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研究生:陳晏叡
研究生(外文):CHEN, YEN-JUI
論文名稱:上級命令不免除責任原則之國際法制與實踐
論文名稱(外文):A Study on the Defense of “Obedience to Superior Orders” under the Rules of International Law and Its Practice
指導教授:魏靜芬魏靜芬引用關係
指導教授(外文):WEI, JINE-FEN
口試委員:陳荔彤、鄭善印、魏靜芬
口試委員(外文):Chen, LIH-TORNG、CHENG, SHAN-YIN、WEI, JINE-FEN
口試日期:2016-04-20
學位類別:碩士
校院名稱:國防大學
系所名稱:法律學系
學門:法律學門
學類:一般法律學類
論文種類:學術論文
論文出版年:2016
畢業學年度:104
語文別:中文
論文頁數:298
中文關鍵詞:上級命令不免除責任原則、國際刑事法院規約、上級命令抗辯、服從命令、上級責任、絕對責任、條件責任、明顯違法原則
外文關鍵詞:defense of superior orders、Rome Statute of the International Criminal Court、obedience to orders、respondeat superior、absolute liability、conditional liability、manifest illegality principle
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  上級命令不免除責任原則係確立個人國際罪行刑事責任有關的原則之一,其意義指個人在執行上級命令時,而該命令內容涉及國際法之違反構成國際犯罪,個人不得主張服從上級命令而免除刑事責任,該原則明文於《國際刑事法院羅馬規約》第33條,該原則之建立源自於「上級命令抗辯」議題。
  此議題主要在探討國際法上軍人服從上級違法命令之行為是否可以免除其責任,當軍人面對上級的違法命令時,一方面基於服從義務,另一方面基於守法義務,而處於進退維谷的地步。國際法學理主要從上級命令抗辯是否構成獨立抗辯事由的角度,區分上級責任、絕對責任與條件責任等三種方式,來解決軍人的困境。在戰後的審判中,軍人對於實行戰爭相關犯罪的指控,通常會主張服從上級命令的事實作為抗辯內容,故法庭必須決定此抗辯是否可以免除下級軍人的責任,進而衍生上級命令是否構成抗辯事由的問題。
  上級命令不免除責任原則係於第二次世界大戰後確立,而現行國際法採取明顯違法原則,作為判斷下級刑事責任之標準,許多國家亦將此原則納入國內法,有將其規範於武裝衝突法手冊,抑或是制定國際犯罪專法。我國雖然有類似此原則之「依上級命令阻卻違法事由」,但其僅為針對國內犯罪之處理,在國際法犯罪層面卻無直接之規定,建議我國應制定專法,將《國際刑事法院羅馬規約》所管轄之犯罪類型與確立個人責任之原理原則,以完備我國法制。
  According to Rome Statute of the International Criminal Court Article 33, a person pursuant to an order of a Government or of a superior, whether military or civilian, shall not relieve that person of criminal responsibility. This Article presents one of principles for prosecuting individual responsibility under international criminal law. The prescription of law is derived from the issue on “defense of superior orders,” which has long been detailed discussed both in the scope of international and domestic law.
For soldiers, obedience to superior orders has became a common plea against offenses committed during wartime. The dilemma arise where a soldier is confronted with an illegal order to perform an act constituting a criminal offense. On one hand, military discipline requires him to obey superior orders; on the other hand, supremacy of law proscribes the commission of criminal acts. Then, the court must decide whether a soldier acting pursuant to superior orders should be granted impunity. There are three main approaches to solve the problem: doctrine of respondeat superior, doctrine of absolute liability and doctrine of conditional liability in international theory. Thus, the topic issue is whether obedience to superior orders constitutes a defense per se.
After World War Ⅱ, The international society began to realize the problem of defense of superior orders. International Military Tribunal denied immunity on the ground of superior orders. However, current international law adopt manifest illegality principle, that is, excuse defendant under certain conditions. So far, many countries take the same approach by prescription in manual of armed conflict law or codification. The defense of superior orders does not have counter part in the Criminal Code of ROC. Therefore, this thesis proposes that a special act comprising the jurisprudence of defense of superior orders embodied in ICC Statue should be promulgated.
第一章 緒論
 第一節 研究動機與目的
 第二節 研究方法、範圍與限制
 第三節 研究架構
第二章 上級命令不免除責任原則之概念與開展
 第一節 上級命令不免除責任原則之概念
  第一項 軍人之困境
  第二項 國際刑法
  第三項 上級命令抗辯之概念
 第二節 上級命令不免除責任原則之萌芽
  第一項 第一次世界大戰前
  第二項 第一次世界大戰
  第三項 華盛頓會議
 第三節 上級命令不免除責任原則之確立
  第一項 國際間相關組織之研究
  第二項 第二次世界大戰之戰後審判
 第四節 上級命令不免除責任原則之國際立法
  第一項 未納入上級命令抗辯之公約
  第二項 國際法委員會之研究
  第三項 國際刑事法院羅馬規約
 第五節 小結
第三章 上級命令不免除責任原則之理論發展與實踐
 第一節 上級責任理論
  第一項 上級責任理論之意涵
  第二項 軍事紀律之絕對特性
  第三項 學說見解
  第四項 國際實踐
 第二節 絕對責任理論
  第一項 絕對責任理論之意涵
  第二項 學說見解
  第三項 國際實踐
 第三節 條件責任理論
  第一項 明顯違法原則與個人認知原則
  第二項 犯罪意圖原則
  第三項 正當理由與免責理論
  第四項 國際實踐
 第四節 小結
  第一項 學說統整
  第二項 服從上級命令與各抗辯之關聯
第四章 國際習慣法之進程
 第一節 國際軍事法庭之案例
  第一項 紐倫堡審判
  第二項 東京審判
  第三項 紐倫堡附隨審判
 第二節 國際刑事法庭之案例
  第一項 前南斯拉夫國際刑事法庭
  第二項 盧安達國際刑事法庭
 第三節 外國法院之案例
  第一項 以色列審判艾希曼案
  第二項 美萊村事件
  第三項 美軍虐待伊拉克戰俘事件
 第四節 小結
第五章 立法例之比較
 第一節 英國
  第一項 英國之判決先例
  第二項 軍事法手冊
  第三項 武裝衝突法手冊
 第二節 美國
  第一項 美國之判決先例
  第二項 戰場手冊
  第三項 軍事法庭手冊與統一軍法典
 第三節 德國
  第一項 軍事刑法典
  第二項 軍人法
  第三項 國際犯罪法典
 第四節 小結
第六章 結論
參考文獻
(中文按作者姓氏筆畫順序,英文按作者姓氏字母順序)
壹、中文
一、中文書籍
王鐵崖,《國際法》,臺北:五南出版社,1992年。
林山田,《刑法通論(上冊)》,自版,2008年。
李麒,《軍事法理論與實務》,臺北:新學林出版社,2005年。
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姜皇池,《國際公法導論》,臺北:新學林出版社,2006年。
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黃榮堅,《基礎刑法學(上)》,臺北:元照出版社,2012年。
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謝添富、趙晞華,《陸海空軍刑法論釋》,自版,2010年。
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二、翻譯書籍
Joshua Dressler著,王秀梅譯,《美國刑法精解(第四版)》,北京大學出版社,2009年。
Michel Foucault著,劉北成、楊遠嬰譯,《規訓與懲罰―監獄的誕生》,桂冠圖書,1992年。
Helmut Satzger著,王士帆譯,《國際刑法與歐洲刑法》,臺北:元照出版社,2014年。
Samuel P. Huntington著、洪陸訓等合譯,《軍人與國家 : 文武關係的理論與政治》,臺北:時英出版,2006年。
二、期刊論文
林雍昇,〈論國際刑法上「上級責任」(Superior Responsibility)與「共同犯罪組織」(Joint Criminal Enterprise)理論之比較〉,收錄於《國防大學管理學院法律學系102年度國際軍事法學研討會論文集》,2013年。
朱志平,〈從軍人服從義務之內涵及界限論軍事抗命罪〉,收錄於《國防大學管理學院法律學系101年度國際軍事法學研討會》,2012年。
陳新民、范聖孟,〈以德國最新行政法院判決論軍人服從命令之義務與界限〉,《開南法學》,2006年,第1期。
陳顯武、蔡浩志,〈國際刑法國內法化之現範取向分析-以德國模式為借鏡〉,《軍法專刊》,2009年4月,第55卷第2期。
程家瑞,〈國際刑法之新概念〉,《軍法專刊》,2001年,第47期第5卷。
蔡聖偉,〈論公務員依違法命令所為之職務行為〉,《臺大法學論叢》,2008年,第37卷第1期。
駱梅芬,〈英美法系刑事法律中嚴格責任與絕對責任之辨析〉,《中山大學學報(社會科學版)》,1999年9月,第39卷第5期。
魏靜芬,〈國際犯罪與國際法〉,《軍法專刊》,2005年8月,第51卷第4期。
劉霜、任彥君,〈論英美刑法中的嚴格責任及其借鑒〉,《河北法學》,2005年3月,第23卷第3期。
三、網路資料
王慕義,〈從普遍管轄權的相關國際實踐評析我國「殘害人群治罪條例」之適用〉,發表於《現代國際法與超國界法學術研討會暨中華民國國際法學會 101年年會》,http://www.csil.org.tw/home/wp-content/uploads。
劉育偉,〈淺論美國刑法之嚴格責任〉,台灣法律網,http://www.lawtw.com/article.php?template=article_content&job_id=151401&article_category_id=2203&article_id=76232。

貳、英文
一、英文書籍
Bassiouni, M. C. (2008). International Criminal Law: International Enforcement. Vol.3. Martinus Nijhoff.
Belknap, M. R. (2002). The Vietnam War on Trial: The My Lai Massacre and the Court-Martial of Lieutenant Calley. University Press of Kansas.
Cassese, A. (2008). International Criminal Law. (2nd ed.), Oxford University Press.
Cassese, A., and Paola Gaeta. (2013). Cassese's International Criminal Law. (3rd ed.), Oxford University Press.
Dicey, A.V. (1915). Introduction to Study of the Law of the Constitution. London: Macmillan and CO., LTD.
Dinstein, Y. (2012). The Defence of ‘Obedience to Superior Orders’ in International Law. Oxford University Press.
Glueck, S. (1944) War Criminals: Their Prosecution and Punishment. New York : A. A. Knopf.
Greenspan, M. (1959). The Modern Law of Land Warfare. University of California Press.
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Heller, K. Jon. (2011). The Nuremberg Military Tribunals and The Origins of International Criminal Law. Oxford University Press.
Keijzer, N. (1978). Military Obedience. Alphen aan den Rijn: Sijthoff & Noordhoff.
Kelsen, H. (1952). Principles of International Law. New York: Holt, Rinehart and Winston.
McDonald, G. K., and O. Swaak-Goldman (eds). (2000). Substantive and Procedural Aspects of International Criminal Law: The Experience of International and National Courts: A Commentary vol.1. Brill | Nijhoff.
Oppenheim, L. (1906). International Law : a treatise. Vol. 2. War and neutrality. (1st ed.)
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Osiel, M. J. (1999). Obeying Orders: Atrocity, Military Discipline, and the Law of War. Transaction Publishers.
Phillipson, C. (1915). International Law and the Great War. London: T. Fisher Unwin, LTD.
Satō, H. (2011). The Execution of Illegal Orders and International Criminal Responsibility. Springer.
Schaack, E. V. and Ronald C. Slye. (2010). International Criminal Law and Its Enforcement Cases and Materials. (2nd ed.) Foundation Press.
Schabas, W. A. (2011). An Introduction to the International Criminal Court. New York : Cambridge University Press.
Sliedregt, E. V. (2012). Individual Criminal Responsibility in International Law. New York: Oxford University Press.
Stanley, G.F.G.. (1980) Obedience to Whom? To What? Edited by Edgar Denton, Limits to Loyalty, Waterloo, Ont.: Wilfred Laurier University Press.
Stephen, J. F. (1883). A History of Criminal Law of England. London: Macmillan and CO., LTD.
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Zimmermann, A. (2002). Superior Orders Edited by Antonio Cassese et al., The Rome Statute Of The International Criminal Court : A Commentary, Oxford; New York: Oxford University Press.
二、期刊論文
Addicott, J. F. (1992). The Lessons of My Lai, Mil. Law War Rev., 31, 73-115
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Manner, G. (1943) The Legal Nature and Punishment of Criminal Acts of Violence Contrary to the Laws of War, Am. J. Int. Law, 37, 407-435.
Maogoto, J. N. (2007). The Superior Orders Defence: A Game of Musical Chairs and the Jury Is Still Out, Flinders J. Law Reform, 10, 1-26.
Markham, M. (2011). The Evolution of Command Responsibility in International Humanitarian Law, Penn State J. Int. Aff. 50-57.
McCoubrey, H. (2001). From Nuremberg to Rome: Restoring the Defence of Superior Orders, Int. Comp. Law Q., 50, 386-394.
Mousourakis, G. (1998). Distinguishing between Justifications and Excuses in the Criminal Law, Stellenbosch LAW Rev., 9, 165-181.
Nicholson, V. (1968). Absolute Liability and Actus Reus, Kingst. Law Rev., 1, 9-12.
Osiel, M. J. (1998). Obeying Orders: Atrocity, Military Discipline, and the Law of War, Calif. Law Rev., 86, 939-1129.
Parks, W. H. (1973). Command Responsibility for War Crimes, Mil. Law Rev., 62, 1-104.
Paust, J. J. (1972). My Lai and Vietnam: Norms, Myths, and Leader Responsibility, Mil. Law Rev., 57, 99-187.
Restivo, N. M. (2006). Defense of Superior Orders in International Criminal Law as Portrayed in Three Trials: Eichmann, Calley and England, Cornell Law Sch. Grad. Student Pap., 18, 1-33.
Pollock, F. (1919). The Work of the League of Nations, Law Q. Rev., 35, 193–198.
Poydasheff, R. S. (1980). Military Justice: A Reinforcer of Discipline, Int. Law Study Ser. US Nav. War Col., 62, 426-42.
Rodgers, W. L. (1923). Laws of War Concerning Aviation and Radio, Am. J. Int. Law, 17, 629-640.
Rubin, A. P. (1970). Legal Aspects of the My Lai Incident, Oregon Law Rev., 49, 260-272.
Sack, A. N. (1944). Punishment of War Criminals and the Defence of Superior Order, Chittagong Univ. J. Law, 60, 63-68.
Sack, A. N. (1945). War Criminals and the Defense of Superior Order in International Law, Lawyers Guild Rev., 5, 11-17.
Satō, H. (2009). The Defense of Superior Orders in International Law: Some Implications for the Codification of International Criminal Law, Int. Crim. Law Rev., 9, 117-137.
Satō, H. (2012). Modes of International Criminal Justice and General Principles of Criminal Responsibility, Goettingen J. Int. Law, 4, 765-807.
Schwarzenberger, G. (1946). The Inductive Approach to International Law, Harv. Law Rev., 60, 539-570.
Schick, F. B. (1947). The Nuremberg Trial and the International Law of the Future, Am. J. Int. Law, 41, 770-794.
Solis, G. D. (1999) Obedience of orders and the law of war: judicial application in American forums, Am. Univ. Int. Law Rev., 15, 481-526.
Solis, G. D. (2004). Obedience to Orders: History and Abuses at Abu Ghraib Prison, J. Int. Crim. Justice, 2, 988–998.
Värk, R. (2012). Superior responsibility, ENDC Proceedings, 15. 143-161.
Vermeulen, B. (1985). Grotius on Conscience and Military Orders, Grotiana, 6, 3-20.
Wilner, A. M. (1966). Superior Orders as a Defense to Violations of International Criminal Law, Maryl. Law Rev., 26, 127-142.
Wood, S. B. D. (1955). Discipline and Military Justice, Judge Advocate J., 21, 1-8.
Wiener, N. (2014). Excuses, Justifications, and Duress at the International Criminal Tribunals, Peace Int. Law Rev., 26, 88-131.
Wilner, A. M. (1970). My Lai massacre: The Need for An International Investigation, Calif. Law Rev., 58, 703-729.
Wright, Q. (1925). The Outlawry of War, Am. J. Int. Law, 19, 76-103.
Wright, Q. (1945). War Criminals, Am. J. Int. Law, 39, 257-285.
Wright, Q. (1953). The Outlawry of War and the law of war, Am. J. Int. Law, 47, 365–376.
Yeo, S. (1993). Mistakenly Obeying Unlawful Superior Orders, Bond Law Rev., 5, i-17.


三、學位論文
Evy Bauwens, Befehl Ist Befehl-The ‘Superior Orders’ Defence (2014) (unpublished Thesis, Universiteit Gent Library) (on file with the Universiteit Gent Library).
Kudo, K. (2007). Command Responsibility And The Defence of Superior Orders (unpublished Ph.D. Thesis, University of Leicester) (on file with the University of Leicester Library).
Luther N. Norene, Obedience to Orders as a Defense to a Criminal Act (1971) (unpublished Thesis, The Judge Advocate General's School) (on file with The Judge Advocate General's School Library).
Mohammed, A. (2008). Military Culture, War Crimes and the Defence of Superior Orders (unpublished S.J.D. Thesis, Bond University) (on file with the Bond University Library).

四、官方文獻
Draft convention on the crime of genocide prepared by the Secretary-General in pursuance of the Economic and Social Council resolution 47 (IV) (E/447, 26 June 1947) .
General A M Taguba, “Article 16 – 6 Investigation of the 800th Military Police Brigade”, Abu Ghraib Report.
International Committee of the Red Cross, Commentary on the Geneva Conventions of 1949, vol.1 (J. Pictet ed. 1952).
Report of the Ad Hoc Committee on Genocide and draft Convention drawn up by the Committee, 5 April-10 May 1948 (E/794), 24.
Report of Robert H. Jackson United States Representative to The International Conference on Military Trials (Washington: Division of Publications Office of Public Affairs, 1949)
The United Nations War Crimes Commission, History of the United Nations War Crimes Commission and the Development of the Laws of War (1948).
Trial of the Major War Criminals before the International Military Tribunal, Vol. 1 (Nuremberg, 1947)
Trial of the Major War Criminals before the International Military Tribunal, Vol. 2 (Nuremberg, 1947)
Trial of the Major War Criminals before the International Military Tribunal, Vol. 5 (Nuremberg, 1947)
Trial of the Major War Criminals before the International Military Tribunal, Vol. 18 (Nuremberg, 1947)
Trial of the Major War Criminals before the International Military Tribunal, Vol. 19 (Nuremberg, 1947)
Trial of the Major War Criminals before the International Military Tribunal, Vol. 21 (Nuremberg, 1947)
Trial of the Major War Criminals before the International Military Tribunal, Vol. 22 (Nuremberg, 1947)
Trials of War Criminals before the Nuernberg Military Tribunals under Control Council Law No.10 Vol. 1 (1949)
Trials of War Criminals before the Nuernberg Military Tribunals under Control Council Law No.10 Vol. 2 (1949)
Trials of War Criminals before the Nuernberg Military Tribunals under Control Council Law No.10 Vol. 4 (1949)
Trials of War Criminals before the Nuernberg Military Tribunals under Control Council Law No.10 Vol. 5 (1949)
Trials of War Criminals before the Nuernberg Military Tribunals under Control Council Law No.10 Vol. 6 (1949)
Trials of War Criminals before the Nuernberg Military Tribunals under Control Council Law No.10 Vol. 8 (1949)
Trials of War Criminals before the Nuernberg Military Tribunals under Control Council Law No.10 Vol. 11 (1949)
Trials of War Criminals before the Nuernberg Military Tribunals under Control Council Law No.10 Vol. 14 (1949)
UN Doc. A/CONF.183/9 (1998), July 17, 1998.
UN Doc. S/RES/780 (1992), October 6, 1992.
UN Doc. S/25704 (1993), May 3, 1993.
UN Doc. S/RES/827(1993), May 25, 2993.
UN Doc. S/RES/955(1994), November 8, 1994.
UN Doc. S/RES/977(1995), February 22, 1995.
UN Doc. S/RES/1165(1998), April 30, 1998.
UN Doc. S/RES/1824(2008), July 18, 2008.
United Nations, United Nations Diplomatic Conference of Plenipotentiaries on the Establishment of an International Criminal Court (2002). Vol.3.
United Nations, Yearbook of the International Law Commission (1949). vol. 1.
United Nations, Yearbook of the International Law Commission (1950). vol. 2.
United Nations, Yearbook of the International Law Commission (1951). vol. 2.

五、司法判決
Adolf Eichmann v. The Attorney General, Criminal Case 336/61 (29 May 1962)
The Attorney General v. Adolf Eichmann, Criminal Case 40/61 (11 Dec 1961)
The Prosecutor v Dražen Erdemović, ICTY CASE NO. IT-96-22 (29 Nov 1996)
The Prosecutor v. Darko Mrđa, ICTY CASE NO. IT-02-59-I (31 Mar 2004)
United States v. Calley
Regina v. Smith, 17 Cape Reports 561 (South Africa 1900)



六、網路資料
Associated Press ”England convicted in prisoner abuse at Abu Ghraib“ 27 September 2005, The Baltimore Sun, http://www.baltimoresun.com/news/bal-te.england27sep27-story.html
Associated Press, “England Sentenced to 3 Years for Prison Abuse,” 28 September 2005 MSNBC, http://www.nbcnews.com/id/9492624/ns/us_news-crime_and_courts/t/england-sentenced-years-prison-abuse/#.VtJv_8eIesE
Associated Press ”Graner gets 10 years for Abu Ghraib Abuse” 16 January 2005, MSNBC, http://www.nbcnews.com/id/6795956/#.VtJsWceIesE
Charles Garraway, Superior orders and the International Criminal Court: Justice delivered or justice denied, available at https://www.icrc.org/eng/resources/documents/misc/57jq7h.htm
M. A. Fuoco, “Graner’s defense sputters: witness seem to bolster prosecution”, 13 January 2005 http://www.post-gazette.com/news/nation/2005/01/13/Graner-s-defense-sputters/stories/200501130209
MC GRAIL C. ‘Enemies of humanity jailed for war crimes.’ The Guardian, (19/12/2008), at http://www.theguardian.com/world/2008/dec/19/rwanda-united-nationsdate.
Mrđa (IT-02-59), International Criminal Tribunal for the former Yugoslavia, http://www.icty.org/case/mrda/4
Phillip Carter, “Superior Orders:Will the DefenseWork for PFC Lynndie England?” 8 October 2004, FindLaw, http://writ.news.findlaw.com/commentary/20040810_carter.html
Paul-Bolko Mertz, A Controversy: Moral and legal Limitations on Military Obedience Versus the Demands of Combat, South African Defence Review (1992), at http://www.iss.co.za/Pubs/ASR/ SADR4/Mertz.html.
Reymour M Hersh, “Torture at Abu Ghraib: American Soldiers brutalized Iraqis. How far up does the responsibility go?”, (15 March, 2005) The New Yorker Fact, in http://www.newyorker.com/magazine/2004/05/10/torture-at-abu-ghraib
The Gnostic Society Library, http://www.gnosis.org/library.html
The My Lai Courts-Martial, http://law2.umkc.edu/faculty/projects/ftrials/mylai/mylai.htm
The Trial of Adolf Eichmann, www.nizkor.org
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