Rules of Procedure and Evidence
for the Application of the Rome Statute of the International Criminal Court



Assembly of States of Parties to
the Rome Statute of the
International Criminal Court



First session
New York, ۳-۱۰ September ۲۰۰۲
Official Records
Instrument adopted by the Assembly of States Parties

Rules of Procedure and Evidence(*)*

Contents
Rule
Chapter ۱. General provisions
۱.        Use of terms
۲.        Authentic texts
۳.        Amendments
Chapter ۲. Composition and administration of the Court
Section I. General provisions relating to the composition and administration of the Court
۴.        Plenary sessions
۵.        Solemn undertaking under article ۴۵
۶.        Solemn undertaking by the staff of the Office of the Prosecutor, the Registry, interpreters and translators
۷.        Single judge under article ۳۹, paragraph ۲ (b) (iii)
۸.        Code of Professional Conduct
Section II. The Office of the Prosecutor
۹.        Operation of the Office of the Prosecutor
۱۰.        Retention of information and evidence
۱۱.        Delegation of the Prosecutor’s functions

Section III. The Registry
Subsection ۱. General provisions relating to the Registry
۱۲.        Qualifications and election of the Registrar and the Deputy Registrar
۱۳.        Functions of the Registrar
۱۴.        Operation of the Registry
۱۵.        Records
Subsection ۲. Victims and Witnesses Unit
۱۶.        Responsibilities of the Registrar relating to victims and Witnesses
۱۷.        Functions of the Unit
۱۸.        Responsibilities of the Unit
۱۹.        Expertise in the Unit
Subsection ۳. Counsel for the defence
۲۰.        Responsibilities of the Registrar relating to the rights of the defence
۲۱.        Assignment of legal assistance
۲۲.        Appointment and qualifications of Counsel for the defence
Section IV. Situations that may affect the functioning of the Court
Subsection ۱. Removal from office and disciplinary measures
۲۳.        General principle
۲۴.        Definition of serious misconduct and serious breach of duty
۲۵.        Definition of misconduct of a less serious nature
۲۶.        Receipt of complaints
۲۷.        Common provisions on the rights of the defence
۲۸.        Suspension from duty
۲۹.        Procedure in the event of a request for removal from office
۳۰.        Procedure in the event of a request for disciplinary measures
۳۱.        Removal from office
۳۲.        Disciplinary measures
Subsection ۲. Excusing, disqualification, death and resignation

۳۳.        Excusing of a judge, the Prosecutor or a Deputy Prosecutor
۳۴.        Disqualification of a judge, the Prosecutor or a Deputy Prosecutor
۳۵.        Duty of a judge, the Prosecutor or a Deputy Prosecutor to request to be excused
۳۶.        Death of a judge, the Prosecutor, a Deputy Prosecutor, the Registrar or a Deputy Registrar
۳۷.        Resignation of a judge, the Prosecutor, a Deputy Prosecutor, the Registrar or a Deputy Registrar
Subsection ۳. Replacements and alternate judges
۳۸.        Replacements
۳۹.        Alternate judges
Section V. Publication, languages and translation
۴۰.        Publication of decisions in official languages of the Court
۴۱.        Working languages of the Court
۴۲.        Translation and interpretation services
۴۳.        Procedure applicable to the publication of documents of the Court
Chapter ۳. Jurisdiction and admissibility
Section I. Declarations and referrals relating to articles ۱۱, ۱۲, ۱۳ and ۱۴
۴۴.        Declaration provided for in article ۱۲, paragraph ۳
۴۵.        Referral of a situation to the Prosecutor
Section II. Initiation of investigations under article ۱۵
۴۶.        Information provided to the Prosecutor under article ۱۵, paragraphs ۱ and ۲
۴۷.        Testimony under article ۱۵, paragraph ۲
۴۸.        Determination of reasonable basis to proceed with an investigation under article ۱۵, paragraph ۳
۴۹.        Decision and notice under article ۱۵, paragraph ۶
۵۰.        Procedure for authorization by the Pre-Trial Chamber of the commencement of the investigation
Section III. Challenges and preliminary rulings under articles ۱۷, ۱۸ and ۱۹
۵۱.        Information provided under article ۱۷
۵۲.        Notification provided for in article ۱۸, paragraph ۱
۵۳.        Deferral provided for in article ۱۸, paragraph ۲
۵۴.        Application by the Prosecutor under article ۱۸, paragraph ۲
۵۵.        Proceedings concerning article ۱۸, paragraph ۲
۵۶.        Application by the Prosecutor following review under article ۱۸, paragraph ۳
۵۷.        Provisional measures under article ۱۸, paragraph ۶
۵۸.        Proceedings under article ۱۹
۵۹.        Participation in proceedings under article ۱۹, paragraph ۳
۶۰.        Competent organ to receive challenges
۶۱.        Provisional measures under article ۱۹, paragraph ۸
۶۲.        Proceedings under article ۱۹, paragraph ۱۰
Chapter ۴. Provisions relating to various stages of the proceedings
Section I. Evidence
۶۳.        General provisions relating to evidence
۶۴.        Procedure relating to the relevance or admissibility of evidence
۶۵.        Compellability of witnesses
۶۶.        Solemn undertaking
۶۷.        Live testimony by means of audio or video-link technology
۶۸.        Prior recorded testimony
۶۹.        Agreements as to evidence
۷۰.        Principles of evidence in cases of sexual violence
۷۱.        Evidence of other sexual conduct
۷۲.        In camera procedure to consider relevance or admissibility of evidence
۷۳.        Privileged communications and information
۷۴.        Self-incrimination by a witness
۷۵.        Incrimination by family members
Section II. Disclosure
۷۶.        Pre-trial disclosure relating to prosecution witnesses
۷۷.        Inspection of material in possession or control of the Prosecutor
۷۸.        Inspection of material in possession or control of the defence
۷۹.        Disclosure by the defence
۸۰.        Procedures for raising a ground for excluding criminal responsibility under article ۳۱, paragraph ۳
۸۱.        Restrictions on disclosure
۸۲.        Restrictions on disclosure of material and information protected under article ۵۴, paragraph ۳ (e)
۸۳.        Ruling on exculpatory evidence under article ۶۷, paragraph ۲
۸۴.        Disclosure and additional evidence for trial
Section III. Victims and witnesses
Subsection ۱. Definition and general principle relating to victims
۸۵.        Definition of victims
۸۶.        General principle
Subsection ۲. Protection of victims and witnesses
۸۷.        Protective measures
۸۸.        Special measures
Subsection ۳. Participation of victims in the proceedings
۸۹.        Application for participation of victims in the proceedings
۹۰.        Legal representatives of victims
۹۱.        Participation of legal representatives in the proceedings
۹۲.        Notification to victims and their legal representatives
۹۳.        Views of victims or their legal representatives
Subsection ۴. Reparations to victims
۹۴.        Procedure upon request
۹۵.        Procedure on the motion of the Court
۹۶.        Publication of reparation proceedings
۹۷.        Assessment of reparations
۹۸.        Trust Fund
۹۹.        Cooperation and protective measures for the purpose of forfeiture under articles ۵۷, paragraph ۳ (e), and ۷۵, paragraph ۴
Section IV. Miscellaneous provisions
۱۰۰.        Place of the proceedings
۱۰۱.        Time limits
۱۰۲.        Communications other than in writing
۱۰۳.        Amicus curiae and other forms of submission

Chapter ۵. Investigation and prosecution
Section I. Decision of the Prosecutor regarding the initiation of an investigation under article ۵۳, paragraphs ۱ and ۲
۱۰۴.        Evaluation of information by the Prosecutor
۱۰۵.        Notification of a decision by the Prosecutor not to initiate an investigation
۱۰۶.        Notification of a decision by the Prosecutor not to prosecute
Section II. Procedure under article ۵۳, paragraph ۳
۱۰۷.        Request for review under article ۵۳, paragraph ۳ (a)
۱۰۸.        Decision of the Pre-Trial Chamber under article ۵۳, paragraph ۳ (a)
۱۰۹.        Review by the Pre-Trial Chamber under article ۵۳, paragraph ۳ (b)
۱۱۰.        Decision by the Pre-Trial Chamber under article ۵۳, paragraph ۳ (b)
Section III. Collection of evidence
۱۱۱.        Record of questioning in general
۱۱۲.        Recording of questioning in particular
۱۱۳.        Collection of information regarding the state of health of the person concerned
۱۱۴.        Unique investigative opportunity under article ۵۶
۱۱۵.        Collection of evidence in the territory of a State Party under article ۵۷, paragraph ۳ (d)
۱۱۶.        Collection of evidence at the request of the defence under article ۵۷, paragraph ۳ (b)
Section IV. Procedures in respect of restriction and deprivation of liberty
۱۱۷.        Detention in the custodial State
۱۱۸.        Pre-trial detention at the seat of the Court
۱۱۹.        Conditional release
۱۲۰.        Instruments of restraint
Section V. Proceedings with regard to the confirmation of charges under article ۶۱
۱۲۱.        Proceedings before the confirmation hearing
۱۲۲.        Proceedings at the confirmation hearing in the presence of the person charged
۱۲۳.        Measures to ensure the presence of the person concerned at the confirmation hearing
۱۲۴.        Waiver of the right to be present at the confirmation hearing
۱۲۵.        Decision to hold the confirmation hearing in the absence of the person concerned
۱۲۶.        Confirmation hearing in the absence of the person concerned
Section VI. Closure of the pre-trial phase
۱۲۷.        Procedure in the event of different decisions on multiple charges
۱۲۸.        Amendment of the charges
۱۲۹.        Notification of the decision on the confirmation of charges
۱۳۰.        Constitution of the Trial Chamber
Chapter ۶. Trial procedure
۱۳۱.        Record of the proceedings transmitted by the Pre-Trial Chamber
۱۳۲.        Status conferences
۱۳۳.        Motions challenging admissibility or jurisdiction
۱۳۴.        Motions relating to the trial proceedings
۱۳۵.        Medical examination of the accused
۱۳۶.        Joint and separate trials
۱۳۷.        Record of the trial proceedings
۱۳۸.        Custody of evidence
۱۳۹.        Decision on admission of guilt
۱۴۰.        Directions for the conduct of the proceedings and testimony
۱۴۱.        Closure of evidence and closing statements
۱۴۲.        Deliberations
۱۴۳.        Additional hearings on matters related to sentence or reparations
۱۴۴.        Delivery of the decisions of the Trial Chamber
Chapter ۷. Penalties
۱۴۵.        Determination of sentence
۱۴۶.        Imposition of fines under article ۷۷
۱۴۷.        Orders of forfeiture        
۱۴۸.        Orders to transfer fines or forfeitures to the Trust Fund
Chapter ۸. Appeal and revision
Section I. General provisions
۱۴۹.        Rules governing proceedings in the Appeals Chamber
Section II. Appeals against convictions, acquittals, sentences and reparation orders
۱۵۰.        Appeal
۱۵۱. Procedure for the appeal
۱۵۲.        Discontinuance of the appeal
۱۵۳.        Judgement on appeals against reparation orders
Section III. Appeals against other decisions
۱۵۴.        Appeals that do not require the leave of the Court
۱۵۵.        Appeals that require leave of the Court
۱۵۶.        Procedure for the appeal
۱۵۷.        Discontinuance of the appeal
۱۵۸.        Judgement on the appeal
Section IV. Revision of conviction or sentence
۱۵۹.        Application for revision
۱۶۰.        Transfer for the purpose of revision
۱۶۱.        Determination on revision
Chapter ۹. Offences and misconduct against the Court
Section I. Offences against the administration of justice under article ۷۰
۱۶۲.        Exercise of jurisdiction
۱۶۳.        Application of the Statute and the Rules
۱۶۴.        Periods of limitation
۱۶۵.        Investigation, prosecution and trial
۱۶۶.        Sanctions under article ۷۰
۱۶۷.        International cooperation and judicial assistance
۱۶۸.        Ne bis in idem
۱۶۹.        Immediate arrest
Section II. Misconduct before the Court under article ۷۱
۱۷۰.        Disruption of proceedings
۱۷۱.        Refusal to comply with a direction by the Court
۱۷۲.        Conduct covered by both articles ۷۰ and ۷۱

Chapter ۱۰. Compensation to an arrested or convicted person
۱۷۳.        Request for compensation
۱۷۴.        Procedure for seeking compensation
۱۷۵.        Amount of compensation
Chapter ۱۱. International cooperation and judicial assistance
Section I. Requests for cooperation under article ۸۷
۱۷۶.        Organs of the Court responsible for the transmission and receipt of any communications relating to international cooperation and judicial assistance
۱۷۷.        Channels of communication
۱۷۸.        Language chosen by States Parties under article ۸۷, paragraph ۲
۱۷۹.        Language of requests directed to States not party to the Statute
۱۸۰.        Changes in the channels of communication or the languages of requests for cooperation
Section II. Surrender, transit and competing requests under articles ۸۹ and ۹۰
۱۸۱.        Challenge to admissibility of a case before a national court
۱۸۲.        Request for transit under article ۸۹, paragraph ۳ (e)
۱۸۳.        Possible temporary surrender
۱۸۴.        Arrangements for surrender
۱۸۵.        Release of a person from the custody of the Court other than         upon completion of sentence
۱۸۶.        Competing requests in the context of a challenge to the admissibility of the case
Section III. Documents for arrest and surrender under articles ۹۱ and ۹۲
۱۸۷.        Translation of documents accompanying request for surrender
۱۸۸.        Time limit for submission of documents after provisional arrest
۱۸۹.        Transmission of documents supporting the request
Section IV. Cooperation under article ۹۳
۱۹۰.        Instruction on self-incrimination accompanying request for witness
۱۹۱.        Assurance provided by the Court under article ۹۳, paragraph ۲
۱۹۲.        Transfer of a person in custody
۱۹۳.        Temporary transfer of the person from the State of enforcement
۱۹۴.        Cooperation requested from the Court
Section V. Cooperation under article ۹۸
۱۹۵.        Provision of information
Section VI. Rule of speciality under article ۱۰۱
۱۹۶.        Provision of views on article ۱۰۱, paragraph ۱
۱۹۷.        Extension of the surrender
Chapter ۱۲. Enforcement
Section I. Role of States in enforcement of sentences of imprisonment and change in designation of State of enforcement under articles ۱۰۳ and ۱۰۴
۱۹۸.        Communications between the Court and States
۱۹۹.        Organ responsible under Part ۱۰
۲۰۰.        List of States of enforcement
۲۰۱.        Principles of equitable distribution
۲۰۲.        Timing of delivery of the sentenced person to the State of enforcement
۲۰۳.        Views of the sentenced person
۲۰۴.        Information relating to designation
۲۰۵.        Rejection of designation in a particular case
۲۰۶.        Delivery of the sentenced person to the State of enforcement
۲۰۷.        Transit
۲۰۸.        Costs
۲۰۹.        Change in designation of State of enforcement
۲۱۰.        Procedure for change in the designation of a State of enforcement
Section II. Enforcement, supervision and transfer under articles ۱۰۵, ۱۰۶ and ۱۰۷
۲۱۱.        Supervision of enforcement of sentences and conditions of imprisonment
۲۱۲.        Information on location of the person for enforcement of fines, forfeitures or reparation measures
۲۱۳.        Procedure for article ۱۰۷, paragraph ۳

Section III. Limitation on the prosecution or punishment of other offences under article ۱۰۸
۲۱۴.        Request to prosecute or enforce a sentence for prior conduct
۲۱۵.        Decision on request to prosecute or enforce a sentence
۲۱۶.        Information on enforcement
Section IV. Enforcement of fines, forfeiture measures and reparation orders
۲۱۷.        Cooperation and measures for enforcement of fines, forfeiture or reparation orders
۲۱۸.        Orders for forfeiture and reparations
۲۱۹.        Non-modification of orders for reparation
۲۲۰.        Non-modification of judgements in which fines were imposed
۲۲۱.        Decision on disposition or allocation of property or assets
۲۲۲.        Assistance for service or any other measure
Section V. Review concerning reduction of sentence under article ۱۱۰
۲۲۳.        Criteria for review concerning reduction of sentence
۲۲۴.        Procedure for review concerning reduction of sentence
Section VI. Escape
۲۲۵.        Measures under article ۱۱۱ in the event of escape

Chapter ۱
General provisions

Rule ۱
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 ۲
Authentic texts

The Rules have been adopted in the official languages of the Court established by article ۵۰, paragraph ۱. All texts are equally authentic.

Rule ۳
Amendments

۱.        Amendments to the rules that are proposed in accordance with article ۵۱, paragraph ۲, shall be forwarded to the President of the Bureau of the Assembly of States Parties.
۲.        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.
۳.        The procedure described in sub-rules ۱ and ۲ shall also apply to the
provisional rules referred to in article ۵۱, paragraph ۳.


Chapter ۲
Composition and administration of the Court

Section I
General provisions relating to the composition and administration of the Court

Rule ۴
Plenary sessions

۱.        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 ۵, the judges shall:
(a)        Elect the President and Vice-Presidents;
(b)        Assign judges to divisions.
۲.        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.
۳.        The quorum for each plenary session shall be two-thirds of the judges.
۴.        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.
۵.        The Regulations shall be adopted as soon as possible in plenary sessions.

Rule ۵
Solemn undertaking under article ۴۵

۱.        As provided in article ۴۵, before exercising their functions under the Statute, the following solemn undertakings shall be made:
(a)        In the case of a judge:
“I solemnly undertake that I will perform my duties and exercise my powers as a judge of the International Criminal Court honourably, faithfully, impartially and conscientiously, and that I will respect the confidentiality of investigations and prosecutions and the secrecy of deliberations”;
(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”.
۲.        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 ۶
Solemn undertaking by the staff of the Office of the Prosecutor, the Registry, interpreters and translators

۱.        Upon commencing employment, every staff member of the Office of the Prosecutor and the Registry shall make the following undertaking:
“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.
۲.        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 ۷
Single judge under article ۳۹, paragraph ۲ (b) (iii)

۱.        Whenever the Pre-Trial Chamber designates a judge as a single judge in accordance with article ۳۹, paragraph ۲ (b) (iii), it shall do so on the basis of objective pre-established criteria.
۲.        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.
۳.        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 ۸
Code of Professional Conduct

۱.        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 ۲۰, sub-rule ۳.
۲.        The draft Code shall then be transmitted to the Assembly of States Parties, for the purpose of adoption, according to article ۱۱۲, paragraph ۷.
۳.        The Code shall contain procedures for its amendment.

Section II
The Office of the Prosecutor

Rule ۹
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 ۱۰
Retention of information and evidence

The Prosecutor shall be responsible for the retention, storage and security of information and physical evidence obtained in the course of the investigations by his or her Office.

Rule ۱۱
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 ۱۵ and ۵۳, the Prosecutor or a Deputy Prosecutor may authorize staff members of the Office of the Prosecutor, other than those referred to in article ۴۴, paragraph ۴, to represent him or her in the exercise of his or her functions.

Section III
The Registry

Subsection ۱
General provisions relating to the Registry

Rule ۱۲
Qualifications and election of the Registrar and the Deputy Registrar

۱.        As soon as it is elected, the Presidency shall establish a list of candidates who satisfy the criteria laid down in article ۴۳, paragraph ۳, and shall transmit the list to the Assembly of States Parties with a request for any recommendations.
۲.        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.
۳.        As provided for in article ۴۳, paragraph ۴, 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.
۴.        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.
۵.        The Deputy Registrar shall be elected by the Court, meeting in plenary session, in the same manner as the Registrar.

Rule ۱۳
Functions of the Registrar

۱.        Without prejudice to the authority of the Office of the Prosecutor under the Statute to receive, obtain and provide information and to establish channels of communication for this purpose, the Registrar shall serve as the channel of communication of the Court.
۲.        The Registrar shall also be responsible for the internal security of the Court in consultation with the Presidency and the Prosecutor, as well as the host State.

Rule ۱۴
Operation of the Registry

۱.        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.
۲.        The regulations shall provide for defence counsel to have access to appropriate and reasonable administrative assistance from the Registry.

Rule ۱۵
Records

۱.        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.
۲.        The Registrar shall also maintain the other records of the Court.

Subsection ۲
Victims and Witnesses Unit

Rule ۱۶
Responsibilities of the Registrar relating to victims and witnesses

۱.        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 ۸۹ to ۹۱;
(c)        Assisting them in participating in the different phases of the proceedings in accordance with rules ۸۹ to ۹۱;
(d)        Taking gender-sensitive measures to facilitate the participation of victims of sexual violence at all stages of the proceedings.
۲.        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.
۳.        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.
۴.        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 ۱۷
Functions of the Unit

۱.        The Victims and Witnesses Unit shall exercise its functions in accordance with article ۴۳, paragraph ۶.
۲.        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.
۳.        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 ۱۸
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 ۱۹
Expertise in the Unit

In addition to the staff mentioned in article ۴۳, paragraph ۶, and subject to article ۴۴, 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 ۳
Counsel for the defence

Rule ۲۰
Responsibilities of the Registrar relating to the rights of the defence

۱.        In accordance with article ۴۳, paragraph ۱, 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 ۶۷, paragraph ۱ (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 ۵۵, paragraph ۲, 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 ۳ to promote the specialization and training of lawyers in the law of the Statute and the Rules.
۲.        The Registrar shall carry out the functions stipulated in sub-rule ۱, including the financial administration of the Registry, in such a manner as to ensure the professional independence of defence counsel.
۳.        For purposes such as the management of legal assistance in accordance with rule ۲۱ and the development of a Code of Professional Conduct in accordance with rule ۸, 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 ۲۱
Assignment of legal assistance

۱.        Subject to article ۵۵, paragraph ۲ (c), and article ۶۷, paragraph ۱ (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 ۲۰, sub-rule ۳.
۲.        The Registrar shall create and maintain a list of counsel who meet the criteria set forth in rule ۲۲ 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.
۳.        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.
۴.        A person choosing to represent himself or herself shall so notify the Registrar in writing at the first opportunity.
۵.        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 ۲۲
Appointment and qualifications of Counsel for the defence

۱.        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.
۲.        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.
۳.        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 ۸ 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 ۱
Removal from office and disciplinary measures

Rule ۲۳
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 ۲۴
Definition of serious misconduct and serious breach of duty

۱.        For the purposes of article ۴۶, paragraph ۱ (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.
۲.        For the purposes of article ۴۶, paragraph ۱ (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:
(a)        Fails to comply with the duty to request to be excused, knowing that there are grounds for doing so;
(b)        Repeatedly causes unwarranted delay in the initiation, prosecution or trial of cases, or in the exercise of judicial powers.


Rule ۲۵
Definition of misconduct of a less serious nature

۱.        For the purposes of article ۴۷, “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 ۴۷;
(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.
۲.        Nothing in this rule precludes the possibility of the conduct set out in sub-rule ۱ (a) constituting “serious misconduct” or “serious breach of duty” for the purposes of article ۴۶, paragraph ۱ (a).

Rule ۲۶
Receipt of complaints

۱.        For the purposes of article ۴۶, paragraph ۱, and article ۴۷, any complaint concerning any conduct defined under rules ۲۴ and ۲۵ 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.
۲.        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 ۲۷
Common provisions on the rights of the defence

۱.        In any case in which removal from office under article ۴۶ or disciplinary measures under article ۴۷ is under consideration, the person concerned shall be so informed in a written statement.
۲.        The person concerned shall be afforded full opportunity to
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۲.        The person concerned shall be afforded full opportunity to present and receive evidence, to make written submissions and to supply answers to any questions put to him or her.
۳.        The person may be represented by counsel during the process established under this rule.

Rule ۲۸
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 ۲۹
Procedure in the event of a request for removal from office

۱.        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.
۲.        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.
۳.        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.
۴.        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 ۴۷ that the person concerned has engaged in misconduct of a less serious nature and a disciplinary measure imposed.

Rule ۳۰
Procedure in the event of a request for disciplinary measures

۱.        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.
۲.        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.
۳.        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.
۴.        Reprimands shall be recorded in writing and shall be transmitted to the President of the Bureau of the Assembly of States Parties.

Rule ۳۱
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 ۳۲
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 ۲
Excusing, disqualification, death and resignation

Rule ۳۳
Excusing of a judge, the Prosecutor or a Deputy Prosecutor

۱.        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.
۲.        The Presidency shall treat the request as confidential and shall not make public the reasons for its decision without the consent of the person concerned.

Rule ۳۴
Disqualification of a judge, the Prosecutor or a Deputy Prosecutor

۱.        In addition to the grounds set out in article ۴۱, paragraph ۲, and article ۴۲, paragraph ۷, 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.
۲.        Subject to the provisions set out in article ۴۱, paragraph ۲, and article ۴۲, paragraph ۸, 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.
۳.        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 ۳۵
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 ۴۱, paragraph ۲, or article ۴۲, paragraph ۷, and rule ۳۴. The request shall be made and the Presidency shall deal with it in accordance with rule ۳۳.

Rule ۳۶
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 ۳۷
Resignation of a judge, the Prosecutor, a Deputy Prosecutor, the Registrar or a Deputy Registrar

۱.        A judge, the Prosecutor, a Deputy Prosecutor, the Registrar or a Deputy Registrar shall communicate to the Presidency, in writing, his or her decision to resign. The Presidency shall inform, in writing, the President of the Bureau of the Assembly of States Parties.
۲.        A judge, the Prosecutor, a Deputy Prosecutor, the Registrar or a Deputy Registrar shall endeavour to give notice of the date on which his or her resignation will take effect at least six months in advance. Before the resignation of a judge takes effect, he or she shall make every effort to discharge his or her outstanding responsibilities.

Subsection ۳
Replacements and alternate judges

Rule ۳۸
Replacements

۱.        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.
۲.        Replacement shall take place in accordance with the pre-established procedure in the Statute, the Rules and the Regulations.

Rule ۳۹
Alternate judges

Where an alternate judge has been assigned by the Presidency to a Trial Chamber pursuant to article ۷۴, paragraph ۱, 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 ۴۰
Publication of decisions in official languages of the Court

۱.        For the purposes of article ۵۰, paragraph ۱, the following decisions shall be considered as resolving fundamental issues:
(a)        All decisions of the Appeals Division;
(b)        All decisions of the Court on its jurisdiction or on the admissibility of a case pursuant to articles ۱۷, ۱۸, ۱۹ and ۲۰;
(c )        All decisions of a Trial Chamber on guilt or innocence, sentencing and reparations to victims pursuant to articles ۷۴, ۷۵ and ۷۶;
(d)        All decisions of a Pre-Trial Chamber pursuant to article ۵۷, paragraph ۳ (d).
۲.        Decisions on confirmation of charges under article ۶۱, paragraph ۷, and on offences against the administration of justice under article ۷۰, paragraph ۳, shall be published in all the official languages of the Court when the Presidency determines that they resolve fundamental issues.
۳.        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 ۴۱
Working languages of the Court

۱.        For the purposes of article ۵۰, paragraph ۲, 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.
۲.        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 ۴۲
Translation and interpretation services

The Court shall arrange for the translation and interpretation services necessary to ensure the implementation of its obligations under the Statute and the Rules.

Rule ۴۳
Procedure applicable to the publication of documents of the Court

The Court shall ensure that all documents subject to publication in accordance with the Statute and the Rules respect the duty to protect the confidentiality of the proceedings and the security of victims and witnesses.


Chapter ۳
Jurisdiction and admissibility

Section I
Declarations and referrals relating to articles ۱۱, ۱۲, ۱۳ and ۱۴

Rule ۴۴
Declaration provided for in article ۱۲, paragraph ۳

۱.        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 ۱۲, paragraph ۳.
۲.        When a State lodges, or declares to the Registrar its intent to lodge, a declaration with the Registrar pursuant to article ۱۲, paragraph ۳, or when the Registrar acts pursuant to sub-rule ۱, the Registrar shall inform the State concerned that the declaration under article ۱۲, paragraph ۳, has as a consequence the acceptance of jurisdiction with respect to the crimes referred to in article ۵ of relevance to the situation and the provisions of Part ۹, and any rules thereunder concerning States Parties, shall apply.

Rule ۴۵
Referral of a situation to the Prosecutor

A referral of a situation to the Prosecutor shall be in writing.

Section II
Initiation of investigations under article ۱۵

Rule ۴۶
Information provided to the Prosecutor under article ۱۵, paragraphs ۱ and ۲

Where information is submitted under article ۱۵, paragraph ۱, or where oral or written testimony is received pursuant to article ۱۵, paragraph ۲, 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 ۴۷
Testimony under article ۱۵, paragraph ۲

۱.        The provisions of rules ۱۱۱ and ۱۱۲ shall apply, mutatis mutandis, to testimony received by the Prosecutor pursuant to article ۱۵, paragraph ۲.
۲.        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 ۶۹, paragraph ۴, and given such weight as determined by the relevant Chamber.

Rule ۴۸
Determination of reasonable basis to proceed with an investigation under article ۱۵, paragraph ۳

In determining whether there is a reasonable basis to proceed with an investigation under article ۱۵, paragraph ۳, the Prosecutor shall consider the factors set out in article ۵۳, paragraph ۱ (a) to (c).

Rule ۴۹
Decision and notice under article ۱۵, paragraph ۶

۱.        Where a decision under article ۱۵, paragraph ۶, is taken, the Prosecutor shall promptly ensure that notice is provided, including reasons for his or her decision, in a manner that prevents any danger to the safety, well-being and privacy of those who provided information to him or her under article ۱۵, paragraphs ۱ and ۲, or the integrity of investigations or proceedings.
۲.        The notice shall also advise of the possibility of submitting further information regarding the same situation in the light of new facts and evidence.

Rule ۵۰
Procedure for authorization by the Pre-Trial Chamber of the commencement of the investigation

۱.        When the Prosecutor intends to seek authorization from the Pre-Trial Chamber to initiate an investigation pursuant to article ۱۵, paragraph ۳, the Prosecutor shall inform victims, known to him or her or to the Victims and Witnesses Unit, or their legal representatives, unless the Prosecutor decides that doing so would pose a danger to the integrity of the investigation or the life or well-being of victims and witnesses. The Prosecutor may also give notice by general means in order to reach groups of victims if he or she determines in the particular circumstances of the case that such notice could not pose a danger to the integrity and effective conduct of the investigation or to the security and well-being of victims and witnesses. In performing these functions, the Prosecutor may seek the assistance of the Victims and Witnesses Unit as appropriate.
۲.        A request for authorization by the Prosecutor shall be in writing.
۳.        Following information given in accordance with sub-rule ۱, victims may make representations in writing to the Pre-Trial Chamber within such time limit as set forth in the Regulations.
۴.        The Pre-Trial Chamber, in deciding on the procedure to be followed, may request additional information from the Prosecutor and from any of the victims who have made representations, and, if it considers it appropriate, may hold a hearing.
۵.        The Pre-Trial Chamber shall issue its decision, including its reasons, as to whether to authorize the commencement of the investigation in accordance with article ۱۵, paragraph ۴, with respect to all or any part of the request by the Prosecutor. The Chamber shall give notice of the decision to victims who have made representations.
۶.        The above procedure shall also apply to a new request to the Pre-Trial
Chamber pursuant to article ۱۵, paragraph ۵.
Section III
Challenges and preliminary rulings under articles ۱۷, ۱۸ and ۱۹

Rule ۵۱
Information provided under article ۱۷

In considering the matters referred to in article ۱۷, paragraph ۲, and in the context of the circumstances of the case, the Court may consider, inter alia, information that the State referred to in article ۱۷, paragraph ۱, 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 ۵۲
Notification provided for in article ۱۸, paragraph ۱

۱.        Subject to the limitations provided for in article ۱۸, paragraph ۱, the notification shall contain information about the acts that may constitute crimes referred to in article ۵, relevant for the purposes of article ۱۸, paragraph ۲.
۲.        A State may request additional information from the Prosecutor to assist it in the application of article ۱۸, paragraph ۲. Such a request shall not affect the one-month time limit provided for in article ۱۸, paragraph ۲, and shall be responded to by the Prosecutor on an expedited basis.

Rule ۵۳
Deferral provided for in article ۱۸, paragraph ۲

When a State requests a deferral pursuant to article ۱۸, paragraph ۲, that State
shall make this request in writing and provide information concerning its investigation, taking into account article ۱۸, paragraph ۲. The Prosecutor may request additional information from that State.


Rule ۵۴
Application by the Prosecutor under article ۱۸, paragraph ۲

۱.        An application submitted by the Prosecutor to the Pre-Trial Chamber in accordance with article ۱۸, paragraph ۲, shall be in writing and shall contain the basis for the application. The information provided by the State under rule ۵۳ shall be communicated by the Prosecutor to the Pre-Trial Chamber.
۲.        The Prosecutor shall inform that State in writing when he or she makes an application to the Pre-Trial Chamber under article ۱۸, paragraph ۲, and shall include in the notice a summary of the basis of the application.

Rule ۵۵
Proceedings concerning article ۱۸, paragraph ۲

۱.        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.
۲.        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 ۱۸, paragraph ۲, and shall consider the factors in article ۱۷ in deciding whether to authorize an investigation.
۳.        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 ۵۶
Application by the Prosecutor following review under article ۱۸, paragraph ۳

۱.        Following a review by the Prosecutor as set forth in article ۱۸, paragraph ۳, the Prosecutor may apply to the Pre-Trial Chamber for authorization in accordance with article ۱۸, paragraph ۲. The application to the Pre-Trial Chamber shall be in writing and shall contain the basis for the application.
۲.        Any further information provided by the State under article ۱۸, paragraph ۵, shall be communicated by the Prosecutor to the Pre-Trial Chamber.
۳.        The proceedings shall be conducted in accordance with rules ۵۴, sub-rule ۲, and ۵۵.

Rule ۵۷
Provisional measures under article ۱۸, paragraph ۶

An application to the Pre-Trial Chamber by the Prosecutor in the circumstances provided for in article ۱۸, paragraph ۶, shall be considered ex parte and in camera. The Pre-Trial Chamber shall rule on the application on an expedited basis.

Rule ۵۸
Proceedings under article ۱۹

۱.        A request or application made under article ۱۹ shall be in writing and contain the basis for it.
۲.        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 ۱۹, paragraph ۲ or ۳, or is acting on its own motion as provided for in article ۱۹, paragraph ۱, 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.
۳.        The Court shall transmit a request or application received under sub-rule ۲ to the Prosecutor and to the person referred to in article ۱۹, paragraph ۲, 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.
۴.        The Court shall rule on any challenge or question of jurisdiction first and then on any challenge or question of admissibility.

Rule ۵۹
Participation in proceedings under article ۱۹, paragraph ۳

۱.        For the purpose of article ۱۹, paragraph ۳, the Registrar shall inform the following of any question or challenge of jurisdiction or admissibility which has arisen pursuant to article ۱۹, paragraphs ۱, ۲ and ۳:
(a)        Those who have referred a situation pursuant to article ۱۳;
(b)        The victims who have already communicated with the Court in relation to that case or their legal representatives.
۲.        The Registrar shall provide those referred to in sub-rule ۱, 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.
۳.        Those receiving the information, as provided for in sub-rule ۱, may make representation in writing to the competent Chamber within such time limit as it considers appropriate.

Rule ۶۰
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 ۱۳۰.

Rule ۶۱
Provisional measures under article ۱۹, paragraph ۸

When the Prosecutor makes application to the competent Chamber in the circumstances provided for in article ۱۹, paragraph ۸, rule ۵۷ shall apply.


Rule ۶۲
Proceedings under article ۱۹, paragraph ۱۰

۱.        If the Prosecutor makes a request under article ۱۹, paragraph ۱۰, he or she shall make the request to the Chamber that made the latest ruling on admissibility. The provisions of rules ۵۸, ۵۹ and ۶۱ shall be applicable.
۲.        The State or States whose challenge to admissibility under article ۱۹, paragraph ۲, provoked the decision of inadmissibility provided for in article ۱۹, paragraph ۱۰, shall be notified of the request of the Prosecutor and shall be given a time limit within which to make representations.


Chapter ۴
Provisions relating to various stages of the proceedings

Section I
Evidence

Rule ۶۳
General provisions relating to evidence

۱.        The rules of evidence set forth in this chapter, together with article ۶۹, shall apply in proceedings before all Chambers.
۲.        A Chamber shall have the authority, in accordance with the discretion described in article ۶۴, paragraph ۹, to assess freely all evidence submitted in order to determine its relevance or admissibility in accordance with article ۶۹.
۳.        A Chamber shall rule on an application of a party or on its own motion, made under article ۶۴, subparagraph ۹ (a), concerning admissibility when it is based on the grounds set out in article ۶۹, paragraph ۷.
۴.        Without prejudice to article ۶۶, paragraph ۳, 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.
۵.        The Chambers shall not apply national laws governing evidence, other than in accordance with article ۲۱.

Rule ۶۴
Procedure relating to the relevance or admissibility of evidence

۱.        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.
۲.        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 ۶۴, paragraph ۱۰, and rule ۱۳۷, sub-rule ۱.
۳.        Evidence ruled irrelevant or inadmissible shall not be considered by the Chamber.

Rule ۶۵
Compellability of witnesses

۱.        A witness who appears before the Court is compellable by the Court to provide testimony, unless otherwise provided for in the Statute and the Rules, in particular rules ۷۳, ۷۴ and ۷۵.
۲.        Rule ۱۷۱ applies to a witness appearing before the Court who is compellable to provide testimony under sub-rule ۱.

Rule ۶۶
Solemn undertaking

۱.        Except as described in sub-rule ۲, every witness shall, in accordance with article ۶۹, paragraph ۱, make the following solemn undertaking before testifying:
“I solemnly declare that I will speak the truth, the whole truth and nothing but the truth”.
۲.        A person under the age of ۱۸ 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.
۳.        Before testifying, the witness shall be informed of the offence defined in article ۷۰, paragraph ۱ (a).


Rule ۶۷
Live testimony by means of audio or video-link technology

۱.        In accordance with article ۶۹, paragraph ۲, 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.
۲.        The examination of a witness under this rule shall be conducted in accordance with the relevant rules of this chapter.
۳.        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 ۶۸
Prior recorded testimony

When the Pre-Trial Chamber has not taken measures under article ۵۶, the Trial Chamber may, in accordance with article ۶۹, paragraph ۲, 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 ۶۹
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 ۷۰
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 ۷۱
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 ۶۹, paragraph ۴, a Chamber shall not admit evidence of the prior or subsequent sexual conduct of a victim or witness.


Rule ۷۲
In camera procedure to consider relevance or admissibility of evidence

۱.        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 ۷۰, 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.
۲.        In deciding whether the evidence referred to in sub-rule ۱ 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 ۶۹, paragraph ۴. For this purpose, the Chamber shall have regard to article ۲۱, paragraph ۳, and articles ۶۷ and ۶۸, and shall be guided by principles (a) to (d) of rule ۷۰, especially with respect to the proposed questioning of a victim.
۳.        Where the Chamber determines that the evidence referred to in sub-rule ۲ 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 ۷۰.

Rule ۷۳
Privileged communications and information

۱.        Without prejudice to article ۶۷, paragraph ۱ (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.
۲.        Having regard to rule ۶۳, sub-rule ۵, 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 ۱ (a) and ۱ (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.
۳.        In making a decision under sub-rule ۲, 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.
۴.        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 ۶, 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.
۵.        Nothing in sub-rule ۴ 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.
۶.        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 ۷۴
Self-incrimination by a witness

۱.        Unless a witness has been notified pursuant to rule ۱۹۰, the Chamber shall notify a witness of the provisions of this rule before his or her testimony.
۲.        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 ۳, paragraph (c), before the witness attends, directly or pursuant to a request under article ۹۳, paragraph (۱) (e).
۳.        (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 ۲, 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 ۷۰ and ۷۱.
۴.        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.
۵.        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.
۶.        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.
۷.        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 ۷۱;
(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.
۸.        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 ۷ for all or a part of the testimony of that witness.
۹.        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 ۷.
۱۰.        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 ۷۵
Incrimination by family members

۱.        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.
۲.        In evaluating the testimony of a witness, a Chamber may take into account that the witness, referred to in sub-rule ۱, 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 ۷۶
Pre-trial disclosure relating to prosecution witnesses

۱.        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.

۲.        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.
۳.        The statements of prosecution witnesses shall be made available in original and in a language which the accused fully understands and speaks.
۴.        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 ۸۱ and ۸۲.

Rule ۷۷
Inspection of material in possession or control of the Prosecutor

The Prosecutor shall, subject to the restrictions on disclosure as provided for in the Statute and in rules ۸۱ and ۸۲, permit the defence to inspect any books, documents, photographs and other tangible objects in the possession or control of the Prosecutor, which are material to the preparation of the defence or are intended for use by the Prosecutor as evidence for the purposes of the confirmation hearing or at trial, as the case may be, or were obtained from or belonged to the person.

Rule ۷۸
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 ۷۹
Disclosure by the defence

۱.        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 ۳۱, paragraph ۱, 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.
۲.        With due regard to time limits set forth in other rules, notification under sub-rule ۱ 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.
۳.        Failure of the defence to provide notice under this rule shall not limit its right to raise matters dealt with in sub-rule ۱ and to present evidence.
۴.        This rule does not prevent a Chamber from ordering disclosure of any other evidence.

Rule ۸۰
Procedures for raising a ground for excluding criminal responsibility under article ۳۱, paragraph ۳

۱.        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 ۳۱, paragraph ۳. This shall be done sufficiently in advance of the commencement of the trial to enable the Prosecutor to prepare adequately for trial.
۲.        Following notice given under sub-rule ۱, the Trial Chamber shall hear both the Prosecutor and the defence before deciding whether the defence can raise a ground for excluding criminal responsibility.
۳.        If the defence is permitted to raise the ground, the Trial Chamber may grant the Prosecutor an adjournment to address that ground.

Rule ۸۱
Restrictions on disclosure

۱.        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.
۲.        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.
۳.        Where steps have been taken to ensure the confidentiality of information, in accordance with articles ۵۴, ۵۷, ۶۴, ۷۲ and ۹۳, and, in accordance with article ۶۸, 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.
۴.        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 ۵۴, ۷۲ and ۹۳, and, in accordance with article ۶۸, 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.
۵.        Where material or information is in the possession or control of the Prosecutor which is withheld under article ۶۸, paragraph ۵, 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.
۶.        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 ۶۸, paragraph ۵, 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 ۸۲
Restrictions on disclosure of material and information protected under article ۵۴, paragraph ۳ (e)

۱.        Where material or information is in the possession or control of the Prosecutor which is protected under article ۵۴, paragraph ۳ (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.
۲.        If the Pros