Jurisprudence of the International Criminal Courts and the European Court of Human Rights: Procedure and Evidence

937 Pages·2007·8.028 MB·English

by  Vladimir Tochilovsky

Jurisprudence of the International Criminal Courts
and the European Court of Human Rights
TOCHILOVSKY_f1_i-xxiii.indd i 10/17/2007 5:35:24 PM
Graduate Institute of
International Studies
Series Editor
Katherine A. S. Sibley
Saint Joseph’s University
Editorial Board
Rorin Platt, Campbell University
Jeremi Suri, University of Wisconsin
Neville Wylie, University of Nottingham
Thomas Zeiler, University of Colorado at Boulder
VOLUME 6
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Jurisprudence of the International
Criminal Courts and the European
Court of Human Rights
Procedure and Evidence
By
Vladimir Tochilovsky
LEIDEN • BOSTON
2008
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This book is printed on acid-free paper.
A Cataloging-in-Publication record for this book is available from the Library of Congress
ISBN 978 90 04 16338 6
Copyright 2008 by Koninklijke Brill NV, Leiden, The Netherlands.
Koninklijke Brill NV incorporates the imprints Brill, Hotei Publishing,
IDC Publishers, Martinus Nijhoff Publishers and VSP.
All rights reserved. No part of this publication may be reproduced, translated,
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Fees are subject to change.
PRINTED IN THE NETHERLANDS
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CONTENTS
Foreword .......................................................................................................... xxi
Abbreviations ................................................................................................... xxiii
Chapter I. Indictment .................................................................................. 1
INTRODUCTION ....................................................................................... 1
Applicability to the proceedings in the ICC ......................................... 3
STATEMENT OF THE FACTS IN THE INDICTMENT ....................... 4
ECHR Jurisprudence ............................................................................... 4
General Requirements ............................................................................. 6
Material Facts .......................................................................................... 8
Generally .............................................................................................. 8
Material facts and evidence ............................................................... 12
Material Facts Related to the Nature of the Criminal Responsibility
of the Accused ..................................................................................... 13
Generally .............................................................................................. 13
Pleading relevant acts and conducts ................................................. 14
Materiality of the facts in a case based on personal
responsibility .................................................................................... 14
Pleading Joint Criminal Enterprise ................................................... 17
Materiality of the facts in a case based on superior
responsibility .................................................................................... 22
Material Facts Related to State of Mind (mens rea) ........................... 25
Legal Prerequisites as Material Facts .................................................... 26
Additional Facts in the Indictment ........................................................ 27
CHARGES IN THE INDICTMENT ......................................................... 28
Counts ...................................................................................................... 29
General Offence Charging ...................................................................... 29
Persecution .......................................................................................... 30
Other inhumane acts ........................................................................... 31
Cumulative and Alternative Charging .................................................... 32
Cumulative charging ........................................................................... 32
Alternative charging ............................................................................ 32
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vi CONTENTS
PARTICULARS IN THE INDICTMENT ................................................. 33
General Provisions .................................................................................. 33
Particulars Related to the Nature of the Criminal Responsibility
of the Accused ..................................................................................... 37
Other Particulars ...................................................................................... 39
Particulars related to victims ............................................................. 39
Particulars related to physical perpetrators and subordinates ........ 41
Particulars related to co-conspirators ............................................... 42
Particularity of other information ...................................................... 42
Schedules to the indictment ................................................................ 45
Use of Some Terms in the Indictment .................................................. 45
ADDITIONAL PARTICULARS REGARDING THE
OFFENCES CHARGED ......................................................................... 47
PROSECUTION PRE-TRIAL BRIEF ....................................................... 48
CONFIRMATION AND AMENDMENT OF THE INDICTMENT ........ 50
Division of Junctions between the Con(cid:2) rming Judge and the
Trial Chamber ...................................................................................... 50
Con(cid:2) rmation of the Indictment, a Prima Facie Case .......................... 51
Amendment of the Indictment ............................................................... 52
Generally .............................................................................................. 52
“Interest of justice” ............................................................................ 54
Withdrawal of charges ........................................................................ 54
Judicial discretion ............................................................................... 55
Factors to be considered by the Trial Chamber .............................. 56
Prejudice to the accused .................................................................... 59
Undue delay ......................................................................................... 63
Timing .................................................................................................. 64
“Prima facie” standard of proof for amendment, ICTY .................. 66
Supporting material ............................................................................. 67
Standard of proof for amendment, ICTR and SCSL ......................... 69
Challenges to the Form of the Amended Indictment ........................... 69
“New charges” .................................................................................... 70
Procedural consequences on the new charges .................................. 74
JOINDER OF ACCUSED .......................................................................... 75
Generally .................................................................................................. 75
“Same transaction” .................................................................................. 76
Trial Chamber’s Discretion and Relevant Factors ................................ 79
Generally .............................................................................................. 79
Judicial economy ................................................................................. 81
Avoiding serious prejudice to the accused ........................................ 82
Con(cid:2) ict of interests ............................................................................. 82
Minimising hardship to witnesses ...................................................... 84
Consistency in evaluation of evidence, verdicts and sentences ....... 84
CURING DEFECTIVE INDICTMENT .................................................... 85
Generally .............................................................................................. 85
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CONTENTS vii
Prejudicial effect of a defective indictment ....................................... 86
Remedies .............................................................................................. 87
Appeals Chamber’s role ...................................................................... 92
Assessment of whether the indictment has been cured .................... 93
Chapter II. Disclosure by the Prosecutor ................................................. 95
INTRODUCTION ....................................................................................... 95
Some speci(cid:3) c features in the ICC proceedings ................................ 97
DISCLOSURE OF THE SUPPORTING MATERIAL AND
STATEMENTS OF THE ACCUSED .................................................... 98
Supporting Material ................................................................................. 98
Disclosure by the Prosecutor of the material supporting new
charges in the amended indictment ............................................... 98
Prior Statements of the Accused ............................................................ 99
DISCLOSURE RELATING TO PROSECUTION WITNESSES ............ 100
Generally .................................................................................................. 100
Meaning and Forms of Witness Statements .......................................... 101
Generally .............................................................................................. 101
Interview notes, will-say statements and notes taken during
proo(cid:3) ng sessions ............................................................................. 102
Disclosure of the Identity of Witnesses ................................................ 106
Generally .............................................................................................. 106
Delayed disclosure and non-disclosure of witnesses’ identity .......... 107
Disclosure of the material protected in prior proceedings .............. 113
Non-disclosure under Rules 53 and 69 .............................................. 113
DISCLOSURE RELATING TO EXPERT WITNESSES ......................... 115
DISCLOSURE AND INSPECTION OF OTHER MATERIAL ............... 115
Inspection of Documents and Objects Material to the Preparation
of the Defence ..................................................................................... 116
Generally .............................................................................................. 116
“Material to the defence” .................................................................. 118
Domestic judicial records of Prosecution witnesses and evidence
of a pattern of conduct ................................................................... 119
Disclosure of Exculpatory Material ........................................................... 120
Prosecution Obligation to Disclose Exculpatory Material .................... 120
Generally .............................................................................................. 120
“Essential obligation” ........................................................................ 123
Determination whether evidence is exculpatory ............................... 125
Disclosure ............................................................................................ 126
Positive and continuing obligation .................................................... 128
Of(cid:3) ce of the Prosecutor and Prosecution Teams’ Obligations ........ 129
Types of Material Subject to Disclosure ............................................... 130
Generally .............................................................................................. 130
Testimony in other cases .................................................................... 133
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viii CONTENTS
LATE DISCLOSE ....................................................................................... 134
SANCTIONS AND REMEDIES FOR VIOLATION OF
DISCLOSURE OBLIGATION ............................................................... 134
Generally .............................................................................................. 134
Breach of Rule 68 ............................................................................... 135
A Defence Request Based on Rule 68 .................................................. 136
MATTERS NOT SUBJECT TO DISCLOSURE ...................................... 139
Information Provided on a Con(cid:2) dential Basis ...................................... 139
ECHR jurisprudence ........................................................................... 140
Generally .............................................................................................. 140
Internal Documents ................................................................................. 142
LANGUAGE OF THE DISCLOSED MATERIAL .................................. 144
Generally .................................................................................................. 144
Exculpatory Material ............................................................................... 147
Disclosure in the Language of the Accused in Audio Format ............ 147
OTHER MATTERS RELATED TO DISCLOSURE ................................ 148
Disclosure in Electronic Format ............................................................. 148
Generally .............................................................................................. 148
Disclosure of exculpatory material .................................................... 150
Disclosure on Appeal .............................................................................. 151
Other Relevant Matters ........................................................................... 152
Chapter III. Defence Access to Protected Material ................................ 153
ACCESS TO PROTECTED MATERIAL IN ANOTHER CASE ........... 153
Generally .................................................................................................. 153
Access to Inter Partes Con(cid:2) dential Material ........................................ 155
Generally .............................................................................................. 155
Access to con(cid:3) dential pleadings and decisions in another case ..... 157
Protective measures ............................................................................. 158
Other relevant matters ........................................................................ 159
Access to Ex Parte, Con(cid:2) dential, and “Sensitive Witness”
Material ................................................................................................ 160
Chapter IV. Disclosure by the Defence ..................................................... 163
Disclosure of Defence Witness Statements ........................................... 163
Defence Witness Summaries .................................................................. 164
Disclosure of the Identity of Defence Witnesses .................................. 165
Other Information Related to Defence Witnesses ................................. 166
Defence of Alibi ...................................................................................... 166
Other Defence Disclosure ....................................................................... 169
Defence Pre-Trial Brief ...................................................................... 170
Chapter V. Disclosure in the ICC Proceedings ........................................ 173
DISCLOSURE PRIOR TO THE CONFIRMATION HEARING ............ 173
Generally .................................................................................................. 173
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CONTENTS ix
Disclosure of Exculpatory Information .................................................. 174
Restrictions .............................................................................................. 174
Chapter VI. Variation of the Lists of Witnesses and Exhibits ............. 177
Generally .................................................................................................. 177
Witnesses .............................................................................................. 177
Exhibits ................................................................................................ 181
Relevant Factors ...................................................................................... 182
Other Relevant Matters ........................................................................... 185
Chapter VII. Binding Orders and Subpoenas ......................................... 187
INTRODUCTION ....................................................................................... 187
BINDING ORDERS TO STATES AND INTERNATIONAL
ORGANISATIONS .................................................................................. 188
Binding Orders to States ........................................................................ 188
States’ obligation to cooperate ........................................................... 188
Binding orders to States generally .................................................... 188
Protection of State interests ............................................................... 190
Orders under Rule 54 bis and Rule 54 .............................................. 192
Binding Orders to International Organisations ...................................... 193
Binding Orders to State Of(cid:2) cials .......................................................... 194
Request for an Order .............................................................................. 195
Generally .............................................................................................. 195
Requirements to requests .................................................................... 196
SUBPOENAS TO INDIVIDUALS ............................................................ 199
Generally .................................................................................................. 199
Determining Whether to Issue a Subpoena ........................................... 201
Chamber’s Discretion .............................................................................. 202
Relevant Factors ...................................................................................... 202
Request for a Subpoena .......................................................................... 204
Role of National Authorities in Execution of Tribunal Orders ........... 207
Subpoenas to Opposing Party’s Witnesses ............................................ 208
Subpoenas to State Of(cid:2) cials ................................................................... 209
Subpoenas to other Individuals .............................................................. 212
War correspondents ............................................................................. 212
UN staff ............................................................................................... 213
CONTACTING WITNESSES OF THE OTHER PARTY ....................... 213
Generally .................................................................................................. 213
Prosecution Contacting Defence Witnesses ........................................... 214
Defence Contacting Prosecution Witnesses ........................................... 215
SEEKING ASSISTANCE FROM STATES AND INTERNATIONAL
ORGANISATIONS (SCSL) .................................................................... 216
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