OTP_Draft Policy Paper on Preliminary Examinations 041010

8/8/2019 OTP_Draft Policy Paper on Preliminary Examinations 041010

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Le Bureau du Procureur

The Office of the Prosecutor

PolicyPaperonPreliminaryExaminationsDRAFT

4October2010TheHague


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October2010 PolicyPaperonPreliminaryExaminations

PolicyPaperonPreliminaryExaminations

ExecutiveSummary1. StatesParties to theRomeStatuteagreed theyhadaduty toputanend to theimpunityofthemostseriouscrimesofconcerntotheinternationalcommunityasa

whole inorder toprevent futurecrimes.Theycommitted toprosecutesuchcrimes

domestically and accepted the intervention of an independent and permanent

InternationalCriminalCourtontheirterritoryshouldtheyfailtoact.

2. Withinthisframework,itistheOfficeoftheProsecutorwhichisresponsiblefordeterminingwhetherasituationmeetsthelegalcriteriaestablishedbytheStatuteto

warrantinvestigationbytheICC.Forthispurpose,theOfficeconductsapreliminary

examinationofallsituationsbroughttoitsattentionbasedonstatutorycriteriaand

theinformationavailable.

3. This policy paper describes the relevant Rome Statute factors and proceduresappliedbytheOfficeintheconductofitspreliminaryexaminationactivities.

4. Thepreliminaryexaminationofasituationmaybeinitiatedby:(a)adecisionofthe Prosecutor, taking into consideration any information on crimes under the

jurisdictionoftheCourt,includinginformationsentbyindividualsorgroups,States,

intergovernmental or non governmental organisations; (b) a referral from a State

PartyortheSecurityCouncil;or(c)adeclarationpursuanttoarticle12(3)byaState

whichisnotaPartytotheStatute.

5. Onceasituationisthusidentified,article53(1)(a)(c)oftheStatuteestablishesthelegal framework for a preliminary examination. It provides that, in order to

determinewhetherthere isareasonablebasistoproceedwithan investigationinto

the situation the Prosecutor shall consider: jurisdiction (temporal, material, and

either territorial or personal jurisdiction); admissibility (complementarity and

gravity);andtheinterestsofjustice.

6. Jurisdiction relates towhether a crimewithin thejurisdictionof theCourthasbeen or isbeing committed. It requires an assessment of (i) temporaljurisdiction

(dateofentryintoforceoftheStatute,namely1July2002onwards,dateofentryinto

force for an acceding State, date specified in a Security Council referral, or in a

declaration lodgedpursuant toarticle12(3)); (ii)materialjurisdictionasdefined in

article 5 of the Statute (genocide; crimes against humanity; war crimes; and

aggression);and(iii)eitherterritorialorpersonaljurisdiction,whichentailsthatthe

crimeoccurontheterritoryorbyanationalofaStatePartyoraStatenotPartythat

has lodged a declaration accepting thejurisdiction of theCourt, or arises from a

situationreferredbytheSecurityCouncil.

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7. Admissibilitycomprisescomplementarityandgravity.8. Complementarity involvesanexaminationof theexistenceof relevantnationalproceedings in relation to thepotentialcasesbeingconsidered for investigationby

theOffice,takinginconsiderationtheOfficespolicytofocusonthosewhoappearto

bearthegreatestresponsibilityforthemostseriouscrimes.Whererelevantdomestic

investigationsorprosecutionsexist,theProsecutionwillassesstheirgenuineness.

9. Gravity includes anassessmentof the scale,nature,mannerand impactof theallegedcrimescommittedinthesituation.

10.Theinterestsofjusticeisacountervailingconsideration.TheOfficemustassesswhether, taking into account thegravityof the crime and the interestsofvictims,

therearenonethelesssubstantialreasons tobelieve thatan investigationwouldnot

servetheinterestsofjustice.

11.There are no other statutory criteria. Factors such as geographical or regionalbalance are not relevant criterion for a determination that a situation warrants

investigationundertheStatute.Whilelackofuniversalratificationmeansthatcrimes

mayoccur insituationsoutside the territorialandpersonaljurisdictionof the ICC,

thiscanonlyberemediedbyaSecurityCouncilreferral.

12. AsrequiredbytheStatute,theOfficespreliminaryexaminationactivitieswillbeconducted inthesamemannerirrespectiveofwhethertheOfficereceivesareferral

from a State Party or the SecurityCouncil or acts on thebasis of information of

crimesobtainedpursuant toarticle15. Inallcircumstances, theOfficewillanalyse

the seriousness of the information received andmay seek additional information

fromStates,organsoftheUnitedNations,intergovernmentalandnongovernmental

organizations and other reliable sources that are deemed appropriate. TheOffice

mayalsoreceiveoraltestimonyattheseatoftheCourt.

13.Beforemakingadeterminationonwhethertoinitiateaninvestigation,theOfficewill also seek to ensure that the States and otherparties concerned have had the

opportunitytoprovidetheinformationtheyconsiderappropriate.

14.There areno timelinesprovided in theStatute for adecisionon apreliminaryexamination.Dependingonthefactsandcircumstancesofeachsituation,theOffice

may eitherdecide (i) todecline to initiate an investigationwhere the information

manifestly fails tosatisfy the factorssetout inarticle53(1)(a)(c); (ii) tocontinue to

assesrelevantnationalproceedings;(iii)tocontinuetocollectinformationinorderto

establishsufficientfactualandlegalbasistorenderadetermination;or(iv)toinitiate

theinvestigation,subjecttojudicialreviewasappropriate.

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15. In order to promote transparency of the preliminary examination process theOfficeaimstoissueregularreportsonitsactivitiesandprovidesreasonedresponses

foritsdecisionstoeitherproceedornotproceedwithinvestigations.

16.Where theProsecutorhas initiated thepreliminaryexaminationprocesspropriomotuanddeterminedareasonablebasistoproceed,theOfficehasadoptedapolicy

of inviting the State(s) concerned to refer the situation to the Court in order to

promotecooperation.As inallothersituations,suchareferralwillhaveno impact

onpreliminaryexaminationactivities.

17.The Office will also consider, as a matter of policy, the extent to which itspreliminary examination activities can serve to stimulate genuine national

proceedingsagainstthosewhoappeartobearthegreatestresponsibilityforthemost

seriouscrimes.Inaccordancewith itspositiveapproachtocomplementarity,based

onthegoalsofthepreambleandarticle93(10)oftheStatute,theOfficewillseekto

encourageandcooperatewitheffortstoconductgenuinenationalproceedings.

I. Introduction18.ThispolicypaperoftheOfficeoftheProsecutordescribestheOfficespolicyandpractice in theconductof itspreliminaryexaminationactivities, i.ehow theOffice

applies the statutory criteria to assesswhether a situationbrought to its attention

warrantsinvestigation.ThepaperisbasedontheStatute,theRulesofProcedureand

Evidence, the Regulations of the Court, the Regulations of the Office of the

Prosecutor, the Offices prosecutorial strategy and policy documents and its

experienceoverthefirstsevenyearsofitsactivities.

19.This isan internalpolicydocumentof theOfficeof theProsecutor.As such, itdoesnotgiverisetolegalrightsandissubjecttorevisionbasedonexperienceandin

lightoflegaldeterminationsbytheChambersoftheCourt.

20.TheOfficeoftheProsecutorhasmadethispolicypaperpublicintheinterestofclarityandpredictabilityover themanner inwhich itapplies the legal framework

agreeduponbyStatesParties.TheOfficehopes thatsuchclaritymay facilitate the

adjustment of other actors (political leaders, diplomats, conflict managers and

mediators,NGOsandadvocacygroups)tothelegalframeworksetoutintheRome

Statute,promotecooperationandincreasethepreventiveimpactoftheStatute.

II. TheRomeStatutesystem21.As affirmed in thePreamble, thegoalof theRomeStatute is toput an end toimpunityforthemostseriouscrimesofinternationalconcernandthustocontribute

totheirprevention.Toachievethisgoal,theStatutecreatedaninnovativesystemof

internationaljustice. This system isbased on national states interacting with an

independent and permanent International Criminal Court supported by

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international organizations and a global civil society. First, States committed to

punish such crimes themselves, recalling the duty of every State to exercise its

criminaljurisdictionover those responsible for internationalcrimes.1 Second, they

established the ICC to be complementary to national criminal jurisdictions,2

accepting that,shouldaStateParty fail togenuinely investigateandprosecute, the

ICC could independently decide to step in. Finally, they resolved to guarantee

lastingrespect forand theenforcementof internationaljustice thuscommitting to

cooperatewiththeICCwheneverandwhereveritdecidestoact.3

22.Theinstitutionaldesignthuscreatedheightenstheprospectofaccountabilityforthosesuspectedofbearingthegreatestresponsibilityforthemostseriouscrimes.

23.Within this framework, nationaljurisdictions have primary responsibility, theCourtwillinterveneonlyintheabsenceofgenuinenationalproceedingsanditisthe

responsibilityoftheOfficeoftheProsecutortodeterminewherestatutoryconditions

fortheopeningofinvestigationsexist,subjecttojudicialreviewasappropriate.

24.This roleof theProsecutor isaunique traitof the ICC.4TheabilityofnationalandinternationalCourtstodefinetheirownjurisdictionwithinstatutoryparameters

comptencedelacomptence iswellestablished.ThedifferencewiththeICCisthat

its Statute does not predefine situations for investigations. The International

MilitaryTribunals inNurembergandTokyo,5 the InternationalCriminalTribunals

fortheformerYugoslaviaandRwanda,6theSpecialCourtforSierraLeone7andthe

ExtraordinaryChambersintheCourtsofCambodia8wereprovidedjurisdictionover

a specific situation. States or the Security Council defined those situations and

decided that the intervention of an international criminal courtwas appropriate.

1Preambleparagraph6,ICCStatute.2Articles1and17,ICCStatute.3Part9,ICCStatute.4Articles15(3),42(1),53(1)ICCStatute.5TheIMTatNurembergwasestablishedforthetrialandpunishmentofthemajorwarcriminalsofthe

EuropeanAxisarisingfromWorldWarII;Article1,AgreementfortheProsecutionandPunishmentof

theMajorWarCriminaloftheEuropeanAxis(8August1945).TheIMTFEwasestablishedforthetrial

andpunishmentofthemajorwarcriminalsintheFarEastarisingfromWorldWarII;article1,Charter

oftheInternationalMilitaryTribunalfortheFarEast.

6 The ICTY and ICTRwere establishedby the SecurityCouncilpursuant toChapterVII of theUNCharterfortheprosecution,respectively,ofpersonsresponsibleforseriousviolationsofinternational

humanitarian law committed in the territoryof the formerYugoslavia since1991,S/RES/827 (1993),

and persons responsible for serious violations of international humanitarian law committed in the

territoryofRwandaandRwandancitizensresponsibleforsuchviolationscommittedintheterritoryof

neighbouringStatesbetween1January1994and31December1994,S/RES/955(1994).7TheSpecialTribunalforLebanonwasestablishedtohearaspecificcase,namelytotryallthosewho

are found responsible for the terrorist crimewhichkilled the formerLebanesePrimeMinisterRafiq

Haririandotherconnectedcases.8 The ECCCwas establishedby an agreementbetween theUnitedNations and theGovernment of

Cambodia,fortheprosecutionofseniorleadersofDemocraticKampucheaandthosewhoweremost

responsible for thecrimesandseriousviolationsofCambodianpenal law, internationalhumanitarian

lawand

custom,

and

international

conventions

recognized

by

Cambodia,

that

were

committed

during

the period from 17 April 1975 to 6 January 1979; article 1, Law on the Establishment of the

ExtraordinaryChambers.

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These courtswerenot in aposition todecline,nor to expand their focus toother

situations.Bycontrast,under the systemestablishedby theRomeStatute, it is the

ICC thatultimatelydetermineswhenandwhere theCourtshould intervenebased

on the statutory criteria. Thiswas the object of lengthy deliberations during the

negotiationoftheStatute.9

III. Initiationofpreliminaryexamination25.Thepreliminaryexaminationofasituationmaybeinitiatedonthebasisof:(a)adecision of the Prosecutor, taking into consideration any information on crimes

under thejurisdiction of the Court, including information sentby individuals or

groups,States,intergovernmentalornon governmentalorganisations;(b)areferral

from a StateParty or theSecurityCouncil; or (c) adeclarationpursuant to article

12(3)byaStatewhichisnotaPartytotheStatute.10

26.Once a situation has been thus identified, the Office will proceed to assesswhethertheopeningofaninvestigationiswarrantedundertheStatute.

27.Assetoutinarticle53(1)(a)(c),theOfficewillconsiderinallsituationswhether:(a) the information available provides a reasonablebasis tobelieve that a crime

withinthejurisdictionoftheCourthasbeenorisbeingcommitted;(b)thecaseisor

wouldbeadmissibleunderarticle17;and (c)an investigationwouldnotserve the

interestsofjustice.11

28.The Office will consider those factors irrespective of the way in which thepreliminary examination is initiated. In particular, no automaticity is assumed

where the Prosecutor receives a referral from a State Party or the UN Security

Council.Thus,thereferralsreceivedtodatefromUganda,theDemocraticRepublic

oftheCongo(DRC),theCentralAfricanRepublic(CAR)andfromtheSecurity

Council concerningDarfur, Sudan,where all subjectedby theOffice to the same

preliminaryexaminationprocessinordertodeterminewhetherthefactorssetoutin

article53(1)weresatisfiedbeforeaninvestigationcouldbeinitiated.

29.Moreover, documents attached to a referral or declaration or any otherinformationwillbesubjecttotheOfficeowncriticalevaluation.12

30.AsofendSeptember2010,theOfficehadconsideredinformationoncrimesfromnumerous sources including open sources and communications (8,874 such

communicationswerereceivedpursuanttoarticle15oftheStatute,ofwhich4,002

weremanifestlyoutsideofthejurisdictionoftheCourt);threeStatePartyreferrals;

9Seee.g.ReportoftheAdHocCommitteeontheEstablishmentofanInternationalCriminal

Court,U.N.GAOR,50thSess.,Supp.No.22,U.N.Doc.A/50/22,113(1995);ReportofthePreparatory

CommitteeontheEstablishmentofanInternationalCriminalCourt,U.N.GAOR,51stSess.,Supp.No.

22,Vol.I,U.N.Doc.A/51/22,35(1996).10Regulation

25,

Regulations

of

the

Office

of

the

Prosecutor.

11Article53(1),ICCStatute;Rule48,ICCRPE.12SeebelowSectionIVGeneralPrinciples.

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oneSecurityCouncilreferral;andtwodeclarationsacceptingthejurisdictionofthe

Court,lodgedbyCotedIvoireandthePalestinianNationalAuthority.13

31.The Office has made public its preliminary examination of 13 situations,includingthosethathaveledtotheopeningof investigations(Uganda,DRC,CAR,

Darfur,Kenya), those dismissed (includingVenezuela and Iraq),14 and those that

remain under preliminary examination (Colombia, Afghanistan, Cote dIvoire,

Georgia,PalestineandGuinea).15

32.While lack of universal ratificationmeans that crimesmay occur in situationsoutsidetheterritorialandpersonaljurisdictionoftheICC,thiscanonlyberemedied

byaSecurityCouncilreferral.

IV. GeneralPrinciples33.Thepreliminaryexaminationprocess isconductedby theOfficeon thebasisofthefactsandinformationavailableandinthecontextoftheoverarchingprinciplesof

independence,impartialityandobjectivity.

Independence

34.Article 42 of the Statute provides that the Office of the Prosecutor shall actindependentlyofinstructionsfromanyexternalsource.16Independencegoesbeyond

notseekingoractingoninstructions:itmeansthattheOfficedecisionsshallnotbe

alteredbythepresumedorknownwishesofanypartyorbythecooperationseeking

process.

35.ThescopeoftheProsecutorsexaminationcannotbeboundinamannercontraryto the Statute.As such, it is irrelevant for theOffice if a referral identifies cases

againstparticular individualsorparticularparties toaconflict.17 Forexample, the

referralfromtheGovernmentofUgandamadereferencetothesituationconcerning

theLordsResistanceArmy.Consistentwith the Statute, theOffice informed the

GovernmentofUgandathatitinterpretedthereferraltorefertoallarticle5crimesof

relevancetothesituation.18

13ForupdatedinformationseeICCOTPwebsite.14OTPresponsetocommunicationsreceivedconcerningVenezuela,9February2006;OTPresponseto

communicationsreceivedconcerningIraq,9February2006.15ReportoftheInternationalCriminalCourt,A/64/356,17September2009.16Articles42(1)(2),ICCStatute.17TheStatuteindicatesthattheProsecutorsinitiationofan investigationpropriomotu,thereferralofa

situationbyaStatePartyortheSecurityCouncil,ortheacceptanceofjurisdictionbyaStatenotPartyto

theStatute,applywith respect toanycrimes referred to inarticle5of relevance to the situation;See

articles12,13,14(1),15,42(1),and54(1)(a),ICCStatute;rule44(2),ICCRPE.18Letter

from

the

Prosecutor

to

President

Kirsch

dated

17

June

2004

annexed

to

Decision

of

the

Presidency,SituationinUganda,DecisionAssigningthe

SituationinUgandatoPreTrialChamberII,ICC02/041,5July2004.

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Where a referral or an article 15 communication is accompanied by supporting

documentation that identifies potential perpetrators or implies guidance, such

informationisnotbindingandissubjecttotheOfficesindependentevaluation.For

example, in relation to the situation inDarfur,Sudan, theOffice receiveda sealed

envelope from the United Nations Secretary General containing the conclusions

reachedby theUN InternationalCommission of Inquiry forDarfur as topersons

potentiallybearing criminal responsibility.TheOfficedid not consider this list of

names to be binding, but, instead, that it represented the conclusions of the

Commission.Upon examining its contents theProsecutor proceeded to reseal the

document,asitcouldnotformthebasisoftheOfficesowninvestigation,whichwas

carriedoutindependentlyandautonomously.Onasimilarbasis,thelistofpotential

perpetrators identifiedby from theCommission of Inquiry into the PostElection

Violence also known as the Waki Commission, did not influence the Offices

independentexaminationoftheSituationintheRepublicofKenya.19Themannerin

whichtheOfficeselectscaseswillbeelaboratedinaseparatepolicypaper.

36.While theOffice interactsandmay seek information fromStates,organsof theUnited Nations, intergovernmental or nongovernmental organizations, or other

reliable sources, any information received is subject to the Offices own critical

evaluation. In relation to the situation inDarfur, Sudan, theOffice receivedmore

than 2,500 items of information, including documentation, video footage and

interview transcripts that hadbeen gatheredby the International Commission of

Inquiry for Darfur. While the Office considered such information as part of its

determinationwhethercrimeswithinthejurisdictionoftheCourthadbeenorwere

beingcommitted,thematerialwassubjectedtotheOfficesownanalysis.Similarly,

theOfficeevaluatedtheinformationreceivedfromtheWakiCommission,aswellas

other information, before reaching a determination to request authorization to

initiateaninvestigationintothesituationintheRepublicofKenya.

37. Inthesamevein,theOfficespolicyofinvitingandwelcomingreferralsdoesnotimpactonthemannerinwhichtheOfficeconductsitspreliminaryexamination.20

Impartiality

38.Theprincipleofimpartiality,whichflowsfromarticle21(3)oftheStatute,means(i) that the Office will not draw any adverse distinction founded on grounds

prohibited under the Statute and (ii))will apply consistentmethods and criteria

irrespectiveoftheStatesorpartiesinvolvedortheperson(s)orgroup(s)concerned.

39.Geopolitical implications of the location of a situation, geographicalbalancebetweensituationsorparitywithinasituationbetweenrivalpartiesarenotrelevant

criteriafortheselectionofsituationsundertheStatute.

19Press

Release:

Waki

Commission

list

of

names

in

the

hands

of

ICC

Prosecutor,ICC

OTP

20090716

PR439,

16

July200920SeebelowSectionVProprioMotupowersandpolicyofinvitingreferrals.

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40. Impartialitydoesnotmean equivalenceofblamewithinasituationeither;thiswillbeelaborateduponinthecontextofaseparatepolicypaperoncaseselection.

Objectivity

41. In accordancewith article 54 (1) theOfficewill investigate incriminating andexonerating circumstances equally in order to establish the truth.21 The same

principle isappliedat thepreliminaryexaminationstage in relation to information

thatformsthebasisofadecisiontoproceedwithaninvestigation.

42.AsinformationevaluatedatthepreliminaryexaminationstageisobtainedfromexternalsourcesratherthantheOfficesownevidencegatheringpowers,22theOffice

paysparticularcaretoassesstherelevance,reliability,credibilityandcompleteness

ofsuchinformation.

43.The Office uses standard formats for analytical reports; standardmethods ofsourceevaluation;andconsistentrulesofmeasurementandattribution in itscrime

patternanalysis.Itchecksinternalandexternalcoherenceandconsidersinformation

fromdiversesourcesasameansofbiascontrol.

44.TheOfficealsoseekstoensuredueprocessbyprovidingallrelevantpartieswiththeopportunitytosubmitinformationtheyconsiderimportant.

V. Article53(1)(a)(c) factors45.Thissectionexamineseachoffactorssetoutinarticle53(1)(a)(c)thatareappliedat the preliminary examination stage in order to determine whether there is a

reasonable basis to proceed with an investigation, based on the information

available. The specificity and credibility of such information must satisfy the

requisite standard of proof of reasonablebasis, which hasbeen interpretedby

Chambersof theCourt torequireasensibleor reasonablejustification forabelief

that a crime falling within the jurisdiction of the Court has been or is being

committed.23

(a)Jurisdiction46. InaccordancewithArticle53(1)(a)oftheStatute,theProsecutormustdeterminewhetherthereisareasonablebasistobelievethatacrimewithinthejurisdictionof

theCourthasbeenor isbeingcommitted.Accordingly,theremustbeareasonable

basistobelievethattheinformationonallegedcrimesfulfilstemporalrequirements;

21Article54(1)(a),ICCStatute;Regulation34(1),RegulationsoftheOfficeoftheProsecutor.22Anotableexception is testimonycollectedby theOfficeat theseatof theCourtpursuant toarticle

15(2),ICCStatute;rule104,ICCRPE.23

Situation

in

the

Republic

of

Kenya,Decision

Pursuant

to

Article

15

of

the

Rome

Statute

on

the

Authorization of an Investigation into the Situation in theRepublic ofKenya, ICC01/0919Corr,31

March2010,para35.

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meets territorial or personaljurisdiction (based either onArticle 12 or a Security

Councilreferral),andfallswithinthesubjectmatterjurisdictionoftheCourt.24

47.ThetemporaljurisdictionoftheCourtappliesfromthedateofentryintoforceoftheStatute,namely1July2002onwards.25Temporaljurisdictionwith respect toa

particular situationwillbe setby thedate of entry into force of the Statute for a

particularStatePartyinthecaseofanaccedingState,thedatespecifiedinaSecurity

Council referral, or the date indicated in a declaration lodged pursuant to article

12(3).26

48.ThesubjectmatterjurisdictionoftheCourt,assetoutinarticle5oftheStatute,extends to: (a) the crime of genocide, as defined in article 6; (b) crimes against

humanity,asdefinedinarticle7;(c)warcrimes,asdefined inarticle8;and(d)the

crimeofaggression,withrespecttowhichtheCourtshallexercisejurisdictiononce

theprovisionadoptedbytheAssemblyofStatesPartiesentersintoforce.27

49.TheCourtmayexercise itsjurisdiction ifa crime referred to inarticle5of theStatute is committed on the territory of, orby a national of, a StateParty (article

12(2))oraStatenotPartytotheStatutewhichhaslodgedadeclarationacceptingthe

exercise ofjurisdictionby the Court (article 12(3)).28 In addition, the Courtmay

exercise itsjurisdiction in relation to any territory or nationalwhere the Security

Council refers a situation to the Prosecutor, acting underChapterVII of theUN

Charter.29Only theUNSecurityCouncilmay set aside the territorialandnational

parametersdefinedinarticle12;whenusingitspropriomotupowers,theProsecutor

isboundbythoseparameters.

50.The establishment of theCourtsjurisdictional parameters in accordancewitharticle53(1)(a)definesinobjectivetermsthetheatrewithinwhichtheOfficeconducts

ininvestigativeactivities:i.e.thesituation.

24Articles 12 and 13(b), ICC Statute. See also Prosecutorv.

Thomas

Lubanga

Dyilo,Judgment on the

AppealofMr.ThomasLubangaDyiloagainsttheDecisionontheDefenceChallengetotheJurisdiction

oftheCourtpursuanttoarticle19(2)(a)oftheStatuteof3October2006,ICC01/0401/06772,paras2122; Situation in the Republic of Kenya, Decision Pursuant to Article 15 of the Rome Statute on the


March2010,paras39.25Articles11and24,ICCStatute.26SeealsoArticle11(2),ICCStatute.27RC/Res.6(28June2010).28Article12(3), ICCStatute; rule44, ICCRPE. It shouldbenoted thatarticle12(3) isajurisdictional

provision,notatriggermechanism.Assuch,suchdeclarationsshouldnotbeequatedwithreferrals,but

willrequireaseparatetriggeringbytheProsecutorpropriomotuorbyaStateParty.SeealsoRegulation

4546,

Regulations

of

the

Court,

which

provide

for

the

constitution

of

aPre

Trial

Chamber

only

followingtheProsecutorsnotificationofareferralorofanintentiontosubmitanarticle15request.29Article13(b),ICCStatute.

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(b)Admissibility

51.Assetout inarticle17(1)of theStatute,admissibilityrequiresanassessmentofcomplementarity(subparagraphs(a)(c))andgravity(subparagraph(d)).Pursuantto

its prosecutorial strategy, the Office will assess complementarity and gravity in

relation to themost serious crimes alleged and to thosewho appear tobear the

greatest responsibility for those crimes.30 The Statute does not stipulate any

mandatory sequence in the consideration of complementarity and gravity, the

Prosecutormustbesatisfiedastoadmissibilityonbothcountsbeforeproceeding.

(i)Complementarity

52.Atthestageofopeningasituation,article53(1)(b)requirestheOfficetoconsiderwhetherthecaseisorwouldbeadmissibleunderarticle17.Priortotheinitiation

of an investigation at the preliminary examination stage there is not yet a case

strictly speaking, as understood to comprise an identified set of incidents,

individualsandcharges.ThereforetheOfficewillconsideradmissibilitytakinginto

account the potential cases thatwould likely arise from an investigation into the

situationbasedoftheinformationavailable.31

53.Theidentificationofsuchpotentialcasesiswithoutprejudicetosuchindividualcriminal responsibility asmaybe attributed as a result of theOffices subsequent

investigations.The assessment ispreliminary innature and isnotbinding for the

purposeoffutureadmissibilitydeterminations.32

54.As requiredby article 53(1)(b)andarticle17, theOfficesassessment relates towhetheraStatehasinvestigatedorprosecuted,orisinvestigatingorprosecuting,in

agenuinemanner, thecaseorcases that couldbe selectedby theProsecution.An

admissibility determination is not ajudgment on the nationaljustice system as a

whole. Ifanotherwise functioningjudiciary isnot investigatingorprosecuting the

relevant case(s), thedetermining factor is theabsenceof relevantproceedings.For

example,inrelationtotheSituationinDarfur,theOfficesadmissibilityassessment

related to the potential cases that would form the focus of the Prosecutors

investigationsandprosecutionsandnottothestateoftheSudanesejudicialsystem

asawhole.33 Thepreliminaryexamination involved fivemissionsby theOffice to

30SituationintheRepublicofKenya,RequestforauthorisationofaninvestigationpursuanttoArticle15,

ICC01/093,26November2009,paras55and78;SituationintheRepublicofKenya,DecisionPursuantto

Article15oftheRomeStatuteontheAuthorizationofanInvestigationintotheSituationintheRepublic

ofKenya,ICC01/0919Corr,31March2010,para50.31SituationintheRepublicofKenya,RequestforauthorisationofaninvestigationpursuanttoArticle15,

ICC01/093,26November2009,paras51and107;SituationintheRepublicofKenya,DecisionPursuantto

Article15oftheRomeStatuteontheAuthorizationofanInvestigationintotheSituationintheRepublic

ofKenya,ICC01/0919Corr,31March2010,paras50,182and188.32 Situation in the Republic of Kenya, Decision Pursuant to Article 15 of the Rome Statute on the


March2010,

para

50.

33 Situation inDarfur,Sudan,ProsecutorsApplicationunderArticle58 (7), ICC02/0556 (27February

2007),para4.

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Khartoum tomeetwithmembers of the nationaljudiciary, includingmembers of

specialcourtsallegedlyestablishedtoaddressRomeStatutecrimes.Theassessment

revealed an absence of any proceedings into the massive crimes committed in

Darfur.34

55.As confirmed by the Appeals Chamber, the first question in assessingcomplementarity is an empirical question: whether there are or have been any

relevantnational investigations orprosecutions.This is expressly stated inArticle

17(1)(a)(beinginvestigatedorprosecuted),17(1)(b)(hasbeeninvestigated)and

17(1)(c) (tried). The absence of nationalproceedings, i.e.domestic inactivity, is

sufficient to make the case admissible.35 Chambers of the Court have stated,

moreover, that this assessment cannotbeundertaken on thebasis ofhypothetical

nationalproceedingsthatmayormaynottakeplaceinthefuture:itmustbebased

ontheconcretefactsastheyexistatthetimewhentheOfficesubmitsanapplication

underarticle58 foranarrestwarrantorasummonstoappear.36

56. If there are or have been national investigations or prosecutions, then thequestionofunwillingnessorinabilityarisesandtheOfficewillassesswhethersuch

proceedingsarevitiatedbyanunwillingnessor inabilitytogenuinelycarryoutthe

proceedings.Where it is necessary to assess unwillingness and inability, the

Officewillanalysetherelevantnationalinvestigationandprosecutionoftheconduct

alleged.

57.Bywayof illustration, theanalysisofnationalproceedings represents themainfocusoftheOfficesongoingpreliminaryexaminationoftheSituationinColombia.

Upon takingOffice, the Prosecutor conducted a review of information on crimes

collectedunderarticle15.TheOffice identified the situations in theDRC,Uganda

and Colombia as containing the gravest occurrence of crimes within its treaty

jurisdiction.Preliminaryexaminationindicatedanabsenceofnationalproceedingsin

theDRCandUganda,whilenationalproceedingshadbeen initiated inColombia.

The Office is currently analysing the genuineness and focus of such domestic

investigations and prosecutions in Colombia, including proceedings against

paramilitaryleaders,politicians,guerrillaleadersandmilitarypersonnel.TheOffice

is also analysing allegations of international networks working in Europe and

supportingarmedgroupscommittingcrimesinColombia.

58.For thepurposeofassessing inability inaparticularcaseorpotential case, theOfficewillconsiderwhether,duetoatotalorsubstantialcollapseorunavailabilityof

itsnationaljudicialsystem,theStateisunabletocollectthenecessaryevidenceand

testimony,orotherwiseunabletocarryoutitsproceedings.

34Ibid,paras253267.35Prosecutorv.GermainKatanga andMathieuNgudjoloChui,Judgmenton theAppealofMr.Germain

KatangaagainsttheOralDecisionofTrialChamberIIof12June2009ontheAdmissibilityoftheCase,

ICC01/04

01/07

1497,

25

September

2009,

para.

78.

36 Prosecutor v.Joseph Kony et al.,Decision on the admissibility of the case under article 19(1) of the

Statute,ICC02/0401/05377,10March2009,paras.4952.

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59. In conducting itsevaluation, theOfficemay consider, inter alia, the absenceofconditionsofsecurityforwitnesses,investigators,prosecutorsandjudgesorlackof

adequateprotection systems; the existenceof laws that serve as abar todomestic

proceedings in the case at hand, such as amnesties, immunities or statutes of

limitation; or the lack of adequate means for effective investigations and

prosecutions.

60.For thepurposeofassessingunwillingness inaparticularcase, theOfficemayconsiderwhetherthere isevidenceof intenttoshieldtheperson(s)concernedfrom

criminalresponsibilityforcrimeswithintheICCjurisdiction.

61.Thismaybe assessed in light of such indicators as, inter alia, the scope of theinvestigationand inparticularwhether the focus ison themost responsibleof the

most serious crimes or marginal perpetrators or minor offences; manifestly

insufficient steps in the investigation or prosecution; deviations from established

practices and procedures; ignoring evidence or giving it insufficient weight;

intimidationofvictims,witnessesorjudicialpersonnel; irreconcilabilityof findings

with evidence tendered; lack of resources allocated to theproceedings athand as

comparedwithoverall capacities; and refusal toprovide informationor cooperate

withtheICC.

62.Unwillingnesscanalsobefoundinlightofunjustifieddelaysintheproceedingsandlackofindependenceorimpartiality.

63. Unjustifieddelay in theproceedingsathandmaybeassessed in lightof, interalia, whether the delay in the proceedings can be objectively justified in the

circumstances;andwhetherthereisevidenceinthecircumstancesofalackofintent

tobringtheperson(s)concernedtojustice.

64. Independence in the proceedings at hand may be assessed in light of suchindicators as, inter alia, the alleged involvement of the apparatus of the State,

including those responsible for law and order, in the commission of the alleged

crimes;theextenttowhichappointmentanddismissalofinvestigators,prosecutors

andjudgesaffectdueprocess in thecase; theapplicationofa regimeof immunity

andjurisdictional privileges for alleged perpetrators; political interference in the

investigation,prosecutionandtrial;andcorruptionofinvestigators,prosecutorsand

judges.

65. Impartiality in the proceedings at hand may be assessed in light of suchindicatorsas, interalia, linkagesbetween thesuspectedperpetratorsandcompetent

authorities responsible for investigation, prosecution and/or adjudication of the

crimes; public statements, awards, sanctions, promotions or demotions,

deployments, dismissals or reprisals in relation to investigative, prosecutorial or

judicialpersonnelconcerned.

ICCOTP2010 DRAFT 12


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66.Thecomplementarityassessmentismadeonthebasisoftheunderlyingfactsastheyexistatthetimeofthedeterminationandissubjecttorevisionbasedonchange

incircumstance.37

(ii)Gravity

67.AlthoughanycrimefallingwithinthejurisdictionoftheCourtisserious,38article17(1)(d)requirestheCourttoassessasanadmissibilitythresholdwhetheracaseisof

sufficient gravity tojustify further actionby theCourt. TheOfficewill apply the

sameassessmentinrelationtogravityatthesituationstage.

68.TheStatuteandRulesdonotdefinetheadmissibilitycriterionofgravity.39AstheOffice has previously submitted, it would be an error of law to inject rigid

requirements intothe legalstandardofsufficientgravity inarticle17(1)(d).40The

admissibility mechanism is intended to establish a basic standard for gravity,

excludingoffendersandcrimesthatdonotwarranttheexerciseofjurisdiction.

69.TheAppealsChamberhasdismissedthesettingofanoverlyrestrictivelegalbartotheinterpretationofgravitythatwouldhamperthedeterrentroleoftheCourt.It

has also observed that the role of persons or groups may vary considerably

dependingonthecircumstancesofthecaseandthereforeshouldnotbeexclusively

assessedorpredeterminedonexcessivelyformulisticgrounds.41

70.The Offices assessment of gravity includesboth quantitative and qualitativeconsiderationsbased on the prevailing facts and circumstances. As stipulated in

Regulation 29(2) of the Regulations of theOffice, the nonexhaustive factors that

guidetheOfficesassessmentincludethescale,nature,mannerofcommissionofthe

crimes,andtheirimpact:42

(a) Thescaleof thecrimesmaybeassessed in lightof, interalia,thenumberofdirectandindirectvictims,theextentofthedamagecausedbythecrimes,in

particular thebodilyorpsychologicalharmcaused to thevictimsand their

37Prosecutorv.

Germain

Katanga

and

Mathieu

Ngudjolo

Chui,Judgmenton theAppealofMr.Germain

KatangaagainsttheOralDecisionofTrialChamberIIof12June2009ontheAdmissibilityoftheCase,

ICC01/0401/071497, 25September 2009,para. 56;Regulation 29(4),Regulationsof theOfficeof the

Prosecutor.38SeePreamblepara.4,articles1and5,ICCStatute.39Thetermgravityisqualifiedforthepurposeofsentencinginrule145,ICCRPE.40Ibid41 Situation in the Democratic Republic of the Congo,Judgment on the Prosecutors appeal against the

decisionofthePreTrialChamberIentitledDecisionontheProsecutorsApplication forWarrantsof

Arrest,Article58,ICC01/04169,underseal13July2006;reclassifiedpublic23September2008,paras.

6979.42 See, in concurrencewith the Prosecutions submissions, Prosecutor v.Abu Garda,Decision on the

Confirmationof

Charges,

ICC

02/05

02/09

243

Red,

8February

2010,

paras.

31;

Situation

in

the

Republic

of

Kenya,DecisionPursuanttoArticle15oftheRomeStatuteontheAuthorizationofanInvestigationinto

theSituationintheRepublicofKenya,ICC01/0919Corr,31March2010,para188.

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families,and theirgeographicalor temporal spread (intensityof the crimes

overabriefperiodorlowintensityviolenceoveranextendedperiod);

(b)Thenatureofthecrimesreferstothespecificelementsofeachoffencesuchaskillings, rapes and other crimes involving sexual or gender violence and

crimescommittedagainstchildren,ortheimpositionofconditionsoflifeona

communitycalculatedtobringaboutitsdestruction;

(c) Themannerofcommissionofthecrimesmaybeassessedinlightof,interalia,themeans employed to execute the crime, the degree of participation and

intent in itscommission, theextent towhich thecrimeswere systematicor

resultfromaplanororganizedpolicyorotherwiseresultedfromtheabuseof

powerorofficial capacity,andelementsofparticular cruelty, including the

vulnerabilityofthevictims,anymotivesinvolvingdiscrimination,ortheuse

ofrapeandsexualviolenceasameansofdestroyingcommunities;

(d)Theimpactofcrimesmaybeassessedinlightof,,interalia,theirconsequenceon the local or international community, including the long term social,

economic and environmental damage; crimes committed with the aim or

consequence of increasing the vulnerability of civilians; or other acts the

primarypurposeofwhichistospreadterroramongthecivilianpopulation.

71.The Prosecutions submissions to the Court on gravity show the way it hasappliedtheabovefactorsinaccordancewiththeprevailingfactsandcircumstances

in the situationsbefore it. In the Prosecutorspropio motu application concerning

Kenya,forexample,theOfficereferredtothescale(1,200personsallegedlykilled,at

least1000reportedrapesand450,000personsdisplaced)andthenatureofthepost

electionviolence,which resulted in large scalekillingsof civilians, rapeandother

forms of sexual violence, seriousinjury and forcible displacement; while there

occurredwidespreadlootingandwantondestructionofresidentialandcommercial

areasin six out of eightKenyan regions, including the countrysmost populated

areas.TheApplicationreferredtothemannerofcommissionas,inmanyinstances,

the crimeswere organized and plannedwithin the context of awidespread and

systematic attack against selected segments of the Kenyan civilian population,

basedonethnicityand/orpresumedpoliticalaffiliation.Perpetratorsoftendisplayed

particularcrueltybycuttingoffbodyparts,hackingorburningcivilianstodeath,or

usinggangrapeandgenitalmutilation.TheApplicationthendescribedtheimpactof

the crimes, including infection with HIV/AIDS and other sexually transmitted

diseases.Manydisplacedpersonslostboththeirhomeandmeansofsubsistence.The

crimesalsohadanimpactonlocalcommunitiesintermsofsecurity,socialstructure,

economy andpersistence of impunity; resulting, for example, in a fall inKenyas

GrossDomesticProductgrowthratefromareported7%in2007to1.7%in2008.43

43SituationintheRepublicofKenya,RequestforauthorisationofaninvestigationpursuanttoArticle15,

ICC01/093,26November2009,paras5659.

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72.Considerations of gravity have also been applied in situations leading to adecisionnottoproceed.InrelationtotheSituationinIraq,theavailableinformation

inrelationtocrimesallegedlycommittedbyStatePartynationalsrevealedalimited

scaleofconductconstitutingwarcrimesofwilfulkillingandinhumanetreatmentby

membersofnational armed forces. Inviewof considerations ofgravity theOffice

declined to open investigations,whilenoting it could revisit its assessment in the

lightofnewfactsorevidence.44

(c)InterestsofJustice

73.Theinterestsofjusticeisonlyconsideredwheretherequirementsofjurisdictionand admissibility are met. Under article 53(1), while the jurisdiction and

admissibility are positive requirements, interests of justice is a potential

countervailingconsiderationthatmayproduceareasonnottoproceed. Assuch,the

Prosecutor is not required to establish that an investigation is in the interests of

justice.Rather,theOfficewillproceedunlesstherearespecificcircumstanceswhich

providesubstantial reasons tobelieve it isnot in the interestsofjustice todosoat

thattime.Pursuanttoarticle53(1),theOfficewillconsiderinparticularthegravityof

thecrimeandtheinterestsofvictims.

74.TheStatuterecognizesaspecificrolefortheUnitedNationsSecurityCouncilinmatters affecting internationalpeace and security.Accordingly, the concept of the

interestsofjusticeshouldnotbeconceivedtoembraceallissuesrelatedtopeaceand

security. The interests of justice provision should not be considered a conflict

managementtoolrequiringtheProsecutorassumetheroleofamediatorinpolitical

negotiations:suchanoutcomewouldruncontrarytotheexplicitjudicialfunctionsof

theOfficeandtheCourtasawhole.45

75. InlightofthemandateoftheOfficeandtheobjectandpurposesoftheStatute,there is a strong presumption that investigations and prosecutionswillbe in the

interests ofjustice, and therefore adecisionnot toproceed on the grounds of the

interestsofjusticewouldbehighlyexceptional.Thesubject is treated indetail ina

separatepolicypaperoftheOffice.46

44 OTP response to communications received concerning Iraq, 9 February 2006. In the light of

complementarity, the Office observed that the available information also indicated that national

proceedingshadbeeninitiatedwithrespecttoeachoftherelevantincidents.45 In the samevein, theUNSecretaryGeneralhascalled formediators toadjust to the legalprocess,

rather than for the legalprocess toaccommodatepoliticalnegotiations:Now that the ICChasbeen

established,mediators shouldmake the international legalposition clear to theparties.They should

understand that if the jurisdiction of the ICC is established in a particular situation, then, as an

independentjudicialbody, the Courtwill proceed to dealwith it in accordancewith the relevant

provisionsof

the

Rome

Statute

and

the

process

of

justice

will

take

its

course;

Enhancing

Mediation

and

itsSupportActivities,ReportoftheSecretaryGeneral,S/2009/189,8April2009,para.37.46PolicyPaperontheInterestsofJustice(ICCOTP2007).

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VI.PropriomotupowersoftheProsecutorandpolicyofinvitingreferrals76.Where theOfficeof theProsecutorhasdecided independently,using itspropriomotupowerstotriggerthepreliminaryexaminationphase,thatthereisareasonable

basistoproceedwithopeninganinvestigationintoasituation,andbeforerequesting

authorizationtothePreTrialChamber,theOfficemayinformrelevantState(s)ofits

determinationandofferthemtheoptiontoreferthesituationtotheCourtwiththe

aim inter alia of increasing theprospects of cooperation.47If the State(s) concerned

electsnot torefer thesituation,theOfficeremainspreparedatall times toproceed

propriomotu,aswasdoneintheKenyasituation.

77.TheideathatStateswithadirectstakeinasituationsuchastheterritorialState,the custodialStateor theStateofnationalityofperpetratorswouldhavea special

interestinreferringthesituation,orselfreferralsastheyhavebeencalledinrecent

years, is nothing new. It was explicitly contemplated during the negotiations in

Rome.48

78.TheOfficespracticeinrelationtotheDRCdisplaystheearlyimplementationofthepolicyofinvitingareferral.InhisfirstaddresstotheAssemblyofStatesParties

in September 2003 the Prosecutor announced that, pursuant to his proprio motu

powers,havingreviewedallinformationavailable,hehadidentifiedthesituationin

the Ituri region of DRC as warranting the opening of an investigation. Reports

indicatedtheparticulargravityofthecrimes,bothintermsoftheirscaleandnature,

resultingin,interalia,anestimated5,000civiliandeathssince2002.Theirmannerof

commission included summary executions, theburning of people alive, physical

mutilationandthespecifictargetingofvulnerablegroups,inparticularwomenand

children. The crimes had also causedmassive displacement, exacerbated poverty,

famine and disease. Reference was also made to illegal exploitation of natural

resourcesaccompanyingandprecipitatingthecommissionofsuchcrimes.49

79.The Prosecutor stated that the Office stood ready, if necessary, to seekauthorisationfromaPreTrialChambertostartan investigationunderpropriomotu

47 Report on the activities performed during the first three years (June 2003 June 2006), Ref

RP20060906OTP.

48AstheofficialreportofthedebatesoftheAdHocCommitteeobserves[S]omedelegationsexpressedtheviewthatanyStatepartytothestatuteshouldbeentitledto lodgeacomplaintwithrespecttothe

[corecrimes].However,theviewwasalsoexpressedthatonlytheStatesconcernedthathadadirect

interest in the case, such as the territorial State, the custodial State or the Stateofnationality of the

victim or suspect shouldbe entitled to lodge complaints; Report of theAd Hoc Committee on the

Establishmentofan InternationalCriminalCourt,UNDoc.A/50/22,1995,at112 (emphasisadded).See

alsoPreparatoryCommitteeconsultations:Somedelegations felt thatonly thoseStatesparties to the

statutewithaninterestinthecaseshouldbeabletolodgeacomplaint.InterestedStateswereidentified

asthecustodialState,theStatewherethecrimewascommitted,theStateofnationalityofthesuspect,

theStatewhosenationalswerevictimsand theStatewhichwas the targetof the crime.Someother

delegations opined that the crimes under the statute were, by their nature, of concern to the

internationalcommunityasawhole;SummaryoftheProceedingsofthePreparatoryCommitteeDuringthe

Period

25

March

12

April

1996,UN

Doc.

A/AC.249/1,

7May

1996,

at

163

(emphasis

added).

49 SecondAssembly of States Parties to the Rome Statute of the International Criminal Court Report of the

ProsecutoroftheICC,MrLuisMorenoOcampo,8September2003.

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powers,adding:Our rolecouldbe facilitatedbya referraloractive support from

theDRCA referral or active support fromAfrican andWestern countries that

have takena role in thepeaceprocessaswellasotherStatesPartieswould show

theircommitmenttothegoalofputtinganendtotheatrocitiesintheregion.50

80.On3March2004theProsecutorreceivedareferralfromtheGovernmentoftheDRCrequestingtheOfficetoinvestigateandprosecutecrimeswithinthejurisdiction

of the Court occurring on its territory. The Office has since brought forward a

numberofcasesfromthesituation.

81.A similar approach, involving the use of proprio motu powers to identify asituation followed by a referral by the territorial State occurred in relation to

Uganda.51InKenya,afterconsultationswiththenationalauthoritiesoverapossible

referral,theGovernmentdecidedtosupportpropriomotuactionbytheICC,stating

that its remains fully committed to discharge its primary responsibility in

accordancewiththeRomeStatutetoestablishalocaljudicialmechanismtodealwith

theperpetratorsofthepostelectionviolenceandremainscommittedtocooperate

withtheICC.52

82.Pursuant to the principle of independence, the policy of inviting referrals iswithoutprejudicetothecaseselectionandprosecutorialstrategyoftheOffice.

VII. Procedure83.Preliminary examination of available information in respect of a situation isperformed inacomprehensiveand thoroughmanner.TheProsecutor isobliged to

continuewiththeexaminationuntilsuchtimeastheinformationshowsthatthereis,

orisnot,areasonablebasisforaninvestigation. Forexample,thecomplementarity

criteria may require monitoring of specific national proceedings in order to

determinewhether they are related to themost serious crimes and are genuine.

Accordingly, the timing and length of preliminary examination activities will

necessarilyvarybasedonthesituation.53

84.Noprovision in theStatuteor theRulesestablishesadefinitive timeperiod forthe completion of a preliminary examination. This was a deliberate legislative

decision inRomeandone thatensures that theanalysis isadjusted to the specific

features of each particular situation54 including, inter alia, the availability of

50Ibid.51Reportontheactivitiesperformedduringthefirstthreeyears(June2003 June2006),RefRP20060906OTP52SituationintheRepublicofKenya,RequestforauthorisationofaninvestigationpursuanttoArticle15,

ICC01/093, 26November 2009,para 21; Statement byHE thePresident and theRightHonorablePrime

Minister,5November2009(ibid,Annex28).53Situation in theCentralAfricanRepublic,ProsecutionsReportPursuant toPreTrialChamber IIIs30

November2006

Decision

Requesting

Information

on

the

Status

of

the

Preliminary

Examination

of

the

SituationintheCentralAfricanRepublic,ICC01/057,15December2006,paras78.54Ibid,paras910.

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information, the nature and scale of the crimes, and the existence of national

responsesinrespectofallegedcrimes.55

85. In relation to CentralAfrican Republic, for example, the Offices preliminaryexaminationrequiredinordertobethorough,interalia,forittoawaitandassessthe

pronouncementoftheCour

de

Cassation.

86. Inordertodistinguishthosesituationsthatwarrantinvestigationfromthosethatdonot,theOfficehasestablishedafilteringprocesscomprisingfourphases:

(a) Phase 1provides an initialassessmentofall informationonalleged crimesreceived (communications) under article 15, in order to filter out all

information on crimes that are manifestly outside the jurisdiction of the

Court.56

(b) Phase 2, representing the formal commence of preliminary examination,involves an analysis of all information on alleged crimes, including

communications thatwerenotrejected inPhase1, information inrelation

to referralsbyaStatePartyor theSecurityCounciloradeclaration lodged

pursuant to article 12(3), open source information, as well as testimony

receivedattheseatoftheCourt.

a. Phase 2(a) analysis focuses on issues of temporal and geographical orpersonaljurisidiction,and

b. Phase2(b)analysisfocusesonallegedcrimeswithinthejuridictionoftheCourt.

(c) Phase3focusesonananalysisofadmissibility,and(d) Phase4examinestheinterestsofjusticetoenableafinalrecommendationonwhetherthereisareasonablebasistoinitiateaninvestigation.

87. In accordance with Regulation 28 of the Regulations of the Office of theProsecutor, theOfficewill send anacknowledgement in respectofall information

receivedoncrimestothosewhoprovidedtheinformation.

88.The Office will also provide a regular overview of the number of article 15communications receivedby theOffice, and a percentagebreakdown of the total

numberofcommunicationsthathavebeendeterminedtobemanifestlyoutsidethe

jurisdictionof theCourt, thatwarrant furtheranalysis,orare linked toa situation

alreadyunderanalysis.57

55Ibid,paras78.56 It shouldbe recalled that the Prosecutor sproprio motu powers canbe exercised onlywithin the

statutoryparameters of territorial and nationaljuridiction; theProsecutor cannot act on information

concerningcrimes

allegedly

committed

on

the

territory

or

by

nationals

of

States

not

Parties

unless

that

Statehaslodgedanarticle12declaration57SeeOTPWeeklyBriefing.

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89.TheOfficemaydecidetomakepublicitsactivitiesinrelationtothepreliminaryexaminationactivities inorder tocontribute to thepreventionof futurecrimesand

encouragegenuinenationalproceedings.Indoingso,theOfficeshallbeguidedinter

aliabyconsiderationsforthesafety,wellbeing,andprivacyofthosewhoprovided

the information or others who are at risk on account of such information in

accordancewithrule49,subrule1.

90.Consistentwith theProsecutorialStrategyof theOffice,Objective3, theOfficemay also consider the publication of an interim report regarding preliminary

examination activities andmay decide to hold public or confidentialmeetings in

ordertoreceiveadditionalinformationonmattersunderanalysis.58TheOfficemay

alsomakepublic reportson the legal issues thatare at theheartof apreliminary

examination.59

91.Beforemaking a finaldecision on itspreliminary examination, theOfficewillseek toensure that allparties concernedhavehad theopportunity toprovide the

informationthattheyconsiderappropriate.

92. If, after its preliminary examination, the Prosecutor concludes that theinformationprovideddoesnotconstituteareasonablebasisforaninvestigation,the

Office will inform those who provided the information, andmay alsomake its

decision public. This shall not preclude the Prosecutor from considering further

informationsubmittedtohimorherregardingthesamesituationinthelightofnew

factsorevidence.60

VIII. PositiveComplementarity93.TheOfficespositivecomplementaritypolicy,whichisbasedonthegoalsofthepreamble and article 93(10) of the Statute, is distinct from the legal admissibility

thresholdofcomplementarity.

94.Atallphasesof itspreliminaryexaminationactivities,consistentwith itspolicyof positive complementarity, the Office will seek to encourage where feasible

genuinenational investigations andprosecutionsby theState(s) concerned and to

cooperatewithandprovideassistance to suchState(s)pursuant toarticle93(10)of

theStatute.61

95. In some circumstances, theOfficeand theStateconcernedmayagree that ICCproceedings are themost effectiveway to advance the aims of thepreamble, and

58 Prosecutorial Strategy 20092012, 1 February 2010. Objective 3 sets out to regularly provide

informationabout thepreliminaryexaminationprocess,taking intoaccountconsiderationsofsecurity

ofpersonsitinteractswithandtoissueperiodicreportsonthestatusofitspreliminaryexamination.59 See e.g.Summary of submissions onwhether the declaration lodged by thePalestinianNationalAuthority

meets

statutory

requirements,3May

2010.

60Articles15(6)and53(4),ICCStatute.61PolicyPaper2003

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Documents

OTP_Draft Policy Paper on Preliminary Examinations 041010