Kerstin Carlson Phd Dissertation August 15 2013
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Model(ing) Law: The ICTY, the International Criminal Justice Template, and Reconciliation in the Former Yugoslavia By Kerstin Bree Carlson A dissertation submitted in partial satisfaction of the requirements for the degree of Doctor of Philosophy in Jurisprudence and Social Policy in the Graduate Division of the University of California, Berkeley Committee in charge: Professor Malcolm Feeley, Chair Professor Ronelle Alexander Professor Kristin Luker Professor Martin Shapiro Fall 2013 Abstract Model(ing) Law: The ICTY, the International Criminal Justice Template, and Reconciliation in the Former Yugoslavia By Kerstin Bree Carlson Doctor of Philosophy in Jurisprudence and Social Policy University of California, Berkeley Professor Malcolm M. Feeley, Chair My project uses the case study of the ICTY and reconciliation in the Balkans to address the larger topic of the capacity of international criminal tribunals (ICTs) as transitional justice mechanisms. I argue that the ICTY operates under the (flawed) received wisdom of the IMT at Nuremberg, what I term the international criminal justice template. This template accords three transitional justice functions for ICTs beyond (and in conjunction with) their central judicial aim of adjudicating cases: as (1) articulators of progressive criminal law (2) historians and (3) reconcilers or storytellers. My examination of the ICTY through each category illustrates that obstacles to the ICTY's role as a transitional justice mechanism are structural, and relate to the absence of a discursive loop between sovereign and governed. This discursive loop, present at domestic law, accounts for the capacity of domestic courts to perform the tasks identified by law and society scholars as central to courts, namely the capacity to act as constitutive social agents as well as the capacity to exert social control. At the international level, this capacity is interrupted. The dissertation calls for new scholarship and the development of international law and society studies, in order to better theorize and understand the structural and theoretical constraints governing the establishment of legitimacy for international criminal courts. 1 for my grandmother (Ingrid) Violet Bengston Carlson (1916 – 2013) i Table of Contents Acknowledgements: ..................................................................................................... v Introduction .................................................................................................................. 1 My research question ............................................................................................... 2 The international criminal justice template .......................................................... 7 Chapters & structure ............................................................................................... 9 Chapter 1: The IMT and the Emergence of a Tripartite Transitional Justice Template .................................................................................................. 12 (I) Prosecutions of war crimes after World War II ............................................ 14 Getting to Nuremberg ................................................................................................ 15 Before the IMT: charges, defenses, verdicts ........................................................ 17 The law at the IMT: charges .................................................................................... 18 The trial ........................................................................................................................... 20 Defenses .......................................................................................................................... 21 Verdicts ............................................................................................................................ 21 After the IMT: Allied war crimes trials, denazification, and “putting the past behind us” in Germany ....................................................................... 22 (II) Articulating a “progressive” “international” criminal law? ....................... 24 Velpke Children’s Home .............................................................................................. 25 Developing international criminal law .............................................................. 30 (III) Re-evaluating Nuremberg: IMT & Allied war crimes trials as historians ............................................................................................................... 30 (IV) Transitional justice: reconciliation and the power of an “official version” ............................................................................................................... 34 Germany immediately following World War II .............................................. 36 The emergence of the modern understanding of Nuremberg ................. 38 Providing a “control” case for the international criminal justice template: the IMT at Tokyo. ....................................................................... 40 Conclusion .............................................................................................................. 42 Chapter 2: Situating the ICTY ................................................................................ 45 Introduction ............................................................................................................ 46 (I) Import of the project (review of the literature) ............................................. 48 Transitional justice ..................................................................................................... 50 Law & society ................................................................................................................ 54 International criminal law (ICL) ........................................................................... 56 In conclusion: joining and expanding critical legal studies ....................... 58 (II) A brief history of the “Land of the South Slavs” ......................................... 58 From the first Slav migrants through World War I ...................................... 60 World War II & Tito: sowing the crop later reaped ...................................... 61 Destroying the Yugoslav identity: ethno-nationalism & war ................... 62 War wounds: Yugoslavia’s legacy ........................................................................ 67 (III) Justice = peace: tasking a court to end a war .............................................. 68 Imagining a war crimes tribunal ........................................................................... 68 Shaping the ICTY: institutional legacies of central participants ............. 73 Richard Goldstone brings the ICTY to life (1994-1996) ............................. 74 Louise Arbour shapes a “consequential” ICTY (1996-1999) ................... 76 Carla Del Ponte sharpens the ICTY’s teeth (1999-2007) .......................... 77 Closing down ................................................................................................................. 79 Conclusion .............................................................................................................. 79 ii Chapter 3: Post Rule of Law: International Criminal Procedure and its Evolution before the ICTY ..................................................................... 80 (I) Typologies: common law & civil law in contrast ........................................... 82 Legal systems as ideologies .................................................................................... 83 Adversarial vs. inquisitorial .................................................................................... 84 The hierarchical vs. coordinate ideal .................................................................. 85 Typologies as ideals: law as culture .................................................................... 85 (II) Criminal law practice ...................................................................................... 87 Pre-trial ............................................................................................................................ 87 Trial 89 Comparative efficacy of systems ........................................................................... 92 (III) The ICTY’s peculiar hybrid: “an adversarial court with continental flavors” ................................................................................................. 93 ICTY rules of procedure & their evolution ....................................................... 94 Adding civil law procedure “for efficiency”: the 1999 reforms ............... 99 The verdict thus far: fairness concerns, no added efficiency ................. 102 (IV) “Post rule of law”: the problem of sentencing ........................................... 104 Conclusion ............................................................................................................ 107 Chapter 4: When Non-derogable Principles Meet Criminal Liability: the Justice Problem of JCE ..................................................................................... 108 (I) The development of joint criminal enterprise .............................................. 110 JCE’s first articulation: the Tadić case .............................................................. 110 The law of Tadić ......................................................................................................... 112