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Proceedings in absentia in comparative and international criminal law

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Mertins, L. (2022). Proceedings in absentia in comparative and international criminal law. Duncker & Humblot. https://doi.org/10.3790/978-3-428-58540-3
Mertins, Lena. Proceedings in absentia in comparative and international criminal law. Duncker & Humblot, 2022. Book. https://doi.org/10.3790/978-3-428-58540-3
Mertins, L (2022): Proceedings in absentia in comparative and international criminal law, Duncker & Humblot, [online] https://doi.org/10.3790/978-3-428-58540-3

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Proceedings in absentia in comparative and international criminal law

Mertins, Lena

Beiträge zum Internationalen und Europäischen Strafrecht / Studies in International and European Criminal Law and Procedure, Vol. 50

(2022)

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About The Author

Lena Mertins studierte Rechtswissenschaften an den Universitäten Bonn und Buenos Aires mit dem Schwerpunkt Kriminalwissenschaften. Danach absolvierte sie Praktika beim International Criminal Tribunal for the Former Yugoslavia und den Extraordinary Chambers in the Courts of Cambodia. Im Rahmen ihrer Promotion forschte sie am Lauterpacht Centre for International Law, University of Cambridge. Sie absolvierte das Referendariat am Oberlandesgericht Köln mit Stationen bei der Deutschen Botschaft in Quito, Ecuador und dem Bundesministerium der Justiz in den Referaten für Staatsschutz- und Völkerstrafrecht sowie Internationales Strafrecht. Seit November 2020 ist sie Richterin im Landgerichtsbezirk Aachen.

Abstract

The thesis finds a normative approach to the question whether trial in absentia is suitable for International Criminal Tribunals by applying classical sources of international criminal law and combining institutional aspects of the procedural theory, specifically the goals of the international criminal trial, with the individual frameworks of fundamental rights, namely the right to be present. Through a critical analysis of concepts presented as models for trial in absentia it introduces a new concept for trials ›in absentia‹ which considers both the defendant’s right and duty to be present. The book thereby establishes a connection between legal theory, international criminal procedural law, international human rights law and comparative law on the one hand and - considering the high number of accused of International Criminal Tribunals at large - a highly relevant procedural question on the other hand.The thesis finds a normative approach to the question whether trial ›in absentia‹ is suitable for International Criminal Tribunals by applying classical sources of international criminal law and combining institutional aspects of the procedural theory, specifically the goals of the international criminal trial, with the individual frameworks of fundamental rights, namely the right to be present. Through a critical analysis of concepts presented as models for trial ›in absentia‹ it introduces a new concept for trials ›in absentia‹ which considers both the defendant’s right and duty to be present. The book thereby establishes a connection between legal theory, international criminal procedural law, international human rights law and comparative law on the one hand and - considering the high number of accused of International Criminal Tribunals at large - a highly relevant procedural question on the other hand.

Table of Contents

Section Title Page Action Price
Preface 7
Inhaltsverzeichnis 9
Abbreviations 21
A. Introduction 29
I. Goals and scope of this study 31
II. Working Definitions 34
B. Proceedings in absentia at ICTs 37
I. The investigative phase at ICTs 37
II. IMT and IMTFE 43
III. ICTY, ICTR and MICT 46
1. Right to be present 46
2. Duty to be present 46
3. Framework of proceedings in absentia 47
a) Procedure in absentia at the pre-trial stage 50
aa) Rule 61 Procedure 50
bb) Rule 71bis Procedure 54
b) Proceedings partially held in absentia 56
aa) Pre-trial conferences and technical meetings 56
bb) Waiver of the right to be present 56
cc) Refusal to attend trial 57
dd) Removal due to disruptive behaviour 58
ee) Temporary inability to stand trial 58
ff) Protection of witnesses and victims 59
4. Video link procedures 59
IV. Hybrid tribunals 60
1. SCSL, SPSC, ECCC, BWCC 60
a) Right to be present 61
b) Duty to be present 61
c) Framework of trials in absentia 62
2. STL 65
a) Right to be present 66
b) Duty to be present 66
c) Framework of trials in absentia 67
aa) Legal and virtual presence 68
bb) Trials in absentia 68
(1) Conditions for the conduction of trials in absentia 69
(a) Art. 22‍(1)(a) STLSt 69
(b) Art. 22‍(1)(b) STLSt 69
(c) Art. 22‍(1)(c) STLSt 70
cc) Safeguards 71
(1) Proper notification 72
(2) Representation by defence counsel 74
(3) Re-trial 74
dd) Partial trials in absentia 76
3. KSC 77
a) Right to be present 77
b) Duty to be present 77
c) Framework of proceedings in absentia 78
d) Participation via video link 79
V. ICC 80
1. Right to be present 80
2. Duty to be present 81
3. Pre-trial proceedings in absentia 82
a) Confirmation of charges in absentia 83
aa) Safeguards 84
bb) Confirmation of charges in absentia for fugitive suspects 85
cc) Role of the confirmation of charges 87
b) Ex-Parte hearings 88
4. Framework of trials in absentia 88
a) Removal of the disruptive defendant 88
b) Rule 134bis, -ter and -quarter ICC-RPE 89
aa) Background of the new regulations – The case against Ruto and Kenyatta 93
bb) Developments after the implementation of the new regulations 94
c) De minimis absences after a waiver of the right to be present 95
d) Ex-Parte hearings 95
5. Sentencing in absentia 96
VI. Appeals Stage 96
VII. Conclusions 98
C. Procedural theory: goals of ICTs 103
I. Goals of international criminal justice – macro level 105
1. Systematisation of the goals of international criminal justice 109
II. Goals of international criminal procedure – micro level 112
1. Goals of international criminal procedure 113
a) Implementation of substantive criminal law and punishment by convicting the guilty and acquitting the innocent 113
b) Further goals of criminal procedure – Rethinking the relation between procedural and substantive law 114
aa) Truth and international criminal justice 115
(1) Procedural truth finding measures 117
(2) The truth 119
bb) Potential victims' participation during trial 121
cc) Promotion of the deterrent effect through a criminal trial 122
dd) The conflict solving function of the trial 123
ee) The exemplary function of the trial 124
ff) The didactic function of the trial and spreading respect for the rule of law 124
gg) Fairness, expeditiousness and efficiency of the trial 125
c) Interim findings 125
2. Compatibility of trials in absentia with the goals of international criminal procedure 126
a) Truth-seeking, convicting and condemning of the guilty, acquitting the innocent in a trial held in absentia 126
b) Potential victims' participation during a trial in absentia 128
c) The deterrent effect of a trial in absentia 129
d) The conflict solving potential of a trial in absentia 132
e) The exemplary function of a trial in absentia 132
f) The didactic function of a trial in absentia and its ability to restore the rule of law 133
g) Interim Findings 134
3. Theories that conceptualise criminal procedure as having a further intrinsic value 134
a) Habermas' discursive theory of law 135
b) Duff's communicative theory and Duff and colleagues' normative theory 138
c) Other normative approaches 140
d) Ohlin's meta-theory of international criminal procedure 141
III. Conclusions 143
D. Sources of international criminal procedure 145
I. Generally applicable sources 146
1. Treaties as secondary source for the ICTs' criminal procedural framework 148
2. Customary law as secondary source for the ICTs' criminal procedural framework 157
3. General principles as a secondary source for the ICTs' criminal procedural framework 158
a) Excursus: Meaning of the term “general principle” 161
b) The different types of general principles in general international law 162
c) Conceptualising the different types of general principles applicable to ICTs 165
d) Hierarchy among the different types of general principles 170
4. Interim conclusions 170
E. Requirements for trials in absentia deriving from human rights law 172
I. Requirements for the conduction of trials in absentia 172
1. EU requirements regarding criminal procedures in absentia 173
2. Human rights bodies' case law and requirements regarding trials in absentia 179
a) ACHPR framework and requirements regarding trials in absentia 181
b) IACtHR jurisprudence regarding trials in absentia 182
c) ECtHR case law and requirements regarding trials in absentia 183
aa) Right to be present 183
bb) Duty to be present 186
cc) Conditions under which a hearing in absentia is compatible with Art. 6 ECHR 189
(1) Waiver 189
(a) Information 190
(b) Unambiguousness of the waiver 192
(c) Voluntariness 193
(d) Balancing of interests 193
(e) Burden of proof 194
(2) Implicit waiver 194
(3) Evasion of justice 196
(4) Legal representation during the absence 197
(5) Effective Remedy 199
dd) Conditions under which judicial hearings can be partially conducted in absentia 200
ee) Conditions under which the defendant can participate via video link at judicial hearings 201
d) HRC case law and requirements regarding trials in absentia 202
3. Synopsis of the ACHPR's, HRC's and ECtHR's case law and requirements regarding judicial proceedings in absentia 204
II. Adjustment of international human rights standards as response to the needs of international criminal procedure 206
III. Compatibility of trials in absentia with the right to a fair trial 209
1. Scope of application and general structure 210
2. Equality of arms 212
3. Right to adversarial proceedings 215
4. Right to participate effectively 217
5. The minimum guarantees 217
a) Right to be informed promptly and in detail about the charges 218
b) Right to have adequate time and facilities to prepare the defence 220
c) Right to defence by self-representation or representation through legal assistance of one's own choosing 223
aa) Right to defend oneself in person 224
bb) Right to formal defence 226
cc) Ratio of the two components of the right to defence 229
dd) Right to counsel paid by the state respectively the registry 232
d) Right to examine and present witnesses 235
6. Impairment of the defence and participation rights enshrined in the right to a fair trial in the defendant's absence 240
a) Rights the defendant retains when being tried in absentia 241
b) A third party exercising the defendant's rights 242
c) Paternalistic action taken by the court to exercising the defendant's rights 243
d) A defence counsel exercising the defendant's rights 244
aa) Right to an adversarial hearing and right to confront witnesses 245
bb) Equality of arms 246
cc) Right to be informed of the charges 246
dd) Right to have adequate time and facilities to prepare the defence 246
ee) Right to defence through counsel 247
ff) Interim Findings 247
e) Obligation to appoint ex officio counsel to the defendant tried in absentia 247
aa) Obligation to appoint ex officio counsel to the defendant tried in absentia based on the legal aid scheme 248
(1) Financial necessity 248
(2) Interests of justice 250
bb) ICTs' practice with regards to the appointment of ex officio counsel 253
cc) Other aspects for the obligation to appoint counsel ex officio to the defendant tried in absentia 255
dd) Rebuttal of counter-arguments that could be stipulated against the obligation to appoint counsel ex officio to the defendant tried in absentia 257
ee) Exercising the defendant's rights by appointing a standby counsel or amicus curiae 261
f) Implementation of the obligation to appoint ex officio counsel to the defendant tried in absentia 265
IV. Conclusions 266
F. Trials in absentia as general principle? 268
I. Determination of general principles 268
1. General principles recognised by the major legal systems of the world 270
a) Comparative Study 270
b) Extraction of principles 273
c) Transposition to the international sphere 274
II. Reports on foreign law 275
1. Adversarial and inquisitorial model of criminal procedure 275
2. Continental-Europe 282
a) Germany 282
aa) Investigative stage and its in absentia framework 283
bb) Procedures in absentia against the ˋabsent defendant' 284
(1) Security of evidence for future proceedings 286
(2) Seizure of the absent defendant's property 286
(3) Granting safe conduct to the absent defendant 286
(4) Safeguards during the procedures against the absent defendant 287
cc) Intermediate procedure in absentia 287
dd) Trial stage and its in absentia framework 288
(1) Trial entirely held in absentia 290
(2) Deliberately bringing about the unfitness to stand trial – Section 231a StPO 291
(3) Remedies against judgments rendered in absentia 293
(4) Trial partially held in absentia 294
(a) Semel praesens semper praesens – Section 231‍(2) StPO 294
(b) Misconduct by the defendant – Section 231b StPO 295
(c) Trial against several defendants – Section 231c StPO 295
(d) Witness protection and importance as to the establishment of substantive truth – Section 247 StPO 296
(e) Safeguards during trial partially held in absentia 296
ee) Appeals stage and its in absentia framework 296
(1) Appeal on grounds of fact and law – Berufung 296
(2) Appeal on grounds of law – Revision 298
ff) Video link procedure 299
gg) Special procedures and their in absentia framework 300
(1) Private prosecution 300
(2) Penal order procedure 300
hh) Summary 301
b) Switzerland 301
aa) Investigative stage and its in absentia framework 302
(1) Proceedings in absentia against the defendant whose whereabouts are unknown 305
(2) Proceedings in absentia during the taking of evidence by the prosecution 305
(3) Private settlement hearing 308
bb) Trial stage and its in absentia framework 309
(1) Trial entirely held in absentia – Kontumazialverfahren 309
(a) Proper summons and summoning to a second hearing 310
(b) Prior statement by the defendant and sufficient evidence 311
(c) Court's discretion 311
(d) Safeguards 312
(e) Remedies against in absentia judgments 312
(2) Trial partially held in absentia 313
(a) Preliminary hearing 313
(b) Semel praesens semper praesens 313
(c) Protective measures for witnesses and victims 314
(d) Defendant's request to remain absent 314
(e) Misconduct by the defendant 314
cc) Appeals stage and its in absentia framework 315
(1) Appeals on points of fact and law – Berufung 315
(2) Objection before the BGer – Beschwerde in Strafsachen 317
dd) Video link procedure 317
ee) Special procedures and their in absentia framework 318
(1) Summary penalty order 318
(2) Separate subsequent decisions 319
(3) Contravention procedure 319
(4) Procedure where the accused is not legally responsible due to a mental disorder 319
ff) Summary 320
c) Austria 320
aa) Investigative stage and its in absentia framework 320
bb) Investigations against the untraceable defendant 322
cc) Trial stage and its in absentia framework 323
(1) Rescheduling of the hearing if the defendant is hindered to appear 324
(2) Trial in absentia at the Landesgericht 325
(3) Trial in absentia at the Bezirksgericht 327
(4) Remedies against in absentia judgments 328
(a) Objection – Einspruch 328
(b) Appeal on points of law – Nichtigkeitsbeschwerde 329
(5) Trial partially held in absentia 329
(a) Removal due to misconduct by the defendant 329
(b) Trial against several defendants and witness protection 330
(c) Nonappearance at a trial for minor offences after personal summons 330
(d) Absence during the delivery of the judgment 330
(e) Safeguards during trial partially held in absentia 331
(6) Appeals stage and its in absentia framework 331
(a) Appeals on point of fact and law – Berufung 331
(b) Appeals on points of law – Nichtigkeitsbeschwerde 332
dd) Special procedures and their in absentia framework 332
(1) Penal order procedure – Mandatsverfahren 332
(2) Procedure where the accused is not legally responsible due to a mental disorder 332
ee) Summary 333
d) Italy 333
aa) Investigative stage and its in absentia framework 334
bb) Right and duty to be present during judicial proceedings 336
cc) Pre-trial stage and its in absentia framework 337
dd) Trial stage and its in absentia framework 337
(1) Trial entirely held in absentia – dibattimento in assenza 338
(a) Waiver of the right to be present or presumed knowledge of the proceedings and nonappearance at the hearing 339
(aa) Proper notification – vocatio in iudicium or summons 340
(bb) Regulation on the service of notifications and summons 341
(b) No absolute impossibility to appear 342
(c) No suspension of the trial due to the defendant's untraceability 343
(d) Safeguards 344
(e) Reception of the new in absentia rules by the doctrine 344
(2) Remedies against judgments rendered in absentia 345
ee) Trial partially held in absentia 347
(1) Semel praesens semper praesens 347
(2) Removal of the defendant due to his misconduct 348
ff) Appeals stage and its in absentia framework 348
gg) Video link procedure – dibattimento a distanza 349
hh) Special procedures and their in absentia framework 351
(1) Accelerated procedure – giudizio abbreviato 351
(2) Penal order procedure – procedimento per decreto 351
ii) Summary 352
e) The Netherlands 352
aa) Pre-trial stage and its in absentia framework 353
bb) Trial and appeals stage and their in absentia framework 355
(1) Trial or appeals entirely held in absentia – Verstekbehandeling 357
(a) Nonappearance of the defendant or an empowered counsel upon opening of the hearing 357
(b) Proper summons or notice of the proceedings – Daagvarding 358
(c) Court's decision to proceed in absentia 360
(d) Safeguards during the verstekbehandeling 361
(e) Remedies against judgments in absentia 362
(2) Trial and appeal partially held in absentia 364
(a) Semel praesens semper praesens 364
(b) Removal due to misconduct by the defendant 365
(c) Trial against several defendants 365
(d) Protection of witnesses and the reliability of their testimony 365
(3) Safeguards during trial partially held in absentia 366
cc) Video link procedures 366
dd) Special procedures and their in absentia framework 366
(1) Procedure against defendants who are believed to be suffering from a mental disorder 366
(2) Penal order procedure 366
ee) Summary 367
3. Common law 367
a) USA 367
aa) Investigative stage and its in absentia framework 368
bb) Pre-trial procedure and its in absentia framework 369
cc) Trial stage and its in absentia framework 371
(1) Trials held entirely in absentia – initiation of the trial in absentia 374
(2) Trial partially held in absentia 376
(a) Commencement of the trial in absentia after the defendant's initial appearance 376
(b) Proceedings regarding questions of law 379
(c) Removal of the disruptive defendant 380
dd) Sentencing stage and its in absentia framework 381
ee) Remedies against the in absentia conviction 382
ff) Appeals stage and its in absentia framework 383
gg) Video link procedures 384
hh) Special procedure and its in absentia framework 385
ii) Summary 385
b) England and Wales 385
aa) Investigative stage and its in absentia framework 386
bb) Judicial proceedings and their in absentia framework 387
(1) Proceedings in absentia at the Magistrates' Court 388
(a) Preliminary procedure at the Magistrates' Court 388
(b) Plea before venue and allocation (mode of trial) procedure 390
(c) Trial stage and its in absentia framework 391
(aa) Proper summons 391
(bb) Guilty plea in absence via post 392
(cc) Trial in absentia 393
(dd) Sentencing procedure in absentia 395
(d) Special remedies against the in absentia conviction 395
(2) Proceedings in absentia at the Crown Court 396
(a) Pre-trial procedure and its in absentia framework 396
(aa) Plea procedure – arraignment 397
(b) Trial in absentia at the Crown Court 398
(c) Guidelines for the court to use their discretion on whether to proceed in absentia 399
(d) Safeguards for trials held in absentia at the Crown Court 400
(e) Sentencing procedure and its in absentia framework 401
cc) Judicial proceedings partially held in absentia 402
dd) Appeals stage and its in absentia framework 402
(1) Appeal procedure at the Crown Court 403
(2) Appeal procedure at the High Court (Divisional Court) by way of case stated 403
(3) Appeal procedure at the High Court (Queen's Bench Division) by way of application for judicial review 404
(4) Appeal procedure at the Court of Appeal (Criminal Division) 404
(5) Appeal procedure at the Supreme Court 406
ee) Video link procedures 406
ff) Special procedures and their in absentia framework 407
gg) Summary 407
III. Comparison 407
1. Right to be present 408
2. Duty to be present 409
3. In absentia framework 409
a) Proceedings in writing – inaudito reo 410
b) Investigative stage and its in absentia framework 410
c) Procedures in absentia against the untraceable defendant 412
d) Intermediate or pre-trial stage and its in absentia framework 413
e) Trial stage and its in absentia framework 413
f) Trial held partially in absentia 416
aa) Misconduct by the defendant 416
bb) Request to remain absent by the defendant 417
cc) Questioning of witnesses or co-defendant 417
dd) Parts of the trial that concern questions of law 417
ee) Semel praesens semper praesens maxim 417
ff) Presence and consequences of the defence counsel's participation 418
g) Remedies against in absentia judgments 419
h) Appeals stage and its in absentia framework 420
aa) Appeal on points of fact and law and its in absentia framework 420
bb) Appeal on points of law and its in absentia framework 421
4. Presence via video link 421
IV. Determination of general principles with regards to proceedings in absentia 422
1. The right to be present 422
2. Duty to be present 423
3. Investigations in absentia 423
4. Trials in absentia 424
a) Inaudito reo proceedings 424
b) Trials entirely held in absentia 425
c) Trial partially held in absentia 426
aa) Exclusion of the defendant due to his disruptive behaviour 427
bb) Semel praesens semper praesens maxim 428
cc) De minimis absences 428
d) Participation via video link 429
5. Appeal procedures in absentia 429
6. The conceptions of trials in absentia 429
V. Conclusions and interim findings 430
G. Conceptualising trials in absentia 431
I. ICTs' and human rights supervisory bodies' practice 431
II. Theoretical considerations 433
1. Right to be present 433
2. Duty to be present 434
a) Justification of a duty to be present 435
b) Parameters for the justification 435
aa) Public interest 437
bb) The defendant's interests 440
cc) The potential victims' interests 441
dd) Common interests 442
c) Interim findings 443
III. Concepts for trials in absentia 444
1. Limitations on the defendant's right to be present 445
a) The concept of waiver 445
aa) Absence of the defendant who has expressively waived his right to be present or has initially appeared 446
bb) Absence of the defendant who has absconded or otherwise cannot be found 447
cc) Absence of the obstreperous defendant 448
b) The alternative concept of waiver 449
c) The concept of forfeiture 450
aa) Absence of the defendant who has absconded 451
bb) Absence of the obstreperous defendant 452
d) Necessity of the concept of forfeiture? 453
e) Interim findings 453
2. Limitations on the defendant's duty to be present 454
IV. Conclusions 456
H. Final thoughts and conclusions 457
I. Results and prospects 464
Bibliography 471
Index 510