Victim participation before the international criminal court [Elektronische Ressource] / vorgelegt von Maren Burkhardt

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VICTIM PARTICIPATION BEFORE THE INTERNATIONAL CRIMINAL COURT Dissertation zur Erlangung des akademischen Grades doctor iuris der Juristischen Fakultät der Humboldt Universität zu Berlin vorgelegt von Rechtsanwältin Maren Burkhardt Erstgutachter: Prof. Dr. Gerhard Werle Zweitgutachter: Prof. Dr. Florian Jeßberger eingereicht im Februar 2009 Tag der Disputation: 13. Januar 2010 I Acknowledgements During the past years more people have helped me in the process of writing this dissertation thesis than it is possible to give particular mention here. Therefore, I will keep it simple. Above all, I wish to thank my friends and my family for encouraging and helping me throughout this process. I would also like to express my gratitude to my supervisor, Gerhard Werle. Finally I would like to acknowledge the financial support of the Hamburger Institut für Sozialforschung which enabled me to write this thesis. II Table of Contents Acknowledgements .............................................................................................. I CHAPTER 1 - Foundations .......................................... 1 A. Introduction ............................... 1 B. Aims, Methodology and Structure of the Study........ 3 C. Sources of Law .......................................................................................... 5 D. Interpretation of legal sources ...................................

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VICTIM PARTICIPATION BEFORE
THE
INTERNATIONAL CRIMINAL COURT


Dissertation
zur Erlangung des akademischen Grades
doctor iuris
der Juristischen Fakultät
der Humboldt Universität zu Berlin
vorgelegt von Rechtsanwältin Maren Burkhardt

Erstgutachter: Prof. Dr. Gerhard Werle
Zweitgutachter: Prof. Dr. Florian Jeßberger

eingereicht im Februar 2009
Tag der Disputation: 13. Januar 2010




I

Acknowledgements

During the past years more people have helped me in the process of writing this
dissertation thesis than it is possible to give particular mention here. Therefore, I will
keep it simple.
Above all, I wish to thank my friends and my family for encouraging and helping me
throughout this process.

I would also like to express my gratitude to my supervisor, Gerhard Werle.

Finally I would like to acknowledge the financial support of the Hamburger Institut für
Sozialforschung which enabled me to write this thesis.


II

Table of Contents
Acknowledgements .............................................................................................. I
CHAPTER 1 - Foundations .......................................... 1
A. Introduction ............................... 1
B. Aims, Methodology and Structure of the Study........ 3
C. Sources of Law .......................................................................................... 5
D. Interpretation of legal sources ................................... 8
CHAPTER 2 - The legal situation for victims in international criminal
law prior to the establishment of the ICC .................................................. 11
A. Victims´ participation before the International Military Tribunals at
Nürnberg and for the Far East ................................................................. 11
B. Victims´ participation before the International Criminal Tribunal for
the former Yugoslavia, before the International Criminal Tribunal for
Rwanda and before the Special Court for Sierra Leone .......................... 12
I. Introduction ................................................................................. 12
II. The notion of “victim” ................................................................ 15
III. Participation ................ 18
IV. Conclusion ................................................................................... 24
C. Victims’ participation before the Extraordinary Chambers of the Court
of Cambodia ............................ 28
CHAPTER 3 - Victim participation under the Rome Statute ................. 31
A. Introduction ............................................................................................. 31
B. Aim and Purpose of victim participation ................ 32
I. Purposes of punishment before the ICC ............................................. 32
1. Retribution .............................................. 33
2. Deterrence ............... 35
3. Stigmatization ......................................... 36
4. Incapacitation/neutralization .................. 37
5. Rehabilitation ......................................... 37
6. Norm stabilization/restoration of the rule of law ................... 38
7. Reconciliation ......................................... 40
8. Truth-finding/Acknowledgment ............. 43
9. Victim-related purpose of punishment ... 45
10. Conclusion .............................................................................. 52
II. Object and purpose of victim participation before the ICC ........ 53
III

1. Aims in national contexts ................................................................... 53
2. Giving a voice to victims ... 56
3. Retribution ......................................................... 59
4. Norm stabilization/restoration of the rule of law ............................... 60
5. Reconciliation ..................................................... 61
6. Truth 62
7. Rehabilitation of the victim ................................................................. 65
8. Confrontation ...................................................... 68
9. Link to reparation ................................................ 68
10. Conclusion ........................ 69
III. Victims’ wishes and needs .......................... 70
IV. Conclusion ................................................................................... 78
C. The notion of “victim” ............ 78
I. Development of the term since the establishment of the ICTs ........... 80
II. Scope of the definition ................................................................ 83
III. Possible terminological alternatives ............ 85
IV. Natural persons ............................................................................ 90
V. Harm ............................................................................................ 93
VI. Direct-indirect ............. 99
VII. Family members ........................................................................ 102
VIII. Commission of any crime within the Jurisdiction of the
Court .......................................................................................... 105
IX. Causal link (“as a result of”) ..................... 111
X. Individual – collective ............................... 114
XI. Conclusion ................................................................................. 117
D. Conclusion ............................ 117
CHAPTER 4 - The ICC’s provisions on participation .......................... 118
A. Introduction ........................................................................................... 118
B. Participation in the preliminary examination stage ............................... 118
I. Outreach as a precondition for participation...................................... 118
II. Initiation of the proceedings ...................................................... 122
1. Situation Referral by the SC or States .............. 123
2. Propriu motu investigations .............................. 130
3. Conclusion ........................................................................................ 136
III. Participation in the investigations according to Art. 68(3) ....... 138
1. Applicability of Art. 68(3) ................................ 138
IV

2. The Conditions for the granting of victim status .............................. 153
3. The modalities of participation ......................................................... 155
IV. Conclusion ................................................. 156
C. Pre-trial .................................................................. 157
I. The pre-trial procedure ...................................... 157
II. Participation according to Art. 19 ............................................. 158
III. Participation in Status Conferences ........... 162
IV. Participation in the confirmation hearings according to
Art. 61 ........................................................................................ 163
V. Participation according to Art. 68 ............. 165
1. Who may participate ......................................................................... 167
2. Conditions accorded to participation ................ 169
3. Modalities and extent of participation according to Art. 68 ............. 170
VI. Participation in proceedings according to Art. 18 ..................... 175
VII. Conclusion ................................................................................. 176
D. Trial ................................... 176
I. Who can participate? ........ 177
II. Application ................................................................................ 182
1. The application .................. 183
2. When to apply, time limits ................................................................ 187
3. Onus of proof .................................................... 191
III. Legal representation .. 196
1. The choice of the legal representative ............................................... 196
2. The common legal representative ..................... 198
3. Financing of the legal representative ................ 205
4. Conclusion ........................................................................................ 209
IV. Rejection of the application for participation ............................ 209
V. Modalities and extent of participation ....................................... 211
1. Right to attend ................................................... 212
2. Statements ......................................................... 214
3. Observations ...................... 217
4. Submissions ................................ 219
5. Ask questions to witnesses/experts/accused ..................................... 222
6. Right to submit evidence ................................... 225
7. Right to consult the records .............................. 230
8. Other possible rights ......................................... 233
9. Participation without legal representation ......... 234
V

10. Not prejudicial to or inconsistent with the rights of the accused and a fair and
impartial trial ........................................................................ 235
VI. Binding effect of views and concerns ....... 243
VII. Plea-bargaining .......... 243
VIII. Notification ................................................................................ 246
IX. Distinguishing between victims and witnesses ......................... 249
X. Participation in the sentencing proceedings .............................. 256
XI. Participation in the Reparations Procedure ............................... 258
E. Appeal ................................................................................................... 262
F. Revision of conviction .......... 265
G. Sentence reduction hearing ... 266
H. Release hearings .................................................................................... 267
I. Conclusion ............................ 267
CHAPTER 5 - ICC Sections that support victims .................................. 273
A. The Victims Participation and Reparations Section.............................. 273
B. The Victims and Witnesses Unit ........................................................... 274
C. The Office of Public Counsel for Victims ............................................ 279
D. The ICC field offices ............................................. 280
E. Conclusion ............................................................................................ 281
CHAPTER 6 - External-Factors limiting victim participation ............. 282
A. The ICC’s reach .................................................................................... 282
B. The ICC’s reputation ............. 284
C. Conclusion ............................ 286
CHAPTER 7 - Alternatives ...................................................................... 287
A. The Trust Fund ...................................................................................... 288
B. Truth Commissions ............... 289
I. Aims and purposes of Truth Commissions ........................................ 290
II. Truth Commissions and their relationship to the ICC ............... 293
III. Experiences with Truth Commissions....... 300
IV. Conclusion ................................................................................. 304
C. “Grassroot Courts” ................ 305
D. Conclusion ............................................................................................ 306
CHAPTER 8 - Conclusion ........................................ 308
BIBLIOGRAPHY ........................... 312
APPENDIX ...................................................................... 341
VI



1

CHAPTER 1 - Foundations
A. Introduction
Through the adoption of the Statute of the International Criminal Court (ICC) on 17 July
11998 in Rome the first ever permanent, treaty based, international criminal court was
created. The Rome Statute (“Statute”) then entered into force on 1 July 2002. This
creation marks a striking development in international criminal law.
The international community had already explored the possibility of establishing a
2permanent international criminal court in the aftermath of the World War II trials.
However, for decades thereafter no permanent international criminal tribunal was in fact
3established.
The Rome Statute has been praised for many of its features, including the fact that it takes
4victims’ rights into account to an extent which was unprecedented up to that point. Some

1 See UN Doc. A/CONF.183/9; http://documents-dds-
ny.un.org/doc/UNDOC/GEN/N98/281/44/img/N9828144.pdf?OpenElement.
2 The idea had indeed already been discussed shortly after end of World War I when the Allied Powers
sought to prosecute Kaiser Wilhelm II and members of the German armed forces before a special
tribunal, see Harrington, J., Milde, Michael and R. Vernon, (2006). Introduction. Bringing power to
justice? : the prospects of the International Criminal Court. J. Harrington. Montréal, McGill-Queen’s
University press: pp. 1 et seq. At page 3.
3 On these and other efforts to create a permanent court see e.g. Morris, V. and M. P. Scharf (1998). The
International Criminal Tribunal for Rwanda. Irvington on Hudson, Transnational Publishers. At pages
17-37; Ferencz, B. (1980). An International Criminal Court. A Step Toward World Peace - A
Documentary History and Analysis. New York, Dobbs Ferry. Pp 26 et seq; Cassese, A. (2003).
International Criminal Law. Oxford, Oxford University Press. at page 327; see also Bassiouni, C.,
(1995). Das „Vermächtnis von Nürnberg“: eine historische Bewertung fünzig Jahre danach.
Strafgerichte gegen Menschheitsverbrechen: zum Völkerstrafrecht 50 Jahre nach den Nürnberger
Prozessen. Hankel, G. and G. Stuby. Hamburg, Hamburg Edition. At pages 15 et seq.
4 See for instance Fernández de Gurmendi, S. A. (2001). Definition of Victims and General Principles.
The International Criminal Court, Elements of Crimes and Rules of Procedure and Evidence. R. S. Lee.
Ardsley, New York, Transnational Publishers Inc.: 427-434. At page 427; Lagodny, O. (2001).
"Legitimation und Bedeutung des Internationalen Strafgerichtshofes." Zeitschrift für die gesamte
Strafrechtswissenschaft 113(4): 800-826. At page 814; van Boven, T. (1999). The Position of the
Victims in the Statute of the International Criminal Court. Reflections on the International Criminal
Court, Essays in Honour of Adrian Boos. H. von Hebel, J. G. Lammers and J. Schukking. The Hague,
TMS Asser Press: 77-89. At page 77; Jones, J. R. W. D. (2002). Protection of Victims and Witnesses.
2

refer to the Rome Statute as a “milestone in the development of victim protection and
5 6participation“ , the Statute has also been termed “victim-centered” and to be a major
7innovation.
The Rome Statute thus picks up on a trend that has emerged in national law and politics
over a longer period, that is, a shift of paradigm focus of criminal law on the accused to a
8focus on victims. The rights of victims in criminal proceedings have developed all over
the world in the last decades, numerous national jurisdictions provide for victim
9participation in domestic criminal proceedings, albeit to varying degrees.

The Rome Statute of the International Criminal Court, A Commentary. A. Cassese, P. Gaeta and J. R. W.
D. Jones. Oxford, Oxford University Press. 2: 1355-1370. At page 1357; Brady, H. (2001). Protective
and Special Measures for Victims and Witnesses. The International Criminal Court, Elements of Crimes
and Rules of Procedure and Evidence. R. S. Lee. Ardsley, New York, Transnational Publishers: 434-456.
At page 434; Bassiouni, M. C. (2006). "International Recognition of Victims' Rights." Human Rights
Law Review 6(2): 203-279. At page 230; Bitti, G. and G. González Rivas (2006). The Reparations
Provisions for Victims Under the Rome Statute of the International Criminal Court. Redressing Injustice
through Mass Claims Processes: Innovative Solutions to Unique Challenges. Oxford: 299-322. At page
299; Cassese, A. (1999). "The Statute of the International Criminal Court: Some Preliminary
Reflections." European Journal of Crime, Criminal Law and Criminal Justice(10): 144-171. At page
167; Roggemann, H. (1998). Die Internationalen Strafgerichtshöfe, Ergänzungsband: Das Statut von
Rom für den Ständigen Internationalen Strafgerichtshof. Berlin, Berlin Verlag. At page 21 refering to
Art. 75; Pejic, J. (2000). "The International Criminal Court Statute: An Appraisal of the Rome Statute."
The International Lawyer 34(1): 65-84. At page 79.
5 See for instance Jorda, C. and J. de Hemptienne (2002). The Status and Role of the Victim. The Rome
Statute of the International Criminal Court, A Commentary. A. Cassese, P. Gaeta and J. R. W. D. Jones.
Oxford, Oxford University Press. 2: 1387-1419. At page 1388; Bassiouni, M. C. (2005). The
Legislative History of the International Criminal Court: Introduction, Analsysis and Integrated Texts.
Ardsley, New York, Transnational Publishers. At page 177; Piragoff, D. K. (2001). Procedural Justice
Related to Crimes of Sexual Violence. International and National Prosecution of Crimes Under
International Law. H. Fischer, C. Kreß and S. R. Lüder. Berlin, Berlin Verlag: 385-421. At page 385.
6 See Bassiouni, M. C. (1999). International Criminal Law, Vol.1: Crimes. Ardsley.At page 528; Stehle, S.
(2006). Das Strafverfahren als immaterielle Wiedergutmachung. Frankfurt am Main. At page 35.
7 See Victims Rights Working Group, Victim participation at the International Criminal Court: Summary
of issues and recommendations 1 (2003); similarly see Di Giovanni, A. (2006). “The Prospect of ICC
Reparations in the case concerning Norther Uganda: On a collision course with Incoherence?” Journal
of International Law and International Religion 2(2):25-40.At page 26.
8 See Hassemer, W. and J. P. Reemtsma (2002). Verbrechensopfer. Gesetz und Gerechtigkeit. München,
C.H. Beck. At page 13; similarly for the international context Schabas, W. A . (2004). An Introduction
to the International Criminal Court. Cambridge, Cambridge University Press. Pp 146 et seq.
9 See Jorda, C. and J. de Hemptienne (2002). The Status and Role of the Victim. The Rome Statute of the
International Criminal Court, A Commentary. A. Cassese, P. Gaeta and J. R. W. D. Jones. Oxford,
Oxford University Press. 2: 1387-1419. pp 1401 et seq.; for a comparative overview of victims’ rights in
European Criminal Systems see Brienen, M. E. I. and E. Hoegen (2000). Systems the implementation