Statutory interpretation

Notion(s) Filing Case
Decision on Appeals of Further Decision on Félicien Kabuga's Fitness to Stand Trial - 07.08.2023 KABUGA Félicien
(MICT-13-38-AR80.3)

58. [T]he Appeals Chamber recalls that, in principle, trial chambers enjoy considerable discretion in relation to the management of proceedings before them.[1] Such discretion is exercised in a plethora of circumstances, for instance, in relation to the joinder of cases, the scheduling of trials, the admission and evaluation of evidence, in deciding points of practice and procedure, including in assignment of counsel, in determining whether an accused should be granted provisional release, and in imposing a sentence.[2] The unprecedented nature of a procedure, which is neither expressly allowed for nor specifically prohibited in the Statute or the Rules, does not per se indicate that such procedure falls outside a trial chamber’s discretionary power.[3]

59. In the present case, relying on its discretion to manage the proceedings before it, the Trial Chamber decided to adopt “an alternative finding procedure that resembles a trial as closely as possible”.[4] The Trial Chamber explained that, in the course of this procedure: (i) Kabuga’s attendance would be unnecessary due to his lack of fitness to participate effectively in the trial coupled with the fact that the procedure will not result in a conviction;[5] and (ii) the Prosecution would retain the burden to prove beyond reasonable doubt both the actus reus and mens rea elements of each charge against Kabuga.[6] The Appeals Chamber considers that, although seemingly procedural in nature, the essential elements of the “alternative finding procedure”, as defined by the Trial Chamber, impact Kabuga’s substantive rights “in the sense of there being a legitimate expectation to be tried in a certain way in order to achieve the fundamental objective of a fair trial”.[7] The Appeals Chamber therefore considers that whether the Trial Chamber is vested with discretion to conduct such an “alternative finding procedure” in lieu of a trial is ultimately a question of statutory interpretation.[8]

60. The Appeals Chamber recalls that the Statute is to be interpreted in good faith in accordance with the ordinary meaning to be given to the terms in their context and in light of its object and purpose.[9] Turning first to the terms of the Statute […].

61. The Appeals Chamber considers that a proper construction of the Statute, in accordance with the ordinary meaning to be given to the terms in their context, provides for the conduct of trials, without the possibility of conducting procedures that merely resemble trials in lieu of such trials.[10] This interpretation is also consistent with the object and purpose of the Statute as envisaged in United Nations Security Council Resolution 1966, in which the United Nations Security Council reaffirmed the need for the establishment of the Mechanism to carry out a number of essential functions of the ICTR, including “the trial of fugitives who are among the most senior leaders suspected of being most responsible for crimes”.[11]

62. The Appeals Chamber further recalls that the Statute and the Rules of the Mechanism reflect normative continuity with the statutes and rules of procedure and evidence of the ICTR and the ICTY.[12] In establishing the ICTR and adopting its statute, the United Nations Security Council appears to have intended to give the ICTR jurisdiction to prosecute persons responsible for serious violation of international humanitarian law through the conduct of trials.[13] […]

63. The Appeals Chamber echoes the Trial Chamber’s emphasis on the purpose for which the ICTR was established, which includes contributing to the process of national reconciliation in Rwanda and to the restoration and maintenance of peace.[14] Indeed, the United Nations Security Council unequivocally expressed its conviction in this regard when adopting the Statute of the ICTR (“ICTR Statute”), which is also reflected in the statements of various delegates at the meeting, who supported the establishment of the ad hoc tribunal as an instrument of national reconciliation.[15] Notwithstanding, a holistic reading of the relevant United Nations Security Council resolutions concerning the establishment of the ICTR and the Mechanism reflects that the framers intended to effect these goals through combating impunity by way of creating tribunals that would investigate, prosecute, and conduct proceedings, for the “sole purpose” of holding individuals criminally accountable for serious violations of international humanitarian law.[16] It is pertinent to recall in this regard that the fundamental mandate of the Mechanism to prosecute persons responsible for serious violations of international humanitarian law cannot be achieved if the accused and the Prosecution do not have the assurance of certainty and predictability in the application of the applicable law.[17]

[1] See, e.g., Stanišić and Simatović Appeal Judgement, para. 295; Prosecutor v. Ratko Mladić, Case No. MICT-13-56-A, Judgement, 8 June 2021 (public redacted) (“Mladić Appeal Judgement”), para. 107; Prosecutor v. Radovan Karadžić, Case No. MICT-13-55-A, Judgement, 20 March 2019 (public redacted) (“Karadžić Appeal Judgement”), para. 72.

[2] See, e.g., Stanišić and Simatović Appeal Judgement, paras. 288, 320; Prosecutor v. Félicien Kabuga, Case No. MICT-13-38-AR80.2, Decision on an Appeal of a Decision on Félicien Kabuga’s Representation, 4 November 2022, para. 16; Mladić Appeal Judgement, paras. 84, 539; Karadžić Appeal Judgement, para. 198; Prosecutor v. Nikola Šainović et al., Case No. IT-05-87-A, Judgement, 23 January 2014, para. 29; Prosecutor v. Slobodan Milošević, Case No. IT-99-37-AR73, Reasons for Decision on Prosecution Interlocutory Appeal from Refusal to Order Joinder, 18 April 2002, para. 3.

[3] Cf. Stanišić and Simatović Appeal Judgement, paras. 583, 592; Prosecutor v. Radovan Karadžić, Case No. IT-95-5/18-AR73.11, Decision on Appeal Against the Decision on the Accused’s Motion to Subpoena Zdravko Tolimir, 13 November 2013, para. 47; The Prosecutor v. Arséne Shalom Ntahobali and Pauline Nyiramasuhuko, Case No. ICTR-97-21-AR73, Decision on “Appeal of Accused Arséne Shalom Ntahobali Against the Decision on Kanyabashi’s Oral Motion to Cross-Examine Ntahobali Using Ntahobali’s Statements to Prosecution Investigators in July 1997”, 27 October 2006, para. 12.

[4] Impugned Decision [Prosecutor v. Félicien Kabuga, Case No. MICT-13-38-T, Further Decision on Félicien Kabuga’s Fitness to Stand Trial, 6 June 2023], paras. 45, 57.

[5] Impugned Decision, para. 58.

[6] Impugned Decision, para. 57.

[7] See The Prosecutor v. Pauline Nyiramasuhuko et al., Case No. ICTR-98-42-A15bis, Decision in the Matter of Proceedings Under Rule 15bis(D), 24 September 2003, para. 12.

[8] See Prosecutor v. Zlatko Aleksovski, Case No. IT-95-14/1-A, Judgement, 24 March 2000 (“Aleksovski Appeal Judgement”), para. 98 (wherein, in discussing a question not expressly provided in its statute, the Appeals Chamber of the ICTY held that “[r]eferences to the law and practice in various countries and in international institutions are not necessarily determinative of the question as to the applicable law” and that “[u]ltimately, that question must be answered by an examination of the [ICTY] Statute and Rules, and a construction of them which gives due weight to the principles of interpretation (good faith, textuality, contextuality, and theology) set out in the 1969 Vienna Convention on the Law of Treaties”).

[9] The Prosecutor v. Pauline Nyiramasuhuko et al., Case No. ICTR-98-42-A, Judgement, 14 December 2015 (“Nyiramasuhuko et al. Appeal Judgement”), para. 2137, referring to Vienna Convention on the Law of Treaties, 23 May 1969, United Nations, Treaty Series, Vol. 1155, p. 331. See also Prosecutor v. Zejnil Delalić et al., Case No. IT-96-21-A, Judgement, 20 February 2001, paras. 67, 68; Aleksovski Appeal Judgement, para. 98; Prosecutor v. Duško Tadić, Case No. IT-94-1-A, Judgement, 15 July 1999 (“Tadić Appeal Judgement”), para. 282.

[10] See Impugned Decision, para. 57 (wherein the Trial Chamber decided to adopt “an alternative finding procedure that resembles a trial as closely as possible”).

[11] United Nations Security Council, Resolution 1966 (2010), U.N. Doc. S/RES/1966(2010), 22 December 2010 (“UNSC Resolution 1966 (2010)”), p. 1 (emphasis added).

[12] Augustin Ngirabatware v. The Prosecutor, Case No. MICT-12-29-A, Judgement, 18 December 2014 (“Ngirabatware Appeal Judgement”), para. 6, referring to Phénéas Munyarugarama v. Prosecutor, Case No. MICT-12-09-AR14, Decision on Appeal Against the Referral of Phénéas Munyarugarama’s Case to Rwanda and Prosecution Motion to Strike, 5 October 2012 (“Munyarugarama Decision of 5 October 2012”), para. 5.

[13] Report of the Secretary-General Pursuant to Paragraph 2 of Security Council Resolution 808 (1993), U.N. Doc S/25704, 3 May 1993 (“Secretary-General’s Report of 3 May 1993”), paras. 16, 99-107 (emphasis added).

[14] See Impugned Decision, paras. 45, 51. See also UNSC Resolution 955 (1994), p. 1; UNSC Resolution 1966 (2010), p. 1.

[15] See UNSC Resolution 1966 (2010), p. 1. See also, e.g., UN Doc. S/PV.3453 (8 November 1994), pp. 6, 8, 10, 12.

[16] UNSC Resolution 1966 (2010), p. 1; UNSC Resolution 955 (1994), pp. 1, 2. See also United Nations Security Council Resolution 827 (1993), U.N. Doc. S/RES/827(1993), pp. 1, 2.

[17] See Aleksovski Appeal Judgement, para. 113 (ii).

Download full document
Notion(s) Filing Case
Decision on Appeals of Further Decision on Félicien Kabuga's Fitness to Stand Trial - 07.08.2023 KABUGA Félicien
(MICT-13-38-AR80.3)

68. […] [T]he Appeals Chamber finds that neither the Statute nor the jurisprudence of the Mechanism and its predecessor tribunals allow for the conduct of an “alternative finding procedure”, as defined by the Trial Chamber, in lieu of a trial. […] The Appeals Chamber observes that treaty provisions and state legislative practice, while of significance, are not necessarily determinative of the scope of the Mechanism’s jurisdiction. It is the Statute, as the constitutive instrument of the Mechanism, that defines the scope and limits of its mandate and can only be amended or derogated by means of a United Nations Security Council resolution.[1]

69. The Appeals Chamber is further not persuaded by the Prosecution’s argument that the “alternative finding procedure” falls within the Mechanism’s inherent powers to issue such rulings as necessary to exercise its express jurisdiction.[2] As recalled above, the Statute, as the constitutive instrument of the Mechanism, defines the scope and limits of the Mechanism’s substantive jurisdiction as set out in Articles 1 to 7 of the ICTR Statute.[3] As with the statutes of its predecessor tribunals, the Appeals Chamber recognizes that the Statute of the Mechanism “is not and does not purport to be […] a meticulously detailed code providing explicitly for every possible scenario and every solution, thereto” and that it sets out in general terms the jurisdictional framework within which the Mechanism has been mandated to operate.[4] Included in this framework is the inherent jurisdiction to ensure that its exercise of judicial functions is safeguarded.[5] In this regard, it has been indeed recognized that judges are not limited strictly and narrowly to the text of the Rules in carrying out their mandateand have the inherent authority to render orders that are reasonably related to the task before them and that derives automatically from the exercise of the judicial function.[6]

70. The Appeals Chamber notes that, in support of its submission, the Prosecution points to the authority of the Mechanism’s predecessor tribunals in adjudicating joint criminal enterprise liability and allegations of contempt, despite the fact that the two notions were not expressly prescribed in their respective statutes and/or rules of procedure and evidence.[7] The Appeals Chamber recalls, however, that the authority to exercise jurisdiction over joint criminal enterprise liability falls within the ICTR’s substantive jurisdiction, prescribed under Article 6(1) of the ICTR Statute, to hold individuals criminally responsible for “committing” crimes referred to in Articles 2 to 4 of the ICTR Statute.[8] As for the authority to exercise jurisdiction over allegations of contempt, the Appeals Chamber recalls that the inherent jurisdiction of the ad hoc tribunals in this respect is derived from their judicial function to ensure that the exercise of jurisdiction, which was expressly given to them by their respective statutes, was not frustrated and that their basic judicial functions were safeguarded.[9]

71. As explained above, the Statute does not expressly give the Mechanism jurisdiction to conduct proceedings other than trial, appellate, and review proceedings.[10] In accordance with the principle ubi lex voluit dixit, had the drafters of the Statute intended to vest the Mechanism with the power to conduct proceedings similar to trials, they would have expressly provided for it. The Appeals Chamber considers that, in the case of an international criminal tribunal, this is not a power that can be regarded as inherent to its function.[11]

[1] Prosecutor v. Radovan Karadžić, Case No. IT-95-5/18-AR73.4, Decision on Karadžić’s Appeal of Trial Chamber’s Decision on Alleged Holbrooke Agreement, 12 October 2009 (“Karadžić Decision 12 October 2009”), paras. 34-36 (concerning the statute of the ICTY).

[2] See Prosecution Response, para. 12.

[3] Article 1(1) of the Statute. See also Karadžić Decision 12 October 2009, para. 34.

[4] Prosecutor v. Milan Milutinović et al., Case No. IT-99-37-AR72, Decision on Dragoljub Ojdanić’s Motion Challenging Jurisdiction – Joint Criminal Enterprise, 21 May 2003 (“Milutinović et al. Decision of 21 May 2003”), para. 18.

[5] Prosecutor v. Zlatko Aleksovski, Case No. IT-95-14/1-AR77, Judgement on Appeal by Anto Nobilo Against Finding of Contempt, 30 May 2001 (“Nobilo Contempt Appeal Judgement”), para. 30.

[6] See Prosecutor v. Radovan Stanković, Case No. IT-96-23/2-AR11bis.1, Decision on Rule 11bis Referral, 1 September 2005 (“Stanković Decision of 1 September 2005”), para. 51, nn. 97, 98 (stating that the ICTY’s inherent authority includes, for instance, the power to examine its own jurisdiction, to admit evidence on appeal even if it was available at trial in cases where its exclusion would lead to a miscarriage of justice, and to hold persons in contempt to ensure the fairness of the proceedings and to provide for the proper administration of justice), referring to Nobilo Contempt Appeal Judgement, para. 30, Prosecutor v. Goran Jelisić, Case No. IT-95-10-A, Decision on Request to Admit Additional Evidence, 15 November 2000, Prosecutor v. Duško Tadić, Case No. IT-94-1-AR72, Decision on the Defence Motion for Interlocutory Appeal on Jurisdiction, 2 October 1995, para. 14.

[7] See Prosecution Response, para. 12.

[8] See Milutinović et al. Decision of 21 May 2003, paras. 18-20 (concerning equivalent Article 7(1) of the Statute of the ICTY). See also The Prosecutor v. Elizaphan Ntakirutimana and Gérard Ntakirutimana, Case Nos. ICTR-96-10-A & ICTR-96-17-A, Judgement, 13 December 2004, paras. 461, 462, 468 (wherein the Appeals Chamber of the ICTR noted that: “while joint criminal enterprise liability is firmly established in the jurisprudence of the ICTY this is only the second ICTR case in which the Appeals Chamber has been called upon to address this issue. Given the fact that both the ICTY and the ICTR have mirror articles identifying the modes of liability by which an individual can incur criminal responsibility, the Appeals Chamber is satisfied that the jurisprudence of the ICTY should be applied to the interpretation of Article 6(1) of the ICTR Statute.”); Tadić Appeal Judgement, paras. 186-194, 226.

[9] See Prosecutor v. Duško Tadić, Case No. IT-94-1-A-R77, Judgement on Allegations of Contempt Against Prior Counsel, Milan Vujin, 31 January 2000, paras. 13, 18.

[10] See Articles 18, 23, and 24 of the Statute.

[11] Cf. Blaškić Decision of 29 October 1997, para. 25 (concerning the power of the ICTY to issue subpoenas to States, which is not expressly provided in its statute).

Download full document