摘要
《罗马规约》的颁布标志着国际社会对危害人类罪与战争罪等重大国际犯罪进入法典化和制度化新阶段。两罪均以保护人类基本利益为宗旨，但其法律规范和适用边界存在模糊、冲突与竞合等问题。本文系统梳理两罪背景要件相关规定，分析条约规范、司法判例与理论观点，指出其实质区分体现在冲突适用前提条件和受害群体法律身份认定上，即两罪对冲突的产生背景、激烈程度、相关组织与计划性，以及对武装部队成员、平民身份或特殊财产利益的要求均有所不同。具体而言，当冲突由双方武装团体间的战争状态转变为单方面针对平民的大规模攻击行为时，或从部分军事利益下平民或财物的攻击转变为对以平民为目标的攻击行为时，案件的法律适用可能会从战争罪延伸至危害人类罪。据此，本文提出一种综合识别方法，通过区分总体情势与具体领域冲突、冲突激烈程度的变动、受害者身份在冲突中的转变情况等条件逐步检证分析，体现两罪适用边界的动态平衡，并完善相关罪名归责规则。
关键词： 罗马规约；危害人类罪；战争罪；动态平衡；识别方法
Abstract
The promulgation of the Rome Statute marks a new stage in the codification and institutionalization of major international crimes, especially Crimes Against Humanity and War Crimes. Both crimes aim to protect fundamental interests of humanity; however, their normative provisions and boundaries of applicability are subject to ambiguity, conflict, and overlap. This article systematically examines the provisions concerning the contextual elements of both crimes, analysing treaty texts, judicial decisions, and academic theories, and argues that the substantive distinction lies in the preconditions for conflict-related applicability and in the legal classification of victim groups. The two crimes differ in their treatment of the background and intensity of conflict, the involvement of relevant organisations and planning, and the status of victims as members of armed forces, civilians, or holders of special property interests. Specifically, when a conflict shifts from a war between two armed groups to a unilateral, large-scale attack against civilians, or when attacks on civilians or property under military necessity evolve into targeted violence against civilians as such, the applicable legal framework may shift from war crimes to crimes against humanity. Accordingly, this paper proposes a comprehensive method of dynamic identification, involving a step-by-step analysis of overall and specific conflict contexts, variations in conflict intensity, and changes in the categories of persons affected during the conflict, thereby clarifying the boundary between the two crimes and refining the corresponding rules of legal attribution.
Key words： Rome Statute; Crimes Against Humanity; War Crimes; Dynamic Balance; Method of Identification
参考文献 References
[1] 联合国. 国际刑事法院罗马规约 [S/OL]. 1998-07-17 [2025-07-30].
https://www.icc-cpi.int/sites/default/files/RS-Eng.pdf.
[2] 国际刑事法院犯罪构成要件 [S/OL]. 2011-01-01 [2025-07-30]. https://www.icc-cpi.int/sites/default/files/ElementsOfCrimesEng.pdf.
[3] 杜启新. 国际刑法中的危害人类罪 [M]. 北京: 知识产权出版社, 2007: 13-24, 48-50, 52.
[4] William A. Schabas. Genocide in International Law [M]. Cambridge: Cambridge University Press, 2000: 147.
[5] M. Cherif Bassiouni. Crimes Against Humanity in International Criminal Law (2nd ed) [M]. The Hague: Kluwer Law International, 1999: 36–37.
[6] ICC. Prosecutor v. Jean-Pierre Bemba Gombo, ICC-01/05-01/08-424, Pre-Trial Chamber II, Decision Pursuant to Article 61(7)(a) and (b) of the Rome Statute [Z/OL]. 2009-06-15: para. 76, 83, 220, 233, 234, 259 [2025-07-31]. https://www.icc-cpi.int/sites/default/files/CourtRecords/CR2009_04528.PDF.
[7] ICC. Prosecutor v. Germain Katanga and Mathieu Ngudjolo Chui, ICC-01/04-01/07-717, Pre-Trial Chamber I, Decision on the Confirmation of Charges [Z/OL]. 2008-09-30: para. 267, 395 [2025-07-31]. https://www.icc-cpi.int/sites/default/files/CourtRecords/CR2008_05172.PDF.
[8] ICC. Prosecutor v. Thomas Lubanga Dyilo, ICC-01/04-01/06-2842, Trial Chamber I, Judgment, 14 March 2012: para. 541 [2025-07-31]; https://www.icc-cpi.int/sites/default/files/CourtRecords/CR2012_03942.PDF.
[9] ICC. Prosecutor v. Germain Katanga, ICC-01/04-01/07-3436, Trial Chamber II, Jugement [Z/OL]. 2014-03-07: para. 1177 [2025-07-31]. https://www.icc-cpi.int/sites/default/files/CourtRecords/CR2015_04025.PDF.
[10] ICC. Prosecutor v. Callixte Mbarushimana, ICC-01/04-01/10-465-Red, Pre-Trial Chamber I, Decision on the Confirmation of Charges [Z/OL]. 2011-12-16: para. 103, 104 [2025-07-31]. https://www.icc-cpi.int/sites/default/files/CourtRecords/CR2011_22538.PDF.
[11] ICTY. Prosecutor v. Kunarac, Kovač and Vuković, IT-96-23 & IT-96-23/1-A, Appeals Chamber, Judgement [Z/OL]. 2002-06-12: para. 100 [2025-07-31]. https://www.icty.org/x/cases/kunarac/acjug/en/kun-aj020612e.pdf.
[12] ICTY. Prosecutor v. Tihomir Blaškić, IT-95-14-A, Appeals Chamber, Judgment [Z/OL]. 2004-07-29: para. 101 [2025-07-31]. https://www.icty.org/x/cases/blaskic/acjug/en/bla-aj040729e.pdf.
[13] Barbie [J]. International Law Reports, 1988, 78: 124–148. https://doi.org/10.1017/CBO9781316152065.022.
[14] 联合国. Final Report of the Commission of Experts Established Pursuant to Security Council Resolution 780 (1992)[R]. U.N. Doc. S/1994/674, para. 78 [2025-07-31]. https://digitallibrary.un.org/record/190325?v=pdf.
[15] United Nations International Criminal Tribunal for the former Yugoslavia. The Tribunal issues international arrest warrants against Mrksic, Radic and Sljivancanin and reprimands Belgrade for its refusal to co-operate[EB/OL]. 1996-04-03 [2025-07-31]. https://www.icty.org/en/sid/7380.
[16] ICTR. Prosecutor v. Jean-Paul Akayesu, ICTR-96-4-T, Trial Chamber I, Judgement [Z/OL]. 1998-09-02: para. 580 [2025-07-31]. https://www.refworld.org/jurisprudence/caselaw/ictr/1998/en/19275.
[17] 李世光. 国际刑事法院罗马规约评释 [M]. 北京: 北京大学出版社, 2006: 79.
[18] ICC. Prosecutor v. Thomas Lubanga Dyilo, ICC-01/04-01/06-803, Pre-Trial Chamber I, Decision on the Confirmation of Charges [Z/OL]. 2007-01-29: para. 232-234; [2025-07-31]. https://www.icc-cpi.int/sites/default/files/CourtRecords/CR2007_02360.PDF.
[19] International Committee of the Red Cross. Customary International Humanitarian Law - Rule 1. The Principle of Distinction between Civilians and Combatants [Z/OL]. Customary IHL Database, Vol. I: Rules. Geneva: ICRC, 2005 [2025-07-31]. https://ihl-databases.icrc.org/en/customary-ihl/v1/rule1.
[20] ICTY. Prosecutor v. Stanislav Galić, IT-98-29-A, Appeals Chamber, Judgment [Z/OL]. 2006-11-30: para. 87 [2025-07-31]. https://www.icty.org/x/cases/galic/acjug/en/gal-acjud061130.pdf.
[21] United Nations. Protocol Additional to the Geneva Conventions of 12 August 1949, and Relating to the Protection of Victims of International Armed Conflicts (Protocol I) [Z/OL]. United Nations Treaty Series, 1977, 1125: 17512, art. 50 (3) [2025-07-31]. https://www.icrc.org/sites/default/files/external/doc/en/assets/files/other/icrc_002_0321.pdf.
[22] Gottlieb Y. Attacks against cultural heritage as a crime against humanity [J]. Case Western Reserve Journal of International Law, 2020, 52.