LEGAL REFERENCES AND LIST OF DOCUMENTS RELATING TO THE GENERAL STAFF AND HIGH COMMAND OF THE ARMED FORCES
| Document | Description | Vol. | Page |
| Charter of the International Military Tribunal, Article 9. | I | 6 | |
| International Military Tribunal, Indictment Number 1, Section IV (H); Appendix B. | I | 29, 72 | |
| 3737-PS | Hague Convention of 1907 respecting the Laws and Customs of War on Land, Annex, Articles 4, 23. | VI | 590, 594 |
| 3738-PS | Geneva Convention of 1929 relative to treatment of Prisoners of War, Articles 2,3. | VI | 600 |
| ———— | |||
| Note: A single asterisk (*) before a document indicates that the document was received in evidence at the Nurnberg trial. A double asterisk (**) before a document number indicates that the document was referred to during the trial but was not formally received in evidence, for the reason given in parentheses following the description of the document. The USA series number, given in parentheses following the description of the document, is the official exhibit number assigned by the court. | |||
| ———— | |||
| 375-PS | Case Green with wider implications, report of Intelligence Division, Luftwaffe General Staff, 25 August 1938. (USA 84) | III | 280 |
| *386-PS | Notes on a conference with Hitler in the Reich Chancellery, Berlin, 5 November 1937, signed by Hitler’s adjutant, Hossbach, and dated 10 November 1937. (USA 25) | III | 295 |
| *388-PS | File of papers on Case Green (the plan for the attack on Czechoslovakia), kept by Schmundt, Hitler’s adjutant, April-October 1938. (USA 26) | III | 305 |
| *444-PS | Original Directive No. 18 from Fuehrer’s Headquarters signed by Hitler and initialled by Jodl, 12 November 1940, concerning plans for prosecution of war in Mediterranean Area and occupation of Greece. (GB 116) | III | 403 |
| *446-PS | Top Secret Fuehrer Order No. 21 signed by Hitler and initialled by Jodl, Warlimont and Keitel, 18 December 1940, concerning the Invasion of Russia (case Barbarossa). (USA 31) | III | 407 |
| 447-PS | Top Secret Operational Order to Order No. 21, signed by Keitel, 13 March 1941, concerning Directives for special areas. (USA 135) | III | 409 |
| *498-PS | Top Secret Fuehrer Order for killing of commandos, 18 October 1942. (USA 501) | III | 416 |
| *503-PS | Letter signed by Jodl, 19 October 1942, concerning Hitler’s explanation of his commando order of the day before (Document 498-PS). (USA 542) | III | 426 |
| *506-PS | Draft of top secret letter, 22 June 1944, initialled by Warlimont, concerning enemy agents. (USA 549) | III | 430 |
| *508-PS | OKW correspondence, November 1942, about shooting of British glider troops in Norway. (USA 545) | III | 430 |
| *509-PS | Telegram to OKW, 7 November 1943, reporting “special treatment” for three British commandos. (USA 547) | III | 433 |
| *512-PS | Teletype from Army Commander in Norway, 13 December 1942, concerning interrogation of saboteurs before shooting; and memorandum in reply from OKW, 14 December 1942. (USA 546) | III | 433 |
| *526-PS | Top secret notice, 10 May 1943, concerning saboteurs captured and shot in Norway. (USA 502) | III | 434 |
| *531-PS | OKW memorandum, 23 June 1944, citing inquiry from Supreme Command West about treatment of paratroopers. (USA 550) | III | 435 |
| *537-PS | Order signed by Keitel, 30 July 1944, concerning treatment of members of foreign “Military Missions”, captured together with partisans. (USA 553) | III | 439 |
| 551-PS | Order signed by Keitel, 26 June 1944, concerning treatment of Commando participants. (USA 551) | III | 440 |
| *728-PS | Letter of Foreign Office to Chief of Supreme Command of Armed Forces, 20 June 1944, concerning treatment of enemy terror aviators. (GB 152) | III | 526 |
| 729-PS | Handwritten note initialled Keitel, 14 June 1944, concerning treatment of enemy terror aviators. | III | 529 |
| 730-PS | Draft of letter to Foreign Office, attention Ambassador Ritter, 15 June 1944, concerning treatment of enemy aviators. | III | 530 |
| 731-PS | Memorandum initialled by Jodl, 22 May, concerning measures to be taken against Anglo-American air crews in special instances. | III | 531 |
| 732-PS | Letter from Feske to Keitel, 19 June 1944, concerning treatment of enemy terror aviators. | III | 532 |
| 733-PS | Telephone memorandum, 26 June 1944, concerning treatment of terror aviators. | III | 533 |
| *735-PS | Minutes of meeting, 6 June 1944, to fix the cases in which the application of Lynch Law against Allied airmen would be justified. (GB 151) | III | 533 |
| 737-PS | Conference Notes, 4 June 1944, concerning treatment of enemy terror aviators. | III | 536 |
| *740-PS | Letter from Warlimont, 30 June 1944, concerning treatment of enemy terror aviators. (GB 153) | III | 537 |
| 741-PS | Secret memorandum, 5 July 1944, concerning terror aviators. | III | 538 |
| *789-PS | Speech of the Fuehrer at a conference, 23 November 1939, to which all Supreme Commanders were ordered. (USA 23) | III | 572 |
| *798-PS | Hitler’s speech to Commanders-in-Chief, at Obersalzberg, 22 August 1939. (USA 29) | III | 581 |
| *872-PS | Memorandum of Discussion between the Fuehrer and the OKW, concerning case “Barbarossa” and “Sonnenblume” (African operation). (USA 134) | III | 626 |
| *1061-PS | Official report of Stroop, SS and Police Leader of Warsaw, on destruction of Warsaw Ghetto, 1943. (USA 275) | III | 718 |
| *1279-PS | Minutes of meeting concerning treatment of members of foreign “Military Missions” captured with partisan groups and draft of order, 7 July 1944 pertaining thereto. (USA 552) | III | 857 |
| *1541-PS | Directive No. 20, Operation Marita, 13 December 1940. (GB 117) | IV | 101 |
| *1746-PS | Conference between German and Bulgarian Generals, 8 February 1941; speech by Hitler to German High Command on situation in Yugoslavia, 27 March 1941; plan for invasion of Yugoslavia, 28 March 1941. (GB 120) | IV | 272 |
| *1775-PS | Propositions to Hitler by OKW, 14 February 1938. (USA 73) | IV | 357 |
| *1780-PS | Excerpts from diary kept by General Jodl, January 1937 to August 1939. (USA 72) | IV | 360 |
| 1786-PS | Excerpt of 14 March 1943 of War Diary of the Deputy Chief of the Armed Forces Operations Staff. (USA 561) | IV | 369 |
| *1809-PS | Entries from Jodl’s diary, February 1940 to May 1940. (GB 88) | IV | 377 |
| *1816-PS | Stenographic report of the meeting on The Jewish Question, under the Chairmanship of Fieldmarshal Goering, 12 November 1938. (USA 261) | IV | 425 |
| *1919-PS | Himmler’s speech to SS Gruppenfuehrers, 4 October 1943. (USA 170) | IV | 558 |
| *2261-PS | Directive from Blomberg to Supreme Commanders of Army, Navy and Air Forces, 24 June 1935; accompanied by copy of Reich Defense Law of 21 May 1935 and copy of Decision of Reich Cabinet of 12 May 1935 on the Council for defense of the Reich. (USA 24) | IV | 934 |
| *2327-PS | Two top secret memoranda, 14 June 1939, concerning operation “Fall Weiss”. (USA 539) | IV | 1035 |
| *2385-PS | Affidavit of George S. Messersmith, 30 August 1945. (USA 68) | V | 23 |
| *2610-PS | Affidavit of Frederick W. Roche, Major, U. S. Army, 7 November 1945. (USA 548) | V | 330 |
| *2802-PS | German Foreign Office notes of conference on 13 March 1939 between Hitler and Monsignor Tiso, Prime Minister of Slovakia. (USA 117) | V | 443 |
| *3012-PS | Order signed Christiansen, 19 March 1943, to all group leaders of Security Service, and record of telephone conversation signed by Stapj, 11 March 1943. (USA 190) | V | 731 |
| 3040-PS | Secret order of Reichsfuehrer SS, 20 February 1942, concerning commitment of manpower from the East. (USA 207) | V | 744 |
| *3702-PS | Affidavit of Colonel-General Franz Halder, 7 November 1945. (USA 531) | VI | 411 |
| *3703-PS | Affidavit of Field Marshal Walter von Brauchitsch, 7 November 1945. (USA 532) | VI | 413 |
| *3704-PS | Affidavit of Field Marshal Werner von Blomberg, 7 November 1945. (USA 536) | VI | 414 |
| *3705-PS | Affidavit of Field Marshal Walter von Brauchitsch, 7 November 1945. (USA 535) | VI | 415 |
| *3706-PS | Affidavit of Colonel-General Johannes Blaskowitz, 10 November 1945. (USA 537) | VI | 417 |
| *3707-PS | Affidavit of Colonel-General Franz Halder, 13 November 1945. (USA 533) | VI | 419 |
| *3708-PS | Affidavit of Colonel Bernd von Brauchitsch, 20 November 1945. (USA 534) | VI | 419 |
| *3710-PS | Affidavit of Walter Schellenberg, 26 November 1945. (USA 557) | VI | 420 |
| *3711-PS | Affidavit of Captain Wilhelm Scheidt, 26 November 1945. (USA 558) | VI | 424 |
| 3712-PS | Affidavit of General von dem Bach, 27 November 1945. | VI | 425 |
| *3713-PS | Affidavit of General Roettiger, 8 December 1945. (USA 559) | VI | 429 |
| 3714-PS | Affidavit of General Roettiger, 28 November 1945. (USA 560) | VI | 430 |
| *3715-PS | Affidavit of Major General Rode, 30 November 1945. (USA 562) | VI | 431 |
| *3716-PS | Affidavit of Major General Rode, 30 November 1945. (USA 563) | VI | 433 |
| *3717-PS | Affidavit of General Heusinger, 1 December 1945. (USA 564) | VI | 434 |
| *3718-PS | Affidavit of Colonel v. Bonin, 1 December 1945. (USA 565) | VI | 435 |
| *3739-PS | Memo on General Staff and High Command and affidavit thereto. (USA 778) | VI | 624 |
| *3868-PS | Affidavit of Rudolf Franz Ferdinand Hoess, 5 April 1946, concerning execution of 3,000,000 people at Auschwitz Extermination Center. (USA 819) | VI | 787 |
| *C-5 | Memorandum to Supreme Command of the Navy by Doenitz, 9 October 1939, concerning base in Norway. (GB 83) | VI | 815 |
| *C-23 | Unsigned documents found in official Navy files containing notes year by year from 1927 to 1940 on reconstruction of the German Navy, and dated 18 February 1938, 8 March 1938, September 1938. (USA 49) | VI | 827 |
| *C-35 | Entry in Naval War Diary, January 1941, p. 401. (USA 132) | VI | 852 |
| *C-50 | Covering letters and Order of 13 May 1941, signed by Keitel on ruthless treatment of civilians in the USSR for offenses committed by them. (USA 554; GB 162) | VI | 871 |
| *C-63 | Keitel order on preparation for “Weseruebung”, 27 January 1940. (GB 87) | VI | 883 |
| C-64 | Raeder’s report, 12 December 1939, on meeting of Naval Staff with Fuehrer. (GB 86) | VI | 884 |
| *C-65 | Notes of Rosenberg to Raeder concerning visit of Quisling. (GB 85) | VI | 885 |
| *C-66 | Memorandum from Raeder to Assman, 10 January 1944, concerning “Barbarossa” and “Weseruebung”. (GB 81) | VI | 887 |
| *C-78 | Schmundt’s Order of 9 June 1941, convening conference on Barbarossa on 14 June. (USA 139) | VI | 909 |
| *C-102 | Document signed by Hitler relating to operation “Otto”, 11 March 1938. (USA 74) | VI | 911 |
| *C-102 | Directives for Armed Forces 1939-40 for “Fall Weiss”, operation against Poland. (GB 41) | VI | 916 |
| *C-122 | Extract from Naval War Diary. Questionnaire on Norway bases, 3 October 1939. (GB 82) | VI | 928 |
| *C-126 | Preliminary Time Table for “Fall Weiss” and directions for secret mobilization. (GB 45) | VI | 932 |
| *C-136 | OKW Order on preparations for war, 21 October 1938, signed by Hitler and initialled by Keitel. (USA 104) | VI | 947 |
| *C-138 | Supplement of 17 December 1938, signed by Keitel, to 21 October Order of the OKW. (USA 105) | VI | 950 |
| *C-139 | Directive for operation “Schulung” signed by Blomberg, 2 May 1935. (USA 53) | VI | 951 |
| *C-142 | Intention of the Army High Command and Orders, signed by Brauchitsch. (USA 538) | VI | 956 |
| *C-148 | Keitel Order, 16 September 1941, subject: Communist Insurrection in Occupied Territories. (USA 555) | VI | 961 |
| C-156 | Concealed Rearmament under Leadership of Government of Reich, from “Fight of the Navy against Versailles 1919-1935”. (USA 41) | VI | 970 |
| *C-159 | Order for Rhineland occupation signed by Blomberg, 2 March 1936. (USA 54) | VI | 974 |
| *C-167 | Report of meeting between Raeder and Hitler, 18 March 1941. (GB 122) | VI | 977 |
| *C-174 | Hitler Order for operation “Weseruebung”, 1 March 1940. (GB 89) | VI | 1003 |
| *C-178 | Order of Navy concerning treatment of saboteurs, 11 February 1943. (USA 544) | VI | 1012 |
| *C-179 | Hitler’s second decree, 18 October 1942, regarding annihilation of terror and sabotage units. (USA 543) | VI | 1014 |
| *C-182 | Directive No. 2 from Supreme Commander Armed Forces, initialled Jodl, 11 March 1938. (USA 77) | VI | 1017 |
| *D-39 | Telegrams relating to activities against partisans in Italy. (GB 275) | VI | 1023 |
| *D-411 | Letters of 26 and 28 November 1941, enclosing orders concerning protection of troops against Partisans and sabotage. (USA 556) | VII | 49 |
| *D-569 | File of circulars from Reichsfuehrer SS, the OKW, Inspector of Concentration Camps, Chief of Security Police and SD, dating from 29 October 1941 through 22 February 1944, relative to procedure in cases of unnatural death of Soviet PW, execution of Soviet PW, etc. (GB 277) | VII | 74 |
| D-730 | Statement of PW Walther Grosche, 11 December 1945. (GB 279) | VII | 177 |
| *D-731 | Statement of PW Ernst Walde, 13 December 1945. (GB 278) | VII | 183 |
| *D-762 | Order of Hitler, 30 July 1944, concerning combatting of “terrorists” and “saboteurs” in Occupied Territories. (GB 298) | VII | 221 |
| *D-763 | Circular of OKW, 18 August 1944, regarding penal jurisdiction of non-German civilians in Occupied Territories. (GB 300) | VII | 222 |
| *D-764 | Circular of OKW, 18 August 1944, concerning combatting of “terrorists” and “saboteurs” in Occupied Territories and jurisdiction relative thereto. (GB 299) | VII | 223 |
| *D-765 | Directives of OKW, 2 September 1944, regarding offenses by non-German civilians in Occupied Territories. (GB 302) | VII | 225 |
| *D-766 | Circular of OKW, 4 September 1944, regarding offenses by non-German civilians in Occupied Territories. (GB 301) | VII | 226 |
| *D-767 | Memorandum, 13 September 1944, on offenses by non-German civilians in Occupied Territories. (GB 303) | VII | 228 |
| *D-769 | Telegram signed by Gen. Christiansen, 21 September 1940, relative to application of capital punishment in connection with Railway strike in Holland. (GB 304) | VII | 229 |
| D-770 | Circular, 24 September 1944, on offenses of non-German civilians in Occupied Territories. (GB 305) | VII | 229 |
| *D-774 | Directive of Chief of OKW to German Foreign Office at Salzburg, on treatment of Allied “Terrorist”-flyers, 14 June 1944. (GB 307) | VII | 231 |
| *D-775 | Draft of directive, 14 June 1944, from OKW to Supreme Commander of “Luftwaffe”, regarding treatment of Allied “Terrorist”-flyers. (GB 308) | VII | 232 |
| *D-776 | Draft of directive of Chief of OKW, 15 June 1944, to German Foreign Office at Salzburg, concerning treatment of Allied “Terrorist”-flyers. (GB 309) | VII | 233 |
| *D-777 | Draft of directive, 15 June 1944, from OKW to Supreme Commander of “Luftwaffe” concerning treatment of Allied “Terrorist”-flyers. (GB 310) | VII | 234 |
| *D-778 | Notes, 18 June 1944, concerning treatment of Anglo-American “Terrorist”-flyers. (GB 311) | VII | 235 |
| *D-779 | Letter from Reichsmarschall to Chief of OKW, 19 August 1944, regarding treatment of Allied “Terrorist”-flyers. (GB 312) | VII | 235 |
| *D-780 | Draft of communication from Ambassador Ritter, Salzburg, to Chief of OKW, 20 June 1944, on treatment of Allied “Terrorist”-flyers. (GB 313) | VII | 236 |
| *D-781 | Note of OKW to Supreme Commander of “Luftwaffe”, 23 June 1944, regarding treatment of Allied “Terrorist”-flyers. (GB 314) | VII | 239 |
| D-782 | Note from German Foreign Office, Salzburg, 25 June 1944, to OKW. (GB 315) | VII | 239 |
| *D-783 | Note of a telephone communication, 26 June 1944, with regard to treatment of “Terrorist”-aviators. (GB 316) | VII | 240 |
| *D-784 | Note from Operation Staff of OKW signed Warlimont, 30 June 1944, concerning treatment of Allied “Terrorist”-flyers. (GB 317) | VII | 240 |
| *D-785 | Note from OKW to Supreme Commander of “Luftwaffe”, 4 July 1944, concerning “Terror”-flyers. (GB 318) | VII | 241 |
| *D-786 | Note, 5 July 1944, on “Terror”-flyers. (GB 319) | VII | 242 |
| *L-43 | Air Force “Organizational Study 1950”, 2 May 1938. (GB 29) (See Chart No. 10.) | VII | 788 |
| *L-51 | Affidavit of Adolf Zutter, 2 August 1945. (USA 521) | VII | 798 |
| *L-52 | Memorandum and Directives for conduct of war in the West, 9 October 1939. (USA 540) | VII | 800 |
| *L-79 | Minutes of conference, 23 May 1939, “Indoctrination on the political situation and future aims”. (USA 27) | VII | 847 |
| L-166 | Minutes of conference on Fighter Aircraft with Reichsmarshal on 15 and 16 May 1944. | VII | 911 |
| *L-172 | “The Strategic Position at the Beginning of the 5th Year of War”, a lecture delivered by Jodl on 7 November 1943 at Munich to Reich and Gauleiters. (USA 34) | VII | 920 |
| L-180 | Report by SS Brigade Commander Stahlecker to Himmler, “Action Group A”, 15 October 1941. (USA 276) | VII | 978 |
| *L-323 | Entry in Naval War Diary concerning operation “Weseruebung”. (USA 541) | VII | 1106 |
| *R-95 | Army Order signed by von Brauchitsch, 30 March 1941, concerning deployment instructions for “Action 25” and supplementary instruction for action “Marita”. (GB 127) | VIII | 70 |
| *R-102 | Report on activities of The Task Forces of SIPO and SD in USSR, 1-31 October 1941, (USA 470) | VIII | 96 |
| R-118 | Drafts of letters and memoranda of General Staff of Armed Forces concerning treatment of enemy fliers. | VIII | 127 |
| *R-135 | Letter to Rosenberg enclosing secret reports from Kube on German atrocities in the East, 18 June 1943, found in Himmler’s personal files. (USA 289) | VIII | 205 |
| *TC-54-B | Von Brauchitsch appeal to the people of Danzig, from Documents of German Politics, Part VII, p. 596. (GB 73) | VIII | 410 |
| *UK-66 | Report of British War Crimes Section of Allied Force Headquarters on German reprisals for partisan activity in Italy. (GB 274) | VIII | 572 |
| UK-81 | Letters of 26 November and 28 October 1941, with enclosed orders on protection of troops against Partisans and Sabotage and conduct of troops in Eastern Territories. | VIII | 582 |
| Affidavit A | Affidavit of Erwin Lahousen, 21 January 1946, substantially the same as his testimony on direct examination before the International Military Tribunal at Nurnberg 30 November and 1 December 1945. | VIII | 587 |
| Affidavit B | Affidavit of Otto Ohlendorf, 20 November 1945, substantially the same as his testimony on direct examination before the International Military Tribunal at Nurnberg 3 January 1946. | VIII | 596 |
| Affidavit D | Affidavit of Walter Schellenberg, 23 January 1946, substantially the same as his testimony on direct examination before the International Military Tribunal at Nurnberg 4 January 1946. | VIII | 622 |
| Affidavit H | Affidavit of Franz Halder, 22 November 1945. | VIII | 643 |
| Affidavit I | Affidavit of Leopold Buerkner, 22 January 1946. | VIII | 647 |
| Affidavit J | Affidavit of Erhard Milch, 23 January 1946. | VIII | 653 |
| Statement III | The Origin of the Directives of the Supreme Commander of the Armed Forces, by Wilhelm Keitel, Nurnberg, 15 September 1945. | VIII | 669 |
| Statement IV | The Position and Powers of the Chief of the OKW, by Wilhelm Keitel, Nurnberg, 9 October 1945. | VIII | 672 |
| Statement V | Notes Concerning Actions of German Armed Forces During the War and in Occupied Territory, by Wilhelm Keitel, Nurnberg, 19 October 1945. | VIII | 678 |
| Statement IX | My Relationship to Adolf Hitler and to the Party, by Erich Raeder, Moscow, fall 1945. | VIII | 707 |
| Chart No. 7 | Organization of the Wehrmacht 1938-1945. (Enlargement displayed to Tribunal.) | VIII | 776 |
| *Chart No. 10 | 1938 Proposals for Luftwaffe Expansion 1938-1950. (L-43; GB 29) | VIII | 779 |
Chapter XVI
INDIVIDUAL RESPONSIBILITY OF DEFENDANTS
The crime of conspiracy is recognized, in various forms, in nearly every legal system. The Anglo-American doctrine of conspiracy, despite technical differences, is analogous in purpose to the Soviet notion of a “criminal gang” and the French association de malfaiteurs. German law, both before and after the Nazi seizure of power, also contained a similar concept. The fundamentals of the doctrine, common to most systems of law, are reflected in Article 6 of the Charter, which declares it a crime to participate in “the formulation or execution of a common plan or conspiracy” to plan or wage aggressive war, to commit War Crimes, or to commit Crimes against Humanity. Count I of the Indictment charges the existence of such a conspiracy on the part of the defendants, acting together with divers other persons.
The essence of conspiracy is the joining together of persons to pursue unlawful ends, by legal or illegal means, or to pursue lawful ends by illegal means. A conspiracy may exist even though the ends or means employed by the conspirators might have been perfectly legal if carried out by one person acting alone. The gravamen of the crime is association and acting in concert for the purpose of formulating and executing a common plan involving criminal ends or means.
Participation in a common plan or conspiracy results in vicarious liability, in the sense that each member of the conspiracy is liable for the acts of every other conspirator, even though he may have actually committed no criminal acts himself. He still may be adjudged criminal for mere participation in a common plan to pursue a common criminal purpose, regardless of disparities in the functions performed by individual conspirators.
Nevertheless, in order to prove the participation of a certain person in a conspiracy, his own acts must be considered. The roles played by the various members of the Nazi conspiracy are necessarily different. The following sections sketch in rough outline the parts played by each of the 22 defendants (excepting Sauckel and Speer who are discussed in Chapter X) and the former defendant and co-conspirator, Krupp von Bohlen und Halbach, in the conspiracy to commit Crimes against Peace, War Crimes against Humanity, as alleged in Count I of the Indictment. These sections are by no means exhaustive but merely indicate the general lines of a particular defendant’s participation. Further and more detailed discussion of the parts played by the conspirators in particular phases of the conspiracy will be found under the pertinent subject matter in the preceding chapters.
1. HERMANN WILHELM GOERING
For more than two decades Hermann Goering played one of the foremost roles amongst the Nazi conspirators. He, who called himself the most faithful paladin of the Fuehrer, was a key figure within the conspiracy, participating in nearly all phases of the conspiratorial activities. He took part in the Munich Beer Hall putsch of 1923; he promoted Hitler’s rise to power in 1933; he founded the Gestapo in 1933 and the concentration camps in 1934; and he created the German Luftwaffe, making it an instrument for aggressive war and using it to destroy other countries. As Plenipotentiary for the Four-Year Plan and chairman of the Ministerial Council for Defense, Goering became the Czar of German economy and administration and eventually the executive manager of the entire conspiracy.