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7/28/2019 ICC Kenya Request for Authorisation Pursuant Art15
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No.ICC 01/09 1/42 26November2009
Original:English No.:ICC01/09
Date:26November2009
PRETRIALCHAMBERII
Before:
JudgeEkaterina
Trendafilova,
Presiding
Judge
JudgeHansPeterKaul
JudgeCunoTarfusser
SITUATIONINTHEREPUBLICOFKENYA
PublicDocument
RequestforauthorisationofaninvestigationpursuanttoArticle15
Source: OfficeoftheProsecutor
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Documenttobenotifiedinaccordancewithregulation31oftheRegulationsoftheCourtto:TheOfficeoftheProsecutor CounselfortheDefence
LegalRepresentativesoftheVictims LegalRepresentativesoftheApplicants
UnrepresentedVictims UnrepresentedApplicants
(Participation/Reparation)
TheOfficeofPublicCounselfor
Victims
TheOfficeofPublicCounselforthe
Defence
StatesRepresentatives
REGISTRY
AmicusCuriae
Registrar
MsSilvanaArbia
DeputyRegistrar
DefenceSupportSection
VictimsandWitnessesUnit DetentionSection
VictimsParticipationandReparations
Section
Other
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I.Introduction
The Prosecutor hereby requests authorization from the PreTrial Chamber to
proceedwithaninvestigationintothesituationintheRepublicofKenyainrelation
to thepostelectionviolenceof20072008,pursuant toArticle15(3)of theRome
Statute.
For the purpose of this application, the Prosecutor has relied on a selected
number of reliable andpublicly available reports on alleged crimes committed
duringthepostelectionviolenceinKenya,inparticularthereportspublishedby:
the Commission of Inquiry into PostElection Violence; the Kenyan National
CommissiononHumanRights (KNCHR); theOfficeof theHighCommissioner
forHumanRights;UNICEF,UNFPA,UNIFEMandChristianChildrensFund;
theUNSpecialRapporteuronextrajudicial,summaryorarbitraryexecutions;the
OscarFoundation;theFederationofWomenLawyers(FIDAK);CentreforRights
EducationandAwareness(CREAW),HumanRightsWatch;andtheInternational
Crisis Group. To date, the Prosecutor has received 30 communications from
individuals, groups and others regarding information on crimes within the
jurisdiction of theCourt in relation to the situation in the Republic of Kenya
pursuanttoArticle15(2)oftheStatute.
The Prosecutor submits that there is a reasonablebasis tobelieve that crimes
against humanitywithin thejurisdiction of the Courtwere committed in the
contextofthepostelectionviolenceof20072008,inparticularcrimesofmurder,
rape and other forms of sexual violence, deportation or forcible transfer of
populationandotherinhumaneacts.Duetotheabsenceofnationalproceedings
relating to thosebearing thegreatest responsibility for these crimes,and in the
lightof thegravityof theactscommitted, theProsecutorsubmits that thecases
thatwould arise from its investigation of the situationwouldbe admissible.
Furthermore,basedontheavailableinformation,theProsecutorhasnoreasonto
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believethattheopeningofaninvestigationintothesituationwouldnotbeinthe
interestsofjustice.
PursuanttoRegulation49oftheRegulationsofCourt,theApplicationincludes1)
astatementoffactsindicatingthelocationofthecrimes,timeperiod,andtothe
extentpossible,thepersonsinvolved,2)theDeclarationoftheProsecutor(Annex
1E),3)achronologyofrelevantevents (Annex1C),4)amap that illustrates the
relevant locations (Annex 1B), 5) an explanatoryglossary of relevantnamesof
persons,locationsandinstitutions(Annex1D)and6)pursuanttoRule50,public
noticetothevictimsdated23November2009(Annex1F).
II.ProceduralHistory
1. Byletterof5November2009,theProsecutornotifiedthePresidentoftheCourt,inaccordancewithRegulation45oftheRegulationsoftheCourtofhisintention
to submit a request for the authorisation of an investigation into the situation
pursuanttoArticle15(3)oftheRomeStatute.
2. On6November2009, thePresidencyof theCourtassigned the situation in theRepublicofKenyatoPreTrialChamberII.
III.Background
3. Thesituation intheRepublicofKenyahasbeenunderpreliminaryexaminationsince the violence erupted in the context of national elections held on 27
December2007.
4. On 30 December 2007, the closely contested presidential elections in Kenyaresulted inadeclarationby theElectoralCommissionofKenya that incumbent
PresidentMwaiKibakiofthePartyofNationalUnity(PNU)wasreelectedover
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themainoppositioncandidateRailaOdingaoftheOrangeDemocraticMovement
(ODM).Thistriggeredaseriesofviolentdemonstrations,andtargetedattacksin
severallocationswithinKenya.1
5. On5February2008,theProsecutorissuedapublicstatementrecallingthatKenyaisaStatePartytotheRomeStatute,andthattheOfficewillcarefullyconsiderall
information relating to alleged crimeswithin itsjurisdiction committed on the
territory of States Parties or by nationals of States Parties, regardless of the
individualsorgroupallegedtohavecommittedthecrime.2
6. On28February2008,internationalmediationeffortsledbyKofiAnnan,ChairoftheAfricanUnionPanelofEminentAfricanPersonalities,resultedinthesigning
of a powersharing agreement between Mwai Kibaki as President and Raila
OdingaasPrimeMinister.Theagreement,alsoestablishedthreecommissions:(1)
theCommissionof InquiryonPostElectionViolence; (2) theTruth,Justiceand
ReconciliationCommission;and(3)theIndependentReviewCommissiononthe
GeneralElectionsheldinKenyaon27December2007.3
7. By lettersdated 6March 2008, actingpursuant toArticle 15(2), theProsecutorrequested additional information from selected sources for the purpose of
analysingtheseriousnessoftheinformationreceived,namely:theGovernmentof
Kenya, theKenyaHumanRightsCommission, theKenyaNationalCommission
onHumanRights (KNCHR), and theoppositionparty, theOrangeDemocratic
Movement(ODM).
1HumanRightsWatch(HRW),FromBallotstoBullets,March2008,KENOTP00010248toKENOTP00010330,p.4(Annex
3); InternationalCrisisGroup (ICG), Kenya inCrisis,21 February 2008,KENOTP00011076 toKENOTP00011114,p. 1
(Annex6).2OTPStatementinrelationtoeventsinKenya,05February2008(Annex13)3AgreementonthePrinciplesofPartnershipoftheCoalitionGovernment(Annex21),andTheNationalAccordand
ReconciliationAct2008,(Annex22).
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8. On26August2008,inresponsetoitsrequest,theProsecutionreceivedacopyofthereportfromtheKNCHRentitled,OntheBrinkofthePrecipice:aHumanRights
AccountofKenyasPost2007ElectionViolence.4
9. On 15October 2008 theCommissionof Inquiry into thePostElectionViolence(CIPEV) also known as theWaki Commission, named after its chairJustice
PhilipWakiofKenyasCourtofAppeal publisheditsFinalReport.5TheReport
recommended thesettingupofaspecial tribunal toseekaccountabilityagainst
personsbearingthegreatestresponsibilityforcrimes,particularlycrimesagainst
humanity, relating to the 2007 General Elections in Kenya. Short of the
establishment of such a Special Tribunal, theWaki commission recommended
forwardingtotheProsecutoroftheICCthelist,placedunderthecustodyofthe
PanelofEminentAfricanPersonalities, containingnamesof those suspected to
bearthegreatestresponsibilityforthesecrimesandtorequesttheProsecutorto
analyze the seriousnessof this informationwith aview toproceedingwith an
investigationandpossibleprosecution.6
10.On 16December 2008,PresidentKibaki andPrimeMinisterOdinga agreed toimplement the recommendations of theWaki Commission and specifically to
prepare and submit a Bill to the National Assembly to establish the Special
Tribunaltoseekaccountabilityagainstpersonsbearingthegreatestresponsibility
for crimes, particularly crimes against humanity, relating to the 2007 General
ElectionsinKenya.7
4KenyanNationalCommissiononHumanRights(KNCHR),Onthebrinkoftheprecipice:aHumanRightsaccountof
Kenyaspost2007electionviolence,15Aug08,KENOTP00010002toKENOTP00010245(Annex4).5CommissionofInquiryintoPostElectionViolence(CIPEV),FinalReport,16October2008,KENOTP00010364toKEN
OTP00010892(Annex5)6CIPEV,FinalReport,16October2008,KENOTP00010364toKENOTP00010892,pp.472473(Annex5)7KenyaStateHouseStatement,SpecialTribunaltobesetup,17December2008,(Annex25).
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11.On 11 February 2009, the Prosecutor publicly reaffirmed that the situation inKenyawasbeingmonitoredbyhisOffice.8
12.On12February2009, theKenyanParliamentdidnotadopttheConstitutionofKenya (Amendment)Bill2009whichwasnecessary toensure that theSpecial
TribunalwouldbeinaccordancewiththeConstitution.9SincetheConstitutional
AmendmentBillwasnotadopted,theBillestablishingtheSpecialTribunalwas
notdiscussedfurther.10
13.On3031March2009,theOfficeoftheProsecutorattendedameetingconvenedin Genevaby the KofiAnnan Foundation on the KenyaNationalDialogue and
Reconciliation and held consultations with various officials and civil society
representativesfromKenyaaboutthepossibilityofcreatingthetribunalreferred
tobytheWakiCommission.
14.On 3July2009, at the seatof theCourt, theProsecutormetwith adelegationfromtheGovernmentofKenyacomposedofHon.MutulaKilonzo,Ministerof
JusticeandConstitutional Affairs,Hon.JamesOrengo,MinisterofLands;Hon.
AmosWako; Hon.William Cheptumo, AssistantMinister of Justice; Amb.
Amina Mohamed, Permanent Secretary in the Ministry of Justice and
Constitutional Affairs; Mr. Miguna Miguna, Prime Ministers adviser on
Coalition Affairs; and H.E. Ruthie Rono, the Kenyan Ambassador to the
Netherlands. The Prosecutor reiterated that his Office was conducting a
preliminary examination of the situation inKenya and that crimes allegedly
committedafterthe2007electionsmayfallwithin thejurisdictionof theICC.
TheProsecutorand the representativesof theKenyanauthoritiesagreed that
impunitywas not an option.Themeeting resulted inAgreedMinutes stating
8OTPKenyaFactsheet,ICCProsecutorreaffirmsthatthesituationinKenyaismonitoredbyhisoffice,11February2009
(Annex14).9TheConstitutionofKenya(Amendment)Bill2009,28January2009.StateHouse, ParliamentrejectsalocalSpecialTribunal ,
12February2009(Annex26).10SpecialTribunalforKenyaBill,2009,28January2009(Annex24).
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that theKenyan delegation agreed to provide the Prosecutor,by the end of
September 2009, with a report on the current status of investigations and
prosecutions arising out of postelection violence; information onmeasures
put in place to ensure the safety of victims andwitnesses; information on
modalities for conducting national investigations and prosecutions of those
responsible for the 2007violence through a special tribunal or otherjudicial
mechanism adopted by the Kenyan Parliament. In the alternative, the
Government of Kenya was to refer the situation to the Prosecutor in
accordancewithArticle14oftheRomeStatute.11
15.On9July2009,theAfricanUnionPanelofEminentAfricanPersonalities,chairedbyKofiAnnan,announceditssubmissiontotheProsecutorofasealedenvelope
containing a list of persons allegedly implicated and supporting materials
previouslyentrustedtoMr.AnnanbytheWakiCommissiononthepostelection
violence.12On16July2009,Prosecutorreceivedthesealedenvelopeandsixboxes
containingdocumentsandsupportingmaterialcompiledbytheCommission.The
Prosecutoropenedthesealedenvelope,examineditscontentandresealedit.13
16.On14July2009,theProsecutionreceivedfromtheKenyanGovernmentcopiesofthefollowingtworeports:(i)ReporttotheHon.AttorneyGeneralbytheTeamonthe
Review of Post Election Violence related in Western, Nyanza, Central, Rift Valley,
Eastern, Coast andNairobi Provinces, February 2009; and (ii) StatusReport on the
OperationalizationoftheWitnessProtectionProgramme.14
17.On 26August 2009, theConstitution ofKenya (Amendment) (No. 3)Bill 2009aimingattheestablishmentofaspecialtribunalwasgazetted,enablingthebillto
11AgreedMinutesofMeetingof3July2009betweentheICCProsecutorandtheDelegationoftheKenyanGovernment(Annex
15).12OTPPressRelease,ICCProsecutorreceivesSealedEnvelopefromKofiAnnanonPostElectionViolenceinKenya,9July
2009(Annex16).OTPPressRelease,WakiCommissionlistofnamesinthehandsofICCProsecutor,16July2009(Annex17).13OTPPressRelease,WakiCommissionlistofnamesinthehandsofICCProsecutor,16July2009(Annex17).OTPPress
Release,ICCProsecutorreceivesmaterialonPostElectionViolenceinKenya,16July2009(Annex18).14OTPPressRelease,ICCProsecutorreceivesmaterialonPostElectionViolenceinKenya,16July2009(Annex18).
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be formally debated in Parliament.15 It was initiated by Gitobu Imanyara,
Member of Parliament, and is based on the premise that those bearing the
greatestresponsibilityforcrimescommittedduringthepostelectionviolencewill
beprosecutedbytheICCandthe lowerlevelperpetratorswillbeprosecutedat
theSpecialTribunalforKenya.16
18.On18September2009,theProsecutorheldaroundtablediscussionattheseatoftheCourtwithrepresentativesfromKenyancivilsociety.17
19.On9October2009,inaccordancewiththeJulyreunion,theProsecutorrequestedameetingwiththeKenyanauthoritiestoinformthemaboutthenextstepsthathe
wasgoingtotake.
20.On27October2009,theProsecutorsentalettertoKenyanauthoritiesexplainingthatthepreliminaryexaminationof thecrimescommitted inthecontextofpost
election violence in Kenya has revealed that acts constituting crimes against
humanitymighthavebeencommitted,thattherearenorelevantnationaljudicial
enquiries and the gravity threshold establishedby the Statute is reached. The
letterexplainedthatthereweretwooptionsforinitiatinganinvestigation,namely
a referral from the Kenyan Government or an independent decision of the
Prosecutor to request authorization from the PreTrial Chamber to start an
investigation.18
21.On5November2009,theProsecutormetwithPresidentMwaiKibakiandPrimeMinisterRailaOdinga inNairobi. TheProsecutor informed them that sinceall
the statutory criteria are fulfilled itwas hisduty to open an investigation and
requestedthecooperationoftheKenyanationalauthoritieswiththeCourt. The
Prosecutor recalled the complementary roles of the ICC and the national
15ConstitutionofKenya(Amendment)(No.3)Bill2009,24August2009(Annex27).16ConstitutionofKenya(Amendment)(No.3)Bill2009,24August2009,pp.12(Annex27)17OTPPressRelease,ICCProsecutor:KenyaCanBeanExampletotheWorld,18September2009(Annex19).18TheOfficeoftheProsecutorcanprovideacopyofthislettertotheChamber.
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authorities incombating impunity.Inajointpressconferencethesameday,the
Prosecutorannouncedhis intention torequestauthorization toproceedwithan
investigation into the situation of the Republic of Kenya.19 The President and
PrimeMinisterissuedajointstatementbywhichtheyrecalledtheirconstructive
meeting with the Prosecutor. The Government noted that it remains fully
committedtodischargeitsresponsibilityinaccordancewiththeRomeStatuteto
establish a localjudicialmechanism to dealwith the perpetrators of the post
electionviolence,andthatitremainscommittedtocooperatewiththeICCwithin
theframeworkoftheRomeStatuteandtheKenyanInternationalCrimesAct.20
22.On two successive occasions in November 2009, the bill drafted by GitobuImanyara couldnotbedebated in theKenyanParliamentdue to the lack of a
quorum.21
IV.EvaluationofInformation
23.TheProsecutionhasevaluatedtheinformationavailable,hasdeterminedthattheinformationreceived isreliable,andhasconcluded that it indicates thatserious
crimes were committed. This Application identifies the information, cites its
sourcesandattachesasannexesthepertinentdocuments.
24.For the purpose of this Application the Prosecution provides the followingsummaryofthemainfindingsofthesereports.
CommissionofInquiryintoPostElectionViolence(CIPEV)
25.TheCommissionofEnquiryintoPostElectionViolence(CIPEV) alsoknownastheWakiCommissionafterthenameofitsChair,JudgePhilipWaki,judgeof
KenyasCourt ofAppeal was setup in accordancewith theKenyaNational
19KenyanauthoritiescommittedtocooperateasICCProsecutorinformsthemthatinDecemberhewillrequestICCJudgesto
openaninvestigationintopostelectionviolence(06Nov09)(Annex20).20StatementbyHEthePresidentandtheRightHonorablePrimeMinister,5November2009(Annex28).21TheStandard, MPssnubImanyaraBilldebate,yetagain ,19Nov09(Annex32)
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Dialogue and Reconciliation Accord of February 28, 2008, negotiatedby Kofi
AnnanandthePanelofEminentAfricanPersonalities.
26.TheCommissionwascomposedof two internationalmembersandoneKenyancitizen, selectedby the Panel or EminentAfrican Personalities in consultation
withPNU andODM and appointedby thePresident. TheCIPEVwas anon
judicialbodymandatedto(i)investigatethefactsandcircumstancessurrounding
theviolencebetween28December2007and28February2008,(ii)investigatethe
conductofStatesecurityagencies in theirhandlingof itand(iii) torecommend
measureswithregardtobringingtojusticethosepersonsresponsibleforcriminal
acts.TheCommissionwassetupon23May2007andtookanoathofofficeon3
June2008.TheCommissionhadan initialmandateof threemonthswhichwas
extended for an additional onemonth and finally an additional twoweeks to
draftthereport.Becauseofthelimitedextensiongranted,theCommissionlacked
thetimetoexaminealltheareaswhereallegationsofcrimeemerged.
27.TheCIPEVinterviewedgovernmentofficials,representativesofthemainpoliticalparties, security agents, NGOs, representatives of religious and faith based
organisations,regionalpoliticalactorsandordinarycitizensinpublicandclosed
hearings.TheFinalreportoftheCIPEVwaspublishedon15October2008.
28.The Report comprises 5 Parts. Part I of the Report is an introduction whichdiscussesthehistoricalcontextoftheviolence.PartIIisanarrationoftheviolence
provincebyprovince.PartIIIdealswithfourcrosscuttingissues:sexualviolence,
internallydisplacedpersons,themediaandthenatureandimpactoftheviolence.
Part IVdealswith acts andomissions of state security agencies and impunity.
PartVcontainsrecommendationsmadewithaviewto thepreventionoffuture
reoccurrenceoflargescaleviolence;theinvestigationofallegedperpetrators;and
howtotacklethecultureofimpunity.
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KenyanNationalCommissiononHumanRights (KNCHR),On thebrinkof
the precipice: a Human Rights account of Kenyas post2007 election
violence(15August2008)
29.The Kenya National Commission on Human Rights (KNCHR) is anindependent
national
human
rights
institution
established
by
the
governmentof Kenya throughanActof Parliamentin2002. Themandate
of theKNCHR is toenhance thepromotionandprotectionofhuman rights in
Kenya.KNCHRwasaccreditedby theInternationalCoordinatingCommitteeof
NationalHumanRightsInstitutions,whichisbasedinGenevaattheOfficeofthe
HighCommissionerforHumanRights,asaCategoryAinstitution.
30.BetweenFebruaryandJune2008,KNCHRteamscomprisingcommissionersandstaff undertook over 36 missions to more than 136 constituencies across the
country, selected in order to ensure a representative geographic spread across
thoseareasofthecountrythatwereaffectedbythepostelectionviolence.During
this period, 1,102 statements from Kenyans of all ethnicities were gathered,
including farmers, IDPs, public officials, security personnel, religious and
political leaders, elders, etc. The second phase of thework of the commission
consistedintheanalysisoftheinformationgathered.
31.Thereportof theKNCHRon the investigationof thepostelectionviolencewasreleasedonthe15thofAugust2008.Thereportcompriseseightchaptersdevoted
respectively to : themethodology used during the investigation; background
informationabout thepostelectionviolence;howviolenceoccurred in themain
theatresofconflict,namely theCentral,Coast,Nairobi,CentralRift,SouthRift,
NorthRift,Nyanza,andWesternregions;ananalysisofthenationaltrendsand
patterns of postelection violence; the responsibility of those who planned,
organised,financedandexecutedtheviolenceunderdomesticand international
law; the applicable human rights standards and their implications for the
violence;conclusionsandrecommendations.
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Officeof theHighCommissionerforHumanRights (OHCHR), Reportfrom
OHCHRFactfindingMissiontoKenya (628February2008)
32.Between6and28February2008, theUNOfficeof theHighCommissioner forHumanRights(OHCHR)dispatchedafactfindingcommissionthatinvestigated
allegationsofhuman rightsviolationsTheensuing Report fromOHCHRFact
finding Mission to Kenya, 628 February 2008 provides an analysis on the
context, thepatterns aswell as a list of human rightsviolations.TheOHCHR
Missionconductedonsitevisitstotheaffectedareasandmetwithawiderange
ofactorsintheGovernment,amongtheopposition,andmetwithvictims,human
rightsdefendersaswellasthediplomaticcommunity.TheOHCHRMissionalso
analysed underlying civil, political, economic, social and cultural rights issues
andformulatedrecommendationsonpossibleaccountabilitymechanisms.
Office for theCoordination ofHumanitarianAffairs (OCHA)Humanitarian
reportupdates
33.In response to the postelectoral violence in Kenya, the UN Office for theCoordination
of
Humanitarian
Affairs
(OCHA)
has
expanded
the
staff
in
their
Kenya offices and has produced a series of publicly available humanitarian
updatesentitledHumanitarianReportupdatesforKenya.
34.TheProsecutionsapplicationrefersto4differentHumanitarianUpdatevolumescoveringtheperiodsbetween21and28January2008;11and15February2008;23
and
27
February
2008
and
8
to
30
October
2009.
UNICEF, UNFPA, UNIFEM and Christian Childrens Fund, A Rapid
AssessmentofGenderBasedViolence(GBV)duringthepostelectionviolence
inKenya (JanFeb08)
35.Thereportconsists inan interagencygenderbasedviolenceassessmentcarriedoutinJanuaryandFebruary2008inselectedsitesintheNorthRiftValley,South
RiftValley, theCoastalRegion,Nairobi andCentral Province. The assessment
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examinedthenatureandscopeofsexualviolenceoccurringduringflight,aswell
as within the internally displaced persons (IDP) camps and alternative
settlements.
Report of theUNSpecialRapporteur on extrajudicial, summary or arbitrary
executions Missionto Kenya (26May09)
36.PhilipAlston,theUNSpecialRapporteuronextrajudicial,summaryorarbitraryexecutionsvisitedtheKenyanprovincesofNairobi,RiftValleyProvince(Nakuru,
Eldoret andKiambaa),WesternProvinceBungoma andKapsokwony),Nyanza
Province(Kisumu),andCentralProvince(Nyeri)from16to25February2009in
order to: ascertain the types and causes of extrajudicial killings; investigate
whether those responsible for such killings are held to account; and propose
constructivemeasurestoreducetheincidenceofkillingsandimpunity.Themain
focus was on extrajudicial killings by the police, violence in the Mt Elgon
District, and killings in the postelection period. The Special Rapporteur
concludedthoseresponsibleforthepostelectionviolence,includingthosepolice
responsibleforextrajudicialexecutions,andofficialswhoorganizedorinstigated
violence,remainimmunefromprosecution.
OscarFoundation(Oscar),EthnicityandaFailedDemocracy(February2008)
37.Oscar is anNGO registered inKenya.Most of their sources are fromjudicialorgans.ThereportentitledEthnicityandaFailedDemocracywaspublishedin
February2008andfocusesontheleaduptotheeruptionofpostelectionviolence
andthecrimescommitted inthatcontext.Thereport wasdraftedbyateamof
paralegals who collected the information from six Provinces in Kenya and
worked in collaborationwith the staff at theOscarFoundationFreeLegalAid
ClinicKenya(OFFLACK).
FederationofWomenLawyers(FIDAK),SubmissiontotheCIPEVonbehalf
oftheInterAgencyGenderBasedViolence(GBV)(11September2008)
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38.The Federation of Women Lawyers is a nongovernmental organization ofwomen lawyers and law students which focuses on discrimination against
women. It runs aid clinics and community action groups. FidaK presented a
submissiontoTheCommissionofInquiryonbehalfoftheInterAgencyGender
Based Violence (GBV) SubCluster, which coordinates gender based violence
prevention and response following the post election violence. It is chairedby
United Nations Population Fund (UNFPA) and co/chaired by the national
CommissiononGenderandDevelopment.
39.The submission, which has beenmade public by the SubCluster, addressedsexualviolence ingeneral,includingconductthatmaybedeemedopportunistic
anddomesticviolence.Itnotonlyaddressessexualviolenceagainstwomenbut
also refers to sexual violence against men. It addresses general patterns of
violence, highlighting a few specific accounts from victims. The report also
addresses the consequences of sexual violence, the issues of domestic and
internationallawraised,anddrawsrecommendations.
CentreforRightsEducationandAwareness(CREAW),WomenPaidthePrice
(2008)
40.TheCentre forRights Education andAwareness (CREAW) is aKenyanNGOworking on womens rights, including raising awareness against sexual and
genderbasedviolence.
41.CREAWconductedastudybetweenthe lastweekofJanuary2008and25April2008 infiveareaswithIDPcamps(Nairobi,Naivasha,Nakuru,BurntForesand
Eldoret)andproducedadocumententitledWomenPaidthePrice.Amongstits
objectives,thestudysoughttounderstandthemaincausesandconsequencesof
sexual and genderbased violence during the post election violence, through a
combinedmethodology: a survey, case studies, indepths interviews and focus
groupdiscussionswithIDPsfromdifferentethnicgroups.Theinvestigationalso
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gatheredinformationfromtheNairobiWomensHospital(NWH),refugeecamps
inNairobiandothersources.Itaddressessexualviolencecommittedduringpost
electionviolence,butalsosexualviolenceinIDPcamps.
HumanRightsWatch,FromBallotstoBullets(March2008)
42.HumanRightsWatchproduced five reports /pressbriefs relating to thepostelectionviolence,principalamongwhichisthereportentitledBallotstoBullets
Organized PoliticalViolence andKenyasCrisis ofGovernance, datedMarch
2008. ThisreportisbasedontworesearchmissionstoKenyaduringJanuaryand
February2008.Researchersconductedover200interviewswithawidevarietyof
actors, includingvictims,witnesses,perpetrators,police,magistrates,diplomats,
Kenyan and international NGO staff, journalists, lawyers, businessmen, local
councillors,andmembersofparliamentacrossthecountry,fromallmajorethnic
groups, by phone and in person. Interviews were conducted in English and
Swahiliwithouttranslators.HumanRightsWatchalsoexaminedcourtrecordsin
Naivasha. Researchers visited the following areas: Nairobi, Kisumu, Kitale,
Eldoret,Naivasha,Nakuru,andMolo.
InternationalCrisisGroup(ICG),KenyainCrisis,(21Feb08)
43.The International Crisis Group is an institute that carries out analysis andprovides advice on the prevention and resolution of deadly conflict to
governments and intergovernmental bodies such as the United Nations, the
EuropeanUnionandtheWorldBank.
44.ICGhasproducedonereportonpostelectionviolenceinKenya,entitledKenyainCrisisdated21February2008.Thisreportprovidescontextualanalysisofthe
violence relaying the tensions thatexistbetweendifferentcommunitiesand the
surroundingcomplexitieswhichhave laid thebasisfor the interethnicviolence
toerupt. KenyainCrisisisbasedoninterviewswithawiderangeofsources,
including eyewitnesses, and members of the Electoral Commission of Kenya
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(ECK), theKenyanRedCrossand theKenyanpolice,and includes information
concerning the indoctrinationandviolentrhetoric thatpreceded theeruptionof
violence.
V.Jurisdiction
45.Article 15 of the Rome Statute provides that the Prosecutor may initiateinvestigationsproprio motu on the basis of information on crimes within the
jurisdictionoftheCourt.Pursuanttoparagraph3ofArticle15,iftheProsecutor
concludes that there is a reasonablebasis toproceedwith an investigation, he
shall submit to the PreTrial Chamber a request for authorization of an
investigation, togetherwith any supportingmaterial collected. Rule 48 of the
RulesofProcedureandEvidenceprovidesthatindeterminingwhetherthereisa
reasonable basis to proceed with an investigation under Article 15(3), the
ProsecutorshallconsiderthefactorssetoutinArticle53,paragraph1(a)to(c).
46.Article 53(1)(a) provides that the Prosecutor shall consider whether theinformationavailabletotheProsecutorprovidesareasonablebasistobelievethat
acrimewithinthejurisdictionoftheCourthasbeenorisbeingcommitted.
47.ForacrimetofallwithintheCourtsjurisdiction:(i)thecrimemustbeoneofthecrimessetoutinArticle5oftheStatute(jurisdictionrationemateriae);(ii)thecrime
must havebeen committedwithin the timeframe specified inArticle 11 of the
Statute (jurisdiction ratione temporis); and (iii) the crimemust satisfyoneof the
twocriterialaiddowninArticle12oftheStatute.22
48.Withregardtothefirstcondition,asdemonstratedindetailedinSectionVIII,theinformationobtainedbytheProsecutorprovidesareasonablebasistobelievethat
ataminimumthefollowingconducthasbeencommittedaspartofawidespread
22ICC01/0501/0814tENG,para.12.
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or systematic attack directed against the civilian population inKenya:murder
constitutinga crime againsthumanityunderArticle7(1)(a)of theStatute; rape
andotherformsofsexualviolenceconstitutingacrimeagainsthumanityunder
Article 7(1)(g) of the Statute; deportation or forcible transfer of population
constituting a crime against humanityunderArticle 7(1)(d) of the Statute; and
other inhumaneactsconstitutingacrimeagainsthumanityunderArticle7(1)(k)
of the Statute. This is without prejudice to other possible crimes within the
jurisdiction of the Court which may be identified during the course of
investigations.
49.The alleged crimes committed at the end of 2007 and early 2008 are underjurisdiction ratione temporis, theRepublic ofKenya deposited its instrument of
accession to theStatuteon15March2005and theStatuteentered into force for
Kenyaon1June2005,inaccordancewithArticle126(1).
50.ThecrimesareallegedtohavebeencommittedonKenyanterritory.
VI.Admissibility
51.Article53(1)(b)providesthat indeterminingwhether there isareasonablebasisto proceed, the Prosecutor shall consider whether the case is or would be
admissibleunderArticle17.TheProsecutorhasconsideredadmissibilityatthis
stage taking into account the potential cases that would likely arise from an
investigationintothesituation.
52.With respect to the assessment of complementarity and ne bis in idem underArticle17(1)(a)(c),theAppealsChamberhasconfirmedthatthefirstquestionis
whether there are or have been any relevant national investigations or
prosecutions.Wherethereareorhavebeennonationalproceedings,i.e.thereis
domestic inactivity, the question of unwillingness or inability does not arise.
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Instead,therewillbeapresumptionofadmissibilityinrelationtoArticle53(1)(b),
subjecttoArticle17(1)(d).23
53.TheAgreementsignedbythePresidentandPrimeMinisteron16December2008demonstrates that Kenyas highest authorities consider necessary the
establishmentofa special tribunal inorder to conductnationalproceedingson
the post election violence. The Kenyan Parliament did not approve the Bill
presented in February 2009; there was no quorum to discuss the draft in
November 2009. Therefore, according to the Kenyan authorities, there are no
domestic prosecution for the crimes against humanity allegedly committed in
Kenya,noristhereanyprospectthattherewillbe.
54.The information available to the Prosecutor confirms that there have been alimited number of proceedings for less serious offences in connection to the
crimesallegedly committedduring thepostelectionviolence.According to the
ReporttotheHon.AttorneyGeneralbytheTeamontheReviewofPostElection
ViolenceRelatedCasesinWestern,Nyanza,Central,RiftValley,EasternEastand
NairobiProvinces,the156caseswereopened inrelation tominoroffencessuch
as malicious damage, theft, house breaking, bond to keep peace,
publishing false rumor, and other criminal offences, such as possession of
offensive weapon, robbery with violence or assaulting police officer.24
Among themostprominentcases, the fouraccusedof the socalledKIAMBAA
case,charged forarsoning theKiambaaChurch inwhich17 to35personswere
burntaliveon01January2008inEldoret,wereacquittedforlackofevidenceasa
resultofshoddypoliceinvestigations.25
23ICC01/0401/071497,para78.24ReporttotheHon.AttorneyGeneralbytheTeamontheReviewofPostElectionViolenceRelatedCasesinWestern,Nyanza,
Central,RiftValley,Eastern,Coast,CoastandNairobiProvinces,February09, pp.3033and3537(Annex29).25Republicv.StephenKiprotichLeting&3others{2009}eKLR,CriminalCase34of2008,Judgement,HighCourtofKenyaatNakuru,30April2009(Annex30).
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55.Because no national investigations or proceedings are pending against thosebearing the greatest responsibility for the crimes against humanity allegedly
committed, the Prosecutor submits that the cases that would arise from its
investigation of the situation would be currently admissible. Moreover, the
available informationdoesnot indicate theexistenceofnationalproceedings in
relation to the postelection violence in other States with jurisdiction.26 The
Prosecutorwill continue to assess the existence of national proceedings for as
longasthesituationremainsunderinvestigation,shouldtheChamberauthorise
theinvestigation.27
56.IntermsofthegravityofthecrimesunderArticle17(1)(d),assetoutmorefullyinsectionVIII,thescaleofthepostelectionviolenceresultedinareported1,133
to 1,220killingsof civilians,more thanninehundreddocumented actsof rape
and other forms of sexual violence,withmanymore unreported, the internal
displacementof350,000persons,and3,561reportedactscausingseriousinjury.28
In addition, the social and economic structures of the local communitieswere
largelyaffectedbythewidespreadlootingandwantondestructionofresidential
andcommercialareas.Crimeshavebeencommitted in sixoutofeightKenyan
regions, and particularly in the countrysmost populated areas, including the
capitalcityofNairobi,theRiftValley,andtheNyanzaandWesternprovinces.
57.Inmanycases, themultiplecrimeshadbeenorganizedandplannedwithin thecontextof awidespreadand systematicattackagainst selected segmentsof the
Kenyancivilianpopulation.Groups,andpersonsbelongingtothesegroups,have
been stigmatized and deliberately targeted on the basis of distinctive ethnic
feature and/or presumed political affiliations. Typically, the perpetrators
attacked,killedanddisplacedmembersofotherethnicitiesthatweretheminority
intheareas.
26SeeSectionXbelow,inrelationtotheprocessenvisagedunderArticle18.27Regulation29(4),RegulationsoftheOfficeoftheProsecutor.28FiguresdrawnfromCIPEV,FinalReport,16October2008,KENOTP00010364toKENOTP00010892,pp.345351
(Annex5).
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58.Perpetratorsoftencrudelycutoffbodyparts,attackedcivilianswithanypossiblesharp pointed objects machetes, poisonous arrows,broken glass, etc. and
terrorisedthewholecommunitiesbyinstallingcheckpointsweretheperpetrators
selectedthevictimsbasedontheirethnicity,andhackedthemtodeath.There
were incidentsofburningofpeoplealive. Inaddition,occurrenceofgang rape
andgenitalmutilation,forcedcircumcisionandpenileamputationwasreported
during the period. There are also reports of familymemberswitnessing their
mothers, fathers, sisters,brothers, and little childrenbeing raped, killed, and
maimed.
59.Thecrimescommittedhadadevastatingimpactfirstandforemostonthevictims.Victimsofsexualviolence,whooftensufferedgravephysicalinjury,sufferfrom
enormouspsychologicaltrauma,mayhavebeen infectedwithHIV/AIDSand/or
other types of sexually transmissible diseases, are often abandoned by their
husbands and/or families and suffer from social stigma.Women and children
who lost familymembers andproperty, andwhohadbeen chased away from
theirhomesareahighlyvulnerablepopulation inneedofspecialattention.The
displacedpersons,whohavebeenforciblyevicted,havelostnotonlytheirhome
butmuchof theirveryexistence.Thecrimesfurtherhadan impacton the local
communities in terms of security, social structure, economy andpersistence of
impunity in the country. The economic activitieswere affectedby the forced
displacement,widespreadlootingandburningofhousesandbusinesspremises.
TheKenyanGrossDomesticProductgrowthratefellfrom7%in2007to1.7%in
2008.29
29CIAWorldFactBook,Kenya,11November2009(Annex34).
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VII.InterestsofJustice
60.Under Article 53(1), while the jurisdiction and admissibility are positiverequirements that must be satisfied, the interests of justice is a potential
countervailingconsiderationthatmayproduceareasonnottoproceed. Assuch,
theProsecutorisnotrequiredtoestablishthataninvestigationisintheinterests
ofjustice,but rather,whether there are specific circumstanceswhich provide
substantial reasons tobelieve it isnot in the interestsofjustice todo soat that
time.
61.Basedon theavailable information, theProsecutorhasnoreason tobelieve thattheopeningofaninvestigationintothesituationwouldnotbeintheinterestsof
justice.
VIII.CrimeswithinthejurisdictionoftheCourt
62.Pursuant to Regulation 49 of the Regulations of the Court, the Prosecutionprovides the following information setting out: (i) a reference to the crimes
believed tohavebeen committed and a statementof the factsbeing alleged to
provide the reasonablebasis tobelieve that thosecrimeshavebeencommitted;
and(ii)adeclarationwithreasonsthatthelistedcrimesfallwithinthejurisdiction
oftheCourt.
(i)Allegedcrimesandstatementoffacts
63.While the violence initially appeared to be spontaneous, triggered by theperceived riggingof the elections, the organised aspectof theviolencebecame
apparentasitemergedthatpoliticalleaders,businessmenandothershadenlisted
criminal elements and ordinarypeople to carry out attacks against specifically
targetedgroups.
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Murders64.According to theWakiReport, thepostelectionviolence resulted ina reported1,133deaths.30.Themajorityofkillingswerereportedlyduetoinjuriescausedby
arrows,machetesandtraditionalweaponsusedduringattacks/raidsonvillages,
followedby gun shotsmainly attributed to thepolice forces (405deaths), and
burning of people alive.31 The Kenyan Government officially acknowledged a
totalof1,220peoplekilled,including123bythepolice.32
65.ThehighestnumberofdeathsoccurredintheRiftValley,describedbytheWakiCommissionReportastheepicentreofpostelectionviolence(744),33followedby
theNyanzaprovince (134),Nairobi (125), theWesternProvince (98),Coast (27)
andtheCentralProvince(5).34Theinformationevaluatedindicatesthatthemost
violent attacks registered within the Rift Valley province took place in the
districtsofUasinGishuwhere230personswerekilled,Nakuruwith213persons
andTransNzoiawith104persons.35
Rapeandotherformsofsexualviolence66.SexualviolenceinitsmultitudeofformswasreportedalloverKenyaduringthepostelectionviolence36andmaybeconsideredashavingbeenwidespreadwhere
such postelection violence occurred,37 and alsowhere victims sought refuge.38
30ThisfindingoftheCIPEV,FinalReport,16October2008,KENOTP00010364toKENOTP00010892,p.305(Annex5),isbasedoninformationprovidedbyhospitalsinfiveprovinces,namelyWestern,RiftValley,Nyanza,NairobiandCoast.Other
sourceshavecometosimilarestimates:morethan1,200accordingtoUnitedNationsOfficeoftheHighCommissioneron
HumanRights(OHCHR),ReportfromtheOHCHRFactfindingMissiontoKenya628February2008,KENOTP00011057toKENOTP00011075,p.8(Annex7);atleast1,162personswerekilled.AccordingtoKNCHR,OntheBrinkofthePrecipice:
AHumanRightsAccountofKenyasPost 2007ElectionViolence,FinalReport,15August2008,KENOTP00010002toKEN
OTP00010245,p.3,para.5(Annex4).31CIPEV,FinalReport,16October2008,KENOTP00010364toKENOTP00010892,p.311(Annex5).32OHCHR,ReportfromtheOHCHRFactfindingMissiontoKenya628February2008,p.11(Annex7).33CIPEV,FinalReport,16October2008,KENOTP00010364toKENOTP00010892,p.341(Annex5).34CIPEV,FinalReport,16October2008,KENOTP00010364toKENOTP00010892,p.306(Annex5).35CIPEV,FinalReport,16October2008,KENOTP00010364toKENOTP00010892,p.345346(Annex5)36FederationofWomenLawyers(FIDAK),SubmissionstoTheCommissionofInquiryintothePostElectionViolence(the
WakiCommision)byFIDA KonSexualandGenderBasedViolenceonbehalfoftheInterAgencyGenderBasedViolence
(GBV)SubCluster,11September2008,KENOTP00011516,page3(Annex8).37FIDAK,SubmissionstoTheCommissionofInquiryintothePostElectionViolence(theWakiCommision)byFIDA Kon
SexualandGenderBasedViolenceonbehalfoftheInterAgencyGenderBasedViolence(GBV)SubCluster,11September
2008,KENOTP00011516,page1(Annex8).KNCHR,OntheBrinkofthePrecipice:AHumanRightsAccountofKenyas
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TheChiefExecutiveOfficerofNairobiWomensHospital,whichprovides free
services to female and male victims of sexual violence, informed the Waki
Commission that his hospital was inundated with patients during the post
electionperiod39.TheHospitalreceived524casesofrapebetween27December
2007 and 31 March 2008. During that same period, partner hospitals of the
Nairobi Womens Hospital received 286 cases of sexual violence, and the
KenyattaNationalHospital responded toanother184 cases.40These figuresare
indicativeof the increase in sexualassaultsduring thepostelectionviolence. It
shouldbenoted that thereappears tohavebeenasignificantunderreporting in
theoccurrenceofsexualviolence.41Forexample,astudyamongvictimsofsexual
violence during the PostElection period revealed that 82% of the women
intervieweddidnotreporttheincidents.42
Deportationorforcibletransferofpopulation67.The information evaluated indicates that approximately 350,000 personsweredisplaced as a consequence ofpost electoralviolencewithin theboundaries of
Kenya.43 Although violent evictions have accompanied previous electoral
processes,theinternaldisplacementaftertheannouncementofthe2007elections
resultswasunprecedentedinthenumberofvictimsandthewidespreadnature.44
Post 2007ElectionViolence,FinalReport,15August2008,KENOTP00010002toKENOTP00010245,pp.34,para.8(Annex
4).38FIDAK,SubmissionstoTheCommissionofInquiryintothePostElectionViolence(theWakiCommision)byFIDA KonSexualandGenderBasedViolenceonbehalfoftheInterAgencyGenderBasedViolence(GBV)SubCluster,11September
2008,KENOTP00011516,page3(Annex8); UNFPA,UNICEF,UNIFEM,ChristianChildrensFund,ARapidAssessmentof
GenderBasedViolenceDuringthePostElectionViolenceinKenya,JanuaryFebruary2008,KENOTP00010973toKEN
OTP00011056, pp.78(Annex9) andCenterforRightsEducationandAwareness(CREA),WomenpaidthePrice,2008,KENOTP00011527,pp.24(Annex10).39CIPEV,FinalReport,16October2008,KENOTP00010364toKENOTP00010892,p.247(Annex5).40CIPEV,FinalReport,16October2008,KENOTP00010364toKENOTP00010892,p.248(Annex5).41CREA,WomenpaidthePrice,2008,KENOTP00011527,pp.3435(Annex10).42CREA,WomenpaidthePrice,2008,KENOTP00011527p.33(Annex10).UNFPA,UNICEF,UNIFEM,Christian
ChildrensFund,ARapidAssessmentofGenderBasedViolenceduringthePostElectionViolenceinKenya,January
February2008,KENOTP00010973toKENOTP00011056p.33(Annex9).43CIPEV, FinalReport, 16October2008,KENOTP00010364 toKENOTP00010892,p.272 (Annex 5).TheKenyanRed
Crossrecorded268,330IDPsinvariouscampsasof27February2008:OHCHR,ReportfromtheOHCHRFactfindingMission
to Kenya 628 February 2008, KENOTP00011057 to KENOTP00011075, p.14 (Annex 7). 12, 000 refugees also fled to
Uganda:OHCHR,ReportfromtheOHCHRFactfindingMissiontoKenya628February2008,KENOTP00011057toKEN
OTP00011075,p.14(Annex7).44CIPEV,FinalReport,16October2008,KENOTP00010364toKENOTP00010892,pp.271273(Annex5).
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Widespreadlootingandwantondestructionformedpartofthecoerciveelement
ofsuchdisplacement.45
68.Theinformationevaluatedbasedonstatementsofvictimsprovidesareasonablebasis to believe that the displacements were coercive. Threats, lootings and
burningofhouses,killingsandsexualviolencewereallusedtodisplacemembers
of specific ethnic groups. The FactFinding Mission of the OHCHR, which
occurredbetween6 28February2008,identifiedawaveofdisplacementsinthe
wakeofthepostelectionviolenceasaresultoftheattacksonprivatehomesand
businesses.46Themissionestablished thatavastmajorityof thesepeople left in
panic,takingverylittlewiththem,andwerereluctanttoreturntotheirhomes.47
Themissionalsosuggestedthatmanyoftheseattackswereorganizedbypolitical
and/ortraditionalleaderseagertosettlehistoricdisputesoverlandtitleandother
longheld grievances, with the aim of permanently displacing the targeted
communities.48
69.Displacementswerenotisolatedevents,butoccurredonawidespreadscale.49 Asof 27 February 2008, theKenyanRedCross estimated that therewere 268,330
personsinIDPcamps.TheyweredisplacedfromsixofKenyaseightprovinces,
whileasimilarnumberofdisplacedpersonswere living inhostcommunities.50
Mostof thedisplacedwerereportedly living insome200IDPcamps in theRift
45ThefactfindingmissionoftheUnitedNationsOfficeoftheHighCommissionerforHumanRightsreported42,000houses
andmanybusinessesweredestroyedand/orlooted.OHCHR,ReportfromtheOHCHRFactfindingMissiontoKenya628
February2008,KENOTP00011057toKENOTP00011075,p.12(Annex7). TheCIPEVreportconcludedthat117,216houses,businesses,vehiclesandfarmproduceweredestroyed.CIPEV,FinalReport,16October2008,KENOTP00010364toKEN
OTP00010892(Annex5).46OHCHR,ReportfromtheOHCHRFactfindingMissiontoKenya628February2008,KENOTP00011057toKENOTP00011075,p.14(Annex7).47OHCHR,ReportfromtheOHCHRFactfindingMissiontoKenya628February2008,KENOTP00011057toKENOTP00011075,p.14(Annex7).48OHCHR,ReportfromtheOHCHRFactfindingMissiontoKenya628February2008,KENOTP00011057toKENOTP00011075,p.10(Annex7).49ReportoftheSpecialRapporteuronextrajudicial,summaryorarbitraryexecutions,A/HRC/11/2/Add. MissiontoKenya,26
May2009,KENOTP00010910toKENOTP00010972,p.59(Annex11).HRW,BallotstoBullets.OrganizedPoliticalViolence
andKenyasCrisisofGovernment,March2008,KENOTP00010248toKENOTP00010330,pp.4353(Annex3).50OHCHR,ReportfromtheOHCHRFactfindingMissiontoKenya628February2008,KENOTP00011057toKENOTP00011075,p.14(Annex7).
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Valley, Nyanza, Western, Coastal and Central provinces.51 The OHCHRs
findingsalso indicated thatsome12,000Kenyanswerereported tohavesought
refugeacrosstheborder,inUganda.52OCHAshumanitarianupdatecoveringthe
last week of January 2008, estimated that approximately 290,000 IDPs were
registeredincamps(basedoninformationfromKenyanRedCross).53
Otherinhumaneacts70.ThefindingsoftheWakiCommissionindicatethatatotalofatleast3,561personssuffered injuries as a result of thepostelection violence.Of those injured, the
majoritysufferedfrominjuriesinflictedbysharpobjectsorgunandarrowshots,54
while others included particularly brutal conduct such as traumatic
circumcisions.55
(a)Placesofallegedcommissionofthecrimes
71.Asan illustrationofthegeographicextentofthecrimes,themainaffectedareasof the postelection violence included: (i) the slum districts of Nairobi, in
particular the localitiesofKibera,Mathare,Korogocho,Huruna,Kariobangiand
Dandora; (ii)RiftValleyprovince, inparticular the localitiesofEldoret and its
surroundings,Naivasha andNakuru; and (iii)Western andNyanzaprovinces,
with a particular focus on the locality of Kisumu and the surrounding areas.
Annex1Bshowsamapgivingageneraloverviewofthedistributionofviolence
acrosstheregions.
(b)Timeperiodoftheallegedcommissionofthecrimes
51OHCHR,ReportfromtheOHCHRFactfindingMissiontoKenya628February2008,KENOTP00011057toKENOTP00011075,p.14(Annex7).52OHCHR,ReportfromtheOHCHRFactfindingMissiontoKenya628February2008,KENOTP00011057toKENOTP00011075,p.14(Annex7).53OCHA,KenyaHumanitarianUpdate,volume2,2128January08(Annex31).54CIPEV,FinalReport,16October2008,KENOTP00010364toKENOTP00010892,p.334(Annex5).55CIPEV,FinalReport,16October2008,KENOTP00010364toKENOTP00010892,p.336(Annex5).
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72.A firstwaveofviolence (29December200718January2008)concentratedonthedistrictsofMolo,TransNzoia,andUasinGishuintheNorthRift,.56 Further
south, Kedowa and other trading outposts near the town of Kericho were
affected.57Within thespaceofaweekdozensofcommunities in theRiftregion,
includingEldorettown,weredrivenaway.58
73.Organizedretaliatoryviolenceduringasecondwaveofviolence(2428January2008) hit predominantly the towns of Molo, Nakuru and Naivasha causing
furtherdeathsalthoughonalowerscalethanduringthefirstwaveofviolence.59
(c)Personsorgroupsinvolved
74.Theavailable informationrelatedtothemainallegedperpetrators indicatesthatmost offenceswere committedbygangs ofyoungmen armedwith traditional
weapons. Organized groups established roadblocks/check points; carried out
simultaneous raids and attacks on multiple neighbourhoods and towns; and
attacked and killingpeople from other tribesperceived aspolitical opponents,
allegedlywiththeinvolvementofpoliticiansandbusinessleaders.
75.BoththeKNCHRandtheWakiCommissionindicatethatpersons inpositionofpower appear to have been involved in the organization, enticement and/or
financing of violence targeting specific groups60. Political leaders of all sides,
particularly from PNU and ODM, allegedly recruited gangs of youths and
56OHCHR,ReportfromtheOHCHRFactfindingMissiontoKenya628February2008,KENOTP00011057toKENOTP00011075,p.8(Annex7).ICG,KenyainCrisis,21February2008,KENOTP00011076toKENOTP00011114p.10(Annex
6);HRW,BallotstoBullets.OrganizedPoliticalViolenceandKenyasCrisisofGovernment,March2008,KENOTP00010248
toKENOTP00010330,p.37(Annex3).57OHCHR,ReportfromtheOHCHRFactfindingMissiontoKenya628February2008,KENOTP00011057toKENOTP00011075,p.8(Annex7);ICG,KenyainCrisis,21February2008,KENOTP00011076toKENOTP00011114 p.10(Annex
6).58HRW,BallotstoBullets.OrganizedPoliticalViolenceandKenyasCrisisofGovernment,March2008,KENOTP00010248
toKENOTP00010330,p.39(Annex3).59HRW,BallotstoBullets.OrganizedPoliticalViolenceandKenyasCrisisofGovernment,March2008,KENOTP00010248
toKENOTP00010330,p.43(Annex3).60TheKNCHRlistofallegedperpetratorsisannexedtotheirfinalreport:KNCHR,OntheBrinkofthePrecipice:AHuman
RightsAccountofKenyasPost 2007ElectionViolence,FinalReport,15August2008,KENOTP00010002toKENOTP0001
0245,pp.177238(Annex4);theWakilisthasnotbeenpublishedbuthandedovertotheICCProsecutoron9July2009.
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transported them to strategic points to unleash terror, killing and destroying
propertybelonging to communities aligned to the rival party. There are also
reported allegations concerning the security services and their response to the
violence.61
(ii) Legal characterisation and reasons that the listed crimes fall within the
jurisdictionoftheCourt
76.Forthereasonssetoutinthisapplication,theinformationcollectedbytheOfficeof the Prosecutor provides a reasonable basis to believe that crimes against
humanitywithin thejurisdictionof theCourtwerecommitted in thecontextof
thepostelectionviolenceof20072008.
(a)Contextualelementsofcrimesagainsthumanity
77.The available information provides a reasonablebasis tobelieve thatmultiplecrimescommittedduringthepostelectionviolenceof20072008occurred inthe
context of a widespread and systematic attack against the Kenyan civilian
populationpursuant to or in furtherance of a State or organizationalpolicy to
commitsuchactsonKenyan territory,within themeaningofArticle7(1)of the
Statute.
78.Pursuant to theProsecutorsprosecutorialpolicy, the focusof theProsecutionsinvestigative activities will be directed at the persons bearing the greatest
responsibility for themost serious crimes.62The available information indicates
that persons who incited and instigated the violence as well as those who
mobilisedanddirected theactivitiesof thedifferentorganizedgroups,with the
knowledge that thebehaviour of themembers of the groupswithwhich they
61CIPEV,FinalReport,16October2008,KENOTP00010364toKENOTP00010892,pp.417418(Annex5);Reportofthe
SpecialRapporteuronextrajudicial,summaryorarbitraryexecutions,A/HRC/11/2/Add.6,MissiontoKenya,26May2009,
KENOTP00010910toKENOTP00010972,pp.3436(Annex11).62Regulation34,RegulationsoftheOfficeoftheProsecutor.
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were associated during the course of the postelection violence was part a
widespreadorsystematicattackdirectedagainstthecivilianpopulationinKenya.
79.Aspreviously heldbyPreTrialChamber III, the reference to awidespread orsystematicattackhasbeeninterpretedasexcludingisolatedorrandomactsfrom
the concept of crimes against humanity. In this regard, the adjective
widespread refers to the largescalenatureof theattack and thenumberof
targeted persons, while the adjective systematic refers to the organised
natureoftheactsofviolenceandtheimprobabilityoftheirrandomoccurrence.
TheChamber,moreover, opined that the existence of a State or organisational
policy is an element from which the systematic nature of an attack may be
inferred.63
80.Basedontheavailableinformation,thereisareasonablebasistobelievethattheattacks directed against the civilian population in the Kenya were both
widespreadandsystematic.Theseattacksareallegedly tohavebeenconducted
primarilybymembers of organised groups associatedwith themain political
parties(PNUandODM).
81.According tofindingsof theWakiCommissionandKNCHRandothersources,thepostelectionviolencewerenotisolatedorrandomacts;theytookplaceona
largescaleandtargetedalargenumberofcivilianvictims.Asmentioned,within
two months, the postelection violence resulted in about 1,133 deaths, 3,561
personssufferedinjuriesthatmayconstituteotherinhumaneactscausingserious
injury,hundredsofrapes,andtheinternaldisplacementofapproximately350,000
persons.
63ICC01/0501/0814tENG,para.33.
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82.The violence impacted on up to 136 constituencies in six of Kenyas eightprovinces,andwasfeltbothinurbanandruralareas.64AstheWakiCommission
reports, It was by far the most deadly and most destructive violence ever
experienced inKenya.65 Themain theatres of violencewereNairobi, theRift
Valleyprovince(includingtheregionsofSouth,CentralandNorthRift),aswell
astheNyanzaandWesternprovinces.66
83.The available information further indicates that the attack against the civilianpopulationwasofasystematicnature.Inparticular,thereisareasonablebasisto
believe that members of the organised groups associated with members or
supportersofPNUandODMdeliberatelytargetedcivilianswhowereperceived
tobesympathetictotherivalgroup.HumanRightsWatch,forexample,gathered
informationindicatingthatlocalleadersandODMmobilizersarrangedfrequent
meetingsfollowingtheelectiontoorganize,directandfacilitatetheviolence.67
84.Initially, theviolenceappeared tobe spontaneousoutburstsofchaosgeneratedbyangrydemonstratorsclashingwithheavyhandedlawenforcementagents.As
time elapsed and the violence intensified, however, indications emerged
illustratingtheorganisednatureofsomeoftheviolence,leadingmanyobservers
toconcludethatattackswerelargelyplannedandpremeditatedorevolvedinto
wellorganizedandcoordinatedattacks.68
64KNCHR,OntheBrinkofthePrecipice:AHumanRightsAccountofKenyasPost 2007ElectionViolence,FinalReport,15
August2008,KENOTP00010002toKENOTP00010245,p.3,para.1(Annex4);CIPEV,FinalReport,16October2008,
KENOTP00010364toKENOTP00010892,p.vii(Annex5).65CIPEV,FinalReport,16October2008,KENOTP00010364toKENOTP00010892,p.vii(Annex5).66KNCHR,OntheBrinkofthePrecipice:AHumanRightsAccountofKenyasPost 2007ElectionViolence,FinalReport,15
August2008,KENOTP00010002toKENOTP00010245,p.15(Annex4);SeeMap:PostelectionviolencehotspotsKenya,
Depha,January2008(Annex1B).67HRW,BallotstoBullets.OrganizedPoliticalViolenceandKenyasCrisisofGovernment,March2008,KENOTP00010248
toKENOTP00010330,pp.3738(Annex3).68CIPEV,FinalReport,16October2008,KENOTP00010364toKENOTP00010892,p.viii(Annex5).Thesepatternswere
alsomentionedbytheOHCHRreportofthefactfindingmissionandcorroboratedbymediareports,aswellastheICGand
HRWreportsonthecrisis.SeeOHCHR,ReportfromtheOHCHRFactfindingMissiontoKenya628February2008,KENOTP00011057toKENOTP00011075,pp. 810(Annex7);ICG,KenyainCrisis,21February2008,KENOTP00011076to
KENOTP00011114pp.3536(Annex6);HRW,BallotstoBullets.OrganizedPoliticalViolenceandKenyasCrisisof
Government,March2008,KENOTP00010248toKENOTP00010330p.4(Annex3).
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85.Examining the pattern of violence which erupted immediately following thecommunicationoftheelectoralresults,thisappearstohaveactedasasignalfor
organized groups to launch their attacks.69 Ordinary citizens allied to certain
communitieswere reportedly called onby local leaders and elders including
churchandgovernmentofficials tokill theirneighbours.70Forexample,around
Eldoret many politicians stoked ethnic tensions to mobilize political support
amongtheirethnicgroup.71
86.Civiliansweremobilisedintoorganisedgroupswhichtargetedactsofviolenceinawidespread and systematicmanner against the civilian populationbased on
ethnicityandpoliticalaffiliation.Inparticular,bonfireswerelitatroadblocks,as
gangsofyouthsstoppedallpassersby,demandingtheiridentificationdocuments
allegedly toknow theirethnicity,and in some caseshacking todeathall those
peopleperceivedtobepolitical/tribalopponents.72
87.In theRiftValley, from the outset, violence showed a clear pattern of attacksintentionally targeting perceived PNU supporters, rather than against
individually identified persons or in a randommanner. The attacks appear to
havebeenorchestrated,withaplantoforciblydisplacethetargetedcommunities
fromtheirlands.73
88.As indicia of organization, the Waki Commission notes that warnings weresometimes issued to the civilian populationprior the attacks; large number of
attackers were mobilized, often coming from outside the targeted area; the
69This isalsoconfirmedbyHRW reportwhichalleges that localeldersandODMorganizers inmany communitiesaround
Eldoret calledmeetingswhere they declared that electoral victory forKibakiwouldbe the signal for war against local
Kikuyu.SeeHRW,BallotstoBullets.OrganizedPoliticalViolenceandKenyasCrisisofGovernment,March2008,KENOTP
00010248toKENOTP00010330,p.37(Annex3).70OscarFoundationReport,Ethnicityandafaileddemocracy,February2008,KENOTP00010331toKENOTP00010363
(Annex12).71HRW,BallotstoBullets.OrganizedPoliticalViolenceandKenyasCrisisofGovernment,March2008,KENOTP00010248
toKENOTP00010330p.36(Annex3).72CIPEV,FinalReport,16October2008,KENOTP00010364toKENOTP00010892,p.42andp.55(Annex5);ICG,Kenya
inCrisis,21February2008,KENOTP00011076toKENOTP00011114,p.13(Annex6).73CIPEV,FinalReport,16October2008,KENOTP00010364toKENOTP00010892,pp.4345(Annex5).
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conduct of the attacks required logistical prearrangements; andmany of the
attacksweretargetedonlyagainstmembersofspecificgroupstotheexclusionof
others.74
89.Inflammatory radiobroadcastsaswellasallegedhate speech in theRiftValleyprovincealreadyduringtheelectoralcampaignarefurtherpossibleindicatorsof
organised attacks.75 Emails and text messages were also reportedly used to
disseminatehatemessagesagainstparticularcandidatesandothercommunities
before the elections.76 Ethnicallymotivated hate speech, inflammatory rhetoric
and incitementbymembers of the leading political parties, particularly at the
locallevel,werereportedlyarecurringfeatureofthepreelectioncampaign.77In
particular, reports indicate thatpolitical and spiritual leaders in theRiftValley
engaged in a process of indoctrination before the elections. The information
suggeststhattheseactivitieswerepartofastrategytoincitesubsequentviolence.
90.Such inflammatory statements continued after the elections, as leaflets quicklyappearedtellingmembersofopposingcommunitiestoleavepartsofRiftValley,
CoastandNyanza.78
91.Information on the systematic nature of the attacks include the reportedlyviolence in the Burnt Forest settlement south of Eldoret town, wheremilitia
simultaneouslyattackedandburned1320houses inwhich5,000persons lived.79
ICGreportsthatyouths involved in theattacks inEldoret(RiftValleyprovince)
74CIPEV,FinalReport,16October2008,KENOTP00010364toKENOTP00010892,p.347(Annex5).75SeeforexampleEldoretspopularKalenjinlanguageradioKASSFM,see:HRW,BallotstoBullets.OrganizedPolitical
ViolenceandKenyasCrisisofGovernment,March2008,KENOTP00010248toKENOTP00010330,p.36(Annex3);ICG,
KenyainCrisis, 21February2008,KENOTP00011076toKENOTP00011114,p.12(Annex6).SeealsoKNCHR,Onthe
BrinkofthePrecipice:AHumanRightsAccountofKenyasPost 2007ElectionViolence,FinalReport,15August2008,KEN
OTP00010002toKENOTP00010245p.4,para.16(Annex4).76OHCHR,ReportfromtheOHCHRFactfindingMissiontoKenya628February2008,KENOTP00011057toKENOTP00011075,p.7(Annex7).77ICG,KenyainCrisis,21February2008,KENOTP00011076toKENOTP00011114,p.13(Annex6).78OscarFoundationReport,Ethnicityanda faileddemocracy,February2008,KENOTP00010331 toKENOTP00010363
(Annex12).79OHCHR,ReportfromtheOHCHRFactfindingMissiontoKenya628February2008,KENOTP00011057toKENOTP00011075,p.9(Annex7).
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weretransportedtothelocationsofattacksbylorriesandwereallegedlypaidto
carryout the raids; fundswereallegedlyprovidedbymembersof thepolitical
andbusinessestablishmentoftheNorthRift.80
92.CounterattackswereundertakenbyotherpartiessupportersmainlyinNakuruandNaivashaandpartsofwesternRiftValleyprovince.InthetownofNaivasha,
membersofmilitiawerereportedlypaidbylocalbusinessmentoattackcivilians,
being promised money for each kill.81 The attacks also led to deaths and
destructionofproperty.
(b) Acts constituting crimes against humanity committed in the context of a
widespreadorsystematicattack
93.Onthebasisoftheavailableinformation,andwithoutprejudicetootherpossiblecrimeswithin thejurisdictionof theCourtwhichmaybe identifiedduring the
courseofaninvestigation,theProsecutordeclaresthatthereisareasonablebasis
tobelieve thatduring thepostelectionperiod, includingbutnot limited to the
timeperiodbetween27December2007 to28February2008,ataminimum the
followingconducthasbeencommitted:
a. murder constituting a crime against humanity underArticle 7(1)(a) of theStatute;
b. rapeandotherformsofsexualviolenceconstitutingacrimeagainsthumanityunderArticle7(1)(g)oftheStatute;
c. forcible transfer ofpopulation constituting a crime againsthumanityunderArticle7(1)(d)oftheStatute;and
d. other inhumane acts causing serious injury constituting a crime againsthumanityunderArticle7(1)(k)oftheStatute.
80ICG,KenyainCrisis,21February2008,KENOTP00011076toKENOTP00011114p.11(Annex6).81HRW,BallotstoBullets.OrganizedPoliticalViolenceandKenyasCrisisofGovernment.March2008,KENOTP00010248
toKENOTP00010330,pp.4648(Annex3).
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Murder94.Theavailableinformationindicatesthatmurdersfollowedthesamepatternoftheattacksastherestofthepostelectionviolence,notonlyintermsofthemannerin
whichtheywerecommitted,butalsointermsofthevictims,focussedmainlyon
members of the targeted ethnic/politically affiliated populations. The diverse
causesofdeaths included,according to theWakiCommission,deathbyburns,
arrow shots, blunt object, severe wounds, sharp pointed object, assault,
drowning,suffocation injury,stoning,shock,andhanging.Thisshowsnotonly
thevarietybutalsothebrutalityofmeansresortedtobytheassailants(28.2%of
deathswerecausedbysharppointedobjects,7.5%byburns).82
Rapeandotherformsofsexualviolence95.Sexualviolencewasusedaspartofthewidespreadandsystematicattackagainstthe civilian population. In general, sexual violence followed ethnic and/or
political lines.Victimswereoften toldby theiraggressors that theywerebeing
victimised as a punishment for their ethnicity or political affiliations. In some
cases, theperpetratorsproceeded torapevictimsevenwhen theyclaimed tobe
HIVpositive.83
96.The Prosecution has information of numerous incidents of sexual violenceincludingrapeofmenandwomen,sexualmutilationandother formsofsexual
violence.Medicalservices,andvictimaccounts,showthatgangrapesbygroups
ofmenwereprevalent.84
97.Instances of rapes and other acts of sexual violencewere committedwith oraccompaniedby physicalbrutality.85Women and childrens labia and vaginas
82CIPEV,FinalReport,16October2008,KENOTP00010364toKENOTP00010892,p.311(Annex5).83CIPEV,FinalReport,16October2008,KENOTP00010364toKENOTP00010892,p.349(Annex5).84 FIDAK,SubmissionstoTheCommissionofInquiryintothePostElectionViolence(theWakiCommision)byFIDA Kon
SexualandGenderBasedViolenceonbehalfoftheInterAgencyGenderBasedViolence(GBV)SubCluster,11September
2008,KENOTP00011516page3(Annex8);CREA,WomenpaidthePrice,2008,KENOTP00011527p.251(Annex8).85UNFPA,UNICEF,UNIFEM,ChristianChildrensFund,ARapidAssessmentofGenderBasedViolenceDuringthePost
ElectionViolenceinKenya,JanuaryFebruary2008,KENOTP00010973toKENOTP00011056, p.4(Annex9).
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were cut using sharp objects and bottles were stuffed into them. Attackers
amputated thepenises ofmen andboys, or subjected them to circumcision, in
somecasesusingcutglass.86Furthermore,childrenandspousesoftenwereforced
towitnesstheirpartners,parents,brothersandsistersbeingsexuallyviolated.87
98.Sexual violence committed during the postelection violencewas used to grabland. According to UNIFEM, [Sexual violence was]being used as a tool to
terrorize individuals and families and precipitate their expulsion from the
communities inwhich they live. [S]exual violence [was]being used as a fear
instilling tactic, inso faraswomenwere told theyand theirchildrenwouldbe
raped if they did not vacate their property within a designated timeframe.
Womenwere further threatened in the temporary shelters towhichmany fled;
thosewhoinitiallysoughtrefugeinhousesinTimboroa,intheNorthRiftValley,
forexample,weretoldifyoudontmove,wearegoingtorapethewomen.88
99.AsconcludedbytheWakiCommissionReport[i]nsomeareas,sexualviolencewas ameansused topressurepeople to leave theirhomes, to retaliate against
themforhavingvotedforthewrongcandidate,tribeorpartyandintandemwith
thattodominate,humiliateanddegradethemandtheircommunitiesintoapitof
powerlessness.89
Deportationorforcibletransferofpopulation100. Acts of deportation or forcible transfer of populationwere part of attacksagainstmembersof rivalethnicand/orpoliticalgroups,and followed thesame
patterns as other instances of postelection violence. Reports indicate that
organised groups associatedwith themain political parties (PNU and ODM)
86CIPEV,FinalReport,16October2008,KENOTP00010364toKENOTP00010892,p.348(Annex5).87CIPEV,FinalReport,16October2008,KENOTP00010364toKENOTP00010892,pp.348and244(Annex5).88UNFPA,UNICEF,UNIFEM,ChristianChildrensFund,ARapidAssessmentofGenderBasedViolenceDuringthePost
ElectionViolenceinKenya,JanuaryFebruary2008,KENOTP00010973toKENOTP00011056,p.4.andpp.3132(Annex
9).89CIPEV,FinalReport,16October2008,KENOTP00010364toKENOTP00010892,p.252(Annex5).
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were mobilised, directed, and in some instances paid, 90 to attack targeted
membersofrivalethnicand/orpoliticalgroups.91
Otherinhumaneacts101. 3,561peoplereportedlysuffered injuries inflictedbyorresultingfromsharppointed objects,blunt objects, soft tissue injury,gunshots, arrow shorts,burns,
andotherassaults.Althoughtheseinjuriesdidnotresultinfatalities,astheWaki
Commission indicated, a number were very serious and lifechanging.92
Depending on the circumstances, injuries resulting from targeted attacksmay
constitute attempted murder or rape or other forms of sexual violence,
persecution, or other inhuman acts of a similar character intentionally causing
seriousinjurytobodyortomentalorphysicalhealth.
IX.Authorisationtoproceed
102. The Prosecutor submits that the Court should proceed to authorise theinvestigation so long as it is satisfied that the Prosecutors Application and
supporting material reveal the existence of facts or information warranting
investigation. The standard at this stage of the proceedings relates to the
investigationofcrimesofrelevancetothesituationasawholeandtheexistence
of relevant information thatprovides a foundation to the request. It isnot the
opportunitytoproceedwiththeidentificationofindividualcriminalliability.
103. The expression reasonablebasis inArticle 15 indicates that a decision toauthorize the commencement of an investigation shallbemade pursuant to a
lowerstandard than theone required for the issuanceofawarrantofarrestor
90HRW,BallotstoBullets.OrganizedPoliticalViolenceandKenyasCrisisofGovernment,March2008,KENOTP00010248
toKENOTP00010330,p.4546(Annex3).91HRW,BallotstoBullets.OrganizedPoliticalViolenceandKenyasCrisisofGovernment,March2008,KENOTP00010248
toKENOTP00010330,pp.3553(Annex3).92CIPEV,FinalReport,16October2008,KENOTP00010364toKENOTP00010892,pp.334336(Annex5).
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summons to appear.93 The test of reasonablebasis is the lowest found in the
RomeStatute,whichappliesfourescalatingtestsfortheprogressivephasesofthe
proceedings.94
104. ChambersoftheCourthaveobservedthattheinterpretationandapplicationof the expression reasonable grounds to believe may be guided by the
reasonable suspicion standard articulated inArticle 51(1)(c) of theEuropean
ConventionfortheProtectionofHumanRightsandFundamentalFreedomsontheright
to libertyfrom illegalarrestordetention,which,asinterpretedbytheEuropean
Court of Human Rights (ECHR), requires the existence of some facts or
informationwhichwouldsatisfyanobjectiveobserverthatthepersonconcerned
mayhavecommittedtheoffence.Similarly,Chambershavebeenguidedbythe
jurisprudenceof the InterAmericanCourtofHumanRights (IACHR)on the
fundamental right to liberty, as enshrined in Article 7 of the American
ConventiononHumanRights.95Ataminimum,therefore,thereasonablebasis
standardshouldbeconsideredasbelowthatofreasonablegroundstobelieve.
This would require the existence of some facts or information which would
satisfyanobjectiveobserverthatcrimeswiththejurisdictionoftheCourtappear
tohavebeencommitted,butwithoutidentificationofthepersonswhomayhave
committedsuchoffences.
93 M.Bergsmo andJ.Pejic, Article 15Prosecutor, inO.Triffterer (ed.),Commentary of theRomeStatute of the InternationalCriminalCourtObserversNotes,ArticlebyArticle,(SecondEdition2008), p.589. Seealso,H.Olsolo,TheTriggeringProcedure
oftheInternationalCriminalCourt,MartinusNijhoffPublishers,2005,p.61;M.W.ElZeidy,SomeRemarksontheQuestionoftheAdmissibilityof aCaseduringArrestWarrantProceedingsbefore the InternationalCriminalCourt,LeidenJournalof
InternationalLaw,19 (2006),p.746;.G.Turone,PowersandDutiesof theProsecutor, inA.Casseseetal. (eds.),TheRomeStatute of the InternationalCriminalCourt: aCommentary (2002),pp. 1152 and 1161;H.Friman, TheRulesofProcedure andEvidenceintheInvestigativeStage,inH.Fischeretal.(eds.),InternationalandNationalProsecutionofCrimesUnderInternationalLaw,BWV/BerlinerWissenschaftsVerlag(2004),p.193194.(Annex1A).94CompareArticles15and53(1)reasonablebasis;Article58(1)reasonablegrounds;Article61(7)referssubstantialgrounds;andArticle66(3)beyondreasonabledoubt.95ICC01/0501/0814tENG,para.24;ICC01/0401/068USCorr,para.12;ICC02/0501/093,para.32;ICC01/0402/0620Conf
Exp,para. 12; ICC02/0501/071Corr,para.28.SeeECtHR,Case ofOHarav.TheUnitedKingdom,Applicationno.37555/97,Judgment, 16October 2001,para. 34. See also, ECtHR, Fox,Campbell, andHartley v. TheUnitedKingdom,Application no.12244/86;12245/86;12383/86,Judgment,30August1990,para.32;ECtHR,K.F.v.Germany,Applicationno.144/1996/765/962, Judgment,27November1997,para.57;ECtHR,Labitav.Italy,Applicationno.26772/95,Judgment,6April2000,para.155;ECtHR,Berktayv.Turkey,Requten22493/93,Arrt,1erMars2000(judgmentonlyavailableinFrench),para.199;ECtHR,Erdagzv.Turkey,ApplicationNo.127/1996/945/746, Judgment,22October1997,para.51;ECtHR,Murrayv.UnitedKingdom,Application no. 14310/88, Judgment, 28October 1994, para. 51. on the distinctionbetween the applicability of different
thresholdsofproofdependingonthestageintheproceedingsseeECtHR,K.F.v.Germany,ApplicationNo.144/1996/765/962, Judgment,27November1997,para.57.(Annex1A).
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105. The textofArticle15 isbasedcloselyonaproposalsubmittedbyArgentinaandGermanyduringtheMarchApril1998PreparatoryCommitteesession.96The
discussion focussed on which was the appropriate expression97 and on an
evaluationofwhethertheinformationobtainedwassufficient[and]verifiable98
orclearlyunfoundedornotserious.99TheProsecution isnot required,at this
stage, topresentevidentiarymaterialcollectedbyothers,suchas testimoniesof
victimsandwitnesses.
106. TheProsecutorrespectfullysubmitsthatthereisareasonablebasistoproceedwithan investigationand that thecaseappears to fallwithin thejurisdictionof
theCourt,andthereforerequeststheChambertoauthorisethe investigation.To
thisend, theprocedureshouldbeexpeditiousandsummary innature,without
prejudicetosubsequentdeterminationsonquestionsoffactandlaw.100
107. Inparticular, theProsecutornotes thatArticle 15(4) of the Statuteprovides[i]fthePreTrialChamber,uponexaminationoftherequestandthesupporting
material, considers that there is a reasonable basis to proceed with an
investigation,andthatthecaseappearstofallwithinthejurisdictionoftheCourt,
it shall authorize the commencement of the investigation,withoutprejudice to
96 Proposal submitted by Argentina and Germany for Article 46, Information submitted to the Prosecutor, U.N. Doc.A/AC.249/1998/WG.4/DP.35,25March1998.(Annex 1A).97Delegationsdiscussedaboutwhether touse theexpressionreasonablebasisrather thansufficientbasis in theStatute.
Eventually,itwasagreedtoincorporatethewordingreasonablebasisinthefinalversionofArticle15.SeeReportoftheInterSessionalMeetingfrom 19 to 30January 1998 inZutphen,TheNetherlands,PreparatoryCommittee on theEstablishmentof anInternationalCriminalCourt,UNDoc.A/AC.249/1998/L.13,04February1998,p.86;ReportofthePreparatoryCommitteeon
the Establishment of an International Criminal Court: Addendum, UN Doc. A/CONF.183/2/ADD.1, 14 April 1998, p. 37;
PreparatoryCommitteeontheEstablishmentofanInternationalCriminalCourt16March3April1998,A/AC.249/1998/CRP.11
lApril1998 p.1.(Annex 1A).98DraftReportofthePreparatoryCommittee,PreparatoryCommitteeontheEstablishmentofanInternationalCriminalCourt,
A/AC.249/L.15,23August1996,pp.45.SeealsoReportofthePreparatoryCommitteeontheEstablishmentofanInternational
CriminalCourtVolumeI(ProceedingsofthePreparatoryCommitteeduringMarchAprilandAugust1996)GeneralAssembly
OfficialRecords,FiftyfirstSessionSupplementNo.22(A/51/22),p.4950.(Annex 1A).99 Preparatory Committee on the Establishment of an International Criminal Court 415August 1997Working Group on
Complementarity and TriggerMechanism Rolling Text ForArticles 21, 22, 23, 24 and 25,A/AC.249/1997/WG.3/CRP.1, 13
August1997,p.7.(Annex 1A).100SeeJ.Holmes,Complementarity:NationalCourtsversustheICC,inA.Casseseetal.(eds.),TheRomeStatuteoftheInternationalCriminalCourt:aCommentary(2002),p.680.(Annex1A)
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subsequent determinations by the Court with regard to the jurisdiction and
admissibilityofacase(emphasisadded).101
108. InitsDecisionAdjourningtheHearingpursuanttoArticle61(7)(c)(ii),PreTrial Chamber III interpreted the word appears within the context of the
confirmation of charges stage of the proceedings and noted: [T]he notion of
appearance isused invariousprovisionsof theStatute,but lacksany statutory
definition.IntheEnglishlanguage,thewordappearmeanstogiveaspecified
impression102.Thus,thismeaningshouldbeborneinmindwhentheChamberis
calledupontodecideonthenatureandscopeofdeterminationrequiredandthe
mannerinwhichtoapproachtheevidenceunderArticle61(7)(c)(ii)oftheStatute.
Given thenatureof thepresentstageof theproceedings, theChamber isof the
opinion that the threshold required for a determination under subparagraph
(c)(ii)mustinevitablybe lowerthanthesubstantialgroundstobelievesetout
inthechapeauofArticle61(7)oftheStatute.103
109. PreTrialChamber III concluded that [a]pplying the appearance standardsetoutinArticle61(7)(c)(ii)oftheStatute,theChamberdeemsitunnecessaryto
engageinanindepthanalysisoftheevidenceinitspossessionforthepurposeof
this procedural decision. To this end, theChamber considers that reference to
specific evidence or arguments of the parties or participants is sufficient. This
ensures that theChamber is not engaged in a process of predetermination or
prejudgmentontheissuesatstake,whichinanyeventwouldberuleduponinits
decisiononthemerits.104
110. Because Article 15(4) does not require certainty, but simply that the caseappearstofallwithinthejurisdictionoftheCourt,thePreTrialChamberneed
101TheProsecutionobservesthatatthestageofpreliminaryexaminationpriortotheinitiationofaninvestigationthereisnot
yetacasestrictlyspeaking,butonlypotentialcasesthatmayarisefromaninvestigationintothesituationasawhole.102ICC01/0501/08388,04March2009,para.25103Ibid.,para.25.104Ibid.,para.40.
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notengageinanindepthanalysisoftheinformationpresentedforthepurposeof
this procedural decision. This ensures, moreover, that the Chamber will not
conclusivelypredetermineorprejudgequestionsofjurisdictionthatmayariseat
a laterstage intheproceedings.Accordingly,Article15(4)requiresthePreTrial
Chamber to conduct an examination of the request and the supporting
material.Absentanythingtosuggestthecontrary,theChambershouldconclude
thatthecaseappearstofallwithinthejurisdictionoftheCourt.105
111. The Prosecutor recalls that the object and purpose ofArticle 15within thecontextoftheStatute,asevidencedfromthedraftinghistoryandaplainreading
ofthetermsoftheprovisionwithintheircontext,indicatesthatitservesprimarily
as a filteringmechanism to distinguish those situations that should form the
subjectofinvestigationfromthosethatshouldnot.106
105M.BergsmoandJ.Pekic,Article15Prosecutor, inO.Triffterer (ed.),Commentary of theRomeStatute of the InternationalCriminalCourtObserversNotes,ArticlebyArticle,SecondEdition,C.H.Beck,HartandNomos,2008, pp..590 591.(Annex1A)106Thefiltering functionof thePreTrialChamberhasbeenpreviouslyrecognizedbyChambersof theCourtwithrespect,
interalia,totheconfirmationofcharges;ICC01/0501/08388,para.9.Similarly,commentatorshaveobservedthatthePreTrialChambersapplicationofthereasonablebasisstandardshouldprimarilybesteeredbytheunderlyingpurposeofparagraph4,
thatofprovidingajudicial filterwhichwillprotecttheCourt fromthedamagingeffectsoffrivolousorpoliticallymotivatedcharges.M. Bergsmo and J. Pekic, Article 15 Prosecutor, in O. Triffterer (ed.), Commentary of the Rome Statute of theInternationalCriminalCourtObserversNotes,ArticlebyArticle,SecondEdition,C.H.Beck,HartandNomos,2008, p.591.Seealso,S.FernndezdeGurmendi,TheRoleof theProsecutor, inLee (ed.),The InternationalCriminalCourtTheMakingof theRomeStatuteIssues,Negotiations,andResults,KluwerLawInternationa,1999,p.187;M.Arsanjani,ReflectionsontheJurisdictionandTriggermechanismof theInternationalCriminalCourt, inH.A.M.vonHebeletal. (eds.),Reflectionsonthe InternationalCriminalCourt, T.M.C.AsserPress,1999,p.65. (Annex1A).While recognizing thedifferent standardsused inotherbodiesfunctioningwithdifferentgoalsandprocedures, theChambermaywish tohaveresort themanner inwhichsucha filtering
functionisappliedbytheEuropeanCommissionofHumanRights,theEuropeanCourtofHumanRights(Article35(3)ECHR)
andtheInterAmericanCourtofHumanRights(Article34IACHR)whenconsideringwhetheraparticularcommunicationor
petition is illfounded, frivolousorotherwise represents an abuseof the rightof application.TheEuropeanCommissionof
HumanRightshasdeclared anapplicationinadmissibleasbeingmanifestlyillfoundedonlywhenanexaminationofthefile
doesnotdiscloseaprimafacieviolation;DeBeckerv.Belgium,ApplicationNo.214/56,Judgement,9June1958;ECmmHR,Xv.TheFederalRepublicofGermany,ApplicationNo.3110/67,19July1968.SeealsoECmmHR,Xv.TheFederalRepublicofGermany,ApplicationNo.2699/65,1April1968;ECtHR,Martynetsv.Russia,Applicationno.29612/09,Firstsectiondecisionas to theadmissibility,5November2009,PartB;ECtHR,efkovv.Slovakia,Applicationno.6284/02,Judgment,3November2009,paras.9192;ECtHR,Petroffv.Finland,Applicationno.31021/06,Judgment,3November2009,paras.2728.(Annex1A)TheInterAmericanCommissionofHumanRightshasheld that itmust makeaprimafacieevaluation toexaminewhether thecomplaint states facts indicativeof an apparent orpotential violationof a right guaranteedby theConvention, andnot to
establishtheexistenceofaviolation.Thisexaminationisasummaryanalysisthatdoesnotimplyaprejudgingorpreliminary
opiniononthemerits.;IACommHR,SimoneAndrDinizv.Brazil,ReportN37/02,Petition12.001,Admissibility,9October2002,para.31.SeealsoIACommHR,RubenLuisGodoyv.Argentina,ReportN4/04,Petitio