Abstract
To illuminate the inexplicable consistent referral to the contextual elements of the crime of genocide contrary to the textual reading of the definition, this introductory chapter provides a background to tackling the issue of context, by tracing the formation of the concept of genocide and the various distinct meanings this concept came to acquire. The chapter illustrates the definition of genocide’s three transformative phases; first, the creation of the concept as an academic notion based on Lemkin’s beliefs; the second phase is represented in the partial expropriation of the notion by the UN and its swift crystallization into a legal definition with a noticeable difference to that of Lemkin; and lastly, the social scientists’ transformation of the definition to a wholly new direction, based on their investigation of the causes and dynamics of this phenomenon, thereby expanding the concept to include all types of mass killing. To open discussion on the debate and the position of contextual elements, the chapter briefly introduces the debate on the weight of contextual circumstances in light of the Convention’s definition and the Rome Statute’s Elements of Crimes. It became apparent that the doctrinal and judicial approach to the question of contextual elements of genocide produced various distinct and irreconcilable schools of thought, preventing the formation of a clear position on the legal status of contextual elements. The chapter ends with setting the general objectives and organisation of this book, and the terminological references used.
Notes
- 1.
Even though the legal definition remains the only definition of genocide, there are alternative definitions offered because of dissatisfaction with the legal definition. For definitions of genocide from the perspective of the social sciences, including psychology, sociology, anthropology, political sciences, international relations and gender studies, see Jones 2010; Scherrer 1999.
- 2.
- 3.
Convention on the Prevention and Punishment of the Crime of Genocide, 78 UNTS 277, entered into force on 12 January 1951 (hereinafter ‘the Genocide Convention’), Article II.
- 4.
The Genocide Convention, Article II; Statute of the International Tribunal for the Prosecution of Persons Responsible for Serious Violations of International Humanitarian Law Committed in the Territory of the Former Yugoslavia since 1991, SC Res 827, Article 4, UN Doc S/RES/827, 25 May 1993, Article 4(2); Statute of the International Criminal Tribunal for the Prosecution of Persons Responsible for Genocide and Other Serious Violations of Humanitarian Law Committed in the Territory of Rwanda and Rwandan Citizens Responsible for Genocide and Other Such Violations Committed in the Territory of Neighbouring States, Between 1 Jan. 1994 and 31 Dec. 1994, Annex to SC Res 955, UN Doc S/RES/955, 8 November 1994, Article 2(2); The Rome Statute of International Criminal Court, UN Doc A/CONF183/9 of 17 July 1998, Article 6.
- 5.
For this discussion, see Behrens 2013.
- 6.
The Resolution affirmed that ‘many instances of such crimes of genocide have occurred when racial, religious, political, and other groups have been destroyed, entirely or in part’.
- 7.
The US House of Representatives unanimously passed a resolution labelling the atrocities perpetrated by Islamic State in Iraq and the Levant (ISIL) against religious and ethnic minorities in Iraq and Syria to include war crimes, crimes against humanity, and genocide. H. Con. Res. 75, in the US Senate, 15 March 2016, see https://www.congress.gov/bill/114th-congress/house-concurrent-resolution/75/text. Accessed 10 July 2016. Furthermore, Secretary of State John Kerry was quoted as saying, ‘in my judgment, Daesh is responsible for genocide against groups in areas under its control, including Yazidis, Christians and Shi’ite muslims’. See Reuters news report on 17 March 2016 at http://www.reuters.com/article/us-mideast-crisis-usa-genocide-iduskcn0wj1o. Accessed 10 July 2016.
- 8.
- 9.
Kuper 1981, 9 (emphasis added).
- 10.
Lemkin 1944, pp. 79–80.
- 11.
The preamble of the Convention declared that ‘at all periods of history genocide has inflicted great losses on humanity’: Genocide Convention, Article II.
- 12.
- 13.
Note that Lemkin’s concept of genocide in his early writing and the one employed in his 1944 book are different.
- 14.
- 15.
Lemkin 1944, pp. xi–xii, 80–82.
- 16.
Ibid., p. 79.
- 17.
Ibid.
- 18.
Ibid.
- 19.
Ibid.
- 20.
Travis 2012.
- 21.
Schabas 2000, p. 14.
- 22.
Cases in which the word ‘genocide’ was used included such cases as the Justice Case, USA v Josef Altstoetter et al., 1947; and USA v Ulrich Greifelt et al., Trials of War Criminals, vol. XIII (1949) (the RuSHA Case).
- 23.
- 24.
The process was not a mere transplantation of the new concept, but was discussed at several levels by various committees. It started with the UN Secretariat draft, and the Ad Hoc Committee of the Economic and Social Council, and finally the Sixth Committee of the General Assembly finalized the text of the Convention; see also the Genocide Convention, Articles II and III.
- 25.
Lemkin 1946, pp. 227, 228, 230.
- 26.
Of course, Lemkin was among those experts who were commissioned by the UN to study the possibility of a genocide convention.
- 27.
Reservations to the Convention on the Prevention and Punishment of the Crime of Genocide, Advisory Opinion, [1951] ICJ Rep 15, ICGJ 227 (ICJ 1951), 28 May 1951, International Court of Justice.
- 28.
Statute of the International Criminal Tribunal for the Former Yugoslavia, adopted 25 May 1993 by Resolution 827, Article 4(2); Statute of the International Criminal Tribunal for Rwanda, adopted 8 November 1994 by Resolution 955, Article 2(2); the Rome Statute of the International Criminal Court, adopted 12 July 1998, entered into force 1 July 2001, Article 6.
- 29.
Kirsch 2009. The definition of genocide was reproduced in all of the Ad Hoc Tribunals’ constitutive documents: The Statute of the International Criminal Tribunal for Rwanda, adopted 8 November 1994 by Resolution 955, Article 2(2); the Statute of the International Criminal Tribunal for Former Yugoslavia, adopted 25 May 1993 by Resolution 827, Article 4(2); the Rome Statute of the International Criminal Court, adopted 12 July 1998, entered into force 1 July 2001, Article 6.
- 30.
Porter 1982, pp. 9–10.
- 31.
- 32.
The social scientists’ study contains various definitions, typologies and theoretical suggestions that cannot be unified into one concept. It also lacks consensus with the Holocaust studies.
- 33.
Drost 1959, pp. 122–123.
- 34.
- 35.
Chalk and Jonassohn 1990, p. 23.
- 36.
Huttenbach 1988, p. 297.
- 37.
Charny 1999.
- 38.
Fein 1993, pp. 24–27.
- 39.
- 40.
Mann 2004.
- 41.
Totten and Bartrop 2007, pp. 129–130.
- 42.
- 43.
Harff 2003.
- 44.
Kuper 1981.
- 45.
Penal Code (France), Journal Officiel, 23 July 1992, Article 211-1, and the Turkish Penal Code no. 5237, Article 76, adopted 1 June 2005.
- 46.
- 47.
Kirsch 2013, p. 7.
- 48.
Boghossian 2010, p. 76.
- 49.
Kirsch 2009.
- 50.
The ICTR Statute, Article 3; the ICTY Statute, Article 5; also, in the Rome Statute, the definition of a crime against humanity is detached from the nexus of the relation to war or any need for the accused to know the nexus of the relation of the act to the widespread or systematic attacks. The contextual element of war crimes is different, but this difference does not lie within the ambit of this book.
- 51.
Prosecutor v Akayesu, Trial Chamber, 2 September 1998, ICTR-96-4-T, para 580; Prosecutor v Kayeshema and Ruzindana, Trial Chamber, 21 May 1999, ICTR-95-1-T, para 123; Prosecutor v Kunarac et al., Trial Judgment, 22 February 2001, IT-96-23-T and IT-96-23/1-T, para 429. Note that the International Criminal Court Statute added an extra prong in Article 7(2)(a).
- 52.
Prosecutor v Tadić, Trial Chamber, 7 May 1997, IT-94-1-T, paras 654, 653; Kayeshema (Trial Judgment), 21 May 1999, paras 125–126.
- 53.
Note that the International Criminal Court Statute added an extra prong in Article 8(1).
- 54.
See Chap. 2, Sect. 2.3 for an explanation of these elements.
- 55.
Akayesu, Trial Judgment, 2 September 1998, paras 112–118, 523; Kayeshema, Trial Judgment, 21 May 1999, para 274.
- 56.
Prosecutor v Karemera, Appeal Judgment, 29 September 2014, ICTR-98-44-A.
- 57.
Prosecutor v Karemera and others, Decision on the Prosecutor’s Interlocutory Appeals of the Decision on Judicial Notice 36, 16 June 2006, ICTR-98-44-AR73(C), para 35.
- 58.
Prosecutor v Jelisić, Trial Chamber, 14 December 1999, IT-95-10-T, para 100.
- 59.
Prosecutor v Jelisić, Appeals Chamber, 5 July 2001, IT-95-10-A, para 48.
- 60.
Whether an inference of contextual elements supports the presumption that the contextual element is a legal ingredient will be discussed in the second part of Chap. 4, Sect. 4.3.
- 61.
International Criminal Court (ICC), The Elements of Crimes, adopted 2010.
- 62.
This will be the subject of Chap. 4.
- 63.
- 64.
Ibid.
- 65.
Kayeshema, Trial Judgment, 21 May 1999, paras 527–540; Prosecutor v Simba, Trial Chamber, 13 December 2005, ICTR-01-76-T, para 416; Prosecutor v Ndindabahizi, Trial Judgment, 15 July 2004, ICTR-2001-71-1, para 463.
- 66.
National definitions deviated from the Convention’s definition by the inclusion or exclusion of some of the elements of the definition of the Genocide Convention, but these will be treated as social definitions for this purpose. For examples, see the Penal Code (France), Journal Officiel, 23 July 1992; and Turkish Penal Code (no. 5237), Article 76, adopted 1 June 2005. The English translation of the Turkish text can be found at http://www.tuerkeiforum.net/enw/index.php/Translation_of_selected_Articles_of_the_Turkish_Penal_Code. Accessed 7 January 2011. Other instruments with verbatim reproduction are as per the Ad Hoc Tribunals’ statutes.
- 67.
Jelisić, Appeal Judgment, 5 July 2001, para 45.
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Koursami, N. (2018). Introduction. In: The 'Contextual Elements' of the Crime of Genocide. International Criminal Justice Series, vol 17. T.M.C. Asser Press, The Hague. https://doi.org/10.1007/978-94-6265-225-5_1
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