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Le Bureau du Procureur
The Office of the Prosecutor
PolicyPaperonPreliminaryExaminationsDRAFT
4October2010TheHague
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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
Authorization of an Investigation into the Situation in theRepublic ofKenya, ICC01/0919Corr,31
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
Authorization of an Investigation into the Situation in theRepublic ofKenya, ICC01/0919Corr,31
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.
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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.
ICCOTP2010 DRAFT 13
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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.
ICCOTP2010 DRAFT 14
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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).
ICCOTP2010 DRAFT 15
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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.
ICCOTP2010 DRAFT 16
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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.
ICCOTP2010 DRAFT 17
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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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