1、1硕士学位论文（20 届）论国际刑事法院的补充性管辖权姓 名学 科 、 专 业 国 际 法 学 （ 全 日 制 法 学 硕 士 ）研 究 方 向 国 际 公 法指 导 教 师论文提交日期2论国际刑事法院的补充性管辖权（硕士论文摘要）1998 年在罗马举行了国际刑事法院外交全权代表会议，该会议通过了国际刑事法院规约 ，又称罗马规约 。国际刑事法院的成立反映了国际社会要求惩治严重国际犯罪的强烈愿望。然而国际刑事法院的管辖权问题一直是各国争论的一个重要议题。最终，国际刑事法院确立了补充性管辖权的原则。 罗马规约序言确立了管辖权的补充性：“本法院为常设机构，有权就本规约所提到的、受到国际关注的最严重犯
2、罪对个人行使管辖权，并对国家刑事管辖权起补充作用。 ”补充性管辖权强调将国家的司法管辖摆在优先的位置，认为国家的司法管辖是国家主权的一种象征，补充性管辖权必须尊重一国的主权。补充性管辖权的确立体现着其与国家主权之间的利益的协调与平衡，被认为是“国际刑事法院存在的基石” 。补充性管辖权的适用必须在国内法院不能够或不愿意进行相关的起诉、审判时才可以对特定的犯罪嫌疑人和特定的国际犯罪进行管辖。尽管规约序言就确立了补充性管辖权的原则，但是纵观罗马规约全文仍然可以发现许多与补充性管辖权不相符之条款。这不仅不能正确反映国际刑事法院确立的管辖权原则，而且也不利于维护国家主权。本文也希望起到抛砖引玉的效果，对
3、相应的条文提出了完善的建议和对策。正文内容包括五章，内容如下：第一章补充性管辖权概述。内容包括补充性管辖权的概念、如何正确理解补充性管辖权、补充性管辖权与国家主权的统一、补充性管辖权产生的背景和意义等内容。第二章补充性管辖权适用的条件。分别从国家同意国际刑事法院管辖权、国家不能够或不愿意行使管辖权、国内法院已宣告无罪或已作有罪判决、案件足够严重四个方面进行了深入的论述。第三章补充性管辖权适用的范围。本章对灭绝种族罪、危害人类罪、战争罪、侵略罪这四个最严重的危害人类社会的罪行进行了论述，内容涉及罪行的特征及行为要件。第四章补充性管辖权的启动。内容包括缔约国提交、安理会提交、检察官3提交三部分，分
4、析了各种启动方式自身的特点，并就三者之间的相互关系进行了论述。第五章对管辖权的“补充性”之反思以及我国的应对。本章先对罗马规约中与补充性管辖权不符的内容进行了分析，并提出了完善对策；由此引申到我国对加入规约存在的顾虑，并相应提出了对策以消除顾虑，选择一个适当的时机加入罗马规约 。【关键词】：国际刑事法院 补充性管辖权 国家主权 罗马规约1Studies on Complementary Jurisdiction of International Criminal CourtAbstractRome Diplomatic Conference on International Criminal
5、Court（ICC.）was held in Rome，1998.The Conference produced The Statute of ICC，which was also calledRome Statute.The Establishment of ICC show the strong mind of international society to punish the most serious international crime. However, the issue of the jurisdiction of ICC has become the hot topic
6、of controversy among the delegates. The delegates affirmed the complementary jurisdiction as the last outcome. The preface of Rome Statute has set the complementary of jurisdiction: The Court, as permanent body has authority to the most serious international crime which is referred by Rome Statute a
7、nd be focusing internationally, playing a complementary part to national criminal jurisdictions.The complementary jurisdiction put the national criminal jurisdiction ahead of ICC jurisdiction; hold that national criminal jurisdiction as a symbol of sovereign right. The complementary jurisdiction mus
8、t respect sovereign. The establishment of complementary jurisdiction shows it has made coordination and balance on interests with sovereign, it has been considered as the existence cornerstone of the International Criminal Court. Only in case when national legal court is unavailable or unwilling to
9、conduct the prosecution or the trial, can the ICC carry out jurisdiction to the specific case or suspects.Although the preamble to the Rome Statute has established principle of complementary jurisdiction, but having browsed the whole articles of the Rome Statute you can still find many terms of the
10、Rome Statute is not match to the complementary jurisdiction. Not only can it accurately reflect the complementary principle of the ICC, but also not conducive to the maintenance of national sovereignty. The author hopes the thesis can provide some useful ideas and arouse scholarsconcern to the compl
11、ementary jurisdiction, the author also propose some comprehensive recommendations and countermeasures to the corresponding 2provisions. The whole thesis contains five parts.Chapter 1: The general presentment of the complementary principle. It includes the concept of the complementary jurisdiction, h
12、ow to correctly understand the complementary jurisdiction, the unity of complementary jurisdiction and state sovereignty, the background and significance of the complementary jurisdiction.Chapter 2: The applicative condition of the complementary jurisdiction. It gives deep discussion from four parts
13、: States agreed to the jurisdiction of the ICC; Countries is unavailable or unwilling to implement the jurisdiction; Domestic courts have been acquitted or has made guilty verdict; Case is sufficiently serious.Chapter 3: The applicative scope of the complementary jurisdiction. This chapter discusses
14、 the four most seriously crimes which affect the human society: Crimes of Genocide, Crimes against Humanity, War Crimes, and Crimes of Aggression. The content covers the characteristic of crimes and behavior structure.Chapter 4: The trigger mechanism of complementary jurisdiction. It includes three
15、modes: the state party submits the situation; the Security Council submits the situation; the Prosecutors initiative investigation. This chapter makes analyses of the characteristic of each mode and gives statement to the relationship of the three trigger mechanism. Chapter 5: Rethink to the complem
16、entarities of the jurisdiction and Chinas response. In this part, the author first gives analyzes to the provision of Rome Statute which is not match to the principle of complementary jurisdiction, and set out the countermeasures. Secondly, the chapter amplifies to the worry of the Chinas accession
17、to the Statute; according to the worries author give some counterpart suggestions, China could choose the suitable time to enter the Statute.【Key Words】:International Criminal Court (ICC)3Complementary Jurisdiction State SovereignRome Statute1目 录导 言 .1第一章 补充性管辖权概述 .2第一节 补充性管辖权的概念 .2一、补充性管辖权的界定 .2二、正
18、确理解补充性管辖权原则 .4三、补充性管辖权确立的背景和意义 .6第二节 补充性管辖权与国家主权的统一 .9一、补充性管辖权以尊重国家主权为前提 .9二、国家应当履行首要的管辖义务 .10三、补充性管辖权对国家管辖权之“补充” .10第二章 补充性管辖权的适用条件 .11一、国家同意了国际刑事法院管辖权 .12二、国家不愿意或不能够行使管辖权 .14三、国内法院已宣告无罪或已作有罪判决 .18四、案件足够严重 .19第三章 补充性管辖权适用的范围 .21一、灭绝种族罪 .22二、危害人类罪 .23三、战争罪 .24四、侵略罪 .25第四章 补充性管辖权的启动 .26一、缔约国提交情势 .27二、安理会提交情势 .29三、检察官主动调查 .32第五章 对管辖权的“补充性”之反思与我国的应对 .342第一节 对非缔约国创设义务 .34一、罗马规约为非缔约国设定义务之表现 .35二、对非缔约国所设定的义务之修正 .36第二节 检察官的自行调查权 .38一、 罗马规约对检察官的规定 .38二、对检察官制度的完善 .41第三节 我国应对罗马规约的思考 .42一、我国加入罗马规约的顾虑 .42二、我国应采取的对策和立场 .44结 语 .46参考文献 .48在读期间发表的学术论文和研究成果 .52后 记 .53
