Motion to Dismiss for Lack of Subject Matter Jurisdiction (FINAL … · 2012. 8. 10. · 3. The...
Transcript of Motion to Dismiss for Lack of Subject Matter Jurisdiction (FINAL … · 2012. 8. 10. · 3. The...
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THE INTERNATIONAL CRIMINAL TRIBUNAL
FOR THE FORMER YUGOSLAVIA
Case No. IT-06-90-A
BEFORE THE APPEALS CHAMBER
Before: Judge Theodor Meron, Presiding
Judge Fausto Pocar
Judge Patrick Robinson
Judge Mehmet Güney
Judge Carmel Agius
Registrar: Mr. John Hocking
Date Filed: 10 August 2012
THE PROSECUTOR
v.
ANTE GOTOVINA AND MLADEN MARKAC
APPELLANT ANTE GOTOVINA’S MOTION CHALLENGING THE
APPEALS CHAMBER’S JURISDICTION TO CONSIDER ALTERNATE
MODES OF LIABILITY, OR IN THE ALTERNATIVE FOR FINDING OF
PROSECUTION WAIVER
[PUBLIC]
____________________________________________________________________
For the Prosecution: For Ante Gotovina:
Ms. Helen Brady Mr. Gregory W Kehoe
Mr. Douglas Stringer Mr. Luka S. Misetic
Mr. Payam Akhavan
Mr. Guénaël Mettraux
For Mladen Markac:
Mr. Goran Mikulicic
Mr. Tomislav Kuzmanovic
Mr. John Jones
Mr. Kai Ambos
5814IT-06-90-AA5814 - A573610 August 2012 MB
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THE INTERNATIONAL CRIMINAL TRIBUNAL
FOR THE FORMER YUGOSLAVIA
Case No. IT-06-90-A
THE PROSECUTOR
v.
ANTE GOTOVINA and
MLADEN MARKAC
APPELLANT ANTE GOTOVINA’S MOTION CHALLENGING THE
APPEALS CHAMBER’S JURISDICTION TO CONSIDER
ALTERNATE MODES OF LIABILITY, OR IN THE ALTERNATIVE
FOR FINDING OF PROSECUTION WAIVER
I. INTRODUCTION
1. On 20 July 2012, the Appeals Chamber issued an Order for Supplementary
Briefing directing the Prosecution to explain inter alia, whether “in the event
that Gotovina is found not liable for unlawful artillery attacks or to be a
member of a joint criminal enterprise, the Prosecution believes that liability
should be ascribed to him on the basis of superior responsibility under Article
7(3) of the Statute of the Tribunal or as an aider and abettor.”
2. Pursuant to Articles 10, 21, 23 and 25 of the Statute of the Tribunal, and Rules
54, 73 and 108 of the Rules, Appellant Ante Gotovina (“Appellant”) hereby
challenges the jurisdiction of the Appeals Chamber to consider whether
“liability should be ascribed to [Appellant] on the basis of superior
responsibility under Article 7(3) of the Statute of the Tribunal or as an aider
and abettor [hereinafter the “alternate modes of liability”].”
3. The Appeals Chamber has jurisdiction pursuant to Article 25 only to consider
appeals from a convicted person or the Prosecutor concerning alleged errors of
law or fact. Outside such an appeal and subject to the qualifications given
below, the Appeals Chamber has no jurisdiction under the Statute.
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4. The Appeals Chamber would only have jurisdiction to consider alternate
modes of liability if one of the parties had filed a Notice of Appeal
challenging the Trial Chamber’s decision not to make findings on alternate
modes of liability. No such appeal has been filed. The Trial Chamber
expressly entered a Judgement that it would not provide a reasoned opinion in
writing (per Article 23(2)) concerning alternate modes of liability, because it
had found that Appellant was liable as a participant in a Joint Criminal
Enterprise.1 Not appealed by the Prosecution, this finding is therefore “final”
and res judicata for the purpose of these proceedings.2
5. Recently the Appeals Chamber in Setako upheld the Prosecution’s argument
that the Trial Chamber’s failure to make findings on alternate modes of
liability, including command responsibility, constituted an error of law.3
Unlike Setako, the Prosecution here filed no notice of appeal challenging the
Trial Chamber’s decision not to make findings on alternate modes of liability
as an alleged error of law under Article 25 of the Statute. Therefore, the
Appeals Chamber is seized only of the Appellant’s four grounds of appeal,
which concern the Joint Criminal Enterprise findings, not alternate modes of
liability. Accordingly, the Appeals Chamber lacks jurisdiction under Article
25 to consider whether “liability should be ascribed to [Appellant] on the basis
of superior responsibility under Article 7(3) of the Statute of the Tribunal or as
an aider and abettor.”
6. In all cases where the Appeals Chamber re-qualified a mode of liability, the
Prosecution appealed against the Trial Judgment. Absent such an appeal, the
Appeals Chamber is prevented from acting in any way that would cause
prejudice to the accused (reformatio in pejus4). This would necessarily be the
!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!1 TJ, paragraph 2375.
2 See e.g. Zolotukhin v Russia. Moreover, in the Strugar Decision, the Appeals Chamber made it clear
2 See e.g. Zolotukhin v Russia. Moreover, in the Strugar Decision, the Appeals Chamber made it clear
that the withdrawal of an appeal would render the trial judgment final. This must, per force, mean that
findings that were not the subject of an appeal in the first place have themselves become final.
3 Setako AJ, 268.
4 See Jokic Sentencing Appeal, par 26. For a statement of principle of this prohibition, see, e.g., Art
83(2) ICC Statute (“When the decision or sentence has been appealed only by the person convicted, or
the Prosecutor on that person's behalf, it cannot be amended to his or her detriment.”). This provision
makes it clear that the prohibition of reformatio in pejus is not limited to an increase in sentence. See
also W. Schabas, and R. Cryer.
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case should the Chamber seek to convict the accused on a mode of
responsibility absent written trial findings, absent a Prosecution appeal and
absent the right of the Accused to appeal findings regarding these modes of
liability, should findings be made against him.5 This is well illustrated by the
Appeals Chamber in Bralo, where it held that it could not consider issues that
could result in a prejudice to the accused:
“as the Prosecution has not appealed the Sentencing
Judgement, the Appeals Chamber has no competence to
consider any matter going to an increase of sentence.”6
7. Moreover, because the principle of res judicata attached when the Prosecution
failed to timely file a Notice of Appeal concerning the issues of alternate
modes of liability, the Appeals Chamber would violate the non bis in idem
prohibition of Article 10 by re-exposing Appellant to criminal jeopardy.7
8. In the alternative, should the Appeals Chamber find that it does have
jurisdiction to consider alternate modes of liability, the Appeals Chamber
should find that the Prosecution failed to file a Notice of Appeal challenging
the Trial Chamber’s Judgement not to enter alternate modes of liability
findings and, as a result, the Prosecution waived any right to pursue these
arguments.
!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!5 In this case, the detriment (pejus) would lie, inter alia, in the fact that (i) the accused did not and
would not get a right to appeal aspects of these modes of liability (a violation of the Statute and Article
14(5) ICCPR), (ii) he would be denied a fair opportunity to look for and produce additional evidence
on appeal in relation to them (itself a denial of fair proceedings), (iii) to the extent that the Appeals
Chamber were to rely on trial findings to “stitch together” a case against the accused, he would be
prejudiced by the fact that he could not and did not appeal those findings (challenges to factual findings
on which a conviction does not rely are not appealable; see e.g. Krajisnik AJ paragraph 20).
6 Bralo AJ, paragraph 85.
7 A decision or findings contained therein become final for instance where the deadline to appeal those
findings has passed (see, again, Zolotukhin v. Russia cited above) or when no appeal is filed or is
withdrawn (as in the Jokic Sentencing Appeal cited above).
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II. ARGUMENT
A. The Appeals Chamber Lacks Jurisdiction To Consider the
Alternate Modes of Liability
1. The Jurisdiction of the Appeals Chamber is limited to
Article 25 of the Statute
9. Article 25(1) defines the jurisdiction of the Appeals Chamber:
The Appeals Chamber shall hear appeals from persons
convicted by the Trial Chambers or from the Prosecutor on the
following grounds:
. (a) an error on a question of law invalidating the decision; or
. (b) an error of fact which has occasioned a miscarriage of
justice.
10. It is axiomatic that any appellate court’s jurisdiction must be limited to the
terms expressed in the statute. Article 2 to Protocol 7 of the ECHR states that
“[e]veryone convicted of a criminal offence by a tribunal shall have the right
to have conviction or sentence reviewed by a higher tribunal. The exercise of
this right, including the grounds on which it may be exercised, shall be
governed by law.”8 Article 14(5) of the ICCPR likewise provides that:
“[e]veryone convicted of a crime shall have the right to his conviction and
sentence being reviewed by a higher tribunal according to law.”9 To be
consistent with the minimum human rights standards outlined in these
provisions, “the Statute must dictate, if not the detailed ‘modalities,’ at least
the broad lines on which the right of appeal is to be exercised.”10
11. The Appeals Chamber has no jurisdiction unless it is provided for under the
Statute. “The exercise of appellate judicial powers by the court or tribunal, as
distinct from the regulation of such rights, requires legislative authority.”11
“A
right of appeal does not arise from mere inference.”12
Judge Sidhwa explained
this proposition in the Tadic jurisdiction appeal:
!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!8 Emphasis added.
9 Emphasis added.
10 Roth and Henzelin.
11 Karibi-Whyte.
12 Id.
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The law relating to appeals in most national jurisdictions is that
no appeal lies unless conferred by statute. The right to appeal a
decision is part of substantive law and can only be granted by
the law-making body by specific enactment. Where the
provision for an appeal or some form of review by a higher
forum is not regulated by the statute under which an order is
passed, there is usually some omnibus statute providing for
appeals in such cases. The courts have no inherent powers to
create appellate provisions or acquire jurisdiction where none is
granted. Where the law provides for an appeal, the court may,
by the adoption of reasonable and proper rules, supply
deficiencies in the statutory provisions as to practice. Appellate
courts have no jurisdiction over incompetent appeals other than
dismiss them. It is thus clear that a tribunal or court cannot
assume appellate powers under any concept of inherent
jurisdiction or by expanding its jurisdiction through any
amendment to its rules.13
12. To be consistent with the requirements of ICCPR and Protocol 7 ECHR, the
Appeals Chamber’s exercise of jurisdiction must be compatible with the plain
terms of Article 25, which limits jurisdiction to “hear[ing] appeals from
persons convicted by the Trial Chamber or from the Prosecutor” on grounds
alleging errors of fact or law. The principle tantum devolutum quantum
appellatum states that, “an appeals Judge may only decide on the part of the
decision (of first instance) which is contested by either party (the remaining
part becoming res judicata).”14
Accordingly, the jurisdiction of the Appeals
Chamber is limited under Article 25 to appeals from a convicted person or the
Prosecutor alleging an error of fact or law, as detailed in a Notice of Appeal
filed under Rule 108. It has no jurisdiction to pass judgment on issues not
appealed and not falling within either party’s grounds of appeal.
13. The Appeals Chamber has identified one exception to this general rule which
does not apply here. In Erdemovic, the Appeals Chamber held that, “the
Appeals Chamber has raised preliminary issues proprio motu pursuant to its
inherent powers as an appellate body once seised of an appeal lodged by either
party pursuant to Article 25 of the Statute.”15
However, Judge Shahabuddeen
!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!13
Tadic Jurisdiction Appeal.
14 Gashi, at page 10, attached hereto as Annex A. See also van de Velden, at page 23 (attached hereto
as Annex B), explaining that under the principle tantum devolutum quantum appellatum, “those parts
of a decision that are not appealed are, in principle, not reconsidered by the appellate court.”
15 Erdemovic AJ, paragraph 16.
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explained that Erdemovic cannot be interpreted to mean that the Appeals
Chamber can “gratuitously intervene whenever it feels something wrong was
done…”.16
Rather, “the Appeals Chamber can raise issues whether or not
presented by a party, provided, I consider, that they lie within the prescribed
grounds of appeal, that they arise from the record, and that the parties are
afforded an opportunity to respond.”17
14. ICTY appeals are not trials de novo so only those issues raised by the
appellant(s) are validly before the Chamber.18
Here, the alternate modes of
liability issue is not within the four grounds of appeal raised by the Appellant,
all of which are limited to the Trial Chamber’s JCE findings. Therefore the
Erdemovic exception likewise does not apply and thus the Appeals Chamber
lacks jurisdiction under Article 25 to consider any matters related to alternate
modes of liability.19
2. The Prosecutor Failed to Properly Seize the Appeals
Chamber On the Issue of Alternate Modes of Liability
15. If the Prosecution believed that the Trial Chamber should have made findings
concerning Appellant’s responsibility under Article 7(3) or as an aider and
abettor, it should have filed a Notice of Appeal challenging the Trial
Chamber’s Judgement not to render a reasoned opinion on these alternate
modes of liability. In Setako, the Prosecution filed a Notice of Appeal
alleging that the Trial Chamber erred “in failing to make any finding on
Setako’s responsibility under Article 6(3) of the Statute [equivalent to Article
7(3) of the ICTY Statute] for the 25 April and 11 May Killings.”20
The
Appeals Chamber found that, “[t]he Trial Chamber’s failure to make such a
finding constituted an error of law.”21
Such an error of law must, therefore,
!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!16
Barayagwiza Review Decision.
17 Id. Emphasis added.
18 See, e.g., Sljivancanin AJ, par 352; Hadzihasanovic AJ, par 302; Limaj AJ, par 127.
19 Furthermore, any doubt as to the scope of the Appeals Chamber’s jurisdiction should be construed in
favor of the Appellant under the principles in dubio pro libertate and in dubio pro reo.
20 Setako AJ, paragraphs 5, 264.
21 Id.,paragraph 268. Emphasis added.
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be properly appealed under Rule 108 for the Appeals Chamber to have
jurisdiction under Article 25. The Prosecution here did not do so.
16. The records of the travaux make it clear that the Prosecutor’s right to obtain a
new conviction on appeal is subject to exercising his statutory entitlement to
appeal under Article 25. More specifically, the ability and jurisdiction of the
Appeals Chamber to consider a basis that could result in a conviction of the
accused “will only arise if the Prosecutor, in fact, decides to appeal such a
decision.”22
17. This position is further supported by the exceptions contained in Article 2(2)
of Protocol 7 ECHR which provides that a conviction on appeal is possible
only if and when it results from an appeal against acquittal. No rule or
principle of international law allows for the possibility of a conviction on
appeal where the prosecution has not appealed against the trial verdict.
18. Accordingly, if the Prosecution believed that the Trial Chamber should have
made findings on alternate modes of liability, it should have filed a Notice of
Appeal as in Setako alleging that the Trial Chamber committed an error of
law. By not doing so, the Prosecution’s failure left the Appeals Chamber
without jurisdiction to consider the matter.
3. The Absence of a Reasoned Opinion Precludes the Appeals
Chamber’s Jurisdiction Under Article 25 of the Statute
19. The Appeals Chamber has consistently held that an Accused is entitled to a
reasoned written opinion under Article 23, a necessary precondition to the
Appeals Chamber’s exercise of its own jurisdiction under Article 25:
“The fair trial requirements of the Statute include the right of
each accused to a reasoned opinion by the Trial Chamber
under Article 23 of the Statute and Rule 98ter(C) of the
Rules. A reasoned opinion ensures that the accused can
exercise his or her right of appeal and that the Appeals
Chamber can carry out its statutory duty under Article 25 to review these appeals. The reasoned opinion requirement,
!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!22
Morris and Scharf and L. Johnson.
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however, relates to a Trial Chamber’s judgement rather than
to each and every submission made at trial.”23
20. Accordingly, the Appeals Chamber cannot “carry out its statutory duty under
Article 25” to review appeals where no reasoned opinion was rendered, with
the exception of cases such as Setako where a party files a Notice of Appeal
alleging that the failure to render a reasoned opinion under Article 23 itself
constitutes an error of law.
21. Here, the Trial Chamber expressly judged that it would not render a reasoned
opinion under Article 23 concerning alternate modes of liability.24
With
nothing for the Appeals Chamber to review, the Appeals Chamber cannot
“carry out its statutory duty under Article 25 to review” the alternate modes of
liability.
22. Moreover, in the absence of a Notice of Appeal alleging a violation of Article
23, the Appeals Chamber lacks jurisdiction to write its own reasoned opinion
where the Trial Chamber expressly chose not to do so.
23. Finally, a reasoned opinion is a necessary and minimum condition of the
effective exercise of a defendant’s right of appeal.25
Every accused also has
the fundamental right to appeal against his conviction.26
Article 14(5) of the
ICCPR, which contains such a guarantee, has been said by the Appeals
Chamber to reflect “an imperative norm of international law to which the
!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!23
Limaj AJ, para. 81 (emphasis added). See also Hadžihasanović AJ para. 13; Naletilić AJ, para. 603;
Kvočka AJ, paras 23 and 288.
24 TJ, paragraph 2375.
25 See e.g. Limaj AJ, par 81; Krajisnik AJ, par 139; Hadžihasanović AJ, para. 13; Naletilić AJ, par 603;
Kvočka AJ, pars 23 and 288 26
See, e.g., Article 14(5) ICCPR; Article 2 Protocol 7 ECHR (none of the exceptions of article 2(2)
would be applicable here); Article 8(2)(h) ACHR; Human Rights Committee, General Comment 13
[1984], par 17; Human Rights Committee, General Comment 32 [2007], Section VII (in particular
(footnotes omitted): “Article 14, paragraph 5 is violated not only if the decision by the court of first
instance is final, but also where a conviction imposed by an appeal court or a court of final instance,
following acquittal by a lower court, according to domestic law, cannot be reviewed by a higher court.
Where the highest court of a country acts as first and only instance, the absence of any right to review
by a higher tribunal is not offset by the fact of being tried by the supreme tribunal of the State party
concerned; rather, such a system is incompatible with the Covenant, unless the State party concerned
has made a reservation to this effect.”); Tadic Appeal (Vujin). See also Bassiouni.
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Tribunal must adhere.”27
This imperative norm means that “everyone
convicted of a crime shall have the right to his conviction and sentence being
reviewed by a higher tribunal according to law.”28
Accordingly, any Appeals
Chamber Judgement addressing the merits of alternate modes of liability—in
effect acting as the court of first instance—would not only be ultra vires
because there is no jurisdiction to act, but would also leave the Appellant
without the right to an appeal to a higher court, in violation of well-established
international human rights standards.29
4. Appeals Chamber Review of the Alternate Modes of
Liability is Precluded By the Doctrines of Res Judicata and
Non Bis in Idem
24. When the Prosecution failed to file a Notice of Appeal, the Trial Chamber’s
Judgement on alternate modes of liability (more precisely, the affirmative
decision not to make reasoned opinions concerning the alternate modes of
liability) became final and non-appealable. Were the Appeals Chamber to
consider these issues, it would violate the Article 10 prohibition against non
bis in idem, as well as the doctrine of res judicata.
25. A decision acquires the force of res judicata, “when it is irrevocable, that is to
say when no further ordinary remedies are available or when the parties have
exhausted such remedies or have permitted the time-limit to expire without
availing themselves of them.”30
What has become res judicata cannot be the
subject of an appeal. Under the principle tantum devolutum quantum
appellatum, “an appeals Judge may only decide on the part of the decision (of
first instance) which is contested by either party (the remaining part becoming
!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!27
Tadic Appeal (Vujin). This right is a critical element of the fair trial guarantee: see, again, Human
Rights Committee, General Comment 13 [1984], par 17.
28 Human Rights Committee, General Comment 13 [1984], par 17. Where, unlike the ICTY, appeals
proceedings are effectively trial de novo, appeals from a new conviction must of necessity be provided.
An illustration of that necessary element may be found, inter alia, in Article 317 of the BiH CPC,
which provides for necessary appeals from appellate decisions which result in new convictions on
appeal.
29 The possibility that the Appeals Chamber itself might commit a reversible error was well illustrated,
for instance, in the Barayagwiza case where a second Appeals Chamber effectively overturned the
initial Appeals Chamber decision. The risk of erroneous new factual findings being made for the first
time on appeal was also highlighted in the context of the Slivancjanin Review Proceedings. See also
the opinions of Judge Fausto Pocar in Kalimanzira AJ; and Slivancjanin AJ, Partially Dissenting
Opinion of Judge Fausto Pocar with references.
30 Zolotukhin v Russia. Emphasis added.
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res judicata).”31
In Simic, the Trial Chamber ruled that the principle of res
judicata precluded the Prosecution from contesting an issue which it had
failed to appeal:
It was open to the prosecution to seek leave to appeal from that
decision, but it did not do so. The ICRC Decision thus stands
and is binding upon the parties to it insofar as the Trial
Chamber has ruled that the evidence of the former employee of
the ICRC sought to be presented by the Prosecutor should not
be given. The principle of res judicata would prevent the
prosecution from raising that specific issue again in any
interlocutory proceedings between it and the ICRC unless the
Trial Chamber itself were prepared to reconsider its decision.32
26. The Appeals Chamber has consistently applied this principle in determining
the scope of re-trials. The Haradinaj re-trial was limited to the six counts that
were the subject of an appeal and which were quashed on appeal.33
No retrial
could have been ordered in relation to any other counts of the indictment, as
they had not been the subjects of the appeal.34
Likewise, in Muvunyi, retrial
was ordered for a conviction on one count, which the Accused had appealed
and which was quashed by the Appeals Chamber.35
27. Similarly, the Appeals Chamber has no jurisdiction to grant relief for an issue
that was neither the subject of a trial finding nor appealed by either party. In
Muvunyi, the Appeals Chamber noted that “the present situation gives rise to
appropriate circumstances for retrial pursuant to Rule 118(C) of the Rules,
limited to the allegations considered under this ground of appeal.” (Emphasis
added).36
!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!31
Gashi, at page 10, attached hereto as Annex A.
32 Simic Decision, at paragraph 9.
33 Haradinaj AJ, par 50.
34Id.; see also Haradinaj Appeal on Scope. (“The Trial Chamber cannot make findings with respect to
Haradinaj's criminal responsibility beyond that alleged in the six counts which are the subject of the
retrial”).
35 Muvunyi Appeal on Scope. See also, ibid, Joint Dissenting Opinion of Judges Shahabuddeen and
Meron, 24 March 2009, par 1.
36 The same view may be inferred from the holding of the Delic Appeals Chamber where it linked its
power to remit a matter for retrial to its power to decide a matter brought before it as a result of the
appeal or from the earlier Delalic Appeals Chamber. See Mucic Sentencing AJ, par 10, 11, 17-18; and
Celebici AJ, parsagraphs710-713 (limiting the remit to “these issues” that it had ruled upon).
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28. Even in those disputed cases37
where the Appeals Chamber has entered a new
conviction on appeal, the Prosecutor had seized the Appeals Chamber by
filing an appeal alleging error in the trial judgement. Unlike those cases, the
Prosecutor here filed no appeal whatsoever.
29. Because the Prosecution chose not to appeal the Trial Chamber’s express
Judgement regarding alternate modes of liability, this portion of the
Judgement is res judicata and non-appealable. Further, the Appeals Chamber
would violate Article 10’s prohibition against non bis in idem by re-opening
these issues.38
Accordingly, the Appeals Chamber is precluded by the
principles of res judicata and non bis in idem from considering the alternate
modes of liability.
5. Conclusion
30. Article 25 and Rule 108 limit the jurisdiction of the Appeals Chamber to those
grounds of appeal raised by the parties. The principle tantum devolutum
quantum appellatum limits the Appeals Chamber’s review to issues contested
by the parties. Moreover, the Appeals Chamber cannot “carry out its statutory
duties under Article 25” where the Trial Chamber expressly chose not to
render a reasoned opinion on alternate modes of liability. The Appeals
Chamber would violate the Appellant’s right to an appeal to a higher court
were it to act as the trier of first instance on issues involving alternate modes
of liability.
31. When the Prosecutor decided not to appeal the Trial Chamber’s Judgement on
the alternate modes of liability (1) this portion of the Judgement became final
and subject to the doctrines of res judicata and non bis in idem, and (2) the
Appeals Chamber never became properly seized of the issue. Nothing in the
Statute or the Rules allows the Appeals Chamber to reconsider this matter, and
were the Appeals Chamber to do so it would violate Articles 10, 23 and 25,
Rule 108, and the requirements of the ICCPR and Protocol 7 to the ECHR .
!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!37
See e.g. Sljivancanin AJ, Partially Dissenting Opinion of Judge Fausto Pocar, pars 1 et seq and
references.
38 Barayagwiza Review Decision, at paragraph 19.
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32. Additionally and/or alternatively, the Appeals Chamber should find that
because the Prosecution has not appealed any aspect of the Trial Judgement,
including the alternate modes of liability, it has waived this issue. Further, per
Simic, the Prosecution is also estopped by the doctrine of res judicata from
disputing the Trial Chamber’s Judgement,39
and the Appeals Chamber should
not consider the matter.
B. Conclusion and Prayer for Relief
33. For all of the reasons set forth above, the Appeals Chamber should find that,
on the issue of the Appellant’s responsibility under the alternate modes of
liability:
1. The Appeals Chamber lacks jurisdiction pursuant to Article 25 to
consider the matter or, if it has jurisdiction, it could not exercise it
in compliance with the fundamental rights of the accused and must
therefore refrain from doing so; and
2. The Trial Chamber’s Judgement on alternate modes of liability (i.e.
its Judgement not to render a reasoned opinion) is now final and
non-appealable as a result of the Prosecutor’s failure to appeal the
matter.
34. In the alternative, the Appeals Chamber should find that the Prosecutor has
waived any issue concerning the alternate modes of liability by failing to
appeal the Trial Chamber’s Judgement, and is also estopped by the doctrine of
res judicata from pursuing the matter further.
C. Motion for Leave to Exceed the Word Limitation
35. Appellant respectfully requests leave to exceed the word limitation. The
issues raised in the present motion, challenging the jurisdiction of the Appeals
Chamber to consider alternate forms of liability absent an appeal from the
Prosecutor, have never been considered before in the jurisprudence of the
Appeals Chamber. As a result, Appellant out of necessity has been required to
cite to extensive authority from ICTY, ICTR, ECHR and general sources.
!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!39
Simic Decision, at paragraph 9.
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36. Appellant submits that it is in the interests of justice for the Appeals Chamber
to have the benefit of citations to as many sources as possible as it resolves
this issue of first impression. Moreover, given that the question of the
Appeals Chamber’s jurisdiction on the issue of alternate form of liability
exposes the Appellant to new forms of liability that were not explored in the
Trial Chamber Judgement, Appellant submits that he should be allowed to
exceed the word limit in this exceptional circumstance. Accordingly,
Appellant respectfully asks leave of the Appeals Chamber to exceed the word
limitation.
Word Count: 4467
Dated: 10 August 2012
Payam Akhavan Guénaël Mettraux
Defence Counsel for Ante Gotovina
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GLOSSARY
Abbreviations
Abbreviation Used Full Citation
AJ Appeals Judgement
ACHR American Convention on Human Rights
BiH CPC Criminal Procedure Code of Bosnia and
Herzegovina
ECHR European Convention on Human Rights
ICCPR International Covenant on Civil and
Political Rights
TJ Trial Judgement
ICTY Authorities Cited
Abbreviation Used Full Citation
Bralo AJ Prosecutor v. Miroslav Bralo, IT-95-17-
A, Judgement on Sentencing Appeal, 2
April 2007.
Celebici AJ Prosecutor v. Delalic, et al., IT-96-21-A,
Judgement, 20 February 2001.
Erdemovic AJ Prosecutor v. Drazen Erdemovic, IT-96-
22-A, Judgement, 7 October 1997.
Hadzihasanovic AJ Prosecutor v. Hadzihasanovic and
Kubura, IT-01-47-A, Judgement, 22
April 2008.
Haradinaj AJ Prosecutor v. Haradinal et al., IT-04-84-
A, Judgement, 19 July 2010.
Haradinaj Appeal on Scope Prosecutor v. Haradinaj, et al., IT-04-
84bis-AR73.1, Decision on Haradinaj’s Appeal on Scope of Partial Retrial, 31
May 2011.
Jokic Sentencing Appeal Prosecutor v. Miodrag Jokić, Case No.
IT-01-42/1-A, Judgement on Sentencing
Appeal, 30 August 2005
Krajisnik AJ Prosecutor v. Momcilo Krajisnik, IT-00-
39-A, 17 March 2009.
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Kvocka AJ Prosecutor v. Miroslav Kvocka, et al., IT-
98-30/1-A, Judgement, 28 February
2005.
Limaj AJ Prosecutor v. Fatmir Limaj, et al., IT-03-
66-A, Judgement, 27 September 2007.
Mucic Sentencing AJ Prosecutor v. Mucic, et al.,IT-96-21-
Abis, Judgment on Sentence Appeal, 8
April 2003.
Naletilic AJ Prosecutor v. Mladen Naletilic, IT-98-34-
A, Judgement, 3 May 2006.
Simic Decision Prosecutor v. Milan Simic, et al,, IT-95-
9/2, Decision on Application by Stevan Todorovic to Re-Open the Decision of 27
July 1999, 28 February 2000.
Sljivancanin AJ Prosecutor v. Mrksic and Sljivancanin,
IT-95-13/1-A, Judgement, 5 May 2009.
Sljivancanin Review Proceedings Prosecutor v. Sljivancanin, IT-95-13/1-
R.1, Review Judgement, 8 December
2010.
Strugar Decision Prosecutor v. Strugar, Case No. IT-01-42-Misc.1, Decision On Strugar’s Request
To Reopen Appeal Proceedings, 7 June 2007, para. 21.
Tadic Jurisdiction Appeal Prosecutor v. Dusko Tadic, IT-94-1,
Decision on Defence Interlocutory
Appeal on Jurisdiction (Separate Opinion of Judge Sidwa on the Defence Motion
for Interlocutory Appeal on Jurisdiction), 2 October 1995.
Tadic Appeal (Vujin) Prosecutor v. Dusko Tadic, IT-94-A-
AR77, Appeal Judgement on Allegations
of Contempt Against Prior Counsel, Milan Vujin, 27 February 2001, pages 3-
4.
5799IT-06-90-A
!!17!
ICTR Authorities Cited
Abbreviation Used Full Citation
Barayagwiza Review Decision Jean Bosco Barayagwiza v. The
Prosecutor, ICTR-97-19-AR72, Decision
on Prosecutor’s Request for Review or Reconsideration, 31 March 2000,
Separate Opinion of Judge
Shahabuddeen, at paragraph 18.
Kalimanzira AJ
Calixte Kalimanzira v. The Prosecutor,
ICTR-05-88-A, Judgement, 20 October
2010, Partially Dissenting and Separate
Opinions of Judge Pocar, pars 2-5.
Muvunyi Appeal on Scope
The Prosecutor v. Tharcisse Muvunyi,
ICTR-2000-55A-AR73, Decision on Prosecutor’s Appeal Concerning the
Scope of Evidence to be adduced in the Retrial, 24 March 2009, par 14
Setako AJ Ephrem Setako v. The Prosecutor, ICTR-
04-81-A, Judgement, 28 September 2011.
Authorities Cited from Other Jurisdictions
Abbreviation Used Full Citation
Gashi Prosecutor v. Gashi, et al., District Court
of Pristina, P. Nr. 526/05, 2 October
2009, rev’d on other grounds, Prosecutor
v. Gashi et al., Supreme Court of Kosovo,
AP-Kz 373/10, 7 February 2012.
Zolotukhin v. Russia
Case of Sergey Zolotukhin v Russia,
Application No 14939/03, Judgment, 10
February 2009, par 107-108. (European
Court of Human Rights).
5798IT-06-90-A
!!18!
General Sources
Abbreviation Used Full Citation
Bassiouni C. Bassiouni, “Human Rights in the
Context of Criminal Justice: Identifying
International Procedural Protections and
Equivalent Protections in National
Constitutions”, 3 Duke Journal of
Comparative and International Law 235
(1993), at 286 et seq.
R. Cryer
R. Cryer et al, An Introduction to
International Criminal Law and Procedure, 2010, 2
nd Ed., p. 471.
M. Fleming M. Fleming, “Appellate Review in
International Criminal Tribunals”, 37(1)
Texas International Law Journal 111
(2002), at 117.
L. Johnson Larry Johnson, “Ten Years Later:
Reflections on the Drafting”, 2(2004)
JICJ, 368-379, 375.
Karibi-Whyte Adolphus G. Karibi-Whyte, Appeal Procedures and Practices, in 1
Substantive and Procedural Aspects of International Criminal Law, 627, 640-
641 (Gabrielle Kirk McDonald and Olivia
Swaak-Goldman eds. 2000).
Morris and Scharf Virginia Morris and Michael P. Scharf,
An Insider’s Guide to the International Criminal Tribunal for the former
Yugoslavia, 295-296 (Transnational
Publishers, Inc. 1995).
Roth and Henzelin R. Roth and M. Henzelin, The Appeal Procedure of the ICC, in A Cassese, P
Gaeta and J Jones (eds), The Rome Statute of the International Criminal
Court: A Commentary (2002), at 1540.
W. Schabas W. Schabas, An introduction to the
International Criminal Court, 2010, pp.
328-329.
van de Velden Jacob van de Velden, The Effect in the European Community of Judgments in
Civil and Commercial Matters:
5797IT-06-90-A
!!19!
Recognition, Res Judicata and Abuse of
Process (Netherlands), British Institute of
International and Comparative Law, at p.
23 (attached hereto as Annex B).
5796IT-06-90-A
!!20!
ANNEX A
5795IT-06-90-A
5794IT-06-90-A
5793IT-06-90-A
5792IT-06-90-A
5791IT-06-90-A
5790IT-06-90-A
5789IT-06-90-A
5788IT-06-90-A
5787IT-06-90-A
5786IT-06-90-A
5785IT-06-90-A
5784IT-06-90-A
5783IT-06-90-A
5782IT-06-90-A
5781IT-06-90-A
5780IT-06-90-A
5779IT-06-90-A
5778IT-06-90-A
5777IT-06-90-A
5776IT-06-90-A
5775IT-06-90-A
5774IT-06-90-A
5773IT-06-90-A
5772IT-06-90-A
5771IT-06-90-A
5770IT-06-90-A
5769IT-06-90-A
5768IT-06-90-A
5767IT-06-90-A
5766IT-06-90-A
5765IT-06-90-A
5764IT-06-90-A
5763IT-06-90-A
!!21!
ANNEX B
5762IT-06-90-A
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5738IT-06-90-A
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