Part I
Finalized draft text of the Rules of Procedure and Evidence*
Explanatory note
The Rules of Procedure and Evidence are an instrument for the application of the Rome Statute of the International Criminal
Court, to which they are subordinate in all cases. In elaborating the Rules of Procedure and Evidence, care has been taken
to avoid rephrasing and, to the extent possible, repeating the provisions of the Statute. Direct references to the Statute
have been included in the Rules, where appropriate, in order to emphasize the relationship between the Rules and the Rome
Statute, as provided for in article 51, in particular, paragraphs 4 and 5.
In all cases,
the Rules of Procedure and Evidence should be read in conjunction with and subject to the provisions of the Statute.
The Rules of Procedure and Evidence of the International Criminal Court do not affect the procedural rules for any national
court or legal system for the purpose of national proceedings.
In connection with rule 41, the Preparatory
Commission considered whether the application of the rule would be facilitated by including a provision in the Regulations
of the Court that at least one of the judges of the Chamber in which the case is heard knows the official language used
as a working language in a given case. The Assembly of States Parties is invited to give further consideration to this
issue.
Chapter 1 General provisions
Rule 1
Use of terms
In the present document:
- "article" refers to articles of the Rome Statute;
- "Chamber" refers to a Chamber
of the Court;
- "Part" refers to the Parts of the Rome Statute;
- "Presiding Judge" refers to the Presiding Judge
of a Chamber;
- "the President" refers to the President of the Court;
- "the Regulations" refers to the
Regulations of the Court;
- "the Rules" refers to the Rules of Procedure and Evidence.
Rule 2
Authentic texts
The Rules have been adopted in the official languages of the Court established by article 50, paragraph 1. All texts
are equally authentic.
Rule 3
Amendments
1. Amendments to
the rules that are proposed in accordance with article 51, paragraph 2, shall be forwarded to the President of the Bureau
of the Assembly of States Parties.
2. The President of the Bureau of the Assembly of States Parties shall
ensure that all proposed amendments are translated into the official languages of the Court and are transmitted to the
States Parties.
3.
The procedure described in sub-rules 1 and 2 shall also apply to the provisional rules referred to in article 51, paragraph
3.
Chapter 2 Composition
and administration of the Court
Section I General provisions
relating to the composition and administration of the Court
Rule 4
Plenary sessions
1. The judges shall
meet in plenary session not later than two months after their election. At that first session, after having made
their solemn undertaking, in conformity with rule 5, the judges shall:
(a)
Elect the President and Vice-Presidents;
(b) Assign judges to divisions.
2.
The judges shall meet subsequently in plenary session at least once a year to exercise their functions under the Statute,
the Rules and the Regulations and, if necessary, in special plenary sessions convened by the President on his or
her own motion or at the request of one half of the judges.
3. The quorum for each plenary session shall be two-thirds
of the judges.
4.
Unless otherwise provided in the Statute or the Rules, the decisions of the plenary sessions shall be taken by the majority
of the judges present. In the event of an equality of votes, the President, or the judge acting in the place of the President,
shall have a casting vote.
5.
The Regulations shall be adopted as soon as possible in plenary sessions.
Rule 5
Solemn undertaking under article
45
1.
As provided in article 45, before exercising their functions under the Statute, the following solemn undertakings shall
be made:
(b) In the case of the Prosecutor, a Deputy Prosecutor, the Registrar and the Deputy Registrar
of the Court:
"I solemnly undertake that I will perform my duties and exercise my powers as (title) of the International
Criminal Court honourably, faithfully, impartially and conscientiously, and that I will respect the confidentiality of
investigations and prosecutions."
2. The undertaking, signed by the person making it and witnessed by
the President or a Vice-President of the Bureau of the Assembly of States Parties, shall be filed with the Registry and
kept in the records of the Court.
Rule 6
Solemn undertaking by the staff
of the Office of the Prosecutor, the Registry, interpreters and translators
"I solemnly undertake that I will perform my duties and exercise my powers as (title) of the International
Criminal Court honourably, faithfully, impartially and conscientiously, and that I will respect the confidentiality of
investigations and prosecutions.";
The undertaking, signed by the person making it and witnessed, as appropriate, by the Prosecutor, the Deputy
Prosecutor, the Registrar or the Deputy Registrar, shall be filed with the Registry and kept in the records of the
Court.
2.
Before performing any duties, an interpreter or a translator shall make the following undertaking:
"I solemnly declare that I will perform my duties faithfully, impartially and with full respect for the duty
of confidentiality.";
The
undertaking, signed by the person making it and witnessed by the President of the Court or his or her representative,
shall be filed with the Registry and kept in the records of the Court.
Rule 7
Single judge under article 39, paragraph
2 (b) (iii)
1.
Whenever the Pre-Trial Chamber designates a judge as a single judge in accordance with article 39, paragraph 2 (b) (iii),
it shall do so on the basis of objective pre-established criteria.
2. The designated judge
shall make the appropriate decisions on those questions on which decision by the full Chamber is
not expressly provided for in the Statute or the Rules.
3. The Pre-Trial Chamber, on its own motion or, if
appropriate, at the request of a party, may decide that the functions of the single judge be exercised by the full
Chamber.
Rule 8
Code of Professional Conduct
1.
The Presidency, on the basis of a proposal made by the Registrar, shall draw up a draft Code of Professional Conduct
for counsel, after having consulted the Prosecutor. In the preparation of the proposal, the Registrar shall conduct
the consultations in accordance with rule 20, sub-rule 3.
2. The draft Code shall then
be transmitted to the Assembly of States Parties, for the purpose of adoption, according to article 112, paragraph
7.
3.
The Code shall contain procedures for its amendment.
Section II
The Office of the Prosecutor
Rule 9
Operation of the Office of the
Prosecutor
In discharging his or her responsibility for the management and administration of the Office of the Prosecutor, the
Prosecutor shall put in place regulations to govern the operation of the Office. In preparing or amending these regulations,
the Prosecutor shall consult with the Registrar on any matters that may affect the operation of the Registry.
Rule 10
Retention of information and
evidence
Rule 11
Delegation of the Prosecutor's functions
Except for the inherent powers of the Prosecutor set forth in the Statute, inter alia, those described
in articles 15 and 53, the Prosecutor or a Deputy Prosecutor may authorize staff members of the Office of the Prosecutor,
other than those referred to in article 44, paragraph 4, to represent him or her in the exercise of his or her functions.
Section III
The Registry
Subsection 1
General provisions relating to the Registry
Rule 12
Qualifications and election
of the Registrar and the Deputy Registrar
1. As soon as it is elected, the Presidency shall establish a list
of candidates who satisfy the criteria laid down in article 43, paragraph 3, and shall
transmit the list to the Assembly of States Parties with a request for any recommendations.
2. Upon receipt
of any recommendations from the Assembly of States Parties, the President shall, without delay, transmit
the list together with the recommendations to the plenary session.
3. As provided for in article
43, paragraph 4, the Court, meeting in plenary session, shall, as soon as possible, elect the Registrar by an absolute
majority, taking into account any recommendations by the Assembly of States Parties. In the event that no candidate obtains
an absolute majority on the first ballot, successive ballots shall be held until one candidate obtains an absolute
majority.
4.
If the need for a Deputy Registrar arises, the Registrar may make a recommendation to the President to that effect. The
President shall convene a plenary session to decide on the matter. If the Court, meeting in plenary
session, decides by an absolute majority that a Deputy Registrar is to be elected, the Registrar shall
submit a list of candidates to the Court.
5. The Deputy Registrar shall
be elected by the Court, meeting in plenary session, in the same manner as the Registrar.
Rule 13
Functions of the Registrar
Rule 14
Operation of the Registry
1.
In discharging his or her responsibility for the organization and management of the Registry, the Registrar shall put
in place regulations to govern the operation of the Registry. In preparing or amending these regulations, the Registrar
shall consult with the Prosecutor on any matters which may affect the operation of the Office of the Prosecutor. The
regulations shall be approved by the Presidency.
2. The regulations shall provide for defence counsel
to have access to appropriate and reasonable administrative assistance from the Registry.
Rule 15
Records
1.
The Registrar shall keep a database containing all the particulars of each case brought before the Court, subject to
any order of a judge or Chamber providing for the non-disclosure of any document or information, and to the protection
of sensitive personal data. Information on the database shall be available to the public in the working languages
of the Court.
2.
The Registrar shall also maintain the other records of the Court.
Subsection 2
Victims and Witnesses Unit
Rule 16
Responsibilities of the Registrar
relating to victims and witnesses
1. In relation to victims, the Registrar shall be responsible for
the performance of the following functions in accordance with the Statute and these Rules:
(a) Providing notice or notification to victims or their legal representatives;
(b) Assisting them in obtaining legal advice and organizing their legal representation,
and providing their legal representatives with adequate support, assistance and information, including such facilities
as may be necessary for the direct performance of their duty, for the purpose of protecting their rights during
all stages of the proceedings in accordance with rules 89 to 91;
(c)
Assisting them in participating in the different phases of the proceedings in accordance with rules 89 to 91;
(d) Taking gender-sensitive measures to facilitate the participation of victims of
sexual violence at all stages of the proceedings.
2. In relation to victims, witnesses and others who
are at risk on account of testimony given by such witnesses, the Registrar shall be responsible for the performance of
the following functions in accordance with the Statute and these Rules:
(a)
Informing them of their rights under the Statute and the Rules, and of the existence, functions and availability of the
Victims and Witnesses Unit;
(b) Ensuring that they are aware, in a timely manner, of the relevant decisions of
the Court that may have an impact on their interests, subject to provisions on confidentiality.
3. For the fulfilment
of his or her functions, the Registrar may keep a special register for victims who have expressed their intention
to participate in relation to a specific case.
4. Agreements on relocation and provision of support
services on the territory of a State of traumatized or threatened victims, witnesses and others who are at risk on account
of testimony given by such witnesses may be negotiated with the States by the Registrar on behalf of the Court.
Such agreements may remain confidential.
Rule 17
Functions of the Unit
1.
The Victims and Witnesses Unit shall exercise its functions in accordance with article 43, paragraph 6.
2.
The Victims and Witnesses Unit shall, inter alia, perform the following functions, in accordance with the Statute
and the Rules, and in consultation with the Chamber, the Prosecutor and the defence, as appropriate:
(a) With respect to all witnesses, victims who appear before the Court, and others who
are at risk on account of testimony given by such witnesses, in accordance with their particular needs and circumstances:
(i) Providing them with adequate protective and security measures and formulating
long- and short-term plans for their protection;
(ii) Recommending to the organs of the Court the adoption of protection measures and also
advising relevant States of such measures;
(iii) Assisting them in obtaining medical, psychological and other appropriate assistance;
(iv) Making available to the Court and the parties training in issues of trauma, sexual
violence, security and confidentiality;
(v) Recommending, in consultation with the Office of the Prosecutor, the elaboration of
a code of conduct, emphasizing the vital nature of security and confidentiality for investigators of the Court and
of the defence and all intergovernmental and non-governmental organizations acting at the request of the Court, as appropriate;
(vi) Cooperating with States, where necessary, in providing any of the measures stipulated
in this rule;
(b) With respect to witnesses:
(i) Advising them where to obtain legal advice for the purpose of protecting their
rights, in particular in relation to their testimony;
(ii) Assisting them when they are called to testify before the Court;
(iii) Taking gender-sensitive measures to facilitate the testimony of victims of sexual
violence at all stages of the proceedings.
3. In performing its functions, the Unit shall give due regard to
the particular needs of children, elderly persons and persons with disabilities. In order to facilitate the participation
and protection of children as witnesses, the Unit may assign, as appropriate, and with the agreement of the parents
or the legal guardian, a child-support person to assist a child through all stages of the proceedings.
Rule 18
Responsibilities of the Unit
For the efficient and effective performance of its work, the Victims and Witnesses Unit shall:
(a) Ensure that the staff in the Unit maintain confidentiality at all times;
(b) While recognizing the specific interests of the Office of the Prosecutor, the defence
and the witnesses, respect the interests of the witness, including, where necessary, by maintaining an appropriate
separation of the services provided to the prosecution and defence witnesses, and act impartially when cooperating with
all parties and in accordance with the rulings and decisions of the Chambers;
(c)
Have administrative and technical assistance available for witnesses, victims who appear before the Court, and others
who are at risk on account of testimony given by such witnesses, during all stages of the proceedings and thereafter,
as reasonably appropriate;
(d) Ensure training of its staff with respect to victims' and witnesses' security,
integrity and dignity, including matters related to gender and cultural sensitivity;
(e) Where appropriate, cooperate with intergovernmental and non-governmental organizations.
Rule 19
Expertise in the Unit
In addition to the staff mentioned in article 43, paragraph 6, and subject to article 44, the Victims and Witnesses
Unit may include, as appropriate, persons with expertise, inter alia, in the following areas:
(a) Witness protection and security;
(b)
Legal and administrative matters, including areas of humanitarian and criminal law;
(c) Logistics administration;
(d) Psychology
in criminal proceedings;
(e) Gender and cultural diversity;
(f)
Children, in particular traumatized children;
(g) Elderly
persons, in particular in connection with armed conflict and exile trauma;
(h)
Persons with disabilities;
(i) Social work and counselling;
(j)
Health care;
(k) Interpretation and translation.
Subsection 3
Counsel for the defence
Rule 20
Responsibilities of the Registrar
relating to the rights of the defence
1. In accordance with article 43, paragraph 1, the Registrar shall
organize the staff of the Registry in a manner that promotes the rights of the defence, consistent with the principle
of fair trial as defined in the Statute. For that purpose, the Registrar shall, inter alia:
(a) Facilitate the protection of confidentiality, as defined in article 67, paragraph 1
(b);
(b) Provide support, assistance, and information to all defence counsel appearing before
the Court and, as appropriate, support for professional investigators necessary for the efficient and effective
conduct of the defence;
(c) Assist arrested persons, persons to whom article 55, paragraph 2,
applies and the accused in obtaining legal advice and the assistance of legal counsel;
(d) Advise the Prosecutor and the Chambers, as necessary, on relevant defence-related issues;
(e) Provide the defence with such facilities as may be necessary for the direct performance
of the duty of the defence;
(f) Facilitate the
dissemination of information and case law of the Court to defence counsel and, as appropriate, cooperate with national
defence and bar associations or any independent representative body of counsel and legal associations referred to in
sub-rule 3 to promote the specialization and training of lawyers in the law of the Statute and
the Rules.
2.
The Registrar shall carry out the functions stipulated in sub-rule 1, including the financial administration
of the Registry, in such a manner as to ensure the professional independence of defence counsel.
3. For purposes
such as the management of legal assistance in accordance with rule 21 and the development of a Code
of Professional Conduct in accordance with rule 8, the Registrar shall consult, as appropriate, with any independent
representative body of counsel or legal associations, including any such body the establishment of which may be facilitated
by the Assembly of States Parties.
Rule 21
Assignment of legal assistance
1.
Subject to article 55, paragraph 2 (c), and article 67, paragraph 1 (d), criteria and procedures for assignment of legal
assistance shall be established in the Regulations, based on a proposal by the Registrar, following
consultations with any independent representative body of counsel or legal associations, as referred to in rule 20, sub-rule
3.
2.
The Registrar shall create and maintain a list of counsel who meet the criteria set forth in rule 22 and
the Regulations. The person shall freely choose his or her counsel from this list or other counsel who meets the
required criteria and is willing to be included in the list.
3. A person may seek from the Presidency a review of
a decision to refuse a request for assignment of counsel. The decision of the Presidency shall be final. If a request
is refused, a further request may be made by a person to the Registrar, upon showing a change in circumstances.
4.
A person choosing to represent himself or herself shall so notify the Registrar in writing at the first
opportunity.
5.
Where a person claims to have insufficient means to pay for legal assistance and this is subsequently found not to be
so, the Chamber dealing with the case at that time may make an order of contribution to recover the cost of providing
counsel.
Rule 22
Appointment and qualifications
of Counsel for the defence
1.
A counsel for the defence shall have established competence in international or criminal law and procedure, as well as
the necessary relevant experience, whether as judge, prosecutor, advocate or in other similar capacity, in criminal
proceedings. A counsel for the defence shall have an excellent knowledge of and be fluent in at least one of the
working languages of the Court. Counsel for the defence may be assisted by other persons, including professors of law,
with relevant expertise.
2.
Counsel for the defence engaged by a person exercising his or her right under the Statute to retain legal counsel of
his or her choosing shall file a power of attorney with the Registrar at the earliest opportunity.
3. In the performance
of their duties, Counsel for the defence shall be subject to the Statute, the Rules, the Regulations, the Code of
Professional Conduct for Counsel adopted in accordance with rule 8 and any other document
adopted by the Court that may be relevant to the performance of their duties.
Section IV
Situations that may affect the
functioning of the Court
Subsection 1
Removal from office and disciplinary measures
Rule 23
General principle
A judge, the Prosecutor,
a Deputy Prosecutor, the Registrar and a Deputy Registrar shall be removed from office or shall be subject
to disciplinary measures in such cases and with such guarantees as are established in the Statute and the Rules.
Rule 24
Definition of serious misconduct and serious breach of duty
1. For the purposes of article 46, paragraph 1 (a), "serious misconduct"
shall be constituted by conduct that:
(a) If it occurs in the
course of official duties, is incompatible with official functions, and causes or is likely to
cause serious harm to the proper administration of justice before the Court or the proper internal functioning of the
Court, such as:
(i) Disclosing facts or information that he or she has acquired
in the course of his or her duties or on a matter which is sub judice, where such disclosure is seriously prejudicial
to the judicial proceedings or to any person;
(ii) Concealing information
or circumstances of a nature sufficiently serious to have precluded him or her from holding office;
(iii) Abuse of judicial office in order to obtain unwarranted favourable treatment from any authorities,
officials or professionals; or
(b) If it occurs outside the course of official duties, is of a grave nature that causes
or is likely to cause serious harm to the standing of the Court.
2. For the purposes of article 46, paragraph
1 (a), a "serious breach of duty" occurs where a person has been grossly negligent in the performance
of his or her duties or has knowingly acted in contravention of those duties. This may include, inter alia,
situations where the person:
Rule 25
Definition of misconduct of a less serious nature
1. For the purposes of article 47, "misconduct
of a less serious nature" shall be constituted by conduct that:
(a)
If it occurs in the course of official duties, causes or is likely to cause harm to the proper administration of
justice before the Court or the proper internal functioning of the Court, such as:
(i) Interfering
in the exercise of the functions of a person referred to in article 47;
(ii)
Repeatedly failing to comply with or ignoring requests made by the Presiding Judge or by the Presidency in the exercise
of their lawful authority;
(iii) Failing to enforce the disciplinary measures to which the Registrar or a Deputy Registrar
and other officers of the Court are subject when a judge knows or should know of a serious breach of duty on their part;
or
(b) If it occurs outside the course of official duties, causes or is likely to cause harm
to the standing of the Court.
2. Nothing in this rule precludes the possibility of the conduct set
out in sub-rule 1 (a) constituting "serious misconduct" or "serious breach of duty"
for the purposes of article 46, paragraph 1 (a).
Rule 26
Receipt of complaints
1. For the purposes of article 46, paragraph 1, and
article 47, any complaint concerning any conduct defined under rules 24 and 25 shall
include the grounds on which it is based, the identity of the complainant and, if available, any relevant evidence. The
complaint shall remain confidential.
2. All complaints shall be transmitted to the Presidency, which may
also initiate proceedings on its own motion, and which shall, pursuant to the Regulations, set aside anonymous or manifestly
unfounded complaints and transmit the other complaints to the competent organ. The Presidency shall be assisted
in this task by one or more judges, appointed on the basis of automatic rotation, in accordance with the Regulations.
Rule 27
Common provisions on the rights of the defence
Rule 28
Suspension from duty
Where an allegation against a person who is the
subject of a complaint is of a sufficiently serious nature, the person may be suspended from duty pending the final decision
of the competent organ.
Rule 29
Procedure in the event of a request for removal from office
1. In the case of a judge,
the Registrar or a Deputy Registrar, the question of removal from office shall be put to a vote at a
plenary session.
2.
The Presidency shall advise the President of the Bureau of the Assembly of States Parties in writing of any recommendation
adopted in the case of a judge, and any decision adopted in the case of the Registrar or a Deputy Registrar.
3.
The Prosecutor shall advise the President of the Bureau of the Assembly of States Parties in writing of any recommendation
he or she makes in the case of a Deputy Prosecutor.
4. Where the conduct is found not to amount to serious
misconduct or a serious breach of duty, it may be decided in accordance with article 47 that the person concerned
has engaged in misconduct of a less serious nature and a disciplinary measure imposed.
Rule 30
Procedure in the event of a request for disciplinary measures
1. In the case of a judge,
the Registrar or a Deputy Registrar, any decision to impose a disciplinary measure shall be taken by
the Presidency.
2.
In the case of the Prosecutor, any decision to impose a disciplinary measure shall be taken by an absolute majority
of the Bureau of the Assembly of States Parties.
3. In the case of a Deputy Prosecutor:
(a) Any decision to give a reprimand shall be taken by the Prosecutor;
(b) Any decision to impose a pecuniary sanction shall be taken by an absolute majority
of the Bureau of the Assembly of States Parties upon the recommendation of the Prosecutor.
4. Reprimands shall
be recorded in writing and shall be transmitted to the President of the Bureau of the Assembly of States Parties.
Rule 31
Removal from office
Once removal from office has been pronounced, it shall take effect immediately. The person concerned shall cease
to form part of the Court, including for unfinished cases in which he or she was taking part.
Rule 32
Disciplinary measures
The disciplinary measures that may be imposed are:
(a) A reprimand;
or
(b) A pecuniary sanction that may not exceed six months of the salary paid by the Court
to the person concerned.
Subsection 2
Excusing, disqualification, death and resignation
Rule 33
Excusing of a judge, the Prosecutor or a Deputy Prosecutor
1. A judge, the Prosecutor or
a Deputy Prosecutor seeking to be excused from his or her functions shall make a request in writing
to the Presidency, setting out the grounds upon which he or she should be excused.
Rule 34
Disqualification of a judge, the Prosecutor or a Deputy Prosecutor
1. In addition to the grounds
set out in article 41, paragraph 2, and article 42, paragraph 7, the grounds for disqualification
of a judge, the Prosecutor or a Deputy Prosecutor shall include, inter alia, the following:
(a) Personal interest in the case, including a spousal, parental or other close family,
personal or professional relationship, or a subordinate relationship, with any of the parties;
(b) Involvement, in his or her private capacity, in any legal proceedings initiated prior
to his or her involvement in the case, or initiated by him or her subsequently, in which the person being investigated
or prosecuted was or is an opposing party;
(c) Performance of functions,
prior to taking office, during which he or she could be expected to have formed an opinion on the case in question, on
the parties or on their legal representatives that, objectively, could adversely affect
the required impartiality of the person concerned;
(d)
Expression of opinions, through the communications media, in writing or in public actions, that, objectively, could
adversely affect the required impartiality of the person concerned.
2. Subject to the provisions
set out in article 41, paragraph 2, and article 42, paragraph 8, a request for disqualification
shall be made in writing as soon as there is knowledge of the grounds on which it is based. The request shall state the
grounds and attach any relevant evidence, and shall be transmitted to the person concerned, who shall
be entitled to present written submissions.
3. Any question relating to the disqualification of
the Prosecutor or a Deputy Prosecutor shall be decided by a majority of the judges of the Appeals Chamber.
Rule 35
Duty of a judge, the Prosecutor or a Deputy Prosecutor to request to be excused
Where a judge, the Prosecutor or a Deputy Prosecutor has reason to believe that a ground for disqualification exists
in relation to him or her, he or she shall make a request to be excused and shall not wait for a request for disqualification
to be made in accordance with article 41, paragraph 2, or article 42, paragraph 7, and rule 34. The request shall
be made and the Presidency shall deal with it in accordance with rule 33.
Rule 36
Death of a judge, the Prosecutor, a Deputy Prosecutor, the Registrar or a Deputy Registrar
The Presidency shall inform, in writing, the President of the Bureau of the Assembly of States Parties
of the death of a judge, the Prosecutor, a Deputy Prosecutor, the Registrar or a Deputy Registrar.
Rule 37
Resignation of a judge, the Prosecutor, a Deputy Prosecutor, the Registrar or a Deputy Registrar
Subsection 3
Replacements and alternate judges
Rule 38
Replacements
1.
A judge may be replaced for objective and justified reasons, inter alia:
(a)
Resignation;
(b) Accepted excuse;
(c) Disqualification;
(d) Removal from office;
(e) Death.
2.
Replacement shall take place in accordance with the pre-established procedure in the Statute, the Rules and the Regulations.
Rule 39
Alternate judges
Where an alternate judge has been assigned by the
Presidency to a Trial Chamber pursuant to article 74, paragraph 1, he or she shall sit through all proceedings and deliberations
of the case, but may not take any part therein and shall not exercise any of the functions of the members of the
Trial Chamber hearing the case, unless and until he or she is required to replace a member of the Trial Chamber if that
member is unable to continue attending. Alternate judges shall be designated in accordance with a procedure pre-established
by the Court.
Section V
Publication, languages and translation
Rule 40
Publication of decisions in official languages of the Court
2. Decisions on confirmation
of charges under article 61, paragraph 7, and on offences against the administration of justice under article
70, paragraph 3, shall be published in all the official languages of the Court when the Presidency determines that they
resolve fundamental issues.
3. The Presidency may decide to publish other decisions in all the
official languages when such decisions concern major issues relating to the interpretation or the implementation of the
Statute or concern a major issue of general interest.
Rule 41
Working languages of the Court
1. For the purposes of article 50, paragraph 2, the
Presidency shall authorize the use of an official language of the Court as a working language when:
(a) That language is understood and spoken by the majority of those involved in a case
before the Court and any of the participants in the proceedings so requests; or
(b)
The Prosecutor and the defence so request.
2. The Presidency may authorize the use of an official
language of the Court as a working language if it considers that it would facilitate the efficiency of the proceedings.
Rule 42
Translation and interpretation services
Rule 43
Procedure applicable to the publication of documents of the Court
Chapter 3
Jurisdiction and admissibility
Section
I
Declarations and referrals relating to articles 11, 12, 13 and 14
Rule 44
Declaration provided for in article 12, paragraph 3
1. The Registrar, at the request of the
Prosecutor, may inquire of a State that is not a Party to the Statute or that has become a Party to the Statute
after its entry into force, on a confidential basis, whether it intends to make the declaration provided for in article
12, paragraph 3.
2.
When a State lodges, or declares to the Registrar its intent to lodge, a declaration with the Registrar pursuant to article
12, paragraph 3, or when the Registrar acts pursuant to sub-rule 1, the Registrar shall inform the State concerned that
the declaration under article 12, paragraph 3, has as a consequence the acceptance of jurisdiction with respect to the
crimes referred to in article 5 of relevance to the situation and the provisions of Part 9, and any rules thereunder
concerning States Parties, shall apply.
Rule 45
Referral of a situation to the Prosecutor
Section
II
Initiation of investigations under article 15
Rule 46
Information provided to the Prosecutor under article 15, paragraphs 1 and 2
Where information is submitted under article 15, paragraph 1, or where oral or written testimony is received pursuant
to article 15, paragraph 2, at the seat of the Court, the Prosecutor shall protect the confidentiality of such information
and testimony or take any other necessary measures, pursuant to his or her duties under the Statute.
Rule 47
Testimony under article 15, paragraph 2
1. The provisions of rules 111 and 112 shall apply,
mutatis mutandis, to testimony received by the Prosecutor pursuant to article 15, paragraph 2.
2.
When the Prosecutor considers that there is a serious risk that it might not be possible for the testimony to be taken
subsequently, he or she may request the Pre-Trial Chamber to take such measures as may be necessary to ensure the
efficiency and integrity of the proceedings and, in particular, to appoint a counsel or a judge from the Pre-Trial Chamber
to be present during the taking of the testimony in order to protect the rights of the defence. If the testimony
is subsequently presented in the proceedings, its admissibility shall be governed by article 69, paragraph 4, and given
such weight as determined by the relevant Chamber.
Rule 48
Determination of reasonable basis to proceed with an investigation under article 15, paragraph 3
In determining whether there is a reasonable basis to proceed with an investigation under article 15, paragraph
3, the Prosecutor shall consider the factors set out in article 53, paragraph 1 (a) to (c).
Rule 49
Decision and notice under article 15, paragraph 6
Rule 50
Procedure for authorization by the Pre-Trial Chamber of the commencement of the investigation
Section III
Challenges and preliminary rulings under articles 17, 18 and 19
Rule 51
Information provided under article 17
In considering the matters referred
to in article 17, paragraph 2, and in the context of the circumstances of the case, the Court may consider, inter
alia, information that the State referred to in article 17, paragraph 1, may choose to bring to the attention
of the Court showing that its courts meet internationally recognized norms and standards for the independent and impartial
prosecution of similar conduct, or that the State has confirmed in writing to the Prosecutor that the case is being
investigated or prosecuted.
Rule 52
Notification provided for in article 18, paragraph 1
Rule 53
Deferral provided for in article 18, paragraph 2
When a State requests
a deferral pursuant to article 18, paragraph 2, that State shall make this request in writing and provide information
concerning its investigation, taking into account article 18, paragraph 2. The Prosecutor may request additional information
from that State.
Rule 54
Application by the Prosecutor under article 18, paragraph 2
1. An application submitted
by the Prosecutor to the Pre-Trial Chamber in accordance with article 18, paragraph 2, shall be in writing and shall
contain the basis for the application. The information provided by the State under rule 53 shall be communicated by the
Prosecutor to the Pre-Trial Chamber.
2. The Prosecutor shall inform that State in writing when he or she
makes an application to the Pre-Trial Chamber under article 18, paragraph 2, and shall include in the notice a summary
of the basis of the application.
Rule 55
Proceedings concerning article 18, paragraph 2
1. The Pre-Trial Chamber shall decide on the procedure
to be followed and may take appropriate measures for the proper conduct of the proceedings. It may hold a hearing.
2.
The Pre-Trial Chamber shall examine the Prosecutor's application and any observations submitted by a State that requested
a deferral in accordance with article 18, paragraph 2, and shall consider the factors in article 17 in deciding
whether to authorize an investigation.
3. The decision and the basis for the decision of the Pre-Trial Chamber
shall be communicated as soon as possible to the Prosecutor and to the State that requested a deferral of an investigation.
Rule 56
Application by the Prosecutor following review under article 18, paragraph 3
Rule 57
Provisional measures under article 18, paragraph 6
Rule 58
Proceedings under article 19
1. A request or application made under article 19 shall be in writing
and contain the basis for it.
2.
When a Chamber receives a request or application raising a challenge or question concerning its jurisdiction or the admissibility
of a case in accordance with article 19, paragraph 2 or 3, or is acting on its own motion as provided for in article
19, paragraph 1, it shall decide on the procedure to be followed and may take appropriate measures for the proper
conduct of the proceedings. It may hold a hearing. It may join the challenge or question to a confirmation or a trial
proceeding as long as this does not cause undue delay, and in this circumstance shall hear and decide on the challenge
or question first.
3.
The Court shall transmit a request or application received under sub-rule 2 to the Prosecutor and to the person referred
to in article 19, paragraph 2, who has been surrendered to the Court or who has appeared voluntarily or pursuant
to a summons, and shall allow them to submit written observations to the request or application within a period of time
determined by the Chamber.
4.
The Court shall rule on any challenge or question of jurisdiction first and then on any challenge or question of admissibility.
Rule 59
Participation in proceedings under article 19, paragraph 3
1. For the purpose of article
19, paragraph 3, the Registrar shall inform the following of any question or challenge of jurisdiction or admissibility
which has arisen pursuant to article 19, paragraphs 1, 2 and 3:
(a)
Those who have referred a situation pursuant to article 13;
(b) The
victims who have already communicated with the Court in relation to that case or their legal representatives.
2.
The Registrar shall provide those referred to in sub-rule 1, in a manner consistent with the duty of the Court regarding
the confidentiality of information, the protection of any person and the preservation of evidence, with a summary
of the grounds on which the jurisdiction of the Court or the admissibility of the case has been challenged.
3.
Those receiving the information, as provided for in sub-rule 1, may make representation in writing to the competent Chamber
within such time limit as it considers appropriate.
Rule 60
Competent organ to receive challenges
If a challenge to the jurisdiction
of the Court or to the admissibility of a case is made after a confirmation of the charges but before the constitution
or designation of the Trial Chamber, it shall be addressed to the Presidency, which shall refer it to the Trial
Chamber as soon as the latter is constituted or designated in accordance with rule 130.
Rule 61
Provisional measures under article 19, paragraph 8
Rule 62
Proceedings under article 19, paragraph 10
1. If the Prosecutor makes a request under article
19, paragraph 10, he or she shall make the request to the Chamber that made the latest ruling on admissibility. The provisions
of rules 58, 59 and 61 shall be applicable.
2. The State or States whose challenge to admissibility
under article 19, paragraph 2, provoked the decision of inadmissibility provided for in article 19, paragraph 10, shall
be notified of the request of the Prosecutor and shall be given a time limit within which to make representations.
Chapter 4
Provisions relating to various stages of the proceedings
Section I
Evidence
Rule 63
General provisions relating to evidence
1. The rules of evidence set forth in this chapter,
together with article 69, shall apply in proceedings before all Chambers.
2. A Chamber shall have the authority,
in accordance with the discretion described in article 64, paragraph 9, to assess freely all evidence submitted
in order to determine its relevance or admissibility in accordance with article 69.
3. A Chamber shall
rule on an application of a party or on its own motion, made under article 64, subparagraph 9 (a), concerning admissibility
when it is based on the grounds set out in article 69, paragraph 7.
4. Without prejudice to article 66, paragraph
3, a Chamber shall not impose a legal requirement that corroboration is required in order to prove any crime within
the jurisdiction of the Court, in particular, crimes of sexual violence.
5. The Chambers shall not apply
national laws governing evidence, other than in accordance with article 21.
Rule 64
Procedure relating to the relevance or admissibility of evidence
1. An issue relating to relevance
or admissibility must be raised at the time when the evidence is submitted to a Chamber. Exceptionally, when those
issues were not known at the time when the evidence was submitted, it may be raised immediately after the issue has become
known. The Chamber may request that the issue be raised in writing. The written motion shall be communicated by
the Court to all those who participate in the proceedings, unless otherwise decided by the Court.
2. A Chamber shall
give reasons for any rulings it makes on evidentiary matters. These reasons shall be placed in the record of the
proceedings if they have not already been incorporated into the record during the course of the proceedings in accordance
with article 64, paragraph 10, and rule 137, sub-rule 1.
3. Evidence ruled irrelevant or inadmissible shall
not be considered by the Chamber.
Rule 65
Compellability of witnesses
Rule 66
Solemn undertaking
1. Except as described in sub-rule 2, every witness shall, in accordance
with article 69, paragraph 1, make the following solemn undertaking before testifying:
"I solemnly declare that I will speak the truth, the whole truth and nothing but the truth."
2.
A person under the age of 18 or a person whose judgement has been impaired and who, in the opinion of the Chamber, does
not understand the nature of a solemn undertaking may be allowed to testify without this solemn undertaking if the
Chamber considers that the person is able to describe matters of which he or she has knowledge and that the person understands
the meaning of the duty to speak the truth.
3. Before testifying, the witness shall be informed of the offence
defined in article 70, paragraph 1 (a).
Rule 67
Live testimony by means of audio or video-link technology
1. In accordance with article
69, paragraph 2, a Chamber may allow a witness to give viva voce (oral) testimony before the Chamber by means of
audio or video technology, provided that such technology permits the witness to be examined by the Prosecutor, the defence,
and by the Chamber itself, at the time that the witness so testifies.
2. The examination of a witness under
this rule shall be conducted in accordance with the relevant rules of this chapter.
3. The Chamber,
with the assistance of the Registry, shall ensure that the venue chosen for the conduct of the audio or video-link
testimony is conducive to the giving of truthful and open testimony and to the safety, physical and psychological well-being,
dignity and privacy of the witness.
Rule 68
Prior recorded testimony
When the Pre-Trial Chamber has not taken measures
under article 56, the Trial Chamber may, in accordance with article 69, paragraph 2, allow the introduction of previously
recorded audio or video testimony of a witness, or the transcript or other documented evidence of such testimony,
provided that:
(a) If the witness who gave the previously recorded testimony is not present before the
Trial Chamber, both the Prosecutor and the defence had the opportunity to examine the witness during the recording;
or
(b) If the witness who gave the previously recorded testimony is present before the Trial
Chamber, he or she does not object to the submission of the previously recorded testimony and the Prosecutor, the
defence and the Chamber have the opportunity to examine the witness during the proceedings.
Rule 69
Agreements as to evidence
The Prosecutor and the defence may agree that an
alleged fact, which is contained in the charges, the contents of a document, the expected testimony of a witness or other
evidence is not contested and, accordingly, a Chamber may consider such alleged fact as being proven, unless the
Chamber is of the opinion that a more complete presentation of the alleged facts is required in the interests of justice,
in particular the interests of the victims.
Rule 70
Principles of evidence in cases of sexual violence
In cases of sexual
violence, the Court shall be guided by and, where appropriate, apply the following principles:
(a) Consent cannot be inferred by reason of any words or conduct of a victim where force,
threat of force, coercion or taking advantage of a coercive environment undermined the victim's ability to give
voluntary and genuine consent;
(b) Consent cannot be inferred by reason of any words or conduct of a victim where the
victim is incapable of giving genuine consent;
(c) Consent
cannot be inferred by reason of the silence of, or lack of resistance by, a victim to the alleged sexual violence;
(d) Credibility, character or predisposition to sexual availability of a victim or witness
cannot be inferred by reason of the sexual nature of the prior or subsequent conduct of a victim or witness.
Rule 71
Evidence of other sexual conduct
In the light of the definition and
nature of the crimes within the jurisdiction of the Court, and subject to article 69, paragraph 4, a Chamber shall not
admit evidence of the prior or subsequent sexual conduct of a victim or witness.
Rule 72
In camera procedure to consider relevance or admissibility of evidence
1. Where there is
an intention to introduce or elicit, including by means of the questioning of a victim or witness, evidence that
the victim consented to an alleged crime of sexual violence, or evidence of the words, conduct, silence or lack of resistance
of a victim or witness as referred to in principles (a) through (d) of rule 70, notification shall be provided to
the Court which shall describe the substance of the evidence intended to be introduced or elicited and the relevance
of the evidence to the issues in the case.
2. In deciding whether the evidence referred to in
sub-rule 1 is relevant or admissible, a Chamber shall hear in camera the views of the Prosecutor, the defence, the witness
and the victim or his or her legal representative, if any, and shall take into account whether that evidence has
a sufficient degree of probative value to an issue in the case and the prejudice that such evidence may cause, in accordance
with article 69, paragraph 4. For this purpose, the Chamber shall have regard to article 21, paragraph 3, and articles
67 and 68, and shall be guided by principles (a) to (d) of rule 70, especially with respect to the proposed questioning
of a victim.
3.
Where the Chamber determines that the evidence referred to in sub-rule 2 is admissible in the proceedings, the Chamber
shall state on the record the specific purpose for which the evidence is admissible. In evaluating the evidence
during the proceedings, the Chamber shall apply principles (a) to (d) of rule 70.
Rule 73
Privileged communications and information
1. Without prejudice to article 67, paragraph 1 (b),
communications made in the context of the professional relationship between a person and his or her legal counsel shall
be regarded as privileged, and consequently not subject to disclosure, unless:
(a)
The person consents in writing to such disclosure; or
(b) The
person voluntarily disclosed the content of the communication to a third party, and that third party then gives
evidence of that disclosure.
2.
Having regard to rule 63, sub-rule 5, communications made in the context of a class of professional or other confidential
relationships shall be regarded as privileged, and consequently not subject to disclosure, under the same terms
as in sub-rules 1 (a) and 1 (b) if a Chamber decides in respect of that class that:
(a) Communications occurring within that class of relationship are made in the course of
a confidential relationship producing a reasonable expectation of privacy and non-disclosure;
(b) Confidentiality is essential to the nature and type of relationship between the person
and the confidant; and
(c) Recognition of the privilege would further the objectives of the Statute and the Rules.
3.
In making a decision under sub-rule 2, the Court shall give particular regard to recognizing as privileged those communications
made in the context of the professional relationship between a person and his or her medical doctor, psychiatrist, psychologist
or counsellor, in particular those related to or involving victims, or between a person and a member of a religious
clergy; and in the latter case, the Court shall recognize as privileged those communications made in the context of a
sacred confession where it is an integral part of the practice of that religion.
4. The Court shall regard as
privileged, and consequently not subject to disclosure, including by way of testimony of any present or past official
or employee of the International Committee of the Red Cross (ICRC), any information, documents or other evidence which
it came into the possession of in the course, or as a consequence, of the performance by ICRC of its functions under
the Statutes of the International Red Cross and Red Crescent Movement, unless:
(a)
After consultations undertaken pursuant to sub-rule 6, ICRC does not object in writing to such disclosure, or otherwise
has waived this privilege; or
(b) Such information, documents or other evidence is contained in public statements and
documents of ICRC.
5.
Nothing in sub-rule 4 shall affect the admissibility of the same evidence obtained from a source other than ICRC and
its officials or employees when such evidence has also been acquired by this source independently of ICRC and its
officials or employees.
6.
If the Court determines that ICRC information, documents or other evidence are of great importance for a particular case,
consultations shall be held between the Court and ICRC in order to seek to resolve the matter by cooperative means, bearing
in mind the circumstances of the case, the relevance of the evidence sought, whether the evidence could be obtained
from a source other than ICRC, the interests of justice and of victims, and the performance of the Court's and ICRC's
functions.
Rule 74
Self-incrimination by a witness
1. Unless a witness has been notified pursuant to rule
190, the Chamber shall notify a witness of the provisions of this rule before his or her testimony.
2. Where the Court
determines that an assurance with respect to self-incrimination should be provided to a particular witness, it shall
provide the assurances under sub-rule 3, paragraph (c), before the witness attends, directly or pursuant to a request
under article 93, paragraph (1) (e).
3. (a) A witness may object to making any statement that might tend
to incriminate him or her.
(b) Where the witness has attended after receiving an assurance under sub-rule 2, the Court
may require the witness to answer the question or questions.
(c)
In the case of other witnesses, the Chamber may require the witness to answer the question or questions, after assuring
the witness that the evidence provided in response to the questions:
(i)
Will be kept confidential and will not be disclosed to the public or any State; and
(ii) Will not be used either directly or indirectly against that person in any subsequent
prosecution by the Court, except under articles 70 and 71.
4. Before giving such an assurance, the Chamber shall
seek the views of the Prosecutor, ex parte, to determine if the assurance should be given to this particular witness.
5.
In determining whether to require the witness to answer, the Chamber shall consider:
(a) The importance of the anticipated evidence;
(b)
Whether the witness would be providing unique evidence;
(c) The
nature of the possible incrimination, if known; and
(d) The
sufficiency of the protections for the witness, in the particular circumstances.
6. If the Chamber determines
that it would not be appropriate to provide an assurance to this witness, it shall not require the witness to answer
the question. If the Chamber determines not to require the witness to answer, it may still continue the questioning of
the witness on other matters.
7. In order to give effect to the assurance, the Chamber shall:
(a) Order that the evidence of the witness be given in camera;
(b) Order that the identity of the witness and the content of the evidence given shall
not be disclosed, in any manner, and provide that the breach of any such order will be subject to sanction under
article 71;
(c) Specifically advise the Prosecutor, the accused, the defence counsel, the legal representative
of the victim and any Court staff present of the consequences of a breach of the order under subparagraph (b);
(d) Order the sealing of any record of the proceedings; and
(e) Use protective measures with respect to any decision of the Court to ensure that the
identity of the witness and the content of the evidence given are not disclosed.
8. Where the Prosecutor is aware
that the testimony of any witness may raise issues with respect to self-incrimination, he or she shall request an
in camera hearing and advise the Chamber of this, in advance of the testimony of the witness. The Chamber may impose
the measures outlined in sub-rule 7 for all or a part of the testimony of that witness.
9. The accused,
the defence counsel or the witness may advise the Prosecutor or the Chamber that the testimony of a witness will
raise issues of self-incrimination before the witness testifies and the Chamber may take the measures outlined in sub-rule
7.
10.
If an issue of self-incrimination arises in the course of the proceedings, the Chamber shall suspend the taking of the
testimony and provide the witness with an opportunity to obtain legal advice if he or she so requests for the purpose
of the application of the rule.
Rule 75
Incrimination by family members
1. A witness appearing before the Court, who is a spouse,
child or parent of an accused person, shall not be required by a Chamber to make any statement that might tend to incriminate
that accused person. However, the witness may choose to make such a statement.
2. In evaluating the testimony
of a witness, a Chamber may take into account that the witness, referred to in sub-rule 1, objected to reply to
a question which was intended to contradict a previous statement made by the witness, or the witness was selective in
choosing which questions to answer.
Section II
Disclosure
Rule 76
Pre-trial disclosure relating to prosecution witnesses
1. The Prosecutor shall provide the defence
with the names of witnesses whom the Prosecutor intends to call to testify and copies of any prior statements made
by those witnesses. This shall be done sufficiently in advance to enable the adequate preparation of the defence.
2.
The Prosecutor shall subsequently advise the defence of the names of any additional prosecution witnesses and provide
copies of their statements when the decision is made to call those witnesses.
3. The statements of prosecution
witnesses shall be made available in original and in a language which the accused fully understands and speaks.
4.
This rule is subject to the protection and privacy of victims and witnesses and the protection of confidential information
as provided for in the Statute and rules 81 and 82.
Rule 77
Inspection of material in possession or control of the Prosecutor
Rule 78
Inspection of material in possession or control of the defence
The defence
shall permit the Prosecutor to inspect any books, documents, photographs and other tangible objects in the possession
or control of the defence, which are intended for use by the defence as evidence for the purposes of the confirmation
hearing or at trial.
Rule 79
Disclosure by the defence
1. The defence shall notify the Prosecutor of its intent to:
(a) Raise the existence of an alibi, in which case the notification shall specify
the place or places at which the accused claims to have been present at the time of the alleged crime and the names
of witnesses and any other evidence upon which the accused intends to rely to establish the alibi; or
(b) Raise a ground for excluding criminal responsibility provided for in article 31, paragraph
1, in which case the notification shall specify the names of witnesses and any other evidence upon
which the accused intends to rely to establish the ground.
2. With due regard to time limits set forth in other
rules, notification under sub-rule 1 shall be given sufficiently in advance to enable the Prosecutor
to prepare adequately and to respond. The Chamber dealing with the matter may grant the Prosecutor an adjournment to
address the issue raised by the defence.
3. Failure of the defence to provide notice under this rule shall
not limit its right to raise matters dealt with in sub-rule 1 and to present evidence.
4. This rule does
not prevent a Chamber from ordering disclosure of any other evidence.
Rule 80
Procedures for raising a ground for excluding criminal responsibility under article 31, paragraph 3
1.
The defence shall give notice to both the Trial Chamber and the Prosecutor if it intends to raise a ground for excluding
criminal responsibility under article 31, paragraph 3. This shall be done sufficiently in advance of the commencement
of the trial to enable the Prosecutor to prepare adequately for trial.
2. Following notice given under
sub-rule 1, the Trial Chamber shall hear both the Prosecutor and the defence before deciding whether the defence
can raise a ground for excluding criminal responsibility.
3. If the defence is permitted to raise
the ground, the Trial Chamber may grant the Prosecutor an adjournment to address that ground.
Rule 81
Restrictions on disclosure
1. Reports, memoranda or other internal documents prepared by a party,
its assistants or representatives in connection with the investigation or preparation of the case are not subject to
disclosure.
2.
Where material or information is in the possession or control of the Prosecutor which must be disclosed in accordance
with the Statute, but disclosure may prejudice further or ongoing investigations, the Prosecutor may apply to the
Chamber dealing with the matter for a ruling as to whether the material or information must be disclosed to the defence.
The matter shall be heard on an ex parte basis by the Chamber. However, the Prosecutor may not introduce such
material or information into evidence during the confirmation hearing or the trial without adequate prior disclosure
to the accused.
3.
Where steps have been taken to ensure the confidentiality of information, in accordance with articles 54, 57, 64, 72
and 93, and, in accordance with article 68, to protect the safety of witnesses and victims and members of their
families, such information shall not be disclosed, except in accordance with those articles. When the disclosure of such
information may create a risk to the safety of the witness, the Court shall take measures to inform the witness
in advance.
4.
The Chamber dealing with the matter shall, on its own motion or at the request of the Prosecutor, the accused or any
State, take the necessary steps to ensure the confidentiality of information, in accordance with articles 54, 72
and 93, and, in accordance with article 68, to protect the safety of witnesses and victims and members of their families,
including by authorizing the non-disclosure of their identity prior to the commencement of the trial.
5.
Where material or information is in the possession or control of the Prosecutor which is withheld under article 68, paragraph
5, such material and information may not be subsequently introduced into evidence during the confirmation hearing or
the trial without adequate prior disclosure to the accused.
6. Where material or information is in the possession
or control of the defence which is subject to disclosure, it may be withheld in circumstances similar to those
which would allow the Prosecutor to rely on article 68, paragraph 5, and a summary thereof submitted instead.
Such material and information may not be subsequently introduced into evidence during the confirmation hearing or the
trial without adequate prior disclosure to the Prosecutor.
Rule 82
Restrictions on disclosure of material and information protected under article 54, paragraph 3 (e)
1.
Where material or information is in the possession or control of the Prosecutor which is protected under article 54,
paragraph 3 (e), the Prosecutor may not subsequently introduce such material or information into evidence without
the prior consent of the provider of the material or information and adequate prior disclosure to the accused.
2.
If the Prosecutor introduces material or information protected under article 54, paragraph 3 (e), into evidence, a Chamber
may not order the production of additional evidence received from the provider of the initial material or information,
nor may a Chamber for the purpose of obtaining such additional evidence itself summon the provider or a representative
of the provider as a witness or order their attendance.
3. If the Prosecutor calls a witness to introduce in
evidence any material or information which has been protected under article 54, paragraph 3 (e), a Chamber may not compel
that witness to answer any question relating to the material or information or its origin, if the witness declines
to answer on grounds of confidentiality.
4. The right of the accused to challenge evidence which has been protected
under article 54, paragraph 3 (e), shall remain unaffected subject only to the limitations contained in sub-rules 2 and
3.
5.
A Chamber dealing with the matter may order, upon application by the defence, that, in the interests
of justice, material or information in the possession of the accused, which has been provided to the accused under
the same conditions as set forth in article 54, paragraph 3 (e), and which is to be introduced into
evidence, shall be subject mutatis mutandis to sub-rules 1, 2 and 3.
Rule 83
Ruling on exculpatory evidence under article 67, paragraph 2
The Prosecutor
may request as soon as practicable a hearing on an ex parte basis before the Chamber dealing with the matter for
the purpose of obtaining a ruling under article 67, paragraph 2.
Rule 84
Disclosure and additional evidence for trial
In order to enable the parties to
prepare for trial and to facilitate the fair and expeditious conduct of the proceedings, the Trial Chamber shall, in
accordance with article 64, paragraphs 3 (c) and 6 (d), and article 67, paragraph (2), and subject to article 68,
paragraph 5, make any necessary orders for the disclosure of documents or information not previously disclosed and for
the production of additional evidence. To avoid delay and to ensure that the trial commences on the set date, any
such orders shall include strict time limits which shall be kept under review by the Trial Chamber.
Section III
Victims and witnesses
Subsection 1
Definition and general principle relating to victims
Rule 85
Definition of victims
For the purposes of the Statute and the Rules of
Procedure and Evidence:
(a) "Victims" means natural persons who have suffered harm as a result of the
commission of any crime within the jurisdiction of the Court;
(b)
Victims may include organizations or institutions that have sustained direct harm to any of their property which
is dedicated to religion, education, art or science or charitable purposes, and to their historic monuments, hospitals
and other places and objects for humanitarian purposes.
Rule 86
General principle
A Chamber in making any direction or order, and
other organs of the Court in performing their functions under the Statute or the Rules, shall take into account the needs
of all victims and witnesses in accordance with article 68, in particular, children, elderly persons, persons with
disabilities and victims of sexual or gender violence.
Subsection 2
Protection of victims and witnesses
Rule 87
Protective measures
1. Upon the motion of the Prosecutor or the defence or upon the request
of a witness or a victim or his or her legal representative, if any, or on its own motion, and after having consulted
with the Victims and Witnesses Unit, as appropriate, a Chamber may order measures to protect a victim, a witness
or another person at risk on account of testimony given by a witness pursuant to article 68, paragraphs 1 and 2.
The Chamber shall seek to obtain, whenever possible, the consent of the person in respect of whom the protective
measure is sought prior to ordering the protective measure.
2. A motion or request under sub-rule 1 shall be governed
by rule 134, provided that:
(a) Such a motion or request shall not be submitted ex parte;
(b) A request by a witness or by a victim or his or her legal representative, if any, shall
be served on both the Prosecutor and the defence, each of whom shall have the opportunity to respond;
(c) A motion or request affecting a particular witness or a particular victim shall be
served on that witness or victim or his or her legal representative, if any, in addition to the other party, each
of whom shall have the opportunity to respond;
(d) When the Chamber proceeds
on its own motion, notice and opportunity to respond shall be given to the Prosecutor and the defence, and to any witness
or any victim or his or her legal representative, if any, who would be affected by such protective measure; and
(e) A motion or request may be filed under seal, and, if so filed, shall remain sealed
until otherwise ordered by a Chamber. Responses to motions or requests filed under seal shall also be filed under
seal.
3.
A Chamber may, on a motion or request under sub-rule 1, hold a hearing, which shall be conducted in camera, to determine
whether to order measures to prevent the release to the public or press and information agencies, of the identity
or the location of a victim, a witness or other person at risk on account of testimony given by a witness by ordering,
inter alia:
(a) That the name of the victim, witness or other person at risk on account of testimony
given by a witness or any information which could lead to his or her identification, be expunged from the public
records of the Chamber;
(b) That the Prosecutor, the defence or any other participant in the proceedings be prohibited
from disclosing such information to a third party;
(c) That
testimony be presented by electronic or other special means, including the use of technical means enabling the alteration
of pictures or voice, the use of audio-visual technology, in particular videoconferencing and closed-circuit television,
and the exclusive use of the sound media;
(d) That a pseudonym be
used for a victim, a witness or other person at risk on account of testimony given by a witness; or
(e) That a Chamber conduct part of its proceedings in camera.
Rule 88
Special measures
1. Upon the motion of the Prosecutor or the defence, or upon the request
of a witness or a victim or his or her legal representative, if any, or on its own motion, and after having consulted
with the Victims and Witnesses Unit, as appropriate, a Chamber may, taking into account the views of the victim
or witness, order special measures such as, but not limited to, measures to facilitate the testimony of a traumatized
victim or witness, a child, an elderly person or a victim of sexual violence, pursuant to article 68, paragraphs
1 and 2. The Chamber shall seek to obtain, whenever possible, the consent of the person in respect of whom the special
measure is sought prior to ordering that measure.
2. A Chamber may hold a hearing on a motion or a request
under sub-rule 1, if necessary in camera or ex parte, to determine whether to order any such special measure, including
but not limited to an order that a counsel, a legal representative, a psychologist or a family member be permitted
to attend during the testimony of the victim or the witness.
3. For inter partes motions or requests filed
under this rule, the provisions of rule 87, sub-rules 2 (b) to (d), shall apply mutatis mutandis.
4.
A motion or request filed under this rule may be filed under seal, and if so filed shall remain sealed until otherwise
ordered by a Chamber. Any responses to inter partes motions or requests filed under seal shall also be
filed under seal.
5.
Taking into consideration that violations of the privacy of a witness or victim may create risk to his or her security,
a Chamber shall be vigilant in controlling the manner of questioning a witness or victim so as to avoid any harassment
or intimidation, paying particular attention to attacks on victims of crimes of sexual violence.
Subsection 3
Participation of victims in the proceedings
Rule 89
Application for participation of victims in the proceedings
1. In order to present their
views and concerns, victims shall make written application to the Registrar, who shall transmit the application
to the relevant Chamber. Subject to the provisions of the Statute, in particular article 68, paragraph 1, the Registrar
shall provide a copy of the application to the Prosecutor and the defence, who shall be entitled to reply within a
time limit to be set by the Chamber. Subject to the provisions of sub-rule 2, the Chamber shall then specify the proceedings
and manner in which participation is considered appropriate, which may include making opening and closing statements.
2.
The Chamber, on its own initiative or on the application of the Prosecutor or the defence, may reject the application
if it considers that the person is not a victim or that the criteria set forth in article 68, paragraph 3, are not
otherwise fulfilled. A victim whose application has been rejected may file a new application later in the proceedings.
3.
An application referred to in this rule may also be made by a person acting with the consent of the victim, or a person
acting on behalf of a victim, in the case of a victim who is a child or, when necessary, a victim who is disabled.
4.
Where there are a number of applications, the Chamber may consider the applications in such a manner as to ensure the
effectiveness of the proceedings and may issue one decision.
Rule 90
Legal representatives of victims
1. A victim shall be free to choose a legal representative.
2.
Where there are a number of victims, the Chamber may, for the purposes of ensuring the effectiveness of the proceedings,
request the victims or particular groups of victims, if necessary with the assistance of the Registry, to choose
a common legal representative or representatives. In facilitating the coordination of victim representation, the Registry
may provide assistance, inter alia, by referring the victims to a list of counsel, maintained by the Registry,
or suggesting one or more common legal representatives.
3. If the victims are unable to choose a common legal
representative or representatives within a time limit that the Chamber may decide, the Chamber may request the Registrar
to choose one or more common legal representatives.
4. The Chamber and the Registry shall take all reasonable
steps to ensure that in the selection of common legal representatives, the distinct interests of the victims, particularly
as provided in article 68, paragraph 1, are represented and that any conflict of interest is avoided.
5.
A victim or group of victims who lack the necessary means to pay for a common legal representative chosen by the Court
may receive assistance from the Registry, including, as appropriate, financial assistance.
6. A legal representative
of a victim or victims shall have the qualifications set forth in rule 22, sub-rule 1.
Rule 91
Participation of legal representatives in the proceedings
1. A Chamber may modify a previous
ruling under rule 89.
2.
A legal representative of a victim shall be entitled to attend and participate in the proceedings in accordance with
the terms of the ruling of the Chamber and any modification thereof given under rules 89 and 90. This shall include
participation in hearings unless, in the circumstances of the case, the Chamber concerned is of the view that the representative's
intervention should be confined to written observations or submissions. The Prosecutor and the defence shall be allowed
to reply to any oral or written observation by the legal representative for victims.
3. (a)
When a legal representative attends and participates in accordance with this rule, and wishes to question a witness,
including questioning under rules 67 and 68, an expert or the accused, the legal representative must make application
to the Chamber. The Chamber may require the legal representative to provide a written note of the questions and
in that case the questions shall be communicated to the Prosecutor and, if appropriate, the defence, who shall be allowed
to make observations within a time limit set by the Chamber.
(b) The
Chamber shall then issue a ruling on the request, taking into account the stage of the proceedings, the rights of
the accused, the interests of witnesses, the need for a fair, impartial and expeditious trial and in order to give effect
to article 68, paragraph 3. The ruling may include directions on the manner and order of the questions and the production
of documents in accordance with the powers of the Chamber under article 64. The Chamber may, if it considers it appropriate,
put the question to the witness, expert or accused on behalf of the victim's legal representative.
4.
For a hearing limited to reparations under article 75, the restrictions on questioning by the legal representative set
forth in sub-rule 2 shall not apply. In that case, the legal representative may, with the permission of the Chamber
concerned, question witnesses, experts and the person concerned.
Rule 92
Notification to victims and their legal representatives
1. This rule on notification
to victims and their legal representatives shall apply to all proceedings before the Court, except in proceedings
provided for in Part 2.
2.
In order to allow victims to apply for participation in the proceedings in accordance with rule 89, the Court shall notify
victims concerning the decision of the Prosecutor not to initiate an investigation or not to prosecute pursuant
to article 53. Such a notification shall be given to victims or their legal representatives who have already participated
in the proceedings or, as far as possible, to those who have communicated with the Court in respect of the situation
or case in question. The Chamber may order the measures outlined in sub-rule 8 if it considers it appropriate in
the particular circumstances.
3.
In order to allow victims to apply for participation in the proceedings in accordance with rule 89, the Court shall notify
victims regarding its decision to hold a hearing to confirm charges pursuant to article 61. Such a notification
shall be given to victims or their legal representatives who have already participated in the proceedings or, as far
as possible, to those who have communicated with the Court in respect of the case in question.
4. When a notification
for participation as provided for in sub-rules 2 and 3 has been given, any subsequent notification as referred to
in sub-rules 5 and 6 shall only be provided to victims or their legal representatives who may participate in the proceedings
in accordance with a ruling of the Chamber pursuant to rule 89 and any modification thereof.
5. In a manner consistent
with the ruling made under rules 89 to 91, victims or their legal representatives participating in proceedings shall,
in respect of those proceedings, be notified by the Registrar in a timely manner of:
(a) Proceedings before the Court, including the date of hearings and any postponements
thereof, and the date of delivery of the decision;
(b) Requests,
submissions, motions and other documents relating to such requests, submissions or motions.
6. Where victims
or their legal representatives have participated in a certain stage of the proceedings, the Registrar shall notify
them as soon as possible of the decisions of the Court in those proceedings.
7. Notifications as referred
to in sub-rules 5 and 6 shall be in writing or, where written notification is not possible, in any other form as
appropriate. The Registry shall keep a record of all notifications. Where necessary, the Registrar may seek the cooperation
of States Parties in accordance with article 93, paragraph 1 (d) and (l).
8. For notification as referred
to in sub-rule 3 and otherwise at the request of a Chamber, the Registrar shall take necessary measures to give
adequate publicity to the proceedings. In doing so, the Registrar may seek, in accordance with Part 9, the cooperation
of relevant States Parties, and seek the assistance of intergovernmental organizations.
Rule 93
Views of victims or their legal representatives
A Chamber may seek the views of victims
or their legal representatives participating pursuant to rules 89 to 91 on any issue, inter alia, in relation
to issues referred to in rules 107, 109, 125, 128, 136, 139 and 191. In addition, a Chamber may seek the views of
other victims, as appropriate.
Subsection 4
Reparations to victims
Rule 94
Procedure upon request
1. A victim's request for reparations under article 75 shall be
made in writing and filed with the Registrar. It shall contain the following particulars:
(a) The identity and address of the claimant;
(b)
A description of the injury, loss or harm;
(c) The
location and date of the incident and, to the extent possible, the identity of the person or persons the victim
believes to be responsible for the injury, loss or harm;
(d) Where
restitution of assets, property or other tangible items is sought, a description of them;
(e) Claims for compensation;
(f)
Claims for rehabilitation and other forms of remedy;
(g) To
the extent possible, any relevant supporting documentation, including names and addresses of witnesses.
2.
At commencement of the trial and subject to any protective measures, the Court shall ask the Registrar to provide notification
of the request to the person or persons named in the request or identified in the charges and, to the extent possible,
to any interested persons or any interested States. Those notified shall file with the Registry any representation
made under article 75, paragraph 3.
Rule 95
Procedure on the motion of the Court
1. In cases where the Court intends to proceed on its
own motion pursuant to article 75, paragraph 1, it shall ask the Registrar to provide notification of its intention to
the person or persons against whom the Court is considering making a determination, and, to the extent possible,
to victims, interested persons and interested States. Those notified shall file with the Registry any representation
made under article 75, paragraph 3.
2. If, as a result of notification under sub-rule 1:
(a) A victim makes a request for reparations, that request will be determined as if it
had been brought under rule 94;
(b) A victim requests
that the Court does not make an order for reparations, the Court shall not proceed to make an individual order in
respect of that victim.
Rule 96
Publication of reparation proceedings
1. Without prejudice to any other rules on notification
of proceedings, the Registrar shall, insofar as practicable, notify the victims or their legal representatives and the
person or persons concerned. The Registrar shall also, having regard to any information provided by the Prosecutor, take
all the necessary measures to give adequate publicity of the reparation proceedings before the Court, to the extent possible,
to other victims, interested persons and interested States.
2. In taking the measures described in sub-rule 1,
the Court may seek, in accordance with Part 9, the cooperation of relevant States Parties, and seek the assistance of
intergovernmental organizations in order to give publicity, as widely as possible and by all possible means, to
the reparation proceedings before the Court.
Rule 97
Assessment of reparations
1. Taking into account the scope and extent of any damage, loss or
injury, the Court may award reparations on an individualized basis or, where it deems it appropriate, on a collective
basis or both.
2.
At the request of victims or their legal representatives, or at the request of the convicted person, or on its own motion,
the Court may appoint appropriate experts to assist it in determining the scope, extent of any damage, loss and
injury to, or in respect of victims and to suggest various options concerning the appropriate types and modalities of
reparations. The Court shall invite, as appropriate, victims or their legal representatives, the convicted person
as well as interested persons and interested States to make observations on the reports of the experts.
3.
In all cases, the Court shall respect the rights of victims and the convicted person.
Rule 98
Trust Fund
1.
Individual awards for reparations shall be made directly against a convicted person.
2. The Court may
order that an award for reparations against a convicted person be deposited with the Trust Fund where at the time
of making the order it is impossible or impracticable to make individual awards directly to each victim. The award for
reparations thus deposited in the Trust Fund shall be separated from other resources of the Trust Fund and shall be
forwarded to each victim as soon as possible.
3. The Court may order that an award for reparations against a convicted
person be made through the Trust Fund where the number of the victims and the scope, forms and modalities of reparations
makes a collective award more appropriate.
4. Following consultations with interested States and
the Trust Fund, the Court may order that an award for reparations be made through the Trust Fund to an intergovernmental,
international or national organization approved by the Trust Fund.
5. Other resources of the Trust Fund
may be used for the benefit of victims subject to the provisions of article 79.
Rule 99
Cooperation and protective measures for the purpose of forfeiture under articles 57, paragraph
3 (e), and 75, paragraph 4
1.
The Pre-Trial Chamber, pursuant to article 57, paragraph 3 (e), or the Trial Chamber, pursuant to article 75, paragraph
4, may, on its own motion or on the application of the Prosecutor or at the request of the victims or their legal
representatives who have made a request for reparations or who have given a written undertaking to do so, determine whether
measures should be requested.
2.
Notice is not required unless the Court determines, in the particular circumstances of the case, that notification could
not jeopardize the effectiveness of the measures requested. In the latter case, the Registrar shall provide notification
of the proceedings to the person against whom a request is made and so far as is possible to any interested persons or
interested States.
3.
If an order is made without prior notification, the relevant Chamber shall request the Registrar, as soon as is consistent
with the effectiveness of the measures requested, to notify those against whom a request is made and, to the extent possible,
to any interested persons or any interested States and invite them to make observations as to whether the order
should be revoked or otherwise modified.
4. The Court may make orders as to the timing and conduct of any proceedings
necessary to determine these issues.
Section IV
Miscellaneous provisions
Rule 100
Place of the proceedings
1. In a particular case, where the Court
considers that it would be in the interests of justice, it may decide to sit in a State other
than the host State.
2.
An application or recommendation changing the place where the Court sits may be filed at any time after the
initiation of an investigation, either by the Prosecutor, the defence or by a majority of the judges of the Court.
Such an application or recommendation shall be addressed to the Presidency. It shall be made in writing and specify in
which State the Court would sit. The Presidency shall satisfy itself of the views of the relevant Chamber.
3.
The Presidency shall consult the State where the Court intends to sit. If that State agrees that the Court can sit in
that State, then the decision to sit in a State other than the host State shall be taken by the
judges, in plenary session, by a two-thirds majority.
Rule 101
Time limits
1. In making any order setting time limits regarding the conduct
of any proceedings, the Court shall have regard to the need to facilitate fair and expeditious proceedings, bearing
in mind in particular the rights of the defence and the victims.
2. Taking into account the rights of
the accused, in particular under article 67, paragraph (1) (c), all those participating in the proceedings to whom
any order is directed shall endeavour to act as expeditiously as possible, within the time limit ordered by the Court.
Rule 102
Communications other than in writing
Rule 103
Amicus curiae and other forms of submission
1. At any stage of the proceedings, a Chamber
may, if it considers it desirable for the proper determination of the case, invite or grant leave to a State, organization
or person to submit, in writing or orally, any observation on any issue that the Chamber deems appropriate.
2.
The Prosecutor and the defence shall have the opportunity to respond to the observations submitted under sub-rule 1.
3.
A written observation submitted under sub-rule 1 shall be filed with the Registrar, who shall
provide copies to the Prosecutor and the defence. The Chamber shall determine what time limits shall apply to the
filing of such observations.
Chapter 5
Investigation and prosecution
Section I
Decision of the Prosecutor regarding the initiation of an investigation under article 53, paragraphs 1 and 2
Rule 104
Evaluation of information by the Prosecutor
1. In acting pursuant to article 53, paragraph 1, the Prosecutor shall,
in evaluating the information made available to him or her, analyse the seriousness of the information received.
2.
For the purposes of sub-rule 1, the Prosecutor may seek additional
information from States, organs of the United Nations, intergovernmental and non-governmental organizations, or other
reliable sources that he or she deems appropriate, and may receive written or oral testimony at the seat of the Court.
The procedure set out in rule 47 shall apply to the receiving of such testimony.
Rule 105
Notification of a decision by the Prosecutor not to initiate an investigation
1. When the Prosecutor
decides not to initiate an investigation under article 53, paragraph 1, he or she shall promptly inform in writing
the State or States that referred a situation under article 14, or the Security Council in respect of a situation covered
by article 13, paragraph (b).
2. When the Prosecutor decides not to submit to the Pre-Trial Chamber
a request for authorization of an investigation, rule 49 shall apply.
3. The notification referred to in sub-rule
1 shall contain the conclusion of the Prosecutor and, having regard to article 68, paragraph 1, the reasons for
the conclusion.
Rule 106
Notification of a decision by the Prosecutor not to prosecute
1. When the Prosecutor decides that there
is not a sufficient basis for prosecution under article 53, paragraph 2, he or she shall promptly inform in writing
the Pre-Trial Chamber, together with the State or States that referred a situation under article 14, or the Security
Council in respect of a situation covered by article 13, paragraph (b).
2. The notifications referred
to in sub-rule 1 shall contain the conclusion of the Prosecutor and, having regard to article 68,
paragraph 1, the reasons for the conclusion.
Section
II
Procedure under article 53, paragraph 3
Rule 107
Request for review under article 53, paragraph 3 (a)
1. A request under article 53, paragraph 3, for a review
of a decision by the Prosecutor not to initiate an investigation or not to prosecute shall be made in writing, and be
supported with reasons, within 90 days following the notification given under rule 105 or 106.
2. The Pre-Trial
Chamber may request the Prosecutor to transmit the information or documents in his or her possession, or summaries
thereof, that the Chamber considers necessary for the conduct of the review.
3. The Pre-Trial Chamber shall
take such measures as are necessary under articles 54, 72 and 93 to protect the information
and documents referred to in sub-rule 2 and, under article 68, paragraph 5, to protect the safety of witnesses and victims
and members of their families.
4.
When a State or the Security Council makes a request referred to in sub-rule 1, the Pre-Trial Chamber
may seek further observations from them.
5. Where an issue of jurisdiction or admissibility of the case is
raised, rule 59 shall apply.
Rule 108
Decision of the Pre-Trial Chamber under article 53, paragraph 3 (a)
1. A decision of the Pre-Trial
Chamber under article 53, paragraph 3 (a), must be concurred in by a majority of its judges and shall
contain reasons. It shall be communicated to all those who participated in the review.
2.
Where the Pre-Trial Chamber requests the Prosecutor to review, in whole or in part, his or her decision not to initiate
an investigation or not to prosecute, the Prosecutor shall reconsider that decision as soon as possible.
3.
Once the Prosecutor has taken a final decision, he or she shall notify the Pre-Trial Chamber in writing. This notification
shall contain the conclusion of the Prosecutor and the reasons for the conclusion. It shall be communicated to all those
who participated in the review.
Rule 109
Review by the Pre-Trial Chamber under article 53, paragraph 3 (b)
1. Within 180 days following
a notification given under rule 105 or 106, the Pre-Trial Chamber may on its own initiative decide to review a decision
of the Prosecutor taken solely under article 53, paragraph 1 (c) or 2 (c). The Pre-Trial Chamber shall inform the Prosecutor
of its intention to review his or her decision and shall establish a time limit within
which the Prosecutor may submit observations and other material.
2. In cases where a request has been
submitted to the Pre-Trial Chamber by a State or by the Security Council, they shall also be informed
and may submit observations in accordance with rule 107.
Rule 110
Decision by the Pre-Trial Chamber under article 53, paragraph 3 (b)
1. A decision
by the Pre-Trial Chamber to confirm or not to confirm a decision taken by the Prosecutor solely under
article 53, paragraph 1 (c) or 2 (c), must be concurred in by a majority of its judges
and shall contain reasons. It shall be communicated to all those who participated in
the review.
2.
When the Pre-Trial Chamber does not confirm the decision by the Prosecutor referred to in sub-rule 1, he or she shall
proceed with the investigation or prosecution.
Section
III
Collection of evidence
Rule 111
Record of questioning in general
Rule 112
Recording of questioning in particular cases
1. Whenever the Prosecutor questions a person to whom article 55,
paragraph 2, applies, or for whom a warrant of arrest or a summons to appear has been issued under article 58, paragraph
7, the questioning shall be audio- or video-recorded, in accordance with the following procedure:
(a) The person questioned shall be informed, in a language he or she fully
understands and speaks, that the questioning is to be audio- or video-recorded, and that the person
concerned may object if he or she so wishes. The fact that this information has been provided and the response given
by the person concerned shall be noted in the record. The person may, before replying, speak in private with his
or her counsel, if present. If the person questioned refuses to be audio- or video-recorded, the procedure in rule 111
shall be followed;
(b) A waiver of the right to be questioned in the presence of counsel shall be recorded
in writing and, if possible, be audio- or video-recorded;
(c)
In the event of an interruption in the course of questioning, the fact and the time of the interruption shall be
recorded before the audio- or video-recording ends as well as the time of resumption of the questioning;
(d) At the conclusion of the questioning, the person questioned shall be offered the opportunity
to clarify anything he or she has said and to add anything he or she may wish. The time of conclusion of the questioning
shall be noted;
(e) The tape shall be transcribed as soon as practicable after the conclusion of the questioning
and a copy of the transcript supplied to the person questioned together with a copy of the recorded tape or, if
multiple recording apparatus was used, one of the original recorded tapes;
(f)
The original tape or one of the original tapes shall be sealed in the presence of the person questioned and his
or her counsel, if present, under the signature of the Prosecutor and the person questioned and the counsel, if present.
2.
The Prosecutor shall make every reasonable effort to record the questioning in accordance with sub-rule 1. As
an exception, a person may be questioned without the questioning being audio- or video-recorded where the circumstances
prevent such recording taking place. In this case, the reasons for not recording the questioning shall be stated in writing
and the procedure in rule 111 shall be followed.
3. When, pursuant to sub-rule 1 (a) or 2, the questioning
is not audio- or video-recorded, the person questioned shall be provided with a copy of his or her statement.
4.
The Prosecutor may choose to follow the procedure in this rule when questioning other persons than those
mentioned in sub-rule 1, in particular where the use of such procedures could assist in reducing any subsequent
traumatization of a victim of sexual or gender violence, a child or a person with disabilities in providing their evidence.
The Prosecutor may make an application to the relevant Chamber.
5. The Pre-Trial Chamber may, in pursuance
of article 56, paragraph 2, order that the procedure in this rule be applied to the questioning
of any person.
Rule 113
Collection of information regarding the state of health of the person concerned
1. The Pre-Trial
Chamber may, on its own initiative or at the request of the Prosecutor, the person concerned or his or her counsel,
order that a person having the rights in article 55, paragraph 2, be given a medical, psychological or psychiatric examination.
In making its determination, the Pre-Trial Chamber shall consider the nature and purpose of the examination and
whether the person consents to the examination.
2. The Pre-Trial Chamber shall appoint one or more
experts from the list of experts approved by the Registrar, or an expert approved by the Pre-Trial Chamber at the request
of a party.
Rule 114
Unique investigative opportunity under article 56
1. Upon being advised by the Prosecutor in accordance
with article 56, paragraph 1 (a), the Pre-Trial Chamber shall hold consultations without delay with the Prosecutor
and, subject to the provisions of article 56, paragraph 1 (c), with the person who has been arrested or who has
appeared before the Court pursuant to summons and his or her counsel, in order to determine the measures to be taken
and the modalities of their implementation, which may include measures to ensure that the right to communicate under
article 67, paragraph 1 (b), is protected.
2. A decision of the Pre-Trial Chamber to take measures
pursuant to article 56, paragraph 3, must be concurred in by a majority of its judges after consultations
with the Prosecutor. During the consultations, the Prosecutor may advise the Pre-Trial Chamber that intended measures
could jeopardize the proper conduct of the investigation.
Rule 115
Collection of evidence in the territory of a State Party under article 57, paragraph 3 (d)
1. Where the Prosecutor
considers that article 57, paragraph 3 (d), applies, the Prosecutor may submit a written request to the Pre-Trial
Chamber for authorization to take certain measures in the territory of the State Party in question. After a submission
of such a request, the Pre-Trial Chamber shall, whenever possible, inform and invite views from the State Party
concerned.
2.
In arriving at its determination as to whether the request is well founded, the Pre-Trial Chamber shall take into account
any views expressed by the State Party concerned. The Pre-Trial Chamber may, on its own initiative or at the request
of the Prosecutor or the State Party concerned, decide to hold a hearing.
3. An authorization under article
57, paragraph 3 (d), shall be issued in the form of an order and shall state the reasons, based
on the criteria set forth in that paragraph. The order may specify procedures to be followed in carrying
out such collection of evidence.
Rule 116
Collection of evidence at the request of the defence under article 57, paragraph 3 (b)
1. The Pre-Trial
Chamber shall issue an order or seek cooperation under article 57, paragraph 3 (b), where it is
satisfied:
(a) That such an order would facilitate the collection of evidence that may be material
to the proper determination of the issues being adjudicated, or to the proper preparation of the
person's defence; and
(b) In a case of cooperation under Part 9, that sufficient information
to comply with article 96, paragraph 2, has been provided.
2. Before taking a decision
whether to issue an order or seek cooperation under article 57, paragraph 3 (b), the Pre-Trial
Chamber may seek the views of the Prosecutor.
Section IV
Procedures in respect of restriction and deprivation of liberty
Rule 117
Detention in the custodial State
Rule 118
Pre-trial detention at the seat of the Court
1. If the person surrendered to the Court makes an initial request
for interim release pending trial, either upon first appearance in accordance with rule 121 or subsequently, the Pre-Trial
Chamber shall decide upon the request without delay, after seeking the views of the Prosecutor.
2. The Pre-Trial
Chamber shall review its ruling on the release or detention of a person in accordance with article 60, paragraph 3, at
least every 120 days and may do so at any time on the request of the person or the Prosecutor.
3. After the first
appearance, a request for interim release must be made in writing. The Prosecutor shall be given notice of such
a request. The Pre-Trial Chamber shall decide after having received observations in writing of the Prosecutor and the
detained person. The Pre-Trial Chamber may decide to hold a hearing, at the request of the Prosecutor or the detained
person or on its own initiative. A hearing must be held at least once every year.
Rule 119
Conditional release
1.
The Pre-Trial Chamber may set one or more conditions restricting liberty, including the following:
(a) The person must not travel beyond territorial limits set by the Pre-Trial
Chamber without the explicit agreement of the Chamber;
(b)
The person must not go to certain places or associate with certain persons as specified
by the Pre-Trial Chamber;
(c) The person must not contact directly or indirectly victims or
witnesses;
(d) The person must not engage in certain professional activities;
(e) The person must reside at a particular address as specified by the Pre-Trial Chamber;
(f) The person must respond when summoned by an authority or qualified person designated
by the Pre-Trial Chamber;
(g) The person must post bond or provide real or personal security or surety, for which
the amount and the schedule and mode of payment shall be determined by the Pre-Trial Chamber;
(h) The person must supply the Registrar with all identity documents, particularly his
or her passport.
2.
At the request of the person concerned or the Prosecutor or on its own initiative, the Pre-Trial Chamber may at any time
decide to amend the conditions set pursuant to sub-rule 1.
3. Before imposing or amending any conditions restricting
liberty, the Pre-Trial Chamber shall seek the views of the Prosecutor, the person concerned, any relevant State and victims
that have communicated with the Court in that case and whom the Chamber considers could be at risk as a result of
a release or conditions imposed.
4. If the Pre-Trial Chamber is convinced that the person concerned
has failed to comply with one or more of the obligations imposed, it may, on such basis, at the request of the Prosecutor
or on its own initiative, issue a warrant of arrest in respect of the person.
5. When the Pre-Trial Chamber
issues a summons to appear pursuant to article 58, paragraph 7, and intends to set conditions restricting liberty,
it shall ascertain the relevant provisions of the national law of the State receiving the summons. In a manner that is
in keeping with the national law of the State receiving the summons, the Pre-Trial Chamber shall proceed in accordance
with sub-rules 1, 2 and 3. If the Pre-Trial Chamber receives information that the person concerned has failed to comply
with conditions imposed, it shall proceed in accordance with sub-rule 4.
Rule 120
Instruments of restraint
Section V
Proceedings with regard to the confirmation of charges under article 61
Rule 121
Proceedings before the confirmation hearing
(b) The Pre-Trial Chamber
shall hold status conferences to ensure that disclosure takes place under satisfactory conditions. For each case,
a judge of the Pre-Trial Chamber shall be appointed to organize such status conferences, on his or her
own motion, or at the request of the Prosecutor or the person;
(c)
All evidence disclosed between the Prosecutor and the person for the purposes of the confirmation hearing shall
be communicated to the Pre-Trial Chamber.
3. The Prosecutor shall provide to the Pre-Trial Chamber and the person,
no later than 30 days before the date of the confirmation hearing, a detailed description of the charges together
with a list of the evidence which he or she intends to present at the hearing.
4. Where the Prosecutor intends
to amend the charges pursuant to article 61, paragraph 4, he or she shall notify the Pre-Trial Chamber and the person
no later than 15 days before the date of the hearing of the amended charges together with a list of evidence that the
Prosecutor intends to bring in support of those charges at the hearing.
5. Where the Prosecutor intends
to present new evidence at the hearing, he or she shall provide the Pre-Trial Chamber and the person with a list
of that evidence no later than 15 days before the date of the hearing.
6. If the person
intends to present evidence under article 61, paragraph 6, he or she shall provide a list of that evidence to the
Pre-Trial Chamber no later than 15 days before the date of the hearing. The Pre-Trial Chamber shall transmit the list
to the Prosecutor without delay. The person shall provide a list of evidence that he or she intends to present in
response to any amended charges or a new list of evidence provided by the Prosecutor.
7. The Prosecutor
or the person may ask the Pre-Trial Chamber to postpone the date of the confirmation hearing. The Pre-Trial Chamber
may also, on its own motion, decide to postpone the hearing.
8. The Pre-Trial Chamber shall not take into consideration
charges and evidence presented after the time limit, or any extension thereof, has expired.
9. The Prosecutor
and the person may lodge written submissions with the Pre-Trial Chamber, on points of fact and on law, including
grounds for excluding criminal responsibility set forth in article 31, paragraph 1, no later than three days before the
date of the hearing. A copy of these submissions shall be transmitted immediately to the Prosecutor or the person,
as the case may be.
10.
The Registry shall create and maintain a full and accurate record of all proceedings
before the Pre-Trial Chamber, including all documents transmitted to the Chamber pursuant to this rule. Subject
to any restrictions concerning confidentiality and the protection of national security information, the record may be
consulted by the Prosecutor, the person and victims or their legal representatives participating in the proceedings
pursuant to rules 89 to 91.
Rule 122
Proceedings at the confirmation hearing in the presence of the person charged
1. The Presiding
Judge of the Pre-Trial Chamber shall ask the officer of the Registry assisting the Chamber to read out
the charges as presented by the Prosecutor. The Presiding Judge shall determine how the hearing is to be conducted
and, in particular, may establish the order and the conditions under which he or she intends the evidence
contained in the record of the proceedings to be presented.
2. If a question or challenge concerning jurisdiction
or admissibility arises, rule 58 applies.
3. Before hearing the matter on the merits, the Presiding
Judge of the Pre-Trial Chamber shall ask the Prosecutor and the person whether they intend to raise objections or make
observations concerning an issue related to the proper conduct of the proceedings prior to the confirmation hearing.
4.
At no subsequent point may the objections and observations made under sub‑rule 3 be raised or
made again in the confirmation or trial proceedings.
5. If objections or observations referred to in sub-rule
3 are presented, the Presiding Judge of the Pre-Trial Chamber shall invite those referred to in sub-rule
3 to present their arguments, in the order which he or she shall establish. The person shall have the right to reply.
6.
If the objections raised or observations made are those referred to in sub‑rule 3, the Pre-Trial
Chamber shall decide whether to join the issue raised with the examination of the charges and the
evidence, or to separate them, in which case it shall adjourn the confirmation hearing and render a decision on the issues
raised.
7.
During the hearing on the merits, the Prosecutor and the person shall present their arguments in accordance with article
61, paragraphs 5 and 6.
8.
The Pre-Trial Chamber shall permit the Prosecutor and the person, in that order, to make final observations.
9.
Subject to the provisions of article 61, article 69 shall apply mutatis mutandis at the confirmation hearing.
Rule 123
Measures to ensure the presence of the person concerned at the confirmation hearing
1. When a warrant
of arrest or summons to appear in accordance with article 58, paragraph 7, has been issued for a person by the Pre-Trial
Chamber and the person is arrested or served with the summons, the Pre-Trial Chamber shall ensure that the person is
notified of the provisions of article 61, paragraph 2.
2. The Pre-Trial Chamber may hold consultations with
the Prosecutor, at the request of the latter or on its own initiative, in order to determine whether there is cause to
hold a hearing on confirmation of charges under the conditions set forth in article 61, paragraph 2 (b). When the
person concerned has a counsel known to the Court, the consultations shall be held in the presence of the counsel unless
the Pre-Trial Chamber decides otherwise.
3. The Pre-Trial Chamber shall ensure that a warrant of arrest for
the person concerned has been issued and, if the warrant of arrest has not been executed within a reasonable period of
time after the issuance of the warrant, that all reasonable measures have been taken to locate and arrest the person.
Rule 124
Waiver of the right to be present at the confirmation hearing
1. If the person concerned is available
to the Court but wishes to waive the right to be present at the hearing on confirmation of charges, he or she shall
submit a written request to the Pre-Trial Chamber, which may then hold consultations with the Prosecutor and the person
concerned, assisted or represented by his or her counsel.
2. A confirmation hearing pursuant to article 61, paragraph
2 (a), shall only be held when the Pre-Trial Chamber is satisfied that the person concerned understands the right to
be present at the hearing and the consequences of waiving this right.
3. The Pre-Trial Chamber may authorize
and make provision for the person to observe the hearing from outside the courtroom through the
use of communications technology, if required.
4. The waiving of the right to be present at the hearing does not
prevent the Pre-Trial Chamber from receiving written observations on issues before the Chamber from the person concerned.
Rule 125
Decision to hold the confirmation hearing in the absence of the person concerned
1. After holding
consultations under rules 123 and 124, the Pre-Trial Chamber shall decide whether there is cause to hold a hearing
on confirmation of charges in the absence of the person concerned, and in that case, whether the person may be represented
by counsel. The Pre-Trial Chamber shall, when appropriate, set a date for the hearing and make the date public.
2.
The decision of the Pre-Trial Chamber shall be notified to the Prosecutor and, if possible, to the person concerned or
his or her counsel.
3.
If the Pre-Trial Chamber decides not to hold a hearing on confirmation of charges in the absence of the person concerned,
and the person is not available to the Court, the confirmation of charges may not take place until the person is available
to the Court. The Pre-Trial Chamber may review its decision at any time, at the request of the Prosecutor or on
its own initiative.
4.
If the Pre-Trial Chamber decides not to hold a hearing on confirmation of charges in the absence of the person concerned,
and the person is available to the Court, it shall order the person to appear.
Rule 126
Confirmation hearing in the absence of the person concerned
1. The provisions of rules 121 and 122
shall apply mutatis mutandis to the preparation for and holding of a hearing on confirmation
of charges in the absence of the person concerned.
2. If the Pre-Trial Chamber has determined that the
person concerned shall be represented by counsel, the counsel shall have the opportunity to exercise the rights of that
person.
3.
When the person who has fled is subsequently arrested and the Court has confirmed the charges upon which the Prosecutor
intends to pursue the trial, the person charged shall be committed to the Trial Chamber established under article
61, paragraph 11. The person charged may request in writing that the Trial Chamber refer issues to the Pre-Trial Chamber
that are necessary for the Chamber's effective and fair functioning in accordance with article 64, paragraph
4.
Section VI
Closure of the pre-trial phase
Rule 127
Procedure in the event of different decisions on multiple charges
Rule 128
Amendment of the charges
1.
If the Prosecutor seeks to amend charges already confirmed before the trial has begun, in accordance with article 61,
the Prosecutor shall make a written request to the Pre-Trial Chamber, and that Chamber shall so
notify the accused.
2.
Before deciding whether to authorize the amendment, the Pre-Trial Chamber may request the accused and
the Prosecutor to submit written observations on certain issues of fact or law.
3. If the Pre-Trial
Chamber determines that the amendments proposed by the Prosecutor constitute additional or more serious charges,
it shall proceed, as appropriate, in accordance with rules 121 and 122 or rules 123 to 126.
Rule 129
Notification of the decision on the confirmation of charges
Rule 130
Constitution of the Trial Chamber
When the Presidency constitutes a Trial Chamber
and refers the case to it, the Presidency shall transmit the decision of the Pre-Trial Chamber and the record
of the proceedings to the Trial Chamber. The Presidency may also refer the case to a previously constituted Trial
Chamber.
Chapter 6
Trial procedure
Rule 131
Record of the proceedings transmitted by the Pre-Trial Chamber
1. The Registrar shall maintain the record
of the proceedings transmitted by the Pre-Trial Chamber, pursuant to rule 121, sub-rule 10.
2. Subject to any
restrictions concerning confidentiality and the protection of national security information, the record may be consulted
by the Prosecutor, the defence, the representatives of States when they participate in the proceedings, and the victims
or their legal representatives participating in the proceedings pursuant to rules 89 to 91.
Rule 132
Status conferences
1.
Promptly after it is constituted, the Trial Chamber shall hold a status conference in order to set the date of the trial.
The Trial Chamber, on its own motion, or at the request of the Prosecutor or the defence, may postpone the date
of the trial. The Trial Chamber shall notify the trial date to all those participating in the proceedings. The Trial
Chamber shall ensure that this date and any postponements are made public.
2. In order to facilitate the
fair and expeditious conduct of the proceedings, the Trial Chamber may confer with the parties by holding status
conferences as necessary.
Rule 133
Motions challenging admissibility or jurisdiction
Rule 134
Motions relating to the trial proceedings
1. Prior to the commencement of the trial, the Trial Chamber on its
own motion, or at the request of the Prosecutor or the defence, may rule on any issue concerning the conduct of the proceedings.
Any request from the Prosecutor or the defence shall be in writing and, unless the request is for an ex parte procedure,
served on the other party. For all requests other than those submitted for an ex parte procedure, the other party shall
have the opportunity to file a response.
2. At the commencement of the trial, the Trial Chamber shall ask the
Prosecutor and the defence whether they have any objections or observations concerning the conduct of the proceedings
which have arisen since the confirmation hearings. Such objections or observations may not be raised or made again
on a subsequent occasion in the trial proceedings, without leave of the Trial Chamber in this proceeding.
3.
After the commencement of the trial, the Trial Chamber, on its own motion, or at the request of the Prosecutor or the
defence, may rule on issues that arise during the course of the trial.
Rule 135
Medical examination of the accused
1. The Trial Chamber may, for the purpose of discharging its obligations
under article 64, paragraph 8 (a), or for any other reasons, or at the request of a party, order a medical, psychiatric
or psychological examination of the accused, under the conditions set forth in rule 113.
2. The Trial Chamber
shall place its reasons for any such order on the record.
3. The Trial Chamber shall appoint one or more experts
from the list of experts approved by the Registrar, or an expert approved by the Trial Chamber at the request of a party.
4.
Where the Trial Chamber is satisfied that the accused is unfit to stand trial, it shall order that the trial be adjourned.
The Trial Chamber may, on its own motion or at the request of the prosecution or the defence, review the case of
the accused. In any event, the case shall be reviewed every 120 days unless there are reasons to do otherwise. If necessary,
the Trial Chamber may order further examinations of the accused. When the Trial Chamber is satisfied that the accused
has become fit to stand trial, it shall proceed in accordance with rule 132.
Rule 136
Joint and separate trials
Rule 137
Record of the trial proceedings
1.
In accordance with article 64, paragraph 10, the Registrar shall take measures to make, and preserve, a full and accurate
record of all proceedings, including transcripts, audio- and video-recordings and other means of capturing sound
or image.
2.
A Trial Chamber may order the disclosure of all or part of the record of closed proceedings when the reasons for ordering
its non-disclosure no longer exist.
3. The Trial Chamber may authorize persons other than the Registrar
to take photographs, audio- and video-recordings and other means of capturing the sound or image of the trial.
Rule 138
Custody of evidence
The Registrar shall retain and preserve, as necessary, all the evidence and other materials offered during the hearing,
subject to any order of the Trial Chamber.
Rule 139
Decision on admission of guilt
1.
After having proceeded in accordance with article 65, paragraph 1, the Trial Chamber, in order to decide whether to proceed
in accordance with article 65, paragraph 4, may invite the views of the Prosecutor and the defence.
2. The Trial Chamber
shall then make its decision on the admission of guilt and shall give reasons for this decision, which shall be
placed on the record.
Rule 140
Directions for the conduct of the proceedings and testimony
1. If the Presiding Judge does not give directions
under article 64, paragraph 8, the Prosecutor and the defence shall agree on the order and manner in which the evidence
shall be submitted to the Trial Chamber. If no agreement can be reached, the Presiding Judge shall issue directions.
2.
In all cases, subject to article 64, paragraphs 8 (b) and 9, article 69, paragraph 4, and rule 88, sub-rule 5, a witness
may be questioned as follows:
(a) A party that submits
evidence in accordance with article 69, paragraph 3, by way of a witness, has the right to question that witness;
(b) The prosecution and the defence have the right to question that witness about relevant
matters related to the witness's testimony and its reliability, the credibility of the witness and other relevant
matters;
(c) The Trial Chamber has the right to question a witness before or after a witness is
questioned by a participant referred to in sub-rules 2 (a) or (b);
(d)
The defence shall have the right to be the last to examine a witness.
3. Unless otherwise ordered by the Trial
Chamber, a witness other than an expert, or an investigator if he or she has not yet testified, shall not be present
when the testimony of another witness is given. However, a witness who has heard the testimony of another witness shall
not for that reason alone be disqualified from testifying. When a witness testifies after hearing the testimony
of others, this fact shall be noted in the record and considered by the Trial Chamber when evaluating the evidence.
Rule 141
Closure of evidence and closing statements
1. The Presiding Judge shall declare when the submission of evidence
is closed.
2.
The Presiding Judge shall invite the Prosecutor and the defence to make their closing statements. The defence shall always
have the opportunity to speak last.
Rule 142
Deliberations
1.
After the closing statements, the Trial Chamber shall retire to deliberate, in camera. The Trial Chamber shall inform
all those who participated in the proceedings of the date on which the Trial Chamber will pronounce its decision.
The pronouncement shall be made within a reasonable period of time after the Trial Chamber has retired to deliberate.
2.
When there is more than one charge, the Trial Chamber shall decide separately on each charge. When there is more than
one accused, the Trial Chamber shall decide separately on the charges against each accused.
Rule 143
Additional hearings on matters related to sentence or reparations
Pursuant to article
76, paragraphs 2 and 3, for the purpose of holding a further hearing on matters related to sentence and, if applicable,
reparations, the Presiding Judge shall set the date of the further hearing. This hearing can be postponed, in exceptional
circumstances, by the Trial Chamber, on its own motion or at the request of the Prosecutor, the defence or the legal
representatives of the victims participating in the proceedings pursuant to rules 89 to 91 and, in respect of
reparations hearings, those victims who have made a request under rule 94.
Rule 144
Delivery of the decisions of the Trial Chamber
1. Decisions of the Trial Chamber concerning admissibility of a case,
the jurisdiction of the Court, criminal responsibility of the accused, sentence and reparations shall be pronounced in
public and, wherever possible, in the presence of the accused, the Prosecutor, the victims or the legal representatives
of the victims participating in the proceedings pursuant to rules 89 to 91, and the representatives of the States which
have participated in the proceedings.
2. Copies of all the above-mentioned decisions shall be provided as
soon as possible to:
(a) All those who participated in the proceedings, in a working language of the Court;
(b) The accused, in a language he or she fully understands or speaks, if necessary to meet
the requirements of fairness under article 67, paragraph 1 (f).
Chapter 7
Penalties
Rule 145
Determination of sentence
Rule 146
Imposition of fines under article 77
Rule 147
Orders of forfeiture
1.
In accordance with article 76, paragraphs 2 and 3, and rules 63, sub-rule 1, and 143, at any hearing to consider an order
of forfeiture, Chamber shall hear evidence as to the identification and location of specific proceeds, property or assets
which have been derived directly or indirectly from the crime.
2. If before or during the hearing, a
Chamber becomes aware of any bona fide third party who appears to have an interest in relevant proceeds, property
or assets, it shall give notice to that third party.
3. The Prosecutor, the convicted person and any bona
fide third party with an interest in the relevant proceeds, property or assets may submit evidence relevant to the issue.
4.
After considering any evidence submitted, a Chamber may issue an order of forfeiture in relation to specific proceeds,
property or assets if it is satisfied that these have been derived directly or indirectly from the crime.
Rule 148
Orders to transfer fines or forfeitures to the Trust Fund
Before making
an order pursuant to article 79, paragraph 2, a Chamber may request the representatives of the Fund to submit written
or oral observations to it.
Chapter 8
Appeal and revision
Section I
General provisions
Rule 149
Rules governing proceedings in the Appeals Chamber
Parts 5 and 6 and
rules governing proceedings and the submission of evidence in the Pre-Trial and Trial Chambers shall apply mutatis
mutandis to proceedings in the Appeals Chamber.
Section
II
Appeals against convictions, acquittals, sentences and reparation orders
Rule 150
Appeal
1.
Subject to sub-rule 2, an appeal against a decision of conviction or acquittal under article 74, a sentence
under article 76 or a reparation order under article 75 may be filed not later than 30 days
from the date on which the party filing the appeal is notified of the decision, the sentence or the reparation order.
2.
The Appeals Chamber may extend the time limit set out in sub-rule 1, for good cause, upon the
application of the party seeking to file the appeal.
3. The appeal shall be filed with the Registrar.
4.
If an appeal is not filed as set out in sub-rules 1 to 3, the decision, the sentence or the reparation order
of the Trial Chamber shall become final.
Rule 151
Procedure for the appeal
1. Upon the filing of an appeal under rule 150, the
Registrar shall transmit the trial record to the Appeals Chamber.
2. The Registrar shall notify all parties
who participated in the proceedings before the Trial Chamber that an appeal has been filed.
Rule 152
Discontinuance of the appeal
Rule 153
Judgement on appeals against reparation orders
1. The Appeals Chamber may confirm, reverse or amend
a reparation order made under article 75.
2. The judgement of the Appeals Chamber shall be
delivered in accordance with article 83, paragraphs 4 and 5.
Section
III
Appeals against other decisions
Rule 154
Appeals that do not require the leave of the Court
1. An appeal may be
filed under article 81, paragraph 3 (c) (ii), or article 82, paragraph 1 (a) or (b), not later than
five days from the date upon which the party filing the appeal is notified of the decision.
2. An
appeal may be filed under article 82, paragraph 1 (c), not later than two days from the date upon which
the party filing the appeal is notified of the decision.
3. Rule 150, sub-rules
3 and 4, shall apply to appeals filed under sub-rules 1 and 2 of this rule.
Rule 155
Appeals that require leave of the Court
1. When a party wishes to appeal a decision
under article 82, paragraph 1 (d), or article 82, paragraph 2, that party shall, within five days of being notified
of that decision, make a written application to the Chamber that gave the decision, setting out the reasons for
the request for leave to appeal.
2. The Chamber shall render a decision and shall
notify all parties who participated in the proceedings that gave rise to the decision referred to in sub‑rule 1.
Rule 156
Procedure for the appeal
Rule 157
Discontinuance of the appeal
Any party who has filed an appeal
under rule 154 or who has obtained the leave of a Chamber to appeal a decision under rule 155 may discontinue the appeal
at any time before judgement has been delivered. In such case, the party shall file with the Registrar
a written notice of discontinuance of appeal. The Registrar shall inform the other parties that such a notice has been
filed.
Rule 158
Judgement on the appeal
Section IV
Revision of conviction or sentence
Rule 159
Application for revision
1. An application for revision provided for in article
84, paragraph 1, shall be in writing and shall set out the grounds on which the revision is sought. It shall as far as
possible be accompanied by supporting material.
2. The determination on whether the application
is meritorious shall be taken by a majority of the judges of the Appeals Chamber and shall be supported by reasons in
writing.
3.
Notification of the decision shall be sent to the applicant and, as far as possible, to all the parties who
participated in the proceedings related to the initial decision.
Rule 160
Transfer for the purpose of revision
1. For the conduct of the hearing provided for in rule 161, the relevant
Chamber shall issue its order sufficiently in advance to enable the transfer of the sentenced person to the seat of the
Court, as appropriate.
2.
The determination of the Court shall be communicated without delay to the State of enforcement.
3. The provisions
of rule 206, sub-rule 3, shall be applicable.
Rule 161
Determination on revision
1. On a date which it shall determine and shall communicate
to the applicant and to all those having received notification under rule 159, sub-rule 3, the relevant
Chamber shall hold a hearing to determine whether the conviction or sentence should be revised.
2. For
the conduct of the hearing, the relevant Chamber shall exercise, mutatis mutandis, all the powers of the Trial
Chamber pursuant to Part 6 and the rules governing proceedings and the submission of evidence in the Pre-Trial and Trial
Chambers.
3.
The determination on revision shall be governed by the applicable provisions of article 83, paragraph 4.
Chapter 9
Offences and misconduct against the Court
Section
I
Offences against the administration of justice under article 70
Rule 162
Exercise of jurisdiction
1. Before deciding whether to exercise jurisdiction, the Court may
consult with States Parties that may have jurisdiction over the offence.
2. In making a decision whether
or not to exercise jurisdiction, the Court may consider, in particular:
(a)
The availability and effectiveness of prosecution in a State Party;
(b)
The seriousness of an offence;
(c) The possible joinder of charges under article 70 with charges under articles 5 to 8;
(d) The need to expedite proceedings;
(e)
Links with an ongoing investigation or a trial before the Court; and
(f)
Evidentiary considerations.
3.
The Court shall give favourable consideration to a request from the host State for a waiver of the power of the Court
to exercise jurisdiction in cases where the host State considers such a waiver to be of particular importance.
4.
If the Court decides not to exercise its jurisdiction, it may request a State Party to exercise jurisdiction pursuant
to article 70, paragraph 4.
Rule 163
Application of the Statute and the Rules
1. Unless otherwise provided in sub-rules 2 and 3,
rule 162 and rules 164 to 169, the Statute and the Rules shall apply mutatis mutandis to the Court's investigation,
prosecution and punishment of offences defined in article 70.
2. The provisions of Part 2, and any
rules thereunder, shall not apply, with the exception of article 21.
3. The provisions of Part 10, and any
rules thereunder, shall not apply, with the exception of articles 103, 107, 109 and 111.
Rule 164
Periods of limitation
1. If the Court exercises jurisdiction in accordance with rule 162,
it shall apply the periods of limitation set forth in this rule.
2. Offences defined in article 70 shall
be subject to a period of limitation of five years from the date on which the offence was committed, provided that
during this period no investigation or prosecution has been initiated. The period of limitation shall be interrupted
if an investigation or prosecution has been initiated during this period, either before the Court or by a State
Party with jurisdiction over the case pursuant to article 70, paragraph 4 (a).
3. Enforcement of sanctions
imposed with respect to offences defined in article 70 shall be subject to a period of limitation of 10 years from
the date on which the sanction has become final. The period of limitation shall be interrupted with the detention of
the convicted person or while the person concerned is outside the territory of the States Parties.
Rule 165
Investigation, prosecution and trial
1. The Prosecutor may initiate and conduct investigations
with respect to the offences defined in article 70 on his or her own initiative, on the basis of information communicated
by a Chamber or any reliable source.
2. Articles 53 and 59, and any rules thereunder, shall not apply.
3.
For purposes of article 61, the Pre-Trial Chamber may make any of the determinations set forth in that article on the
basis of written submissions, without a hearing, unless the interests of justice otherwise require.
4.
A Trial Chamber may, as appropriate and taking into account the rights of the defence, direct that there be joinder of
charges under article 70 with charges under articles 5 to 8.
Rule 166
Sanctions under article 70
1. If the Court imposes sanctions with respect to article 70, this
rule shall apply.
2.
Article 77, and any rules thereunder, shall not apply, with the exception of an order of forfeiture under article 77,
paragraph 2 (b), which may be ordered in addition to imprisonment or a fine or both.
3. Each offence
may be separately fined and those fines may be cumulative. Under no circumstances may the total amount exceed 50
per cent of the value of the convicted person's identifiable assets, liquid or realizable, and property, after deduction
of an appropriate amount that would satisfy the financial needs of the convicted person and his or her dependants.
4.
In imposing a fine the Court shall allow the convicted person a reasonable period in which to pay the fine. The Court
may provide for payment of a lump sum or by way of instalments during that period.
5. If the convicted
person does not pay a fine imposed in accordance with the conditions set forth in sub-rule 4, appropriate measures
may be taken by the Court pursuant to rules 217 to 222 and in accordance with article 109. Where, in cases of continued
wilful non-payment, the Court, on its own motion or at the request of the Prosecutor, is satisfied that all available
enforcement measures have been exhausted, it may as a last resort impose a term of imprisonment in accordance with article
70, paragraph 3. In the determination of such term of imprisonment, the Court shall take into account the amount
of fine paid.
Rule 167
International cooperation and judicial assistance
1. With regard to offences under article
70, the Court may request a State to provide any form of international cooperation or judicial assistance corresponding
to those forms set forth in Part 9. In any such request, the Court shall indicate that the basis for the request is an
investigation or prosecution of offences under article 70.
2. The conditions for providing international cooperation
or judicial assistance to the Court with respect to offences under article 70 shall be those set forth in article 70,
paragraph 2.
Rule 168
Ne bis in idem
In respect of offences under article 70, no person
shall be tried before the Court with respect to conduct which formed the basis of an offence for which the person has
already been convicted or acquitted by the Court or another court.
Rule 169
Immediate arrest
In the case of an alleged offence under article
70 committed in the presence of a Chamber, the Prosecutor may orally request that Chamber to order the immediate arrest
of the person concerned.
Section II
Misconduct before the Court under article 71
Rule 170
Disruption of proceedings
Having regard to article 63, paragraph 2, the Presiding
Judge of the Chamber dealing with the matter may, after giving a warning:
(a)
Order a person disrupting the proceedings of the Court to leave or be removed
from the courtroom; or,
(b) In case of repeated misconduct, order the interdiction of that person from attending
the proceedings.
Rule 171
Refusal to comply with a direction by the Court
Rule 172
Conduct covered by both articles 70 and 71
If conduct covered by article 71
also constitutes one of the offences defined in article 70, the Court shall proceed in accordance with article 70 and
rules 162 to 169.
Chapter 10
Compensation to an arrested or convicted person
Rule 173
Request for compensation
1. Anyone seeking compensation on any of the grounds indicated in
article 85 shall submit a request, in writing, to the Presidency, which shall designate a Chamber composed of three judges
to consider the request. These judges shall not have participated in any earlier judgement of the Court regarding
the person making the request.
2.
The request for compensation shall be submitted not later than six months from the date the person making the request
was notified of the decision of the Court concerning:
(a) The
unlawfulness of the arrest or detention under article 85, paragraph 1;
(b)
The reversal of the conviction under article 85, paragraph 2;
(c)
The existence of a grave and manifest miscarriage of justice under article 85, paragraph 3.
3. The request shall
contain the grounds and the amount of compensation requested.
4. The person requesting compensation
shall be entitled to legal assistance.
Rule 174
Procedure for seeking compensation
1. A request for compensation and any other written
observation by the person filing the request shall be transmitted to the Prosecutor, who shall have an opportunity to
respond in writing. Any observations by the Prosecutor shall be notified to the person filing the request.
2.
The Chamber designated under rule 173, sub-rule 1, may either hold a hearing or determine the matter on the basis of
the request and any written observations by the Prosecutor and the person filing the request. A hearing shall be
held if the Prosecutor or the person seeking compensation so requests.
3. The decision shall be taken
by the majority of the judges. The decision shall be notified to the Prosecutor and to the person filing the request.
Rule 175
Amount of compensation
In establishing the amount of any compensation
in conformity with article 85, paragraph 3, the Chamber designated under rule 173, sub-rule 1, shall take into consideration
the consequences of the grave and manifest miscarriage of justice on the personal, family, social and professional
situation of the person filing the request.
Chapter 11
International
cooperation and judicial assistance
Section I
Requests for cooperation under article 87
Rule 176
Organs of the Court responsible for the transmission and receipt
of any communications relating
to international cooperation and
judicial assistance
1. Upon and subsequent to the establishment of the
Court, the Registrar shall obtain from the Secretary-General of the United Nations any communication made by States pursuant
to article 87, paragraphs 1 (a) and 2.
2. The Registrar shall transmit the requests for cooperation made
by the Chambers and shall receive the responses, information and documents from requested States. The Office of the Prosecutor
shall transmit the requests for cooperation made by the Prosecutor and shall receive the responses, information
and documents from requested States.
3. The Registrar shall be the recipient of any communication from
States concerning subsequent changes in the designation of the national channels charged with receiving requests for
cooperation, as well as of any change in the language in which requests for cooperation should be made, and shall,
upon request, make such information available to States Parties as may be appropriate.
4. The provisions
of sub-rule 2 are applicable mutatis mutandis where the Court requests information, documents or other
forms of cooperation and assistance from an intergovernmental organization.
5. The Registrar shall transmit
any communications referred to in sub-rules 1 and 3 and rule 177, sub-rule 2, as appropriate, to the Presidency
or the Office of the Prosecutor, or both.
Rule 177
Channels of communication
1. Communications concerning the national authority charged with receiving
requests for cooperation made upon ratification, acceptance, approval or accession shall provide all relevant information
about such authorities.
2.
When an intergovernmental organization is asked to assist the Court under article 87, paragraph 6, the Registrar shall,
when necessary, ascertain its designated channel of communication and obtain all relevant information relating thereto.
Rule 178
Language chosen by States Parties under article 87, paragraph 2
Rule 179
Language of requests directed to States not party to the Statute
When a State
not party to the Statute has agreed to provide assistance to the Court under article 87, paragraph 5, and has not
made a choice of language for such requests, the requests for cooperation shall either be in or be accompanied by a translation
into one of the working languages of the Court.
Rule 180
Changes in the channels of communication or the languages of requests for cooperation
1.
Changes concerning the channel of communication or the language a State has chosen under article 87, paragraph 2, shall
be communicated in writing to the Registrar at the earliest opportunity.
2. Such changes shall take effect
in respect of requests for cooperation made by the Court at a time agreed between the Court and the State or, in
the absence of such an agreement, 45 days after the Court has received the communication and, in all cases, without prejudice
to current requests or requests in progress.
Section
II
Surrender, transit and competing requests under articles 89
and 90
Rule 181
Challenge to admissibility of a case before a national court
When a situation
described in article 89, paragraph 2, arises, and without prejudice to the provisions of article 19 and of rules
58 to 62 on procedures applicable to challenges to the jurisdiction of the Court or the admissibility of a case, the
Chamber dealing with the case, if the admissibility ruling is still pending, shall take steps to obtain from the
requested State all the relevant information about the ne bis in idem challenge
brought by the person.
Rule 182
Request for transit under article 89, paragraph 3 (e)
1. In situations described in article
89, paragraph 3 (e), the Court may transmit the request for transit by any medium capable of delivering a written
record.
2.
When the time limit provided for in article 89, paragraph 3 (e), has expired and the person concerned has been released,
such a release is without prejudice to a subsequent arrest of the person in accordance with the provisions of article
89 or article 92.
Rule 183
Possible temporary surrender
Following the consultations referred
to in article 89, paragraph 4, the requested State may temporarily surrender the person sought in accordance with conditions
determined between the requested State and the Court. In such case the person shall be kept in custody during his
or her presence before the Court and shall be transferred to the requested State once his or her presence before the
Court is no longer required, at the latest when the proceedings have been completed.
Rule 184
Arrangements for surrender
1. The requested State shall immediately inform the Registrar when
the person sought by the Court is available for surrender.
2. The person shall be surrendered to the Court by
the date and in the manner agreed upon between the authorities of the requested State and the Registrar.
3.
If circumstances prevent the surrender of the person by the date agreed, the authorities of the requested State and the
Registrar shall agree upon a new date and manner by which the person shall be surrendered.
4. The Registrar
shall maintain contact with the authorities of the host State in relation to the arrangements for the surrender of the
person to the Court.
Rule 185
Release of a person from the custody of the Court other than upon
completion of sentence
1.
Subject to sub-rule 2, where a person surrendered to the Court is released from the custody of the Court because the
Court does not have jurisdiction, the case is inadmissible under article 17, paragraph 1 (b), (c) or (d), the charges
have not been confirmed under article 61, the person has been acquitted at trial or on appeal, or for any other reason,
the Court shall, as soon as possible, make such arrangements as it considers appropriate for the transfer of the person,
taking into account the views of the person, to a State which is obliged to receive him or her, to another State
which agrees to receive him or her, or to a State which has requested his or her extradition with the consent of the
original surrendering State. In this case, the host State shall facilitate the transfer in accordance with the agreement
referred to in article 3, paragraph 2, and the related arrangements.
2. Where the Court has determined that
the case is inadmissible under article 17, paragraph 1 (a), the Court shall make arrangements, as appropriate, for
the transfer of the person to a State whose investigation or prosecution has formed the basis of the successful challenge
to admissibility, unless the State that originally surrendered the person requests his or her return.
Rule 186
Competing requests in the context of a challenge to the admissibility
of the case
In situations described in article 90, paragraph 8, the requested State shall provide the notification of its decision
to the Prosecutor in order to enable him or her to act in accordance with article 19, paragraph 10.
Section III
Documents for arrest and surrender under articles 91 and 92
Rule 187
Translation of documents accompanying request for surrender
For the purposes
of article 67, paragraph 1 (a), and in accordance with rule 117, sub-rule 1, the request under article 91 shall
be accompanied, as appropriate, by a translation of the warrant of arrest or of the judgement of conviction and by a
translation of the text of any relevant provisions of the Statute, in a language that the person fully understands
and speaks.
Rule 188
Time limit for submission of documents after provisional arrest
For the purposes
of article 92, paragraph 3, the time limit for receipt by the requested State of the request for surrender and the
documents supporting the request shall be 60 days from the date of the provisional arrest.
Rule 189
Transmission of documents supporting the request
When a person has
consented to surrender in accordance with the provisions of article 92, paragraph 3, and the requested State proceeds
to surrender the person to the Court, the Court shall not be required to provide the documents described in article 91
unless the requested State indicates otherwise.
Section
IV
Cooperation under article 93
Rule 190
Instruction on self-incrimination accompanying request for witness
Rule 191
Assurance provided by the Court under article 93, paragraph 2
The Chamber
dealing with the case, on its own motion or at the request of the Prosecutor, defence or witness or expert concerned,
may decide, after taking into account the views of the Prosecutor and the witness or expert concerned, to provide the
assurance described in article 93, paragraph 2.
Rule 192
Transfer of a person in custody
1. Transfer of a person in custody to the Court in
accordance with article 93, paragraph 7, shall be arranged by the national authorities concerned in liaison with the
Registrar and the authorities of the host State.
2. The Registrar shall ensure the proper conduct of
the transfer, including the supervision of the person while in the custody of the Court.
3. The person in
custody before the Court shall have the right to raise matters concerning the conditions of his or her detention
with the relevant Chamber.
4.
In accordance with article 93, paragraph 7 (b), when the purposes of the transfer have been fulfilled, the Registrar
shall arrange for the return of the person in custody to the requested State.
Rule 193
Temporary transfer of the person from the State of enforcement
Rule 194
Cooperation requested from the Court
1. In accordance with article 93, paragraph 10, and
consistent with article 96, mutatis mutandis, a State may transmit to the Court a request for cooperation or assistance
to the Court, either in or accompanied by a translation into one of the working languages of the Court.
2.
Requests described in sub-rule 1 are to be sent to the Registrar, which shall transmit them, as appropriate, either to
the Prosecutor or to the Chamber concerned.
3. If protective measures within the meaning of article
68 have been adopted, the Prosecutor or Chamber, as appropriate, shall consider the views of the Chamber which ordered
the measures as well as those of the relevant victim or witness, before deciding on the request.
4. If the request
relates to documents or evidence as described in article 93, paragraph 10 (b) (ii), the Prosecutor or Chamber, as
appropriate, shall obtain the written consent of the relevant State before proceeding with the request.
5.
When the Court decides to grant the request for cooperation or assistance from a State, the request shall be executed,
insofar as possible, following any procedure outlined therein by the requesting State and permitting persons specified
in the request to be present.
Section V
Cooperation under article 98
Rule 195
Provision of information
1. When a requested State notifies the Court that a request for surrender
or assistance raises a problem of execution in respect of article 98, the requested State shall provide any information
relevant to assist the Court in the application of article 98. Any concerned third State or sending State may
provide additional information to assist the Court.
2. The Court may not proceed with a request for the
surrender of a person without the consent of a sending State if, under article 98, paragraph 2, such a request would
be inconsistent with obligations under an international agreement pursuant to which the consent of a sending State
is required prior to the surrender of a person of that State to the Court.
Section VI
Rule of speciality under article 101
Rule 196
Provision of views on article 101, paragraph 1
Rule 197
Extension of the surrender
When the Court has requested a waiver of the requirements
of article 101, paragraph 1, the requested State may ask the Court to obtain and provide the views of the person surrendered
to the Court.
Chapter 12
Enforcement
Section I
Role of States in enforcement of sentences of imprisonment and change in designation of State of
enforcement under articles 103 and 104
Rule 198
Communications between the Court and States
Unless the context otherwise requires,
article 87 and rules 176 to 180 shall apply, as appropriate, to communications between the Court and a State on matters
relating to enforcement of sentences.
Rule 199
Organ responsible under Part 10
Unless provided otherwise in the
Rules, the functions of the Court under Part 10 shall be exercised by the Presidency.
Rule 200
List of States of enforcement
Rule 201
Principles of equitable distribution
Rule 202
Timing of delivery of the sentenced person to the State of enforcement
The delivery of a sentenced person from the Court to the designated State of enforcement shall not take place unless
the decision on the conviction and the decision on the sentence have become final.
Rule 203
Views of the sentenced person
1. The Presidency shall give notice in writing to the
sentenced person that it is addressing the designation of a State of enforcement. The sentenced person shall, within
such time limit as the Presidency shall prescribe, submit in writing his or her views on the question to the Presidency.
2.
The Presidency may allow the sentenced person to make oral presentations.
3. The Presidency shall allow
the sentenced person:
(a) To be assisted, as appropriate, by a competent interpreter and to benefit from any
translation necessary for the presentation of his or her views;
(b)
To be granted adequate time and facilities necessary to prepare for the presentation of his or her views.
Rule 204
Information relating to designation
When the Presidency notifies the
designated State of its decision, it shall also transmit the following information and documents:
(a) The name, nationality, date and place of birth of the sentenced person;
(b) A copy of the final judgement of conviction and of the sentence imposed;
(c) The length and commencement date of the sentence and the time remaining to be served;
(d) After having heard the views of the sentenced person, any necessary information concerning
the state of his or her health, including any medical treatment that he or she is receiving.
Rule 205
Rejection of designation in a particular case
Where a State in a particular case
rejects the designation by the Presidency, the Presidency may designate another State.
Rule 206
Delivery of the sentenced person to the State of enforcement
1. The Registrar shall inform
the Prosecutor and the sentenced person of the State designated to enforce the sentence.
2. The sentenced
person shall be delivered to the State of enforcement as soon as possible after the designated State of enforcement
accepts.
3.
The Registrar shall ensure the proper conduct of the delivery of the person in consultation with the authorities of the
State of enforcement and the host State.
Rule 207
Transit
Rule 208
Costs
1.
The ordinary costs for the enforcement of the sentence in the territory of the State of enforcement shall be borne by
that State.
2.
Other costs, including those for the transport of the sentenced person and those referred to in article 100, paragraph
1 (c), (d) and (e), shall be borne by the Court.
Rule 209
Change in designation of State of enforcement
1. The Presidency, acting on its own motion or at the
request of the sentenced person or the Prosecutor, may at any time act in accordance with article 104, paragraph 1.
2.
The request of the sentenced person or of the Prosecutor shall be made in writing and shall set out the grounds upon
which the transfer is sought.
Rule 210
Procedure for change in the designation of a State of enforcement
1. Before deciding to change
the designation of a State of enforcement, the Presidency may:
(a)
Request views from the State of enforcement;
(b) Consider
written or oral presentations of the sentenced person and the Prosecutor;
(c)
Consider written or oral expert opinion concerning, inter alia, the sentenced person;
(d) Obtain any other relevant information from any reliable sources.
2. The provisions
of rule 203, sub-rule 3, shall apply, as appropriate.
3. If the Presidency refuses to change the designation
of the State of enforcement, it shall, as soon as possible, inform the sentenced person, the Prosecutor and the Registrar
of its decision and of the reasons therefor. It shall also inform the State of enforcement.
Section II
Enforcement, supervision and transfer under articles 105, 106 and 107
Rule 211
Supervision of enforcement of sentences and conditions of imprisonment
1. In order to supervise
the enforcement of sentences of imprisonment, the Presidency:
(a)
Shall, in consultation with the State of enforcement, ensure that in establishing appropriate arrangements for the
exercise by any sentenced person of his or her right to communicate with the Court about the conditions of imprisonment,
the provisions of article 106, paragraph 3, shall be respected;
(b)
May, when necessary, request any information, report or expert opinion from the State of enforcement or from any
reliable sources;
(c) May, where appropriate, delegate a judge of the Court or a member of the staff of the
Court who will be responsible, after notifying the State of enforcement, for meeting the sentenced person and hearing
his or her views, without the presence of national authorities;
(d)
May, where appropriate, give the State of enforcement an opportunity to comment on the views expressed by the sentenced
person under sub-rule 1 (c).
2.
When a sentenced person is eligible for a prison programme or benefit available under the domestic law of the State of
enforcement which may entail some activity outside the prison facility, the State of enforcement shall communicate
that fact to the Presidency, together with any relevant information or observation, to enable the Court to exercise its
supervisory function.
Rule 212
Information on location of the person for enforcement of fines, forfeitures or reparation measures
For the purpose of enforcement of fines and forfeiture measures and of reparation measures ordered by the Court,
the Presidency may, at any time or at least 30 days before the scheduled completion of the sentence served by the sentenced
person, request the State of enforcement to transmit to it the relevant information concerning the intention of that
State to authorize the person to remain in its territory or the location where it intends to transfer the person.
Rule 213
Procedure for article 107, paragraph 3
With respect to article 107, paragraph
3, the procedure set out in rules 214 and 215 shall apply, as appropriate.
Section III
Limitation on the prosecution or punishment of other offences under article 108
Rule 214
Request to prosecute or enforce a sentence for prior conduct
1. For the application of article
108, when the State of enforcement wishes to prosecute or enforce a sentence against the sentenced person for any
conduct engaged in prior to that person's transfer, it shall notify its intention to the Presidency and transmit
to it the following documents:
(a) A statement of the facts of the case and their legal characterization;
(b) A copy of any applicable legal provisions, including those concerning the statute of
limitation and the applicable penalties;
(c) A copy of any sentence,
warrant of arrest or other document having the same force, or of any other legal writ which the State intends to enforce;
(d) A protocol containing views of the sentenced person obtained after the person has been
informed sufficiently about the proceedings.
2. In the event of a request for extradition made by
another State, the State of enforcement shall transmit the entire request to the Presidency with a protocol containing
the views of the sentenced person obtained after informing the person sufficiently about the extradition request.
3.
The Presidency may in all cases request any document or additional information from the State of enforcement or the State
requesting extradition.
4.
If the person was surrendered to the Court by a State other than the State of enforcement or the State seeking extradition,
the Presidency shall consult with the State that surrendered the person and take into account any views expressed by
that State.
5.
Any information or documents transmitted to the Presidency under sub-rules 1 to 4 shall be transmitted to the Prosecutor,
who may comment.
6.
The Presidency may decide to conduct a hearing.
Rule 215
Decision on request to prosecute or enforce a sentence
1. The Presidency shall make a determination
as soon as possible. This determination shall be notified to all those who have participated in the proceedings.
2.
If the request submitted under sub-rules 1 or 2 of rule 214 concerns the enforcement of a sentence, the sentenced person
may serve that sentence in the State designated by the Court to enforce the sentence pronounced by it or be extradited
to a third State only after having served the full sentence pronounced by the Court, subject to the provisions of article
110.
3.
The Presidency may authorize the temporary extradition of the sentenced person to a third State for prosecution only
if it has obtained assurances which it deems to be sufficient that the sentenced person will be kept in custody
in the third State and transferred back to the State responsible for enforcement of the sentence pronounced by the Court,
after the prosecution.
Rule 216
Information on enforcement
The Presidency shall request the State of enforcement
to inform it of any important event concerning the sentenced person, and of any prosecution of that person for events
subsequent to his or her transfer.
Section IV
Enforcement of fines, forfeiture measures and reparation orders
Rule 217
Cooperation and measures for enforcement of fines, forfeiture or reparation orders
Rule 218
Orders for forfeiture and reparations
1. In order to enable States to give effect to an order
for forfeiture, the order shall specify:
(a) The identity of the
person against whom the order has been issued;
(b) The
proceeds, property and assets that have been ordered by the Court to be forfeited; and
(c) That if the State Party is unable to give effect to the order for forfeiture in relation
to the specified proceeds, property or assets, it shall take measures to recover the value of the same.
2.
In the request for cooperation and measures for enforcement, the Court shall also provide available information as to
the location of the proceeds, property and assets that are covered by the order for forfeiture.
3. In order to enable
States to give effect to an order for reparations, the order shall specify:
(a)
The identity of the person against whom the order has been issued;
(b)
In respect of reparations of a financial nature, the identity of the victims to whom individual reparations have
been granted, and, where the award for reparations shall be deposited with the Trust Fund, the particulars of the Trust
Fund for the deposit of the award; and
(c) The scope and nature
of the reparations ordered by the Court, including, where applicable, the property and assets for which restitution
has been ordered.
4.
Where the Court awards reparations on an individual basis, a copy of the reparation order shall be transmitted to the
victim concerned.
Rule 219
Non-modification of orders for reparation
The Presidency shall, when transmitting
copies of orders for reparations to States Parties under rule 217, inform them that, in giving effect to an order for
reparations, the national authorities shall not modify the reparations specified by the Court, the scope or the
extent of any damage, loss or injury determined by the Court or the principles stated in the order, and shall facilitate
the enforcement of such order.
Rule 220
Non-modification of judgements in which fines were imposed
When transmitting
copies of judgements in which fines were imposed to States Parties for the purpose of enforcement in accordance
with article 109 and rule 217, the Presidency shall inform them that in enforcing the fines imposed, national authorities
shall not modify them.
Rule 221
Decision on disposition or allocation of property or assets
1. The Presidency shall, after
having consulted, as appropriate, with the Prosecutor, the sentenced person, the victims or their legal representatives,
the national authorities of the State of enforcement or any relevant third party, or representatives of the Trust Fund
provided for in article 79, decide on all matters related to the disposition or allocation of property or assets
realized through enforcement of an order of the Court.
2. In all cases, when the Presidency decides on the
disposition or allocation of property or assets belonging to the sentenced person, it shall give priority to the enforcement
of measures concerning reparations to victims.
Rule 222
Assistance for service or any other measure
The Presidency shall assist the State
in the enforcement of fines, forfeiture or reparation orders, as requested, with the service of any relevant notification
on the sentenced person or any other relevant persons, or the carrying out of any other measures necessary for the
enforcement of the order under the procedure of the national law of the enforcement State.
Section V
Review concerning reduction of sentence under article 110
Rule 223
Criteria for review concerning reduction of sentence
Rule 224
Procedure for review concerning reduction of sentence
1. For the application of article 110,
paragraph 3, three judges of the Appeals Chamber appointed by that Chamber shall conduct a hearing, unless they
decide otherwise in a particular case, for exceptional reasons. The hearing shall be conducted with the sentenced person,
who may be assisted by his or her counsel, with interpretation, as may be required. Those three judges shall invite
the Prosecutor, the State of enforcement of any penalty under article 77 or any reparation order pursuant to article
75 and, to the extent possible, the victims or their legal representatives who participated in the proceedings,
to participate in the hearing or to submit written observations. Under exceptional circumstances, this hearing may be
conducted by way of a videoconference or in the State of enforcement by a judge delegated by the Appeals Chamber.
2.
The same three judges shall communicate the decision and the reasons for it to all those who participated in the review
proceedings as soon as possible.
3. For the application of article 110, paragraph 5, three judges of
the Appeals Chamber appointed by that Chamber shall review the question of reduction of sentence every three years, unless
it establishes a shorter interval in its decision taken pursuant to article 110, paragraph 3. In case of a significant
change in circumstances, those three judges may permit the sentenced person to apply for a review within the three-year
period or such shorter period as may have been set by the three judges.
4. For any review under article
110, paragraph 5, three judges of the Appeals Chamber appointed by that Chamber shall invite written representations
from the sentenced person or his or her counsel, the Prosecutor, the State of enforcement of any penalty under article
77 and any reparation order pursuant to article 75 and, to the extent possible, the victims or their legal representatives
who participated in the proceedings. The three judges may also decide to hold a hearing.
5. The decision
and the reasons for it shall be communicated to all those who participated in the review proceedings as soon as possible.
Section VI
Escape
Rule 225
Measures under article 111 in the event of escape
1. If the sentenced person has escaped,
the State of enforcement shall, as soon as possible, advise the Registrar by any medium capable of delivering a
written record. The Presidency shall then proceed in accordance with Part 9.
2. However, if the State in
which the sentenced person is located agrees to surrender him or her to the State of enforcement, pursuant to either
international agreements or its national legislation, the State of enforcement shall so advise the Registrar in writing.
The person shall be surrendered to the State of enforcement as soon as possible, if necessary in consultation with
the Registrar, who shall provide all necessary assistance, including, if necessary, the presentation of requests for
transit to the States concerned, in accordance with rule 207. The costs associated with the surrender of the sentenced
person shall be borne by the Court if no State assumes responsibility for them.
3. If the sentenced person is
surrendered to the Court pursuant to Part 9, the Court shall transfer him or her to the State of enforcement. Nevertheless,
the Presidency may, acting on its own motion or at the request of the Prosecutor or of the initial State of enforcement
and in accordance with article 103 and rules 203 to 206, designate another State, including the State to the territory
of which the sentenced person has fled.
4. In all cases, the entire period of detention in the territory of
the State in which the sentenced person was in custody after his or her escape and, where sub-rule 3 is applicable, the
period of detention at the seat of the Court following the surrender of the sentenced person from the State in which
he or she was located shall be deducted from the sentence remaining to be served.