形塑國際刑事法院的權威：以跨國規範化歷程與法院研究為方法

國際刑事法院的設立與發展，一直都是國際刑法學界關注的焦點。1998 年，各國代表齊聚羅馬，簽署《羅馬規約》，傳達建立一座常設性國際刑事法院的願望，以處理未來各種違反國際刑法與國際人道法的嚴重罪行，並追訴個人罪犯。之後國際刑事法院於2002 年正式成立，並在持續運作的16 年內，努力嘗試達到《羅馬規約》的終極理想——「終結罪犯逍遙法外」（end impunity）。從目前來看，國際刑事法院在追求「終結罪犯逍遙法外」的過程中，形成什麼運作樣貌？如何形成？詳言之，國際刑事法院的基礎規範《羅馬規約》以及國際刑事法院的運作狀況為何？形塑這個樣貌的過程為何？我們如何宏觀描述與理解這個過程？國際刑事法院如何與全球範圍下不同種類的行動者互動，以及發揮其影響力，以「終結罪犯逍遙法外」？雖然國際刑事法院的相關文獻汗牛充棟，但本文希望能以宏觀的視野，提供理解國際刑事法院的不同切入點。為了能夠回答上述問題，本文捨棄刑法學界通常的研究途徑，反而取道於跨國規範化歷程（Transnational Legal Process）與法院研究（Studies of Courts）的視角，選擇由這些研究方法衍伸出來之國際性法院的權威（authority）之概念切入。權威的概念，係指國際性法院與全球範圍行動者的互動所促成之影響。對應國際刑事法院的狀況，國際刑事法院的權威，即這座致力於「終結罪犯逍遙法外」的法院與全球行動者互動下，所促成的改變或應對。透過觀察國際刑事法院與行動者的互動，本文捕捉形塑國際刑事法院的權威之動態過程，從這個動態的過程理解與描述國際刑事法院的權威，進而達到理解國際刑事法院的運作樣貌之效。首先，為了提供理解形塑國際刑事法院的權威之分析基礎，本文梳理《羅馬規約》的規範與國際刑事法院刑事程序的運作現況，以「終結罪犯逍遙法外」的終極目標分析評價，並且將這些現象放回原初的時空脈絡理解。本文發現，現在我們看到的《羅馬規約》規範與國際刑事法院刑事程序的運作現況之形成過程中，國際刑事法院與周圍行動者的密切互動與影響，是一大重要的特色。由行動者共同協商下制定的《羅馬規約》，其規範內容導致國際刑事法院可能很容易受到其他行動者影響。國際刑事法院成立後，種種運作上的問題也肇因於其他行動者的作為。本文因而認為，國際刑事法院與周圍行動者的關係與互動十分密切。其次，立於上述的整理與理解，本文進一步嘗試宏觀地描述國際刑事法院與周圍行動者的互動過程，並以此為基礎，描述國際刑事法院的權威，進而勾勒國際刑事法院的運作樣貌。本文從前述梳理的脈絡，辨認四組圍繞在國際刑事法院的行動者──非政府組織國際刑事法院聯盟、美國、非洲聯盟與部分非洲國家、歐洲聯盟與歐盟國家，並以行動者為單位，描述他們與國際刑事法院的互動。本文發現，國際刑事法院與行動者的互動多元複雜，並呈現出四種模式：扶持模式、支持模式、升溫模式、鬩牆模式。接著，本文分析後認為，國際刑事法院與這四種模式之行動者的互動中，分別形塑出不同的權威：國際刑事法院與扶持和支持模式行動者的互動良好，因而形塑出近乎完整的權威；而國際刑事法院在與升溫和鬩牆模式行動者的互動中，即便努力，仍無法以自身之力改變行動者的作為與態度，因而形塑出有缺陷的權威。最後，綜觀所有的互動模式與形塑之權威，本文認為，國際刑事法院與行動者的多元互動模式下形塑的權威，可以被描述為掙扎中的權威。

關鍵字

國際刑事法院；《羅馬規約》；跨國規範化歷程；法院研究；權威；行動者；互動模式

並列摘要

The International Criminal Court (‘ICC’ or ‘the Court’), which occupies the central place in the literature of international criminal law studies, was established in 2002, based on the 1998 Rome Statute of the International Criminal Court (‘Rome Statute’). The international community then brought the ICC into life, in hopes of “put[ting] an end to the impunity for the perpetrators” of “the most serious crimes of concern to the international community as a whole”, as indicated in the Preamble of the Rome Statute. Sixteen years has passed since the Court was established. What is the performance of the ICC in terms of fighting impunity? How do we understand such performance and what does it signifies? These questions must be of high interest for those who concern the ICC. This Thesis seeks to answer the questions by depicting the operation of the ICC through the lens of Transnational Legal Process, proposed by Harold Koh, and the Studies of Courts, initiated by Martin Shapiro. Under the two methodologies, this Thesis explores the idea of ‘the authority of the ICC’ to depict the 16-year ICC operation by observing the influence of the ICC in its interaction with the international actors—states, international organizations, and non-governmental organizations. The Thesis first argues that the ICC is easily and heavily influenced by the actors, both legally and operationally. After reviewing the design of the Rome Statute and the ICC judgments, decisions, and other legal documents, the Thesis then analyzes them to examine whether the convention genuinely helps the ICC to achieve the end of impunity, and whether the ICC lives up to it in reality. The Thesis finds that the ICC designed under the Rome Statute may be easily subject to the actors when pursuing the convictions, and that the prosecutions in different Situations are plagued with partiality or inefficiency. Behind the analysis, the Thesis discovers that the aforementioned results came from the interaction among the actors and the ICC in the time of the Diplomatic Conference in Rome and the operation of the Court. Actors deployed various tactics and strategies in response to the other actors. This shaped the interaction in the context around the Diplomatic Conference and the Court operation. The Thesis subsequently argues that the authority of the ICC is a struggling authority. Based upon the aforementioned facts and analysis, the Thesis chooses four sets of actors—Coalition for the International Criminal Court, the United States, the African Union and certain African states, and the European Union and the EU states—and observes their interactions with the Court. The Thesis finds that the facts as observed manifest four models of interactions between the actors and the Court—the Aid, the Support, the Warming, and the Quarreling. On the one hand, the action of the Aid and the Support actors clearly shows the growing influence of the ICC to integrate them into the Rome Statute regime. Such interaction forms the authority almost to its fullest. On the other hand, the Warming and the Quarreling actors refused or refuse such integration to the regime. Such deeds diminish the influence of the Court and form the flawed authority. However, facing the Warming and the Quarreling actors, the ICC struggles but fails to influence and convert them as with the Aid and the Support actors. Therefore, judging from the present situation, the Thesis finds its authority as a struggling one.

並列關鍵字

International Criminal Court ； Rome Statute of the International Criminal Court ； Transnational Legal Process ； Studies of Courts ； authority ； actor ； model of interaction