Substantial contribution

Notion(s) Filing Case
Appeal Judgement - 30.01.2015 POPOVIĆ et al.
(IT-05-88-A)

1741. Finally, it is recalled that whether an act or omission had a substantial effect on the commission of a crime is a fact-based inquiry,[1] and further, this aspect of aiding and abetting by omission has been interpreted to mean that had the accused acted the commission of the crime would have been substantially less likely.[2]

[1]           Mrkšić and Šljivančanin Appeal Judgement, para. 200.

[2]           See Šainović et al. Appeal Judgement, paras 1679, 1682, fn. 5510; Mrkšić and Šljivančanin Appeal Judgement, paras 97, 100.

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Appeal Judgement - 05.05.2009 MRKŠIĆ & ŠLJIVANČANIN
(IT-95-13/1-A)

155. Relying on the Appeals Chamber Judgements in Orić and Blaškić, Šljivančanin submits that, at a minimum, aiding and abetting by omission requires an elevated degree of “concrete influence”.[1] He argues that this provides an objective standard for establishing whether his omission had a “substantial effect” on the mistreatment of prisoners[2] and that the contribution must be considered from the perspective of the perpetrators of the crime, not the omission itself.[3] Šljivančanin also appears to propose that the failure to act must have a “decisive effect” on the commission of the crime,[4] but fails to elaborate this point. The Prosecution responds that there is no indication that the “concrete influence” standard is in fact any higher than “substantial effect” which is the correct standard,[5] and that Šljivančanin’s reliance on the Orić case is misplaced, since in that case the Appeals Chamber used the term “concrete influence” in the context of its finding that aiding and abetting by omission requires more than a simple correlation between the omission and the crimes.[6] The Prosecution submits that to prove that an omission had a substantial effect on the crime, it must be shown that the crime would have been substantially less likely to have occurred had the accused acted.[7]

156. The Appeals Chamber recalls that, in the Orić case, it found that the actus reus for “commission by omission requires an elevated degree of ‘concrete influence’”,[8] as distinct from the actus reus for aiding and abetting by omission, the latter requiring that the omission had a “substantial effect” upon the perpetration of the crime.[9] The Appeals Chamber finds no merit in Šljivančanin’s attempt to conflate the substantial contribution requirement with the notion of an elevated degree of influence,[10] and notes that Šljivančanin himself does not provide any further support for his submission on this issue, beyond the vague statement that an “objective criteria” for assessing “substantial contribution” is warranted on the particular facts of his case.[11] Accordingly, Šljivančanin’s argument is dismissed.

[1] Šljivančanin Appeal Brief, para. 245, citing Orić Appeal Judgement, para. 41, Blaškić Appeal Judgement, para. 664. See also Šljivančanin Supplemental Brief in Reply, paras 46-50; AT. 145-146.

[2] Šljivančanin Supplemental Brief in Reply, paras 46-47.

[3] AT. 147.

[4] Šljivančanin Appeal Brief, para. 247(d).

[5] Prosecution Supplemental Respondent’s Brief, para. 29.

[6] Ibid.

[7] AT. 169.

[8] Orić Appeal Judgement, para. 41, citing Blaškić Appeal Judgement, para. 664.

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

[10] The Appeals Chamber emphasizes that the reference to the term “concrete influence” in the Orić case (Orić Appeal Judgement, para. 41) must be read in the context  of the Blaškić Appeals Chamber’s qualification to the effect that the degree of “concrete influence” of a superior over the crime in which his subordinates participate (namely, the time when the superior’s omission takes place vis-à-vis the occurrence of the crime), is a possible “distinguishing factor between the modes of responsibility expressed in Articles 7(1) and 7(3) of the Statute” since if the superior’s omission to prevent a crime occurs when “the crime has already become more concrete or currently occurs, his responsibility would also fall under Article 7(1) of the Statute” (Blaškić Appeal Judgement, para. 664).

[11] Šljivančanin Supplemental Brief in Reply, paras 47, 48.

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ICTR Statute Article 6(1) ICTY Statute Article 7(1)
Notion(s) Filing Case
Appeal Judgement - 16.12.2013 NDAHIMANA Grégoire
(ICTR-01-68-A)

In footnote 526, the Appeals Chamber noted that:

The Appeals Chamber recalls that “the threshold for finding a “significant contribution” to a [joint criminal enterprise] is lower than the “substantial contribution” required to enter a conviction for aiding and abetting.” See Gotovina and Markač Appeal Judgement, para. 149. […]

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Notion(s) Filing Case
Appeal Judgement - 23.01.2014 ŠAINOVIĆ et al.
(IT-05-87-A)

1677. The Appeals Chamber recalls that a person may be held criminally responsible for aiding and abetting by omission where he or she fails to discharge a legal duty and by this failure assists, encourages or lends moral support to the perpetration of a crime and has a substantial effect on the commission of that crime.[1] Additionally, aiding and abetting by omission necessarily requires that the accused has “the ability to act, or in other words, that there were means available to the accused to fulfil this duty”.[2]

1678. The Appeals Chamber considers that while Lazarević’s failure to take investigative and punitive measures against the commission of forcible displacement may have had an effect on the ability of the military prosecutor to pursue perpetrators of such crimes, this in itself is not conclusive for the purposes of establishing aiding and abetting liability. Rather as recalled above, in order to fulfil the actus reus of aiding and abetting, it must be demonstrated that any such omission substantially contributed to the continued commission of forcible displacement.[3] […]

[1] Mrkšić and [ljivančanin Appeal Judgement, paras 134, 146, 200.

[2] Mrkšić and [ljivančanin Appeal Judgement, para. 154. See also Ntagerura et al. Appeal Judgement, para. 335.

[3] In this regard, the Appeals Chamber recalls that to incur liability for aiding and abetting by omission, it must be established that: (i) the omission had a substantial effect on the crime in the sense that the crime would have been substantially less likely had the accused acted; and (ii) the accused knew that the commission of the crime was probable and that his inaction assisted it (Mrkšić and [ljivančanin Appeal Judgement, paras 97, 101; Orić Appeal Judgement, para. 43).

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Notion(s) Filing Case
Appeal Judgement - 16.11.2012 GOTOVINA & MARKAČ
(IT-06-90-A)

149. With respect to aiding and abetting, the Appeals Chamber notes that the Trial Chamber did not explicitly find whether Markač made a “substantial contribution” to relevant crimes by the Special Police.[1] While the Trial Chamber concluded that the evidence it considered proved that Markač’s Failure to Act constituted a significant contribution to the JCE,[2] the Appeals Chamber has held that the threshold for finding a “significant contribution” to a JCE is lower than the “substantial contribution” required to enter a conviction for aiding and abetting.[3] Thus the Trial Chamber’s finding of a significant contribution is not equivalent to the substantial contribution required to enter a conviction for aiding and abetting.

[1] See generally [Gotovina and Markač] Trial Judgement.

[2] See [Gotovina and Markač Appeal Judgement], para. 138.

[3] See Kvočka et al. Appeal Judgement, para. 97; Tadić Appeal Judgement, para. 229. Judge Agius dissents in relation to this paragraph.

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Appeal Judgement - 29.09.2014 NZABONIMANA Callixte
(ICTR-98-44D-A)

146.  […] The Appeals Chamber is also not convinced that the Trial Chamber was specifically required to determine that assailants of the Night and Day Attacks heard what he said at the Cyayi centre. The Appeals Chamber recalls that the actus reus of “instigating” is to prompt another person to commit an offence.[1] It is not necessary to prove that the crime would not have been perpetrated without the involvement of the accused; it is sufficient to demonstrate that the instigation was a factor substantially contributing to the conduct of another person committing the crime.[2] Similarly, it is not required that the individuals who were instigated be the same as those who committed the crimes.[3]

[1] See, e.g., Nchamihigo Appeal Judgement, para. 188; Karera Appeal Judgement, para. 317; Kordić and Čerkez Appeal Judgement, para. 27.

[2] See, e.g., Karera Appeal Judgement, para. 317; Nahimana et al. Appeal Judgement, para. 480; Kordić and Čerkez Appeal Judgement, para. 27.

[3] The Appeals Chamber observes that, while previous cases have examined whether individuals who were instigated were the same as those who committed the crimes (see Karera Appeal Judgement, para. 318; Nahimana et al. Appeal Judgement, para. 513; Ndindabahizi Appeal Judgement, para. 116. See also Boškoski and Tarčulovski Appeal Judgement, para. 75), the Appeals Chamber has not explicitly made it a requirement under instigation. 

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