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Accomplice Criminal Liability To Masterminds - ByShinMatsuzawa
Accomplice Criminal Liability To Masterminds - ByShinMatsuzawa
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Shin Matsuzawa
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1. Agenda
1.1. Criminal law scholar Hermann Kantorowitcz once made the follo-
wing statement: “The accessory liability theory is the darkest and most
complicated chapter in German criminal law (Die Teilnahmelehre ist das
dunkelste und verworrenste Kapitel der Deutschen Strafrechtwissensch-
aft).”2
He wrote this in the late nineteenth century; however, the “darkest
chapter” in German criminal law studies still exists, even in the 21st cen-
tury. Indeed, it seems to have become even darker. The situation is the
same in Japan.
1.2. In Japan and Germany, penalties for criminal acts involving multiple
persons are determined systematically, by identifying the form of invol-
1. Many thanks to Prof. Andrew P. Simester for valuable comments and to JSPS
Grant in Aid for Scientific Reseach (number 128709).
2. Kantorowicz, H. Aschaffenburgs Monatsschrift, 7. Jahrg., 1910, p. 306.
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SHIN MATSUZAWA
Japanese Criminal Code Article 61, Paragraph 1: A person who induces another to
commit a crime shall be dealt with in sentencing as a principal.
German Criminal Code Section 26: Whoever intentionally induces another to inten-
tionally commit an unlawful act, shall, as an inciter, be punished the same as a per-
petrator.
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ACCOMPLICE CRIMINAL LIABILITY TO MASTERMINDS
1.5. Under both Japanese and German Criminal Codes, at the sentencing
stage, a principal and an accomplice (instigator) can be punished with the
same penalty. However, the determination as principal or accomplice re-
flects the social assessment of the criminal act committed. A principal is a
“person who is murderer,” whereas an accomplice is a “person who inci-
ted murder.” These are totally different assessments. In the sarin gas case,
is X not a “murderer”? At the very least, he is the moral equivalent of that
person.
In addressing this issue, Japanese criminal law scholar Ryuichi Hirano
rightly questioned whether it was appropriate to regard the person who
actually dropped the atomic bomb or the person who gave the order as
responsible for the atomic bombing.3 Does the Complicity System offer
sufficient answer to this question?
1.6. This leads to the issue of punishment for the perpetrator who was re-
sponsible for carrying out the defined criminal act, but whose role is not
significant in reality, with the mastermind playing the key role. In such a
case, can we always say that the perpetrator is the principal because he or
she carried out the act? There may be cases where the perpetrator should
be treated in law as “the person who assisted the crime” rather than as
“the person who carried out the crime.”
1.7. Many countries with the Complicity System face similar problems.
How can we resolve this issue? This paper will examine the penalties im-
posed and propose a theory for appropriate punishment of accessories.
The paper proceeds as follows:
Following is the outline of the paper.
(1) Firstly, the general theory on punishment of masterminds will be reviewed. If the
mastermind is playing a significant role in the overall criminal scheme, is it approp-
riate to apply a lighter punishment to such person as the instigator rather than as
3. Cf. Hirano, R. “Seihan to Jikko” in Hanzairon no Shomondai (1), 1981, p. 132 f. Hira-
no suggests the right answer would be both of them.
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the principal? The issues are classification as accomplice (instigator), and applicati-
on of legislative theory.
(2) Next, we review the effect on the mastermind where the act of the perpetrator is
prima facie a defined crime but the act happened to be justified. Under the German
criminal law, the perpetrator must meet certain prerequisites for the crime in order
to punish the mastermind as an accomplice. That is to say, the perpetrator must ha-
ve carried out a defined crime that is not justified. This is a leading theory in Japan
as well as Sweden. The appropriateness of this theory will be examined.
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ACCOMPLICE CRIMINAL LIABILITY TO MASTERMINDS
If taken literally, this seems to require each perpetrator to carry out the
murder. In practice, however, the expanded case-law doctrine has been
applied to cases like the sarin example in Japan.
2.2.1.2. Many theories have been proposed as the rationale. Until the
World War II era, the mainstream theory6 was to borrow from the union
theory in the Japanese Civil Code that the “conspiracy” created an inse-
parable agent of joint intention, whereupon participants become fully li-
able for the acts of the agent. However, as this theory was supportive of
collective responsibility, it lost persuasiveness under the democratic and
liberal constitution introduced after WWII. The theory that took its place
focused on the point that the mastermind suppressed objection from the
perpetrator by engaging in the “conspiracy” and made all of the co-
perpetrators act as his/her tools. It argued that the person who only par-
ticipated in the “conspiracy” can be held liable as co-principal. It is un-
4. About scholarly opinion, see, Dando, S. The Criminal Law of Japan: The General Part,
1997, p. 239.
5. Keishu Vol. 15, at 715. Date of the judgment ((pre-war) Supreme Court decision):
1936.05.28.
6. Represented by Hyoichiro Kusano, so-called “the theory of a body having a com-
mon intent”. About Kusano’s theory, see, Dando, S. op.cit.fn.3. p. 238.
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derstood that this theory is being adopted in practice since the Supreme
Court decision in 1958.7
2.2.1.3. More recently, a theory has appeared that a principal should not be
considered as synonymous to a perpetrator, and a person who has not
acted as a perpetrator of a crime can be a principal.8 Under this theory, a
principal is a “person who played a significant role” in the crime.
By developing this theory further, “conspiracy,” which was necessary
for punishing the mastermind as co-principal, will no longer be a prere-
quisite. “Conspiracy” can be deemed as a factor for judging the signifi-
cance of the role.
This more recent theory provides a rationale for punishment of a per-
son involved in a joint crime who plays a significant role as a co-principal
(the author believes the Supreme Court decision in 20039 indicates such
directionality).
2.2.2. Germany
2.2.2.1. Germany has the following provision for co-principals.
Cult leader X in the case above incited murder, but did not carry out the
crime himself or perform a criminal act jointly with Y. If the letter of the
law is followed, Section 25 will not be applicable to X, and he would be
deemed to be an instigator in Germany.
7. Keishu Vol. 12, No. 8, at 1718. Case number: 1954(A) 1056, Date of the judgment
(Supreme Court decision): 1958.05.28. English translation is findable on the follo-
wing web-site; http://www.courts.go.jp/app/hanrei_en/search
8. Cf. Hirano, R. op.cit.fn.2. p. 132 ff., Nishida, N. Kyohanriron no Tenkai, 2010, p. 51 ff.
9. Keishu Vol.57, No. 5 at 507. Case Number: 2002 (A) 164, Date of the judgment
(Supreme Court decision): 2003.05.01. English translation is findable on the follo-
wing web-site; http://www.courts.go.jp/app/hanrei_en/search
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ACCOMPLICE CRIMINAL LIABILITY TO MASTERMINDS
2.2.2.4. However, this interesting theory assumes that it is possible for the
mastermind to actually control the crime. The sarin case would be the
most typical example. Because the mastermind controls the act of the
perpetrator, the mastermind as well as the perpetrator is the principal
under the theory. This is referred to as the “principal behind the princi-
pal” (Täter hinter dem Täter).
2.2.2.5. The concept of “principal behind the principal” was created by Ri-
chard Lange,10 and developed by Friedrich-Christian Schröder.11 Claus
10. Cf. Kohlrausch, E. & Lange, R., StGB Kommentar, 39-40. Aufl., 1950, Vorb.I.B.1 vor
§ 47, p. 95.
11. Cf. Schröder, H. Der Täter hinter dem Täter, 1965, p. 107 ff.
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Roxin further developed the theory,12 and German case laws now partial-
ly adopt this.13
Roxin states that in an organized power structure, the mastermind can
be punished as the “principal behind the principal.”14 In the sarin case, an
autocratic leader of an organized religious cult instructed his devotees.
This would be considered as an example of such power structure. A prin-
cipal behind the principal is recognized as an exception to the principles
of responsibility and autonomy, and as Y and others who committed the
act is punished for murder, X will also be punished as the principal for
the murder. The principle of non-regression (Regreßverbot) is not applied
in such an exception.
2.3.2. Sweden is one example. Swedish criminal code has the Complicity
System similar to Japan and Germany, and distinguishes between the co-
principal, instigator and accessory. There are different requirements for
each, and whoever satisfies the given requirement will be deemed to be
the co-principal, instigator, or accessory. Swedish law distinguishes bet-
ween principal and accomplice, with co-principal bearing the primary li-
ability, instigator and accessory positioned as bearing secondary liabiliti-
es.
However, what makes Sweden unique is that after the classification,
facts are observed again, and where necessary, it is permissible to re-
classify the principal as an accomplice, and vice versa. A paper by Petter
Asp and Magnus Ulväng provides the following explanation.15
12. Cf. Roxin, C. “Bemerkungen zum Täter hinter dem Täter”: in Lange-Festschrift,
1976, p. 173 ff.
13. Cf. BGHSt.40, 218.
14. Cf. Roxin, LK 11. Aufl. § 25 Rn. 128 ff.
15. Asp, P. & Ulväng, M. “Sweden”: in A. Reed & M. Bohlander (Eds), Participation in
Crime, 2013, p. 438.
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ACCOMPLICE CRIMINAL LIABILITY TO MASTERMINDS
“Swedish law, however, also allows for a re-labeling which could be described as an
adjustment made at the very end of the process. Under this procedure persons who are
principals (i.e. who actually fulfill the requirements of a specific offence), may in the
end be designated as instigators or aiders (depending on whether one or the other fits
best) and persons who are “only” instigators or aiders (i.e. persons who do not fulfill
the requirements of a specific offence, but is held responsible under Chapter 23 section
4) may in the end be designated as principals. A court can in this way extend (designa-
te and aider or instigator as principal), reduce (designate a principal as an aider or in-
stigator) or convert the role (do both things at the same time) of the parties.”
2.4. Observations
2.4.1. What is clear from the practical development in Japan is that by
eliminating the formal standard which allows only those who carried out
the criminal act to be co-principals, the difference between principal and
accomplice (instigator) immediately becomes vague, and ultimately be-
comes indistinguishable. In Japanese practice, the instigator category was
gradually absorbed into co-principal, and has virtually disappeared ex-
cept for particular crimes where the principal cannot be punished, such as
instigation of suppression of evidence.
2.4.2. On the other hand, if the formal standard such as the one in Germa-
ny that requires co-principals to have committed the criminal act is
pursued, the distinction between principal and accessory (instigator) may
be clear but the decisions will become unjust. Germany is bound by the
formal standard due to the Section 25 definition that a person who com-
mits the crime himself shall be the principal, and the consequent requi-
rement that the mastermind must be found to be the principal in order to
apply proper punishment. The theory of “principal behind the principal”
was a desperate measure created by the Germans to apply justice. The
theory is a device invented to solve a problem created only by the formal
structures of German complicity law.
2.4.3. Perhaps one may say that provided the instigator is punished with
the same penalty as the principal, that should be enough. Under the Ja-
panese and German criminal laws, the punishment is the same as the
principal, so that is sufficient.
However, if the instigator is treated as an accomplice, the instigator
cannot be punished with a heavier penalty than the principal, due to its
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2.4.6. One concern over such legislation is the risk that an act of instigati-
on may be automatically punished as act of a principal, even in cases of
criminal attempt. German criminal scholar Roxin has made such argu-
ment.16
Certainly, if an extremely subjective approach to criminal attempts law
is taken, as in Denmark,17 there could be such a risk. German case law also
applies subjective approach to criminal attempts law, so such a criticism
could be understandable.18
However, the risk can be avoided by requiring “negative value inhe-
rent in results (Erfolgsunwert)” in order to punish as criminal attempts. In
other words, under an objective approach, punishment for criminal at-
tempt will require a criminal act as well as the emergence of risk of legal
interests infringement, i.e., the need for “negative value inherent in re-
sults (Erfolgsunwert).”
In short, it is not enough that the perpetrator carries out some act, for
the criminal attempts law to be applied. This is also a product of the libe-
ral view of the state, which interprets illegality not as a breach of obligati-
ons set by the state, but an infringement of interests protected by the law.
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ACCOMPLICE CRIMINAL LIABILITY TO MASTERMINDS
3.1.2. In the above case, A committed acts that prima facie constitute a
crime of causing bodily injury. However, A acted in self-defense, and was
justified. On the other hand, B had positive will to cause harm, and it
would be inappropriate to allow B to claim self-defense (at least the estab-
lished Supreme Court case law in Japan19 holds that self-defense will not
apply as the infringement is not imminent in such a case). Therefore, B
will be recognized as the instigator of crime of bodily injury (or, following
the debates of the previous chapter, co-principal for the crime of bodily
injury).
Seen purely from the appropriateness of the result, there is no practical
reason to allow the mastermind whose actions result in harm to the vic-
tim to claim self-defense and be left unpunished. More generally, if the
justification is personal to the perpetrator, there is no reason why that ju-
19. Keishu Vol. 31, No. 4 at 747. Case Number: 1977 (A) 671, Date of the judgment
(Supreme Court decision): 1977.07.21.
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SHIN MATSUZAWA
20. In the case of excessive self-defense, Japanese Supreme Court decided like this. Ke-
ishu Vol. 46, No. 4 at 245. Case Number: 1992 (A) 788, Date of the judgment (Sup-
reme Court decision): 1992.06.05.
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“Unrecht,” that is, “a situation where the legal profit is infringed upon as
a matter of fact.” This is the most thorough application of the German
“Provocation Theory (Verursachungstheorie).”
It argues that thorough application of individual liability in modern
society will require that each actor be punished according to his/her act
and its results. Even if the act of the perpetrator/principal is justified, the
mastermind could be punished if “a situation where the legal profit is inf-
ringed upon as a matter of fact” is elicited. If the mastermind is causing
“negative value inherent in results (Erfolgsunwert)” by his/her act, i.e.,
“causing infringement of legal profits by willful act of breach of obligati-
ons,” he/she meets the requirement for criminal punishment. (Note that
even if the act of the principal is justified as self-defense, i.e., deemed not
to be illegal, “a situation where the legal profit is infringed upon as a mat-
ter of fact (Unrecht)” exists if the victim suffers bodily injury.)
3.2.5. The conclusion from these reviews is that the rationale for punish-
ment of accomplice should be the same as for the principal. This approach
can be called the “Monistic System (Einheitstätersystem)” as opposed to
the Complicity System. It is a legislative form that would punish anyone
involved in a joint-crime as the principal.
This is not an extraordinary format. In Europe, it is adopted in the cri-
minal codes of Italy, Denmark, Norway, and Austria, and Administrative
Offenses Act in Germany. (In practice, similar process is applied to negli-
gence in Germany.) It is also the standard approach in the common law.
4.1. The above review suggests that, when accommodating legal respon-
ses to the realities of crimes, establishing instigator provisions as a legisla-
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tive theory would not be the best way. A Monistic System is more app-
ropriate.
4.4. There are various criticisms against the Monistic System. In particu-
lar, the loss of legal certainty (security of rule of law) has been raised over
and over again.
However, the important thing in the punishment of participants of a
crime is whether or not an infringement of legal interests have occurred
21. Giving: Hanreijiho No. 842 p. 127. Date of the judgement (Yokohama district court
Kawasaki branch decision): 1976.11.25.
Using: Hanreijiho No. 924 p. 145. Date of the judgement (Otsu district court):
1978.12.26.
Smuggling: Hanreijiho No. 1300 p. 153. Date of the judgement (Tokyo district de-
cision): 1988.07.27.
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4.8. By adopting the Monistic System, almost all of the difficult issues sur-
rounding accomplices can be resolved. The Complicity System was the
source of the darkness that created the confusion described by Kantoro-
witcz in the nineteenth century, and it continues to haunt complicity
theory in many countries today. By eliminating it, the darkness can be lif-
ted, and a clear vision can be gained.
4.9. The legislative formats of Italy, Austria, Denmark and Norway sup-
ply examples of what is possible in this respect. However, there seems to
be little academic exchange between the Scandinavian nations, Italy and
Austria, and not enough comparison is being made with the Brazilian
criminal law and US Model Penal Code, which are said to have adopted
the same kind of legislative format.
It is important to review practical standards to determine how certain
acts should be punished, and what the appropriate level of sentencing is,
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