Department of Law Spring Term 2016 Master’s Thesis in Public International Law 30 ECTS The Gatekeeper of the ICC Prosecutorial strategies for selecting situations and cases at the International Criminal Court Author: Lovisa Bådagård Supervisor: LL.D. Mark Klamberg 2 Table of contents 1 Introduction ........................................................................................................................... 7 1.1 Problem ............................................................................................................................... 7 1.2 Purpose and research question ............................................................................................ 8 1.3 Research design and sources ............................................................................................... 8 1.4 Limitations ........................................................................................................................ 11 1.5 Structure of analysis .......................................................................................................... 12 2 Background: A unique prosecutor ....................................................................................... 13 2.1 Prosecutorial discretion in general .................................................................................... 13 2.2 The Prosecutor of the ICC ................................................................................................. 14 3 Objectives of the ICC .......................................................................................................... 15 3.1 Ending impunity ................................................................................................................ 15 3.2 Preventing crimes .............................................................................................................. 16 3.3 Improving respect for international law ............................................................................ 17 3.4 Restoring international peace and security ........................................................................ 18 3.5 Creating a historical record ............................................................................................... 19 3.6 Providing redress for victims ............................................................................................ 21 3.7 Summary: Broad and inter-related objectives ................................................................... 22 4 Legal framework for situation and case selection ............................................................... 23 4.1 Introduction ....................................................................................................................... 23 4.2 Situations and cases – what is the difference? .................................................................. 23 4.3 Trigger mechanisms .......................................................................................................... 24 4.3.1 Generally .................................................................................................................... 24 4.3.2 State referrals.............................................................................................................. 24 4.3.3 Security Council referrals ........................................................................................... 25 4.3.4 Proprio motu investigations ....................................................................................... 25 4.4 Preliminary examination phase ......................................................................................... 26 4.4.1 Reasonable basis for investigation ............................................................................. 26 4.4.2 Evidence and jurisdiction ........................................................................................... 27 4.4.3 Admissibility of the situation ..................................................................................... 28 4.4.3.1 Generally ............................................................................................................. 28 4.4.3.2 Complementarity and ne bis in idem ................................................................... 28 4.4.3.3 Gravity ................................................................................................................. 30 4.4.4 The interests of justice ................................................................................................ 32 4.4.5 Outcome of a preliminary examination ...................................................................... 33 4.4.5.1 Decision to open an investigation ....................................................................... 33 4.4.5.2 Decision not to open an investigation ................................................................. 33 3 4.4.6 Security Council deferral ........................................................................................... 35 4.5 Investigation phase ............................................................................................................ 35 4.5.1 Preliminary rulings regarding admissibility ............................................................... 35 4.5.2 Duties and powers of the Prosecutor while conducting the investigation .................. 35 4.5.3 Selecting cases for prosecution .................................................................................. 36 4.5.3.1 Parameters of selection ........................................................................................ 36 4.5.3.2 Sufficient basis for a warrant of arrest or summons to appear ............................ 36 4.5.3.3 Admissibility of cases ......................................................................................... 37 4.5.3.4 Cases and the interests of justice ......................................................................... 39 4.5.4 Outcome of an investigation....................................................................................... 39 4.5.4.1 Decision to prosecute .......................................................................................... 39 4.5.4.2 Decision not to prosecute .................................................................................... 40 4.6 Summary: What room is there for discretion in situation and case selection? .................. 41 4.6.1 Introduction ................................................................................................................ 41 4.6.2 Situation selection ...................................................................................................... 41 4.6.3 Case selection ............................................................................................................. 43 5 ICC prosecutorial strategy and policy ................................................................................. 44 5.1 Inventory of policy and strategy documents ..................................................................... 44 5.2 General content of the strategy and policy documents ...................................................... 45 5.2.1 Initial policy paper (2003) .......................................................................................... 45 5.2.2 Strategy documents .................................................................................................... 46 5.2.2.1 Strategy documents under Luis Moreno Ocampo (2006-2012) .......................... 46 5.2.2.3 Strategy documents under Fatou Bensouda (2012-2018) ................................... 47 5.2.3 Policy papers .............................................................................................................. 49 5.2.3.1 Policy Paper on the Interests of Justice (2007) ................................................... 49 5.2.3.2 Policy Paper on Victims´ Participation (2010) .................................................... 51 5.2.3.3 Policy Paper on Preliminary Examinations (2013) ............................................. 51 5.2.3.4 Policy Paper on Sexual and Gender-Based Crimes (2014) ................................. 52 5.2.3.5 Draft Policy Paper on Case Selection and Prioritization (2016) ......................... 53 6 Analysis of strategic choices ............................................................................................... 56 6.1 Introduction ....................................................................................................................... 56 6.2 Strategic choice 1: Presumption for the interests of justice .............................................. 56 6.2.1 In policy ..................................................................................................................... 56 6.2.2 In practice ................................................................................................................... 57 6.2.3 Analysis ...................................................................................................................... 60 6.2.3.1 A duty to investigate and prosecute .................................................................... 60 6.2.3.2 An apolitical prosecutor ...................................................................................... 62 6.2.3.3 The interests of justice vs. the interests of peace ................................................ 65 4 6.2.3.4 Conclusions: Focusing on “what a court does best” ........................................... 66 6.3 Strategic