APPENDIX B
EXCERPT FROM MlLOSEVlC INDICTMENT FOR WAR CRIMES IN BOSNIA AND
HERZEGOVINAIT -02-54-T 3 1 May 2002 277
CRIMINAL RESPONSIBILITY AS A SUPERIOR UNDER ARTICLE 7(3)- The Accused is charged in all counts of the Indictment with responsibility as a
superior under Article 7(3). The essential elements for superior or command responsibility
are:
the existence of a superior-subordinate relationship between the accused and the
perpetrator of the offence;
the accused knew or had reason to know that the perpetrator was about to
commit the offence or had done so; and
the accused failed to take th e necessary and reasonable measures to prevent the
offence or to punish the perpetrator.2135
Superior-Subordinate Relationship- The applicable test for whether the accused had superior responsibility for acts of the
perpetrator is one of "effective controY.2136 It is irrelevant whether the accused was a military
leader, a civilian leader, or a civilian acting as a military leader by virtue of constitutional
structure or self-proclaimed legitimacy.2137 - The accused's superior authority can be either de jwe or de facto.2138 "[F]ormal
designation as commander should not be considered a necessary prerequisite for command
responsibility to attach, as such responsibility may be imposed by virtue of a person's de facto
Iposition]".2139 Evidence that the accused possessed de jwe authority, however, raises a
presumption of "effective control unless proof to the contrary is produced".2140 The existence of the
superior-subordinate relationship, whether de facto or de jure, need not be evidenced by an official
appointment or formal documentation.2141 The effective control test implies that more than one
superior may be held responsible for the same crimes.2142 - The status of subordinates may also be de facto.2143 The relationship of subordination
may be direct, or may be indirect, particularly "in situations where previously existing formal
structures have broken down and where, during an interim period, the new, possibly
improvised, control and command structures may be ambiguous and ill-defineP.2144 A tacit
or implicit understanding between the commander and his subordinate "as to their positioning
vis-A-vis one another is sufficient".2145 - A commander need not have legal authority to prevent or punlsh acts of his
subordinates.2146 Factors relevant to a finding of effective control by a superior over de facto
subordinates may include, but are not limited to:
the capacity to sign orders;2147
the substance of orders;2148
234
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