Facts going to the criminal responsibility of an accused

Notion(s) Filing Case
Decision on Judicial Notice - 16.06.2006 KAREMERA et al.
(ICTR-98-44-AR73(C))

Emphasis added are in bold, emphasis from the original decision are in italics.

47. […] in Semanza the Appeals Chamber made reference to the need to ensure “that the facts judicially noticed were not the basis for proving the Appellant’s criminal responsibility”.  This reference was made in the context of a discussion of Rule 94(A), and the Appeals Chamber did not discuss the implications for Rule 94(B).  In both contexts, however, it remains the case that the practice of judicial notice must not be allowed to circumvent the presumption of innocence and the defendant’s right to a fair trial, including his right to confront his accusers.  Thus, it would plainly be improper for facts judicially noticed to be the “basis for proving the Appellant’s criminal responsibility” (in the sense of being sufficient to establish that responsibility), and it is always necessary for Trial Chambers to take careful consideration of the presumption of innocence and the procedural rights of the accused.

48. The Appeals Chamber, however, has never gone so far as to suggest that judicial notice under Rule 94(B) cannot extend to facts that “go directly or indirectly” to the criminal responsibility of the accused (or that “bear” or “touch” thereupon).  With due respect to the Trial Chambers that have so concluded,[1] the Appeals Chamber cannot agree with this proposition, as its logic, if consistently applied, would render Rule 94(B) a dead letter.  The purpose of a criminal trial is to adjudicate the criminal responsibility of the accused.  Facts that are not related, directly or indirectly, to that criminal responsibility are not relevant to the question to be adjudicated at trial, and, as noted above, thus may neither be established by evidence nor through judicial notice.[2]  So judicial notice under Rule 94(B) is in fact available only for adjudicated facts that bear, at least in some respect, on the criminal responsibility of the accused.[3]

49.     How can this observation be reconciled with the presumption of innocence?  First, as noted above, judicial notice under Rule 94(B) does not shift the ultimate burden of persuasion, but only the initial burden of production (the burden to produce credible and reliable evidence sufficient to bring the matter into dispute).  Analogously, in the context of alibi evidence, for instance, the accused bears the burden of production with respect to a matter centrally related to the guilt of the accused; yet this shift does not violate the presumption of innocence because, as the Appeals Chamber has repeatedly recognized, the prosecution retains the burden of proof of guilt beyond a reasonable doubt.[4]

50.     Notwithstanding this point, there is nonetheless reason for caution in allowing judicial notice under Rule 94(B) of facts that are central to the criminal responsibility of the accused—for ordinarily in criminal cases the burdens of production and persuasion are on the prosecution.  Although the latter always remains on the prosecution, even shifting the former has significant implications for the accused’s procedural rights, in particular his right to hear and confront the witnesses against him.[5]  The Appeals Chamber considers that as a result an exclusion from judicial notice under Rule 94(B) is appropriate, but one narrower than that adopted by the Trial Chamber: judicial notice should not be taken of adjudicated facts relating to the acts, conduct, and mental state of the accused.  

51.     There are two reasons that this category of facts warrants complete exclusion, while other facts bearing less directly on the accused’s criminal responsibility are left to the Trial Chamber’s discretion.  First, this interpretation of Rule 94(B) strikes a balance between the procedural rights of the Accused and the interest of expediency that is consistent with the one expressly struck in Rule 92 bis, which governs the proof of facts other than by oral evidence—another procedural mechanism adopted largely for the same purpose as was Rule 94.[6]  Second, there is also a reliability concern—namely, there is reason to be particularly skeptical of facts adjudicated in other cases when they bear specifically on the actions, omissions, or mental state of an individual not on trial in those cases.  As a general matter, the defendants in those other cases would have had significantly less incentive to contest those facts than they would facts related to their own actions; indeed, in some cases such defendants might affirmatively choose to allow blame to fall on another.

52.     As to all other adjudicated facts relating to the criminal responsibility of the accused, it is for the Trial Chambers, in the careful exercise of their discretion, to assess each particular fact in order to determine whether taking judicial notice of it—and thus shifting the burden of producing evidence rebutting it to the accused—is consistent with the accused’s rights under the circumstances of the case.  […]

[1] See supra note 77 (cases cited by Nzirorera Response).

[2] See supra note 29.

[3] In theory, there is one exception to this statement: facts bearing on the Tribunal’s jurisdiction but not (directly or indirectly) on the accused’s criminal responsibility under international law, such as the location of the territorial boundaries of Rwanda, or the Rwandan citizenship of a person accused of committing a serious violation of international humanitarian law in a neighbouring State.  This category is quite limited, however, and it has never been suggested that the scope of Rule 94(B) should be limited to such facts.

[4] See, e.g., Kajelijeli Appeal Judgement, paras 40-41; Niyitegeka Appeal Judgement, paras 60-61.

[5] Statute of the International Tribunal, art. 20(e).  For similar reasons, Article 20(d), referring to the right of the accused to be tried in his or her presence, is also implicated by the practice of resolving facts fundamental to the guilt of the accused in other trials where the accused is not present.

[6] Rule 92 bis (in paragraphs (A) and (D) limits admission of witness statements and transcripts from other proceedings to matters “other than the acts and conduct of the accused as charged in the indictment”.  The Appeals Chamber has interpreted this phrase as extending to the mental state of the accused.  See Prosecutor v. Galić, Case No. IT-98-29-AR73.2, Decision on Interlocutory Appeal Concerning Rule 92 bis (C), 7 June 2002, paras 10-11 (“Galić Decision”).

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ICTR Rule Rule 94 ICTY Rule Rule 94
Notion(s) Filing Case
Decision on Judicial Notice - 26.06.2007 MILOŠEVIĆ Dragomir
(IT-98-29/1-AR73.1)

16. The Karemera Appeals Decision established that it is prohibited to take judicial notice of “adjudicated facts relating to the acts, conduct, and mental state of the accused.” This means that, when an accused is charged with crimes committed by others, while it is possible to take judicial notice of adjudicated facts regarding the existence of such crimes, the actus reus and the mens rea supporting the responsibility of the accused for the crimes in question must be proven by other means than judicial notice. Thus, the Appeals Chamber sees no reason why judicial notice could not be taken of adjudicated facts providing evidence as to the existence of crimes committed by others and which the accused is not even charged with, as in the instant case, as long as the burden remains on the Prosecution to establish, by means other than judicial notice, that the accused had knowledge of their existence. The Appeals Chamber recalls, in this respect, that judicial notice of adjudicated facts “does not shift the ultimate burden of persuasion, which remains with the Prosecution” and that the facts “established under Rule 94(B) are merely presumptions that may be rebutted by the defence with evidence at trial”.[3]

17. […] the Appeals Chamber finds ambiguous the Prosecution’s statement that “if the Proposed Facts were judicially noticed the Trial Chamber could rely on them, together with other evidence, to draw inferences about notice to the Accused of crimes committed by SRK forces”,[4] and recalls that evidence of the accused’s notice of the crimes has to be produced separately from judicial notice of their existence. 

[1] Karemera Appeals Decision [Prosecutor v. Édouard Karemera et al., Case No. ICTR-98-44-AR73(C), Decision on Prosecutor’s Interlocutory Appeal of Decision on Judicial Notice, 16 June 2006], para. 50.

[2] Ibid., para. 52.

[3] Ibid., para. 42.

[4] Prosecution’s Interlocutory Appeal [Prosecution’s Interlocutory Appeal Brief against Trial Chamber’s Decision on Prosecution’s Motion for Judicial Notice of Adjudicated Facts and Prosecution’s Catalogue of Agreed Facts with Dissenting Opinion of Judge Harhoff , 10 May 2007], para. 15.

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ICTR Rule Rule 94 ICTY Rule Rule 94
Notion(s) Filing Case
Appeal Judgement - 08.06.2021 MLADIĆ Ratko
(MICT-13-56-A)

40. The Trial Chamber took judicial notice of approximately 2,000 adjudicated facts pursuant to Rule 94(B) of the ICTY Rules. Mladić challenged the taking of judicial notice of adjudicated facts, including adjudicated facts relating to the acts or conduct of his alleged subordinates. The ICTY Appeals Chamber in this case reviewed the Trial Chamber’s approach and found that it was consistent with the applicable jurisprudence. Relying primarily on a decision in the Karemera et al. case, the ICTY Appeals Chamber, on 12 November 2013, held that it is within a trial chamber’s discretion to take judicial notice of “facts relating to the existence of a joint criminal enterprise, the conduct of its members other than an accused, and facts related to the conduct of physical perpetrators of crimes for which an accused is alleged to be criminally responsible”.

[…]

45. In examining whether there is a clear error of reasoning in the Appeal Decision on Adjudicated Facts, the Appeals Chamber considers Mladić’s argument that the Karemera et al. Decision of 16 June 2006 overlooked the relevance of the Galić Decision of 7 June 2002 when considering whether to take judicial notice of adjudicated facts relating to the acts or conduct of proximate subordinates. The Appeals Chamber observes that the Galić Decision of 7 June 2002 does not preclude admission of written evidence in lieu of oral testimony relating to the acts and conduct of proximate subordinates. Rather, it only precludes the admission of such evidence pertaining to the acts and conduct or mental state of the accused. In that decision, the ICTY Appeals Chamber expressly noted that the ICTY rule on the admission of written statements in lieu of oral testimony did not exclude the admission of such statements going to the acts and conduct of others for which the accused is charged with responsibility. Even with respect to admission of written evidence that is “so pivotal to the prosecution case, and where the person whose acts and conduct […] is so proximate to the accused”, the Galić Decision of 7 June 2002 recognizes that this is a matter within the discretion of the trial chamber, observing that, in such circumstances, the trial chamber “may decide that it would not be fair to the accused” to permit its admission.

46. A review of the Karemera et al. Decision of 16 June 2006 shows that the ICTR Appeals Chamber explicitly considered as applicable in the context of judicial notice of adjudicated facts the ICTY Appeals Chamber’s analysis in the Galić Decision of 7 June 2002. In particular, the Karemera et al. Decision of 16 June 2006 recalled the distinction drawn therein between “‘(a) the acts and conduct of those others who commit the crimes for which the indictment alleges that the accused is individually responsible, and (b) the acts and conduct of the accused as charged in the indictment which establish his responsibility for the acts and conduct of those others’”, to emphasize that only adjudicated facts going to the latter warrant complete exclusion from judicial notice. With respect to all other adjudicated facts relating to the accused’s criminal responsibility, the ICTR Appeals Chamber adopted a cautious approach by declaring that “it is for the [t]rial [c]hambers, in the careful exercise of their discretion, to assess each particular fact in order to determine whether taking judicial notice of it – and thus shifting the burden of producing evidence rebutting it to the accused – is consistent with the accused’s rights under the circumstances of the case”. Upon review of both decisions, the Appeals Chamber considers that the Karemera et al. Decision of 16 June 2006 evinces a consistent approach with the Galić Decision of 7 June 2002. The Appeals Chamber further considers that Mladić’s position fails to recognize that adjudicated facts within the meaning of Rule 94(B) of the ICTR and ICTY Rules are presumptions and are not equivalent to the untested evidence at issue in the Galić Decision of 7 June 2002, and that this decision is therefore inapposite when considering what restrictions should be placed on a trial chamber when relying on adjudicated facts under Rule 94(B) of the ICTY Rules. In particular, adjudicated facts under Rule 94(B) of the ICTY Rules are rebuttable presumptions that can only be accepted where, inter alia, they have been tested and established in another trial proceeding whereas the reliability and credibility requirements for admission of untested evidence pursuant to Rules 89(C) and 92 bis of the ICTY Rules are far less onerous.

47. […] In view of the above, Mladić fails to demonstrate that the ICTY Appeals Chamber in the Appeal Decision on Adjudicated Facts erred in relying on the Karemera et al. Decision of 16 June 2006 or that it committed any other error.

[…]

134. […] The Appeals Chamber recalls that taking judicial notice of an adjudicated fact serves only to relieve the Prosecution of its initial burden to produce evidence on the point, and the defence may then put the point into question by introducing reliable and credible evidence to the contrary. […]

[1] See Trial Judgement, paras. 16, 5262, referring to Prosecutor v. Ratko Mladić, Case No. IT-09-92-PT, First Decision on Prosecution Motion for Judicial Notice of Adjudicated Facts, 28 February 2012 (“First Decision on Adjudicated Facts”), Prosecutor v. Ratko Mladić, Case No. IT-09-92-PT, Second Decision on Prosecution Motion for Judicial Notice of Adjudicated Facts, 21 March 2012 (“Second Decision on Adjudicated Facts”), Prosecutor v. Ratko Mladić, Case No. IT-09-92-PT, Third Decision on Prosecution Motion for Judicial Notice of Adjudicated Facts, 13 April 2012 (“Third Decision on Adjudicated Facts”), Prosecutor v. Ratko Mladić, Case No. IT-09-92-PT, Fourth Decision on Prosecution Motion for Judicial Notice of Adjudicated Facts Concerning the Rebuttal Evidence Procedure, 2 May 2012 (“Fourth Decision on Adjudicated Facts”), Prosecutor v. Ratko Mladić, Case No. IT-09-92-T, Decision on Proprio Motu Taking Judicial Notice of Two Adjudicated Facts, 5 June 2012. 

[2] Prosecutor v. Ratko Mladić, Case No. IT-09-92-AR73.1, Defense Interlocutory Appeal Brief Against the Trial Chamber Decisions on the Prosecution Motion for Judicial Notice of Adjudicated Facts, 4 July 2012 (“Defence Interlocutory Appeal Brief of 4 July 2012”), para. 26.

[3] Prosecutor v. Ratko Mladić, Case No. IT-09-92-AR73.1, Decision on Ratko Mladić’s Appeal Against the Trial Chamber’s Decisions on the Prosecution Motion for Judicial Notice of Adjudicated Facts, 12 November 2013 (“Appeal Decision on Adjudicated Facts”), para. 85. See also Appeal Decision on Adjudicated Facts, paras. 82-84, 86, 87.

[4] Appeal Decision on Adjudicated Facts, para. 85, referring to, inter alia, The Prosecutor v. Édouard Karemera et al., Case No. ICTR-98-44-AR73(C), Decision on Prosecutor’s Interlocutory Appeal of Decision on Judicial Notice, 16 June 2006 (“Karemera et al. Decision of 16 June 2006”), paras. 52, 53. See also Appeal Decision on Adjudicated Facts, paras. 81, 83.

[5] See Mladić Appeal Brief, paras. 64, 65, 69, 76, 80, 82, 85, 86, 94; T. 25 August 2020 pp. 28-30.

[6] See [Prosecutor v. Stanislav Galić, Case No. IT-98-29-AR73.2, Decision on Interlocutory Appeal Concerning Rule 92 bis (C), 7 June 2002 (“Galić Decision of 7 June 2002”)], paras. 9, 13-16.

[7] See Galić Decision of 7 June 2002, paras. 9-11.

[8] Galić Decision of 7 June 2002, para. 10.

[9] Galić Decision of 7 June 2002, para. 13.

[10] See Karemera et al. Decision of 16 June 2006, para. 52.

[11] Karemera et al. Decision of 16 June 2006, para. 52, quoting Galić Decision of 7 June 2002, para. 9.

[12] See Karemera et al. Decision of 16 June 2006, paras. 50-53.

[13] Karemera et al. Decision of 16 June 2006, para. 52 (emphasis added).

[14] See Karadžić Appeal Judgement, para. 452, n. 1189.

[15] See Karadžić Appeal Judgement, n. 1189 (citations omitted).

[16] See Karemera et al. Decision of 16 June 2006, paras. 42, 49; Karemera et al. Decision of 29 May 2009, paras. 13, 14; D. Milošević Decision of 26 June 2007, paras. 16, 17.

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ICTY Rule Rule 94(B)
Notion(s) Filing Case
Appeal Judgement - 08.06.2021 MLADIĆ Ratko
(MICT-13-56-A)

50.  In articulating its approach to evidence presented in rebuttal to adjudicated facts, the Trial Chamber specified, in part, as follows:

The Trial Chamber analysed the evidence and considered, as an initial step, whether evidence contradicted the Adjudicated Facts. The Trial Chamber required evidence to be unambiguous in its meaning in order to be termed as ‘contradicting the Adjudicated Facts’. For example, evidence suggesting mere possibilities was deemed not to reach that threshold. In other words, merely pointing at the possibility of alternative scenarios was in itself not sufficient ground to reopen the evidentiary debate. A contradiction can exist in either presenting evidence on a specific alternative scenario, as opposed to a mere suggestion of one or more possible alternative scenarios, or in the unambiguous demonstration that the scenario as found in the Adjudicated Fact must reasonably be excluded as true. […] The Trial Chamber was mindful that evidence contradicting adjudicated facts does not automatically rebut the adjudicated fact. The presumption of accuracy of the adjudicated fact is only rebutted by ‘reliable and credible’ contradictory evidence.[1]

[…]

54. […] The ICTR Appeals Chamber in the Karemera et al. case has clarified that “the effect [of judicially noticing an adjudicated fact] is only to relieve the Prosecution of its initial burden to produce evidence on the point; the defence may then put the point into question by introducing reliable and credible evidence to the contrary”.[2]  In this respect, Mladić contends that “[t]he need for rebuttal evidence to be ‘credible and reliable’ […] must be read in light of the general standard for the admissibility of evidence”,[3] which is “relatively low”,[4] and “was never intended to be applied in conjunction with an additional requirement that the evidence be 'unambiguous’”.[5] He argues that the Trial Chamber’s error in heightening the standard resulted in his evidence being deemed “insufficient to enliven the rebuttal procedure or to rebut the accuracy of the adjudicated fact”.[6]

55.   In the Appeals Chamber’s view, Mladić confuses the standard for the admissibility of evidence with the final evaluation thereof. A reading of the Trial Judgement shows that the Trial Chamber’s criterion of unambiguity was not related to the reliability or credibility of evidence, but rather to its contrary nature.[7] In accordance with the standard elucidated by the ICTR Appeals Chamber in the Karemera et al. case, in order for evidence presented in rebuttal of an adjudicated fact to be admissible, and thereby bringing the presumption of its accuracy into dispute, such evidence must be contrary to the adjudicated fact and bear sufficient indicia of prima facie reliability and credibility.[8] The Appeals Chamber stresses, however, that “adjudicated facts that are judicially noticed […] remain to be assessed by the Trial Chamber to determine what conclusions, if any, can be drawn from them when considered together with all the evidence brought at trial”.[9] As such, the final evaluation of the probative value of rebuttal evidence, which includes a final assessment of its reliability and credibility, as well as the extent to which it is consistent with or contradicts adjudicated facts, “will only be made in light of the totality of the evidence in the case, in the course of determining the weight to be attached to it”.[10]

56.   In light of the above, and considering that, once judicially noticed, an adjudicated fact is presumed to be true, the Appeals Chamber finds no dissonance in the Trial Chamber’s requirement that evidence produced in rebuttal thereof should be “unambiguous in its meaning” – namely that it must either point to “a specific alternative scenario” or “unambiguous[ly] demonstrat[e] that the scenario as found in the Adjudicated Fact must reasonably be excluded as true”[11] – in order to successfully contradict it. […]

[1] Trial Judgement, paras. 5273, 5274 (internal citations omitted).

[2] The Prosecutor v. Édouard Karemera et al., Case No. ICTR-98-44-AR73(C), Decision on Prosecutor’s Interlocutory Appeal of Decision on Judicial Notice, 16 June 2006 (“Karemera et al. Decision of 16 June 2006”)], para. 42. See also Karadžić Appeal Judgement, para. 452; Édouard Karemera et al. v. The Prosecutor, Case No. ICTR-98-44-AR73.17, Decision on Joseph Nzirorera’s Appeal of Decision on Admission of Evidence Rebutting Adjudicated Facts, 29 May 2009 (“Karemera et al. Decision of 29 May 2009”)], paras. 13, 14; [Prosecutor v. Dragomir Milošević, Case No. IT-98-29/1-AR73.1, Decision on Interlocutory Appeals Against Trial Chamber’s Decision on Prosecution’s Motion for Judicial Notice of Adjudicated Facts and Prosecution’s Catalogue of Agreed Facts, 26 June 2007 (“D. Milošević Decision of 26 June 2007”)], paras. 16, 17; Karemera et al. Decision of 16 June 2006, para. 49.

[3] Mladić Appeal Brief, para. 103; T. 25 August 2020 p. 36. See also Mladić Appeal Brief, para. 98.

[4] Mladić Appeal Brief, para. 103, quoting Karemera et al. Decision of 29 May 2009, para. 15 (“the threshold for admission of this type of rebuttal evidence is relatively low: what is required is not the definitive proof of reliability or credibility of the evidence, but the showing of prima facie reliability and credibility on the basis of sufficient indicia”); T. 25 August 2020 p. 36.

[5] Mladić Appeal Brief, para. 104; T. 25 August 2020 pp. 37, 38.

[6] Mladić Appeal Brief, para. 106; T. 25 August 2020 pp. 39, 40. See also Mladić Appeal Brief, para. 112; Mladić Reply Brief, para. 27.

[7] See Trial Judgement, para. 5273 (“The Trial Chamber required evidence to be unambiguous in its meaning in order to be termed as ‘contradicting the Adjudicated Facts’.”).

[8] See Karemera et al. Decision of 29 May 2009, paras. 13-15. See also D. Milošević Decision of 26 June 2007, paras. 16, 17; Karemera et al. Decision of 16 June 2006, paras. 42, 49.

[9] Karemera et al. Decision of 29 May 2009, para. 21. See also Karadžić Appeal Judgement, para. 452.

[10] Karemera et al. Decision of 29 May 2009, para. 15. See also Karadžić Appeal Judgement, para. 128.

[11] Trial Judgement, para. 5273.

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