 , pp. 244
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    • Convention for the Suppression of Unlawful Seizure of Aircraft
    • opened for signature 16 Dec
    • Convention for the Suppression of Unlawful Seizure of Aircraft, opened for signature 16 Dec. 1970, 10 ILM 133
    • (1970) ILM , vol.10 , pp. 133
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    • Convention for the Suppression of Unlawful Acts against the Safety of Civil Aviation
    • opened for signature 23 Sept
    • Convention for the Suppression of Unlawful Acts against the Safety of Civil Aviation, opened for signature 23 Sept. 1971, 10 ILM 1151
    • (1971) ILM , vol.10 , pp. 1151
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    • International Convention against the Taking of Hostages
    • adopted 12 Dec
    • International Convention against the Taking of Hostages, adopted 12 Dec. 1979, G.A. Res. 34-146
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    • UN GAOR
    • 34th Sess., Supp UN Doc. A/34/819
    • UN GAOR, 34th Sess., Supp. No. 99, UN Doc. A/34/819, 18 ILM 1456 (1979)
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    • Convention against Torture and Other Cruel, Inhuman or Degrading Treatment or Punishment
    • adopted 10 Dec S. Treaty Doc. N. 100–20
    • Convention against Torture and Other Cruel, Inhuman or Degrading Treatment or Punishment, adopted 10 Dec. 1984, S. Treaty Doc. N. 100–20, 1465 UNTS 85.
    • (1984) UNTS , vol.1465 , pp. 85
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    • Foreign sovereign immunity for severe human rights violations: New directions for common law based approaches
    • For more details, see
    • For more details, see H. Osofsky, ‘Foreign sovereign immunity for severe human rights violations: New directions for common law based approaches’, New York International Law Review, Vol. 11 (1998), p. 35.
    • (1998) New York International Law Review , vol.11 , pp. 35
    • Osofsky, H.1
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    • Common articles Art 49
    • Common articles GC I, Art 49
    • GC , vol.I
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    • Article 50
    • GC II, Article 50
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    • Article 129
    • GC III, Article 129
    • GC , vol.III
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    • Article 146: The High Contracting Parties undertake to enact any legislation necessary to provide effective penal sanctions for persons committing, or ordering to be committed, any of the grave breaches of the present Convention defined in the following Article. Each High Contracting Party shall be under the obligation to search for persons alleged to have committed, or to have ordered to be committed, such grave breaches, and shall bring such persons, regardless of their nationality, before its own courts. It may also, if it prefers, and in accordance with the provisions of its own legislation, hand such persons over for trial to another High Contracting Party concerned, provided such High Contracting Party has made out a prima facie case. Each High Contracting Party shall take measures necessary for the suppression of all acts contrary to the provisions of the present Convention other than the grave breaches defined in the following Article… (emphasis added)
    • GC IV, Article 146: The High Contracting Parties undertake to enact any legislation necessary to provide effective penal sanctions for persons committing, or ordering to be committed, any of the grave breaches of the present Convention defined in the following Article. Each High Contracting Party shall be under the obligation to search for persons alleged to have committed, or to have ordered to be committed, such grave breaches, and shall bring such persons, regardless of their nationality, before its own courts. It may also, if it prefers, and in accordance with the provisions of its own legislation, hand such persons over for trial to another High Contracting Party concerned, provided such High Contracting Party has made out a prima facie case. Each High Contracting Party shall take measures necessary for the suppression of all acts contrary to the provisions of the present Convention other than the grave breaches defined in the following Article… (emphasis added).
    • GC , vol.IV
  • 45
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    • Rule 157: States have the right to vest universal jurisdiction in their national courts over war crimes
    • Jean-Marie Henckaerts and Louise Doswald-Beck Rules, Cambridge University Press, Cambridge
    • ‘Rule 157: States have the right to vest universal jurisdiction in their national courts over war crimes’, Jean-Marie Henckaerts and Louise Doswald-Beck, Customary International Humanitarian Law. Vol. 1: Rules, Cambridge University Press, Cambridge, 2005, p. 604.
    • (2005) Customary International Humanitarian Law , vol.1 , pp. 604
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    • Oxford University Press, Oxford This is an integral part of the ICC Statute. As outlined by some authors (see e.g this was not the case for the ICTY and the ICTR, since their statutes provided for primacy of the international ad hoc Tribunal and complementarity or at least concurrent jurisdiction for the national courts. Under the ICC Statute the system is inverted
    • This is an integral part of the ICC Statute. As outlined by some authors (see e.g. Kriangsag Kittichaisaree, International Criminal Law, Oxford University Press, Oxford, 2001, pp. 25 f.), this was not the case for the ICTY and the ICTR, since their statutes provided for primacy of the international ad hoc Tribunal and complementarity or at least concurrent jurisdiction for the national courts. Under the ICC Statute the system is inverted.
    • (2001) International Criminal Law , pp. 25 f
    • Kittichaisaree, K.1
  • 47
    • 85022954081 scopus 로고    scopus 로고
    • The Warrant of Arrest from the 11th of April 2000 Case
    • 14 February See the Yerodia case where this issue was discussed
    • See the Yerodia case (DRC v. Belgium: The Warrant of Arrest from the 11th of April 2000 Case, ICJ, 14 February 2002), where this issue was discussed.
    • (2002) ICJ
  • 48
    • 85022928975 scopus 로고    scopus 로고
    • above note 29 See The hypothetical case described by Holmes is quite interesting. The author suggests that if a perpetrator has been prosecuted tried, punished and later pardoned, it would be very difficult in certain cases to offer evidence that Article 17 conditions had not been met when the trial took place before the national court
    • See Holmes, above note 29, p. 678. The hypothetical case described by Holmes is quite interesting. The author suggests that if a perpetrator has been prosecuted tried, punished and later pardoned, it would be very difficult in certain cases to offer evidence that Article 17 conditions had not been met when the trial took place before the national court.
    • Holmes1
  • 49
    • 85022918814 scopus 로고    scopus 로고
    • Even though the principle of complementarity was not at stake in the DRC v. Belgium case (above note 50), the limits of universal jurisdiction v. realities of diplomacy showed up. The ICJ did not expressly examine the issue of universal jurisdiction in abstentia, and it could hardly be said that the decision sets aside this issue. However, the case itself as well as some other indictments against politicians known worldwide led to the amendment of the 1993/1999 Act on Universal Jurisdiction in 2003. See above note 10
    • Even though the principle of complementarity was not at stake in the DRC v. Belgium case (above note 50), the limits of universal jurisdiction v. realities of diplomacy showed up. The ICJ did not expressly examine the issue of universal jurisdiction in abstentia, and it could hardly be said that the decision sets aside this issue. However, the case itself as well as some other indictments against politicians known worldwide led to the amendment of the 1993/1999 Act on Universal Jurisdiction in 2003. See David, above note 10, p. 817
    • David1
  • 50
    • 84922186083 scopus 로고    scopus 로고
    • Belgium's universal jurisdiction law: Vindication of international justice or pursuit of politics?
    • M. Halberstam, ‘Belgium's universal jurisdiction law: Vindication of international justice or pursuit of politics?’, 2003 Cardozo Law Review, Vol. 25, p. 247.
    • (2003) Cardozo Law Review , vol.25 , pp. 247
    • Halberstam, M.1
  • 51
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    • US Court of Military Appeals
    • 21 December 1973
    • United States v. William L. Calley, Jr, US Court of Military Appeals, 21 December 1973, 22 USCMA 534 (1973).
    • (1973) USCMA , vol.22 , pp. 534
  • 52
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    • Three cheers for universal jurisdiction - or is it only two?
    • See
    • See Henry J. Steiner, ‘Three cheers for universal jurisdiction - or is it only two?’, Theoretical Inquiries in Law, Vol. 5 (2004), pp. 201 f. and 229 f.
    • (2004) Theoretical Inquiries in Law , vol.5
    • Steiner, H.J.1
  • 54
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    • On the obstacles to the exercise of universal jurisdiction, see above note 3
    • On the obstacles to the exercise of universal jurisdiction, see ‘Final Report’, above note 3, p. 10.
    • Final Report , pp. 10


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