Pre-existing plan or policy

Notion(s) Filing Case
Appeal Judgement - 20.05.2005 SEMANZA Laurent
(ICTR-97-20-A)

269. […] Contrary to the submissions of the Appellant, the Prosecution did not have to prove the existence of a high-level policy against the Tutsi: although the existence of a policy or plan may be useful to establish that the attack was directed against a civilian population and that it was widespread and systematic, it is not an independent legal element.[1]

[1] Kunarac et al. Appeal Judgement, para. 98; Blaškić Appeal Judgement, para. 120.

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ICTR Statute Article 3 ICTY Statute Article 5
Notion(s) Filing Case
Appeal Judgement - 29.07.2004 BLAŠKIĆ Tihomir
(IT-95-14-A)

120. […] The Appeals Chamber agrees that a plan or policy is not a legal element of a crime against humanity, though it may be evidentially relevant in proving that an attack was directed against a civilian population and that it was widespread or systematic.

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ICTR Statute Article 3 ICTY Statute Article 5
Notion(s) Filing Case
Appeal Judgement - 12.06.2002 KUNARAC et al.
(IT-96-23 & IT-96-23/1-A)

98. […] [N]either the attack nor the acts of the accused needs to be supported by any form of “policy” or “plan”.  There was nothing in the Statute or in customary international law at the time of the alleged acts which required proof of the existence of a plan or policy to commit these crimes.[1]  As indicated above, proof that the attack was directed against a civilian population and that it was widespread or systematic, are legal elements of the crime.  But to prove these elements, it is not necessary to show that they were the result of the existence of a policy or plan.  It may be useful in establishing that the attack was directed against a civilian population and that it was widespread or systematic (especially the latter) to show that there was in fact a policy or plan, but it may be possible to prove these things by reference to other matters.  Thus, the existence of a policy or plan may be evidentially relevant, but it is not a legal element of the crime.

[1]   There has been some debate in the jurisprudence of this Tribunal as to whether a policy or plan constitutes an   element of the definition of crimes against humanity.  The practice reviewed by the Appeals Chamber overwhelmingly supports the contention that no such requirement exists under customary international law.  See, for instance, Article 6(c) of the Nuremberg Charter; Nuremberg Judgement, Trial of the Major War Criminals before the International Military Tribunal, Nüremberg, 14 November 1945 – 1 October 1945, in particular, pp 84, 254, 304 (Streicher) and 318-319 (von Schirach); Article II(1)(c) of Control Council Law No 10; In re Ahlbrecht, ILR 16/1949, 396; Ivan Timofeyevich Polyukhovich v The Commonwealth of Australia and Anor, (1991) 172 CLR 501; Case FC 91/026; Attorney-General v Adolph Eichmann, District Court of Jerusalem, Criminal Case No. 40/61; Mugesera et al. v Minister of Citizenship and Immigration, IMM-5946-98, 10 May 2001, Federal Court of Canada, Trial Division; In re Trajkovic, District Court of Gjilan (Kosovo, Federal Republic of Yugoslavia), P Nr 68/2000, 6 March 2001; Moreno v Canada (Minister of Employment and Immigration), Federal Court of Canada, Court of Appeal, [1994] 1 F.C. 298, 14 September 1993; Sivakumar v Canada (Minister of Employment and Immigration), Federal Court of Canada, Court of Appeal, [1994] 1 F.C. 433, 4 November 1993.  See also Report of the Secretary-General Pursuant to Paragraph 2 of Security Council Resolution 808 (1993), S/25704, 3 May 1993, paras 47-48; Yearbook of the International Law Commission (ILC), 1954, vol. II, 150; Report of the ILC on the work of its 43rd session, 29 April – 19 July 1991, Supplement No 10 (UN Doc No A/46/10), 265-266; its 46th session, 2 May – 22 July 1994, Supplement No 10 (UN Doc No A/49/10), 75-76; its 47th session, 2 May – 21 July 1995, 47, 49 and 50; its 48th session, 6 May – 26 July 1996, Supplement No 10 (UN Doc No A/51/10), 93 and 95-96.  The Appeals Chamber reached the same conclusion in relation to the crime of genocide (Jelisić Appeal Judgement, para 48).  Some of the decisions which suggest that a plan or policy is required in law went, in that respect, clearly beyond the text of the statute to be applied (see e.g., Public Prosecutor v Menten, Supreme Court of the Netherlands, 13 January 1981, reprinted in 75 ILR 331, 362-363).  Other references to a plan or policy which have sometimes been used to support this additional requirement in fact merely highlight the factual circumstances of the case at hand, rather than impose an independent constitutive element (see, e.g., Supreme Court of the British Zone, OGH br. Z., vol. I, 19).  Finally, another decision, which has often been quoted in support of the plan or policy requirement, has been shown not to constitute an authoritative statement of customary international law (see In re Altstötter, ILR 14/1947, 278 and 284 and comment thereupon in Ivan Timofeyevich Polyukhovich v The Commonwealth of Australia and Anor, (1991) 172 CLR 501, pp 586-587).

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ICTR Statute Article 3
ICTY Statute Article 5
Notion(s) Filing Case
Appeal Judgement - 28.11.2007 NAHIMANA et al. (Media case)
(ICTR-99-52-A)

922. The Appeals Chamber rejects the Appelants’ arguments on this point. It is well established that, while it may be helpful to prove the existence of a policy or plan, that is not a legal element of crimes against humanity.[1] The same applies to “substantial resources”. Contrary to what certain early Tribunal judgements might be taken to imply,[2] “substantial resources” do not constitute a legal element of crimes against humanity. It is the widespread or systematic attack which must be proved.

[1] Gacumbitsi Appeal Judgement, para. 84; Semanza Appeal Judgement, para. 269; Blaškić Appeal Judgement, para. 120; Krstić Appeal Judgement, para. 225; Kunarac et al. Appeal Judgement, paras. 98, 104.

[2] For example, paragraph 580 of the Akayesu Trial Judgement suggests that a systematic attack implies “a common policy … involving substantial public or private resources”.

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