Ivan Čermak's Public Redacted Final Brief
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IT-06-90-T 37496 D37496 - D37140 13 September 2010 SMS THE INTERNATIONAL CRIMINAL TRIBUNAL FOR THE FORMER YUGOSLAVIA Case No. IT06-90T IN TRIAL CHAMBER I Before: Judge Alphons Orie, Presiding Judge Uldis Kinis Judge Elisabeth Gwaunza Registrar: Mr. John Hocking Date: 13 September 2010 PROSECUTOR v. ANTE GOTOVINA IVAN ČERMAK MLADEN MARKAČ PUBLIC IVAN ČERMAK’S PUBLIC REDACTED FINAL BRIEF The Office of the Prosecutor For the Accused Ivan Čermak Mr. Alan Tieger Mr. Steven Kay QC Ms. Gillian Higgins For the Accused Ante Gotovina For the Accused Mladen Markač Mr. Luka Mišetić Mr. Goran Mikuličić Mr. Gregory Kehoe Mr. Tomislav Kuzmanović Mr. Payam Akhavan 37495 THE INTERNATIONAL CRIMINAL TRIBUNAL FOR THE FORMER YUGOSLAVIA Case No. IT06-90T THE PROSECUTOR v. ANTE GOTOVINA IVAN ČERMAK MLADEN MARKAČ PUBLIC IVAN ČERMAK’S PUBLIC REDACTED FINAL BRIEF 1. Ivan Čermak hereby submits his Public Redacted Final Brief with Annexes. Ivan Čermak’s Final Brief was originally filed confidentially on 16 July 2010. Signed Steven Kay QC Lead Counsel for Ivan Čermak Word count: 24 Case No. IT-06-90-T 1 13 September 2010 37494 CONTENTS INTRODUCTION 1 PART I: LEGAL DIRECTIONS 2 I. THE PRESUMPTION OF INNOCENCE 2 II. PROOF OF GUILT 2 III. SEPARATE CONSIDERATION 3 IV. RIGHT OF SILENCE OF AN ACCUSED 4 V. EQUAL TREATMENT OF WITNESSES 4 VI. DELAY 4 PART II: THE LAW - MODES OF CRIMINAL LIABILITY 6 I. ARTICLE 7(1) JOINT CRIMINAL ENTERPRISE (JCE) 6 II. ARTICLE 7(3) SUPERIOR RESPONSIBILITY 6 A. Superior-Subordinate Relationship 7 1. EFFECTIVE CONTROL 7 2. INFLUENCE NOT ENOUGH 7 3. APPEARANCE OF CONTROL NOT ENOUGH 8 4. DE FACTO AND DE JURE AUTHORITY 9 5. EFFECTIVE CONTROL FOR NON-MILITARY AUTHORITIES 9 6. ISSUING ORDERS 11 7. POWER TO DISCIPLINE 12 8. OFFICIAL POSITION 13 9. BEHAVIOUR OF ALLEGED SUBORDINATES IN PRESENCE OF ACCUSED 13 10. IDENTITY OF PERPETRATORS 14 11. EFFECTIVE CONTROL BEYOND REASONABLE DOUBT AND IN DUBIO 14 PRO REO IT-06-90-T I 13 September 2010 37493 B. The Knowledge Requirement 15 1. NOT A STRICT LIABILITY CRIME 15 2. ACTUAL KNOWLEDGE 15 3. CONSTRUCTIVE KNOWLEDGE 16 4. KNOWLEDGE OF CRIMES OF NON-SUBORDINATES NOT SUFFICIENT 16 C. Necessary and Reasonable Measures 17 1. MATERIAL ABILITY 17 2. DUTY TO PREVENT OR PUNISH 17 3. REPORTING CRIMES TO AUTHORITIES MAY SUFFICE 18 III. OTHER MODES OF LIABILITY UNDER ARTICLE 7(1) 19 A. Aiding and Abetting 19 B. The Distinction Between Aiding and Abetting and Co-Perpetration 24 in a JCE C. Omission under Article 7(1) 25 IV. NO CRIMINAL LIABILITY AS A CONDUIT 26 PART III: APPOINTMENT, ROLE AND ESTABLISHMENT OF THE 29 KNIN GARRISON I. BACKGROUND 29 II. APPOINTMENT 30 III. DE FACTO ROLE OF CERMAK IN THE NORMALISATION OF LIFE 34 IV. THE ESTABLISHMENT OF THE KNIN GARRISON, MANPOWER AND 39 RESOURCES PART IV: JOINT CRIMINAL ENTERPRISE: FACTUAL ANALYSIS 43 I. INTRODUCTION 43 II. DID A JOINT CRIMINAL ENTERPRISE EXIST? 43 A. No Plurality of Persons Involving Cermak 44 IT-06-90-T II 13 September 2010 37492 B. No Common Criminal Purpose 53 C. No Mens Rea 56 III. NO PARTICIPATION BY CERMAK IN A JCE 57 A. Indictment Paragraphs 17(a), 19(a) and 19(b) 60 B. Indictment Paragraph 17(b) 61 1. CERMAK DID NOT HAVE ANY POSITION OR AUTHORITY TO 61 FORMULATE POLITICAL, GOVERNMENTAL OR MILITARY POLICY 2. BRIJUNI: NO INVOLVEMENT IN THE PLANNING, PREPARATION OR 61 EXECUTION OF OPERATION STORM 3. NO INVOLVEMENT IN DISCUSSIONS IN THE PRESIDENTIAL 62 TRANSCRIPTS 4. HOUSING LAWS 62 5. CERMAK TOOK POSITIVE ACTION TO ASSIST THE SERBS IN THE UN 62 CAMP AND PROTECT THEIR HUMAN RIGHTS (a) Cermak’s Attempts to Encourage People to Stay 63 (b) Cermak and the Departure of Serbs From the UN 67 Compound (c) Cermak and the Suspected War Criminals in the UN 69 Compound 6. CONTRARY TO PARAGRAPH 17(B) CERMAK TOOK ACTION IN HIS 75 ROLE AS GARRISON COMMANDER TO POSITIVELY ASSIST THE SERBS C. Indictment Paragraphs 17(c) and 19(c) 77 1. CONTRARY TO PARAGRAPH 19(C) OF THE INDICTMENT, CERMAK 85 ADMITTED THAT CRIMES WERE TAKING PLACE 2. CONTRARY TO PARAGRAPH 19(C) OF THE INDICTMENT, CERMAK 88 PASSED ON INFORMATION ABOUT CRIMES TO THE RELEVANT AUTHORITIES D. Indictment Paragraph 19(c): Incident in Grubori 95 1. PLAVNO VALLEY 25 AUGUST 1995 95 2. CERMAK’S KNOWLEDGE AND THE REPORTING OF THE GRUBORI 96 INCIDENT 25 AUGUST (a) Report to the Garrison and Cermak’s Attempts to get 96 IT-06-90-T III 13 September 2010 37491 Information (b) Attempts of the Kotar-Knin PU to Locate Grubori 98 26 AUGUST (c) Information in Possession of Cermak During the UNTV 100 Interview (d) Report to the Knin Police by UNCIVPOL 103 (e) Attempts by the Garrison to get Information on 26 August 103 (f) Visit to Grubori by Karolj Dondo 104 (g) Report to the Knin Police by Karolj Dondo on the Evening of 104 26 August 27 AUGUST (h) Information in Possession of Cermak During the HRT 106 Interview of 27 August 3. ALLEGED COVER-UP OF THE CRIMES BY “SPREADING FALSE 107 INFORMATION” (a) The False Information did not Originate From Cermak 107 (b) Cermak had no Reason not to Trust the Reports 108 4. EFFORTS TO ENSURE OR OBSTRUCT AN ON-SITE INVESTIGATION 109 (a) The Meetings Prior to the Visit to Grubori on 27 August 110 The Meeting at the Knin Garrison 111 The Meeting at the Knin Police Station 112 The Meeting at Cermak’s Office 114 (b) The Visit to Grubori Hamlet on 27 August 114 (c) The Lunch and/or Coffee Meeting at the Knin Garrison 116 Following the Visit to Grubori 5. KNOWLEDGE OF PROSECUTING AUTHORITIES AND OTHER 119 RESPONSIBLE AUTHORITIES OF CROATIA (a) Information Supplied to the Zadar-Knin PU 119 (b) Information Supplied to the Crime Police Section of Zadar- 120 Knin PU (c) Information Supplied to the Highest Levels of the Croatian 120 IT-06-90-T IV 13 September 2010 37490 Government 5. CONCLUSIONS 122 E. Indictment Paragraph 17(d) 123 F. Indictment Paragraphs 17(e) and 19(d) 123 1. NO FAILURE TO INVESTIGATE OR FOLLOW UP ON INVESTIGATIONS 124 2. NO FAILURE TO PREVENT, PUNISH OR DISCIPLINE SUBORDINATES 125 AND OTHERS IN THE CROATIAN AUTHORITIES OVER WHOM IVAN CERMAK ALLEGEDLY POSSESSED EFFECTIVE CONTROL 3. NO FAILURE TO ESTABLISH AND MAINTAIN LAW AND ORDER AMONG 126 HIS SUBORDINATES OR TO DISCIPLINE THEM G. Indictment Paragraphs 17(f), 19(c) and 19(e) 129 1. CERMAK DID NOT CONCEAL CRIMES BY RESTRICTING THE 129 MOVEMENT OF INTERNATIONALS (a) The Need for Restrictions on FOM was Agreed Between 130 Croatia and the UN in the Akashi-Sarinic Agreement (b) Between 4-15 August, the UN Restricted the Movement of 131 its Own Staff for Security Reasons (c) The Agreement was not Efficiently Implemented Because 131 Sarinic had no Authority to Make a Binding Agreement on Behalf of the Government (d) The Agreement was not Communicated to those 132 Responsible for its Implementation (e) Cermak Made Attempts to try to Ensure that the Spirit of the 133 Agreement was Implemented (f) Cermak Tried to Assist the Internationals with FOM but was 134 Only a Mere Conduit/Interlocutor (g) Others Possessed the Authority to Determine FOM and 139 ROM (h) Objective Security Concerns were a Permissible and 143 Reasonable Basis for Restricting Movement (i) Cermak was not Involved in the Ad-hoc Decisions of the 145 MUP and VP Which led to ROMs (j) Despite Protests about ROMs, UNCRO, ECMM and HRAT 148 Teams were Able to Patrol Areas Within the Former Sector IT-06-90-T V 13 September 2010 37489 South and Report on Events (k) Cermak had no Power to Decide upon the ROMs which 150 Took Place at the End of August/Beginning of September due to Special Police Operations 2. CERMAK WAS NOT RESPONSIBLE FOR SANITATION OF THE TERRAIN OR 152 FOR ACCESS TO THE KNIN GRAVEYARD: DE JURE AND DE FACTO (a) De Jure and De Facto Sanitation of the Terrain 152 (b) The Garrison and its De Facto Role 160 PART V: SUPERIOR RESPONSIBILITY - FACTUAL ANALYSIS 169 I. INTRODUCTION 169 A. No Superior-Subordinate Relationship: No Effective Control 169 1. NO DE JURE SUPERIOR POSITION 170 2. NO FORMAL OR INFORMAL HIERARCHY TO THE PERPETRATORS 170 3. NO REPORTING TO CERMAK 171 4. NATURE OF ROLE AND TASK 171 5. NO MILITARY EDUCATION, TRAINING OR EXPERIENCE 171 6. APPEARANCE OR BELIEF NOT ENOUGH 171 7. MERE INFLUENCE NOT ENOUGH 172 8. NO AUTHORITY TO ISSUE AND ENFORCE ORDERS 172 9. THE TYPES OF ORDERS ISSUED WERE HUMANITARIAN OR 172 ADMINISTRATIVE/LOGISTICAL 10. CERMAK’S ORDERS WERE NOT TO ALLEGED PERPETRATORS 173 11. MERE ISSUANCE OF ORDERS NOT ENOUGH 173 12. CHAOTIC SITUATION POST STORM 173 II. THE HV 174 A. The De Jure Authority of the Garrison Commander 174 1. CERMAK HAD NO DE JURE OPERATIONAL COMMAND OR CONTROL 174 IT-06-90-T VI 13 September 2010 37488 OVER THE HV UNITS 2. COORDINATION AND CO-OPERATION OF TASKS OF THE GARRISON 179 COMMANDER 3. TASKS OF GARRISONS 180 4. AUTHORITY OF THE GARRISON COMMANDER TO DISCIPLINE 182 B. Cermak’s Military Position and Rank 184 C. No De Facto Superior-Subordinate Relationship with Units of the 185 HV D. International Witnesses: Unreliable Factual Foundation in Respect 191 of Cermak’s Role, Responsibility and Authority E. Cermak was not Informed of Matters Concerning Either the 202 Mobilisation or Demobilisation of HV Troops or Units Listed in Paragraph 7 of the Indictment F.