Motion to Dismiss for Lack of Subject Matter Jurisdiction (FINAL … · 2012. 8. 10. · 3. The...

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1 THE INTERNATIONAL CRIMINAL TRIBUNAL FOR THE FORMER YUGOSLAVIA Case No. IT-06-90-A BEFORE THE APPEALS CHAMBER Before: Judge Theodor Meron, Presiding Judge Fausto Pocar Judge Patrick Robinson Judge Mehmet Güney Judge Carmel Agius Registrar: Mr. John Hocking Date Filed: 10 August 2012 THE PROSECUTOR v. ANTE GOTOVINA AND MLADEN MARKAC APPELLANT ANTE GOTOVINA’S MOTION CHALLENGING THE APPEALS CHAMBER’S JURISDICTION TO CONSIDER ALTERNATE MODES OF LIABILITY, OR IN THE ALTERNATIVE FOR FINDING OF PROSECUTION WAIVER [PUBLIC] ____________________________________________________________________ For the Prosecution: For Ante Gotovina: Ms. Helen Brady Mr. Gregory W Kehoe Mr. Douglas Stringer Mr. Luka S. Misetic Mr. Payam Akhavan Mr. Guénaël Mettraux For Mladen Markac: Mr. Goran Mikulicic Mr. Tomislav Kuzmanovic Mr. John Jones Mr. Kai Ambos 5814 IT-06-90-A A5814 - A5736 10 August 2012 MB

Transcript of Motion to Dismiss for Lack of Subject Matter Jurisdiction (FINAL … · 2012. 8. 10. · 3. The...

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THE INTERNATIONAL CRIMINAL TRIBUNAL

FOR THE FORMER YUGOSLAVIA

Case No. IT-06-90-A

BEFORE THE APPEALS CHAMBER

Before: Judge Theodor Meron, Presiding

Judge Fausto Pocar

Judge Patrick Robinson

Judge Mehmet Güney

Judge Carmel Agius

Registrar: Mr. John Hocking

Date Filed: 10 August 2012

THE PROSECUTOR

v.

ANTE GOTOVINA AND MLADEN MARKAC

APPELLANT ANTE GOTOVINA’S MOTION CHALLENGING THE

APPEALS CHAMBER’S JURISDICTION TO CONSIDER ALTERNATE

MODES OF LIABILITY, OR IN THE ALTERNATIVE FOR FINDING OF

PROSECUTION WAIVER

[PUBLIC]

____________________________________________________________________

For the Prosecution: For Ante Gotovina:

Ms. Helen Brady Mr. Gregory W Kehoe

Mr. Douglas Stringer Mr. Luka S. Misetic

Mr. Payam Akhavan

Mr. Guénaël Mettraux

For Mladen Markac:

Mr. Goran Mikulicic

Mr. Tomislav Kuzmanovic

Mr. John Jones

Mr. Kai Ambos

5814IT-06-90-AA5814 - A573610 August 2012 MB

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THE INTERNATIONAL CRIMINAL TRIBUNAL

FOR THE FORMER YUGOSLAVIA

Case No. IT-06-90-A

THE PROSECUTOR

v.

ANTE GOTOVINA and

MLADEN MARKAC

APPELLANT ANTE GOTOVINA’S MOTION CHALLENGING THE

APPEALS CHAMBER’S JURISDICTION TO CONSIDER

ALTERNATE MODES OF LIABILITY, OR IN THE ALTERNATIVE

FOR FINDING OF PROSECUTION WAIVER

I. INTRODUCTION

1. On 20 July 2012, the Appeals Chamber issued an Order for Supplementary

Briefing directing the Prosecution to explain inter alia, whether “in the event

that Gotovina is found not liable for unlawful artillery attacks or to be a

member of a joint criminal enterprise, the Prosecution believes that liability

should be ascribed to him on the basis of superior responsibility under Article

7(3) of the Statute of the Tribunal or as an aider and abettor.”

2. Pursuant to Articles 10, 21, 23 and 25 of the Statute of the Tribunal, and Rules

54, 73 and 108 of the Rules, Appellant Ante Gotovina (“Appellant”) hereby

challenges the jurisdiction of the Appeals Chamber to consider whether

“liability should be ascribed to [Appellant] on the basis of superior

responsibility under Article 7(3) of the Statute of the Tribunal or as an aider

and abettor [hereinafter the “alternate modes of liability”].”

3. The Appeals Chamber has jurisdiction pursuant to Article 25 only to consider

appeals from a convicted person or the Prosecutor concerning alleged errors of

law or fact. Outside such an appeal and subject to the qualifications given

below, the Appeals Chamber has no jurisdiction under the Statute.

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4. The Appeals Chamber would only have jurisdiction to consider alternate

modes of liability if one of the parties had filed a Notice of Appeal

challenging the Trial Chamber’s decision not to make findings on alternate

modes of liability. No such appeal has been filed. The Trial Chamber

expressly entered a Judgement that it would not provide a reasoned opinion in

writing (per Article 23(2)) concerning alternate modes of liability, because it

had found that Appellant was liable as a participant in a Joint Criminal

Enterprise.1 Not appealed by the Prosecution, this finding is therefore “final”

and res judicata for the purpose of these proceedings.2

5. Recently the Appeals Chamber in Setako upheld the Prosecution’s argument

that the Trial Chamber’s failure to make findings on alternate modes of

liability, including command responsibility, constituted an error of law.3

Unlike Setako, the Prosecution here filed no notice of appeal challenging the

Trial Chamber’s decision not to make findings on alternate modes of liability

as an alleged error of law under Article 25 of the Statute. Therefore, the

Appeals Chamber is seized only of the Appellant’s four grounds of appeal,

which concern the Joint Criminal Enterprise findings, not alternate modes of

liability. Accordingly, the Appeals Chamber lacks jurisdiction under Article

25 to consider whether “liability should be ascribed to [Appellant] on the basis

of superior responsibility under Article 7(3) of the Statute of the Tribunal or as

an aider and abettor.”

6. In all cases where the Appeals Chamber re-qualified a mode of liability, the

Prosecution appealed against the Trial Judgment. Absent such an appeal, the

Appeals Chamber is prevented from acting in any way that would cause

prejudice to the accused (reformatio in pejus4). This would necessarily be the

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!1 TJ, paragraph 2375.

2 See e.g. Zolotukhin v Russia. Moreover, in the Strugar Decision, the Appeals Chamber made it clear

2 See e.g. Zolotukhin v Russia. Moreover, in the Strugar Decision, the Appeals Chamber made it clear

that the withdrawal of an appeal would render the trial judgment final. This must, per force, mean that

findings that were not the subject of an appeal in the first place have themselves become final.

3 Setako AJ, 268.

4 See Jokic Sentencing Appeal, par 26. For a statement of principle of this prohibition, see, e.g., Art

83(2) ICC Statute (“When the decision or sentence has been appealed only by the person convicted, or

the Prosecutor on that person's behalf, it cannot be amended to his or her detriment.”). This provision

makes it clear that the prohibition of reformatio in pejus is not limited to an increase in sentence. See

also W. Schabas, and R. Cryer.

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case should the Chamber seek to convict the accused on a mode of

responsibility absent written trial findings, absent a Prosecution appeal and

absent the right of the Accused to appeal findings regarding these modes of

liability, should findings be made against him.5 This is well illustrated by the

Appeals Chamber in Bralo, where it held that it could not consider issues that

could result in a prejudice to the accused:

“as the Prosecution has not appealed the Sentencing

Judgement, the Appeals Chamber has no competence to

consider any matter going to an increase of sentence.”6

7. Moreover, because the principle of res judicata attached when the Prosecution

failed to timely file a Notice of Appeal concerning the issues of alternate

modes of liability, the Appeals Chamber would violate the non bis in idem

prohibition of Article 10 by re-exposing Appellant to criminal jeopardy.7

8. In the alternative, should the Appeals Chamber find that it does have

jurisdiction to consider alternate modes of liability, the Appeals Chamber

should find that the Prosecution failed to file a Notice of Appeal challenging

the Trial Chamber’s Judgement not to enter alternate modes of liability

findings and, as a result, the Prosecution waived any right to pursue these

arguments.

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!5 In this case, the detriment (pejus) would lie, inter alia, in the fact that (i) the accused did not and

would not get a right to appeal aspects of these modes of liability (a violation of the Statute and Article

14(5) ICCPR), (ii) he would be denied a fair opportunity to look for and produce additional evidence

on appeal in relation to them (itself a denial of fair proceedings), (iii) to the extent that the Appeals

Chamber were to rely on trial findings to “stitch together” a case against the accused, he would be

prejudiced by the fact that he could not and did not appeal those findings (challenges to factual findings

on which a conviction does not rely are not appealable; see e.g. Krajisnik AJ paragraph 20).

6 Bralo AJ, paragraph 85.

7 A decision or findings contained therein become final for instance where the deadline to appeal those

findings has passed (see, again, Zolotukhin v. Russia cited above) or when no appeal is filed or is

withdrawn (as in the Jokic Sentencing Appeal cited above).

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II. ARGUMENT

A. The Appeals Chamber Lacks Jurisdiction To Consider the

Alternate Modes of Liability

1. The Jurisdiction of the Appeals Chamber is limited to

Article 25 of the Statute

9. Article 25(1) defines the jurisdiction of the Appeals Chamber:

The Appeals Chamber shall hear appeals from persons

convicted by the Trial Chambers or from the Prosecutor on the

following grounds:

. (a) an error on a question of law invalidating the decision; or

. (b) an error of fact which has occasioned a miscarriage of

justice.

10. It is axiomatic that any appellate court’s jurisdiction must be limited to the

terms expressed in the statute. Article 2 to Protocol 7 of the ECHR states that

“[e]veryone convicted of a criminal offence by a tribunal shall have the right

to have conviction or sentence reviewed by a higher tribunal. The exercise of

this right, including the grounds on which it may be exercised, shall be

governed by law.”8 Article 14(5) of the ICCPR likewise provides that:

“[e]veryone convicted of a crime shall have the right to his conviction and

sentence being reviewed by a higher tribunal according to law.”9 To be

consistent with the minimum human rights standards outlined in these

provisions, “the Statute must dictate, if not the detailed ‘modalities,’ at least

the broad lines on which the right of appeal is to be exercised.”10

11. The Appeals Chamber has no jurisdiction unless it is provided for under the

Statute. “The exercise of appellate judicial powers by the court or tribunal, as

distinct from the regulation of such rights, requires legislative authority.”11

“A

right of appeal does not arise from mere inference.”12

Judge Sidhwa explained

this proposition in the Tadic jurisdiction appeal:

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!8 Emphasis added.

9 Emphasis added.

10 Roth and Henzelin.

11 Karibi-Whyte.

12 Id.

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The law relating to appeals in most national jurisdictions is that

no appeal lies unless conferred by statute. The right to appeal a

decision is part of substantive law and can only be granted by

the law-making body by specific enactment. Where the

provision for an appeal or some form of review by a higher

forum is not regulated by the statute under which an order is

passed, there is usually some omnibus statute providing for

appeals in such cases. The courts have no inherent powers to

create appellate provisions or acquire jurisdiction where none is

granted. Where the law provides for an appeal, the court may,

by the adoption of reasonable and proper rules, supply

deficiencies in the statutory provisions as to practice. Appellate

courts have no jurisdiction over incompetent appeals other than

dismiss them. It is thus clear that a tribunal or court cannot

assume appellate powers under any concept of inherent

jurisdiction or by expanding its jurisdiction through any

amendment to its rules.13

12. To be consistent with the requirements of ICCPR and Protocol 7 ECHR, the

Appeals Chamber’s exercise of jurisdiction must be compatible with the plain

terms of Article 25, which limits jurisdiction to “hear[ing] appeals from

persons convicted by the Trial Chamber or from the Prosecutor” on grounds

alleging errors of fact or law. The principle tantum devolutum quantum

appellatum states that, “an appeals Judge may only decide on the part of the

decision (of first instance) which is contested by either party (the remaining

part becoming res judicata).”14

Accordingly, the jurisdiction of the Appeals

Chamber is limited under Article 25 to appeals from a convicted person or the

Prosecutor alleging an error of fact or law, as detailed in a Notice of Appeal

filed under Rule 108. It has no jurisdiction to pass judgment on issues not

appealed and not falling within either party’s grounds of appeal.

13. The Appeals Chamber has identified one exception to this general rule which

does not apply here. In Erdemovic, the Appeals Chamber held that, “the

Appeals Chamber has raised preliminary issues proprio motu pursuant to its

inherent powers as an appellate body once seised of an appeal lodged by either

party pursuant to Article 25 of the Statute.”15

However, Judge Shahabuddeen

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!13

Tadic Jurisdiction Appeal.

14 Gashi, at page 10, attached hereto as Annex A. See also van de Velden, at page 23 (attached hereto

as Annex B), explaining that under the principle tantum devolutum quantum appellatum, “those parts

of a decision that are not appealed are, in principle, not reconsidered by the appellate court.”

15 Erdemovic AJ, paragraph 16.

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explained that Erdemovic cannot be interpreted to mean that the Appeals

Chamber can “gratuitously intervene whenever it feels something wrong was

done…”.16

Rather, “the Appeals Chamber can raise issues whether or not

presented by a party, provided, I consider, that they lie within the prescribed

grounds of appeal, that they arise from the record, and that the parties are

afforded an opportunity to respond.”17

14. ICTY appeals are not trials de novo so only those issues raised by the

appellant(s) are validly before the Chamber.18

Here, the alternate modes of

liability issue is not within the four grounds of appeal raised by the Appellant,

all of which are limited to the Trial Chamber’s JCE findings. Therefore the

Erdemovic exception likewise does not apply and thus the Appeals Chamber

lacks jurisdiction under Article 25 to consider any matters related to alternate

modes of liability.19

2. The Prosecutor Failed to Properly Seize the Appeals

Chamber On the Issue of Alternate Modes of Liability

15. If the Prosecution believed that the Trial Chamber should have made findings

concerning Appellant’s responsibility under Article 7(3) or as an aider and

abettor, it should have filed a Notice of Appeal challenging the Trial

Chamber’s Judgement not to render a reasoned opinion on these alternate

modes of liability. In Setako, the Prosecution filed a Notice of Appeal

alleging that the Trial Chamber erred “in failing to make any finding on

Setako’s responsibility under Article 6(3) of the Statute [equivalent to Article

7(3) of the ICTY Statute] for the 25 April and 11 May Killings.”20

The

Appeals Chamber found that, “[t]he Trial Chamber’s failure to make such a

finding constituted an error of law.”21

Such an error of law must, therefore,

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!16

Barayagwiza Review Decision.

17 Id. Emphasis added.

18 See, e.g., Sljivancanin AJ, par 352; Hadzihasanovic AJ, par 302; Limaj AJ, par 127.

19 Furthermore, any doubt as to the scope of the Appeals Chamber’s jurisdiction should be construed in

favor of the Appellant under the principles in dubio pro libertate and in dubio pro reo.

20 Setako AJ, paragraphs 5, 264.

21 Id.,paragraph 268. Emphasis added.

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be properly appealed under Rule 108 for the Appeals Chamber to have

jurisdiction under Article 25. The Prosecution here did not do so.

16. The records of the travaux make it clear that the Prosecutor’s right to obtain a

new conviction on appeal is subject to exercising his statutory entitlement to

appeal under Article 25. More specifically, the ability and jurisdiction of the

Appeals Chamber to consider a basis that could result in a conviction of the

accused “will only arise if the Prosecutor, in fact, decides to appeal such a

decision.”22

17. This position is further supported by the exceptions contained in Article 2(2)

of Protocol 7 ECHR which provides that a conviction on appeal is possible

only if and when it results from an appeal against acquittal. No rule or

principle of international law allows for the possibility of a conviction on

appeal where the prosecution has not appealed against the trial verdict.

18. Accordingly, if the Prosecution believed that the Trial Chamber should have

made findings on alternate modes of liability, it should have filed a Notice of

Appeal as in Setako alleging that the Trial Chamber committed an error of

law. By not doing so, the Prosecution’s failure left the Appeals Chamber

without jurisdiction to consider the matter.

3. The Absence of a Reasoned Opinion Precludes the Appeals

Chamber’s Jurisdiction Under Article 25 of the Statute

19. The Appeals Chamber has consistently held that an Accused is entitled to a

reasoned written opinion under Article 23, a necessary precondition to the

Appeals Chamber’s exercise of its own jurisdiction under Article 25:

“The fair trial requirements of the Statute include the right of

each accused to a reasoned opinion by the Trial Chamber

under Article 23 of the Statute and Rule 98ter(C) of the

Rules. A reasoned opinion ensures that the accused can

exercise his or her right of appeal and that the Appeals

Chamber can carry out its statutory duty under Article 25 to review these appeals. The reasoned opinion requirement,

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!22

Morris and Scharf and L. Johnson.

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however, relates to a Trial Chamber’s judgement rather than

to each and every submission made at trial.”23

20. Accordingly, the Appeals Chamber cannot “carry out its statutory duty under

Article 25” to review appeals where no reasoned opinion was rendered, with

the exception of cases such as Setako where a party files a Notice of Appeal

alleging that the failure to render a reasoned opinion under Article 23 itself

constitutes an error of law.

21. Here, the Trial Chamber expressly judged that it would not render a reasoned

opinion under Article 23 concerning alternate modes of liability.24

With

nothing for the Appeals Chamber to review, the Appeals Chamber cannot

“carry out its statutory duty under Article 25 to review” the alternate modes of

liability.

22. Moreover, in the absence of a Notice of Appeal alleging a violation of Article

23, the Appeals Chamber lacks jurisdiction to write its own reasoned opinion

where the Trial Chamber expressly chose not to do so.

23. Finally, a reasoned opinion is a necessary and minimum condition of the

effective exercise of a defendant’s right of appeal.25

Every accused also has

the fundamental right to appeal against his conviction.26

Article 14(5) of the

ICCPR, which contains such a guarantee, has been said by the Appeals

Chamber to reflect “an imperative norm of international law to which the

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!23

Limaj AJ, para. 81 (emphasis added). See also Hadžihasanović AJ para. 13; Naletilić AJ, para. 603;

Kvočka AJ, paras 23 and 288.

24 TJ, paragraph 2375.

25 See e.g. Limaj AJ, par 81; Krajisnik AJ, par 139; Hadžihasanović AJ, para. 13; Naletilić AJ, par 603;

Kvočka AJ, pars 23 and 288 26

See, e.g., Article 14(5) ICCPR; Article 2 Protocol 7 ECHR (none of the exceptions of article 2(2)

would be applicable here); Article 8(2)(h) ACHR; Human Rights Committee, General Comment 13

[1984], par 17; Human Rights Committee, General Comment 32 [2007], Section VII (in particular

(footnotes omitted): “Article 14, paragraph 5 is violated not only if the decision by the court of first

instance is final, but also where a conviction imposed by an appeal court or a court of final instance,

following acquittal by a lower court, according to domestic law, cannot be reviewed by a higher court.

Where the highest court of a country acts as first and only instance, the absence of any right to review

by a higher tribunal is not offset by the fact of being tried by the supreme tribunal of the State party

concerned; rather, such a system is incompatible with the Covenant, unless the State party concerned

has made a reservation to this effect.”); Tadic Appeal (Vujin). See also Bassiouni.

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Tribunal must adhere.”27

This imperative norm means that “everyone

convicted of a crime shall have the right to his conviction and sentence being

reviewed by a higher tribunal according to law.”28

Accordingly, any Appeals

Chamber Judgement addressing the merits of alternate modes of liability—in

effect acting as the court of first instance—would not only be ultra vires

because there is no jurisdiction to act, but would also leave the Appellant

without the right to an appeal to a higher court, in violation of well-established

international human rights standards.29

4. Appeals Chamber Review of the Alternate Modes of

Liability is Precluded By the Doctrines of Res Judicata and

Non Bis in Idem

24. When the Prosecution failed to file a Notice of Appeal, the Trial Chamber’s

Judgement on alternate modes of liability (more precisely, the affirmative

decision not to make reasoned opinions concerning the alternate modes of

liability) became final and non-appealable. Were the Appeals Chamber to

consider these issues, it would violate the Article 10 prohibition against non

bis in idem, as well as the doctrine of res judicata.

25. A decision acquires the force of res judicata, “when it is irrevocable, that is to

say when no further ordinary remedies are available or when the parties have

exhausted such remedies or have permitted the time-limit to expire without

availing themselves of them.”30

What has become res judicata cannot be the

subject of an appeal. Under the principle tantum devolutum quantum

appellatum, “an appeals Judge may only decide on the part of the decision (of

first instance) which is contested by either party (the remaining part becoming

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!27

Tadic Appeal (Vujin). This right is a critical element of the fair trial guarantee: see, again, Human

Rights Committee, General Comment 13 [1984], par 17.

28 Human Rights Committee, General Comment 13 [1984], par 17. Where, unlike the ICTY, appeals

proceedings are effectively trial de novo, appeals from a new conviction must of necessity be provided.

An illustration of that necessary element may be found, inter alia, in Article 317 of the BiH CPC,

which provides for necessary appeals from appellate decisions which result in new convictions on

appeal.

29 The possibility that the Appeals Chamber itself might commit a reversible error was well illustrated,

for instance, in the Barayagwiza case where a second Appeals Chamber effectively overturned the

initial Appeals Chamber decision. The risk of erroneous new factual findings being made for the first

time on appeal was also highlighted in the context of the Slivancjanin Review Proceedings. See also

the opinions of Judge Fausto Pocar in Kalimanzira AJ; and Slivancjanin AJ, Partially Dissenting

Opinion of Judge Fausto Pocar with references.

30 Zolotukhin v Russia. Emphasis added.

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res judicata).”31

In Simic, the Trial Chamber ruled that the principle of res

judicata precluded the Prosecution from contesting an issue which it had

failed to appeal:

It was open to the prosecution to seek leave to appeal from that

decision, but it did not do so. The ICRC Decision thus stands

and is binding upon the parties to it insofar as the Trial

Chamber has ruled that the evidence of the former employee of

the ICRC sought to be presented by the Prosecutor should not

be given. The principle of res judicata would prevent the

prosecution from raising that specific issue again in any

interlocutory proceedings between it and the ICRC unless the

Trial Chamber itself were prepared to reconsider its decision.32

26. The Appeals Chamber has consistently applied this principle in determining

the scope of re-trials. The Haradinaj re-trial was limited to the six counts that

were the subject of an appeal and which were quashed on appeal.33

No retrial

could have been ordered in relation to any other counts of the indictment, as

they had not been the subjects of the appeal.34

Likewise, in Muvunyi, retrial

was ordered for a conviction on one count, which the Accused had appealed

and which was quashed by the Appeals Chamber.35

27. Similarly, the Appeals Chamber has no jurisdiction to grant relief for an issue

that was neither the subject of a trial finding nor appealed by either party. In

Muvunyi, the Appeals Chamber noted that “the present situation gives rise to

appropriate circumstances for retrial pursuant to Rule 118(C) of the Rules,

limited to the allegations considered under this ground of appeal.” (Emphasis

added).36

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!31

Gashi, at page 10, attached hereto as Annex A.

32 Simic Decision, at paragraph 9.

33 Haradinaj AJ, par 50.

34Id.; see also Haradinaj Appeal on Scope. (“The Trial Chamber cannot make findings with respect to

Haradinaj's criminal responsibility beyond that alleged in the six counts which are the subject of the

retrial”).

35 Muvunyi Appeal on Scope. See also, ibid, Joint Dissenting Opinion of Judges Shahabuddeen and

Meron, 24 March 2009, par 1.

36 The same view may be inferred from the holding of the Delic Appeals Chamber where it linked its

power to remit a matter for retrial to its power to decide a matter brought before it as a result of the

appeal or from the earlier Delalic Appeals Chamber. See Mucic Sentencing AJ, par 10, 11, 17-18; and

Celebici AJ, parsagraphs710-713 (limiting the remit to “these issues” that it had ruled upon).

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28. Even in those disputed cases37

where the Appeals Chamber has entered a new

conviction on appeal, the Prosecutor had seized the Appeals Chamber by

filing an appeal alleging error in the trial judgement. Unlike those cases, the

Prosecutor here filed no appeal whatsoever.

29. Because the Prosecution chose not to appeal the Trial Chamber’s express

Judgement regarding alternate modes of liability, this portion of the

Judgement is res judicata and non-appealable. Further, the Appeals Chamber

would violate Article 10’s prohibition against non bis in idem by re-opening

these issues.38

Accordingly, the Appeals Chamber is precluded by the

principles of res judicata and non bis in idem from considering the alternate

modes of liability.

5. Conclusion

30. Article 25 and Rule 108 limit the jurisdiction of the Appeals Chamber to those

grounds of appeal raised by the parties. The principle tantum devolutum

quantum appellatum limits the Appeals Chamber’s review to issues contested

by the parties. Moreover, the Appeals Chamber cannot “carry out its statutory

duties under Article 25” where the Trial Chamber expressly chose not to

render a reasoned opinion on alternate modes of liability. The Appeals

Chamber would violate the Appellant’s right to an appeal to a higher court

were it to act as the trier of first instance on issues involving alternate modes

of liability.

31. When the Prosecutor decided not to appeal the Trial Chamber’s Judgement on

the alternate modes of liability (1) this portion of the Judgement became final

and subject to the doctrines of res judicata and non bis in idem, and (2) the

Appeals Chamber never became properly seized of the issue. Nothing in the

Statute or the Rules allows the Appeals Chamber to reconsider this matter, and

were the Appeals Chamber to do so it would violate Articles 10, 23 and 25,

Rule 108, and the requirements of the ICCPR and Protocol 7 to the ECHR .

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!37

See e.g. Sljivancanin AJ, Partially Dissenting Opinion of Judge Fausto Pocar, pars 1 et seq and

references.

38 Barayagwiza Review Decision, at paragraph 19.

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32. Additionally and/or alternatively, the Appeals Chamber should find that

because the Prosecution has not appealed any aspect of the Trial Judgement,

including the alternate modes of liability, it has waived this issue. Further, per

Simic, the Prosecution is also estopped by the doctrine of res judicata from

disputing the Trial Chamber’s Judgement,39

and the Appeals Chamber should

not consider the matter.

B. Conclusion and Prayer for Relief

33. For all of the reasons set forth above, the Appeals Chamber should find that,

on the issue of the Appellant’s responsibility under the alternate modes of

liability:

1. The Appeals Chamber lacks jurisdiction pursuant to Article 25 to

consider the matter or, if it has jurisdiction, it could not exercise it

in compliance with the fundamental rights of the accused and must

therefore refrain from doing so; and

2. The Trial Chamber’s Judgement on alternate modes of liability (i.e.

its Judgement not to render a reasoned opinion) is now final and

non-appealable as a result of the Prosecutor’s failure to appeal the

matter.

34. In the alternative, the Appeals Chamber should find that the Prosecutor has

waived any issue concerning the alternate modes of liability by failing to

appeal the Trial Chamber’s Judgement, and is also estopped by the doctrine of

res judicata from pursuing the matter further.

C. Motion for Leave to Exceed the Word Limitation

35. Appellant respectfully requests leave to exceed the word limitation. The

issues raised in the present motion, challenging the jurisdiction of the Appeals

Chamber to consider alternate forms of liability absent an appeal from the

Prosecutor, have never been considered before in the jurisprudence of the

Appeals Chamber. As a result, Appellant out of necessity has been required to

cite to extensive authority from ICTY, ICTR, ECHR and general sources.

!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!39

Simic Decision, at paragraph 9.

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36. Appellant submits that it is in the interests of justice for the Appeals Chamber

to have the benefit of citations to as many sources as possible as it resolves

this issue of first impression. Moreover, given that the question of the

Appeals Chamber’s jurisdiction on the issue of alternate form of liability

exposes the Appellant to new forms of liability that were not explored in the

Trial Chamber Judgement, Appellant submits that he should be allowed to

exceed the word limit in this exceptional circumstance. Accordingly,

Appellant respectfully asks leave of the Appeals Chamber to exceed the word

limitation.

Word Count: 4467

Dated: 10 August 2012

Payam Akhavan Guénaël Mettraux

Defence Counsel for Ante Gotovina

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GLOSSARY

Abbreviations

Abbreviation Used Full Citation

AJ Appeals Judgement

ACHR American Convention on Human Rights

BiH CPC Criminal Procedure Code of Bosnia and

Herzegovina

ECHR European Convention on Human Rights

ICCPR International Covenant on Civil and

Political Rights

TJ Trial Judgement

ICTY Authorities Cited

Abbreviation Used Full Citation

Bralo AJ Prosecutor v. Miroslav Bralo, IT-95-17-

A, Judgement on Sentencing Appeal, 2

April 2007.

Celebici AJ Prosecutor v. Delalic, et al., IT-96-21-A,

Judgement, 20 February 2001.

Erdemovic AJ Prosecutor v. Drazen Erdemovic, IT-96-

22-A, Judgement, 7 October 1997.

Hadzihasanovic AJ Prosecutor v. Hadzihasanovic and

Kubura, IT-01-47-A, Judgement, 22

April 2008.

Haradinaj AJ Prosecutor v. Haradinal et al., IT-04-84-

A, Judgement, 19 July 2010.

Haradinaj Appeal on Scope Prosecutor v. Haradinaj, et al., IT-04-

84bis-AR73.1, Decision on Haradinaj’s Appeal on Scope of Partial Retrial, 31

May 2011.

Jokic Sentencing Appeal Prosecutor v. Miodrag Jokić, Case No.

IT-01-42/1-A, Judgement on Sentencing

Appeal, 30 August 2005

Krajisnik AJ Prosecutor v. Momcilo Krajisnik, IT-00-

39-A, 17 March 2009.

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Kvocka AJ Prosecutor v. Miroslav Kvocka, et al., IT-

98-30/1-A, Judgement, 28 February

2005.

Limaj AJ Prosecutor v. Fatmir Limaj, et al., IT-03-

66-A, Judgement, 27 September 2007.

Mucic Sentencing AJ Prosecutor v. Mucic, et al.,IT-96-21-

Abis, Judgment on Sentence Appeal, 8

April 2003.

Naletilic AJ Prosecutor v. Mladen Naletilic, IT-98-34-

A, Judgement, 3 May 2006.

Simic Decision Prosecutor v. Milan Simic, et al,, IT-95-

9/2, Decision on Application by Stevan Todorovic to Re-Open the Decision of 27

July 1999, 28 February 2000.

Sljivancanin AJ Prosecutor v. Mrksic and Sljivancanin,

IT-95-13/1-A, Judgement, 5 May 2009.

Sljivancanin Review Proceedings Prosecutor v. Sljivancanin, IT-95-13/1-

R.1, Review Judgement, 8 December

2010.

Strugar Decision Prosecutor v. Strugar, Case No. IT-01-42-Misc.1, Decision On Strugar’s Request

To Reopen Appeal Proceedings, 7 June 2007, para. 21.

Tadic Jurisdiction Appeal Prosecutor v. Dusko Tadic, IT-94-1,

Decision on Defence Interlocutory

Appeal on Jurisdiction (Separate Opinion of Judge Sidwa on the Defence Motion

for Interlocutory Appeal on Jurisdiction), 2 October 1995.

Tadic Appeal (Vujin) Prosecutor v. Dusko Tadic, IT-94-A-

AR77, Appeal Judgement on Allegations

of Contempt Against Prior Counsel, Milan Vujin, 27 February 2001, pages 3-

4.

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ICTR Authorities Cited

Abbreviation Used Full Citation

Barayagwiza Review Decision Jean Bosco Barayagwiza v. The

Prosecutor, ICTR-97-19-AR72, Decision

on Prosecutor’s Request for Review or Reconsideration, 31 March 2000,

Separate Opinion of Judge

Shahabuddeen, at paragraph 18.

Kalimanzira AJ

Calixte Kalimanzira v. The Prosecutor,

ICTR-05-88-A, Judgement, 20 October

2010, Partially Dissenting and Separate

Opinions of Judge Pocar, pars 2-5.

Muvunyi Appeal on Scope

The Prosecutor v. Tharcisse Muvunyi,

ICTR-2000-55A-AR73, Decision on Prosecutor’s Appeal Concerning the

Scope of Evidence to be adduced in the Retrial, 24 March 2009, par 14

Setako AJ Ephrem Setako v. The Prosecutor, ICTR-

04-81-A, Judgement, 28 September 2011.

Authorities Cited from Other Jurisdictions

Abbreviation Used Full Citation

Gashi Prosecutor v. Gashi, et al., District Court

of Pristina, P. Nr. 526/05, 2 October

2009, rev’d on other grounds, Prosecutor

v. Gashi et al., Supreme Court of Kosovo,

AP-Kz 373/10, 7 February 2012.

Zolotukhin v. Russia

Case of Sergey Zolotukhin v Russia,

Application No 14939/03, Judgment, 10

February 2009, par 107-108. (European

Court of Human Rights).

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General Sources

Abbreviation Used Full Citation

Bassiouni C. Bassiouni, “Human Rights in the

Context of Criminal Justice: Identifying

International Procedural Protections and

Equivalent Protections in National

Constitutions”, 3 Duke Journal of

Comparative and International Law 235

(1993), at 286 et seq.

R. Cryer

R. Cryer et al, An Introduction to

International Criminal Law and Procedure, 2010, 2

nd Ed., p. 471.

M. Fleming M. Fleming, “Appellate Review in

International Criminal Tribunals”, 37(1)

Texas International Law Journal 111

(2002), at 117.

L. Johnson Larry Johnson, “Ten Years Later:

Reflections on the Drafting”, 2(2004)

JICJ, 368-379, 375.

Karibi-Whyte Adolphus G. Karibi-Whyte, Appeal Procedures and Practices, in 1

Substantive and Procedural Aspects of International Criminal Law, 627, 640-

641 (Gabrielle Kirk McDonald and Olivia

Swaak-Goldman eds. 2000).

Morris and Scharf Virginia Morris and Michael P. Scharf,

An Insider’s Guide to the International Criminal Tribunal for the former

Yugoslavia, 295-296 (Transnational

Publishers, Inc. 1995).

Roth and Henzelin R. Roth and M. Henzelin, The Appeal Procedure of the ICC, in A Cassese, P

Gaeta and J Jones (eds), The Rome Statute of the International Criminal

Court: A Commentary (2002), at 1540.

W. Schabas W. Schabas, An introduction to the

International Criminal Court, 2010, pp.

328-329.

van de Velden Jacob van de Velden, The Effect in the European Community of Judgments in

Civil and Commercial Matters:

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Recognition, Res Judicata and Abuse of

Process (Netherlands), British Institute of

International and Comparative Law, at p.

23 (attached hereto as Annex B).

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ANNEX A

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ANNEX B

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5753IT-06-90-A

Page 63: Motion to Dismiss for Lack of Subject Matter Jurisdiction (FINAL … · 2012. 8. 10. · 3. The Appeals Chamber has jurisdiction pursuant to Article 25 only to consider appeals from

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