MMaannuuaall oonn IInntteerrnnaattiioonnaall CCrriimmiinnaall DDeeffeennccee AADDCC--IICCTTYY DDeevveellooppeedd PPrraaccttiicceess WWiitthhiinn tthhee ffrraammeewwoorrkk ooff tthhee WWaarr CCrriimmeess JJuussttiiccee PPrroojjeecctt Project funded by the European Union Manual on International Criminal Defence ADC-ICTY Developed Practices Prepared within the War Crimes Justice Project This publication has been produced with the assistance of the European Union. The views and opinions expressed in this volume are solely those of the authors and do not necessarily represent those of the United Nations Interregional Crime and Justice Research Institute (UNICRI), the OSCE Office for Democratic Institutions and Human Rights or the organizations with which the authors are affiliated and can in no way be taken to reflect the views of the European Union. The designations employed and the presentation of the material in this publication do not imply the expression of any opinion whatsoever on the part of UNICRI, ADC-ICTY and ODIHR OSCE concerning the legal status of any country, territory, city or area or of its authorities, or concerning the delimitation of its frontiers or boundaries. Contents of this publication may be quoted or reproduced, provided that the source of information is acknowledged. UNICRI, ADC-ICTY, ODIHR OSCE would appreciate receiving a copy of any publication that uses this publication as a source. Copyright©2011 UNICRI, ADC-ICTY, ODIHR OSCE UNICRI Publisher Table of Contents Foreword.......................................................................................................................................1 Introduction....................................................................................................................................3 Methodology...................................................................................................................................5 I. Burden of Proof and Presumption of Innocence.....................................................................................9 A. The Presumption of Innocence and Burden of Proof............................................................................................9 B. Reasonable Doubt as Defined in the ICTY Decisional Law.....................................................................................10 C. Requirements Necessary for a Finding of Guilt Beyond a Reasonable Doubt.............................................................11 D. The Analytic Process Required from the Trial Chamber ......................................................................................13 E. Predicate Facts and Circumstantial Evidence...................................................................................................15 F. The Principle of In Dubio Pro Reo..................................................................................................................15 G. Motions for Judgement of Acquittal pursuant to Rule 98 bis of the ICTY RPE............................................................17 H. Affirmative Defence Evidence and the Reasonable Doubt Standard........................................................................17 II. Affirmative Defences in International Criminal Trials.............................................................................21 A. To Present a Defence or Not to Present a Defence.............................................................................................21 B. The Principle of Nullum Crimen Sine Lege ......................................................................................................23 C. Affirmative Defences ................................................................................................................................24 C.1 Alibi.................................................................................................................................................26 C.2 “Special Defences”...............................................................................................................................26 C.2.1 Insanity/Diminished Responsibility......................................................................................................27 C.2.2 Intoxication .................................................................................................................................28 C.3 Duress...............................................................................................................................................28 C.4 Necessity...........................................................................................................................................30 C.5 Superior Orders....................................................................................................................................31 C.6 Self-Defence.......................................................................................................................................33 C.7 Mistake of Fact/Mistake of Law.................................................................................................................33 III. Developing a Case Theory and a Defence Strategy...............................................................................35 A. Theory of the Prosecution Case....................................................................................................................36 B. Theory of the Defence Case.........................................................................................................................37 C. The Importance of Continual Communication with the Accused............................................................................38 D. Building up the Defence Strategy..................................................................................................................39 D.1 Establishing the Defence Team.................................................................................................................39 D.2 Filing of Preliminary and Other Motions.......................................................................................................40 D.2.1 Motions Challenging Jurisdiction.........................................................................................................40 D.2.2 Motions Alleging Defects in the Indictment............................................................................................41 D.2.3 Severance of Trials.........................................................................................................................42 D.2.4 Other Requests.............................................................................................................................43 D.2.4.1 Requests for Access to Confidential Material from Other Cases............................................................43 D.2.4.2 Requests to Issue Binding Orders to States, International Organizations or Bodies.....................................44 D.2.4.3 Provisional Release of the Accused..............................................................................................44 D.3 Analysis of the Evidence Related to the Indictment and Other Evidence Provided by the Prosecution.............................45 D.4 Notifying the Prosecution About a Special Defence .........................................................................................48 D.5 Formulating the Investigation Plan and Method..............................................................................................48 IV. Defence Investigations.................................................................................................................51 A. Identifying and Hiring Investigators...............................................................................................................52 B. Creating an Investigative Plan......................................................................................................................53 C. Considerations Regarding Use of Resources.....................................................................................................54 D. Interviewing Witnesses and Obtaining Statements.............................................................................................55 D.1 Interview Plan.....................................................................................................................................55 D.2 Place of Interview................................................................................................................................56 D.3 Interview Process.................................................................................................................................56 D.4 Interviewing Technique ..........................................................................................................................57 D.5 Interview of Prosecution Witnesses............................................................................................................57 E. Identifying and Working with Expert Witnesses ................................................................................................58 F. Prosecution Disclosure...............................................................................................................................59 G. Obtaining Archival and Other Documents........................................................................................................60 V. Structuring a Legal Argument..........................................................................................................63 A. Research and Preparation...........................................................................................................................64 B. Introducing the Argument to the Chamber.......................................................................................................65 C. Stating the Facts.......................................................................................................................................65 D. Applying the Law to the Facts: IRAC...............................................................................................................66 D.1 Issue.................................................................................................................................................66 D.2 Rule.................................................................................................................................................67 D.3 Analysis.............................................................................................................................................68 D.4 Conclusion..........................................................................................................................................68 E. Written Submissions..................................................................................................................................68 E.1 Motions..............................................................................................................................................69 E.2 Responses and Replies............................................................................................................................70 E.3 Final Briefs.........................................................................................................................................70 F. Oral Arguments.........................................................................................................................................71 F.1 Oral Submissions during Trial....................................................................................................................72 F.2 Opening Statements ..............................................................................................................................72 F.3 Closing Arguments.................................................................................................................................72 VI. Evidentiary Issues at Trial.............................................................................................................75 A. General Principles on the Admission of Evidence..............................................................................................76 A.1 Relevance, Probative Value and Reliability...................................................................................................76 A.2 Hearsay Evidence.................................................................................................................................78 A.3 Evaluation of Evidence...........................................................................................................................80 B. Specific Categories of Evidence....................................................................................................................80 B.1 Written Statements and Transcripts in lieu of Oral Testimony.............................................................................80 B.2 Written Statements and Transcripts in lieu of Examination in Chief......................................................................83 B.3 Evidence of Unavailable Witnesses.............................................................................................................84 B.4 Statements of the Accused......................................................................................................................86 B.5 Intercept Evidence................................................................................................................................88 B.6 Evidence Tendered from the Bar Table........................................................................................................89 B.7 Other Documentary Evidence...................................................................................................................89 C. Strategic Considerations on Tendering and Challenging Evidence..........................................................................90 C.1 The Use of “Fresh evidence” by the Prosecution during the Defence Case.............................................................92 C.2 Rebuttal, Rejoinder and Re-opening...........................................................................................................94 C.2.1 Rebuttal......................................................................................................................................94 C.2.2 Rejoinder....................................................................................................................................95 C.2.3 Re-opening of the Case....................................................................................................................95 C.3 Judicial Notice of Adjudicated Facts...........................................................................................................96 VII. Witnesses................................................................................................................................99 A. Video-link Testimony................................................................................................................................100 B. Witness “Proofing”..................................................................................................................................101 C. Expert Witnesses.....................................................................................................................................103 D. Protected Witnesses................................................................................................................................108 E. Rule 70 Witnesses ...................................................................................................................................110 F. The Accused...........................................................................................................................................114 G. Suspects or Witnesses whose Testimony may be Self-Incriminating......................................................................115 H. Witnesses who are Impaired due to Age or Health...........................................................................................116 VIII. Direct, Cross-Examination and Re-Examination................................................................................119 A. Examination-in-Chief...............................................................................................................................119 A.1 General Rule against Leading Questions.....................................................................................................120 A.2 Leading Questions on Non-Contentious Issues..............................................................................................121 A.3 Letting the Witness Tell the Story.............................................................................................................121 A.4 The Framing of Questions......................................................................................................................121 A.5 No Comments on a Witness’ Testimony......................................................................................................122 B. Cross-Examination...................................................................................................................................122 B.1 Scope of Cross-Examination ...................................................................................................................123 B.2 Time Limits.......................................................................................................................................123 B.3 Leading Questions...............................................................................................................................123 B.4 Putting the Case.................................................................................................................................123 B.5 Discretion to Permit Enquiry into Additional Matters......................................................................................124 C. Common Objections to Questioning.............................................................................................................124 C.1 The Timing of Objections: Practical Considerations.......................................................................................124 C.2 Common Objections ............................................................................................................................124 D. The Use of Documentary Evidence during Examination and Cross-Examination of a Witness.......................................125 E. The Use of Prior Witness Statements during the Examination and Cross-Examination of Witnesses...............................126 E.1 Rule 92 bis .......................................................................................................................................126 E.2 Rule 92 ter........................................................................................................................................129 E.3 Rule 92 quater....................................................................................................................................131 E.4 Prior Consistent Statements....................................................................................................................131 E.5 Refreshing a Witness’ Memory.................................................................................................................132 E.6 Impeachment.....................................................................................................................................132 E.7 Hostile Witnesses................................................................................................................................133 F. Re-Examination.......................................................................................................................................134 Annex 1: Argument by the Prosecutor to Apply to Treat a Witness as Hostile.................................................136 Annex 2: Examples of Leading Questions............................................................................................138 IX. Plea Agreements.......................................................................................................................139 A. Purposes of Plea Agreement.......................................................................................................................139 B. The Law of the ICTY on Plea Agreements.......................................................................................................140 C. Written Plea Agreement............................................................................................................................142 D. Mitigating Circumstances and Guilty Pleas.....................................................................................................145 D.1 Admission of Guilt...............................................................................................................................145 D.2 Expression of Remorse..........................................................................................................................145 D.3 Conduct Posterior to the Crimes..............................................................................................................146 D.4 Cooperation with the Prosecution............................................................................................................146 E. Considerations in Determining Whether, How, and When to Negotiate a Plea Agreement...........................................146 F. Plea Agreement in Traditionally Inquisitorial Systems........................................................................................150 Annex 3: Obrenović Plea Agreement.................................................................................................152 X. Sentencing...............................................................................................................................163 A. The Sentencing Legal Framework................................................................................................................164 B. Sentencing Objectives..............................................................................................................................164 B.1 Deterrence........................................................................................................................................165 B.2 Rehabilitation....................................................................................................................................166 B.3 Retribution........................................................................................................................................166 C. Factors taken into Consideration in the Sentencing Process...............................................................................166 C.1 Gravity of the Offence..........................................................................................................................166 C.2 Consideration of Sentencing Practices in the Former Yugoslavia........................................................................167 C.3 Credit for Time Served..........................................................................................................................167 D. Aggravating Circumstances and Mitigating Circumstances..................................................................................167 D.1 Aggravating Circumstances.....................................................................................................................168 D.2 Circumstances Deemed Not to be Aggravating..............................................................................................170 D.3 Prohibition Against Double Use of the Same Factor as an Aggravating Circumstance................................................170 D.4 Mitigating Circumstances.......................................................................................................................170 E. Guilty Plea as a Basis for Conviction and Sentence...........................................................................................172 E.1 Effect of Plea Agreement on Sentence.......................................................................................................172 F. The Importance of Individualized Sentencing and Comparison to Other Cases.........................................................173 G. Sentencing where there are Cumulative Convictions........................................................................................173 XI. Appeals..................................................................................................................................175 A. Filing a Notice of Appeal...........................................................................................................................175 A.1 Amending the Notice of Appeal...............................................................................................................177 B. Contents and Requirements of the Appellate Briefs..........................................................................................179 B.1 The Appellant’s Brief............................................................................................................................179 B.2 Respondent’s Brief and Reply Brief...........................................................................................................182 B.3 Strategic Considerations for Appellate Briefs...............................................................................................182 C. Standards of Review on Appeal ..................................................................................................................184 C.1 Standard Applicable to Errors of Law.........................................................................................................184 C.2 Standard Applicable to Errors of Fact........................................................................................................185 D. Interlocutory Appeals...............................................................................................................................186 E. New Evidence on Appeal...........................................................................................................................189 F. Appeals Hearing......................................................................................................................................190 F.1 Strategic Considerations for Oral Argument.................................................................................................190 XII. Post-Conviction........................................................................................................................193 A. Place of Incarceration..............................................................................................................................193 A.1 Input of the Convicted Person on the State of Incarceration ............................................................................195 B. Practice Directions for Early Release............................................................................................................195 C. Early Release in Practice...........................................................................................................................197 D. Difficulties in Obtaining Early Release Based on the Domestic System...................................................................198 E. Concerns over Prison Conditions and Legal Aid...............................................................................................199 F. Post-Conviction Review.............................................................................................................................199 XIII. The Association of Defence Counsel Practising Before the ICTY (“ADC-ICTY”)..........................................203 A. The ADC-ICTY.........................................................................................................................................204 A.1 Objectives of the ADC-ICTY....................................................................................................................205 A.2 Membership.......................................................................................................................................205 A.3 Qualifications of Defence Counsel............................................................................................................206 A.4 Disciplinary Council.............................................................................................................................207 A.5 Rules Committee.................................................................................................................................208 A.6 Amicus Curiae Committee......................................................................................................................208 A.7 Ad Hoc Committees.............................................................................................................................208 A.8 Training ...........................................................................................................................................209 A.9 Representation and Outreach..................................................................................................................209 B. Setting Up a Defence Team........................................................................................................................210 C. Defence Counsel and OLAD........................................................................................................................211 C.1 Legal Aid..........................................................................................................................................211 C.2 Decision on Indigency...........................................................................................................................212 C.3 Choice of Defence Counsel.....................................................................................................................213 C.4 Withdrawal of Counsel..........................................................................................................................214 D. Functional Immunity................................................................................................................................215 XIV. Defence Support Institutions......................................................................................................219 A. The National Judiciaries of the Former Yugoslavia: Overview ............................................................................220 A.1 The Legislative Reforms in the Region .......................................................................................................221 B. Establishment of OKO and Transition............................................................................................................222 B.1 Legal Advice......................................................................................................................................223 B.2 Access to Evidence from State Bodies and Defence Support Institutions...............................................................225 B.3 Providing Training to Defence Counsel.......................................................................................................225 B.4 Other Activities of Defence Support Offices.................................................................................................227 B.5 Defence Support Institutions and Legal Aid.................................................................................................227 B.6 Privilege and Independent Position...........................................................................................................228 List of Acronyms..........................................................................................................................231 Foreword This Manual was collaboratively prepared by the United Nations Interregional Crime and Justice Research Institute (UNICRI) and the Association of Defence Counsel Practising Before the International Criminal Tribunal for the former Yugoslavia (ADC-ICTY), within the framework of the War Crimes Justice Project, funded by the European Union and implemented by UNICRI in cooperation with the Organization for Security and Co-operation in Europe, Office for Democratic Institutions and Human Rights (OSCE/ODIHR) and the International Criminal Tribunal for the former Yugoslavia (ICTY). The UNICRI team was composed of members of its Security Governance/Counter Terrorism Laboratory, including: Massimiliano Montanari (Programme Manager); Judge Robert Bellelli (Scientific Advisor); Alma Pintol (Project Officer); Francesco Miorin and Alexandre Skander Galand (Analysts); and Masha Burina (Internship programme). The Manual was drafted by members and associates of the ADC-ICTY including Colleen Rohan (focal point for the ADC-ICTY/UNICRI Manual project and chapter author); Gregor Guy-Smith; Slobodan Zečević; Tatjana Savić; Edina Rešidović; Eugene O’Sullivan; Anya Marinkovich; Deirdre Montgomery; Gillian Higgins; Cindy Nesbit; Dominic Kennedy; Alex Paredes-Penades; Asa Solway (chapter authors); and Nina Kisić of Criminal Defence Section of the Sector for Judicial Bodies of the BiH Ministry of Justice (chapter author). Invaluable additional support in the production of the Manual was provided by tireless interns working with the ADC- ICTY, in particular for the preparation of the DVD which accompanies this Manual, including: Isabel Düsterhöft, Lisa Scott, Ece Aygün, Jasna Sajkov, Jovana Paredes, Taylor Olson, and Matt Odgers. In addition to the above, Defence counsel Zlatko Knežević, Vasvija Vidović and Petko Budiša contributed to the Manual by providing feedback on its methodology and contents. One of the ultimate purposes of this Manual is to contribute to the creation of a vibrant community of criminal Defence practitioners, regardless of their disparate cultural and legal backgrounds, who are willing and able to share their skills, knowledge and experiences. The practice of international criminal defence is a challenging and dynamic one. A strong Defence community will be, by definition, a community able to function as a resource for its members both in improving the representation of individual accused and in providing valuable contributions to the continuing development of fair and balanced substantive and procedural jurisprudence which recognizes and protects the rights of victims, the international community and the accused. Slobodan Zečević Jonathan Lucas President, ADC-ICTY Director, UNICRI 1