The Law and Practice of the International Criminal Court

Edited by

C A R S T E N S T A H N

O X FO RDU N I V E R S I T Y P R ES S

Table o f Contents

Table o f Cases X X V

Table o f Legislation liiiList o f Abbreviations lxvList o f Contributors lxixIntroduction

I. C O N T E X T , C H A L L E N G E S , A N D C O N S T R A IN T S

1. The International Criminal Court (ICC) and Double Standards

lxxxiii

of International JusticeRichard Dicker

3

1.1 Introduction 31.2 Context 41.3 Double Standards in ICC-Related Practice 61.4 Beyond the Status Quo 11

2. The ICC and the Politics of Peace and JusticeLeslie Vinjamuri

13

2.1 Introduction 132.2 Arguing for Justice 152.3 The Trium ph of Consequences 192.4 Four Dilemmas 202.5 Rewriting Justice

3. The Relationship between the ICC and

28

the United Nations Security CouncilDeborah Ruiz Verduzco

30

3.1 Introduction3.2 The Relationship between the Court and the Council:

30

Three Theories 313.3 The Framing of Referrals 353.4 The Funding of Referrals 383.5 Obligations to Cooperate with the Court 423.6 Non-Cooperation and Enforcement3.7 Political and Operational Support for Situations Not Referred

44

by the Council 503.8 Deferrals 523.9 Conclusions 61

4. The ICC and the AUOttilia Anna Maunganidze and Anton du Plessis

65

4.1 Introduction4.2 Tire Conflation of Politics and Law: Africa

65

and International Crim inal Justice 66

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4.3 African Efforts to Close the Im punity Gap 684.4 Com plem entarity in Action 714.5 Expanding the Jurisdiction of the African C ourt 794.6 Conclusion 82

How Much Money Does the ICC Need? 84Stuart Ford5.1 Introduction 845.2 How Much Does the ICC Cost and How is that Money Spent? 855.3 The Constituencies 895.4 The 2013 Budget Process 925.5 How Efficient is the ICC? 945.6 Possible Explanations for the Comparative Inefficiency of the ICC 1005.7 Conclusion 103

The ICC and the ASP 105Jonathan O ’Donohue6.1 Introduction 1056.2 Overview of the ASP 1056.3 Adm inistrative Oversight 1096.4 Budgetary Decisions 1146.5 Legislative Decisions 1166.6 Elections 1266.7 Responding to Non-Cooperation 1316.8 O ther Initiatives to Support the ICC and the Rome Statute System 1336.9 Conclusions 138

II . T H E R E L A T I O N S H I P T O D O M E S T I C J U R I S D I C T I O N S

Jurisdiction 141Rod Rast an7.1 Introduction 1417.2 Jurisdictional Parameters 1417.3 Subject M atter Jurisdiction 1477.4 Personal Jurisdiction 1517.5 Territorial Jurisdiction 1637.6 Temporal Jurisdiction 1687.7 Conclusion 178

Ad LIoc Declarations of Acceptance of Jurisdiction:The Palestinian Situation under Scrutiny 179M ohamed M. El Zeidy8.1 Introduction 1798.2 The 2009 Palestinian Declaration: Inconsistencies

and Legal Uncertainties 1838.3 Potential Review and Alternative Avenues 1928.4 Palestine’s New Status and its Effect on

the First and Second Declaration 1998.5 Conclusion 208

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9. Self-Referrals as an Indication of the Inability of States to Copewith Non-State Actors 210Harmen van der Wilt9.1 Introduction 2109.2 Self-Referrals: Genuine ‘Inability’ or Insidious Attempt

to Frame One’s Enemies? 2129.3 Puzzled Trial Chambers Struggling with the Concepts

o f ‘Inactivity’ and ‘Inability’ 2159.4 The ICC and Non-State ‘Terrorists’ 2209.5 Self-Referrals and the State-Centred Paradigm

of International Criminal Justice 2239.6 Some Final Reflections 226

10. Admissibility Challenges before the ICC: From Quasi-Primacyto Qualified Deference? 228Carsten Stahn10.1 Introduction 22810.2 The Status Quo 23110.3 Dilemmas 24610.4 Im proving‘Qualified Deference’ 25310.5 Conclusions 258

11. The ICC and its Relationship to Non-States Parties 260Robert Cryer11.1 Introduction 26011.2 The Rome Statute and Third Parties: The Law 26211.3 The Practice of the Court with Respect to Third Parties 26611.4 Conclusion 280

12. The Frog that Wanted to Be an Ox: The ICC’s Approachto Immunities and Cooperation 281Dov Jacobs12.1 Introduction 28112.2 Mapping the Interaction between Im munities and Cooperation

in the Rome Statute 28212.3 Prelim inary Question: Can the ICC Actually Exercise Jurisdiction

in the First Place? 28612.4 Is There an Obligation to Cooperate with the ICC? 29212.5 Conclusion 301

I I I . P R O S E C U T O R I A L P O L I C Y A N D P R A C T I C E

13. Putting Complementarity in its Place 305Paul Seils13.1 Introduction 30513.2 M eaningful National Prosecutions 30613.3 The Role of the Office of the Prosecutor

in Catalysing National Proceedings 316

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13.4 Technical Analysis of National Proceedings 32013.5 Steps for the OTP 32613.6 Conclusions 327

14. Investigative Management, Strategies, and Techniqueso f the ICC’s OTP 328Susana SdCouto and Katherine Cleary Thompson14.1 Introduction 32814.2 O rganization and A dm inistration of the OTP 33114.3 Size and Composition of Investigation Teams 33414.4 Evaluating the Sufficiency of Evidence 34114.5 Conclusion 349

15. The Selection o f Situations and Cases bythe OTP o f the ICC 350Fabricio Guariglia and Emeric Rogier15.1 Introductory Remarks 35015.2 The Selection of Situations by the OTP 35315.3 The Selection of Cases by the OTP 35815.4 Conclusions 363

16. Selecting Situations and Cases 365 William A. Schabas o c m r i a

16.1 Introduction 36516.2 D istinguishing Situations and Cases 36616.3 Selection of Situations 36816.4 Selecting Cases 37516.5 Conclusion 380

17. Accountability o f International Prosecutors 382Jenia Iontcheva Turner17.1 Introduction 38217.2 Balancing Accountability and Effectiveness 38417.3 Internal Oversight 38617.4 Judicial Oversight 38817.5 Political Oversight 39417.6 A dm inistrative and Professional Oversight 39717.7 Conclusion 406

IV. T H E IC C A N D IT S A P P L I C A B L E LAW

18. Article 21 and the Hierarchy of Sources of Law before the ICC 411Gilbert Bitti18.1 Introduction 41118.2 Internal Sources of Law 41418.3 External Sources of Law 42518.4 Conclusion 443

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19. The Rome Statute and the Attempted Corseting o f the Interpretative Judicial Function: Reflectionson Sources of Law and Interpretative Technique 444Joseph Powderly19.1 Introduction 44419.2 The Rome Statute as a Means of Codifying Judicial

Interpretative Restraint 44819.3 Identifying the Applicable Law—From Nuremberg

to the Ad Hoc Tribunals 45419.4 Articles 21 and 22(2) of the Rome Statute: A Deliberate Effort

to Restrict the Creative Capacity of the Bench? 46019.5 Conclusions 497

20. Perpetration and Participation in Article 25(3) 499Elies van Sliedregt20.1 Introduction 49920.2 JCE and its Predecessors: A Twist on Complicity Liability 50120.3 Control Theory: A Novel Approach 50620.4 How to Understand Article 25(3): Some Suggestions 51020.5 Concluding Observations 51420.6 Outlook on the Future 516

21. Co-Perpetration: German Dogmatik or German Invasion? 517Jens David Ohlin21.1 Introduction 51721.2 The Emergence of Co-Perpetration 51821.3 Criticisms of the Control Theory of Perpetration 52721.4 Alternative Accounts of Co-Perpetration 53121.5 Concluding Evaluations 537

22. Indirect Perpetration 538Thomas Weigend22.1 Background 53822.2 Ad Hoc Tribunals and Indirect Perpetration 54122.3 The Inception of Article 25(3)(a) of the ICC Statute 54222.4 Application of Article 25(3)(a) of the Statute by the ICC 54322.5 Criticism of the Pre-Trial Cham ber’s Approach 54822.6 A Narrow Version of Indirect Perpetration? 55022.7 Outlook 554

23. Forms of Accessorial Liability under Article 25(3)(b) and (c) 557Hector Oläsolo and Enrique Carnero Rojo23.1 Introduction 55723.2 Ordering, Instigating, and Planning (Article 25(3)(b)

of the ICC Statute) 56023.3 Aiding, Abetting, or Otherwise Assisting (Article 25(3)(c)

of the ICC Statute) 57823.4 Conclusions 590

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24. The ICC and Common Purpose—What Contribution is Requiredunder Article 25(3)(d)? 592Kai Ambos24.1 Prelim inary Remarks: Key Features of Article 25(3)(d)

and Necessary Delimitations 59224.2 The Key Issue: W hat Objective Contribution is Required? 59624.3 Conclusion 607

25. Command Responsibility under Article 28 o f the Rome Statute 608Alejandro Kiss25.1 Introduction 60825.2 Development of this Mode of Liability 60925.3 C om m anders anct Forces, Superiors and Subordinates 61225.4 Effective Com m and, Authority, and Control 61825.5 Duties on Com m anders and Superiors 62225.6 Proof of Causation 63425.7 Mens Rea Requirements 63825.8 Brief Concluding W ords 648

26. Rethinking the Mental Elements in the Jurisprudenceof the ICC 649M ohamed Elewa Badar and Sara Porro26.1 Introductory Observations: The (Quest for) Balance

between Intent, Specificity, and Proportionality 64926.2 The Default Rule of Article 30 ICC Statute:

A G roundbreaking Step in the History of ICL orthe Source of Irresolvable Interpretative Uncertainties? 650

26.3 The Default Rule of Article 30 ICC Statute between Applicabilityand Non-applicability 665

26.4 Concluding Remarks 667

27. The ICC’s First Encounter with the Crime of Genocide:The Case against A1 Bashir 669Clans Kreß27.1 Introduction 66927.2 The ICC’s Al Bashir Case Law on the Crime of Genocide 67027.3 An Acquittal in re Genocide—A Failure? On the Rhetorics

of Genocide 703

28. Crimes against Humanity: A Better Policy on ‘Policy’ 705Darryl Robinson28.1 Introduction 70528.2 The Theory Behind the Policy Element 70728.3 Concerns about ICC Jurisprudence 71328.4 The Gbagbo Adjournm ent Decision: Direct Proof

of Formal Adoption? 716

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28.5 Mbarushirnana: Distracted by Ulterior Purposes? 72428.6 Conclusion and Proposal for Reform 729

29. Charging War Crimes: Policy and Prognosis from aMilitary Perspective 732Michael A. Newton29.1 Introduction 73229.2 The Underlying Permissiveness of the jus in bello Regime 73429.3 U nderstanding the Underlying Structure of Article 8 73929.4 Interrelationship of the Court with Operational Realities 74929.5 Conclusions 760

30. The Characterization of Armed Conflict in the Jurisprudenceof the ICC 762Anthony Cullen30.1 Introduction 76230.2 The Exercise of Jurisdiction over War Crimes 76230.3 The Characterization of Armed Conflict under

the Rome Statute 76430.4 Issues Im pacting on the Characterization of Arm ed Conflict

by the ICC 77430.5 Conclusion 777

31. The Crime of Aggression 778Roger S. Clark31.1 Introduction 77831.2 The Kampala Amendments on the Crime of Aggression 77931.3 Implementing the Kampala Amendments Domestically 79331.4 Conclusion 800

32. La Lutte Continue: Investigating and Prosecuting Sexual Violenceat the ICC 801Niamh Hayes32.1 Introduction 80132.2 Charges for Sexual and Gender-Based Crimes:

The OTP’s Attrition Problem 80532.3 Ocampo and Investigations: The OTP’s Evidence Problem 81332.4 Bensouda and the Policy Paper: The OTP’s Future Strategy 82432.5 Conclusion 839

33. Cumulative Charges and Cumulative Convictions 840Carl-Friedrich Stuckenberg33.1 Introduction 84033.2 Cumulative Convictions 84233.3 Cumulative Charges 85233.4 Conclusion 858

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V. F A I R N E S S A N D E X P E D I T I O U S N E S S OF I C C P R O C E E D I N G S

34. The International Criminal Standard of Proof at the ICC—Beyond Reasonable Doubt or Beyond Reason? 861Simon De Smet34.1 Introduction 86134.2 Some Theoretical Considerations 86434.3 Subjective Standard of Proof 86534.4 Formal Standard of P roof 87234.5 W hich Model for the ICC? 88234.6 W here to Set the Standard of Proof? 88234.7 A Fixed or Variable Standard of Proof? 88734.8 Conclusion 889

35. Confirmation of Charges 891Ignaz Stegmiller35.1 Introduction 89135.2 Proceedings during the Confirm ation of Charges Phase 89335.3 Procedural Avenues for the Pre-Trial Cham ber 89635.4 Subsequent Modification of the Legal Characterization 90235.5 Conclusion: The Necessity of an Interm ediary Filter Mechanism

for Complex International Crim inal Trials 905

36. Trial Procedures—With a Particular Focus on the Relationshipbetween the Proceedings of the Pre-Trial and Trial Chambers 909Häkan Frimcm36.1 Introduction 90936.2 Trial Experiences 91036.3 Relationship between the Pre-Trial and Trial Process 91336.4 Charges—From Confirmation to Adjudication 91636.5 Proper Disclosure of Evidence 92236.6 The Role of the Trial Cham ber 92636.7 Concluding Remarks 930

37. Proportionate Sentencing at the ICC 932Margaret M. deGuzman37.1 Introduction 93237.2 The ICC’s First Sentencing Judgment 93337.3 Proportionality Theories 93537.4 Proportionality Principles in the ICC’s Applicable Law 94337.5 Rejecting International Retributivism 94837.6 Preventive International Proportionality 95637.7 Conclusion 962

38. The Role o f the Appeals Chamber 963Volker Nerlich38.1 Introduction 96338.2 The Appeals Cham ber in the Context of the ICC 964

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38.3 Jurisdiction of the Appeals Chamber 96638.4 Early Jurisprudence: Cautious Exercise of its Powers 978

39. ‘A Stick to Hit the Accused With’: The Legal Recharacterizationof Facts under Regulation 55 981Kevin Jon Heller39.1 Introduction 98139.2 Is Regulation 55 Ultra Vires? 98239.3 Has the Judiciary Correctly Interpreted Regulation 55? 98939.4 Is Regulation 55 Consistent with the Rights of the Prosecution

and the Defence? 99339.5 Conclusion 1006

40. Disclosure Challenges at the ICC 1007 Alex Whiting40.1 Introduction 100740.2 The Framework 100940.3 The Challenges 101740.4 Conclusion 1025

41. Sitting on Evidence?: Systemic Failings in the ICC DisclosureRegime—Time for Reform 1029Karim A A Khan QC and Caroline Buisman41.1 Introduction 102941.2 General Legal Principles 103141.3 Incrim inatory Information 103141.4 Information which is Exculpatory or Assists the Defence 104041.5 Exemptions from Disclosure Obligations 104741.6 Concluding Remarks 105941.7 Proposals for Reform 1060

42. The Roads to Freedom—Interim Release in the Practice of the ICC 1063Aiste Dumbryte42.1 Introduction 106342.2 Burden of Proof 106442.3 Interim Release under Article 60(2): Failing to Meet the Grounds

for Detention 106742.4 Interim Release under Article 60(4): Unreasonable Length

of Detention 107842.5 Interim Release in Exceptional H um anitarian Circumstances 108042.6 Conclusions and Recommendations 1081

43. Testifying behind Bars—Detained ICC Witnesses and HumanRights Protection 1084Joris van Wijk and Marjolein Cupido43.1 Introduction 108443.2 Legal Proceedings 108643.3 Taking Stock 1094

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43.4 Future Implications 109643.5 Possible Solutions 109943.6 Concluding Remarks 1103

44. External Support and Internal Coordination—The ICC andthe Protection of Witnesses 1105Markus Eikel44.1 Introduction 110544.2 Legal Framework 110744.3 Disagreements about Responsibilities for Protective M easures 111344.4 Developed Practices 111844.5 Conclusion 1131

45. Victim Participation Revisited—What the ICC is Learning about Itself 1133Sergey Vasiliev45.1 Introduction 113345.2 Challenges of Victim Participation at the ICC: A B ird’s-Eye View 113845.3 Im plementation of Victim Participation: Problems and Solutions 114645.4 Victim Participation as Governance M atter 118745.5 Conclusion 1200

46. The Rome Statute’s Regime of Victim Redress: Challengesand Prospects 1203Conor McCarthy46.1 Introduction 120346.2 Overview of Rome Statute’s Regime of Victim Redress 120446.3 The Character of the Rome Statute’s Reparations Regime 120746.4 The Failure of Victim Redress at the National Level:

Reparations and Com plementarity 121146.5 Early Trends: Towards a More Flexible System of Victim Redress? 121646.6 Conclusion 1220

V I. I M P A C T , ‘L E G A C Y ’, A N D L E S S O N S L E A R N E D

47. The Deterrent Effect of the ICC on the Commissionof International Crimes by Government Leaders 1225Nick Grono and Anna de Courcy Wheeler47.1 Introduction 122547.2 The Effect of Prosecutions on Political Calculations 122647.3 The W ider Context, Public Policymaking 123647.4 Conclusions 1243

48. The ICC and Capacity Building at the National Level 1245 Olympia Bekou48.1 Introduction 124548.2 Com plementarity and the Challenges of National Capacity 124648.3 Challenges to Domestic Capacity 124948.4 Positive Complementarity: A Suitable Basis for Capacity Building? 1252

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48.5 T h e‘How To’ of Capacity Building 125448.6 Concluding Remarks 1257

49. Completion, Legacy, and Complementarity at the ICC 1259 Elizabeth Evenson and Alison Smith49.1 Introduction 125949.2 Adapting the Concept o f ‘Completion’ to the ICC 126349.3 Lessons Learned for Capacity Building, Outreach,

and Archive Management 126949.4 A Role for the Court and the ASP 127349.5 Conclusion 1275

50. A Look towards the Future—The ICC and ‘Lessons Learnt’ 1277 Philipp Ambach50.1 Introduction 127750.2 Operational Challenges of the ICC 127850.3 The ICC’s ‘Lessons Learnt’ Initiative to Increase the Efficiency

of its Crim inal Process 128450.4 Conclusion 1293

Name Index Subject Index

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