Formal requirements

Notion(s) Filing Case
Decision on Additional Evidence - 20.10.2011 POPOVIĆ et al.
(IT-05-88-A)

29. In addition to the specificity requirement recalled above,[1] the Appeals Chamber emphasizes that motions filed pursuant to Rule 115 of the Rules must include, inter alia, “a precise list of the evidence the party is seeking to have presented”.[2] The Appeals Chamber notes that the Motion contains no such list and as a result lacks sufficient clarity as to which of the annexed documents are being tendered for admission as additional evidence on appeal. Indeed, the Motion only refers to the Report[3] and an allegedly revised translation of Exhibit P01310.[4] There are no arguments regarding the admissibility of the documents contained in Annexes 2-5 to the Motion.[5] The Appeals Chamber therefore finds that the formal requirements applicable to a motion seeking to present additional evidence on appeal have not been satisfied in relation to the documents submitted as Annexes 2-5 to the Motion, and will not consider them for the purposes of admission of additional evidence on appeal.[6]

39. […] As recalled above, the significance and potential impact of the tendered material must be assessed in the context of the evidence presented at trial.[7] Apart from a mere reference to his Appeal Brief,[8] which falls short of fulfilling the requirements recalled above, Popović does not show how the Report refutes any of the evidence relied upon by the Trial Chamber.

40. […] Furthermore, the Appeals Chamber will not entertain Popović’s references to his arguments with respect to the credibility of Momir Nikolić and other challenges presented as part of his appeal against the Trial Judgement. The Appeals Chamber emphasizes that an applicant under Rule 115 of the Rules must fulfil all the requirements applicable to motions for additional evidence; this cannot be done through mere references to an appellant’s brief.[9]

[1] See supra, para. 11.

[2] Practice Direction on Formal Requirements for Appeals from Judgement, IT/201, 7 March 2002 (“Practice Direction”), para. 11(a).

[3] Motion [Vujadin Popovic’s [sic] Motion Pursuant to Rule 115, 2 June 2011 (confidential)], paras 5-10, Annex 1.

[4] Motion, para. 11, Annex 6. See also supra, para. 21.

[5] The Appeals Chamber notes that in footnote 3 of the Motion, Popović refers to these documents arguing that the Report was most likely prepared not by Popović but by Momir Nikolić. However, these submissions do not relate to the admissibility of these documents as additional evidence on appeal.

[6] Cf. Ferdinand Nahimana et al. v. The Prosecutor, Case No. ICTR-99-52-A, Decision on Formal Requirements Applicable to the Parties’ Filings Related to the Appellant Jean-Bosco Barayagwiza’s Motion for Leave to Present Additional Evidence, 23 January 2006, pp. 6-7; Ferdinand Nahimana et al. v. The Prosecutor, Case No. ICTR-99-52-A, Decision on Appellant Jean-Bosco Barayagwiza’s Motion for Leave to Present Additional Evidence Pursuant to Rule 115, 5 May 2006 (“Nahimana et al. Decision of 5 May 2006”), paras 11-13, 18-19.

[7] See supra, para. 12.

[8] Motion, para. 9, referring to Popović’s Appeal Brief [Appeal Brief on Behalf of Vujadin Popovic [sic], 21 January 2011 (confidential; public redacted version filed on 14 April 2011)], paras 34-118. See also Reply, para. 7, referring to Popović’s Appeal Brief, paras 38-61, 65-73.

[9] The Appeals Chamber notes in this regard that while there is a requirement for the applicant to “identify each ground of appeal to which the additional evidence relates and clearly describe the relationship of the evidence to the respective ground of appeal” (Prosecutor v. Mladen Naletilić and Vinko Matinović, Case No. IT-98-34-A, Decision on Naletilić’s Amended Second Rule 115 Motion and Third Rule 115 Motion to Present Additional Evidence, 7 July 2005, para. 15), mere references to an appeal brief cannot replace the requirement to plead, in the motion, the alleged impact on the verdict in the context of the evidence admitted at trial (see supra, paras 9-12).

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ICTR Rule Rule 115 ICTY Rule Rule 115
Notion(s) Filing Case
Decision on Motions to Strike and Word Limit - 06.11.2009 HARTMANN Florence
(IT-02-54-R77.5-A)

13. […] the Appeals Chamber considers that the Appellant’s persistent and pervasive use of alternative formulations for alleged errors of law and alleged errors of fact throughout the Notice of Appeal leads to imprecision and confusion and does not give the Amicus Prosecutor sufficient notification of the scope of the appeal.  If the Appellant is of the view that an issue is one of law, then this should be stated.  If it is one of fact, then it should be stated as such.  Only where there is a genuine issue of mixed law and fact, or where there is a real uncertainty, should an alternative formulation be used. 

14. Finally, the Appeals Chamber recalls that “[t]he only formal requirement under the Rules is that the notice of appeal contains a list of the grounds of appeal; it does not need to detail the arguments that the parties intend to use in support of the grounds of appeal, the place for detailed arguments being in the Appellant’s brief.”[1]  The Appeals Chamber notes that the Notice of Appeal is so long and complex that it is difficult for the Appeals Chamber to separate out the grounds and sub-grounds of appeal therein from what might be argumentation.  Moreover, the Notice of Appeal contains sections that are clearly argumentation […]. The Appellant is reminded that a notice of appeal requires her to clearly specify the alleged error in question and then identify the challenged finding or ruling in the judgement or decision.  Detailed argumentation is to be included in the appeal brief.  In light of the foregoing, the Appellant is instructed to re-file the Notice of Appeal in conformity with the above requirements.

[1] Prosecutor v. Mrkšić and Šljivančanin, Case No. IT-95-13/1-A, Decision on the Prosecution’s Motion to Order Veselin Šljivančanin to Seek Leave to File an Amended Notice of Appeal and to Strike New Grounds Contained in His Appeal Brief, 26 August 2008, para. 8.

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ICTR Rule Rule 108 ICTY Rule Rule 108
Notion(s) Filing Case
Order on Notice of Appeal - 14.10.2009 RENZAHO Tharcisse
(ICTR-97-31-A)

3. The Notice of Appeal sets forth 13 grounds of appeal. The final ground of appeal, which relates to sentencing, states only that in the alternative, should the Appeals Chamber […] uphold Mr. Renzaho’s responsibility, the Trial Chamber erred in imposing a life sentence.

4. This ground of appeal does not indicate the substance of the alleged error and the relief sought, thereby failing to fully comply with Rule 108 of the Rules of Procedure and Evidence of the Tribunal (“Rules”)[1] and the Practice Direction on Formal Requirements for Appeals from Judgement of 4 July 2005 (“Practice Direction”).[2]

5. For these reasons, and in accordance with Rule 108bis (B) of the Rules and Paragraph 13 of the Practice Direction, I hereby ORDER Mr. Renzaho to clarify the substance of his 13th Ground of Appeal, should he wish to maintain it, no later than 23 October 2009.     

[1] Rule 108 of the Rules requires a notice of appeal to identify “the order, decision or ruling challenged with specific reference to the date of its filing, and/or the transcript page, and indicate the substance of the alleged errors and the relief sought”.

[2] Pursuant to paragraph 1(C)(i) to (v) of the Practice Direction, a notice of appeal shall clearly specify in respect of each ground of appeal “any alleged error on a question of law invalidating the decision and/or any alleged error of fact which has occasioned a miscarriage of justice” and shall identify “the finding or ruling challenged in the judgement, with specific reference to the page number and paragraph number”; any other “order, decision or ruling challenged with specific reference to the date of its filing, and/or the transcript page”; and the precise relief sought.

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ICTR Rule Rule 108 ICTY Rule Rule 108
Notion(s) Filing Case
Decision on Additional Evidence - 05.05.2006 NAHIMANA et al. (Media case)
(ICTR-99-52-A)

11. Due to the apparent inconsistencies of the Rule 115 Motion with the formal requirements set out in Paragraph 7 of the Practice Direction on Formal Requirements for Appeals from Judgement (“Practice Direction”),[1] the Pre-Appeal Judge ordered the Appellant to “re-file, no later than 30 January 2006, appendices to the Rule 115 Motion which should be copies of the evidence that he is applying to present before the Appeals Chamber in strict accordance with the precise list of such evidence already contained in his Rule 115 Motion”.[2]

13. The Appeals Chamber accepts the documents annexed to the Corrigendum to Rule 115 Motion only inasmuch as they correspond to the pieces of evidence mentioned in the Rule 115 Motion itself but omitted from its annexes. Indeed, the Corrigendum to Rule 115 Motion cannot be used to widen the scope of the Rule 115 Motion.

18. The Appeals Chamber recalls that a party seeking the admission of additional evidence on appeal must provide the Appeals Chamber with the evidence sought to be admitted.[3] For the sake of clarity and in light of the Appeals Chamber’s findings above,[4] the Appeals Chamber notes that not all of the materials referred to in the Rule 115 Motion and/or contained in the Annexes thereto can in fact be considered as meeting the formal requirements for submission of additional evidence to be considered for admission on appeal.

19. In particular, pursuant to Article 7 of the Practice Direction,[5] the following documents should fall out of the consideration by the Appeals Chamber since they were either not annexed to the Rule 115 Motion and not later submitted with the Corrigendum or were annexed to the Rule 115 Motion but not listed therein and the Rule 115 Motion thus contains no arguments as to their admissibility: […] While he admits that these two documents “fall within the generic description” contained in the Rule 115 Motion,[6] he persists that they “should be considered as evidence which may undermine the convictions”[7] but does not make any argument as to their admissibility in his Rule 115 Motion.[8] The Appellant re-filed these documents in his Corrigendum to the Rule 115 Motion despite a clear indication of the discrepancy between the contents of his Rule 115 Motion and Annexes thereto made to him by the Pre-Appeal Judge.[9] Therefore, the Appeals Chamber does not consider Annex 1 and Annex 2 as documents tendered as additional evidence on appeal.

21. Finally, the Appellant tenders a number of documents (all referred to in the Rule 115 Motion but not attached as Annexes),[10] which were in fact already admitted into evidence at trial and therefore do not constitute “additional evidence” to be admitted in this case. The Appeal Chamber notes that it is consequently not necessary to examine them in considering the Rule 115 Motion.[11]

[1]16 September 2002.

[2] [Decision on Formal Requirements Applicable to the Parties’ Filings Related to the Appellant Jean-Bosco Barayagwiza’s Motion for Leave to Present Additional Evidence, 23 January 2006 (“Decision of 23 January 2006”)], p. 7.

[3] Decision on Appellant Hassan Ngeze’s Motion for Leave to Present Additional Evidence, 14 February 2005, p. 3.

[4] See paras 13 and 15-16 above.

[5] Pursuant to this provision, a motion applying to present additional evidence shall contain:

“ (a) a precise list of the evidence the party is seeking to have presented;

(b) an identification of each ground of appeal to which the evidence relates and, where applicable, a request to submit any additional grounds of appeal based on such evidence;

(c) arguments in relation to the requirements of non-availability at trial, relevance and credibility;

(d) arguments in relation to the requirement that the admission of the additional evidence could have been a decisive factor in reaching the decision made by the Trial Chamber to which the additional evidence is directed;

(e) an appendix with copies of the evidence the party is applying to present before the Appeals Chamber”.

[6] Reply to the Prosecution Request of 10 February 2006, para. 10.

[7] Reply to the Prosecution Request of 10 February 2006, para. 11.

[8] Rule 115 Motion, paras 18 – 28.

[9] Decision of 23 January 2006, p. 6.

[10] [footnote omitted]

[11] Cf. e.g., Kambanda Decision of 13 June 2000, pp. 2-3 and Rule 109 (A) of the Rules.

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ICTR Rule Rule 115 ICTY Rule Rule 115 Other instruments Practice Direction on Formal Requirements for Appeals from Judgement (ICTR): Para.7
Notion(s) Filing Case
Decision on Additional Grounds of Appeal - 17.08.2006 NAHIMANA et al. (Media case)
(ICTR-99-52-A )

50. […] Despite the fact that the Notice of Appeal clearly did not conform to the criteria established for such filings under the provisions of Rule 108 and the Practice Direction,[1] the Appeals Chamber accepted that Notice of Appeal as validly filed in the particular circumstances of the case. The Appeals Chamber was mindful of significant delays and multiple previous filings in this case, as well as of the fact that the Prosecution had not opposed the filing in question. […] The Notice of Appeal and the Appellant’s Brief, having been filed simultaneously, allow for the Prosecution to sufficiently understand the Appellant’s grounds of appeal and thus, the Appeals Chamber considered that it was in the interests of judicial economy to accept the deficient Notice of Appeal.[2]

51. The Appeals Chamber also wishes to emphasize that it strongly disagrees with the Appellant’s claim that his full notice of appeal “could only be completed once the Appeals Brief itself was in its final form”.[3] This assertion goes against the logical order of the appeal procedure before the Tribunal, where a notice of appeal is filed shortly after the impugned judgement, while the Appellant’s brief is to be filed within seventy-five days after the notice of appeal. […]

52. […] The Appeals Chamber further finds that the newly submitted notice of appeal does not fully conform to the provisions of Rule 108 and the Practice Direction in the sense that, for most Grounds, it still fails to identify with precision the nature of alleged errors, any references to the challenged findings or the relief sought. In addition, in the Annexed Notice of Appeal, the Appellant adds, in certain Grounds, some elements that were specified in the Appellant’s Brief under different grounds,[4] which might be even more confusing. It would thus not be in the interests of justice to allow for these amendments, and the denial thereof will not result in a miscarriage of justice for the Appellant.

[1] The Notice Appeal consists of a simple list of grounds of appeal and indicates neither the relief sought nor the challenged findings of the Trial Chamber.

[2] This approach is not inconsistent with the Appeals Chamber’s findings in para. 46 of The Prosecutor v. Clément Kayishema and Obed Ruzindana, Case No. ICTR-95-1-A, Judgement (Reasons), 1 June 2001, stating that “an appeal, which consists of a Notice of Appeal that lists the grounds of Appeal but is not supported by an Appellant’s brief, is rendered devoid of all the arguments and authorities”. As the Appeals Chamber found in the cited judgement, this would only be the case if the deficient notice of appeal is not followed by a comprehensive Appellant’s brief providing detailed arguments. This is clearly not the case in the present appeal.

[3] Motion of 5 July 2006, para. 10, [The Appellant Jean-Bosco Barayagwiza’s Motion for Leave to Amend the Notice of Appeal in the Light of the Decision of the Appeals Chamber dated 14/11/2005, 5 July 2006].

[4] For example, the “blatant political interference” and the “lack of impartiality” of Judges Pillay and Møse alleged under Ground 4, para. 11, of the newly submitted notice of appeal, are not evoked under Ground 4 of the Appellant’s Brief but under Ground 1, at paras 22-41. The lack of “effective representation” alleged under ground 5, para. 12 of the newly submitted notice of appeal, does not appear under Ground 5 of the Appellant’s Brief but under Ground 4, at paras 68-99. Under Ground 44, para. 51 of the newly submitted notice of appeal, the Appellant argues that “[t]he Trial Chamber failed to give precise and details grounds to explain its decision to sentence the Appellant to 35 years”, whereas this allegation is made under Ground 45 of the Appellant’s Brief.

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ICTR Rule Rule 108 ICTY Rule Rule 108
Notion(s) Filing Case
Appeal Judgement - 18.03.2010 BIKINDI Simon
(ICTR-01-72-A)

96. As a preliminary matter, the Appeals Chamber notes that the alleged error in failing to keep a proper record of the site visit was not properly pleaded in the Appellant’s Notice of Appeal, which only refers to the alleged error in failing to take judicial notice of Operation Turquoise.[1] The Notice of Appeal thus fails to indicate the substance of the alleged errors and the relief sought, as required by Rule 108 of the Rules.[2] However, because the Prosecution did not object to this failure, the Appeals Chamber, exercising its discretion,[3] will consider whether the Trial Chamber erred in law by failing to include the video recording and any observations from the site visit in the official record of this case.

[1] Bikindi’s Notice of Appeal [Simon Bikindi v. The Prosecutor, Case No. ICTR-01-72-A, Notice of Appeal, filed on 31 December 2008], paras. 14, 15.

[2] See also Practice Direction on Formal Requirements for Appeals from Judgement of 4 July 2005, para. 1(c)(i), which provides that a Notice of Appeal shall contain “the grounds of appeal, clearly specifying in respect of each ground of appeal [...] any alleged error on a question of law invalidating the decision [...]”.

[3] Simba Appeal Judgement, para. 12.

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Notion(s) Filing Case
Decision on Notice of Appeal - 26.03.2009 BOŠKOSKI & TARČULOVSKI
(IT-04-82-A)

19. The grounds of appeal and the arguments in an Appellant’s brief must be set out and numbered in the same order as in the Appellant’s Notice of Appeal, unless otherwise varied with leave of the Appeals Chamber.[1] Any variation of the grounds of appeal must be done by way of a motion in accordance to the Rules setting out the specific Rule under which the variation is sought and the arguments in support of the request to vary the grounds of appeal as required by that Rule.[2]

30. […] While Tarčulovski’s proposed Amended Notice of Appeal refers to ranges of paragraphs in the Trial Judgement, which correspond to his grounds of appeal, the Appeals Chamber finds that this does not satisfy the express requirement of the Practice Direction that a notice of appeal contain an identification of the finding or ruling challenged in the judgement with specific reference to the page number and paragraph number.  Accordingly, the Appeals Chamber orders Tarčulovski to file an amended Notice of Appeal that fully complies with the Practice Direction.

[1] Practice Direction, para. 4.

[2] Practice Direction, para. 2.

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ICTR Rule Rule 108 ICTY Rule Rule 108
Notion(s) Filing Case
Decision on Second Amended Notice of Appeal - 22.09.2009 ŠAINOVIĆ et al.
(IT-05-87-A)

17. Nonetheless, the Appeals Chamber recalls that pursuant to the Practice Direction on Formal Requirements for Appeals from Judgement,[1] a notice of appeal should clearly specify with respect to each ground of appeal the challenged findings in the trial judgement, providing reference to the page and paragraph number.[2] Similarly, in an appellant’s brief, one is required to present arguments in support of each ground of appeal announced in the notice of appeal, including precise references to any relevant exhibit, transcript page, decision, or paragraph number in the judgement.[3] The Appeals Chamber further recalls that it is settled jurisprudence of this Tribunal that a party alleging an error of law must, in addition to identifying the alleged error and presenting arguments in support of its claim, explain how the error invalidates the decision.[4] Finally, if the Appeals Chamber agrees with such allegation and finds that the Trial Chamber applied a wrong legal standard, “it is open to the Appeals Chamber to articulate the correct legal standard and to review the relevant findings of the Trial Chamber accordingly”, applying the correct legal standard to the evidence contained in the trial record and determining whether it is itself convinced beyond reasonable doubt as to the affected factual finding. Therefore, the party alleging an error of law also has the burden to plead with precision how correcting such an error would affect the relevant conclusions underlying the findings of guilt.

[1] Practice Direction on Formal Requirements for Appeals from Judgement (IT/201), 7 March 2002 (“Practice Direction”).

[2] Practice Direction, para. 1.

[3] Practice Direction, para. 4.

[4] Mrkšić and Šljivančanin Appeal Judgement [Prosecutor v. Mile Mrkšić and Veselin [ljivančanin, Case No. IT-95-13/1-A, Appeal Judgement, 5 May 2009], para. 11 and references cited therein.

[5] Ferdinand Nahimana et al. v. The Prosecutor, Case No. ICTR-99-52-A, Judgement, 28 November 2007, para. 13 and references cited therein.

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ICTR Rule Rule 108 ICTY Rule Rule 108
Notion(s) Filing Case
Decision - 03.11.1999 BARAYAGWIZA Jean-Bosco
(ICTR-97-19-AR72)

See paragraphs 79-82, 85 of the decision.

See also paragraphs 83-84 of the decision.

Disclaimer: No Word version of the present decision is currently available. It has therefore not been possible to include the text of the decision. Instead, the reader is directed to the relevant paragraphs of the decision.

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ICTR Statute Article 20(4) ICTY Statute Article 21(4) ICTR Rule Rule 40 bis ICTY Rule Rule 40 bis Other instruments Article 9(2) International Covenant on Civil and Political Rights;
Article 5(2) European Convention on Human Rights;
Article 7(4) American Convention on Human Rights