Basic elements

Notion(s) Filing Case
Appeal Judgement - 05.05.2009 MRKŠIĆ & ŠLJIVANČANIN
(IT-95-13/1-A)

49. At the outset, the Appeals Chamber recalls that to enter a conviction for aiding and abetting murder by omission, at a minimum, all the basic elements of aiding and abetting must be fulfilled.[1] In this regard, the Appeals Chamber in Orić recalled that “omission proper may lead to individual criminal responsibility under Article 7(1) of the Statute where there is a legal duty to act”.[2] The actus reus of aiding and abetting by omission will thus be fulfilled when it is established that the failure to discharge a legal duty assisted, encouraged or lent moral support to the perpetration of the crime and had a substantial effect on the realisation of that crime.[3] The Appeals Chamber recalls that aiding and abetting by omission implicitly requires that the accused had the ability to act, such that there were means available to the accused to fulfil his duty.[4] Meanwhile, the required mens rea for aiding and abetting by omission is that “[t]he aider and abettor must know that his omission assists in the commission of the crime of the principal perpetrator and must be aware of the essential elements of the crime which was ultimately committed by the principal”.[5] As the Appeals Chamber held in the  Simić case,

it is not necessary that the aider and abettor knows either the precise crime that was intended or the one that was, in the event, committed. If he is aware that one of a number of crimes will probably be committed, and one of those crimes is in fact committed, he has intended to facilitate the commission of that crime, and is guilty as an aider and abetter.[6]

[…].

146. As Šljivančanin argues,[7] the Appeals Chamber has never set out the elements for a conviction for omission in detail.[8] In the Orić case, the Appeals Chamber considered the Trial Chamber’s findings in order to determine whether Atif Krdžić, Naser Orić’s subordinate, had been found responsible for aiding and abetting by omission.[9] It concluded that no such finding had been entered as the issue of whether Naser Orić’s subordinate had incurred criminal responsibility had not been resolved by the Trial Chamber.[10] In this context, with regard to the mode of liability of aiding and abetting by omission, the Appeals Chamber held that:

at a minimum, the offender’s conduct would have to meet the basic elements of aiding and abetting. Thus, his omission must be directed to assist, encourage or lend moral support to the perpetration of a crime and have a substantial effect upon the perpetration of the crime (actus reus). The aider and abettor must know that his omission assists in the commission of the crime of the principal perpetrator and must be aware of the essential elements of the crime which was ultimately committed by the principal (mens rea).[11]

Accordingly, the Appeals Chamber in Orić acknowledged that the basic elements of aiding and abetting apply notwithstanding whether this form of liability is charged as “omission”. The mens rea and actus reus requirements for aiding and abetting by omission are the same as for aiding and abetting by a positive act.[12] The critical issue to be determined is whether, on the particular facts of a given case, it is established that the failure to discharge a legal duty assisted, encouraged or lent moral support to the perpetration of the crime, and had a substantial effect on it. In particular, the question as to whether an omission constitutes “substantial assistance” to the perpetration of a crime requires a fact based enquiry.[13]

[1] Orić Appeal Judgement, para. 43.

[2] Orić Appeal Judgement, para. 43, citing Brđanin Appeal Judgement, para. 274; Galić Appeal Judgement, para. 175; Ntagerura et al. Appeal Judgement, paras 334, 370; Blaškić Appeal Judgement, para. 663.

[3] Orić Appeal Judgement, para. 43, citing Nahimana et al. Appeal Judgement, para. 482; Simić Appeal Judgement, para. 85.

[4] Cf. Ntagerura et al. Appeal Judgement, para. 335.

[5] Orić Appeal Judgement, para. 43 (footnotes omitted).

[6] Simić Appeal Judgement, para. 86, citing Blaškić Appeal Judgement, para. 50. See also Ndindabahizi Appeal Judgement, para. 122.

[7] Šljivančanin Appeal Brief, para. 192.

[8] Orić Appeal Judgement, para. 43, citing Simić Appeal Judgement, para. 85, fn. 259; Blaškić Appeal Judgement, para. 47. The Appeals Chamber notes that paragraph 554 of the Trial Judgement in the case at hand states that, in the Blaškić Appeal Judgement, the Appeals Chamber found that although not expressly stated, Tihomir Blaškić was apparently convicted for having aided and abetted by omission the inhuman treatment of detainees occasioned by their use as human shields. The Trial Chamber in the present case reached this conclusion by reasoning that given that the indictment against Tihomir Blaškić charged him with all the forms of responsibility under Article 7(1) of the Statute, and that all of these, save for aiding and abetting, were specifically rejected or clearly not considered, the Appeals Chamber must have entered a conviction for aiding and abetting as it was the only remaining mode of liability. This understanding of the Blaškić Appeal Judgement is incorrect. The Appeals Chamber would like to emphasize for the sake of clarity that the Blaškić Appeals Chamber did not convict Tihomir Blaškić for aiding and abetting by omission the inhuman treatment of detainees. The Blaškić Appeals Chamber affirmed Tihomir Blaškić’s conviction under Count 19 of the indictment pursuant to Article 7(1) of the Statute for the inhuman treatment of detainees occasioned by their use as human shields (a grave breach as recognised by Article 2(b) of the Statute). In reaching this decision the Blaškić Appeals Chamber: recalled that the indictment against him pleaded that by his acts and omissions, he had committed a grave breach as recognized by Articles 2(b), 7(1) and 7(3) (inhuman treatment) of the Statute of the International Tribunal; set out the legal definition of inhuman treatment under Article 2 of the Statute; found that the Trial Chamber’s finding that he knew of the use of the detainees as human shields was one that a reasonable trier of fact could have made; and found that his failure to prevent the continued use of the detainees as human shields, leaving the protected persons exposed to danger of which he was aware, constituted an intentional omission on his part. The Blaškić Appeals Chamber found that the elements constituting the crime of inhuman treatment had been met as there was an omission to care for protected persons which was deliberate and not accidental, which caused serious mental harm, and constituted a serious attack on human dignity. In the absence of proof that Tihomir Blaskić positively ordered the use of human shields, the Appeals Chamber concluded that his criminal responsibility was properly expressed as an omission pursuant to Article 7(1) as charged in the indictment and found him guilty under Article 7(1) of the Statute for the inhuman treatment of detainees occasioned by their use as human shields. Indeed, as the Trial Chamber in the present case noted, the Blaškić Appeals Chamber left open the possibility that in the circumstances of a given case, an omission may constitute the actus reus of aiding and abetting. This statement has to be read in context with the facts of that case. In his appeal, Tihomir Blaškić had argued that the Trial Chamber erroneously applied a strict liability standard to find him guilty as an aider and abettor. After concluding that the Trial Chamber had correctly set out the mens rea and actus reus requirements, the Blaškić Appeals Chamber found that the Trial Chamber was correct in part and erred in part in setting out the legal requirements of aiding and abetting. It was in the context of analyzing the Trial Chamber’s articulation of the actus reus of aiding and abetting (which the Trial Chamber considered might be perpetrated through an omission, provided this failure to act had a decisive effect on the commission of the crime and that it was coupled with the requisite mens rea) that the Blaškić Appeals Chamber stated that in the circumstances of a given case, an omission may constitute the actus reus of aiding and abetting. Furthermore, the Blaškić Appeals Chamber noted that the Trial Chamber did not hold Tihomir Blaškić responsible for aiding and abetting the crimes at issue; considered that this form of participation had been insufficiently litigated on appeal; concluded that this form of participation was not fairly encompassed by the indictment; and declined to consider this form of participation any further. See Blaškić Appeal Judgement, paras 43-52, 660, 665, 666, 668, 670, Disposition, p. 258.

[9] See Orić Appeal Judgement, paras 43-46.

[10] See Orić Appeal Judgement, para. 47.

[11] Orić Appeal Judgement, para. 43, citing Nahimana et al. Appeal Judgement, para. 482; Simić Appeal Judgement, paras 85, 86; Seromba Appeal Judgement, para. 56; Blagojević and Jokić Appeal Judgement, para. 127; Aleksovski Appeal Judgement, para. 162.

[12] Orić Appeal Judgement, para. 43; Blaškić Appeal Judgement, para. 47 (“The Appeals Chamber leaves open the possibility that in the circumstances of a given case, an omission may constitute the actus reus of aiding and abetting”).

[13] See Blagojević and Jokić Appeal Judgement, para. 134 (“The Appeals Chamber observes that the question of whether a given act constitutes substantial assistance to a crime requires a fact-based inquiry”). See also Muvunyi Appeal Judgement, para. 80.

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ICTR Statute Article 6(1) ICTY Statute Article 7(1)
Notion(s) Filing Case
Appeal Judgement - 03.07.2008 ORIĆ Naser
(IT-03-68-A)

43. The Prosecution submits that the Trial Chamber found Atif Krdžić responsible for aiding and abetting by omission.[1] The Appeals Chamber recalls that omission proper may lead to individual criminal responsibility under Article 7(1) of the Statute where there is a legal duty to act.[2] The Appeals Chamber has never set out the requirements for a conviction for omission in detail.[3] However, at a minimum, the offender’s conduct would have to meet the basic elements of aiding and abetting. Thus, his omission must be directed to assist, encourage or lend moral support to the perpetration of a crime and have a substantial effect upon the perpetration of the crime (actus reus).[4] The aider and abettor must know that his omission assists in the commission of the crime of the principal perpetrator[5] and must be aware of the essential elements of the crime which was ultimately committed by the principal (mens rea).[6]

[1] Prosecution Response Brief, para. 126, 151; Prosecution Written Submissions of 25 March 2008, paras. 1-4; AT. 1 April 2008, pp. 9-11. Orić disputes the existence of a notion of aiding and abetting by “pure omission” in international humanitarian law and that a superior can be held responsible for subordinates who aid and abet by omission: AT. 1 April, pp. 60-62, 131-136.

[2] Brđanin Appeal Judgement, para. 274; Galić Appeal Judgement, para. 175; Ntagerura et al. Appeal Judgement, paras. 334, 370; Blaškić Appeal Judgement, para. 663.

[3] Cf. Simić Appeal Judgement, para. 85, fn. 259; Blaškić Appeal Judgement, para. 47.

[4] See, e.g., Nahimana et al. Appeal Judgement, para. 482; Simić Appeal Judgement, para. 85.  

[5] See for the general definition of aiding and abetting, e.g., Seromba Appeal Judgement, para. 56; Nahimana et al. Appeal Judgement, para. 482; Blagojević and Jokić Appeal Judgement, para. 127.

[6] Cf. Simić Appeal Judgement, para. 86; Aleksovski Appeal Judgement, para. 162. 

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ICTR Statute Article 6(1) ICTY Statute Article 7(1)