Investigation Manual for War Crimes, Crimes Against Humanity and Genocide in Bosnia and ...

315 Pages·2013·10.02 MB·English

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ACKNOWLEDGEMENTS
IICI INVESTIGATORS’ MANUAL – Chapters 1-2 and 5-12 are drawn from
the IICI Investigators’ Manual with the consent of the Institute for International
Criminal Investigations. The material has been modified for the purpose of this
manual.
ICLS ODIHR OSCE MANUAL – Chapter 3 of this manual, “Laws
Applicable in the Investigation Phase”, contains material directly extracted
from International Criminal Law & Practice Training Materials for Bosnia
& Herzegovina, Croatia, and Serbia. This material was prepared as part of
the War Crimes Justice Project, which was funded by the European Union
and implemented by United Nations Interregional Crime and Justice Research
Institute (UNICRI), the UN International Criminal Tribunal for the former
Yugoslavia (ICTY) and the Organization for Security and Co-operation in
Europe (OSCE).
The OSCE Mission to Bosnia and Herzegovina’s War Crimes Processing Project
is funded by the governments of the United Kingdom, Norway, Switzerland, the
United States, Italy and Germany. The governments of the United Kingdom,
Italy and Germany supported the preparations and printing of this material.
The OSCE Mission to Bosnia and Herzegovina would like to thank the FBiH
and RS Police Academies for their co-operation and input in the development
of this publication.
October 2013
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Contents
Contents ..........................................................................................................................5
To the Reader ........................................................................................................................10
Glossary ........................................................................................................................11
CHAPTER ONE – ORIGINS AND DEVELOPMENT OF
INTERNATIONAL HUMANITARIAN LAW .......................13
Introduction ....................................................................................................................13
War Crimes ......................................................................................................................13
Sources of International Humanitarian Law .............................................................14
International and Non-International Armed Conflicts ...........................................16
Key Concepts and Principles .......................................................................................17
Differences from Human Rights Law ........................................................................19
International Criminal Law ..........................................................................................19
The International Criminal Court (ICC) ....................................................................19
Conclusion ......................................................................................................................20
CHAPTER TWO – EVIDENCE ................................................................................22
Introduction ....................................................................................................................22
Overview of Evidence ..................................................................................................22
General Legal Principles Regarding Evidence ..........................................................26
Importance of Legal Input in an Investigation ........................................................30
Investigations into the Conduct of Senior Officials ................................................31
General Legal Principles ...............................................................................................33
Investigating the Different Levels of Perpetration ..................................................38
CHAPTER THREE – APPLICABLE LAW –
WAR CRIMES INVESTIGATIONS .........................................45
Introduction ....................................................................................................................45
Bosnia and Herzegovina - Domestic Law .................................................................46
The Constitution of Bosnia and Herzegovina and International Law..................46
Bosnia and Herzegovina -
Temporal Applicability of the Principle of Legality ................................................49
Law in Force at the Time of the Crime and Subsequent Changes ........................50
Non-Applicability of the Statute of Limitations ......................................................52
Genocide ........................................................................................................................56
The Genocide Convention ...........................................................................................56
Bosnia and Herzegovina - Definition of Genocide .................................................57
Crimes against Humanity ..............................................................................................72
Crimes against Humanity in Bosnia and Herzegovina.............................................81
War Crimes ......................................................................................................................83
Essential Principles of International Humanitarian Law ........................................83
Violations of International Humanitarian Law ........................................................84
Elements Common to All War Crimes ......................................................................88
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Individual War Crimes ...................................................................................................89
Modes of Liability, Commission and Participation ..................................................89
Forms of Individual Criminal Responsibility ............................................................90
Superior Responsibility ..............................................................................................103
Bosnia and Herzegovina ............................................................................................116
Defences and Other Grounds for Excluding Liability. .........................................116
CHAPTER FOUR – INVESTIGATION PROCEDURES IN
BOSNIA AND HERZEGOVINA ..........................................130
Introduction .................................................................................................................130
Receipt of Allegations ................................................................................................133
Information Received from Citizens in Bosnia and Herzegovina ......................135
Reports from Victims and Witnesses ......................................................................136
Information and Reports Filed by Authorized Officials ......................................136
Referrals from the ICTY or the Court of Bosnia and Herzegovina ..................138
Referrals from the Court of Bosnia and Herzegovina .........................................139
Other Sources - Cases Processed by the Former Investigative Bodies ..............140
Process for Commencing an Investigation .............................................................142
Overview of Court Process ......................................................................................149
Taking of a Witness Protocol ...................................................................................157
Rights of an Accused
(including Fair Trial Rights and Presumption of Innocence) ..............................161
CHAPTER FIVE – INVESTIGATION PLANNING ...........................................184
Introduction .................................................................................................................184
The Investigation Plan ...............................................................................................184
Phases .....................................................................................................................185
Advantages of Using an Investigation Plan ...........................................................186
Contents of an Investigation Plan ...........................................................................186
The Allegation .............................................................................................................186
The Person/People whose Conduct is to be Investigated ...................................186
Assessment ...................................................................................................................188
Other Considerations .................................................................................................191
Appendix 1 – The Investigation Plan ......................................................................193
COVER SHEET .........................................................................................................193
1. Allegation ...............................................................................................................194
2. The Person/People/Company whose Conduct is to be Investigated..........194
3. Assessment ............................................................................................................194
4. Potential Offences ................................................................................................194
5. Elements to Prove ................................................................................................195
6. Resources ...............................................................................................................195
7. Review & Reporting .............................................................................................195
8. Special Considerations .........................................................................................195
9. Security Assessment .............................................................................................195
10. Phases .....................................................................................................................195
11. Evidence/Information Collection Plan ............................................................196
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12. Specific Tasks ........................................................................................................196
13. Cost .....................................................................................................................196
14. Recommendations ................................................................................................197
Appendix 2 – Evidence Matrix .................................................................................198
CHAPTER SIX – MANAGING STRESS IN THE FIELD ................................199
What is Stress? .............................................................................................................199
Coping Strategies ........................................................................................................200
Maintaining Unit Cohesion .......................................................................................201
Traumatic Events ........................................................................................................202
Substance Abuse .........................................................................................................203
The Return Home .......................................................................................................204
Personality Changes ....................................................................................................206
Pathological Responses to Traumatic Experiences................................................206
Debriefing ....................................................................................................................208
Summary .....................................................................................................................208
Annex A .....................................................................................................................209
Annex B .....................................................................................................................210
CHAPTER SEVEN – FIELD OPERATIONS ...........................................................211
Introduction .................................................................................................................211
S: SITUATION ........................................................................................................213
M: MISSION..............................................................................................................213
E: EXECUTION .....................................................................................................213
A: ADMINISTRATION & LOGISTICS ............................................................214
C: COMMUNICATIONS & COMMAND ........................................................216
S: SECURITY ..........................................................................................................217
Other Operation Related Matters. ............................................................................217
Operation Reports ......................................................................................................218
Some Notes on Equipment: ......................................................................................218
Strategic Security Assessments. .................................................................................218
Security Culture ...........................................................................................................219
Security Responsibility ...............................................................................................219
Security Threat and Risk Assessment ......................................................................219
Risk Counter Measures ..............................................................................................220
Risk Mitigation ............................................................................................................220
OPERATION PLAN TEMPLATE...................................................................................221
CHAPTER EIGHT – COLLECTION OF PHYSICAL EVIDENCE ......................224
Introduction .................................................................................................................225
Chain of Custody........................................................................................................226
Basic Components for the Collection and Retention of Evidence ....................227
Collecting Evidence ....................................................................................................228
Investigator’s Notes ....................................................................................................228
Crime Scene Sketch ....................................................................................................229
Video/Photographic Recording of Scene/Collection of Evidence ..................230
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Large-scale Crime Scenes and Minimal Resources ................................................233
Assessment ...................................................................................................................234
Minimum Requirements for the Treatment of Sites .............................................234
Debriefing and Comparison of Information .........................................................235
Annex A to Chapter Eight...............................................................................................236
Evidence Handling Procedures ................................................................................236
CHAPTER NINE – FORENSIC DEATH INVESTIGATIONS AND
MASS GRAVES ........................................................................240
Introduction .................................................................................................................240
Forensic Pathology .....................................................................................................240
Forensic Anthropology and Archaeology ...............................................................242
When do you Conduct an Exhumation? .................................................................244
What do you Expect to Achieve? .............................................................................244
Identification of Victims ...........................................................................................250
Legal Requirements ....................................................................................................252
Planning .....................................................................................................................252
Conclusions ..................................................................................................................255
CHAPTER TEN – INFORMATION, ANALYSIS AND INTELLIGENCE .....265
Overview .....................................................................................................................265
Analysis .....................................................................................................................265
Intelligence and Information ....................................................................................270
Forms of Dissemination ...........................................................................................274
Databases .....................................................................................................................275
Conclusion ...................................................................................................................276
Annex A to Chapter Ten .................................................................................................277
CHAPTER ELEVEN – WITNESSES: APPROACHES AND
PROTECTIVE MEASURES ..................................................279
Security Culture. ..........................................................................................................281
Security of Premises ...................................................................................................281
Information Security ..................................................................................................282
Photocopiers and Printers. ........................................................................................282
Vetting of Staff ...........................................................................................................283
Secure Communications ............................................................................................283
Safe Houses and Refuges. ..........................................................................................283
WITNESS SUPPORT MEASURES. ......................................................................285
Witness Welfare and Support ....................................................................................285
Witness Support and Protection in Investigation of Cases of Sexual and
Gender-Based Violence (SGBV) ..............................................................................286
The Investigation Phase – Operational Protective Measures ..............................288
Assessment of Threat, Risk and Potential Vulnerability ......................................288
Secure and Confidential Contact with Witnesses ..................................................289
Response to a Threat to a Witness ...........................................................................290
Options for Protection at the Investigation Stage .................................................291
Self-Protection .............................................................................................................291
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Protective Accompaniment .......................................................................................292
Local Mechanisms ......................................................................................................292
Target Hardening ........................................................................................................292
Limited Witness Strategy ...........................................................................................292
Trials .....................................................................................................................293
Pre-trial Stage ...............................................................................................................293
Trial Stage .....................................................................................................................294
Procedural Measures ..................................................................................................295
Applications for Procedural Protective Measures..................................................295
Examples of Procedural Measures ..........................................................................296
Post-Trial Phase ...........................................................................................................297
Witness Protection Programmes ..............................................................................297
Design of a Witness Protection Programme .........................................................298
Entry into a Witness Protection Programme .........................................................299
Some Features of Witness Protection Programmes .............................................299
Responsibilities of the Parties ...................................................................................300
Witness Protection Timeline .....................................................................................301
Eligibility .....................................................................................................................303
Definitions ...................................................................................................................304
CHAPTER TWELVE – SEXUAL AND GENDER-BASED VIOLENCE ..................306
Introduction .................................................................................................................306
The Psychological and Physical Consequences of Sexual Violence ...................308
Problems and Progress - the Development of Approaches
to Sexual Violence ..........................................................310
The Investigator’s Role in Cases of Sexual Violence and Exploitation .............310
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to the ReadeR
This manual is intended to provide an introduction to the broad areas of
knowledge, skills, and techniques necessary to conduct field investigations into
war crimes, crimes against humanity and genocide. It is aimed at prosecutors,
investigators and other investigation staff; all those whose duties bring them into
contact with criminal investigations of this nature.
The manual is not intended to be an exhaustive presentation of every technique
or skill used in such investigations, nor is it meant to supply or supplant basic
training in criminal investigation. Rather, it supposes that the reader brings a
certain level of experience and expertise as an investigator to the study of the
manual.
Investigation of war crimes, crimes against humanity and genocide is a complex
and team-based discipline employing a wide range of experts, and touching upon
multiple areas of knowledge, any one of which is at once wide and deep. It is an
ever-evolving field; this manual will no doubt be expanded and amended many
times in the years to come. The reader should bear this in mind in absorbing the
material here.
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GlossaRy
AAAS American Association for the Advancement of Science
Ad hoc Refers to the ICTY, ICTR and the Special Court for Sierra Leone.
Tribunals
B/C/S Bosnian/Croatian/Serbian (language)
COMINT Communications Intelligence
DNA Deoxyribonucleic acid
FUP Forming up Place
HITS Homicide Information Tracking System
ICC International Criminal Court
ICRC International Committee of the Red Cross
ICTR International Criminal Tribunal for Rwanda
ICTY International Criminal Tribunal for the former Yugoslavia
IHL International Humanitarian Law
IO Intelligence Officer
IO’s International Organizations
IT Information Technology
JCE Joint Criminal Enterprise
MSF Medecins Sans Frontiers or Doctors Without Borders
NATO North Atlantic Treaty Organization
NGOs Non-Governmental Organizations
OAS Organization of African States –
now replaced by the African Union
OSCE Organization for Security and Co-operation in Europe
OTP Office of the Prosecutor
PCE Post-Conflict Environment
PfP Partnership for Peace
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PHOTINT Photo Intelligence
PHR Physicians for Human Rights
PKO Peace Keeping Operation
POW Prisoner of War
PSO Peace Support Operations
PTSD Post-Traumatic Stress Disorder
ROPE Rules of Procedure and Evidence
SCSL Special Court for Sierra Leone
SIGINT Signals Intelligence
SOP Standard Operating Procedures
UN United Nations
UNHCR United Nations High Commissioner for Refugees
UNNY United Nations New York
UNPROFOR United Nations Protection Force
War Crimes In this manual the term “War Crimes” is often used as a generic term
for all serious violations of international humanitarian law.